Ingenuity For National Culture

See discussions, stats, and author profiles for this publication at: https://www.researchgate.
net/publication/344320794
INGENUITY FOR NATIONAL CULTURE
Book · September 2020
CITATIONS READS
0 180
1 author:
Harijono Djojodihardjo
The Institute for the Advancement of Aerospace Science and Technology
195 PUBLICATIONS 654 CITATIONS
SEE PROFILE
Some of the authors of this publication are also working on these related projects:
Projection and Conceptual Design of Future Aircrafts and Transportation Technologies View project
Applied Mechanics and Smart Materials View project
All content following this page was uploaded by Harijono Djojodihardjo on 20 September 2020.
The user has requested enhancement of the downloaded file.

Harijono Djojodihardjo – INGENUITY FOR NATIONAL CULTURE
__________________________________________________________________________________________
2
__________________________________________________________________________________________
SCIENCE AND TECHNOLOGY FOR NATIONAL CULTURAL
DEVELOPMENT
“Man must rise above the Earth -- to the top of the atmosphere and beyond -- for
only thus will he fully understand the world in which he lives." – Socrates 400 BC
The Institute for the Advancement of Aerospace Science and Technology 3
“Persada Kriyareka Dirgantara”

__________________________________________________________________________________________
4
__________________________________________________________________________________________

DEVELOPMENT
© Harijono Djojodihardjo
The Institute for the Advancement of Aerospace Science and Technology
5
__________________________________________________________________________________________
6
__________________________________________________________________________________________
INGENUITY FOR NATIONALCULTURE

DEVELOPMENT
Prof.Harijono Djojodihardjo, Sc.D, IPU, ACPE
© Harijono Djojodihardjo
The Institute for the Advancement of Aeffspace Science and Technology
7
__________________________________________________________________________________________
8
__________________________________________________________________________________________
DEDICATION
THIS BOOK IS DEDICATED IN THE MEMORY OF
PROF. DR.-ING. DR.HON.(MULT) BACHARUDDIN .JUSUF .HABIBIE
AND MY PARENTS:
MEESTER IN DE RECHTEN RADEN SUMARTO DJOJODIHARDJO
AND
RADEN AYU SUNIATI SUMARTO DJOJODIHARDJO-
SOERIODIREDJO
AND DEDICATED TO MY CHILDREN
AIRLANGGA KRISHNAPRIYADI JOJODIHARJO
BISMO JELANTIK JOYODIHARJO
GAYATRI ASMARADEWI JOYODIHARJO

9
__________________________________________________________________________________________
10
__________________________________________________________________________________________

DEVELOPMENT
TABLE OF CONTENTS 9
Foreword – Prof.Saswinadi Sasmojo 13
Foreword – Prof. Borias Laschka 15
Foreword – Prof. Shinji Suzuki 17
Foreword – Prof. Vladimir Zhuravlev 19
Foreword – Prof. Paolo Gasbarri 21
Foreword – Dr.-Ing.Ilham A. Habibie MBA 23
Preface by the Author 27
I Prologue – Introspection and Retrospection 29

in Taking Steps Towards Cutural
Development Through Creativity
PARTA A – Macro-Aspects 37
II Instituting Trust-Based Changes In 39

Indonesia
III The contribution of Science and 59
Technology development to sustainable
energy in developing
countries with a case study on Indonesia
IV Perspectives of Fifty Mega Watt Peak 69

(50 Mwp) Photovoltaic Solar Home Systems
for Rural Electrification In Indonesia
V Conceptual Design of a Medium-Sized 87

Combined Smart Photovoltaic - Agriculture
System - Case Study In Malaysia
11
__________________________________________________________________________________________
VI Vision, Development and Experience inn 99

Small Satellites for Capacity Building, with
Particular Reference to Indonesia
and Malaysia
VII Space Power System – Motivation, 125

Review and Vision
VIII Aerospace and Green Technology - 167

Progress and Outlook
IX Potential and Prospects of Offshore Wind 193
and Photovoltaic Energy
219
X The Vision of Solar Sailing for
Interplanetary Missions
PART B – Micro-Aspects 303
XI Transonic Flow Computation of Slender 305

Body of Revolution Using Transonic Small
Disturbance and Navier-Stokes Equation
XII Development and Implementation of 333
Some BEM Variants—A Critical Review
XIII BEM-FEM Coupling For Acoustic 375
Effects On Aeroelastic Stability Of Structures
XIV Vibro-Acoustic Analysis For The 409
Acoustic-Structure Interaction Of Flexible
Structure Due To Acoustic Excitation
XVI Numerical Modelling, Simulation and 457
Visualization of Flapping Wing Ornithopter
XV Kinematic and Unsteady Aerodynamic 505
Study On Bi- And Quad-Wing Ornithopter
XVII Conceptual Design and Aerodynamic 537
Study of Blended Wing Body Business Jet
XVIII Conceptual Design and Aerodynamic 565
Study of Joined-Wing Business Jet Aircraft
XIX Overview of green quad bubble 589
business jet aerodynamic configuration
12
__________________________________________________________________________________________
design
XX - Computational Study on the 631
Aerodynamic Performance of Wind Turbine
Airfoil Fitted with Coandă Jet
XXI -First Principle Analysis of Coandă MAV 661
Aerodynamic forces
XXII- Aerodynamics and Flight Mechanics of 691
MAV Based on Coandă Effect
XXIII - Aircraft Trailing Vortices - Cirrus 717
Cloud Interaction and Green Aircraft
Technology
XXIV --Review on Developments and Recent 745
Patents on Trailing Vortices Alleviation
XXV - Research, Development and Recent 813
Patents on Aerodynamic Surface Circulation
Control – A Critical Review
XXVI - Active Vibration Suppression of an 873

Elastic Piezoelectric Sensorand Actuator
Fitted Cantilevered Beam Configurations as a
Generic Smart Composite Structure
Epilogue 913
XXVII Epologue - Closing Remarks and 915

Lesson Learned
Acknowledgement 931
Author’s Biodata 933
PERONALITY LOGO 945
13
__________________________________________________________________________________________
14
__________________________________________________________________________________________
FOREWORD
Prof. Saswinadi Sasmojo

Former Professor of Chemical Engineering
Institute of Technology Bandung
The manuscript ‘Contribution to National Culture through

Ingenuity’ with the subtitle, ‘Science and Technology for National
Cultural Development’ was written by Prof. Harijono Djojodihardjo to
convey his ideas on enriching the national culture with scientific and
technological aspects. He perceives such national cultural
development as a way to advance and transform Indonesia toward
a successful, advanced and respected competitive nation.
Indonesia, as a nation, comprises many diversified societal
groups, each have their own cultural trait. That makes Indonesia
rich with cultural expressions in the area of music, dance, paintings,
sculpture, literature, culinary, and many other forms of artistic and
craftworks. On the other hand, while maintaining and nurturing the
diversified societal cultures, Indonesia needs a unifying national culture, as a way of securing
national unity and identity.
One essential unifying cultural component is the way the citizens communicate. On that
matter Indonesia, as a nation, is fortunate to have a national language, “Bahasa Indonesia’.
Other unifying cultural components that could be conjectured as important to have, but
still in the process of shaping to a culturally established status, are those dictating the attitude
and behavior in economic, industrial, scientific, and technological life. Of the mentioned areas,
Prof. Djojodihardjo is focusing on science and technology.
The choice to focus on science and technology is very appropriate, considering that (a)
in the history of human civilization, societies that tend to have higher scientific and technological
mastery exhibit competitiveness and superiority amongst the global societies, and observing
that (b) at this moment Indonesia is technologically a less developed country, as is observed by
the fact that the need for technology to support her development undertakings have to be
heavily acquired from other technologically more developed countries.
Prof. Djojodihardjo conjectures, by implication, that through persistent undertakings in
scientific and technological activities by individuals, the national culture could be induced to
develop features that tend to nurture societal attitude and behavior conducive to scientific and
technological endeavors.
To comprehend what was previously said, one could be reminded to the processes
whereby an orchestra comes into being. It started with the work of a composer, who wrote down
his creation in a document prescribing how the composition of notes and other musical features
15
__________________________________________________________________________________________
are expressed. This is then used as the base for further actions, e.g. in undertaking
arrangements, and finally the orchestral performance.
Similarly one could realize that the results of scientific acts are expressed in the form of
reported discoveries in different form of information carriers or media, like oral presentation,
written publications, videos describing or exhibiting the appearance and dynamicity of the
reported phenomena, etc.
Likewise, the results of technological acts are presented in various forms of
technological information carriers or media, such as written document describing the structure of
a technological creation, a document describing the design of a technological object, etc. Other
more real forms of technology carriers are functioning technological objects, such as an
airplane, a fertilizer plant, or functioning substances like liquid fuels, detergents, cosmetics,
perfume and medicine.
As members of the society observe the usefulness of the results of scientific and
technological acts, they could be expected to gradually recognize and appreciate the value of
those acts. Such process would lead to the development of a societal culture that is conducive
in creating a climate supportive to scientific and technological endeavors. Thereby, one could
say that, what Prof. Djojodihardjo, by implication, was conjecturing is, argumentatively, verified.
With all the elaboration previously presented, one could expect that the reader of the
book would appreciate what Prof. Djojodihardjo is attempting in shaping cultural based societal
attitude and behavior that would nurture scientific and technological undertakings.
In reading the book, if one would like to follow Prof. Djojodihardjo’s thoughts, whishes,
and ideas on what are relevant to be done in shaping the future of the nation through scientific
and technological endeavors, one should carefully read what are presented in the preface of the
book, the introductory chapter, and the epilogue. For those who are conversant with scientific
and technological matters, one could entertain oneself by going through the articles presented
in Part A and Part B, which form the bulk of the write-up in the book.
As a final note, one can say that, a convincing proof of what Prof. Djojodihardjo is
conjecturing is when at least 30 out of 100 persons who read the book can comprehend, enjoy,
and make use of the articles presented in Part B of the book.
Bandung, June 2020
Prof. Saswinadi Sasmojo

Former Professor of Chemical Engineering, Institute of Technology Bandung
‘Senior Research Advisor’ at the Center of Energy Studies ( Pusat Kajian Kebijakan
Energi) Institute of Technology Bandung
Honorary Member, Commission on Engineering Science, The Indonesian Academy of
Sciences (Akademi Ilmu Pengetahuan Indonesia)
16
__________________________________________________________________________________________
FOREWORD
Boris Laschka, em. o. Professor Dr.-Ing.

Technical University of Munich
Some Memories on my Friend Harijono Djojodihardjo on the Occasion of his 80th

Birthday
Science does not stop on borders, science is a basic desire of man, science is
universal. It is the key for a human society which offers its people the access to mental
and intellectual liberty and to self-fulfillment as well. In this sense Harijono Djojodihardjo,
Ph.D. and Professor for Aerospace, has lived his live, as a scientist, working on new
perspectives, as a researcher, struggling with difficult aeromechanic questions, as a
scholar, overviewing the knowledge of the state of the art, as an engineer, contributing
to the development of new aircraft and as a teacher, guiding students into the
complexity of interdisciplinary challenges.
I met Harijono Djojodihardjo first time in 1980, when I was asked by the charismatic
Minister of Research and Technology Bachruddin Jussuf Habibie, later on the 3 rd
President of the Republic of Indonesia, to assist him in implementing aeronautical
science, technology and industry to his great nation. Harijono Djojodihardjo then was
one of the clever young intellectual men with excellent education from western
countries who belonged to the human resources to make the vision true. We
immediately caught sympathy to each other and started to co-operate for the great
Habibie enterprise to establish an Indonesian civil aircraft family based on own
resources. It was thought to be a strategic need for a country with more than 240 Million
people living widespread on three thousand inhabited islands. Consequently a
structures laboratory as well as a 3x4 m² low speed wind tunnel were built as test
facilities. The first envisaged project was the N250, a two-engine turboprop for 50 and
70 passengers, respectively. It was delightful to accompany Harijono Djojodihardjo
during the development phase in which he as one of the leading persons was involved,
to appreciate his profound knowledge as well as his kind nature as captain for his team.
Parallel to these involvements Harijono Djojodihardjo was essential by drawing attention
to what was going on in Indonesia by assisting the minister for R&T to perform ISASTI
1996, a world wide noticed symposium by the global aeronautical community.
Naturally, I also remember Harijono Djojodihardjos charming wife Bulan Trisna. She
came to Munich for getting her medical doctors degree, but during her spare time she
introduced us with her outstanding performances on Balinese dancing. Harijono
Djojodihardjo used this opportunity to join my institute at the Technical University of
Munich occasionally. It was my privilege that as an outcome some joint papers on
17
__________________________________________________________________________________________
aeroelasticity could be published and several Indonesian Dr.-Ing. students were

successfully guided to their academic degrees.
It was also a great pleasure for me to see Harijono Djojodihardjo as a colleague in top
scientific institutions. The “International Academy for Astronautics” as well as the
“International Council of the Aeronautical Sciences” have appointed him to its member
or asked him to collaborate in their most important committees. It was delightful to see
him there in an atmosphere of collegiality.
I consider it to be great luck in my life having had close relations to many of the leading
“personnages”1 who have contributed essentially to aerospace during the decades from
the second half of the last century till now-a-days. Harjono Dojodihardjo belongs to that
outstanding group of people. I wish him all the best to his 80 th anniversary. His present
book in which the experience of the whole life of a cosmopolitan is woven in will serve to
the welfare of his beloved country. I am sure he further will continue to contribute with
his profound knowledge to our sciences.
June 23, 2020

Boris Laschka, em. o. Professor Dr.-Ing.
Technical University of Munich
1 Notable figure, character
18
__________________________________________________________________________________________
FOREWORD
Prof.Emeritus Shinji Suzuki
University of Tokyo
Congratulations on the 80th birthday of Prof. Harijono
Djojodihardjo. Even in Japan, there are customs to celebrate
the longevity of 80 years old.
I met Prof. Harijono Djojodihardjo for the first time
around 2000 when he visited Professor Aihara of the University
of Tokyo. I was very impressed because I had read his
research papers. He received his Ph.D. in aerodynamics
research using the panel method at MIT. I also had a PhD from
the University of Tokyo for research on acoustic analysis using
the panel method, so I was familiar with his research.
Prof. Harijono Djojodihardjo became the Council member of ICAS (International
Council for Aeronautical Sciences) in 1990. I became the member of Program
Committee of ICAS from 2003, and I always stayed with Prof. Harijono Djojodihardjo at
ICAS meetings and Congresses. There was a lot of discussion in ICAS meetings. Since
Prof. Harijono Djojodihardjo always make suggestive and constructive statements, I
came to recognize him as the most trusted person in ICAS.
I also had exchanges with him outside of the activities in ICAS. When he came to
Japan as a visiting professor at Toyohashi University of Technology, he also visited our
University. On the contrary, when I visited Bandung Institute of Technology, Indonesia,
and University Putra Malaysia, he welcomed me warmly. It was a special experience to
ride on his car and enjoy dinner at an Indonesian restaurant, which was owned by his
son’s.
He has a surprisingly wide range of research, and has even published papers in
collaboration with me. It's great that these his activities are put together in a book. It is a
great honor to write a Foreword for this book. I would like to expect further success in
his future.
Tokyo, 4th June 2020
Shinji SUZUKI
President of ICAS
Emeritus Professor, the University of Tokyo
19
__________________________________________________________________________________________
20
__________________________________________________________________________________________
FOREWORD
Prof. Vladimir Zhuravlev

Moscow Aviation Institute (State Technical University)
I am pleased to write a few words about my friend and

colleague Professor Harijono Djojodihardjo on the occasion of
his 80th birthday!
In 2004 year I had got acquainted Professor Harijono
Djojodihardjo at Universiti Sains Malaysia, where I had begun
my teaching activity at School of Aerospace Engineering. We
worked together at Universiti Sains Malaysia till 2008 – time,
when he had begun his activity at Universiti Putra Malaysia.
Since the first our meeting, I had felt the deep sympathy
to Professor Harijono Djojodihardjo. His friendly and friendly
attitude towards colleagues and students attracted attention to
him. Professor Harijono Djojodihardjo shared his extensive knowledge and practical
experience with all colleagues and students. I was amazed at the breadth and depth of
the Professor Harijono Djojodihardjo’s knowledge in the field of aeronautical
engineering and astronautics. The many professional discussions that I had the honor
of having with the Professor Harijono Djojodihardjo were very interesting and useful.
Professor Harijono Djojodihardjo shared with me very important experience in the fields
of teaching and scientific.
I recall how the Professor Harijono Djojodihardjo’s wise advices helped to find
the best solutions during our School of Aerospace Engineering council meetings. This
was important during the period of intensive growth of the school, when the directions of
the development of the school and its role in the aerospace education system of
Malaysia were determined.
Also the friendly help and support of Professor Harijono Djojodihardjo were very
important for me, because I did not know very important nuances of Malaysian culture
and traditions. During our friendly journeys together, the Professor Harijono
Djojodihardjo showed me and my family the beautiful nature of Malaysia and introduced
us to the ancient history of Malaysia and Indonesia.
I also want to note the outstanding achievements of the Professor Harijono
Djojodihardjo in the field of the development of aerospace science and education.
21
__________________________________________________________________________________________
The field of scientific, engineering and teaching activities of Professor Harijono

Djojodihardjo is very wide. He achieved outstanding results in the fields of theoretical
and experimental aerodynamics, fluid mechanics, flight dynamics of aircraft, aircraft
design, thermodynamics, aeroelasticity, satellite design, development of wind and solar
energy system and many other fields.
Professor Harijono Djojodihardjo headed several leading research centers in
Indonesia. Also he took very intensive part in the work of international scientific
organizations and communities.
Professor Harijono Djojodihardjo was awarded high state awards and awards of
authoritative international communities.
With great pleasure, I have been remembering our meetings and travels in
Malaysia and Russia, where Professor Harijono Djojodihardjo had attended
international conferences. Every meeting that we had was very important and happy
event for me!
I learned from Professor Harijono Djojodihardjo many things that are very
important to me!
I thank fate for giving me a happy opportunity to meet and collaborate with
Professor Harijono Djojodihardjo!
29 of June 2020
Vladimir Zhuravlev
Professor of Institute of Aeronautical Engineering
Moscow Aviation Institute (State Technical University)
22
__________________________________________________________________________________________
FOREWORD
Professor Paolo Gasbarri
University of Rome La Sapienza
It is with great pleasure that I write this foreword not only

because Harijono Djojodihardjo has been a friend and a
colleague for many years but also because Harijono is a great
teacher and has been a mentor for hundreds of students and
colleagues during his long scientific career. I met Prof.
Djojodihardjo for the first time at the International
Astronautical Conference almost twenty years ago. At that
time, I was moving the first steps into the world of the
astronautics community since my background was, till that
moment, in the field of aeronautics, more specifically in
composite structures, dynamics and aeroelasticity. So, I was
happily surprised to discover that Harijono was not only one of the most important
experts in the field of aeroelasticity and structural dynamics, as I already knew, but also
that he was an influential member of the Materials and Structures Committee of the
International Astronautical Federation and of the International Academy of Astronautics.
Later on, when I was admitted into the M&S committee of the IAF Prof. Djojodihardjo
introduced me to the sensitive aspects related to the selection of the most relevant
papers submitted every year for the International Astronautical Conference and how to
manage them. I also learned a lot from him when we chaired one of the sessions of the
annual International Astronautical Conference. The ability to pay attention to
presentations, to put the young speakers at ease and to ask questions at the end of the
presentation in order to further promote their research and eventually to open a debate
with the audience is an uncommon prerogative to find. Prof. Djojodihardjo in this was
and still is a master to me. Prof. Djojodihardjo is also a great scientist; during the IAF
conference I always listen to him with admiration and interest as he describes and
presents his last researchers in the aero-space science. Indeed, they are not a mere
conference presentation but keynote lectures where every mathematical detail and
every result are clearly explained and discussed enthusiastically with the audience.
Prof. H. Djojodihardjo, friend and colleague, embodies the perfect image of the
university professor, free to study and deal with the different disciplines of the
aerospace engineering with extreme methodological rigor by combining his remarkable
analytical skills with those of numerical calculation. This aspect also represents the right
synthesis that every engineer should have in his professional life. His scientific
knowledge on Fluid Mechanics, Thermodynamics, Heat Transfer, Dynamics,
Aerodynamics, Flight Mechanics, Aero-Elasto-Mechanics, Engineering Mathematics,
Numerical Methods and Computational Aerodynamics make him a master of the aero-
23
__________________________________________________________________________________________
space sciences. In the latter part of his long career, Prof. Djojodihardjo, with his great
experience, has returned to teaching young generations of students the basics of
engineering, that is Calculus and Mathematics for Engineering together with the subject
of the Philosophy of Life. This book reflects the experiences of Prof. Harijono
Djojodihardjo during his long academic and scientific life. The development of his
maturity as a man of faith and scientist will be shared with the people who knew him
and with all interested readers. The book is not a biography but a story of a "dream" and
how this dream has been realized through what the Author dubbed “Being Together”.
Reading the Contribution to National Culture Through Ingenuity you will also discover
the contribution of Prof. Djojodihardjo to the Indonesian long run cultural development
and transformation in terms of Education, Science and Technology Development.
I hope that this book will become a primer for all individuals (scientist and not) that are
interested in learning about the push that Prof. Djojodihardjo gave to the knowledge of
the aeronautics and space sciences.
Paolo Gasbarri
Professor of Aerospace Structures
University of Rome La Sapienza
24
__________________________________________________________________________________________
FOREWORD
Dr.-Ing. Ilham Akbar Habibie, MBA
Actually, there are many similarities between an artist

and a scientist. For many, this will be surprising. It is true
that these two professions and their creations are frequently
not well understood by the society. In addition, these two
professions are seemingly understood that they may not be
reachable by people in general.
A scientist is frequently thought to live in his/her own
world which has little to do with the real world. Scientists are
also considered to be not interested in being involved in day-
to-day conversation since their comments and answers may
be dominated by scientific reasoning that may be felt to be
too far from the general public with their simple but too
generic arguments. The archetype of a true scientist is best exemplified by Albert
Einstein, whose appearance project an image of both a genius and at the same time an
eccentric.
What should be understood in this regard is that the general impression of an
artist by many people is not far from that of a scientist. Although science and art on the
surface seem to be diametrically opposed to one another, but if we go deeper,
according to me, there are many similarities. For instance, the manifestation of a true
artist to me is Salvador Dali. At first glance, aren’t both, Albert Einstein and Salvadore
Dali, look alikes if seen at a glance?
As another example, one of the key elements to achieve supremacy in these two
fields is creativity. Only by having high creativity an artist can realize his dreams that
exist in his/her mind and imagination. To have the capability to visualize and develop
one’s most advanced vision which far exceeds the conventional and already well-known
into reality, be it a work of art or a science, is very crucial. The courage and
inquisitiveness to move forward into the unknown, with the ambition to give meaningful
contribution to the world and humanity, is a dominant character that should reside in an
artist as well in a scientist or an individual. Many outstanding artists and scientist have
very strong characters, persistence and tenaciousness.
I know Prof. Harijono Djojodihardjo for more than 30 years. And for me, although
he is known more as a scientist (in a field that is similar to what I have pursued), in his
entire life he has always had love for and attention to art in many forms, which was not
confined to his ancestors’ culture that is Javanese. Although he is rooted within that
culture, but because of his international affiliations and his experience in living in
different countries, his ingenuity is far beyond those roots. He has been enriching his life
25
__________________________________________________________________________________________
with knowledge and experience gained in many years from devoting himself in the
academia, industry and government, that are related to his basic field (or love): science
and technology.
We were once sharing one office at the Institute for Fluid Mechanics at the Technische
Universität München, working in the same room. At that time, I was finishing my
Doctoral Thesis in the field of Unsteady Aerodynamics using numerical and
computational methods to solve the complex equations that cannot be solved
analytically.
Coincidentally, Mas Har (I address him in that Javanese way), in his early years, had
carried out his research and doctoral thesis in a similar field, utilizing different methods.
Hence, we had very fruitful discussions then and I learned a lot from him. In the office
we had lively discussions in the scientific fields, and rarely discussed other subjects,
including the arts. However, when I had the opportunity to get together with his family,
the pattern changed and became different. At that time, his wife, was working on her
doctoral thesis at the Ludwigs-Maximillian University, which is also in Munich. I then
realized that their family life was also filled with activities from the world of arts. His wife
happened to be a well-known Balinese dance performer and choreographer. At various
occasions she performed in Munich to exhibit Indonesian culture.
The title of his book, in which “ingenuity” (in Indonesian, “akal-budi”) has been
chosen to be the basis to be applied to develop and advance national culture, should be
interpreted in the context elaborated above. Our ingenuity and intelligence have been
enhanced by whatever we do, as long as there are inspiration and innovation, then
create individual added value, including for our community. If our profession is in the
scientific field, then the added value will be different than if our profession is in the field
of arts. The similarity lies in the creation of added value which enhances our own
ingenuity, both as a scientist as well as an artist, however in difrerent ways This very
ingenuity can be devoted for developing anything, in any field, to find something new
which will assist us in seeking and advancing solutions for problems and challenges
facing us, or to meet our needs that are still to be fulfilled.
Our nation, our country, is well endowed with various cultures that has enriched
our lifes which traditionally is filled with arts and culture to make our life very beautiful.
That is why, according to me, we Indonesians are used to using the word “seni-budaya”,
which stands for the arts culture.
On the other hand, if we compare the status of science and technology in our
country with others, we quickly realize that we are left behind. To give further
explanations related, the term “sains-budaya” (science culture) or even “tekno-budaya”
(techno culture) does not exist in the traditional Indonesian vocabulary. In this regard,
there are many Indonesian scientists with well recognized scientific and technological
achievements. Their ingenuity should be taken advantage for developing national
culture accumulatively and collectively.
Therefore, my hope is that in the future, we will not feel anymore that science
and technology are remote from our national culture. My hope is that science and
technology will be much more integrated, and enthusiastically propel us forward,
26
__________________________________________________________________________________________
producing a positively synergized dialogue between the world of arts and the world of
science and technology. Based on that, our country and our people will produce more
individuals who are capable to bring our nation to a higher level, with a better quality of
life for all of us.
God willing. Amen.

Jakarta, 12 Juli 2020
Dr.-Ing. Ilham Akbar Habibie, MBA

President Commissioner, PT Ilthabie
President Commissioner. PT RAI
27
__________________________________________________________________________________________
28
__________________________________________________________________________________________
PREFACE
The present book has evolved from the intention of the

author to have an introspection and retrospection of what the
author has experienced during his life, that is when his 80th
birthday forthcoming. It is also intended to be an expression to
God Almighty that has endowed upon him a life that the
author has been extremely gratified. Then, what should be
written should be something that the author has learned and
like to share with his children, grandchildren, relatives,
students and former students alike, and more importantly to
the interested readers and mankind. It is by no means an
autobiography or memoir, but something like a part of a “flashback”, that may represent
my “accountability” in life. Having spent a large part of my life in academia, as a civil
servant in government institutions dealing with science and technology, and partly in
industry, but realizing that no extraordinary achievement have been delivered to the
public, it seems appropriate that I would start from how and why what I have been doing
began. It appears to me that all of these started from “my dream”, and from what I have
been thankful, my capability to use my “reasoning capability”. This is something that
need more thoughtful elaboration, and this is all about the book. My dream and why I
have dreamed. I just want to share this dream and how I have been attempting to
realize this dream through a life paradigm that I dubbed “Being Together” reflecting the
high-values of mankind reflected by many, if not all religions, that is Love, Care, Share,
Give and Serve. In my mother’s tongue Javanese, this is expressed as “Guyub: Tresno,
Gumati, Asih-Asih-Asuh, Caos, Laden”. I cannot claim I have delivered many down-
stream products to mankind and universe, but I have a dream and started to interact
with mankind and nature from upstream and from within my deep-self, by using the
most sacred gift from God-All-Mighty, my “reasoning capability”, with the objective to
contribute to the development of the culture of the society that should be so based,
though my expertise. The latter goes on the scientific attitude and scientific culture, to
expansion and sharing with associates the dream to generate the following dreams. As
cases in point, writings and presentations, are ways of expressing your dream to certain
extent, disseminating ideas and interact with co-workers, mostly young and inspiring
young colleagues. These I found gratifying.
29
__________________________________________________________________________________________
With such background, the book is intended by the author to contribute in the
long run to the cultural development and transformation of the nation, along the line of
the historical progress of mankind, for the development of the nation to acquire smart
and competitive culture. And that dictates the title of the book INGENUITY FOR
NATIONAL CULTURE. Starting from basic philosophical point of views, motivation and
ideas are elaborated. The product of the dream and reasoning capabilities that have
been enjoyed by the author are exemplified in other dreams: presentations and
scientific work in partnership with co-workers that represent development efforts, which
could still comprise further scientifically elaborated dreams. For the author, the choice of
the title of the book is natural and intuitional.
To complement the ideas elaborated in the chapters, the author provides a
detailed biography. Having completed his engineering education at the Institute of
Technology of Bandung (ITB), University of Kentucky and Massachusetts Institute of
Technology (MIT) , he has served as academic faculty member at ITB and other
universities, at the Government Science and Technology Offices such as The
Indonesian Space Agency (LAPAN), the Agency for the Assessment and Application of
Technology (BPPT), The Indonesia Aircraft Industry (PT IPTN, now PT DI) and the
Office of the President, among others. These experiences have strengthened his
motivation and dedication to contribute pro-actively for the cultural development of his
Nation, at his capacity as a member of the silent moral force.
At the beginning of the writing, the book contains chapters in Indonesia and
English, following the relevant event presented. Constructive suggestions by reviewers
lead to the split up of the book into two versions. One, a shorter version in Indonesian,
and another one, a most complete delivery of the ideas in English. The present one is
the latter. In elaborating the ideas following the dream and motivation, the chapters are
divided into two groups, Macro-Aspects and Micro-Aspects.
The biography of the author is elaborated in some detail en-lieu of elaborating it
in the main text to provide further background for the essays contained in the main body
of the book.
As a closing remark, the author would like to thank many individuals that have
given constructive suggestions to the preliminary edition of the book. Likewise, the
author would welcome further suggestions and criticism from the readers for mutual
interest.
29 April 2020
30
__________________________________________________________________________________________
PROLOGUE234
INGENUITY FOR NATIONAL CULTURE5
SCIENCE AND TECHNOLOGY FOR NATIONAL CULTURAL DEVELOPMENT
RATIONALE
Although the present writing is based on personal experience and paradigm, it will not
be constructive and meet the highly regarded objectives unless it is meant to be shared.
Experience have taught the author that the paradigm that meets the noble values of
mankind, as reflected by all religions, is togetherness, and sharing is a part of that
paradigm6. Therefore, the ideas reflected here is aimed to contribute ideas towards the
development and transformation of the National Culture7 , in conformity with historical
development of mankind, it transforms into a viable, competitive and intelligent one. And
that dictates the title of this book: Contribution to National Culture through Creativity.
The choice of the word and idea “culture” seems to be very natural for the author, since
from childhood the author has already acquired philosophical attitude, and love for art,
culture, music and literature, particularly Indonesian and Old Javanese (Kawi) ones, as
told by his grandfather and grandmother. With that background, the author has also
been aware of and compared his behaviour with that of the society around him. That
was part of cultural education that moulded his personality. Cross cultural conflict during
his graduate education has triggered his dedication and motivation to proactively
participate in the cultural transformation of his nation, starting from himself.
During his term of professional service at ITB, LAPAN, IPTN, BPPT and the Office of
the President (Bina Graha), and with the strong emphasis that Prof. Dr.-Ing. Habibie has
2
Wikipedia-Etymology: Ingenuity (Ingenium) is the root Latin word for engineering.[2] For example, the
process of figuring out how to cross a mountain stream using a fallen log, building an airplane model from
a sheet of paper, or starting a new company in a foreign culture all involve the exercising of ingenuity.
Human ingenuity has led to various technological developments through applied science, and can also be
seen in the development of new social organizations, institutions, and relationships. Ingenuity involves the
most complex human thought processes, bringing together our thinking and acting both individually and
collectively to take advantage of opportunities and/ or overcome problems
3
Wikipedia: logic is of essential importance to rationality. Arguments may be logical if they are "conducted
or assessed according to strict principles of validity",[1] while they are rational according to the broader
requirement that they are based on reason and knowledge.
4
BH Dowden, Logical-Reasoning: High-quality reasoning is called logical reasoning or critical thinking.
Logical reasoning skills can be learned and improved. Everyone is capable of reasoning well, and
everyone is capable of improvement.
5
CREATIVE AND LOGICAL INGENUITY
6
A paradigm is a standard, perspective, or set of ideas. A paradigm is a way of looking at something..
7
Following Edward Burnett Tylor (Tylor, Edward Burnett. Primitive Culture (1871)
and Anthropology (1881)), the founder of Cultural Anthropology, culture is a complex entity which
contains science, religion, art, moral, legal aspects, customs and other capabilities that are gained by any
individual as a member of a society.
31
__________________________________________________________________________________________
given during that term in the natural cultural transformation efforts through Science and
Technology Development Programs and the development of Science and Technology
mentality8, he has a strong awareness about the state of national culture and conviction
to be proactive in the cultural development effort of the nation through his creative
ingenuity in his professional fields, these are education, science and technology. In
addition, his love for all forms of art (music, dance, visual and performing arts) has
strengthen his conviction and personality of a man of art and culture.
It is through such argument that the present book has adopted a sub-title:
SCIENCE AND TECHNOLOGY FOR NATIONAL CULTURAL DEVELOPMENT
On the book-cover, the author has adopted a picture taken by NASA Apollo 8 during the
Apollo Mission to land on the Moon, exhibiting “Earth Rise”, along with Socrates well
known philosophical quote:
"Man must rise above the Earth -- to the top of the atmosphere and beyond
-- for only thus will he fully understand the world in which he lives."9
This quote can be regarded as a paradigm and holistic vision towards the future.
Figure 1 A Picture of the Earth taken by NASA Apollo 8 during the Apollo Mission on
24 December 1968, exhibiting “Earth Rise”, along with Socrates well known quote
8 Science and technology are key drivers to development,

because technological and scientific revolutions underpin economic advances, improvements in health
systems, education and infrastructure
9 Wikiquote: This quote appears in the Plato's Dialogue, Phaedo, around 109e. The Greek text is: “τὸ δὲ
εἶναι ταὐτόν, ὑπ᾽ ἀσθενείας καὶ βραδυτῆτος οὐχ οἵους τε εἶναι ἡμᾶς διεξελθεῖν ἐπ᾽ ἔσχατον τὸν ἀέρα: ἐπεί,
εἴ τις αὐτοῦ ἐπ᾽ ἄκρα ἔλθοι ἢ πτηνὸς γενόμενος ἀνάπτοιτο, κατιδεῖν ἂν ἀνακύψαντα, ὥσπερ ἐνθάδε οἱ ἐκ
τῆς θαλάττης ἰχθύες ἀνακύπτοντες ὁρῶσι τὰ ἐνθάδε, οὕτως ἄν τινα καὶ τὰ ἐκεῖ κατιδεῖν, καὶ εἰ ἡ φύσις
ἱκανὴ εἴη ἀνασχέσθαι θεωροῦσα, γνῶναι ἂν ὅτι ἐκεῖνός ἐστιν ὁ ἀληθῶς οὐρανὸς καὶ τὸ ἀληθινὸν φῶς”. A
translation can be found by referencing the Perseus project
32
__________________________________________________________________________________________
That is, to understand, appreciate, conserve and develop our unique Earth and
its environment that has given home and sanctuary to mankind throughout their
evolution until achieving intelligent human status of today, we have to be able to
observe the Earth from “above” physically and intelligently.
Physically means that mankind has to be able to fly and rise “upward” to the
sky and beyond, through space. Intelligently, mankind has to be able to travel high
above their imagination and intelligence. Both in order for mankind to observe and
appreciate the Earth and the surrounding Universal Environment as a Home and
Vehicle, where mankind can transcend to super-intelligence and devote positively and
synergistically with their habitation and environment.
In this book, the author utilizes the word “holistic” in many parts of his writing. 10
This term has been used throughout the text to emphasize a more comprehensive
approach. These are elaborated with some deliberations or examples, although at times
it may cover only some examples of the whole, due to prevailing or practical
circumstances, or limitations.
The manuscript is not intentionally meant to describe the track record of the
author, but rather “to convey his dream” that has motivated what he has been
delivering. The dream is expected to be capable of being shared by others and can
trigger others to face the challenge of the future and contribute to the development and
progress of one’s personality, one’s culture, and progressively societal and national
culture.
Associate with this, the author recalls and observes, that many of his friends,
colleagues and students have achieved remarkable and admirable carriers and
achievements, that can inspire us all and can serve as models for development tracks
and paradigms, both for those that are starting their carrier as well as for those that may
already arrived at the end of his life journey . Therefore, the word “dream” and “from
oneself” is another paradigm that is narrated here, as distinct and different to those
mentioned above, in terms of timeline in life. A “dream,” is the beginning of ones
“cognitive”11 ideas, which can direct one to a track towards progressive implementation
of the idea, in part or as a whole. We may have heard the following proverb:
“The dream of yesterday is the reality of to-day, and the dream of to-day
Or, for many Indonesians, what the first Indonesian President promoted and
encouraged to spark the spirit of the nation
“….hang your dreams up high in the sky….”12
10
Holistic means encompassing the whole of a thing, and not just the part. Holistic is characterized by
comprehension of the parts of something as intimately interconnected and explicable only by reference to
the whole.
11
Refer to Yuval Noah Harari, Sapiens; 2017
12
In Indonesian: “…gantungkanlah cita-citamu setinggi langit…………”
33
__________________________________________________________________________________________
The word “from oneself” is associated with the understanding “ begin with one-
self” and “from within”. This is the basis of the narration elaborated in this book., without
any pretext to teach others.
In addition, in some of the authors presentation, the author refers to relevant
phrases in the “surah Al ‘Alaq” in the Qur’an , which conveys God's command. That is
“IQRA”, meaning “READ”. For the author, this command implies a holistic nature which
should be used as a major paradigm. This command can be interpreted by us that it is
imperative13 for us to be able to “read” mankind and nature around us, our environment
alike, physically as well as in abstraction, through the use of our intelligence, creativity
and physical reasoning14 endowed upon us by God Almighty. This capability has been
endowed to mankind related to our physical senses, brain power as well as our heart
feelings and conscience, as the most precious asset in our live and provide us with a
tool to behave and move forward in life. These fundamental human assets (or
properties) have developed positively throughout the history of mankind civilization and
human intelligence.
WRITING ORGANIZATION
Inspired by the elaboration of “Cognitive Revolution” of Yuval Noah Harari in his
book Sapiens15, the author started to think about writing some of his experience and
thought that can be shared by his children, grandchildren, students as well as interested
readers. These would be beneficial if such experience and thought can be presented
through critical analysis to spark explorative initiative for all.
In this conjunction, the book is also meant for
• Conveying some sort of accountability to the society at large and the environment on
what has he done thus far in his life to follow a philosophical track and paradigm
based on creative ingenuity through the use of “reasoning capability” related to our
physical senses, brain power as well as our heart feelings and conscience,
• Introspection and retrospection in order to understand what has been carried out and
delivered to the society
• Organizing a collection of ideas and thoughts to be shared to offspring and young

generations.
Not all that have been experienced, carried out or thought can be elaborated and written
up, since some of these may be incomplete of have drawbacks, ideas and work will
progress, mature and advance with time. Therefore only some selected work, writing or
thought are incorporated in this book based on some criteria that are based on
13
of vital importance; crucial, giving an authoritative command; peremptory.
14
In Indonesia, the author refers to this as “akal-budi”, which comprise our “thinking capability”,
“conviction” and good “intuition”, which reflects one’s personality.
15
Yuval Noah Harari, Sapiens; Riwayat Singkat Umat Manusia, (Pustaka Alvabet, 2017) , Penerbit
Kepustakaan Populer Gramedia, tahun 2017)
34
__________________________________________________________________________________________
relevance In addition, the writings are not “exhaustive”, and have been selected from a
host of scientific presentations and articles delivered by the author or the author and co-
workers in many domestically and internationally scientific events.
The articles in this book are the organized into two groups:
Part A: Presentation and articles covering Macro Aspects, i.e. Contributions to
Education, Science and Technology Development, and Reviews and Vision on
Particular Scientific Venture or Technology Applications. These are incorporated as
examples of the translation of “dream” into visionary ideas for further implementation,
and may cover the state of the art of the relevant engineering system or scientific
ventures. It may also cover social, economic and cultural aspects.
Part B: Scientific articles covering Macro Aspects, which are technical in nature and
constitute the implementation of more” scientific dream” into some detail that contain
publishable materials, authored by the author or co-authored with co-workers. These
could be used as the basis for further engineering innovation and product development.
Some may contain “scientific review” or “state-of-the-art” studies in the professional and
academic field of the author.
MOTIVATION AND OBJECTIVES-TOWARDS HUMAN AND NATIONAL DIGNITY

The writings presented in this book are also triggered and guided by the following
considerations:
• Answering the basic premise that mankind are created on Earth to achieve
noble objectives to achieve natural equilibrium (phyisiacal), noble value-system and
behaviour (intuitive, spiritual) and prosperity and justice (holistically humane in an
integrated and comprehensive manner)
• Contributing to a philosophical thinking to motivate people and the next generation
to be proactive and strive for high-quality traits in their work and lifestyle in order to-
gether, they participate actively in moulding the bnation to achieve noble cultural
values and transform into an intelligent, cultured and competitive civilization.
FOCUS ON EDUCATION, SCIENCE AND TECHNOLOGY

The ideas and deliberation elaborated in this book are focused on the utilization of
creative ingenuity through the use of “reasoning capability” related to our physical
senses, brain power as well as our heart feelings and conscience in searching for
knowledge, science and technology. In a nutshell, such efforts can be summaruzed as a
paradigm to seek the ” only truth, and nothing but the truth”, which is the paradigm
that has been abided by Science, Law, Religion and Love.
This approach or guideline is based on the following observation and considerations”
35
__________________________________________________________________________________________
• Based on historical record, be it positive or negative, many communities are

experiencing dilemma in adapting their traditional values, the influx of globally
dominant ideology, and the challenge for progress aand prosperity. To that end, the
community is in urgent need for friendly transition of cultural values to be dignified
and achieve progress and prosperity
• Prosperity is a goal, which is multi-dimensional, incorporating economic, social,
cultural and political aspects, physical universal equilibrium, and spiritual aspects:
happiness.
• Science and knowledge, in addition to standing side-by-side with moral values, is
a latent capirtal that can be developed and nurtured, and can be utiliaed as a tool and
vehicle forvthe transformation of the universe with their richly endowed resources, to
achive mankind goal, as well as understanding and foirmulating the goal itself.
APPROACH
The efforts in writing this book are based on the following guidelines:
❖ Philosophycal, starting and ending with the nature of mankind and their
objectives
❖ Hystorical, by collecting complete and relevant information, and learning from
them, based on spatial and temporal observation.
❖ Learning attitude from all nations as appropriate and relevant
❖ Learning from peers.
❖ Analytical Reasoning and vberification of observation
❖ Recollectionmof quantitative and statistical information as conveyed to and
acquired by the author, which should be based on reliable sources
❖ Analytical approach by modeling conveniences, qualitative as well as
quantitative, as they may apply or be available.
❖ Impression on successfull vision and achievement to understand the philosophy,
paradigm and development.
❖ Focused and judged qualitative analysis.
❖ Objective and ”unbiased” Analysis.
❖ Searching for ”out of the box” ideas and approaches.
The title: INGENUITY FOR NATIONAL CULTURE is a goal that is believed to

constitute a union between progressive and sustainable goal of mankind as individual,
group, and nation, starting from Creative ingenuity through the use of “reasoning
capability” as an intrinsic and latent capital possessed by each and every individual.
Nevertheless, the implementation to achieve the goal following the paradigm
elaborated here, that is through scientific contribution, can be further developed to form
individual or collective cultural product that eventually contributes to one or more
aspects of the multi-faceted National Culture.
36
__________________________________________________________________________________________
This book is a part of an introspection and retrospection of the author in

assessing the author’s journey of life, motivated by the desire to contribute to the
national effort for social, economic and cultural development, with the ultimate goal to
be a dignified, intelligent, nobly cultured and competitive nation. His background and
journey in life which is deeply rooted in Education, Science and Technology directs him
to strive to contribute along that line. This is his” passion” that motivated his paradigm
and every small step in his life.
This paradigm that has matured in his life can be formulated as “Togetherness”,
which can be delineated into five behaviours: Love, Care, Share, Give and Serve, that
has reflected his service as a “Civil Servant” (“Abdi Negara”) in Government Technology
Institutions, and as an educator and learner in the university and research institutions.
CLOSURE:
As a concluding remark, the author would like to apologize to friends and readers
alike, should there be any errors or misunderstanding, in the structure, methodology
amd materials presented in the book. Certainly the author welcome anybcriticism and
suggestion fornthe benefits of the readersand authors alike.
37
__________________________________________________________________________________________
38
__________________________________________________________________________________________
PART A - MACRO-ASPECTS
The implementation of dreams into intellectual thinking for problems

associated with general social, economic and engineering concern
into comprehensive concepts.
39
__________________________________________________________________________________________
40
__________________________________________________________________________________________
II
INSTITUTING TRUST-BASED CHANGES IN INDONESIA

BASED ON VISION AND COMMITMENTS FOR HUMAN
DEVELOPMENT FOCUSING ON EDUCATION, SCIENCE AND
TECHNOLOGY16
HARIJONO DJOJODIHARDJO
Professor, Aeroelastomechanics, Institute of Technology Bandung
1. Introduction
Promise and challenge. Indonesia is still experiencing a situation of rediscovery,

experimentation and reformation that reflects both hopes and concern, in the wake of
drastic socio-economic and political changes in 1998. People are confronted with
unprecedented influx of globalization pressure and profound cultural bewilderment,
leading to re-examination, redefinition and restructuring of not only socio-political order,
but also values and norms. All these internal changes, the societal demand and the
globalization impact have produced somewhat complex but fascinating situation,
reflecting the chaotic and turbulent process of cultural transformation. The foundation of
social and political stability that have been established in a gradual manner since our
independence has been uprooted, and we may have to rebuild from some vague
intermediate stages. However, these shake-ups may serve as excellent habituation and
calisthenics that could produce resilient society, optimum and modern civil society
setting and paradigms, and well entrenched foundation. Further, one may also construe,
that such situation may constitute a fertile ground for instigating a long-term strategic
trust-based ventures and investments that may have gratifying socio-economic effects
and returns. We are observing some augmentation of foreign travel and business
venture, as indicated for example by FDI Confidence Index among global investors
which has risen sharply from 2002 (highly negative) to 2003 (positive), and the relatively
constant and positive FDI Confidence Index among Asian investors (Thurow, 2003).
16
Diterbitkan dengan judul “Trust Based Changes in Indonesia, Focussing on Education, Science and
Technology”, yang dihimpun dalam buku “The Indonesian Dream: Unity In Diversity In Transitional Times”,
2003, dengan editor Thang D.Nguyen.
41
__________________________________________________________________________________________
This could reflect that appeal for appropriate trust-based interactions are taking place in
Indonesia. Certainly, such situation can only occur due to a combination of government
efforts, outside party’s keen interest and ingenious assessment, as well as public
attitudes and openness in general. People have placed their hopes and trusts in that the
process of democracy are maturing, and their criticality to what is presently going on will
lead to constructive initiatives.
Changes in the society seems to be a fertile ground for establishing partnerships,
leaderships, development strategies and organizational structures that are based on
mutual trust, good communications and constructive collaboration supported by
progress in technological infrastructure among the strategic business, civil society and
public sector (tri-sector).
Trust-based strategies and structures in the organizational context are based on
positive attitude towards developing competence, wide delegation of responsibility,
system of compensation based on function, competence, flexibility and the ability and
social ability of each individual as well as business to solve problems. The culture of the
civil society and businesses in value-based and flexible organizations should be obvious
or evolving because of the mutually common criteria as regards to values, norms, basic
of ideas and collectivistic behaviour to the activities.
Education, Science and Technology. Human Resources are critical and determining
assets, and they have to be given development priority in order that they can assist the
solution of strategic economic problems. Natural resources, particularly non-renewable
ones, are transitory assets and will have values only through the intervention of human
resources, technology as well as structured and programmed approach. Capacity
building is intimately and intricately associated with human development, mastery and
development of science and technology, as well as establishment and development of
relevant infrastructure.
Human Development Index published by UNDP indicates that Human Development in
Indonesia, which ranks as number 102 (compared to Malaysia 56, the Philippines 70
and Korea 27), should be boosted by giving high priority by the government as well as
through trust-based business, civil society and public sector (tri-sector) collaboration
(UNDP, 2001). The call for government vision and commitments to human
development, among others education, can be illustrated by the following example.
With the pressing budgetary problem facing the government, recently a new approach
to government effort in addressing higher education has been pursued. Four of the
highly performing state universities have been transformed into autonomous university
systems that eventually will off-load the burden the government financial
responsibilities. Confronted with this issue, there are views that the government should
be more resourceful in implementing the responsibility for human development, since
education, science and technology are the basic and essential characteristic of mankind
42
__________________________________________________________________________________________
to serve and perform well in the society, and hence strategically contributing to the
prosperity of the society, and as the manifestation of the trust and wishes of the people,
the government should take the lead in addressing them.
Nevertheless, in the situation reflected by this example, there seems to open-up
opportunities for trust-based business, civil society and public sector (tri-sector)
collaboration to participate in the transformation of universities into sustainable,
innovative and responsive university systems including the university itself, technology
park and a pool of enterprises in a mutually beneficial and productive interaction, and
addressing the significant product and technology market demand, as will be elaborated
further.
It is with such motivations that we look at trust-based changes that could be accelerated
with the objectives of contributing to the endeavour to accomplish the national
objectives of economic progress and growth, civil society creativity, resilience and
leadership, human empowerment and enhancement of national quality of life (among
others prosperity, education, health), and to offer suggestions on how tri-sector
collaboration can contribute to that end. However, this article by no means is sufficiently
exhaustive in analysing as well as finding solutions to the multifaceted problem of
national development and economic rebound, and focus only on issues dealing with
human development as well as aspects related to science, technology and industry.
2. Industry, Technology and the Global Marketplace
Science and Engineering Indicators (US Science and Engineering Indicator, 2002)
showed that advances in information technology (IT) drove an increase in technology
development and allowed the increase of technical exchanges between trading
partners. Most countries acknowledge a symbiotic relationship between investment in
Science and Technology (S&T) and success in the marketplace. Science and
Technology support competitiveness in international trade, and commercial success in
the global marketplace provides the resources needed to support new Science and
Technology development. Consequently, the nation's economic health is a performance
measure for the national investment in Research and Development as well as in
science and engineering (S&E). The number of people holding doctoral degrees in
Science and Engineering, as well as the rate of their production, could also serve as
Technology Competitiveness Indicator. The following are some of the relevant facts
presented in the report.
Higher Education in Science and Engineering. The capacity building in doctoral

science and engineering education, which has increased particularly Europe, Asia, and
43
__________________________________________________________________________________________
the Americas, is linked to national policies to develop a science and engineering

infrastructure that links universities to innovation and economic development.
Higher participation rates in Science and Engineering degrees and a greater focus on
Science and Engineering fields in higher education in other countries contribute to their
potential pool of scientists and engineers, which is important for addressing complex
societal needs and for technological innovations.
These world regions are attempting to create important additional factors for innovation
besides Science and Engineering degrees and recognize a lag time between Science
and Engineering degree production and other needed Science and Engineering
infrastructure that would contribute to their economic competitiveness. The global
expansion of Science and Engineering knowledge also has the potential benefits of
quickening the pace of development in other world regions.
With the globalization imperatives for "knowledge-based" economies, the world’s
countries are recasting themselves as "knowledge-based" economies and attempting to
build up national innovation systems; thus interest in doctoral education, particularly in
science and engineering, is increasing, occasioning a re-examination of its aims and
structure. There are initial indicators of Science and Engineering capacity building to
strengthen and expand doctoral education and to develop the capacity for high quality
or "breakthrough" research that would lead to technological innovation; contributions to
the world’s scientific literature and patents and high-technology trade are growing.
3. Need and opportunities for introducing changes
Need for prosperity, security, integrity. Key to the civil society needs is guaranteed
income and purchasing power for basic requirements such as food, clothing, dwelling,
health, mobility, and education. Such key-requirements also imply social-security
system, just and democratic government (working for the people), and knowledge and
knowledge based individual property. These could be guaranteed in the country through
the creation of conducive atmosphere and infrastructure addressing public interest,
which can further be facilitated by the government through the provision of economic
and legal infrastructure, and conducive regulation and deregulation, wherever
appropriate, which should then lead to enhanced economic activities, and most
importantly, the creation of employments. This in turn could stimulate societal efforts for
economic progress. Societal efforts will be generated and enhanced through
government efforts in education, science, technology and industry.
Employment needs. It is estimated that there are some 145 work-force out of some
220 million population of Indonesia. Employment opportunities for these work-forces
cannot be provided merely by relying on the market for workforce in the area of mining
44
__________________________________________________________________________________________
and agro-industries (Habibie, 2004). These are due to a multitude of reasons: agro-
industrial products are certainly required to meet the domestic demand for food, clothing
and dwellings, as well as other downstream industries. However, exports of agricultural
products are limited by domestic regulations and market setting in export destination
countries. For example, rice export to Japan is not possible although the price of rice in
Japan is order of magnitude higher than that in Indonesia.
Figure 1. (a) Mankind Vision triggered by “Socrates Challenge”; (b) Mankind and
Universe – “Sustainability”. Translation of the Paradigm on 1 (a) into Natural Resources
Paradigm.
As a matter of fact, export of agricultural products is highly “regulated” and constrained

by social-economic setting of export destination countries, in spite of WTO regulations.
Therefore, employment opportunities should be provided in the area of manufacturing
and services industries, with products meeting the domestic (e.g. import substitution) as
well as global demand. In addition, employment in these areas will further introduce
significant added value, which in turn will lead to social prosperity and human quality
enhancement. These added values process themselves are continuous, complex
processes and are successful if the use of machinery, the skill of people, and the
material can be fully integrated by technology to produce goods and services with
higher values than the raw material and other inputs (Djojodihardjo, 1999). Thus,
economic development and progress should not only rely on natural resources, but
more significantly, on the human resources. Human resources serve as two significant
elements in the social-economic development of a country: they are the players, who
will contribute significantly to the country’s economy, and they are the benefactors of the
economic development, and to some extent can be illustrated following global challenge
as illustrated in Figure 1. Hence focus on human development can only be most
appropriate. In addition, human resources prosperity will lead to socio-political stability,
a condition which is mandatory for stable and sustainable economic development.
45
__________________________________________________________________________________________
Industry, science and technology. For manufacturing and services industries to

develop and serve the socio-economic demands of the people, particularly in the era of
globalization with borderless economies, the people of Indonesia should be
empowered. Such empowerment can be achieved through education, health services
and in-country science and technological capabilities. High quality and competitive
Indonesian civil society can only be obtained through the mastery of science and
technology, otherwise employment opportunities available will be absorbed by the influx
of globally competitive immigrant job-seekers. By the same token, the mastery of
science and technology will make Indonesians competitive to enter the global market
anywhere, and thus indirectly contributing to the national economic progress.
Center of Excellence in Science and Technology. There is a need that the

government has the vision, commitments and initiatives to provide funding to establish
and strengthen Centers of Excellence in Science and Technology, and Higher
Education, dealing with a strategic range of technologies and industries, such as
agricultural and natural resources based industries, manufacturing and services
industries, which already has promising domestic market.
The government should also make every effort to provide education and employment
creation associated with emerging or developing industries. Policies, regulations and tax
system should be established and adapted for such vision and commitments, in order to
nurture such industries, which will eventually grow into competitive one in the domestic,
regional and global markets. As a clear example, tax holidays should be devised, and
the government should defer gaining revenues at the early stages of these industries
development until a period, where the system has been well established and the
government can reap much larger tax revenues.
Our present situation is far from that of industrialized countries, where the development
of new industrial ventures can rely on the existing market of labor force with a large
spectrum of specialization and expertise. In Indonesia, the labor force is still very limited
in quantities, qualities, reliability and spectrum of expertise. Therefore, again, there is a
need that the government should have the initiatives and consequently also strive to
provide education and training, with various levels of expertise, to provide the required
workforce and enhance the human resources capabilities. These educational
institutions, including high quality university systems, should be funded by the
government, and if such institutions can also be established through trust-based tri-
sector collaboration, should be nurtured through favorable tax system.
Since it is mandatory that the government, through its appropriate offices, should be
responsible for the education for the public, up to the highest level, the government
46
__________________________________________________________________________________________
should be very creative and resourceful, in devising revenue system. It is a very bitter
fact, that we are still in the developing and building stage, and as such the government
is still responsible for the creation of new human development related institutions and
infrastructure, which will create negative cash flow. It is true, that such venture has to be
financed through revenue gained from the exploitation of our natural resources, which
we are still fortunate to enjoy at present, and through Foreign Direct Investments (FDIs);
these should be managed efficiently in order to establish system that will not only be
sustainable, but gratifying in providing much more significant revenues in the future.
These new institutions and infrastructure should be based on high quality human
resources, incorporating strategic technologies, as one may observe and learn from the
experience of industrialized countries.
The government should give high priorities in enhancing the quality of human resources
and thus empowering them for better contribution to national economic development as
well as global competitiveness through education and capacity building efforts. The
latter implies the installation of technological and industrial capabilities, and the creation
of a chain of employment opportunities, starting from integration technology-based
industries to small and medium technology providers, components manufacturing, and
vendor and services industries. Governmental policies, legislations, tax system and
infrastructure conducive to such processes should be established.
Foreign Direct Investments (FDI’s). It is then obvious, that a meaningful effort that will
introduce capital and technology, and could lead to in-country technological
development, as well as establishing economic trade and network, is Foreign Direct
Investments. To cite an example, Singapore, which is a city-state with a population of
3.5 million and sits astride one of the busiest shipping lanes in the world, faced daunting
economic challenges when it gained independence in 1965, but the Government boldly
adopted economic policies to encourage open trade and investment. These policies
have allowed this small country to attract huge inflows of Foreign Direct Investment
(FDI) which in turn have fueled economic growth, prosperity and stability. Singapore's
annual trade is about three times the size of its GDP, and trans-shipments make up 40
percent of its merchandise exports. Foreign funds comprised 70 percent of its total
investment in manufacturing in 1996 (Singapore: Birth of the Asian Tiger, 2002). FDI
has had a strong impact on the economy of Singapore since foreign firms have invested
heavily in petroleum, chemicals, electric and electronic equipment, transportation
equipment and other manufacturing areas. The foreign share of manufacturing has
steadily risen, and grew from 43% in 1965 to 75% in 1994. The foreign share of GDP
rose from 18% in 1970 to 36% in 1990. Foreign companies account for around 74% of
output in manufacturing, and account for 85% of all manufactured exports.
One should note that FDIs also require the availability of science and technology
infrastructure as well as science and technologically capable human resources. The
establishment of a new city and industrial complex with information highway and high-
47
__________________________________________________________________________________________
quality university system in Malaysia is another example. In Indonesia, the

establishment of BATAM Authority illustrated such efforts. Good availability of scientists
and engineers is necessary for taking best advantage of technical expertise of foreign
investors. Indonesia’s performance in this regard is still very low, with an index around
60% of the international average (Thurow, 2003).
Technology associated with FDI has two facets: requirements as well as influx.
Requirements mean that FDI may require the existence of certain technological base,
along with appealing infra-structure and legal aspects. The influx of technology should
not be considered as the simple-minded technology transfer, but should be regarded as
one of the intricate inter-relationship and mutual interaction for mutually beneficial
technology development and economic progress.
With the right comprehensive incentives, FDIs can be required to introduce
technological capability and contribute to the mutual cost for establishing such human
resources capability development, which in turn will progressively benefit the associated
ventures also. Certainly, a careful deliberation of such regulation and incentives should
be formulated, developed and established through involvement of all parties concerned.
Opportunities and favorable conditions - Indonesia in the global setting. Looking

into the statistics from 1996 to 2001, based on ASEAN Surveillance Coordinating Unit
(ASCU) database, the Gross Domestic Product per capita, in US Dollar, of Indonesia in
1996 was 1,155, decreasing to 489 in 1998 and moving up to 691 in 2001, while
Malaysia’s was 4766 in 1996 and moving to 3696 in 2001, Singapore from 24,784 to
20,659, Thailand from 3035 to 1831. These data could indicate, that the economic
potential for economic progress exist, and could be taken advantage of for economic
rebound, through appropriate measures.
Following the study by SEAMEO VOCTECH (SEAMEO VOCTECH, 1999) on emerging
trends in SEAMEO Member Countries for the Plan Period of 1999-2004 on Cross-
impact Analysis of Regional Trends, the application of High-Tech as well as emergence
of free market will continue to be the trend of the new millennium. Using cross-impact
analysis, 25 out of 47 dominant trends were quoted as highly probable to happen in the
next millennium. These are the ranking (in descending order) of the trends of the ten
high ranking activities: Application of Hi-Tech in manufacturing, service industry and
government, Open Free Market, Increased Business and Entrepreneurship with
ASEAN/non-ASEAN, Modernization of government infrastructure facilities, Demand for
Human Resources Development Program, Political Stability, High Demand for
Knowledge Worker, Demand Driven Planning of Education in Vocational Training and
Education, Emergence of Knowledge Society, and Industrial Expansion.
The directed action of Indonesia to achieve technological competitiveness (PRS, 1999),
indicated by an index NO, reflecting national orientation, is rated as 53.9, while South
Korea 74.9, Taiwan 90.7, Malaysia 69.5, China 65.3 and Israel 92. These figures serve
48
__________________________________________________________________________________________
to indicate the evidence that a nation is taking directed action to achieve technological
competitiveness.
In the results of the study, the socio-economic infrastructure of Indonesia is rated 43.8
compared to 58.9 of Malaysia and 73.5 of South Korea, Technological infrastructure
46.8, 31.9 and 44.6, respectively and productive capacity 23.7, 44.1 and 48.8,
respectively. To some extent these figures could reflect hope and confidence, as well
as indicating directions that should be followed. The study results serve also as another
indicator, that the nation commitments for acquiring technological capabilities should be
boosted.
4. Strategic Issues
Human Development and Empowerment. Human resources are indeed the most
strategic factor in economic development. They pose the requirements for services,
needs, quality of life; they establish and set the rules, if not the leading factor, of social
conduct and political stability; and above all, they are the leading and sustainable factor
and vehicle for economic development. All these roles of human resources, to the
author’s conviction, can be addressed by human development and empowerment
strategy, comprising the installation of capacity (quality and professionalism) through
nurturing basic human needs and professionalism, as well as setting up infrastructure,
policy and legislation conducive for such empowerment. Accordingly, progressive and
modern funding approach should be devised. Human Development implies life-long
activity of every individual. As such, it could only be most appropriate that the
government, as mandated by the people through democratic process and hence having
access to public funds through the tax system, should address human development
most effectively and at the same time create conducive atmosphere for private sector
participation and innovation in the efforts. Central to this effort, the development of
Professional/Scientific Organizations should be facilitated and stimulated through
business, public sector and civil society collaboration (Samadikun, 2004). Concerted
national efforts should be devoted to enhance teacher salaries in Indonesia, which is
the lowest compared to Brazil, Thailand, Malaysia and the Philippines, amounting to a
mere 0.7 % of its GDP per capita compared to 3.5% of GDP per capita of the
Philippines (World Bank, 2000).
Though such empowerment, every individual in the society will be able to fulfil their
needs: dwellings, transportation, entertainment, societal interactive activities. The
consequence of the empowerment of the individuals and the people is the responsibility
of individuals to seek for better quality of life.
49
__________________________________________________________________________________________
Science and technological capabilities development. It is a matter of history and

objective observation that only countries, nations or economies that have the
technological capabilities can prosper and progress in their economy. Technology can
be defined simply as the manifestation of human creativity in creating artifacts, tools and
means to facilitate one’s efforts in achieving one’s goals, and thus making one’s life
more comfortable. Therefore, technology is the nucleus of human intellectual, and as
such, is at one’s discretion to pursue technological progress or stay complacent. The
development of one’s intellectual is strongly dependent on one’s moral values, ethics
and motivation. Reflecting on nations, countries or economies, it is mandatory that the
nations should devote efforts to develop technologies to meet their demand, and in the
present era of globalization, to survive by establishing competitiveness in technology
and hence human resources. Technology can be achieved through various means, but
to be sustainable, a country should give the utmost priority to education, thus
establishing foundations for sustainable and ever-growing intellectual capabilities,
science and research, as a foundation to achieve technological self-reliance and
competitiveness.
Within the global market that is experiencing globalization process and the availability of
information infrastructure that is always improving, in spite of the widening digital divide,
we are facing and have to overcome profound competition. With the prevailing
incapability of developing countries to adopt endogenous technology development as
well as advanced technology acquisition through intrinsic and FDI means, the digital
divide will widen and thus the globalization will work adversely for their human interest
and empowerment.
It should be noted that at the early stages of a country’s effort to install science and
technological capabilities of the human resources, as well as establishing high quality,
fully fledged science and technological education and research institutions, their
contribution to the progress and competitiveness of industries is not instantaneous.
Such efforts, as observed and learned from industrialized countries, are medium to long
term investments, but a must, if a country has the vision and the will to be sustainable
and competitive, and not going downhill, when all the natural resources are gone and
only history.
5. Strategy for Technology, Industrial and Business Development
From our observation, technological capabilities can and have been developed in
Industrial countries and also in Indonesia through concerted efforts by the governments
guided by vision and commitments. Even with such structured approach, it may take
some 20 years for obtaining significant effects. It should be noted that technology has
four elements: software, hardware, “brain-ware” and “orga-ware” (Samadikun, 2004).
Each has to be given appropriate and well-balanced attention, although the author
50
__________________________________________________________________________________________
believes that central to these all is the “brain-ware”: there should be strong
commitments to human development and science and engineering education in a
comprehensive manner.
There is a need that the government takes the initiative to carry out and promote
technology and industrial development in the country. It is a lucid example that the
United States, Japan and the European Union have promoted industrial development
through policy, regulations, standardization as well as incentives. The success of Airbus
Industry (now EADS) is a case in point.
In general, such initiative can be carried out through direct and indirect means, or both.
As indirect means the government can establish conducive atmosphere and
infrastructure, as well as legal and fiscal incentives that will appeal and boost
investments for industry, as well as related upstream and downstream ventures. As
direct means, the government can establish public sector companies that not only serve
to address the market and development needs, but also serve as a vehicle for industrial
transformation.
These means have been followed by the Indonesian government. For example, the
establishment of BATAM authority is one vehicle in facilitating the first approach. The
strategy for industrial transformation carried out from 1978 to 1998, followed by the
establishments of strategic state-owned industries, is a comprehensive and impressive
example of the second. These initiatives need be continued and enhanced, and to
certain degree, be adapted to the prevailing circumstances.
Technological capabilities and mechanism of technology transformation. There

are several ways in developing technology and thus establishing technological
capabilities in the country, among others (Habibie, 1988; Mustafa, 2003):
1. through foreign capital investment
2. through licensing
3. through Research and Development
The first will result in a relatively rapid acquisition of technology and technological
capability development in the early stages, but the effect will taper off also relatively
quickly. The second will result in slower progress in the early stages, but the
development will accelerate in the medium term and eventually the effectiveness
measured in technological capability development is higher than the first. Research and
Development approach will start to produce results very slowly in the near term, and will
accelerate faster than the second in the medium term, but eventually will result in
technological capability development much higher than the first two schemes.
Therefore, technology development strategy that combines all these approaches will be
able to deliver optimum technological capability development. The choice of which
51
__________________________________________________________________________________________
technology development schemes to be followed will also be dependent on specific

types of technologies, the prevailing circumstances and available infrastructure. For
example, in the field of agro-industry, a larger attention could be focused on the
Research and Development approach, while for various advanced and capital-intensive
technologies, such as aircraft technology, FDIs and/or licensing approaches could be
given higher priority.
Imperatives for improving productivity rate and income growth. Observing global
development and learning from past experience, Dertouzos, Lester and Solow (Made in
America, 1989) recommended several steps to improve productivity rate and as a
result, income growth. To summarize, there should be focus on the new fundamentals
of manufacturing. Emphasis should be given on technical and organizational excellence
in manufacture for competitiveness. A new "economic citizenship” should be cultivated,
consisting of efforts to technologically increase competent labor force. Workers should
have more job security and receive ongoing vocational training.
A blend of cooperation and individualism should be established. Schools and
companies should reward both individual and cooperative achievement to promote a
combined competitive aggressiveness and responsible coordination. Partnerships
among various social institutions are necessary.
Adapting to an emerging world economy, there should be more awareness of the
diversity of world cultures, and industries should shop internationally for technology,
materials, and innovative industrial practices. There should be provision for the future
through investment and education. Educational reform must create a more technically
literate and culturally tolerant population. Domestic investment must be promoted
through savings incentives and consumption taxes to finance future capital development
6. Tri-sector (Triple Helix)17 collaboration to develop strong and committed

actions by in-country elements
Establishing common philosophical foundation for effective tri-sector trust-based
collaboration. For effective tri-sector trust-based collaboration, in addition to the
individual sector vision and social commitments, it may be indispensable that common
philosophical foundation should evolve for establishing partnerships, leaderships,
development strategies and organizational structures that are based on mutual trust,
good communications and constructive collaboration among the strategic business, civil
society and public sector (tri-sector). The issue of social capital may then enter into
considerations.
17Now have been expanded by some intellectuals to be “”Pentahelix”, incorporating Society at Large and
Communication and Information Media as Stake Holders.
52
__________________________________________________________________________________________
For example, the fact that Indonesia has the highest cost and a high number of
days for contract enforcement (Thurow, 2003) certainly indicates that concerted
reformation efforts should take place, not only by the government through deregulations
and law enforcement, but also through the establishment of strong moral force for social
conduct enforcement by the civil society.
Social Capital. According to Francis Fukuyama (Fukuyama, 1999), social capital is

important to the efficient functioning of modern economies, and is the prerequisite of
stable liberal democracy. It constitutes the cultural component of modern societies,
which in other respects have been organized on the basis of formal institutions, the rule
of law, and rationality. Building social capital has typically been seen as a task for
"second generation" economic reform; but unlike economic policies or even economic
institutions, social capital cannot be so easily created or shaped by public policy.
Adapting to Francis Fukuyama, social capital must be instantiated in an actual human
relationship. By this definition, trust, networks, civil society, and the like which have
been associated with social capital are all epiphenomenal, arising as a result of social
capital but not constituting social capital itself.
A key challenge is to identify and harness the strength of community ties and resources
in contributing towards a just and harmonious society. Against a background of
unprecedented economic growth, but with widening economic and social divisions,
social institutions need to be adapted so as to better serve the interests of all citizens.
Values of social solidarity, mutual respect and equality of opportunity should be given
primacy of place in practice, as well as in statements of policy intent. Empowerment of
local communities to develop their own solutions and models of self-help is an important
challenge in the design of public policy.
There are a variety of possible perspectives on social capital. At one extreme is a “top
down” approach arising mainly from Government initiative and at the other end is a
“bottom-up” approach which draws from the emerging experience and practice of
various types of community. Social capital is not an alternative to existing policies; it is a
potential complement. A long-term strategic view emphasizes the importance of
community, co-operation and trust as essential building blocks of well-being, equality
and sustainable competitiveness. Within the context of the current economic slowdown
and fiscal readjustment, it is more important than ever to reflect on the benefits of
investments in communities and facilities which underpin human and social capital in
the long-term.
Experiencing great change in Indonesian social and political life, a clear articulation of a
public philosophy which has widespread support is needed. This is also a key issue for
the development of new structures of public governance and social partnership in the
on-going discourse on the future of the Indonesia in the light of the introduction of
autonomy and the establishment of civil society as the strength of the nation.
53
__________________________________________________________________________________________
Strengthening of social capital at the community, local, regional, and national levels is
an important objective. Examples of partnerships and direct engagement by citizens
across the provinces including prospective new provinces will be important.
Establishment of Industrial Development Triangle. In industrialized countries, one

could observe the close cooperation, networking and synergy among the pillars of
technology, industry and economic development, which for the sake of brevity here
referred to as the industrial development triangle. These are the public sector elements,
industry and science and technology development institutions and players, addressing
the needs, offering services and utilizing market established by the civil society, thus
reflecting the dynamic and mutually stimulating interactions. The vision to establish such
system has been addressed very well by governmental institutions, universities as well
as international development agencies.
Initiatives carried out by the Indonesian government are reflected by the establishment
of the National Research Council (DRN) in the early 1980s and the installation and
National Competitive Research (RUT) Program, to cite an example. The establishment
of the DRN is a manifestation of the government vision and commitments to promote
research, science and technology development by inviting elements from the business,
civil society and public sectors to be actively involved in the process of decision making
and formulating the micro-activities related to the development of science, research and
technological capabilities of the country as related to economic, industrial and business
interests. One of the underlying principles was the establishment of the industrial
development triangle, as illustrated in Figure 2.
Figure 2 : Triple-Penta-Multipe Helix : Development of Science, Technology and

Industry and High Quality Human Resources; Development and Empowerment of Infra-
Structure Network consiting of Industry-Reserach Institutions and Universities-
54
__________________________________________________________________________________________
Government-and Other Stake Holders; To develop -Science Based and Environment

Oriented Multi-Helix Culture18
Vision and initiatives carried out by the university system actually has dated back to the
late 1950s, when for the first time the Institute of Technology Bandung established what
is known as the Lembaga Afiliasi dan Penelitian Industri (The Institute for Industrial
Research and Affiliation), which at that time was established as a timely response of
ITB in dealing with the national need of recently acquired businesses and industries
which lack Indonesian expertise (Besari, 2004; Sapiie, 2004). The economic setting and
appropriate paradigm may have changed now, but it correctly indicated that the
university system has identified its integrated and critical role in the economic society as
one element in the industrial development triangle. In fact, that was also the period
when ITB formulated its triple-function: education, research and services to the society,
reflecting the required and appropriate commitments in such industrial triangle based
society in contradiction to what was then regarded as the “Ivory Tower University”
concept.
Another example worth mentioning is the university system development program
sponsored and in cooperation with formerly organized USAID-JICA HEDS (Higher
Education Development) program, which in the last ten years was carried out by JICA.
The objectives were to enhance the development of select universities in Sumatra and
Kalimantan and establish graduate education there. The program has since 2002 been
terminated. However, the underlying considerations, to the author observation, are to
contribute and accelerate the development of such local industrial triangles in
associated provinces. The presence of such industrial triangle will only promote and
establish benefits for each player: the government, the industry and the university.
Technologically, the industry can rely on the local universities to carry out their research
and development need for improved products to be delivered to the society, and to
certain extent, the local government can also rely their specific socio-economic
development problems to be offered solutions by the local universities. The university
then will be involved with actual and relevant problems as well as access to accountable
funding to carry out graduate projects that are research and development oriented (like
in Japan), and at the same time boosting quality graduate education and faculty. The
government and industry can then benefit from the product of the local university
research-oriented post graduate program in the form of graduates as well as research
outputs already touched up for their needs. Industry and local government sponsored
research carried out by the university will contribute to industrial product development
and local government innovative activities. All these will result in new consumer
18
In industrialized countries, one could observe the close cooperation, networking and synergy among
the pillars of technology, industry and economic development, which for the sake of brevity here referred
to as the industrial development triangle. These are the public sector elements, industry and science and
technology development institutions and players, addressing the needs, offering services and utilizing
market established by the civil society, thus reflecting the dynamic and mutually stimulating interactions.
The vision to establish such system has been addressed very well by governmental institutions,
universities as well as international development agencies.
55
__________________________________________________________________________________________
commodities and services, and consequently, revenues to the industries as well as tax
revenues for the local government. Certainly, the infrastructure and legislation should be
supportive and stimulating, to allow certain university research tax incentives related to
such activities be offered for the industry. At the same time, some pool of research grant
can be jointly established by the government and industry, even by the university itself
and the civil society.
Establishment of Local Science and Technology Authority. The initiative to develop

regional technological capabilities could be initiated by local or provincial government.
Two examples can be cited, although of contrasting scope and capabilities. The
Arkansas Sciences and Technology Authority, which was founded in 1983, is an
example of a concerted effort by a federal state to enhance local technological
capabilities, carried out in an industrialized country. The mission is to introduce the
benefits of science and advanced technology to the community. The mission is
implemented in a strategy to promote scientific research, technology development,
business innovation and education in mathematics, science and engineering. The
authority provides funding for all projects defined by the board. It has also an advisory
council comprising member of the board as well as others outside the board.
The technology development program provides assistance in the development and
commercialization of new technology and process-based products developed through
development technology projects innovation. The authority provides royalty financing for
projects that have comprehensive and mature project planning, and which take
advantage of science and technology to develop economic potential and employment
opportunities in the state. The qualifications are based on individual considerations. The
authority also provides funding for researchers in various categories, such as for basic
research, applied research as well as matching research fund.
Council for Science, Technology and Industry (DIPTI). The second example is an
encouraging observation by the author of the establishment of a Council for Science,
Technology and Industry in West Sumatra Province (DIPTI) (Djojodihardjo, 1998). DIPTI
was established as a response to the aspiration of the scientist in West Sumatra to
participate and contribute to the development program and activities in West Sumatra.
Since the revenue of West Sumatra province is relatively small compared to
neighbouring provinces, to enhance the capability for development, the three social
forces in the West Sumatran community have to unite, these are the intellectuals,
cultural leaders (adat) and religious leaders. In the cultural tradition of the Minangkabau
people, these forces are known as tigo tali sapilian, tigo tungku sajarangan (three
strings in a rope, three pits in a cooking). The intellectuals have the role to establish
science and technological foundations and capabilities, religious leaders/ components
56
__________________________________________________________________________________________
to establish and observe moral values, and cultural leaders/ component to establish
community life.
The experts within DIPTI were drawn from the three elements of the society. They have
developed concepts for solving actual problems, to be submitted to the provincial
government. DIPTI has not only assisted the provincial government in formulating policy
and strategy for the development of the province, but at the same time also assist the
business community and the society at large by providing services and expertise in the
fields of technology, finance, and other sectors to stimulate industrial and business
initiatives.
In addition, DIPTI also takes the initiatives to assist research and educational
institutions to enhance human resources quality. DIPTI is also proactive in meeting the
demands of development facing the globalization era. One example of DIPTI initiatives
is the improvement of fish drying process by traditional fishermen in West Sumatra
using scientific and hygienic procedure, as well as formulating a comprehensive
scheme for the Development of Andalas Agro-City.
Technology Park and Technology incubator program. Technology Park and

Technology incubator program is another approach to develop indigenous and
endogenous technology. Technology Incubator Program helps to nurture new
technology ventures. Technology Park is an important catalyst for science and
technology developments, particularly if there are many science and technology
companies based in the area. In the framework of technology development and
development of small and medium enterprises, technology incubators are significant in
the national development scheme. It is also understood that technology incubator can
be viewed as a means to facilitate creative engineers and technology-industrial pioneers
to develop new products and establish themselves as entrepreneurs, as well as to farm
out research and development products from research and development institutions and
universities for the benefits of industries and public at large. The Incubator Program
provides a unique entrepreneurial environment - harnessing academic, research, and
community resources to assist fledgling technology start-up enterprises. Technology
incubator, technology park and business park initiatives are carried out also at
PUSPIPTEK Serpong, in Surabaya and Surakarta (Djojodihardjo, 1998).
The concept followed in the incubator program developed at PUSPIPTEK is aimed to
provide assistance and support to the customer in meeting their basic needs at the
beginning of their effort, such as Working and Office Space, Office facilities and
Consultation services. Consultation services provide information, consultation and
assistance on management, marketing, legal aspects, finance as well as technology
and commercial aspects. There is also a need for access to research institutions and
laboratories, international professional and technological network; and access to
investment network. The assistance of PUSPIPTEK should also address capability
development through training and related assistance, seed capital, and establishment of
synergy through cooperation and motivating healthy competition among the network of
tenants, university, research institutes, private companies, banks and professionals.
57
__________________________________________________________________________________________
7. Recommendations:
In retrospect, the author believes that people awareness of their crucial role in state
affairs, significant contribution of the civil society in national economy, and innovative
paradigm of business, civil society and public sector for trust-based collaboration are
essential in establishing fertile economic ground for generating affluent society. There
are opportunities for trust-based tri-sector collaboration to participate proactively in the
wide spectrum of the national development efforts, addressing the significant product
and technology market demand.
More significantly, the synergistic tri-sector collaboration and continued efforts to carry
out structured and consistent industrial transformation strategy has and will have
significant impact in the development of human resources, science and technological
capability, and economic progress of the nation, as well as gratifying returns for each
sector.
As a measure of success of the tri-sector collaborative efforts in trust-based social,
cultural and economic development, Human Development Index should be utilized.
The government should be more value-guided and resourceful in implementing the
vision and commitments of human development as strategic foundation for sustainable
national development and enhancement of the prosperity of the people. The proactive
participation, initiatives and leadership of the business sector taking advantage of the
opportunities and momentum are encouraged.
To serve as further catalyst to such efforts, it is recommended to establish a moral force
starting from our own institutions and circles, focusing on our professional expertise,
profession and social circles, and establish network. Establish examples. But examples
are not enough. One should build a moral pressure group, or carry out an untiring and
strategic caucus. Also establish vision and commitments from ourselves, propagating
outward. Be and form condensation kernels that eventually establish rain of vision,
commitments and actions. One should work for improved conditions, activities,
networking and public awareness to create an atmosphere conducive to development,
FDIs and tri-sector collaboration.
8. Cited References:
-, Study by SEAMEO VOCTECH on emerging trends in SEAMEO Member Countries for

the Plan Period of 1999-2004, http:// www.voctech.org.bn/ virtual_lib/ GBM/ 13thGBM/
gbm13wp/ workingpapers.htm
-, US Science and Engineering Indicator, 2002, http:// www.nsf.gov/ sbe/srs/ seind02/
c6/ c6i.htm#c6il1.
58
__________________________________________________________________________________________
-, ASEAN Surveillance Coordinating Unit (ASCU) database, http:// www.asean.or.id/

14464.htm
-, PRS Group, Political and Economic Forecast Table, “Political Risk Letter” for 1999,
http://www.prsgroup.com/commonhtml/methods.html.
-, Singapore: Birth of the Asian Tiger, http://www.amir- jordan.org /amir1_web /pri /fdi /
singapore_fdi.htm
Besari, Sahari, paper presented at “From THB to ITB” Workshop organized by Majelis
Guru Besar ITB, January 2004;
Dertouzos, M.L., Lester, R.K. and Solow, R.M., Made in America, Regaining the
productive edge, The MIT Press, Cambridge, Massachusetts, 1989.
Djojodihardjo, H., Laporan Irjenbang: Laporan pendahuluan hasil kunjungan kerja ke
Riau dan Sumatera Barat pada tanggal 29 Oktober s/d 3 Nopember 1998.
Djojodihardjo, H., Technology Development, Technology Incubators and Integrated
Photovoltaic Energy Program; Some Notes on Indonesian Experience, keynote address
presented as at the XV IASP World Conference on Science and Technology Parks, 18-
23 October 1998, Perth, Western Australia.
Djojodihardjo, H., The Contribution of Science and Technology Development for
Sustainable Energy in Developing Countries with Case Study on Indonesia, presented
as invited paper at Technical Forum, World Science Congress, June 1999, Budapest.
Fukuyama, Francis, Social Capital, www.imf.org/ external/ pubs/ ft/ seminar/ 1999/
reforms/ fukuyama.htm.
Habibie, B.J., The Application of Sophisticated Technologies in Developing Countries:
The Case of Indonesia, Department of Information Republic of Indonesia, 1988.
Habibie, B.J., Address to Majelis Guru Besar ITB, Friday January 30, 2004. -, ASEAN
Surveillance Coordinating Unit (ASCU) database
Mustafa, Adi J. dan Mulyanto, Transformasi Teknologi di Indonesia, Temu Ilmiah PPI-
Toyohashi, Japan, 29 June 2003
Porter, Alan L., Roessner, J.David, Newman, Nils and Jin, Xiao-Yin, Indicators of
Technology-Based Competitiveness of Nations, Summary Report, report to the National
Science Foundation under purchase order no. B04841X-00-0 (Atlanta: Georgia Institute
of Technology, 2000).
Samadikun, Samaun, Private Communication (2004).
Sapiie, Sudjana, paper presented at “From THB to ITB” Workshop organized by Majelis
Guru Besar ITB, January 20042004.
Thurow, Lester, Investment Strategies in Indonesia Post 1997/98 Financial Crisis, paper
circulated during the United and Diversity Forum, Bali, December 2003
United Nations Development Program, Human Development Report 2001, Making new
technologies work for human development, UNDP Report, Published by Oxford
University Press, Inc., 198 Madison Avenue, New York, New York, 10016, 2001.
World Bank, World Development Report, 2000.
59
__________________________________________________________________________________________
60
III
THE CONTRIBUTIONS OF SCIENCE AND TECHNOLOGY
DEVELOPMENT TO SUSTAINABLE ENERGY IN DEVELOPING
COUNTRIES WITH A CASE STUDY ON INDONESIA19

National Institute of Aeronautics and Space, Jakarta, Indonesia
Science and technology are manifestations of human creativity and as such are
integral part of people and civilization. However, in their implementation and translation
into budgets and human resources development, a wide spectrum of discrepancies still
prevail in many countries. On the other hand, many developing countries have pressing
needs in meeting the energy demand for the quality of life and prosperity of their peoples,
as well as developing appropriate economic infrastructure. In addition, locally available
non-renewable energy resources are rapidly being depleted while a global environmental
requirement has imposed a progressive and profound challenge. The need for the
utilization of renewable and sustainable energy, and for the development and utilization of
efficient energy technologies has come to the fore.
With the progress of science and technology and the understanding of humankind
of the role of science and technology, the search for new, renewable and efficient energy
has progressed at a very impressive pace. The developing countries are challenged to
establish an appropriate strategy to meet their energy and economic objectives and to
establish synergistic development and utilization of science and technology, as well as to
participate in the global effort to promote the application of sustainable energy.
Energy, GNP and human resources

The relation between the prosperity of a country, as indicated by its gross national
product (GNP), and energy consumption is well known. Total energy use per capita might
be related to productivity per capita as measured by GNP for many countries of the world.
19 Presented at the World Conference on Science-SCIENCE FOR THE TWENTY-FIRST CENTURY- A New
Commitment, Budapest 1999; Proceedings Editor: Ana Maria Cetto, ISBN 1 903 598 001, © UNESCO 2000
____________________________________________________________________________________________
There is also some indication that the developed countries are high users of energy
per capita while the developing nations are low users per capita, although the developed
countries make better use of their energy resources by producing more of the world’s
goods and services per capita. Figure 1 shows energy use per dollar of GNP in relation to
GNP per capita for various countries; the energy consumption of some of the developed
and developing countries is shown in Figure 2.
Figure 1. Energy, GNP and human resources
62
____________________________________________________________________________________________
Figure 2. Primary energy consumption per GDP
The differences shown are related to the human resources of these countries. The
ability of people to think systematically, in depth and long term produces science. Science
gives birth to technology, i.e. science-based ways of producing goods and services.
People make use of technology to improve value adding processes, i.e. processes for
transforming raw materials and intermediate goods into finished products of greater value.
In turn, these value-adding processes themselves are continual, complex processes and
are successful if the use of machinery, the skill of people and the material can be fully
integrated by technology to produce goods and services of greater value than the raw
material and other inputs. Some relationship exists between the level of development of
technology due to the standard of living and the standard of living generated by levels of
development in technology. There exists some relationship between the standard of living
and the number of experts in some selected countries, and there is a direct relationship
between the important role of experts and scientists in developing the technology, the
efficiency of energy consumption and the possibility of seeking new alternative energy.
Globally, there is a growing awareness and concern regarding general environmental
issues and a growing appreciation of the links between economic activity, economic
growth and the environment. Increasingly, a shift towards sustainable development is seen
to present opportunities, as well as challenges. Environmental challenges can provide
incentives for the development of new environmental technologies
63
____________________________________________________________________________________________
Technology development and management of change in Indonesia; synergistic

development of Science and Technology infrastructure
For the past 30 years, Indonesia has undertaken a national development plan that
has already transformed it from a less developed country to a transitional one by following
a systematic development strategy, with long-term objectives of achieving an affluent and
just society by transformation from an agricultural to an industrial economy supported by a
strong agricultural base, giving priority to the development of human resources and the
acquisition, application, mastery and development of science and technology. History has
shown that science and technology does not only contribute to the socio-economic
development of a country, but also constitutes a determining factor of it and of the
establishment of its economic resilience, speeding up economic development and
enhancing the prosperity of the people.
The mastery of science and technology is not only essential for a country to grow
but, more significantly, for it to establish and enhance its capacity to grow. An appropriate
strategy has to be introduced to effectively acquire national technology capabilities that not
only support the effort to achieve such a goal, but also accelerate its achievement in the
shortest possible time-frame while bringing the society synergistically to a modern quality
of life. Such effort is required with the profound wave of economic, technology and
information globalization that has been taking place on the threshold of the third
millennium, characterized by the information society and knowledge-based economy.
To develop industrial infrastructure that is supported by significant domestic market
demand, the strategy for industrial transformation in four stages, which ‘starts with the end
and ends with the beginning’, is formulated, utilizing nine vehicles for its development.
Aircraft technology is one that may serve as a spearhead both in technology acquisition
and in establishing national confidence and resilience. The strategy is essentially aimed at
achieving the dual objectives of enhancing human resources potential and the mastery of
science and technology, and has been formulated in four stages, i.e.:
1. technology acquisition through the transfer of existing technology to achieve a
value-adding process, capitalizing on the acquisition of a manufacturing capability
of advanced technology products already on the market;
2. integration of acquired and existing technology into the design and production of
completely new products to be introduced onto the domestic and international
markets;
64
____________________________________________________________________________________________
3. integration of existing and new technology into the design and production of
completely new products to be introduced onto the domestic and international
markets;
4. acquisition of a large-scale basic research capability and the implementation of
basic research as key elements in developing competitive generic technologies.
The strategy was realized on the basis of the market imperative, initiated in the
aircraft industry and followed by other high and economically strategic technologies, taking
into consideration various relevant economic, social and cultural factors.
The application of the strategy for industrial transformation has resulted in the
conception, design, production and certification of the CN-235 aircraft, which utilized
extensively for domestic flights serving numerous routes in Indonesia. In addition to
entering into service in Indonesia in 1986, some CN-235 aircraft have been delivered to
ASEAN countries and also to Venezuela.
The development of N-250 50-70 passenger commuter aircraft was started in 1987
in the technology development phase of the industrial transformation scheme to address
the domestic and global market potential in the 1990-2015 time-frame. The implementation
of the industrial transformation strategy can be viewed as a synergistic effort in the
utilization and development of various strategic elements for economic development.
To translate macro-economic considerations into micro-economic, technological
and engineering aspects associated with the industrial transformation strategy, in 1978
Badan Pengkajian dan Penerapan Teknologi (BPPT, the Agency for the Assessment and
Application of Technology) was established. Based on the successful progress in
implementing the industrial transformation strategy, the Agency for the Strategic Industries
was created in 1989, incorporating 10 state-owned companies, including IPTN.
These companies represent the nine vehicles for industrial transformation and
serve as a spearhead for establishing industrial excellence. The Centre for Research,
Science and Technology (PUSPIPTEK), which houses and promotes the development of
research laboratories essential for national development belonging to the non-
departmental research institutions, was also established in 1978. These institutions are the
Atomic Energy Agency (BATAN), the Indonesian Institute of Science (LIPI), BPPT and at
later stages the Indonesian Institute for National Aeronautics and Space (LAPAN). With
the establishment of the technology infrastructure within the framework of in-country
technology development, the country has been able to respond positively to local as well
as global signals of change. Such a challenge demands synergistic networking between
industry, research and educational institutions, as well as government agencies as
65
____________________________________________________________________________________________
facilitators, to establish reliable national industrial capabilities and to enhance production

competitiveness. The partnerships between private enterprise, the productive sector,
science and technology-oriented institutions and government should be enhanced and
established at grass-roots levels. The role of small and medium-sized enterprises is
enhanced through industrial partnership incentives and financing as well as other
empowerment policies.
Enhancing the role of Science and Technology for sustainable energy development
in Indonesia
Increased energy demand, in particular in the form of electricity, due to
development activities as well as to meet the needs of the rural population, calls for a new
energy strategy to establish a just and prosperous society entering the third millennium in
a global environment that is oriented towards a knowledge-based economy and
sustainable environment. The energy policy to promote intensification, conservation and
diversification of energy resources has been adopted since the early 1970s. Oil, which was
instrumental in financing development efforts, has been progressively substituted by no
fossil fuel exports. The depletion of fossil fuel reserves and the increasing concern for the
environment and sustainable development imperative has prompted a new operational
policy. In the utilization of energy resources, non-renewable as well as renewable ones, an
energy cost structure, which incorporates environmental conservation efforts as
inseparable parts of energy resources, has been considered. The utilization of fossil fuel
resources is reviewed to allow consideration of a pricing policy that addresses
environmental as well as socioeconomic concerns. There will be a balanced natural gas
policy that is directed towards its domestic use for electricity and feed stock, to allow the
value-adding process and conducive investment opportunities and human resources
development.
The utilization of energy resources should be accompanied by the development and
utilization of energy-efficient technologies. In addition, the utilization of energy in a
balanced and sustainable structure, combining renewable and non-renewable energy
resources should be promoted.
The provision of electricity for rural areas in a decentralized or individual system
approach has been considered. Since it is not economically feasible to establish
conventional electric grids in remote areas, the application of a photovoltaic system, in
particular the Solar Home System for rural electricity, has been initiated. The modest
(50Wp per household) electricity provided through the Solar Home System Photovoltaic
66
____________________________________________________________________________________________
Rural Electrification programme can meet every household’s needs for lighting, information
and communication (black-and-white television and/or radio).
Such performance is essential in developing the potential capabilities of human
resources and the quality of life in the rural and remote areas. From the point of view of
diversification of energy, environmental and practical considerations, it is economically
feasible for remote areas. Therefore, the One Million Rural Solar Homes System (SHS)
Project was officially launched in June 1997 with the ultimate goal of providing electricity to
1 million households, about 10% of the estimated 10 million rural families without
electricity, within 10 years. The programme uses a revolving fund scheme as a model for
the installation of the first 32 000 units of SHS in Eastern Indonesia, and the first phase
was completed in July 1998. Various countries and funding agencies provide loans for PV
Solar Home and related systems. The World Bank loan and Global Environmental Facility
(GEF) grant will be used to provide funds for distributors of these types of systems to
supply some 200 000 units to the Indonesian market.
This pragmatic renewable energy development and application approach is in line
with the strategy and recommendations of the Harare Declaration on Solar Energy and
Sustainable Development in 1996. Another significant part of this programme is the
integrated scheme for local manufacturing and technology development of hardware with
the involvement of the private sector. Elements of technology development, including
various stages of research, in the field of solar energy have also taken place in Indonesia.
A strategy for enhancing the role of SCIENCE AND TECHNOLOGY for sustainable
energy development
A strategy based on the experience gained in the technology and industrial
development of photovoltaic electricity for rural application can be followed for other new
and renewable energy programmes. First, based on an in-depth feasibility study, a pilot
project is being initiated incorporating relevant parties from the community, industry,
financing institutions and the governmental research and technology application
institutions. The pilot project will serve as a tool for further assessment of such
applications, including assessment of national capabilities and societal demand and
acceptance, as well as promotion of the practical and economic applications of the
technology. The pilot project can be developed to establish confidence in the technology
and mobilize local industries, as well as participation by foreign industries, and serves as a
tool for overall assessment of the feasibility of the product, penetration into the market and
technology development. Through such studies a wider programme can be introduced to
67
____________________________________________________________________________________________
address the needs of the larger national market. At the same time national capacity-
building can be fostered through human resources development, technology support for
product selection and certification and enhancement of local industrial capabilities.
Next, based on favorable results of the pilot project, through the leadership and
vision of governmental research and technology application institutions, a national
programme can be formulated and established. A concerted effort has to be carried out to
obtain the initial financial support, as well as to invite the interest and participation of
relevant private sectors and funding agencies. By addressing an economically feasible
application approach and formulating national priorities, the programme could open up
wider market opportunities for the private sector. An integrated scheme for local
manufacturing and technology development of hardware and the involvement of the
private sector should be introduced. Financial assistance and fiscal incentives for market
penetration should be introduced, associated with a small and medium-sized private
enterprise empowerment policy. The establishment of such a programme will promote and
progressively generate the domestic market. Technology and business partnerships
between foreign and local industries can be promoted which will not only address the
national market but also look at the foreign market as well. Research institutions,
universities and local industries may cooperate and establish networking to boost the local
industry capabilities. The research effort may be boosted due to growing industrial needs
for competitiveness.
The establishment of a national programme to promote the provision of electrical
energy through renewable means may provide opportunities for cooperative units and for
the private sector to produce and sell electricity. Other renewable energy promotional
efforts could follow the above-mentioned strategy, including wind energy application for
rural areas in eastern Indonesia and the Grid Interconnected Photovoltaic Electricity
System for high- and medium-income housing. The objectives of the Grid Interconnected
Photovoltaic Electricity System for urban and sub-urban communities are to explore,
promote and assess the commercialization and the general feasibility of the photovoltaic
grid-connected system. The strategy can speed up the contribution of science and
technology to local technology and local industry development, while addressing the needs
of rural people for sustainable energy.
68
____________________________________________________________________________________________
Concluding remarks: contribution of SCIENCE AND TECHNOLOGY to the promotion

of renewable energy development
A new strategy associated with energy, natural and human resources has evolved
in addressing the profound global concern for a sustainable effort to improve the quality of
life of mankind by promoting increased utilization of renewable and sustainable energy, as
well as enhancing energy efficiency and efficient energy technologies. A novel and
sustainable energy development strategy is being formulated to meet the increasing
energy demand for domestic needs as well as to earn foreign exchange required for
development.
The systematic, consistent and synergistic application of the industrial
transformation strategy for scientific, technological and industrial development in
Indonesia, spearheaded by the aerospace industry, has resulted in a multitude of gratifying
achievements and given further confidence in the strategy.
Several economically strategic industries have grown into significant manufacturers.
A significant number of skilled technical manpower, including professional engineers and
young and dynamic PhD holders, has been produced and is actively contributing to the
industrial and economic development of the country.
Research and technology application institutions such as LAPAN, BPPT and LIPI
have been instrumental in developing scientific and technological infrastructure required in
certain areas, such as in the field of space-based natural resources monitoring technology,
renewable energy technology and a maritime development programme. The synergistic
application of the industrial transformation strategy has a significant impact on the
development of human resources, scientific and technological capability, and on the
economic progress of the nation.
Renewable energy initiatives have been developed with a significant thrust through
the establishment of national programmes that address the needs of rural communities
and are directed towards harnessing new and renewable energy technologies, supported
by the establishment of local technological capabilities. As a significant part of this
strategy, an integrated scheme for local manufacturing and technology development of
hardware and the involvement of the private sector has taken place, such as in the Solar
Home
System programme, contributing to the value-adding process for economic and
technology development as well as a better quality of life.
69
____________________________________________________________________________________________
70
____________________________________________________________________________________________
IV
PERSPECTIVES OF FIFTY MEGA WATT PEAK
(50 MWp) PHOTOVOLTAIC SOLAR HOME SYSTEMS FOR
RURAL ELECTRIFICATION IN INDONESIA20
Deputy Chairman
for Technology Development
Agency for the Assessment and Application of Technology
(BPPT).
ABSTRACT
Some of the goals of the long-term national energy development as described in the
Second Stage Long-Term (twenty-five year) Development Strategy are to optimize the use
of nonexportable energy resources, to increase the share of renewable energy use, and to
provide electricity to all rural areas (100%) rural electrification) at the end of the Seventh
Five year Development Plan (REPELITA VII), It should be noted that as the world's largest
archipelago which comprises more than 17,500 islands. The population of Indonesia is
now approaching 96 million people where, 60% of them are living in rural areas. Most of
20 Presented at the Round Table Conference on Solar Energy Utilization: Strategic Issues in Indonesia,
organized and supported by the Agency for the Assessment and Application of Technology (BPPT), The
Indonesian Institute of Science (LIPI), and the Regional Office for Science and Technology in SouthEast
Asia and the Pacific of United Nations Educational Scientific and Cutural Organization (ROSTSEA), 24-26
January 1995, Jakarta, Indonesia
71
____________________________________________________________________________________________
these rural areas have sparsely populated areas, so that the provision of electrical energy
through conventional approach needs, intensive capital investment for the construction of
power plants and distribution networks.
In order to achieve this long-term energy, development goal for rural electrification,
Photovoltaic technology offers an attractive solution for the provision of electricity in rural
and remote areas, since practically minimum infrastructure development is required, if
solar insolation is adequate. This being the case for Indonesia, BPPT has been carrying
out technology assessment and application effort to introduce photovoltaic applications in
Indonesia, in particular the Solar Home System.
Within this framework, photovoltaic solar home systems have been introduced first
to a pilot project village, followed by Presidential Assistance Project to provide electricity
by use of Photovoltaic Solar Home System to some I4 remote villages scattered in 14
provinces in Indonesia. Based on the success of these projects, the Government of
Indonesia through the Agency for the Assessment and Application of Technology has
launched a project which is known as the "Fifty Mega Wat Peak (50 Mwp) Photovoltaic
Rural Electrification in Indonesia" The target of the project is to provide electricity up to one
million households within ten years. Noting that such program, will open up a new market
for P' Solar Home System in Indonesia, in line with the government policy and strategy to
enhance local content, local manufacturing capability including technology development
has been incorporated in the plan.
1. INTRODUCTION
In line with the national policy guidelines (GBHN 1993), one of the main goals of the
current Five-Year National Development Program "PELITA 'VI" is to raise the level of
prosperity of some 27 million Indonesian people now still living under the poverty line;
another is the development of human resources. One of the strategies to address and
solve these problems is through the Implementation of development program of the energy
sector. Energy sector is one of the strategic elements in boosting the national development
effort as a whole, such as through the enhancement of industrial activities. The provision
of adequate and reliable energy supply will directly and indirectly (through economic,
educational and other activities) increase the level of prosperity of the Indonesian people.
72
____________________________________________________________________________________________
Recognizing the limited nature of non-renewable energy and natural resources and
the global concern on environmental conservation, since the beginning of the 70's the
Government of Indonesia has established an energy policy that reduces the dependency
on oil and moves towards a more diversified energy resources including coal, gas, hydro,
geothermal and renewable energy. The utilization of the renewable energy is essential
because it will not only prolong the supply of oil and gas but will also exploit the availability
of abundant new energy resources.
In the development of renewable energy Indonesia capitalizes on the utilization of

those resources that have been found in abundant quantities such as geothermal, hydro-
energy, biomass, wind energy, and solar energy, which in turn have been given a high
priority to meet the goals of the long-term national development scenario. Following the
Second Stage Long Term (twenty-five year) Development Plan, the strategy is to optimize
the use of nonexportable energy resources, to increase the share of renewable energy
use, and to provide electricity to all rural areas (i.e. to achieve 100 % rural electrification) at
the end of PELITA VII.
Following the I990 census, the population of Indonesia is now approaching 190
million people. An estimated 60 of the population or around 114 million people live in rural
areas, With the assumption that one average size family consists of 6 people, the total
number of family households would he approximately I9 million. At the current rate of rural
electricity development activities using conventional energy resources (fossil fuel), at the
beginning of PELITA VI (Indonesia's current 5-year development plan) only 45 % of these
I9 million family households can be reached. This left some 10 million rural families without
electricity.
In order to achieve this long-term energy development goal for rural electrification,
the attractive solution is to apply photovoltaic system, in particular the application of Solar
Home System for rural electricity. Therefore, the Government of Indonesia through the
Agency for Assessment and Application of Technology has launched a project which is
called "Fifty Mega Watt Peak (50 MWp) Photovoltaic Rural Electrification in Indonesia".
The ultimate goal of the project is to provide electricity to one million households, about 10
% of those 10 million rural families without. electricity, within ten years. The remaining 9
million may receive electricity through PLN grid approach, other energy resources, or
through private ventures.
73
____________________________________________________________________________________________
BPPT's role in promoting and coordinating the utilization of photovoltaic rural

electrification has been rooted since BPPT's initiatives in 1978 to assess, introduce and
integrate photovoltaic technology for addressing the needs of the people in line with the
national development planning strategies, and commensurate with BPPT's function as the
technology clearing house for Indonesia, and to promote applications of appropriate
technologies for public benefits, as well as to take active part in the promotion of
technology / industrial transformation.
One of the main objectives in the launching of the Fifty Mega Watt Peak (50 MWp)
Photovoltaic Rural Electrification implemented through the use and application of the Solar
Home System (SHS) is to transform the villages that formerly fall within the category of
less developed to developed ones; in particular those villages located at the Eastern Part
of Indonesia are given special attention in the Photovoltaic Rural Electrification scheme.
The electricity provided through Solar Home System Photovoltaic Rural Electrification
program (50 Wp per household) is expected to meet every household's needs for lighting
(light points), information and communication (Black and White Television and/or radio).
Such capabilities have been found to be vital in developing the potential capabilities of
human resources and the quality of life in the rural and remote areas.
The dissemination of Solar Home System (SHS) in one way will lead to the
exploitation of available abundant renewable energy resources in Indonesia. Although the
dissemination of SHS has not been implemented under pure commercial basis,
examination of previous experience through the Sukatani Solar Village, Presidential Aid,
East Java Province, BPIS, and private projects, which had resulted in the installation of
some 10.000 SHS units, has established high confidence in further implementation of the
system under a fully commercial basis.
The provision of electricity for rural areas can be distinguished into two types of
approach, these are the centralized (network) and the decentralized or individual system
approach. Since Indonesia is a vast archipelago consisting of a large number of islands
(approximately 17,500), and many of them have relatively large land masses and sparse
populations where the people in most of these areas have low income, the provision of
standard electrical services has faced major constraints. Due to the lack of productive
energy supply, low income population and the high cost of transmission, distribution and
power plant construction, rural electrification conducted under conventional practices has
74
____________________________________________________________________________________________
been prohibitive in remote areas, therefore rural electrification in remote areas using the
decentralized or individual system has been chosen to be the most appropriate.
2. HISTORICAL DEVELOPMENT OF SOLAR IIOME SYSTEM FOR RURAL

APPLICATION
Since the founding of BPPT, following its functions and responsibilities, BPPT has
been very active in assessing and introducing photovoltaic technologies for rural
applications, such as the establishment of "solar village" Picon and Cituis experimental
projects. Pilot project of rural electrification using PV solar home system (S1HS) was
implemented in Sukatani, Sukabumi, West Java in 1989. Through the project, some 100
units of SHS have been installed. Analysis carried out following a thorough monitoring
program leads to a conclusion that the technology is technically reliable and socially
acceptable [1],[2].
Following the success of the Sukatani project a number dissemination programs

have been launched. Presidential aid financed around 3000 units (45 Wp panels) through
a revolving fund scheme. Similar schemes are also applied using regional government
budget. In these projects the recipients of solar home systems are required to pay the
price of the installation on monthly instalment basis scheduled be completed in 8-10 years’
time. In some projects SHS users are required to provide down payment for the
procurement of the equipment.
In these remote areas, people generally use kerosene, candle light and petromax
(pressurized kerosene light) for lighting system, Monthly expenditure for kerosene for this
purpose is a little higher than the monthly instalments for SHS; in addition kerosene light
gives poor lighting quality and is not as friendly to the environment as the SHS.
In line with the Indonesian Government's is policy, the use of alternative energy is
aimed to promote the saving of conventional energy and to increase the living standard of
the rural people. Therefore, the use of photovoltaic (PV)/solar home system for providing
electricity for lighting and television and/or radio for remote areas is indeed an attractive
choice. The use of PV-solar home system is further supported by the fact that the solar
radiation potential in Indonesia is reasonably high and uniform, around 4.5 kWh per day
per square meter. It should be noted, that the use of electricity in these rural areas for
other domestic purposes (such as for refrigeration, electric appliances) or home industry
75
____________________________________________________________________________________________
(such as welding) is not considered to be relevant at this stage, judging from their living
standards thus far.
The following advantages of Solar [Home System (SHS) can be cited: simple, easy
to operate and maintain, requiring no conventional fuel, and pollution free. SHS has a high
initial investment cost and therefore the utilization of the system in rural/ remote villages
could pose a problem, since people in these areas are mostly poor. This means that it
requires an ownership scheme which involves financing without/ with some form of
subsidies from the government or other existing financial institutions.
In view of these considerations, the President of the Republic of Indonesia has

decreed a Rural Electrification Scheme (“Listrik Masuk Desa”) through Presidential Aid
Program (BANPRES) when he visited Sukatani in 1989, the first village to be provided with
Photovoltaic Electricity, In this program, the Government of Indonesia (GOD) bore the
initial capital to own while the villagers, as the users, will buy the system through monthly
instalments within 10 years. The SHS technology is relatively new to village communities,
therefore it requires reliable maintenance system to guarantee the success of the
BANPRES Program. Moreover, the users should be trained thoroughly in order to be
familiar with the system and understand how the system works.
Noting the success of the BANPRES Program, the GOI had determined to install
"one million" solar home systems, This concept was first introduced by the Indonesian
Minister of State for Research and Technology in his address during the inauguration of
the Solar Villages which have been provided with Solar Home -Systems through Rural
Electrification Presidential Assistance Program in March 1992, This decision of the
Government is later stated in the BAPPENAS rural electricity program of PELITA VI (Five
Year Development Plan Six).
This rural electricity program has a goal to complete the provision of rural electricity
to all villages in Indonesia by the end of PELITA VII.
The 50 MWp Photovoltaic Rural Electricity Program falls well within the general plan
of BAPPENAS for rural electricity. To some extent, the BANPRES program is going to be
used as a model in the installation of some 20,000 units of SIS, which is the first phase
that have carefully been formulated under the framework of the 50 MW peak program; the
implementation of this program phase also will be carried out in stages.
76
____________________________________________________________________________________________
3. POLICY GUIDELINES
The goals of the long-term national energy development as described in the Second
Long Term Development Strategy (PJP II) [3]. especially for renewable energy are:
• To optimize the use of non-exportable energy resources, which is targeted to serve as
alternatives to exportable surplus of crude oil, which should be conserved.
• To increase the share of renewable energy utilization. This is aimed for the substitution
of conventional energy supplies and especially for meeting the decentralized energy
needs of the rural sector, by the use of economic (least cost) non-conventional and
renewable energy resources. The following fall within this category; mini hydropower
plant, mini geothermal power schemes, biomass-based power projects (including
cogeneration), solar photovoltaic, and wind energy. Solar photovoltaic technologies are
well proven and at the moment its viability is limited to remote communities where the
cost of diesel fuel is high and loads are small.
• To achieve 100 % rural electrification at the end of Repelita VII (VIIth Five-Year Plan) -
this will imply that to reach the goal of electrification to all villages, greater incentive for
private sectors should be created and local cooperatives should be involved in rural
electrification and alternative energy development by implementing a published tariff for
power purchases from small power producers and bulk power tariff from PLN.
• To promote energy conservation program.
In Indonesia, responsibility for the provision of electricity throughout the country has been
designated to PLN, The State Electricity Company. However, due to large investment
required for the installation of power station and distribution networks, as well as the
requirements for infrastructural support, the possibilities of certain villages in remote areas
being reached by PLN grid within 5 to IO years are also remote. For such situation, the
application of decentralized individual solar power system or other renewable energy
resources-based electricity power system may appear to be the most feasible and
appropriate alternative. Therefore, the objectives of the utilization of photovoltaic solar
electricity systems are identified as follows:
• to provide equitable opportunities for people throughout the country, with particular
reference to those living in rural and remote areas, to enjoy the benefits of electricity, as
the product of the national development.
77
____________________________________________________________________________________________
• to promote the utilization of local energy, especially those derived from non-oil
resources or renewable energy resources, as an implementation of the government
policy in the diversification of energy.
From the above criteria, the use of photovoltaic derived from Solar Energy for power
generation is an appropriate choice. The utilization of solar power generation is generally
for a strategic application in inaccessible areas. Some samples of these strategic
applications are:
• residential light
• water pumping
• cooling system for vaccines in remote community health centers and
• radio and television communication repeaters
Based on the experience gained in the applications of several models of solar

power generation system, it was concluded that the appropriate system for the provision of
village electricity in Indonesia, is an individual light system for which houses, Home is
known as Solar System (SHS), This system is a standalone one in every house, and the
electricity which is produced during the day time can be used for night-lighting and also as
power supply for a low powered IV or radio.
4. ASSESSMENT OF APPLICATION POTENTIALS AND STATUS
4.1 Installed SHS Units and public acceptance
Up to the end of PELITA V (Vth Five-Year Development Program), there had been
10.000 SHS units installed throughout Indonesia through programs such as The
Presidential Aid, BPIS, East Java Province and projects conducted by the private sectors,
From reports assessed by the Steering Committee of the Presidential Aid Projects,
response and acceptance from the users is very encouraging. The repayment scheme
within this project has also been considered to be successful. The success of this project
is also indicated by requests from local governments as well as communities to be
provided with similar Solar Home Systems.
4.2 System Specification

78
____________________________________________________________________________________________
The SHS which has been recommended by BPPT (GOI) is an individual system
The Solar Home System consists of:
• I (one) photovoltaic module with minimum of 50 Wp which is installed on roof or ground

pole and should be free from shadows.
• I (one) battery charge regulator to protect the battery from excessive charging and
discharging, and to control the power to the load.
• I (one) storage battery to store electricity for at least 3 days.
• (one) battery box to protect battery from surrounding and for safety.
• 3 (three) DC fluorescent lamps 6 Wit each.
• I (one) set of installation material which consists of cable, 3 switches, I DC outlet and
connector.
4.3 Project Objectives
General objective of this project is to speed up rural electrification program. The

priority of the program is given to villages which are beyond the reach of electricity network
from PLN in 5-10 years to come, in order to stimulate rural development by optimizing the
existing potential resources. This project, therefore, has the main target to increase the
living standard and the quality of life for those who live in remote and inaccessible areas.
Specific objectives of this project comprise:
• he implementation of SHS to remote areas as part of national development program.

• to increase the living standard of rural communities.
• to promote the use of PV technology as commercial commodity.
• to strengthen the participation of KUD (Cooperative Village Unit) management / similar
management team in the rural electrification program using SHS.
• to establish testing facilities for PV modules and balance of systems
• to support the development of photovoltaic related industries in Indonesia with target
local content of up to 80%
4.4 Feasibility Studies
To ensure success of the Fifty Mega Watt Peak (50 MWp) Photovoltaic Rural
Electrification in Indonesia, studies in search of the feasibility for the dissemination of SHS
79
____________________________________________________________________________________________
had been conducted. Various feasibility studies such as: Indonesian Strategic Masterplan
for Industrial Development in the Power Sector, conducted by BECOM LAHMEYER Int,
and PT CITACONAS; The World Bank Comparative Study of Solar PV in Developing
Countries Indonesia. In addition to it, at the present, a Survey for the Potential Demand for
Solar Home System in Indonesia is being conducted by the World Bank, BPP Teknologi,
and AIDAB (SOLARE X).
5. PROJECT IMPLEMENTATION SCHEME
5.1 Site Selection Criteria
There are around 65 thousand villages in Indonesia with different potential

resources, problems and cultures. Among those, certain villages will be selected according
to a number of criteria which in turn will become the recipient of the $1HS through this
particular program. By considering that the selected village must meet certain specific
requirements, then there are a number of criteria which have to be satisfied for a village to
receive the aid from 50 Mwp program.
In line with the criteria adopted for the Presidential Assistance Project, the criteria
are as follows:
1. The village is remote, far from the center of town.

2. There will be no grid connection projected for at least in the next 10 years.
3. The village is facing a problem of electricity provision, especially for lighting and
information flow.
4. The village has a solar energy resources potential which satisfies technical condition.
5. The village has a village cooperative unit (KUD) or the similar organization.
6. The people in the village interested in the system are able to pay for the hardware
according to the agreement.
7. There is a recommendation from the local government (PEMDA).
5.2 Site Selection Scheme
1. In every implementation stage, the Organizing Committee (OC) decides the number of
provinces and villages according to priority scale and plans the budget for every
implementation stage.
80
____________________________________________________________________________________________
2. The Organizing Committee will send a letter to provinces to be surveyed according to

the letters of demand from governors on Solar lower Electricity addressed to B3PP],
Departments of Cooperatives. Mines and Energy and Home Affairs and Bina Graha
(The President's Office)
3. The Organizing Committee will determine and select the recipient villages based on the
evaluation from the results of the survey which has been discussed in the Organizing
Committee meeting in line with the Steering Committee's suggestion.
5.2 Hardware Procurement Scheme
• The Organizing Committee determines the technical specification of SHS.

• Hardware procurement especially for PV Module will be carried out through an open
tender. At the first stage, PV modules may be imported from overseas but for
regulators, batteries, lamps, cables, outlets and other supporting hardware must be of
the local products which satisfy the technical specification.
• It is expected in the next stage that all hardware components will be supplied by local
manufacturers.
5.3 Implementation Scheme
• Survey to select locations.

• Purchase contract agreement between users and KUD or appointed bank.
• Hardware procurement and delivery,
• Hardware installation will be carried out by supplier under OC supervision.
• Commissioning will be conducted by Organizing Committee, Supplier, KUD or similar
body and local government team.
5.4 Training Scheme
- Training is conducted in a selected village.

- Local government takes part in the training session along with the involvement of KUD/
similar management body and university.
- In the first training session, the subject matter must include:
1. General description of SHS system for lighting.
81
____________________________________________________________________________________________
2. Operation and maintenance of the system.

3. Organization and management.
4. Ownership Procedure and Organization/Management
6. OWNERSHIP METHOD AND MANAGEMENT SYSTEM
The implementation of 50 MWp program will be conducted gradually on credit basis

using "Lease-Purchase Method".
Lease-purchase method is an ownership method which can be followed by the

users by renting the SHS equipment for a certain period from an appointed body; the users
will own the system when they completed their payment obligation.
The advantages of this method are:
• The System is guaranteed to be in operation during the leasing period.

• There is a motivation to pay the lease since they will own the system by the end of their
obligation.
7. MARKET POTENTIAL AND PROSPECT FOR SHS INDUSTRIAL DEVELOPMENT
7.1 Market Potential
The promise of providing photovoltaic electricity to some 1 million rural homes will
certainly offer a significant progress in the national development. In addition, almost
500.000 litters of kerosene which have been usually used for lighting can be saved every
day. In terms of money, with the current price of kerosene at Rp. 300, - per litter (not
including transportation cost) a market saving potential amounting to Rp. 150 million per
day or Rp, 54,750 million per year exists. Therefore, millions of litres of oil can be saved
every year due to the utilization of photovoltaic technology. Since oil has been providing a
significant revenue to the Indonesia, therefore the oil saved from being used light can be
exported to foreign countries in order to maximize foreign exchange income.
According to the plan of the GO], the first phase of implementation project will
comprise the dissemination for the following provinces: South East Sulawesi (SULTRA),
Central Sulawesi (SULTENG), North Sulawesi (SULUT), West Nusa Tenggara (NTB),
East Nusa Tenggara (NTT), East Timor (TIMTIM), Maluku, and Irian Jaya. The detailed
82
____________________________________________________________________________________________
information containing the projected district areas are included in the annex I, and will be
elaborated elsewhere in this conference.
6.2 Prospect for SIS Industrial Development
In addition to the improvement of rural communities by providing light and

information, this photovoltaic technology creates a significant new industry for the
Indonesian economic growth. The SHS industry will strengthen domestic industrial
capabilities by producing the sub-system of photovoltaic systems, such as batteries,
electronic controllers and all related services. New and potential opportunities for
economic activity will emerge both in urban and rural communities. The industrialization
established through this effort, in the long run will lead to self-reliance and capability to
provide competitive quality products needed by the population in isolated areas worldwide
and will assist the effort to distribute inexpensive electricity, in addition to continuously
promote domestic industry throughout Indonesia.
For this purpose, initiatives have been taken to establish partnership between
photovoltaic system manufacturers abroad with local industry to provide Photovoltaic Solar
Home Systems for the domestic market established through these 50 MWp rural electricity
projects.
7. CONCLUDING REMARKS
The by the use of photovoltaic technology is an effort to provide electricity to rural

areas that cannot be reached by conventional electricity network, thus contributing the
national development to effort of distributing development benefits equitably, as well as in
enhancing the quality of human resources throughout the country. In addition, the
establishment of the program opens up a domestic market for photovoltaic (solar home)
systems, which should be taken advantage of for added value process and creating further
economic development opportunity. The implementation of the project will be based on
economic basis, since the users required to purchase the system, although on soft-term
arrangement. Therefore, for effective and successful progress, financial assistance for the
83
____________________________________________________________________________________________
implementation of the project is required, both for the provision of the system at the initial
stages, as well as for establishing local manufacturing capabilities.
84
____________________________________________________________________________________________
8. REFERENCES
1. PV Solar Home Systems Sukatani – West java, Monitoring Progress Report, BPPT
R&S, May 1991.
2. Panggabean L.M and Dasuki, Agus Salim, Prospect of Photovoltaic Solar Home
System for Rural Electrification in Indonesia, FINESSE World Bank Workshop, Kuala
Lumpur October 1991.
3. Wardiman Djojonegoro, "Energy Demand and The Prospect of Solar Energy in
Indonesia", Kanazawa, Japan, 1992.
4. Harijono Djojodihardjo, "Application of Modern Technology on Power Generation",
Energy Symposium, BPP Teknologi & Siemens AG, Jakarta, Indonesia, 1994.
5. Rahardi Ramelan, "Some Thoughts on Indonesia's Long-term National Energy
Development Plan", Energy Symposium, BPP Teknologi & Siemens AG, Jakarta,
Indonesia,1994
6. Agus Salim Dasuki and Rachmat Mulyadi, "50 Mwp Rural Electrification in Indonesia ",
UNESCO - BPPT - LIPI Round Table Conference on Solar Energy Utilization. Strategic
Issues in Indonesia, Jakarta, 24-26 January 1995.
85
____________________________________________________________________________________________
Appendix: Proposed Sites for 50 MWp Photovoltaic Rural Electricity Program
In order to implement the program, some locations which are suitable for the project
should be chosen. The locations that have been nominated to receive the from the
installation can be seen
table below.
Province Location Implementation
Target
1 Sulawesi Tenggara Kab. Buton 7000
Kab. Kolaka
Kab. Kendari
Kab. Muna
2 Sulawesi Tengah Kab. Donggala 5400
Kab. Poso
Kab. Banggai
Kab. Buol Tolo-Toli
3 Sulawesi Utara Kab. Sangi Talaud 5000
Kab. Boalaang
Mongondow
4 Nusa Tenggara Barat Kab. Bima 2000
Kab. Sumbawa
Kab. Dompu
5 Nusa Tenggara Timur Kab. Timor Tengah Utara 5000
Kab. Kupang
Kab. Timor Tengah Selatan
Kab. Bclu
Kab. Alor
86
____________________________________________________________________________________________
Kab. Flores Timur
Kab. Sikka
Kab. Ende
Kab. Ngada
Kab. Manggarai
Kab. Samba Barat
Kab. SumbaTimur
6 Timor Timur21 Kab. Dilli 2000
Kab. Liquisa
Kab. Ainaro
Kab. Aleu
Kab. Bobonaro
Kab. Covala
Kab. Ermera
Kab. Lauter
Kab. Manufahi
Kab. Manatuto
Kab. Viqueque
7 Maluku Kab. Halmahera Tengah 5000
Kab. Maluku Tengah
Kab. Maluku Tenggara
Kab. Maluku Utara
8 Irian Jaya Kab. Paniai 5000
Kab. Yapen Waropen
Kab. Manokwari
21
Now Timor Leste
87
____________________________________________________________________________________________
Kab. Jayapura
Kab. Fak-Fak
Kab. Sorong
Kab. Merauke
Kab. Jaya Wijaya
36.400
88
____________________________________________________________________________________________
CONCEPTUAL DESIGN OF A MEDIUM-SIZED COMBINED SMART
PHOTOVOLTAIC - AGRICULTURE SYSTEM - CASE STUDY IN
MALAYSIA22
Chairman of the Board, The institute for the Advancement of Aerospace Science and Technology
(IAAST), Jakarta 15419, Indonesia
Abstract. With the backdrop of sustainable environment, Photo-Voltaic Power

System linked to Climate-Smart Agriculture may offer solutions for Sustainable
Energy, Climate Change mitigation and Sustainable Agriculture. An overview of
the scope, extent and options of such combined - Co-Located PV Agricultural
System appropriate for South East Asian setting, in particular, Malaysia and
Indonesia are elaborated, for preliminary insight on steps and choices that have
to be taken in undertaking such venture. Possible photovoltaic (PV) system
installation and estimate the cost, performance, and site impacts of different PV
options are discussed. Technical, financing and procedural aspects that could
assist in the implementation of a Co-located PV system at the site should then be
studied for decision options. A brief Framework for Conceptual Design of Co-
Located PV-Agricultural System Plant is outlined.
1 Introduction
Sustainable growth and the sustainability of the environment, and more pronouncedly, global
changes, are not only the concern of governments and international organizations, but for each
and every individual. Energy, food security, poverty and climate change are closely linked
22 Reproduced from a paper presented at ACPEE 2016, Bangkok, March 20-22, 2016
89
____________________________________________________________________________________________
sustainable development. Climate-Smart Agriculture is a very significant part of the solution for
both Climate Change mitigation and Sustainable Agriculture. Agriculture has much to contribute to
a low emissions development strategy. Climate-smart agriculture is essential for building capacity,
experience and guiding future choices, as well as smart management of natural resources
(Djojodihardjo, 1996; Djojodihardjo, 2015). Climate-smart agriculture is closely related to
sustainable energy. Accordingly, to address sustainable energy and climate-smart agriculture
relevant for sustainable development on the macro scale, and economical sustainable energy in
the micro scale, the present work reviews and summarizes relevant aspects on the state of the
overriding considerations and then present a preliminary concepts of Combined Smart /Co-Located
Photovoltaic - Agriculture System, appropriate for South East Asian setting, in particular, Malaysia,
as a case study. Furthermore, the purpose of this paper is to provide an overview of the scope and
extent of such combined - Co-Located PV Agricultural System, for preliminary insight on steps and
choices that have to be taken in undertaking such venture. A comprehensive assessment on the
site for a possible photovoltaic (PV) system installation and estimate the cost, performance, and
site impacts of different PV options would be the follow up of the decision choices. Financing
options that could assist in the implementation of a PV system at the site are discussed for
decision options. A brief framework for conceptual design of Co-Located POV-Agricultural System
Plant is outlined.
Figure 1: (a) Total primary energy demand and GDP in selected Southeast Asian countries, 1971-
2013 (IEA, 2013); (b) Energy demand prospects (IEA, 2015).
90
____________________________________________________________________________________________
Figure 2: (a) Potential cumulative values of RE installed capacity in Malaysia for the period (2011–
2050) (Ismail et al, 2015); (b) PV Development Plan, 2015-2024, Indonesia (Abd.Rosyid, 2015)
The focus of the present paper is on the ASEAN region, as one of the fastest developing
regions in the world which requires rising energy supplies for its rapid economic development
growth. Since Southeast Asia’s energy use and economic growth gradually decouple, driven by the
adoption of more efficient technologies, increasing saturation of appliances and equipment in some
markets, and as the economic structure shifts to less energy-intensive activities (Ismail et al, 2015),
this ratio is expected to gradually decline over time. The energy demand evolution is illustrated in
Fig. 2, which summarizes the potential cumulative values of Renewable Energy installed capacity
in Malaysia for the period (2011–2050) (Mekhilef et al, 2011; Ismail et al, 2015) and Indonesian PV
Development Plan, 2015-2024 (d; Abd.Rosyid, 2015). Figure 3: Solar Irradiation in Malaysia and
Indonesia.
Figure 3: Solar Irradiation in Malaysia and Indonesia in (MJ/m2/day) in the backdrop of Global
Radiation in (synthesized from Solar PV Atlas, Mekhilef et al, 2011 and Rumbayan et al, 2012)
2. Solar Photo Voltaic applications in Malaysia and Indonesia
To illustrate the dedicated application of Photo Voltaic Solar Energy, in 1998, Tenaga Nasional
Berhad (TNB) in Malaysia has installed grid-connected PV systems for National power utility
(Mekhilef et al, 2011). Six pilot grid-connected PV systems were installed with power capacity
ranging from 2.8 kWp to 3.8 kWp in 1998. first grid-connected PV system was installed by Tenaga
National Research (TNR) Sdn. Bhd. on the rooftop of the College of Engineering, University
Tenaga Nasional (UNITEN) with the system capacity of 3.15 kWp (Mekhilef et al, 2011; Mun et al,
2015). Next two grid-connected photovoltaic systems were installed, one at a BP petrol station with
91
____________________________________________________________________________________________
the capacity of 8 kWp by BP Malaysia while the other one was installed at Solar Energy Research
Park in University Kebangsaan Malaysia (UKM) with a capacity of 5.5 kWp. One of the objectives
of these initiatives is to introduce energy savings in the area of high-rise buildings construction and
design through air flow improvement. Integrated installation of PV system in a building can improve
energy efficiency of a building through meticulous air flow improvement, even though the building
is tightly sealed to the outside. Prototype Solar House (PSH) has been designed and built in order
to emphasize the multifunctional aspects of PV in buildings for living house at urban areas in the
country (Mekhilef et al, 2011). In 2000, the first Malaysian Building Integrated Photovoltaic (BIPV)
system was installed in Port Dickson with the capacity of 3.15 kWp. By November 2000, another
BIPV system was installed in Shah Alam with a capacity of 3.24 kWp.
Figure 4: Some Examples of Solar PV Power Plant Installed in Malaysia; (a) 362 kWp Building
Integrated Solar Photovoltaic System at PV system Technology Park Malaysia; (b) 646 kWp
Building Integrated (Roof-Top) Integrated Solar PV Power Plant at Robert Bosch (M) Sdn Bhd,
Penang, Malaysia; (c) 19 MWp Kuala Lumpur International Airport, combined ground-mount,
parking canopy and rooftop PV systems.
The installations, being a standalone system, were fixed on the top of existing roof tiles and
appeared to be successful since it is functioning without any problem in maintenance of the unit
(Erge et al, 2003; Anonymous, 2009). Some PV Power Plants that have been installed in Malaysia
recently are exhibited in Fig. 4.
3. Co-Located PV system plants imperatives
In a recent shift towards Grid-Connected Systems, at the end of 2008, cumulative installed PV
capacity totalled more than 14 gigawatts (14,000 megawatts) worldwide, according to the
International Energy Agency (IEA) (IEA, 2015).
92
____________________________________________________________________________________________
Figure 5: Worldwide Grid-Connected and Off-Grid PV Power (IEA, 2015)
Figure 6: World PV cell/module production from 2005 to 2013 (extracted from Waldau, 2014)
Approximately 5.5 GW of PV was installed in 2008, an increase of about 140% over the
previous year. The IEA data clearly indicate tremendous growth in grid-connected PV since the
mid 1990s when it was the minority of the market. This trend has continued such that grid-
connected applications accounted for about 94% of cumulative installations by 2008. Off-grid
applications have continued to grow worldwide, although less vigorously than grid-connected
systems.
Fig. 6 illustrates the growth in PV capacity for both off-grid and grid-connected applications.
Based on market and policy considerations, grid-connected PV systems for commercial, industrial,
and residential uses appear to be entering a period of long-term, accelerated growth after recovery
from recession of 2009’s. Fig. 5 shows the World PV cell/module production from 2005 to 2013
(extracted from Waldau, 2014).
3.1 Vegetation-Centric Approaches to Co-Location
Vegetation-centric approaches to co-location of solar energy and vegetation are characterized by

actions that serve to maximize biomass production activities and minimize changes to existing
vegetation management activities, while also incorporating solar energy production activities.
93
____________________________________________________________________________________________
Vegetation-centric approaches may be well suited to areas that are land constrained or that are
already developed agricultural areas. The basic premise is that the vegetation productivity of the
land being utilized is not sacrificed for the sake of solar generation. An example of Vegetation-
Centric Approach to PV System Co-Location is exhibited in Fig. 7
Figure 7: (a) Pasture crops growing under Figure 8: Center-pivot irrigation envelopes with
elevated PV panels in Massachusetts. Photo irrigated lands. Yellow areas show unused and non-
from Stephen Herbert, University of irrigated lands that could be sites for solar energy
Massachusetts (Mcknick et al, 2013). technologies (Mcknick et al, 2013).
3.2 Energy-Centric Approaches to Co-Location
Energy-centric approaches to co-location of solar energy developments and vegetation are

characterized by actions that serve to maximize solar energy output, minimize changes to solar
development standard practices, while also promoting vegetation growth under and around the
solar installation. Ideally, energy-centric approaches to co-location do not lead to a reduction in
expected solar energy output. Energy-centric approaches may be well suited to areas with high
quantities of land targeted for solar energy development or areas where solar development has
already occurred. An example of Energy-Centric Co-Location of PV panels and vegetation at
NREL site is exhibited in Fig. 8. Fig. 9 exhibits some examples of various PV Plants recently
installed in Malaysia and Indonesia.
94
____________________________________________________________________________________________
Figure 9: Summary of some PV Plants Examples in various categories
4. Preliminary conceptual design of Co-Located PV-Agricultural system
Basic Configuration. An more detailed elaboration of the conceptual design described here
should be made, based on in depth study for practical implementation like Small Scale Experiment
for Technology and Model Identification, Feasibility Study and Collateral Assurances, Site selection
95
____________________________________________________________________________________________
and Land Requirements of Solar Energy Installations, as well as Land-Use and Environmental
Impacts Study of Co-Located PV-Agriculture System Projects.
One option of the Co-Located PV Power system that can be proposed is exhibited in Fig. 10,
following the configuration of Pasture crops growing under elevated PV panels as example. Its
capacity can be chosen between 300KWp to 1 MWp. The circuitry schematics are reproduced on
the right of this figure.
Figure 10: Configuration Option #1 – following Pasture crops growing under elevated PV panels
example. Capacity can be chosen between 500KWp to 1 MWp. The circuitry schematics are
shown on the right. Illustrated in the inset is the image of monocrystalline solar panels, which can
be 3utilized.
Summary of Sample Design Sizing and the Calculation of the Number of PV Panels. The
summary is given in Table.1.
Table 1: Sample Estimate of PV System Preliminary Design
PV No.Rows Total Watts- Total Watt Price/Panel(es Price

Panel /module No.PV peak/ Powe s.m2 timate,MYR) PV
s/row Panels/ PV r Pane
module Panel (Watt ls
s- (MY
peak) R)
600 5 3000
Solar RM
Panel 126.90
100Wp
Monocr
96
____________________________________________________________________________________________
ystalline
Equatio Energy Generated (kWh/day) =Annual Solar

n1 Radiation x Sun Hours x PV Efficiency x Area
Equatio Annual Revenue = Energy Generated x Days

n2 in a Year x FiT rate
Equatio Return of Investment = Initial Investment/ Net

n3 Annual Benefits
Option 100 300,0 pm 127 381, 1

3, PV 00 000 module,
Panels 300,00
Only, 0Watts-
each peak
100 Wp
3 1,27 ~3
Modules 0,00 module
, PV 0 s
Panels
1 MW-
Only
peak
Initial Investment PV
Cost Module+Inverter+Batteries+Installati
on cost+contingencies
Net Annual Revenue-Operation & Maintenance

Benefits Cost
Revenue Income from selling power to the

utility
Operation and Assumed to be 1~2% of the initial

Maintenance investment cost; can be changed
(O&M) due to situation
Inverter SPM300 3,000M RM1,3 US$4

0MS W, 78.00 59.40
Modifie
d Sine
Wave
Dee4p SPM100 100AH, RM77 US25

Cycle SB 12V,AG 2.00 7.40
Batterie M
s
97
____________________________________________________________________________________________
Wiring US2.
45/m
Support
Frames
Installati
on Cost
Initial RM 4,125,00 Prorate Payba 4.258 year Annual Roug

Investm 0 d from ck s Revenue h
ent earlier period Esti
Study , mate
years 676,
363
5. Concluding Remarks
Based on an exhaustive review on Photo Voltaic Power System technology and Applications in
various parts of the world, and particular applications in Malaysia and Indonesia, a comprehensive
insight on conceptual design and technical requirements for an independent venture of Photo
Voltaic Power System has been gained. Based on these, a conceptual design and preliminary
configuration of a Co-Located Photovoltaic Agriculture system has been proposed, including the
probable investment and rate of return.
References
1. Djojodihardjo H. (1995). Perspective of Fifty Mega Watt Peak (50 MWp) Photovoltaic Solar
Home System for Rural Electrification in Indonesia. Paper presented at UNESCO-BPPT-LIPI
Round Table Conference on Solar Energy Jakarta, 1995.
2. Djojodihardjo, Aerospace Technology Vision for Green Energy, Paper ICSAFEI-189-24 August
2015, resented at the 7th Conference on Sustainable Food, Energy and Industry in Regional
and Global Context, 25-27 August 2015
3. IEA, Southeast Asia Energy Outlook - WEO Special Report-IEA, 2013
4. IEA-Southeast Asia Energy Outlook - World Energy Outlook Special Report 2015
5. Ismail, A.M. et al, Progress of solar photovoltaic in ASEAN countries: A review, Renewable and
Sustainable Energy Reviews, 2015
6. Abd.-Rosyid, Opportunities and Challenges for Solar PV Rooftop in Indonesia, BPPT, 2015
7. Mekhilef et al, Ismail, A.M. et al, Progress of solar photovoltaic in ASEAN countries: A review,
Renewable and Sustainable Energy Reviews, 2015
98
____________________________________________________________________________________________
8. Solar PV Atlas: Solar Power in Harmony with Nature, http://awsassets.panda.org/

downloads/solar_pv_atlas_final_screen_version_feb_2013.pdf
9. Erge T, Haw LC. PV in buildings for Malaysia: prototype solar house. In: Proceedings of 3rd
world conference on photovoltaic energy conversion, vol. 3. 2003. p. 2358–61.
10. Anonymous, Equatorial sunshine: the Malaysia BIPV programme. Renewable Energy World
Magazine 2009.
11. IEA-Trends 2015 in Photovoltaic Applications
12. Waldau, J., PV Status Report-2014, November 2014, European Commission, DG Joint
Research Centre,
13. Macknick, Beatty, Hill, NREL, Overview of Opportunities for Co-Location of Solar Energy
Technologies and Vegetation, 2013
99
____________________________________________________________________________________________
100
____________________________________________________________________________________________
VI
VISION, DEVELOPMENT AND EXPERIENCE IN SMALL

SATELLITES FOR CAPACITY BUILDING, WITH
PARTICULAR REFERENCE TO INDONESIA AND
MALAYSIA23
Harijono Djojodihardjo24, Md. Azlin Md. Said25,
Mohd. Faizal Alaudin and Mohd. Shamsul Kamal Adnan26
School of Aerospace Engineering, Universiti Sains Malaysia
Engineering Campus, 14300 Nibong Tebal, Pulau Pinang
and Eriko N.M.Nasser27,
The Indonesian National Institute of Aeronautics and Space (LAPAN)
Rancabungur, Bogor, Indonesia
harijono@djojodihardjo.com
SUMMARY
National vision and university creativity and resourcefulness, play a very significant role in capacity
building in space technology. Embarking on space program which was marked by the successful
launch of the first Malaysian satellite into orbit in 1997, a fully-fledged space program is currently
under way with the active participation of Malaysian Universities, among others the University of
Science Malaysia, as key players for capacity building and human resources development.
Malaysia has already launched Tiung-Sat Microsatellite in cooperation with the University of
23 Presented as paper UN-IAA-06 at the 57 th International Astronautical Congress, 1-6 October 2006/Valencia, Spain
24 Professor, Visiting; Formerly Professor, Institut Teknologi Bandung, now at the Institute for the Advancement of
Aerospace Scince and Technology “Persada Kriyareka Dirgantara”, Jakarta, Indonesia
25
Associate Professor, now Professor, School of Civil Engineering, University Science Malaysia, Nibong Tebal, Pulau
Pinang, Malaysia
26
Both Faculty Members, School of Aerospace Engineering, University Science Malaysia, Nibong Tebal, Pulau Pinang,
Malaysia
27
Research Scientist, LAPAN (Indonesian National Space Agency)
101
____________________________________________________________________________________________
Surrey, which has greatly increased its prospects of developing satellite technology. Such venture
has greatly increased the opportunity of universities to participate in space projects, especially in
the areas of capacity building in space technology via University based small satellite projects.
Embarking on a very significant and strategic space application with the launching of PALAPA
domestic satellite communication in 1976 addressing far reaching social and economic
development, Indonesia active venture into space technology development progresses through a
different pace, that started with long term visionary study undertaken in 1975, the cooperation of
PT IPTN (now PT DI) with Hughes for proactive satellite technology development in 1989, and the
more recent effort by LAPAN to develop its first microsatellite. LAPANSAT, in cooperation with
DLR and Technical University of Berlin. The outcome, LAPANSAT, is due to be launched this
month October 2006 using Indian satellite launcher. In these cases, the university, particularly the
Institute of Technology Bandung, has played significant role through involvement in expertise and
capacity building. Vision shared by both countries is that that there is a strong relationship between
the social economic progress of a country and its venture in Space Technology Development.
Particularly, with the advent of small satellite technology, the prospects for involvement of
developing countries in space activities, including active participation by universities, have greatly
increased significantly. To illustrate the close relationship between national vision and university
role in capacity building in space technology, a comprehensive review on the relevance of vision
and university participation in in-country space technology development study is carried out, with
examples being drawn from two specific countries: Malaysia and Indonesia. Progress and
development in this regard will be briefly outlined. Particular considerations are given to the work
carried out at the University of Science Malaysia, Malaysia, which is currently undertaking a remote
sensing nanosatellite project, among others, and Institute of Technology Bandung, Indonesia,
which has carried out, among others, the conceptual study of Ganesyasat.
1. Introduction
The benefits derived from the use of space technology have been enjoyed by a larger number of
developing countries, which one may attribute to the vision of these particular countries, and the
effort by the United Nations through the Policy encouraged by its Committee on Peaceful Uses of
Outer Space (UN-COPUOS) and the Office of Outer Space Affairs (UNOOSA), as well as
cooperative activities carried out with space fairing countries for mutual benefits. Space
Technology Development, however, is carried out by only a limited number of countries, partly due
to the large capital investment and high risk generally associated with space activities, national
development priorities which may be focused on quick yielding economic activities. Nevertheless,
national vision and university creativity and resourcefulness, play a very significant role in what has
been generally known (as promoted by UN-COPUOS and UNISPACE III, most conspicuously
through the Vienna Declaration of 1999) as “capacity building”. Without going through the detail, it
can be observed that there is a strong relationship between the economic progress of a country
and its venture in Space Technology Development. Particularly, with the advent of small satellite
technology, the prospects for involvement of developing countries in space activities have greatly
102
____________________________________________________________________________________________
increased. Observing the rapid development of Space Technology in Korea and some South-East
Asian countries, countries previously unable to pursue space activities have now achieved
significant progress for their social and economic benefits by being involved in Space Technology.
A review on the efforts carried in Space Technology Capacity Building and Development
in two South-East Asian Countries is deemed to be of interest and beneficial. Indonesia, for
example, has long embarked upon the economically and socially strategic venture in the
introduction of one of the first Domestic Communication Satellite System “PALAPA” in 1976, as
well as the study carried out by LAPAN, the Indonesian Space Agency, for capacity building in
related space technology. In fact, the idea of an equatorial satellite system for remote sensing
beneficial for GIS, Environment and Earth Resources Monitoring in Indonesia was first reported [1]
in a joint UN-Government of Indonesia/ UN-FAO-LAPAN Sponsored Workshop on Space
Communication and Remote Sensing in November 1975. Through the vision articulated in the
National Development Activities, since then LAPAN, BPPT and BAKOSURTANAL have carried out
significant activities in the use of remote sensing for national development, although only as recent
as 1999-2001 LAPAN has embarked upon small Satellite development. LAPANSAT developed in
cooperation with Germany (DLR, TU Berlin) is due to be launched this month using Indian launch
vehicle.
For Malaysia, Space Technology is seen as an important tool to allow the transition from a
developing country to a developed country. As Malaysia’s vision is to be a developed country by
2020, it needs to enhance the capability and capacity of its space technology at an accelerated
pace. During the Seventh Plan period (RM7) (1996–2000), despite the economic slowdown, high
priority was accorded by the Malaysian Government for the promotion of science and technology
(S&T), research and development (R&D) as well as technological innovation as an essential part of
the Government’s overall strategy of sustainable economic growth, accelerating industrial
development and building the foundation for the attainment of a scientific and technologically
advanced society by the year 2020. The policy thrust was based on the synergistic collaboration
between the public and private sectors as well as with the scientific and technological community.
The core strategies of R&D, in particular, were focused on promoting value-added research
activities that contributed to increasing competitiveness, strengthening linkages and enhancing
productivity for competitive advantage [2][3]. With a vision that scientific advances and
technological changes are becoming increasingly important in developing a knowledge-based
economy, emphasis has been given in RM8 (2001–2005) by the government to support S&T
development that promotes productivity driven growth and provides for competitive advantage [2].
In addition, the Malaysian Prime Minister has classified Aerospace Technology as high priority
research area and allocated good amount of research funds under Intensification of Research in
Priority Areas (IRPA) grants.
Along this line, experiences from two ASEAN countries are here reviewed in view of the
vision for capacity building in space technology. Both in Malaysia and Indonesia, national project
on satellite development will contribute to capacity building and the development of the body of
knowledge in satellite technology suited for research and education purposes.
103
____________________________________________________________________________________________
2. Motivation
Indonesia is facing a great challenge for the years to come, due to the need for developing
her social and cultural welfare and economic progress, proper natural resources and
environmental management, while facing global competitiveness and establishing continued
development program socio-cultural transformation.
There is a need to formulate roadmaps to achieve progress with optimum efforts and
resources, as well as to enhance capability to harvest progressively the fruit of development in
sustainable manner. On one hand there may appear challenges to achieve unique and high quality
requirements on many of the elements of social and economic progress, i.e. natural resources,
human resources, market opportunities and geographical advantage; on the other hand one may
face constraints in the financial system, cultural inertia and paradigm, and the need to carry
forward large social momentum that may be characterized by a “roller coaster“ dynamics[4].
Space activities incorporate some of the most important areas of high technology: computer
software and hardware development, sophisticated electronics, telecommunications, satellite
manufacturing, life sciences, and advanced materials and launch technology. Space activities also
involve some of the most significant issues of international trade and policy: global markets,
gaining access to remote areas, government-subsidized competition and international
standardization and regulation [5][6].
Such indirect effects of space technology applications, which in the past were considered
by-products of research and development, are increasingly looked upon as primary effects and a
meaningful element of an industrial policy. Non-space industrial sectors are taking advantage of
new technology, new processes and new materials in order to remain competitive in their fields.
The origin of much of the new spinoff technology can be found in space industry. Space has
proved to be of crucial strategic, political, socio-economic and scientific importance. The creation of
international space organizations, national space agencies or authorities and research and
applications institutions has stimulated the development of technological capabilities and industrial
infrastructures, along with growing user/consumer markets all over the world.
In addition to economic interests, practically every country could have strategic interests in
the development of or access to space applications, with significant impact on such important
components of policy as the environment, agriculture, sustainable development, communications
networks, natural disaster prediction, education and health care. Space technology may then play
a key role in policy- and decision-making processes at the national, regional and international
levels.
There is currently a wide range of satellite remote sensing systems that are useful for
providing data to assist in the resolution of issues of national, regional and global significance.
These systems range in spatial resolution from kilometres down to meters and record in
wavelengths from the ultraviolet through the visible and infrared to the thermal infrared and
microwave regions of the electromagnetic spectrum. The particular region over which a sensor
acquires data, as well as its spatial resolution and revisit capability (i.e. the time between
104
____________________________________________________________________________________________
successive viewing by the satellite of a given site) are important considerations that determine the
usefulness of the data for application in a number of key development sectors, such as agriculture,
mineral exploration, forestry, hazards monitoring, fisheries and hydrology.
3. Vision
The vision and role of Government Technology and Policy Offices is very crucial. In
Indonesia, policy related to Space Technology development is formulated and coordinated by the
National Planning Agency (BAPPENAS), the Ministry of Research and Technology and the
National Space Agency (LAPAN) [4], among others, while in Malaysia, by the Ministry of Science,
Technology and the Environment of Malaysia (MOSTE) and Aerospace Agency (ANGKASA),
which was established in 2002.
The National Development Planning (in Malaysia is formulated under the Rancangan
Malaysia, while in Indonesia, Rencana Pembangunan Lima Tahun) established the major
directives and guidelines, not only serving as an umbrella, but as significant thrusters [3]. In this
conjunction, Universities are very responsive to such objectives, and taking into account their
research and higher educational nature capabilities and objectives, universities have significant
role and contributions in such national efforts.
4. Development Philosophy and Thrusts

For the past ten years prior to 1997, Indonesia has placed aircraft technology and space
application program as priorities in the national development program. Aerospace development
program includes programs in the fields of aeronautics and space. To a large extent, the national
priorities set out by the government to address current problems, as well as the global and
domestic market situation are essential in motivating private sectors to actively contribute to
aerospace technology applications and development that offer market opportunities. On the other
hand, globalization thrust that has manifested itself in the interest and competitiveness of private
ventures has led private initiatives in satellite communications, involving international partnerships.
Structured Governmental Approach, Private Initiatives and Market Appeal; Indonesian case
The interest to develop satellites have rooted well in 1975, when with the decision of the
Indonesian Government to utilize Domestic Satellite Communication System, LAPAN has carried
out some study towards establishing capabilities in satellite technology. However the attempt failed
to gain support from the government due to the priority setting, which to the author’s opinion was
dominated by the equitable distribution of prosperity and economic growth considerations, rather
than by proportional and distributed budgeting approach that place science and technology in par
with economic growth and equitable distribution of prosperity. Later efforts carried out by PT IPTN
(now PT DI) in gradually and appropriately sharing the technological and industrial responsibility in
developing the domestic communication satellite, which the Indonesians are bound to continue
utilizing due to the geographical, geopolitical and geo-social nature of the country, is now
105
____________________________________________________________________________________________
uncertain. The desire to take some share on space technology development, however, remains
alive.
During the last few years, such desire is exhibited by the activities of ASSI, Indonesian
Satellite Association, a combined community of industrialists, scientists and technologists with
telecommunication background, as well as the microsatellite program brewing at the Indonesian
Space Agency LAPAN and the National Research Council since early 90’s. The technological
progress cannot be separated from the national approach in development, which for the case of
space technology, could be drawn from the structure depicted in Fig.1.
With such structure, synergy between private venture and government leadership could still
be strengthened. It is heartening that since 2000, effort to develop microsatellite has gained new
momentum by the support of key government officials. Cooperation between LAPAN with other
Asian as well as European countries has grown in this direction.
Fig.1. National Scene for Satellite Applications in Indonesia
Some of the benefits and advantages of small and microsatellite for earth observation
applications are, among others [7]
1. To enhance small and intermediate scale agricultural productivity, which are attributed by
capabilities to provide information on local climate, identification of soil characteristics, and
advances in information, communication and transformation systems that accompany
satellite applications.
2. To reduce transportation costs, which is made possible due to possibility to optimize land
and sea (truck, bus and ship) transportation routes, and possibility of establishing warning
and detection system for truck, bus and ship transportation system.
106
____________________________________________________________________________________________
3. To establish capabilities for early detection of natural disasters such as forest fire, flood
and the like, due to possible establishment of Satellite remote sensing network and Satellite
communication network.
The question whether microsatellites are feasible and cost effective is now balanced by the
overriding considerations of capability development. In the area of remote sensing and
geographical information system activities, two phenomena worth noting. The first is the growth of
interest and applications of remote sensing and geographical information system in private as well
as governmental institutions, as well as the entrance of private companies that offer services in the
field. The availability of satellite services is also growing, but accompanied by the increase of
financial commitments. On the other hand, the growth capability of Remote Sensing Ground
Station is somewhat limited, to a large extent due to its dependency on imported and sensitive
technologies.
There appears to be a valid need to develop technological capabilities at home as well as develop
affordable satellite systems for specific domestic applications, in remote sensing, communication
as well as navigation.
Malaysian space technology thrust
The first Malaysian satellite successfully launched into orbit was in 1997. Space activities are
developed under the umbrella of the Ministry of Science, Technology and the Environment
Malaysia (MOSTE) which was established in 1973 as the Ministry of Technology, Research and
Local Government. The Ministry’s name was changed to its current name in 1976 to reflect its
growing role in the promotion of science, technology and the environment. In 1994, the
government, identified three principal strategies for developing national space technology
capabilities:
➢ involvement of the private sector in foreign space programs,
➢ establishing formal links between Malaysian institutes with foreign space agencies,
➢ fostering closer regional governmental relationships.
There are three major applications of space activities in Malaysia. These are Telecommunication,
Broadcasting and Remote Sensing. As part of the efforts to develop the aerospace industry and
space technology, a microsatellite program has been formulated by the government during the 7th
Malaysian National Plan (RM7) to serve as the catalyst in developing domestic capability and
manpower in satellite technology. The program involved the design, construction and launching of
a microsatellite for research in remote sensing and orbital positioning.
107
____________________________________________________________________________________________
Fig. 2. Overall structure of Malaysian Space Capacity Building
A microsatellite named TiungSAT-1 was designed and built in collaboration with the University of
Surrey and SSTL (Surrey Satellite Technology Ltd), United Kingdom under a technical program
which provided a Know How Transfer and Training (KHTT) program to a team of Malaysian
engineers and scientists.
The TiungSAT-1 program allows Malaysia to acquire the skills needed in satellite design and
construction with an adequate degree of confidence. The launch of TiungSAT-1 was seen as a
stepping stone for Malaysia to get involved in the highly sophisticated space technology.
Malaysian space actors

There are three major applications of space activities in Malaysia, these are Telecommunication,
Broadcasting and Remote Sensing. The relationship between the space actors in Malaysia is
shown in Fig. 2. The National Space Agency or Agensi Angkasa Negara (ANGKASA) was created
in 2001. ANGKASA has been established under the Ministry of Science, Technology and
Environment, and aims to coordinate Malaysia’s requirements in aerospace and satellite
technology and to monitor all spaces activities in Malaysia.
The Agency is playing a coordinative role in the channelling of research and industrial development
funding, and carries out regulations by means of legal instruments for domestic and international
activities. The agency will focus on directing the various undertakings in the Ministry of Science,
Technology and the Environment to achieve a common goal, and ensure concerted national efforts
in terms of education, capacity building, applications, technology acquisition and development,
regulations and advancement of knowledge.
The Malaysian Centre for Remote Sensing (MACRES) was established in August 1988 by the
Ministry of Science, Technology and Environment. MACRES include many end-users from other
108
____________________________________________________________________________________________
governmental agencies such as the Meteorological Department, the Department of Environment,

the Fisheries Department and the Forestry Department. MACRES serves as:
Principle research and development organization in the areas of remote sensing and related
technologies in the country.
Advisor to the government on matters pertaining to remote sensing and related technologies in
Malaysia.
Focal point for implementing the National Remote Sensing Program, by acting as the permanent
secretariat to the National Remote Sensing Committee.
Coordinator for implementing remote sensing activities in the country.
MACRES has its own ground station, which receives satellite images directly from various
providers such as SPOT and RADARSAT. Astronautic Technology Sdn. Bhd. is a company (non-
institutional entity) wholly owned by the Government with the initial objective to carry out a satellite
technology program with Surrey Satellite Technology Limited SSTL in the development and
launching of microsatellite TiungSAT-1 which carried a scientific experiment and earth observation
payload.
TiungSAT-1 main aim was for Malaysian engineers to acquire the skills needed in satellite design
and construction. Astronautic Technology Sdn. Bhd. now plans to be a prime contractor for the
Malaysian Government in satellite technology and is now working with various international
partners. Binariang Satellite Services (BSS) is the owner of the first Malaysian satellite Measat-1.
Currently they own two satellites and plans to buy more to fulfil the telecommunication and
broadcasting needs in Malaysia. Essentially BSS is a satellite developer and owner.
5. Enabling Technologies
There are certain objectives that merit the development of small national satellite system, in
particular related to communication, navigation and remote sensing. It may be desirable to develop
satellite-based and ground-based GNSS augmentation system to meet the cost-effective air-traffic
infrastructure development, taking note of the prevailing situations. A study addressing this
problem has recently been carried out by a working-group commissioned by the
Indonesian National Council for Aeronautics and Space (DEPANRI28) as reported in [8]. More low
cost and technologically feasible effort is to develop small remote sensing satellite with
communication capabilities. In this regard, two payload technologies are of great interest; these
are: camera for remote sensing and store and forward communication system. The technology
is considerably mature, and some of the elements are available on the market as well as
affordable.
The effort carried out by the University of Surrey in pioneering cost-effective small satellite
techniques since commencing its UoSAT program in 1979, has encouraged other universities to
carry out similar development in the research low-cost small satellite techniques, demonstrating
28
Now has been dissolved
109
____________________________________________________________________________________________
the capabilities of a number of (6) micro/minisatellites in orbit applications of affordable

micro/minisatellites as well as promoting space education and training.
In this conjunction, the technology and camera system utilized by microsatellites recently
developed, such as those led by the University of Surrey which includes KITSat (Republic of
Korea), TMSAT (Thailand's First Microsatellite for Communications and Earth Observation, a
microsatellite jointly developed by Mahanakorn University of Technology in Thailand and the
University of Surrey) [9] as well as TiungSat (Malaysia)[10] are of interest to those who initiate
efforts to develop microsatellite. Other microsatellites of interest are TUBSat developed by The
German Space Research Center DLR and Technical University of Berlin [11], SUNSAT [12],
developed by Stellenbosch University of South Africa, and the systematic effort carried out by San
Jose State University to develop its Spartnik microsatellite published in the web [13]. Much can be
learned from the work mentioned above and elsewhere; some of the significant features of these
microsatellites has been taken into considerations in the development of microsatellites at LAPAN
as well as at ITB [14]
Malaysian TiungSat Microsatellite [10]

Technology utilized and developed in the Malaysian TiungSat Microsatellite, in cooperation with
the University of Surrey, serves as another example in enabling technologies of interest to
universities. TiungSat is equipped with three types of camera: Wide Angle, High Resolution and
Narrow Angle Camera MSC (Tiungsat-1) The Wide-Angle Camera (WAC) has a specification
similar to that utilized on UoSAT-5 and PoSAT-1 microsatellites. Focal length up to 4.8 mm for
continental coverage. At 800-km altitude the resolution is 2 km per pixel. This Camera is fitted with
optical filter for near-IR sensitivity to distinguish land, sea and clouds. The Camera is suitable for
meteorological application. The WAC can also function as ‘spotter’ to facilitate picture location from
other camera with limited field of view. The High-resolution Camera (SHC) is designed with spatial
resolution of 10 meter at orbital height of 650 km. The lens has a focal length of 4,6 mm to produce
high resolution. Lens mass is 6 kg plus 0,6 kg standard mass of modular camera.
Including other supporting equipment, the total camera mass reached 10 kg. SHC has a wide
band characteristics (panchromatic) with strong visible spectrum (green and red). The
characteristics of this camera is similar to SPOT panchromatic mode camera with more limited
field of view. Narrow Angle Camera Multispectral Cameras (MSCTiungsat-1) is a Kodak KAI-001
with a focal length of 4,180 mm to produce spatial resolution of 35 meter at a height of 650 km.
The camera has similar capability as the Thematic Mapper of LANDSAT, which is operating at
visible and near-IR spectra. The duration of image taking of this camera is around 60 Ms. The
Mission Objective of Tiungsat-115 is:
The Multispectral Earth Imaging CCD camera provides 80-m ground sampling in 3 spectral bands
with an 80 km f.o.v., and is capable of providing detailed information on earth resources, land use
and environmental haze pollution. Two 20 MHz T805 Transputers provide parallel on-board image
processing capability.
110
____________________________________________________________________________________________
Meteorological Earth Imaging CCD (WAC) is providing wide field 1.2 km ground sampling with a
1200 km f.o.v. capable of monitoring weather patterns and providing hurricane warnings.
TiungSat Digital Store and Forward Communications is using a powerful on board TMS320C31
DSP techniques coupled to synthesized, frequency agile transmit/receive systems to provide
global, communication for email, voice-mail, scientific data exchange, fax, images, and internet
access to a range of small ground user terminals.
6. Efforts by Universities to develop Satellites for Capacity Building
Indonesian Universities with ITB’s Ganesyasat as an example ITB, has contributed to many of the
Indonesian satellite program in terms of expertise, as well as providing graduates in relevant fields
and cooperative research. ITB, for example, has been in close cooperation with LAPAN and
various telecommunication companies related to space technology and applications activities. In
particular, close cooperation has been maintained with LAPAN in various parts and aspects of
many LAPAN programs, among others the LAPAN satellite program. Many new ITB graduates
have been involved in these programs.
With capacity building in mind, and aware of the need for new graduates to be involved in satellite
technology and related development in the country or elsewhere due to global thrusts, ITB
(Institute of Technology Bandung) has carried out many space technology related activities
implemented in the research and thesis projects.
One of these activities is the Ganesyasat project, as a vehicle for capacity building. Along this line,
ITB has carried out conceptual design studies of microsatellite, with two-fold objectives: to
establish a baseline concept for possible contribution to national space program and to educate
graduates that will contribute actively on their graduation to establishments carrying out satellite
development program. A number of ITB graduates participating in the Ganesya-Sat program have
active role in LAPAN-TUBSat Program. One such development is the of the Design and
Development of UHF Telemetry Tracking Command (TTC) and S/X band Analog Data Receiving
Ground Station LAPAN-TUBSAT. The following is an excerpt from this development.
In the development of ITB Ganesyasat, the Mission Requirements and Constraints of
Spartnik 18 , under development by San Jose State University, are of interest. These are, among
others:
1. To meet secondary payload constraints for as many launch vehicles as possible;
2. To design to multiple orbit configurations, ranging from 300 to 1000 km altitude;
3. Inclination must be greater than or equal to 37°;
4. To support all payloads; to maximize operational life of each in space environment, with
a minimum spacecraft operational life of two years;
5. Use of as many acceptable non-space rated parts as possible;
6. Use passive and autonomous systems where possible;
7. Communications system to use HAM frequencies for uplink and downlink.
The Mission Statement of Ganesyasat-CXM
111
____________________________________________________________________________________________
is as follows:
1. To acquire research and development capabilities in space technology
2. To acquire capabilities in the design synthesis, engineering and construction of microsatellite
and its payload system. In addition to the technology objective, the mission has to meet the
educational and scientific objectives.
The scientific objectives are: To support several modest scientific studies associated with
a. meteorological and Volcanic surveillance activities
b. Environmental observation and geographic information system
c. The detection and identification of hot spot caused by forest fires. (Optional)
The educational objectives are:

1. To actively contribute to space education and research with minimum cost and complexity
directly involving universities
2. To provide capabilities of Multi-spectral Earth Imaging.
The design study results are elaborated in [15]. Two significant payloads under study are the
imaging system and store and forward communication system.
Fig.3 Ganesyasat System Configuration
Imaging System:
Ganesyasat Microsatellite is conceived to employ electronic cameras with 2-dimensional CCD
arrays to gather imagery. Because cameras capture whole images in a single snapshot, they
preserve scene geometry and are therefore immune to the residual attitude drift experienced on
112
____________________________________________________________________________________________
micro satellites. CCD cameras have also advantageous features: compact, robust, low power, and
mechanically simple of all solid-state imagers.
It is realized that the application of remote sensing for agriculture and forestry to be very essential.
For this purpose and the categorization and characteristics of reflectance of vegetation, the sensor
working in VIS and NIR region appears to be the most important one. For
agricultural activities, cloud cover and weather information are also much needed.
Four types of microsatellite imaging system will be utilized:

❖ Wide Angle Camera (WAC)
❖ Narrow Angle Camera (NAC)
❖ Multi Spectral Camera (MSC)
❖ High Resolution Camera (HRC)
CCD Camera chosen will have resolution of 80m ground in 3 spectral bands with an 80 km field of
view, and will be capable of providing detailed information on earth resources, land use and
environmental haze pollution. 2 20MHz T805. Transputer provide parallel on-board image
processing capability.
Store and Forward Communication Payload

Experience gained in research, development, and operation of digital data communication network
via radio will be essential in designing and supporting the implementation of GANESYA-CXM store
and forward communication payload.
113
____________________________________________________________________________________________
Table 1. Alternative orbital considerations
Table 2: Store and Forward Communication Payload; Time of View of Equatorial Satellite
Store and forward facilities are used for:

❖ Uploading configuration and scheduling files
❖ Uploading payload or bus software
❖ Transferring binary or text messages between authorized ground stations
❖ Downloading stored telemetry files
❖ Downloading payload data files
❖ Downloading housekeeping log files
The time of view when satellite passes the ground station must be predicted to design the data
communication characteristics. Table 3 show the time of view of GANESYA-CXM satellite
Ganesyasat).
Ground Segment
Tracking, telemetry, and command are required to monitor and measure the satellite performance.
The mission control station is needed to control the GANESYA-CXM microsatellite based on its
designed function and purposes. All the stations are operating at the specific frequency and should
follow prevailing regulation, in order to operate the satellite effectively.
Ground stations for LEO satellite have different configuration compared to those for GEO satellite.
Low Earth Orbit satellite operates VHF and UHF frequency to meet the mission of store and
forward communication. The hardware and software of the ground system comprises:
❖ cross yagi antenna UHF and VHF dual band
❖ rotator and controller for azimuth and elevation
❖ dual band radio half duplex and full duplex
114
____________________________________________________________________________________________
❖ Low Noise Amplifier (LNA) UHF/ VHF

❖ radio modem with standard modulation G3RUH
❖ Card Kansas City Tracker
❖ WISP (Windows Satellite Program) software
❖ Computer
Fig.4 : GANESYA-CXM Ground Station Block Diagram
Malaysian Universities with University of Science Malaysia as an example

Malaysia has seen it as an important tool to allow the transition from a developing country to a
developed one. With a vision to be a developed country by 2020, Malaysia needs to enhance its
capability and capacity in space technology at an accelerated pace. One such opportunity is the
nanosatellite project, which has the aim to develop an inexpensive small satellite with improving
capabilities, and which can stimulate the development of an indigenous space technology
expertise at an affordable cost.
Malaysian universities have been encouraged and are taking part in small satellite program.
Universities in Malaysia have looked into and carried out research activities in response to the
possibility of launching small satellite as a secondary payload and the use of commercial-off-the-
shelf components offer new possibilities for affordable space system in orbit.
Three-year research and development (R&D) project of a small satellite which is currently being
conducted at School of Aerospace Engineering, Universiti Sains Malaysia (USM) under MOSTE
IRPA EA R&D grant. The nanosatellite is less than 10kg and its main mission is remote sensing
experiments and the secondary mission is a communication experiment.
A group of researchers consisting of lecturers, research and postgraduate students, especially in
the School of Aerospace Engineering, are currently involved in the preliminary design phase. The
115
____________________________________________________________________________________________
design and development of the engineering mode is being carried out where the satellite’s main
bus, payloads and subsystems are being designed in-house.
Analysis packages are also being developed to assist in the orbit analysis. The project outcome
is a design review document in which a design manual for nanosatellites is also being prepared.
The project allows Malaysian students and scientists to take part in indigenous satellite
development which will produce the human resources and capacity building as well as contribute
to Malaysia’s National Space Program.
Malaysian Space education
At the moment, studies in Space Science and Technologies and Space Law are taught in several
local universities in Malaysia. The microsatellite TiungSAT-1 is aimed for scientific research as well
as education. A microsatellite program has been formulated by the government
to serve as a catalyst in developing domestic capability and manpower in satellite technology.
For the science students, there has been a shift of emphasis from the pure sciences to more
applied science-oriented disciplines such as engineering and computer technology. As a result,
technical graduates have increased significantly from 13 to 16.2 per cent [1].
University of Sains Malaysia (USM)

In accordance with the Seventh Malaysia Plan (RM7), the Malaysian government has requested
that a program on Aerospace Engineering is offered at undergraduate level in Universiti Sains
Malaysia (USM), ensuing the proposed guidelines in the Industrial Master Plan 2 (IMP2) for the
RM7. to boost the Aerospace industry.
The School of Aerospace Engineering, was established on March 1, 1999, to meet and serve as a
catalyst for industrial development, with disciplines in Aeronautics, Astronautics, and Satellite
Technology. The Aerospace Engineering Program in USM has emphasis in the design of flight
vehicles including satellites.
The duration of the program is 4 years, leading to a bachelor degree. The School of Aerospace
Engineering is currently offering Master of Science (M.Sc.) and Doctor of Philosophy (Ph.D.)
degree by research.
Remote sensing nanosatellite project

The School of Aerospace Engineering from the University of Sains has currently a remote sensing
nanosatellite project in which students are planned to be involved in order to extend their traditional
way of teaching with hands-on experience. The Research and Development (R&D) of this
nanosatellite project conducted at the School of Aerospace Engineering, Universiti
Sains Malaysia is carried out under an IRPA EA R&D grant. This nanosatellite called USM
nanosatellite will have a total mass of less than 10 kg and is aiming to have remote sensing as its
primary mission and communication as its secondary mission. The R&D of the nanosatellite design
is to develop an engineering model that will be followed by a design nominal at the end of the
study. The conceptual design and mission analysis were complete which provided the basic for the
preliminary design phase. The preliminary design is currently being investigated for the
116
____________________________________________________________________________________________
nanosatellite bus and payload where most of the subsystems have been identified for further
analysis. Several subsystems and payload will be designed and developed in house such as the
structure (main frame and honeycomb), the On-Board Data Handling (OBDH), the power systems,
the remote sensing systems (frame grabber, image processing) and the communications systems
(antenna and data processing unit). An experimental camera is currently being designed in house
where the spectral resolution is within the visible spectral range and the spatial resolution is being
targeted at 50 × 50m2. An experimental Ka band transmitter and antenna is also being designed
as the secondary payload by the university. The total mass is less than 10 kg includes the main
payloads and subsystems.
Structure
The nanosatellite will be constructed using a cubic structure of 300mm×300mm×300mm size. Five
sides of its panel will be used to place solar panels and on the remaining face the various payloads
i.e. the remote sensing camera and antenna will be placed, and honeycomb structure will be used
for each panel of this satellite.
Payload
This nanosatellite will have remote sensing as its primary mission, two imagers will be used: a
panchromatic imager and multispectral imager. This system will consist of a camera, lens, frame,
grabber, DSP (Digital Signal Processor) and software to support the operation. The camera used
will be a TMC-73M which is a super miniature CCD (Charged Coupled Device) colour camera. The
second mission being communication, the nanosatellite will have a Ka band communication
system.
Current status
Most of the remote sensing payload components have been determined and are under
procurement. The communication payload such as the patch antennas, transponder and the
modem are in the final stage of development. The main bus subsystems of the satellite are being
finalized and developed, and the ground station for the nanosatellite is being designed. A
2.5m dish antenna designed for amateur telecommunication usage will be installed in the USM
campus itself and the full preliminary design review (PDR) report for the ground station has been
produced. The full engineering model is expected to be ready in 2006 and the design manual soon
after that. The experimental model will be tested by computer simulation.
The flight model of the USM nanosatellite should be tested in the currently ANGKASA built national
Assembly, Integration and testing facility in Kuala Lumpur, foreseen to be completed before 2010.
The design and development of this nanosatellite engineering model is a stepping stone for USM
to be involved in future national and international satellite research program.
Remote Sensing Laboratory, USM School of Aerospace Engineering Research [17][18]
117
____________________________________________________________________________________________
A research and development (R&D) of a small satellite is currently being conducted at School of
Aerospace Engineering, Universiti Sains Malaysia (USM) under MOSTE IRPA EA R&D grant. A
group of researchers consisting of lecturers, research students and postgraduate, especially in the
School of Aerospace Engineering, are currently involved in the preliminary design phase. The aim
of the project is to allow students and researchers at USM to take part in the indigenous low-cost
nanosatellite development and to produce a nanosatellite design manual. The project will produce
the human resource and capacity building and assist in Malaysia’s National Space Program. The
project is only at Systems Design and Preliminary Design stage.
The primary mission of the USM nanosatellite is remote sensing and the secondary mission is
telecommunication. The nanosatellite development can provide the platform for different disciplines
especially in engineering for research & development, education and technology demonstrator
purposes. The satellite must be low cost and the total mass is approximately 10kg. An engineering
model and a design manual is to be produced at the end of the study.
7. LAPANSAT
LAPAN is developing a surveillance micro-satellite carried out in cooperation with the Technical
University of Berlin. It is planned that the satellite will be launched in the first quarter of 2006, and
will become operational one month after launch. In order to support Launch operation, Early Orbit
Phase (LEOP) and to acquire data transmitted from the satellite, TTC and receiving ground station
are required. The ground station has to meet all satellite requirements, most of which have been
defined in the link budget.
The other requirement like Orbit parameter of the satellite will also have important influence to
antenna system selection. Sun Synchronous in Low Earth Orbit requires an antenna system which
can track the satellite when it goes along the visible ground track. Some of the orbit parameters
during the launch are shown below (Table 3).
The main purpose of developing the S-band ground station system is to receive analogue data
from the satellite (LAPAN-TUBSAT payload data transmission). In the future, all the S-band facility
will be upgraded to have capability as S-band TTC Ground station due to the next satellite
requirement. Next phase of the satellite development will be using all necessary standardization
such as Telemetry, Telecommand data format that have been used in many space agencies.
Besides that, the next satellite requirement will use the X-band frequency for payload data
transmission. Because of that the X-band system is also include in this program. Characterize and
get acquainted with X-band system are the main purpose of developing this system. In the
meantime, the X-band system also can be utilized for receiving data from environment-based
satellite such as Terra, Aqua, Ocean-sat etc.
118
____________________________________________________________________________________________
Table 3. Orbit Parameter Polar Satellite Launch Vehicle
The UHF system has two major objectives such as uplink of command to the spacecraft with the
required EIRP level. Provide reception of telemetry carrier, demodulation, acquisition of real time
housekeeping data, logging and transmission to computer. Beside TTC support for LAPAN-
TUBSAT the UHF RF system also capable to acquire data from other amateur satellite. Though to
do further processing others amateur satellite data required more base band system devices.
LAPAN-TUBSAT Mission Requirement

Three major LAPAN-TUBSAT mission objectives are technology demonstrators, earth observation
and attitude control experiments. Those objectives were based on vision of Indonesian Space
Program. The major issues of this vision are food sustainability, though to reach that goal required
many supports from other institution, LAPAN as Indonesian space agency has to define those
vision into a program.
Microsatellite one of Aerospace Technology program is the best program to carry out several part
of those vision.
119
____________________________________________________________________________________________
Table 4: LAPAN-TUBSAT Orbit Parameter & General Specification
Fig.5. LAPANSAT Typical Ground Track Accessed from Rumpin and Biak for 5 days
120
____________________________________________________________________________________________
LAPAN also realizes that to reach that goal, a long-term program needs to be defined at the
earliest. Because of that the satellite program were divided into two phases. Development of
LAPAN-TUBSAT is one of first phase program, this program was focus on the technology
transfer to build up human resources capability. Subsequently the second phase will be the
implementation of the first phase technology but with different mission and payload.
Table 5 Link Budget of LAPAN-TUBSAT
To accomplish the objective LAPANTUBSAT will carry one major payload. Four CCD video
cameras are the major payload. Those payloads will transmit the analogue video signal through
the S-Band link. Communication link for LAPAN-TUBSAT satellite consist of two major links which
details of each link and other general specification are shown below:
❖ Uplink: for Telemetry Tracking & Command (TT&C) is using UHF 436.075 MHz
❖ Downlink: for payload data transmission is using S-Band Frequency: 2.220 GHz.
121
____________________________________________________________________________________________
In order to have a reliable link during both the initial phase and in-orbit phase, the spacecraft TTC
Antenna System needs to provide a near omni coverage. While for S-Band antenna system will
use helical antenna, which have narrow beam width. All the satellite specifications and requirement
will be used as parameter in link budget calculation. Link budget calculation analysis will give the
detail about size of the antenna, how much power to transmit from the ground station, gain of the
LNA and other ground station equipments and devices.
An example of the link budget analysis for TTC link and S-band link are shown in Table 5. The G/T
of S-Band ground station parameter was set to be variable in the range 14 – 15 dB/K due
to the result of feed placement which vary depend on the length of the feed to the focal point.
Consequently, the Gain of the LNA should be high to get the proper power receive threshold
at the FM receiver. The detail of link budget analysis is shown in Table 5.
Ground Station Parameter and Preliminary Concept

In defining the preliminary concept of the ground station, every device or equipment should meet
each requirement of the satellite and its link budget. For instance, the FM receiver which has
function to demodulate the analogue data should be capable to receive signal at threshold level.
Fig.6: Early concept of LAPANSATGround Station
The TTC Ground station is the primary device which has to meet satellite requirement is ground
station adapter. This device has functions to modulate the outgoing command from the spacecraft
control computer and demodulate the downlink data from the satellite. Dual band UHF Transceiver
required for command transmission and telemetry reception. Beside that the EIRP must be
accurately controlled, because an excessive EIRP will cause interference to adjacent and co-
channel carriers, while a low EIRP will result in poor quality performance of the service. In every
transmission system, noise is a factor that greatly influences the whole link quality. The ground
station parameters have important influence to the early design concept of overall LAPAN-
122
____________________________________________________________________________________________
TUBSAT ground station system. As relevant features of LAPANSAT design configurations, an

early concept of LAPAN-TUBSAT Ground Station is shown in Fig.6.
To have some ideas of the remote sensing images in which LAPANSAT is expected to be able to
contribute in timely manner, the following are some examples of data acquired from land and sea
in Indonesia which are relevant for national development and day-to-day environment and earth
resources management.
A comprehensive review on the relevance of vision and university participation in in-country space
technology development study has been carried out, with examples being drawn from two specific
countries: Malaysia and Indonesia. Progress and development in this regard has been identified.
Particular considerations are given to the work carried out at the University of
a. Fires and Haze, Kalimantan
b. Forest Fire in Sumatra
123
____________________________________________________________________________________________
c. Cyclone Fiona
Fig. 7 Significant Remote Sensing Images
Science Malaysia, Malaysia, which is currently undertaking a remote sensing nanosatellite project
and Institute of Technology Bandung, Indonesia, which has carried out thus far the conceptual
study of GanesyaSat. Both Universities have the vision that space. Technology education,
particularly that carried out with hands-on experience, will effectively contribute to space
technology capacity building and technology thrust for the national development at the extreme
end. In this conjunction, the relevance of development of Tiung-Sat and LAPANSAT is discussed.
References:
1. Salatun, J, Djojodihardjo, H. and Alisyahbana, I. Satellite Orbital Considerations for Remote Sensing in
Indonesia. , Proceedings, UN-FAO-LAPAN Joint Workshop on Satellite Remote Sensing and Space
Communication, Jakarta, 1975
2. Economic Planning Unit, The Eight Malaysian Plan 2001–2005, Science and Technology (Chapter 12),
http://www.epu.jpm.my/RM8/front_RM8.ht ml
3. Mohd Faizal Alaudin, Nicolas Peter, Md Azlin Md Said and Khali Nor, Capacity Building for the Space
Sector: Microsatellite as a way forward, The example of the University of Science Malaysia, Acta
Astronautica, 2005
4. Harijono Djojodihardjo, Comprehensive Study on Small and Low-Cost Satellite Technology for Earth
Observation with Case Study of Indonesia, IAC paper no. IAC-02-IAA.11.3.06, 53rd International
Astronautical Congress - The World Space Congress – 2002, 10-19 October 2002/Houston, Texas
5. Management of Earth Resources, UNISPACE III, Background Paper 3, A/Conf.184/BP/3, 26 May 1998
6. Commercial Aspects of Space Exploration including spin-off benefits, UNISPACE III Background Paper 3,
A/Conf.184/BP/7, 26 May 1998
7. Small Satellite Missions, UNISPACE III Background Paper 9, A/Conf.184/BP/7, 26 May 1998.
124
____________________________________________________________________________________________
8. Djojodihardjo, Harijono, Aeronautical Navigation Satellite System Development in Indonesia, (Efforts,

Requirements, Concepts and Development), United States of America Workshop on “The Use of Global
Navigation Satellite Systems” Organized in cooperation with and hosted by the Government of Malaysia,
Kuala Lumpur, Malaysia, 20-24 August, 2001.
9. Sweeting, M.N. and Pookyaudom, Sitthichai, TMSAT: Thailand's First Microsatellite for Communications
and Earth Observation, http://www.ee.surrey.ac.uk/EE/CSER/UOS AT. KITSAT,
http://www.sstl.co.uk/missions/mn_kitsat_1. html ; http://satrec.kaist. ac.kr/english/ res_kitsat3.html.
10. TiungSAT, http://www.baksa.gov.my/ iungsat.htm
11. DLR-TUBSAT, The New One, http://tubsat.fb12.tu-berlin.de/ DLRTubsat. html
12. SUNSAT, http://sunsat.ee.sun.ac.za.
13. Pernicka, Henry J., Executive Summary, PROJECT SPARTNIK,: www.engr.sjsu.edu/ spartnik
14. Proceedings, LAPAN-ATSB Workshop on Small Satellites, March 2002, Bogor, Indonesia.
15. Harijono Djojodihardjo, Eriko N. Nasser, Mohammad Mukhayadi, Bustanul Arifin and Soewarto
Hardhienata, Design Study of Ganesya-Cxm Microsatellite For Environmental Observation, paper IAC-02-
UN/IAA.3rd.03, 53rd International Astronautical Congress - The World Space Congress – 2002, 10-19
October 2002/Houston, Texas
16. School of Aerospace Engineering, Universiti of Sains Malaysia (USM), http://www1.
eng.usm.my/aeroangkasa
17. Md.A.Md. Said, M.S.K. Adnan, M.F.Allaudin, M.H. Othman, K.A. Zakaria, The development of a nano
satellite engineering model for remote sensing mission, GIS @Development November 2003.
18. Md. Azlin Md. Said, Mohd Faizal Allaudin, Ilyani Jamil, Mastura Mohamad Jainal, Amil Saleh bin
Amilasan, Nurul Musfirah Mazlan, The Research and Development in Space Technology: Remote Sensing
Laboratoy Report, USM Nanosatellite Project, USM School of Aerospace Engineering, September 2006
125
____________________________________________________________________________________________
126
____________________________________________________________________________________________
VII
Space Power System –

Motivation, Review and Vision29
Aerospace Engineering Department
Faculty of Engineering, Universiti Putra Malaysia
43400 UPM SERDANG, Selangor, Malaysia
Department of Industrial Engineering
Faculty of Engineering, Universitas Al-Azhar Indonesia
Jalan Sisingamangaraja, Jakarta 121010, Indonesia
1. Introduction
The world’s population growth is exhausting the world’s limited supply of non-renewable
energy sources, and along with it, introducing significant anthropogenic environment and
climate change. Although the economic and business inertia trend to cling to the lure of
non-renewable energy resources, it is imperative that in the foreseeable future extensive
renewable or green energy sources should be progressively utilized to replace the non-
renewable ones and to sustain reasonable living standard for the entire world’s population.
The world’s dream of world’s socio-economic and technological equity and networking is
still far from being a reality, and many of the pioneering technology breakthrough for the
benefits of humanities, to some extent, contribute to their widening gap. Then it will be
timely and appropriate that a new vision for world’s “green” energy be shared by and
contributable to a fair distribution of world’s population, presently still grouped into
countries with unbalanced capacity distribution. In particular, judging from the large
29
Published as Chapter 7 in Solar Collectors and Panels, Theory and Applications, edited by Reccab
Manyala,ISBN 978-953-307-142-8, PDF ISBN 978-953-51-5964-3, Published 2010-10-05.
127
____________________________________________________________________________________________
population distribution and growth in developing countries compared to the developed

ones, the need and growth for energy resources will also be more or less similar.
Mankind success in space exploration has opened up their vision of the uniqueness of the
world we live in and the need for conserving our environment (Djojodihardjo, 2009;
Djojodihardjo & Varatharajoo, 2009), as illustrated in Figure 1. Such vision which has
inspired mankind to develop technological capabilities in atmospheric and space flight as
well as exploring new frontiers beyond the earth’s atmosphere has been profoundly
These words due to Socrates in 400 BC has inspired mankind to explore new fromtiers beyond
the earth’s atmosphere which eventually convince mankind for the preciousness of our unique
world and the the need to for sustainable llife on earth and the significance of space exploration to
that end.
Fig. 1. Mankind Vision for Sustainable World
articulated as far back as in 400 BC by Socrates in the well-known verse: "Man must rise
above the Earth -- to the top of the atmosphere and beyond -- for only thus will he fully
understand the world in which he lives."
Mankind has acquired further wisdom and intelligence to observe, identify and respond to
the challenges posed by the observed global climate change from advances in space
science, technology and exploration, and its close relationship to sustainable life on earth
and mankind dramatically rising demand of energy. Such state of affairs is summarized in
128
____________________________________________________________________________________________
Figure 1. With the appreciable climate change that has been observed and of great
concern not only by scientists but world population at large, the need for global energy and
its production demands new approaches and paradigm.
Through advances in space science, technology and exploration, mankind also acquired
awareness of the presence of our sun as an inexhaustible source of energy, which may
then offer a host of additional solutions to meet the need of world expanding population
and increasing demand for energy.
The globalization process that have been taking place at impressive pace due to progress
and wide accessibility of information technology, products and network has made each
individual is figuratively speaking a world citizen, with more or less common objectives,
interest and role in the world problems. Therefore, for a synergetic effort in Space Solar
Power imperatives, open participation should be encouraged, and barriers should be
identified and resolved.
Hence, as implicitly stipulated in Figure 1, in this article attention will be focused on three
issues: 1. the need and efforts to meet basic and mandatory mankind quality of life, which
at present will be directed to achieving high or acceptable Human Development Index
(such as described in the United Nations Framework Convention on Climate Change), with
a perspective on mankind dramatic increase in energy demand30.; 2. understanding the
global climate change process in order to identify practical conceptual approaches and
policies in meeting mankind energy demand; 3. status, progress, projection and
development of global energy utilization and technologies.
Through a meticulous review of these issues to direct our wisdom and intelligence to
establish vision for future solutions of mankind needs and problems, the present article will
explore the prospects of space power system as one of the feasible, viable, and equitable
solutions for world population as a whole and entity.
It is with such overview that the following aspects associated with Space Solar Power or
Solar Power Satellite is discussed:
1. Review of Global Environment Imperatives which necessitates proactive initiatives for
Sustainable Power System leading to Space Power System; Environment and Climate
Change Imperatives
2. Energy Demand and Space Power System addressing the whole world, with particular
reference to the developing world
30
The efforts to meet the basic and mandatory mankind demand for quality of life will be discussed
after the discussions on environment and energy, since these may shape up the former, although in
general these issues are interconnected.
129
____________________________________________________________________________________________
3. Significance of Space Power System to the developing world, including the developing
countries
4. Space power system: review of selected architecture and technologies
5. Space Power System as a Unifying Agent for Global Networking
6. Stimulating Positive Attitude in Developing Countries: The Microsatellite Tool
7. Universal SPS Program Initiatives – arms reaching but novel paradigm – establish
productive and resourceful partners-in-arms by expanding opportunities at creative
circles
8. Technological options considerations in view of overall strength and weakness, gains
and losses
2. Environment and climate change imperatives

The Global Climate Change and the Green-House Effect are terminologies that have been
widely discussed and of global concern and global efforts in the last decades, and brought
to the attention of world top policy-and-decision-makers through a series of World Summits
(also known as the Earth Summits), which have been organized under the auspices of the
United Nations Environment Programme (UNEP) and the World Meteorological
Organization (WMO).
To this end, UNEP and WMO established the Intergovernmental Panel on Climate Change
(IPCC) to provide policy makers with authoritative scientific information in 1988. Related to
this, the United Nations Framework Convention on Climate Change (UNFCCC or FCCC),
which is an international environmental treaty, was produced at the United Nations
Conference on Environment and Development (UNCED), held in Rio de Janeiro from 3 to
14 June 1992.
130
____________________________________________________________________________________________
Fig. 2. Global Warming due to Unsustainable Use of Fossil Fuels is of Mankind Concern
The objective of the treaty is to stabilize greenhouse gas (GHG) concentrations in the
atmosphere at a level that would prevent dangerous anthropogenic interference with the
climate system (United Nations Framework Convention on Climate Change). The
greenhouse effect is important, since without it, the Earth would not be warm enough for
humans to live. But if the greenhouse effect becomes stronger, it could make the Earth
warmer than usual that may impose serious effects for humans, plants, and animals, and
thus, the environment and what is now recognized as Global Warming.
As illustrated in Figure2, energy from the sun enters the Earth’s and filtered by the
atmosphere in the form of electromagnetic radiation in the visible spectrum, with small
amounts of Infra-Red and Ultra-Violet radiation. The incoming solar energy has a very
short wavelength and passes through the atmospheric gases unaffected to reach the
Earth’s surface.
The Earth’s surface absorbs the solar energy and releases it back to the atmosphere as
infrared (IR) radiation, some of which goes back into space. Some of the IR radiation
emitted by the Earth is absorbed by the gases in the atmosphere that re-emit the energy
as heat back towards the Earth’s surface. The Counter Radiation and Greenhouse Effects
consist of
• Long-wave radiation from the earth’s surface is absorbed by atmospheric gases:
CO2, H2O, CH4, other gases
• The increase in atmospheric gases increases the heat absorption by the lower
atmospheric layers
131
____________________________________________________________________________________________
• Cloud layers (water droplets) also absorb radiation.

The unbalanced production of these greenhouse gases and their absorption by the Earth’s
surface has been identified as the major contributor to what is now identified as Global
Warming, which will be further elaborated and discussed subsequently. Bernstein et al’s
report (2007), which is based on the assessment carried out by the three Working Groups
of the Intergovernmental Panel on Climate Change (IPCC) provides an integrated view of
climate change as the final part of the IPCC’s Fourth Assessment Report (AR4). Some of
their findings are reproduced or adapted below.
Fig. 3. Observed changes in (a) global average surface temperature; (b) global average
sea level from tide gauge (blue) and satellite (red) data and (c) Northern Hemisphere snow
cover for March-April. All differences are relative to corresponding averages for the period
1961- 1990. Smoothed curves represent decadal averaged values while circles show
yearly values. The shaded areas are the uncertainty intervals estimated from a
comprehensive analysis of known uncertainties (a and b) and from the time series (c)
(Bernstein et al, 2007).
132
____________________________________________________________________________________________
Observed changes in climate and their effects

Warming of the climate system is undeniable, as is now evident from observations of
increases in global average air and ocean temperatures, widespread melting of snow and
ice and rising global average sea level, and illustrated in Figure 3. The report stipulates
that eleven of the last twelve years (1995-2006) rank among the twelve warmest years in
the instrumental record of global surface temperature (since 1850). The 100-year linear
trend (1906-2005) of 0.74 [0.56 to 0.92]°C1 is larger than the corresponding trend of 0.6
[0.4 to 0.8]°C (1901-2000) given in the Third Assessment Report (TAR) of IPCC. The
temperature increase is widespread over the globe and is greater at higher northern
latitudes. Land regions have warmed faster than the oceans.
Rising sea level is consistent with warming, as indicated in Figure 3(b). Global average
sea level has risen since 1961 at an average rate of 1.8 [1.3 to 2.3] mm/ yr and since 1993
at 3.1 [2.4 to 3.8] mm/ yr, with contributions from thermal expansion, melting glaciers and
ice caps, and the polar ice sheets.
Causes of change
Global GHG emissions due to human activities have grown since pre-industrial times, with
an increase of 70% between 1970 and 2004, as indicated in Figure 4. Global atmospheric
concentrations of CO2, methane (CH4) and nitrous oxide (N2O) have increased markedly
as a result of human activities since 1750 and now far exceed pre-industrial values
determined rom ice cores spanning many thousands of years.
Fig. 4. Global annual emissions of anthropogenic Green House Gases (GHGs) from 1970
to 2004 (Bernstein et al, 2007).
133
____________________________________________________________________________________________
Figure 5 shows that decadal averages of observations for the period 1906-2005 (black
line) plotted against the centre of the decade and relative to the corresponding average for
the period 1901-1950. Lines are dashed where spatial coverage is less than 50%. Blue
shaded bands show the 5 to 95% range for 19 simulations from five climate models using
only the natural forcings due to solar activity and volcanoes. Red shaded bands show the
5 to 95% range for 58 simulations from 14 climate models using both natural and
anthropogenic forcings. Most of the observed increase in global average temperatures
since the mid-20th century is very likely due to the observed increase in anthropogenic
GHG concentrations. It is likely that there has been significant anthropogenic warming
over the past 50 years averaged over each continent (except Antarctica), as indicated by
Figure 5. Long term CO2 concentration estimates within 150,000 years are also given by
Walker et al (2010) as exhibited in Figure 6. The striking peak during last few decades
may indicate the anthropogenic causes of the change in CO2 concentration.
Fig. 5. Comparison of observed continental- and global-scale changes in surface

temperature with results simulated by climate models using either natural or both natural
and anthropogenic forcings (Bernstein et al, 2007).
Projected climate change and its impacts

There is high agreement and much evidence that with current climate change mitigation
policies and related sustainable development practices, global GHG emissions will
continue to grow over the next few decades. The IPCC Special Report on Emissions
Scenarios (SRES, 2000) projects an increase of global GHG emissions by 25 to 90%
(CO2-eq) between 2000 and 2030 (Figure 7), with fossil fuels maintaining their dominant
134
____________________________________________________________________________________________
position in the global energy mix to 2030 and beyond. More recent scenarios without
additional emissions mitigation are comparable in range. Continued GHG emissions at or
above current rates would cause further warming and induce many changes in the global
climate system during the 21st century that would very likely be larger than those observed
during the 20th century.
In Figure 7, the dashed lines show the full range of post-SRES scenarios. The emissions
include CO2, CH4, N2O and F-gases. (b) Solid lines are multi-model global averages of
surface warming for scenarios A2, A1B and B1, shown as continuations of the 20th-
century simulations. These projections also take into account emissions of short-lived
GHGs and aerosols. The pink line is not a scenario, but is for Atmosphere-Ocean General
Circulation Model (AOGCM) simulations where atmospheric concentrations are held
constant at year 2000 values. The bars at the right of the figure indicate the best estimate
(solid line within each bar) and the likely range assessed for the six SRES marker
scenarios at 2090-2099. All temperatures are relative to the period 1980-1999 (Bernstein
et al, 2007).
135
____________________________________________________________________________________________
Fig. 6. A. Estimates of CO2 concentrations for the last 150,000 years with a projection to
A.D. 2050 based on present-day rates of emission. The corresponding temperature
anomaly is shown on the right hand side (From Walker, Keim and Arndt, 2010).
Global CO2 (a) and total greenhouse gases (b) historic (solid lines) and projected (dashed
lines) emissions. CO2 data source:PRIMAP4BIS baseline and greenhouse gases data
source: Climate Action Tracker. Global pathways include emissions from international
transport. Pledges ranges in (b) consist of the current best estimates of pledges put
forward by countries and range from minimum ambition, unconditional
pledges, and lenient rules to maximum ambition, conditional pledges, and more strict
rules.31 B. CO2 Emissions; C. Total Greenhouse Gases Emissions (World Bank,
November 2012)
`Fig. 7. (a) Global GHG emissions (in GtCO2-eq) in the absence of climate policies: six
illustrative SRES marker scenarios (colored lines) and the 80th percentile range of recent
scenarios published since SRES (post-SRES) (gray shaded area) (Bernstein et al, 2007).
Thus, these scientific studies and facts have led to the conclusion that human influences
have:
1. very likely contributed to sea level rise during the latter half of the 20th century
2. likely contributed to changes in wind patterns, affecting extra-tropical storm tracks and
temperature patterns
31 Why a 4°C Warmer World, World Bank, November 2012

136
____________________________________________________________________________________________
3. likely increased temperatures of extreme hot nights, cold nights and cold days
4. more likely than not increased risk of heat waves, area affected by drought since the
1970s and frequency of heavy precipitation events.
Such situation certainly needs fully fledged and visionary mitigation efforts to change the
situation drastically, subject to the effectiveness of such measure due to natural causes
and elapsed time required for such actions take effects. A wide array of adaptation options
is available, but more extensive adaptation than is currently occurring is required to reduce
vulnerability to climate change. There are barriers, limits and costs, which are not fully
understood. Both bottom-up and top-down studies indicate that there is high agreement
and much evidence of substantial economic potential for the mitigation of global GHG
emissions over the coming decades that could offset the projected growth of global
emissions or reduce emissions below current levels indicated in Figure 6 and Figure 7.
While top-down and bottom-up studies are in line at the global level there are considerable
differences at the sectoral level.
Fig. 8. Policy Impact on Global Climate (adapted from Ghoniem, (2008)
Natural Forcings to Counteract Assessed Green House Gases effects

Sensitivity experiments indicate that a level of solar variability as reconstructed over the
past 1000 years is insufficient to mask the predicted 21st century anthropogenic global
warming. Volcanic forcing could counteract the anthropogenic greenhouse warming, but
this requires (i) a permanent level of very high volcanic activity, (ii) a volcanic forcing
increasing with time, (iii) a huge stratospheric aerosol burden (unlike anything we have
137
____________________________________________________________________________________________
seen in the recent past). Bernstein et al (2007) carried out study of various mitigation
scenarios, which results in a range of future emission scenarios is exhibited in Figure 8.
Another projection of policy impact on global climate is exhibited in Figure 10. These
scenarios indicate that:
i. There is an urgent need for global mitigation policy and action to mitigate the GSG global
warming effect to allow sustainable development for mankind to take favorable effect.
ii. Even with appropriate immediate mitigation action, their favorable effect to the global
environment will take more than hundred years to return the situation to previous situation,
as Figure 10 illustrates.
3. Energy demand and space power system addressing the whole world, with
particular reference to the developing world
World Energy Demand is very much related to Economic Development, and without the
global concern of global environmental sustainability, will probably be ever increasing.
Such trend will probably change in a decade or so, as projected by various studies, as
illustrated in Figure 9. In the US Energy Information Administration IEO2009 projections
(2010), total world consumption of marketed energy is projected to increase by 44 percent
from 2006 to 2030. The largest projected increase in energy demand is for the non-OECD
economies, as illustrated in Figure 10(a). Grillot (2008) made a forecast, based on UNDP
and DOE data that the World energy consumption will increases about 60% from 2004 to
2030~2030. Associated with this, the Carbon emission is projected in Figure 10(b).
Fig. 9. World total energy utilization projection, as projected from 1965 to 2045. (Source:
Chefurka, 2010).
138
____________________________________________________________________________________________
Much of the growth in world economic activity between 2006 and 2030 is expected to
occur among the nations of non-OECD Asia, where regional GDP growth is projected to
average 5.7 percent per year. China, non-OECD Asia’s largest economy, is expected to
continue playing a major role in both the supply and demand sides of the global economy.
IEO2009 projects an average annual growth rate of approximately 6.4 percent for China’s
economy from 2006 to 2030—the highest among all the world’s economies.
Fig. 10. (a) World marketed energy consumption, in Quadrillion Btu., in OECD and Non-
OECD countries, 1980-2030, indicating higher rate of increase in developing countries
(Source: US Energy Information Administration, 2010) (b) World Energy Consumption
from 2004 to 2030 (Grillot, 2008). Both (a) and (b) indicate higher rate of increase in
developing countries.
Although the difference in world oil prices between the high and low oil price cases is
considerable, at $150 per barrel in 2030, the projections for total world energy
consumption in 2030 do not vary substantially among the cases. There is, however, a
larger impact on the mix of energy fuels consumed.
The projections for total world energy use in 2030 in the high and low oil price cases are
separated by 48 quadrillion Btu, as compared with the difference of 106 quadrillion Btu
between the low and high economic growth cases. The potential effects of higher and
lower oil prices on world GDP can also be seen in the low and high price cases. In the long
run, on a worldwide basis, the projections for economic growth are not affected
substantially by the price assumptions. There are, however, some relatively large regional
impacts. The most significant variations are GDP decreases of around 2.0 percent in the
high price case relative to the reference case in 2015 for some regions outside the Middle
East and, in the oil-exporting Middle East region, a 5.5-percent increase in GDP in 2015.
The regional differences persist into the long term, with GDP in the Middle East about 6.2
percent higher in 2030 in the high oil price case than in the reference case and GDP in
some oil-importing regions (such as OECD Europe and Japan) between 2.0 percent and
139
____________________________________________________________________________________________
3.0 percent lower in the high price case than in the reference case. Economic viability will
play a critical role in determination of the optimal energy option. The current worldwide
energy market is dominated by fossil fuels, making any alternative difficult to implement
due to lack of existing infrastructure, as well as commercial and practical interest driven,
although may not be visionary. Not only will the technical feasibility and cost of both green
and space-based power sources be well understood and appreciated, but also the
necessary technological learning curve and economic pressure.
Fig. 11. (a) Carbon Dioxide Emissions and Gross Domestic Product per Capita by Region,
2004; (b) Carbon Dioxide Emissions and Gross Domestic Product per Capita by
Region,2030, (Grillot, 2008).
Fig. 12. The trends in energy utilization is driven by developing economies (Ghoniem
(2008), using data from UNDP Human Development report (2003))
140
____________________________________________________________________________________________
Fig. 13. (a) GDP versus energy consumed per capita in selected countries and the world,
which indicates that it is driven by developing economies. (b) Energy efficiency of selected
countries and regions (Schmitt, 2007).
Fig. 14. (a) Energy Intensity of different economies32 The graph shows the amount of
energy it takes to produce a US $ of GNP for selected countries. GNP is based on 2004
purchasing power parity and 2000 dollars adjusted for inflation (US Energy Information
Administration 2010). (b) Energy Intensity by Region, 1980-2030 (Grillot, 2008)
The trends reflected from the results of these studies as illustrated in Figures 12 to 14
indicate that the world energy utilization is increasing commensurate with population
increase and economic development as indicated by GDP’s of individual countries.
However, the encouraging information reflected here, as illustrated in Figure 14, is the
energy intensity, which tends to decrease in 2030.
It will be imperative how these trends relate to the UN Millennium Goal and Human
Development Index. Energy can be considered to be a key factor in promoting peace and
alleviating poverty. Solar power from space can help keep the peace on Earth. In
September 2000 the world’s leaders adopted the UN Millennium Declaration, committing
32
Energy intensity is energy consumption relative to total output (GDP or GNP)
141
____________________________________________________________________________________________
their nations to stronger global efforts to reduce poverty, improve health and promote
peace, human rights and environmental sustainability.
The Millennium Development Goals that emerged from the Declaration are specific,
measurable targets, including the one for reducing—by 2015—the extreme poverty that
still grips more than 1 billion of the world’s people. These Goals, and the commitments of
rich and poor countries to achieve them, were affirmed in the Monterrey Consensus that
emerged from the March 2002 UN Financing for Development conference, the September
2002 World Summit on Sustainable Development and the launch of the Doha Round on
international trade (UN Development Report, UNDP, 2008).
As reflected by Figures 9, 10 and 12, the world is facing an energy crisis on two fronts.
There are not enough fossil fuels to allow the developing countries to catch up to the
developed countries and global warming (Figures 3, 6 and 7) is threatening to cut short the
production of the fossil fuels we can access today (UNDP, 2003 and 2008). These two
factors necessitate the active role of relevant stake-holders in developing countries as
represented by the triple-helix network of government, research institutions and
universities, and industries to establish integrated policies, action plans and budgetary
measures to accelerate local participation and contribution to the global market that
address sustainable development issues and green initiatives, with particular reference to
energy issues. Active role of government in developing countries taking advantage of the
research initiatives by local research and academic institutions in utilizing locally available
and/ or renewable technology will be necessary, as transitional stage towards more
sustainable energy mix structure.
Economic viability will play a critical role in determination of the optimal energy option. The
current worldwide energy market is dominated by fossil fuels, making any alternative
difficult to implement due to lack of existing infrastructure. Not only will the technical
feasibility and cost of both green and space-based power sources be investigated, but also
the necessary technological learning curve and economic pressure.
In addition, international cooperation and industrial and developing countries economic
interactions should also be directed towards these two factors: human resources
development and industrial development transactions that is intricately related to
environmental policy issues. Such initiatives should be based on long term and global
vision rather that short term and local interest if an overall gain is desired, and should be
seriously dedicated to overcome local and / or short-term hurdles.
With respect to energy model and energy policy, the following which demand real solutions
should be given due considerations (Ghoniem, 2008):
i. Energy consumption rates are rising, fast.
ii. Energy consumption rates are rising faster in the developing world.
iii. The developing world cannot afford expensive energy.
iv. Oil is becoming more expensive, so is gas.
142
____________________________________________________________________________________________
v. Massive and cheap coal reserves and resources should not distract synergetic efforts
for green energy
vi. CO2 will become a dominant factor (as illustrated in Figures 8 and 11).
4. Significance of space power system to the developing world

People all over the world are more or less aware about solar power satellites, although
their comprehension, initiative and creativity in addressing related problems do depend to
a large extent to the above-mentioned differentiations. It is also an observed fact that since
the inception of the idea of SPS, the world has experienced tremendous increase in
energy utilization. The trends in energy utilization is driven by developing economies
(adapted from UNDP Human Development report, 2003, and Ghoniem, 2008) is exhibited
in Table 1.
The Solar Power Satellite (SPS) system is a candidate solution to deliver power to space
vehicles or to elements on planetary surfaces and to earth to meet increasing demand of
electricity. It relies on RF or laser power transmitting systems, depending on the type of
application and relevant constraints (Cougnet et al. 2004).
It has also been observed that the fruit of developments taking place in the developing
countries is manifested in terms of higher rate of increase of energy utilization compared to
the industrial world, as indicated in Figures 10 and 12.
Table 1. The trends in energy utilization is driven by developing economies (adapted from
UNDP Human Development report, 2003, and Ghoniem, 2008)
There are not enough fossil fuels to allow the developing countries to catch up to the
developed countries and global warming is threatening to cut short the production of the
fossil fuels we can access today. Space solar power is potentially an enormous business.
Current world electrical consumption represents a value at the consumer level of nearly a
143
____________________________________________________________________________________________
trillion dollars per year; clearly even if only a small fraction of this market can be tapped by
space solar power systems, the amount of revenue that could be produced is staggering
(Landis, 1990). To tap this potential market, it is necessary that a solar power satellite
concept has the potential to be technically and economically practical.
Possibly the most interesting market is third-world "Mega-cities," where a "Mega-city" is
defined as a city with population of over ten million, such as São Paolo, Mexico City,
Shanghai, or Jakarta. By 2020 there are predicted to be 26 mega-cities in the world,
primarily in the third world; the population shift in the third world from rural to urban has
been adding one to two more cities to this category every year, with the trend accelerating.
Even though, in general, the third world is not able to pay high prices for energy, the
current power cost in mega-cities is very high, since the power sources are inadequate,
and the number of consumers is large. Since the required power for such cities is very
high—ten billion watts or higher-- they represent an attractive market for satellite power
systems, which scale best at high power levels since the transmitter and receiver array
sizes are fixed by geometry. In the future, there will be markets for power systems at
enormous scales to feed these mega-city markets. Therefore, it is very attractive to look at
the mega-city market as a candidate market for satellite power systems (Landis, 1990).
Therefore, it is imperative that Space Power System should be viewed and analyzed as a
challenging but realistic answer to the need to meet electrical energy needs for developing
countries, just like satellite communication has proven itself since its visionary projection
by Arthur Clark and its utilization in the past five decades.
To be economically viable in a particular location on Earth, ground based solar power must
overcome three hurdles. First, it must be daytime. Second, the solar array must be able to
see the sun. Finally, the sunlight must pass through the bulk of the atmosphere itself. The
sky must be clear. Even on a seemingly clear day, high level clouds in the atmosphere
may reduce the amount of sunlight that reaches the ground. Also, various local obstacles
such as mountains, buildings or trees may block incoming sunlight.
In addition, global concern and interest point toward the need for the world community to
progressively but urgently change for environmentally friendly and green energy utilization.
Hence one should examine existing power sources as well as near term options for green
energy production including cellulosic ethanol and methanol, wind-power, and terrestrial
and space solar power (Supple & Danielson, 2006; Andrews & Bloudek, 2006). The
prevailing economic gaps between developing (non-OECD) and industrialized (and
Spacefaring) countries also introduces significant gaps that place developing countries as
by-standers in the global efforts for space technology utilization for appropriate
development. It is therefore imperative to carefully examine:
a. Options, resources and policies related to establishing developing countries vision on
the inter-related relevance and promise of space, energy and environment
b. Economic development considerations as viewed from developing country
c. Human capital development considerations as viewed from developing country
144
____________________________________________________________________________________________
These aspects can be discussed in view of two extreme factors: Policy impact on global
climate, which is illustrated in Figure 8, and Human Development Index (HDI), Figure 15.
HDI measures overall progress in a country in achieving human development,
The utilization of terrestrial solar energy has increased significantly in industrialized
countries, and to a lesser extent in many developing countries, due to economic
competitiveness and local industrial support. In this conjunction, analogous to the use of
domestic communication satellite without waiting for well-established terrestrial microwave
communication network (which has proved to be very gratifying judged from a multitude of
objectives, which was the case of Indonesia), the utilization of Solar Power Satellite
services without waiting for well-established terrestrial solar power may prove to be
appropriate. Therefore, the idea suggested by Landis (1990) to utilize space solar as a
"plug and play" replacement for ground solar arrays could be attractive for developing
countries.
Fig. 15. Human Development Index Assessment on various geographical regions

(UNDP,2008)
Table 2 shows the advantages of using space solar as a "plug and play" replacement for
ground solar arrays. From the point of view of a utility customer, a rectenna to receive
space-solar power looks just like a ground solar array-- both of them take energy beamed
from outer space (in the form of light for solar power, in the form of microwaves for the
space solar power) and turn it into DC electricity.
Such exercise may be beneficial in establishing energy policy which has multiple goals,
145
____________________________________________________________________________________________
which addresses economic, national security, as well as environmental issues, as

illustrated below, as adapted from Supple & Danielson (2006).
Economic
• limit consumer costs of energy
• limit costs & economic vulnerabilities from imported oil
• help provide energy basis for economic growth elsewhere
• reliably meet fuel & electricity needs of a growing economy
Homeland and National Security

• minimize dangers of conflict over oil & gas resources
• avoid energy blunders that perpetuate or create deprivation
Environmental
• improve urban and regional air quality
• limit greenhouse-gas contribution to climate-change risks
• limit impacts of energy development on fragile ecosystems
Table 2. A Natural Synergy: Ground-based solar as the precursor to space solar power
(Landis, 1990)
A wide variation of different energy production technologies was examined and Monte
Carlo analyses were generated to take into account the data variability in the rapidly
changing energy field (Mankins, 2008). Initial model results indicate that the shortage of
146
____________________________________________________________________________________________
fossil fuels can be overcome within a reasonable time period
The SPS system is characterized by the frequency of the power beam, its overall
efficiency and mass. It is driven by user needs and SPS location relative to the user.
Several wavelengths can be considered for laser transmission systems. The visible and
near infrared spectrum, allowing the use of photovoltaic cells as receiver surface, has
been retained. Different frequencies can be used for the RF transmission system. The 35
GHz frequency has been considered as a good compromise between transmission
efficiency and component performances.
5. Space power system: review of several architecture and technologies

Through advances in space science, technology and exploration, mankind has also been
acquiring awareness of the presence of our sun as an inexhaustible source of energy, as
depicted in Figure 16, which may then offer a host of additional solutions to meet the need
of world expanding population and increasing demand for energy.
Since its introduction by Dr. Peter Glaser (Glaser, 1968a; Glaser, 1968b; Ledbetter, 2008)
for which it was granted US patent in 1973 (Glaser, 1973), Solar Power Satellite as a
means to supply inexhaustible power from the Sun for use on the Earth and/ or other
space objects of human interest has gained much attention and endeavour, in particular
with the global concern on environmental issues and sustainable development. Energy
from the Sun is inexhaustible, as clearly underscored in Figure 16.
Fig. 16. Impressive views of the Sun: (a) The Sun, the Earth and the Moon, (b) The Sun as
seen from Space Shuttle Endeavour (c) and the Sun observed surface, all of which
emphasize its tremendous potential as an inexhaustible source of energy
(http:/ / www.google. com.my/ imglanding).
Solar Power Satellite then reflects mankind vision and scientific and technological
progress on the problem-solving end but also global concern for energy and environmental
147
____________________________________________________________________________________________
sustainability on the problem end. Even it has been strategically recognized that Solar
power from space can help keep the peace on Earth (Mankins, 2008), which should be
intimately related to mankind observed certainty on human population “Exponential
growth”, and which has led to a multitude of practical consequences.
Therefore, Solar Power Satellite has become a universal human interest regardless of
human earth-based and anthropogenically defined differentiations: geographical origin,
color, creed, wealth, intelligence and the like. A space solar power generation system can
be designed to work in synergy with ground solar power. In fact, progress in space-based
photovoltaic technology has been the driver for their earth-based utilization, as well as
making them more economical. Hence in a broader sense, terrestrial-based and extra-
terrestrial based Solar Power should provide a feasible answer for meeting mankind
energy needs. The principle and operation of Solar Power Satellites is illustrated and
summarized in Figure 17 (Harkins et al, 2008).
Fig. 17. The principle and operation of Solar Power Satellites (Harkins et al, 2008)
Electricity has been produced and used in space from sunlight by hundreds of satellites in
operation today. One may say that technological progress in land-based Photo-voltaic
Electricity Generator to an affordable techno-economic state is due to a large extent by
progress in space-based Photo-Voltaic Cells. As introduced by Dr. Peter Glaser in 1968,
the concept of a solar power satellite system with square miles of solar collectors in high
geosynchronous orbit is to collect and convert the sun's energy into a microwave beam to
transmit energy to large receiving antennas (rectennas) on earth.
148
____________________________________________________________________________________________
In 1999 NASA formed SERT, the Space Solar Power Exploratory Research and
Technology program to perform design studies and evaluate feasibility of Solar Power
Satellites (SPS). The concept has now evolved into a broader one: Space-Based Solar
Power (SSP), which incorporates the concept and design of Sun Tower, as illustrated in
Figure 18.
• The space-based antenna

needs to be at least 1 km
in diameter, making it far
larger than any satellite
ever proposed.
• Receiving antenna (an
array of wires) must
cover 20,000 acres.
• Sidebands not worth
capturing
• Laser alternative to
microwave power
Fig. 18. Design Ideas of Sun Tower (Harkins et al, 2008)
transmission.
The general benefits of Space-Based Solar Power are that there is no pollution after
construction, no GHG during power generation, the source of energy is free and it has a
large amount of energy potential.
The advantage of placing the Solar Power Generator in space rather than on the surface
of the Earth are, among others: less atmosphere for sunlight to penetrate for more power
per unit area, any location on the Earth can receive power, the Satellite can provide power
up to 96% of the time, the solar panels do not take up land on Earth while there are
figuratively speaking infinite space is available in space and the initiative will promote
growth of space, solar, and power transmission technology. On the other hand, there are
significant problems to overcome with SSP. These are, among others, very expensive
initial cost, power transmission by microwave and/ or lasers still has to be developed to
counter their possible harmful effects, cosmic rays can deteriorate panels, very large
receiving antennas on earth may be required, maintenance problems and to avoid solar
winds displace it off course would need a complex propulsion system.
Technological options considerations in view of overall strength and weakness / gains and
losses. Several studies have been carried out for various Solar Power Satellites, including
those located in Low Earth Orbits. These are LEO and MEO SPS, Geostationary SPS and
Super synchronous SPS.
Typical Halo Orbit
149
____________________________________________________________________________________________
Typical Halo Orbit
Fig. 19. Lagrange Points of the Earth-Sun system (not to scale). The Earth-sun L2 point
distance is 1.5M km from Earth. Also shown an example of a typical halo orbit around L2
Fig. 20. Individual concentrator/ PV/ solid-state-transmitter/ parabolic reflector element

(Landis, 2004)
150
____________________________________________________________________________________________
Table 3. Earth-Sun L2 Design details (Landis, 2004)
Some visionary concepts have been introduced, such as the Solar Power Satellite /
Space-Based Solar Power to be located at an orbit around the Lagrange point L2,
illustrated in Figure 19. Recent study on Innovative Power Architectures has been carried
out by Landis (2004), with some concepts of Earth-Sun L2 Design details are exhibited in
Table 3. Three new concepts for solar power satellites were invented and analyzed:
i. a solar power satellite in the Earth-Sun L2 point,
ii. a geosynchronous no-moving parts solar power satellite, and
iii. a non-tracking geosynchronous solar power satellite with integral phased array.
The space power system designed to be located at Earth-Sun L2 will be radically different
from conventional GEO Space power concept. As illustration, individual concentrator/ PV/
solid-state-transmitter/ parabolic reflector element is exhibited in Figure 20. and an
integral-array satellite has been proposed and invented and has several advantages,
including an initial investment cost approximately eight times lower than the conventional
design.
The following criteria, among others, will have to be used for a credible analysis of solar
power satellite economic benefits and rate of return: Satellite power generation should fit
electrical demand profile, Satellite power generation should generate power at the
maximum selling price, and actual data on electrical demand and price should be used in
its concept, design, implementation and operation
A novel scheme to implement Space Solar Power (SSP) to generate abundant, clean, and
steady electric power “twenty-four hours a day every in a year” (or “24/ 365”) in Space
from solar energy, and conveyed down to Earth has been proposed by Komerath [26]. To
151
____________________________________________________________________________________________
overcome the massive cost to build large collector-converter satellites in Geosynchronous

Earth Orbit (GEO) or beyond, the Space Power Grid (SPG) approach has been proposed
by Komerath [27-28] breaks through this problem by showing an evolutionary, scalable
approach to bringing about full SSP within 25 to 30 years from a project start today, with a
viable path for private enterprise, and minimal need for taxpayer investment. This paper
deals with the interplay of technology, economics, global relations and national public
policy involved in making this concept come to fruition.
Given their high retail costs and unsteady nature, terrestrial solar-electric and wind power
sources still remain secondary and subsidized. The key feature of Komerath’s concept is
to use the potential of the space-based infrastructure to boost terrestrial “green” energy
production and thus benefit from the concerns about global warming and energy shortage.
In this first paper on the concept, the scope of the project, possible benefits and the
obstacles to success are considered. It is seen that the inefficiency of conversion to and
from microwave poses the largest obstacle, and prevents favorable comparison with
terrestrial high-voltage transmission lines. However, competitive revenue generation can
come from the nonlinearity of cost with demand at various places on earth. Point delivery
to small portable, mobile receivers during times of emergencies is necessary. The benefits
to ‘green’ energy generation make the concept attractive for public support as a strategic
asset. This also sets a market context for concepts to convert solar power directly to
beamed energy – a prospect with many applications. The following description is taken
from Komerath (2007), with stages illustrated in Figures 21 and 22.
Briefly, the SPG approach is a 3-phase process to bring about full SSP. In Phase 1, no
power is generated in Space. Instead, Space is used as the avenue to exchange power
generated by renewable-energy plants located around the world. This is a breakthrough
because renewable power plants today are unable to compete with local alternatives such
as nuclear and fossil thermal power, due to their inherently unsteady, fluctuating nature.
The sun only shines during the day, and not very well in cloudy weather, on Earth’s
surface. Wind power fluctuates wildly. The ideal locations for wind, solar and tidal/ wave
power plants are typically far from their customers, hence demanding the installation of
new high voltage power grids in an age when land rights and environmental impact
policies impose high costs on such infrastructure. In addition, to qualify for “base load”
status, renewable power plants must install auxiliary power generators amounting to
essentially 100% of their standard capacity, in order to be able to guarantee a steady level
of output, and the ability to respond to demand surges. Such auxiliary generators are
usually fossil burners, and relatively inefficient.
Once the Phase 1 SPG is in place and essentially self-sustaining by synergy with the
renewable power industry, the satellites are gradually replaced, as each reaches about 17
years of age, with new, larger Phase 2 satellites that incorporate collector-converters for
solar power, using the technological advances of the 23 years since project start. These
152
____________________________________________________________________________________________
put a small amount of space-generated power into the already-functioning grid, at a much
lower generation cost.
Fig. 21. Space Power Grid satellite receiving and redistributing beamed power
(Komerath,2007).
Fig. 22. Evolutionary path to full Space Solar Power (Komerath, 2007).
Phase 3 consists of launching several very large, but ultra-light collector/ reflector satellites
to high orbits. These will contain no converters (thereby reducing their mass by 2 orders of
magnitude) but simply collect and focus sunlight on to the Phase 2 collector-converters in
153
____________________________________________________________________________________________
L/ MEO. Phase 3 then allows for expansion until the constellation in L/ MEO reaches
saturation. To double terrestrial primary energy availability, some 300 square kilometers of
ultra-light reflectors will be needed, in high orbits.
Such a system involving global power exchange obviously requires international
collaboration on a global scale. Komerath et al (2007) proposes a global public-private
Consortium, partially based on the model for the European Space Agency, where member
nations and private corporations collaborate to reduce risk, make low-interest funding
available, and organize the construction of major Space infrastructure. This set up is also
shown to be open a path towards resolving some of the most vexing obstacles in space
resource utilization, arising from current Space Law. On a national level, moving towards
the Space Power Grid approach requires some fundamental realignments that synergize
the Space and Energy enterprises with the environmental / Climate Change control
movement.
The scheme proposed by Komerath is a bridging between the present economic and
technological capabilities with acquired technologies and global economic capabilities to
be acquired in the future, taking into account synergistic and cooperative efforts among
countries.
6. Space power system as a unifying agent for global networking

The vision of Space Power System is a world of synergy: synergy of development efforts,
bridging the Technological and Economic Gaps, Economic and Business Partnership and
unify world communities for common concern and interest. Space Power System may
serve to unify global efforts in its conception, design, implementation which may include
manufacturing, assembly, commissioning and operation, and so forth. These objectives
are quite in line with the objectives stipulated in many UN/ UNDP studies: to promote
public policies to improve people’s health and education, to ensure environmental and
energy sustainability, and to promote truly global partnership, in which the rich countries
should not follow the paradigm of charity, but what rich countries can do to cooperate with
the less developed ones to serve as partners in reaching the common goals as articulated
in the UN Millennium Goals.
In particular, Energy utilized by world population manifests itself in the following forms:
a. Primary forms:
sunlight, biomass, hydropower, wind, ocean currents, waves, tidal energy, fossil
fuels: coal, crude oil, gas, oil shale, tar sands, methane, clathrates, geothermal
energy, ocean heat, fission fuels (U, Th), and fusion fuels (H2, Li, He3)
a. Secondary forms
gasoline (from oil), diesel and heating oil (from oil, biomass), jet fuel (from oil),
electricity (from anything), hydrogen (from anything) , alcohol (from any biomass),
charcoal (from wood), “ town gas” (from coal), and synfuels (from coal, oil shale,
biomass)
154
____________________________________________________________________________________________
The state of affairs of primary energy availability and utilization is reflected in Table
3 and Figure 9.
Associated with energy policy and vision, the following key questions could be posed
(adapted from Supple et al (2006):
➢ Could the ever-increasing need for energy be a unifying driver for world community
in synergistic and unified effort for inexhaustible source of energy but sustainable
for the global environment?
➢ What is the current and future composition of energy utilization in industrial and
developing country and will it tend towards acceptable range of energy utilization
per capita? Or by source? by sector? by region?
➢ What scenarios have been forecast for the future? Do they or should they lead to
unified and synergistic efforts rather than competitive ones?
➢ Could Space Power System (and Renewable Energy Initiatives) be a driving force
for concerted and unified efforts by and for the world community as a whole? Could
this be incorporated and envisioned by individual and mutual energy policy?
These questions need to be resolved by stakeholders in the near future. Indications for
such desire and emerging paradigm could well be in the offing, as reflected as a motto in
the UNDP 2003 summary report (2003, 2008): Climate change—together we can win
the battle. In this conjunction, the following factors could be identified as pushing and
pulling factors:
Pushers:
• Sustainability
• Investment – and economic transactions
• Government policy and triple helix mutual interaction
• The role of international and United Nations bodies, in particular the UN-COPUOS
• Lessons learned from hard facts derived from other countries’ experience
Pullers:
• Common universal goal
• Extending hands - together we can win the battle
• New paradigm
• Cooperative efforts, synergy and networking
Analysis along such frame of thought has been carried out by Sathaye (2006). Table 4
displays indicator analysis carried out which could be used in analyzing how countries of
differing economic category develop their energy policy to respond to world’s sustainability
requirements.
155
____________________________________________________________________________________________
Considerations of all these issues will lead to the need for narrowing the Technological
and Economic Gaps, and in turn unify world communities for common concern and interest
and the prospects and potential of Space Power System.
Table 4. Indicators Analysis: Drivers, Indicators Sector and Technology Structure

(Sathaye, 2006)
7. Stimulating positive attitude in developing countries:
The microsatellite tool

It is well known that the United Nations, in particular through its Committee on Peaceful
Uses of Outer Space and its Office of Outer Space Affairs, is dedicated to bring the
benefits of Space Science and Technology, in particular, to the outreach of the developing
nations. In his keynote address at the First Asian Conference, Abiodun (2004) recognizes
that the space enterprise has become one of the fundamental foundations of
industrialization, and will be much more so in the foreseeable future. Accordingly,
translating the national and global policies into successful national operational programs
that can take advantage of progress in space science and technology to address global
156
____________________________________________________________________________________________
and national strategic and relevant issues demands a strong political will by the
government(s) concerned, as well as public understanding and proactive attitudes. Such a
political will demands commitment to human resources development at all required levels,
institutional building, and far-sighted funding plan(s) all needed to ensure the successful
implementation of the national space policy. Its success would be further enhanced if the
government is able to ensure the full support of all stakeholders, the decision makers at
various levels and the society at large, in the different aspects of its space activities
resulting in demonstrable tangible and positive impact in the lives of the people, in
particular to meet those demands implicitly implied by the objective of defining the Human
Development Index.
Fig. 23. Share of IT services in total services exports, 2006 (per cent)(Houghton, 2009)
The systematic implementation of the program associated with such space policies within
the global spirit and environment for cooperation, has placed each country in the world a
specific space-capability categorized as Space-faring nations, Space-capable nations,
Space aspiring nations and Space-aiming nations (Abiodun, 2004).
Many developing countries have taken steps to take advantage of the advances in space
science and technology for their national interest, in pace and promoting their national
development goal, and even accelerating their status, using the categorization above, from
space aiming to space fairing nations.
In addition to looking into the interest, technological and industrial capabilities in space
157
____________________________________________________________________________________________
science and technology for addressing national and global issues, it is an observed fact
and necessity that each country to a large extent utilize and develop Information and
Communication technologies (ICT) in almost every aspect of life, in particular related to
those activities related to productivity and creativity. ICT is very intimately related to Space
Technology in a large host of social and economic activities.
Both developed and developing countries face many environmental challenges, including
climate change, improving energy efficiency and waste management, addressing air
pollution, water quality and scarcity, and loss of natural habitats and biodiversity.
Houghton (2009) has looked and explored how the Internet and the ICT and related
research communities can help tackle environmental challenges in developing countries
Fig. 24. ICT Impact: The global footprint and the enabling effect (Houghton, 2009).
through more environmentally sustainable models of economic development, and

examines the status of current and emerging environmentally friendly technologies,
equipment and applications in supporting programs aimed at addressing climate change
and improving energy efficiency. Such concern could be extended to addressing energy
and space technology, the present focus interest., in particular in addressing and
developing positive attitude and enabling technological capabilities for establishing a
synergistic global society for space endeavour of mutual concern in mega-scale. Figure 23
exhibits the share of IT services in total services exports for the year 2006 (in per cent),
while Figure 24 exhibits ICT Impact and the global footprint and the enabling effect. Such
information which may lead to further study relating manpower and technological
capabilities for particular nation in carrying out more full-fledged space related activities
addressing a broad spectrum of applications, including environmental challenges,
improving energy efficiency and exploring novel energy initiatives.
158
____________________________________________________________________________________________
Another vehicle to in-country capacity building and establishing space-related human

capital, technology and industry is by following a micro-satellite development oriented
towards the needs of the country, which can be initiated at university and research
institution level. Recent advances in Commercial Off-The-Shelf (COTS) sensor- and
storage technology is enabling a completely new class of micro-satellites. Ground
Sampling Distances (GSD) smaller than 5 m that was only possible on larger satellites, are
now possible on satellites with a mass of less than 60kg due to smaller pixel sizes,
refractive optics and accurate ADCS pointing and viewing control (Mostert, 2007). New
paradigms for the application of remote sensing are expected to develop as a result of the
possibility of having a personal remote sensing resource to complement more
conventional Earth resource large satellites.
Such development are expected to lead to significant repercussions in the national
decision circles which could lead to vision sharing and commitments of the four entities
representing the responsible players and strategic stakeholders in “space ventures” : the
government, the academic and research institutions, the private industry and the local and
international organizations, which may lead to the following new socio-political paradigm
(Salatun et al, 1975; Djojodihardjo et al, 2007): a. Space endeavour is essential for
sustainable national development, b. Space endeavour contribute to national capacity
building and establishment of infrastructure essential for industrial and knowledge-based
economy.
Examples of successful national microsatellite program in non-space-faring countries
using triple-helix partnership (Figure 25) are exhibited in Figure 26.
Fig. 25. Strategic (Triple-Helix) Partnership for Capacity building (Djojodihardjo, 2003;
Djojodihardjo et al, 2007).
159
____________________________________________________________________________________________
Fig. 26. Examples of national microsatellite product: (a) LAPAN-TUBSAT as one of the
TUBSAT based microsatellite development (shown here: DLR-, MAROC- and
LAPANTUBSAT); b. TiungSAT-1 as one of the UoSAT based microsatellite development
(with UoSat-1, TMSAT and TiungSAT-1 as examples); c. SUNSAT 1 from Stellenbosch
University, South Africa (Mostert et al, 1998) which leads to follow on impressive
microsatellites development.
SUNSAT micro satellite development demonstrated the potential of local triple-helix

synergistic efforts for capacity development, which indicates also the space technology
research and industrial capabilities progress in the conducive global cooperation in space
related venture. Most of these locally conceived microsatellite developments served at
least three purposes: establishing elements of integrated space technology capabilities
locally, application of nationally oriented space application mission and establishing
conducive national atmosphere with reference to strategic decision-making process and
public acceptance for further space technology developments.
Space endeavour contributes to the betterment of human quality of life, economic and
employment opportunities. At the conspicuous tip of the iceberg, microsatellite has
projected itself as a new tool and paradigm for affordable space venture oriented towards
basic human needs and quest for rapid progress. Mostert (2008) also demonstrated how
satellite engineering is indeed a catalyst for development. Satellite and Space Engineering
has posed a Complex Value Proposition, and successful initiatives in this direction could
lead to geo-political Influence, National Pride and Strategic Capability, motivated Science
160
____________________________________________________________________________________________
and Technology Community in the country, provides added value to Government Services,
stimulates Industrial Development, and provide commercially useful data/ information.
As was proved to be the case in the Indonesian Aircraft Technology program in 1976-
1998, there is an intricate relationship between capacity development and development of
space technology, which could be well reflected in Table 4 (adapted from Mostert, 2008).
Areas of Concern Contribution of space technology
Table 5. Intricate relationships between capacity development and development of space

technology
Fig. 27. Return on Investment (ROI) on Satellite Engineering Investment (from Mostert,
2008).
161
____________________________________________________________________________________________
Fig. 28. Trends in Cost of Ground Sampling Distance (Mostert, 2008)
Desired triple-helix partnership (Etzkowitz, 2000) as schematically depicted in Figure 24

should be established in such space venture for effective efforts and capacity building with
utmost national benefits. Micro-satellite programs established in Indonesia and Malaysia
(Djojodihardjo et al, 2007; Triharjanto et al, 2007, Hardhienata et al, 2007, Md.Said et al,
2008) are a small example of such partnership for space technology development,
implementing a combination of paradigms, and taking advantage of the technological
progress and global cooperation atmosphere.
With such structure, synergy between private venture and government leadership could
still be strengthened. It is heartening that since 2000, effort to develop microsatellite has
gained new momentum by the support of key government officials. Such vision and
atmosphere is required since budget for realizing developing country program space
activities are allocated through an intricate mix of triple helix setting in developing country
Cooperation between space communities, involving government space agency and
strategic domestic industry with other regional countries as well as space fairing countries
has developed favourably in the past decades. Of interest is the Return of Investment of
national space venture. An encouraging example is elaborated by Mostert (2008), which is
summarized in Figure 26. The viability of such efforts is also illustrated in Figure 27.
8. Universal SPS program initiatives – arms reaching but novel paradigm –

establish productive and resourceful partners-in-arms by expanding
opportunities at creative circles
162
____________________________________________________________________________________________
Space Solar Power initiatives which give promise to the world energy and environment
solution in not too distant futures could best be addressed by global cooperation and
global networking, thus establishing less technologically (and thus industrially) endowed
nations as partners in synergistic space ventures. The challenge for space program
initiatives for non-space fairing developing countries, can be addressed in more positive
partnerships capitalizing on international cooperation paradigms now only promoted by the
UN system. Decision makers and all stake holders in developing countries are also
encouraged to develop National Development and Capacity Building Vision and National
Program and sustainable development solutions capitalizing on enhancing the quality and
capacity of their human capital through Coordinated Efforts and Broad Based Strategic
Partnerships, thus aiming for more equitable distribution of Human Development Indices
around the world and within each country.
The development of microsatellite in some developing countries, exemplified by Malaysia
and Indonesia reflects the following situation.
1. Microsatellite development has to bear direct relevance to the national development
objectives, and can draw strategic synergistic efforts and partnerships among stakeholders
in the country, which may involve university community
2. Technology providers are sought from outside the country which appeals both form
affordability and promise for in-country technology and human resources development.
3. New paradigm for space technology development that offer time-cost-effective,
affordable and strategic participation and role for local human resources and local
technology development / local space technology infrastructure are available and
progressing.
4. Microsatellite development scheme undertaken should be able to convince national
decision makers of its orientation towards basic human needs and overall effectiveness
and success in the quest for rapid progress.
It is encouraging that the relevance of space related initiatives to down-to-earth basic

human needs to a larger extend has been shared by stakeholders, by significant
breakthrough in overcoming social, cultural and technological handicaps. The emergence
and growing development of strategic technologies, cooperative spirit, globalization of
information and vision for global techno-economic networking is considered to be
responsible to the favorable paradigm shift that has enabled and conducive to the
translation of Space Imperative for National Development and Capacity Building through
Vision, Coordinated Efforts and Strategic Partnerships in relevant, mission-oriented and
affordable space initiatives of these countries. Universities can play significant role in the
national and regional efforts to master new
sciences and technologies which require high expertise in the relevant basic sciences and
along with national research institutions in the region can form indigenous broad-based
163
____________________________________________________________________________________________
scientific and technological infrastructure conducive for effective development of advanced

technologies.
Progressive regional initiatives that within conceivable future will contribute to the
development of regional cooperative space program, close networking and coordination of
research institutions, joint governmental funding, etc, as has been carried out in many joint
bilateral as well as ASEAN programs, should be enhanced. To this end, efforts should be
carried out by relevant stakeholders to establish political will and vision for such initiatives.
Effective regional or geographical cooperation as carried out and developed by the
European Space Agency that has now carried out significant, strategic and far-sighted
space initiatives could serve as an encouraging example. Regional or Asian cooperative
initiative which capitalize on Remote Sensing Space System dedicated for tropical
equatorial countries as stipulated in [19] and have been followed by national initiatives in
the region should be a logical and feasible step. The Asian region, in particular the ASEAN
region, is poised to evolve added regional approach in the not too distant future in the
ever-expanding space frontier, which also implies ever expanding opportunities, including
progressive participation in a global program for Space Solar Power.
9. Conclusion
The SPS system appears as a promising solution for meeting future energy (electrical)
needs of mankind on earth, notwithstanding other needs associated with mankind venture
on space objects. A comprehensive review and analysis have been carried out on global
participation on solar power satellite initiatives. The following conclusions can be made:
1. Space Power System initiatives could be extended to the developing world in
progressive fashion, to address global urgent need for sustainable energy and equitable
development.
2. Space Power System Global initiative has the potential to reduce the Technological and
Economic Gaps, and in turn unify world communities for common concern and interest.
3. Space programs already carried out in many developing countries, including
microsatellite development, will serve as a vehicle and policy stimulus for global
partnership in space projects of interest to global community.
4. A universal SPS Program Initiatives could be envisioned with the assistance of
international organization, in particular the UN COPUOS and its Office of the Outer Space
Affairs.
5. Comparative analysis of several architecture and technologies could be carried out to
look into feasible means of progressive participation of developing countries. Simulation by
microsatellite-concept could be of interest.
6. A wide range of technological options for SPS configurations are available and could be
given due considerations in view of overall strength and weakness.
164
____________________________________________________________________________________________
10. References
1. Abiodun, A.A., 2004. The Roles of Governments, International Organizations and The
Private Sector in The Promotion of Space Science and Technology, Keynote Address/
Paper invited for presentation as Keynote Address at the First Asian Space Conference,
Chiang Mai, THAILAND, November 23-26.
2. Andrews, D.G. and Bloudek, B. (2006). Space and the Green Energy Options, paper IAC-
08-C3.3.1, 59th International Astronautical Congress/ The World Space Congress-2006, 29
September and 3 October 2008, Glasgow, Scotland.
3. Bernstein, L. (2007). Climate Change 2007: Synthesis Report Summary for Policymakers,
An Assessment of the Intergovernmental Panel on Climate Change, A summary approved
in detail at IPCC Plenary XXVII, Valencia, Spain, 12-17 November 2007.
4. Bertrand, C., Van Ypersele, J-P. and Berger, B., Are Natural Climate Forcings Able to
Counteract the Projected Anthropogenic Global warming? (2001) Climatic Change 55: 413–
427, © 2002 Kluwer Academic Publishers. Printed in the Netherlands.
5. Boechler, N., Hameer, S., Wanis, S. and Komerath, N., 2007, An Evolutionary Model for
Space Solar Power, Parameter Selection for a Space Power Grid
6. Chefurka, P. (2010). Energy and GDP in 2050, The Growth of Destitution, http:/ /
www.paulchefurka.ca/ WEAP2/ Energy_GDP_2050.html
7. Cougnet, C., Sein, E., Celeste, A. and Summerer, L. (2004). Solar Power Satellites for
Space Applications, IAC Paper, IAC-04-R-3-06, 55th International Astronautical Congress
2004 - Vancouver, Canada.
8. Djojodihardjo, H., 2003. Internal Report, International Cooperative Center for Engineering
Education Development (ICEED), Toyohashi University of Technology.
9. Djojodihardjo, H., Md. Said, M.A., and Parman, S., 2007. Translation of Space Imperative
for National Development and Capacity Building Through Vision, Coordinated Efforts and
Strategic Partnerships, IAC-07-E3.1.3, presented at 58th International Astronautical
Congress 23-28 September, Hyderabad, India.
10. Djojodihardjo, H. (2009). Beyond Fossil Fuels, Proceedings of the National Seminar on
Alternative Energies to substitute Fossil Fuels, (in Indonesian), Universitas Jenderal
Achmad Yani (UNJANI), Bandung.
11. Djojodihardjo, H. and Varatharajoo, R. (2009). Space Power System Initiatives:
Establishing World Vision and Capacity, paper IAC-09-C3.3.3, 60th International
Astronautical Congress, 12 – 16 October 2009, Daejeon, Republic of Korea
12. Etzkowitz, H., 2000. The Triple Helix of University - Industry – Government: Implications for
Policy and Evaluation, www.sister.nu, ISSN 1650- 3821, Institutet för studier avutbildning
och forskning, Drottning Kristinas väg 33D, SE-114 28 Stockholm.
13. GhoniemA.F. (2008). The Energy Challenge and Emerging Opportunities, The International
Conference on Mechanical and Manufacturing Engineering, Johor Bahru, May 21-23.
14. Glaser, P.E., 1968a. Science 22: Vol. 162. no. 3856, pp. 857 – 861, November.
15. Glaser, P.E., 1968b. “Power from the Sun: It’s Future,” Science Vol. 162, 957–961.
165
____________________________________________________________________________________________
16. Glaser, P.E., 1973. "Method and Apparatus for Converting Solar Radiation to Electrical
17. Power". United States Patent 3,781,647, December 25.
18. Grillot, L.R., (2008). Energy Scenarios, College of Earth and Energy, University of
Oklahoma, http:/ / www.sec.ou.edu/ mee/ pdf/ Energy%20Outlook%20Sem%2007/
Energy%20 Scenarios_Grillot.pdf.
19. Hardhienata, S., Nuryanto, A., Triharjanto, R.H. and Renner, U., 2007. www.ilr.tuberlin. de/
RFA/ sat/ lapan/ paper/ hardhiena
20. Schmitt, J., (2007). Energy “Consumption” and GDP, in The Second Law of Life, Energy,
Technology, and the Future of Earth as We Know It, an interactive study, http:/ /
secondlawoflife. wordpress.com/ 2007/ 05/ 17/ energy-consumption
21. Harkins, J., Livingston, D., Wong, A., and Sanders, A., 2008. Space-Based Solar Power,
sexton.ucdavis.edu/CondMatt/cox/hw16007/spacepvs.ppt
22. Houghton, J., 2009. “ICT and the Environment in Developing Countries: An Overview of
Opportunities and Developments”, Centre for Strategic Economic Studies, Victoria
University, AUSTRALIA; Communications & Strategies 76(4), pp.39-60.
23. Komerath, K., 2007. The Space Power Grid: Synergy Between Space, Energy and Security
Policies, Email: komerath@gatech.edu
24. Komerath, N., Venkaty, V. and Butchibabu, B., 2007. Parameter Selection for a Space
Power Grid.
25. Landis, G. (1990). “An Evolutionary Path to SPS,” Space Power, Vol. 9 No. 4, pp. 365–371.
26. Landis, G.A., 2004. Reinventing the Solar Power Satellite, NASA/ TM—2004-212743,
NASA Glenn Research Centre, Cleveland, Ohio ,February 2004, also appearing as IAC
Papers IAC–02–R.3.06 and IAC–02–R.1.07.
27. Ledbetter, W., 2008. "An Energy Pioneer Looks Back," Ad Astra, Vol. 20, No. 1, p. 26.
28. Mankins, J.C., 2008. Space-Based Solar Power, Inexhaustible Energy From Orbit, Ad-
Astra,The Magazine of Space Society, www.nss.org/adastra/AdAstra-SBSP-2008.
29. Md Said, M.A., Jamil, I., Fadly, M. and Djojodihardjo, H., 2008. Design Philosophy,
Features and Development Of Sun-Sensor and Magnetic Field Probe For Nano Satellite,
paper IAC-08-B4.1.10, 9th UN/ IAA Workshop on Small Satellite Programmes at the
Service of Developing Countries, 59th International Astronautical Congress, 29 September
and 3 October, Glasgow, Scotland
30. Mostert, S., Cronje, T. and du Plessis, F., 1998. The SUNSAT Micro Satellite Program:
Technical performance and limits of imaging micro satellites, http:/ / www.jamsat.or.jp/
oscar/ sunsat/ mirror/ sspapers/ cnes.pdf
31. Mostert, S.,2008, Satellite Engineering as Catalyst for Development, Paper IAC-08.B4.1.2,
9th UN/ IAA Workshop on Small Satellite Programmes at the Service of Developing
Countries, 59th International Astronautical Congress, 29 September and 3 October,
Glasgow, Scotland.
166
____________________________________________________________________________________________
32. Salatun, J, Djojodihardjo, H. and Alisyahbana, I., 1975. Satellite Orbital Considerations for
Remote Sensing in Indonesia, UN-FAO-LAPAN Joint Workshop on Satellite Remote
Sensing and Space Communication, Jakarta.
33. Sathaye, J.A., de la Rue du Can, S., Levine, M., Price, L., Sinton, J. and Zhou, N., 2006.
Global Energy Demand: Global Developing--Country Indicators, Presented at the
Introduction to Energy Indicators Workshop, International Energy Agency, Paris, April 26,
2006, http:/ / ies.lbl.gov/ ppt/ gedindicators.pdf
34. Supple, D. and Danielson, D. (2006). Energy 101: World and U.S. Energy Overview, MIT
Energy Club Discussion, September 27, 2006, R&D Pub, Stata Center (32-410).
35. Triharjanto, R.H., Hasbi, W., Widipaminto, A., Mukhayadi, M. and Renner, U., 2007,
www.ilr.tu-berlin.de/ RFA/ sat/ lapan/ paper/ triharj1.pdf
36. UN, The United Nations Framework Convention on Climate Change(2010). http:/ /
unfccc.int/ essential_background / convention/ background/ items/ 1353.php.
37. UNDP Human Development report 2003, (2003). hdr.undp.org/en/reports/global/hdr2003/;
www.unic.un.org.pl/ hdr/ hdr2003/ hdr03_complete.pdf; also
38. Human Development Report 2003, Millennium Development Goals: A compact among
nations to end human poverty, Published for the United Nations Development Programme
(UNDP) New York Oxford, Oxford University Press 2003.
39. UNDP (2008). Human Development Report 2007/ 2008, Fighting Climate Change, Human
Solidarity in a Divided World, Published for the United Nations Development
40. Programme.
41. US Energy Information Administration. (2010). International Energy Outlook 2010,
42. Highlight, Report #: DOE/ EIA-0484(2010) Release Date: May 25, 2010, http: / /
www.eia.doe. gov/ oiaf/ ieo/
43. Walker, H., Keim, B. and Arndt, M.B. (2010) -Natural and Anthropogenic Factors Affecting
Global & Regional Climate, (2010), http:/ / www.necci.sr.unh.edu/ neccireport/
NERAch3.pdf
44. World Bank, Why a 4°C Warmer World, November 2012
167
____________________________________________________________________________________________
168
____________________________________________________________________________________________
VIII
AEROSPACE AND GREEN TECHNOLOGY: PROGRESS AND
OUTLOOK33
AIROD Chair Professor Aerospace Engineering Department, Faculty of Engineering
Universiti Putra Malaysia
43400 Serdang, Selangor, Malaysia.
and
Universitas Al-Azhar Indonesia
Jalan Sisingamangaraja, Kebayoran Baru, Jakarta 12110, Indonesia
Email: harijono@djojodihardjo.com
ABSTRACT
Mankind are now concerned with their sustainable growth and the sustainability of
the environment we live in, and more pronouncedly, global changes. It is with such vision
that the present work attempts to review and elaborate the contributions and problems
contributed by natural and anthropogenic causes, and seek solutions that can be offered
by Aerospace Technology to address environmental changes thus occurring, through
initiatives known as green technology. However, such initiative may only provide partial or
temporary solutions, as learned from mankind experience through the ages.
As scientists and engineers, our analysis will first look at the basic principles
governing physical changes occurring in the earth’s environment, here defined as the
earth and its enclosing atmosphere, and the effect of anthropogenic changes introduced
thereafter. Thus one may comprehensively obtain some guidelines in our scientific and
technological efforts to comprehend the natural phenomena and global changes which
may include anthropogenic causes, as well as deriving some guidelines, such as those
33 Keynote address, World Engineering Congress 2010, 2nd – 5th August 2010, Kuching, Sarawak, Malaysia, Conference
on Aerospace and Mechanical Engineering
169
____________________________________________________________________________________________
derived from thermodynamic principles, in carrying out efforts to intervene such process
and thus maintaining the sustainability of the earth’s environment.
The work will then review information and knowledge gained from space endeavour,
which may broaden our horizon in understanding our earth’s environment as well as new
technologies that can be offered to our goal of maintaining the sustainability of the earths’s
environment. The work will then proceed to focus on the efforts and initiatives in aircraft
technology and aviation here dubbed as green initiatives, which will elaborate aviation
contribution to CO2 emission and cirrus cloud generation, and the technological efforts in
aircraft technology to solve the problem.
Keywords: Global Change, Space Technology, Green Technology, Solar Power System,
Space Vision, Space Policy
1. INTRODUCTION
The remarkable progress of technology in general, in particular the unprecedented rate of

progress of space technology since the historic launch of artificial satellite in 1957, as well
as the population explosion and their rising demands have made life better and more
convenient. However, this remarkable progress has made people more concerned of the
sustainability of the earth thus far identified as a unique planet in the universe, although
recent series of space research have provided encouraging signs of the possibility of
other more or less similar celestial bodies that may be inhabitable or could be made
inhabitable through human mankind technological and gigantic efforts. Mankind becomes
more and more appreciative of Socrates remarks around 400 B.C.:“ Man must rise
above the Earth -- to the top of the atmosphere and beyond -- for only thus will he
fully understand the world in which he lives." .Thus through the progress and human
endeavours in space, more leaders in the world are now aware and concerned in the
sustainability of the earth as profound population growth and associated energy
consumption and environmental changes have made people aware of the meaning and
implications of Socrates remarks, whose awareness can be substantiated by analysis and
information derived from human knowledge, spearheaded by those derived from space
endeavour.. In short, mankind is now concerned with their sustainable growth and the
sustainability of the environment we live in, and more pronouncedly, global changes.
The world’s population growth is exhausting the world’s limited supply of non-renewable
energy sources, and along with it, introducing significant anthropogenic environment and
climate change. Although the economic and business inertia trend to cling to the lure of
170
____________________________________________________________________________________________
non-renewable energy resources, it is imperative that in the foreseeable future extensive

renewable or green energy sources should be progressively utilized to replace the non-
renewable ones and to sustain reasonable living standard for the entire world’s
population.
The world’s dream of world’s socio-economic and technological equity and networking is
still far from being a reality, and many of the pioneering technology breakthrough for the
benefits of humanities, to some extend, contribute to their widening gap. Then it will be
timely and appropriate that a new vision for world’s “green” energy be shared by and
contributable to a fair distribution of world’s population, presently still grouped into
countries with unbalanced capacity distribution. In particular, judging from the large
population distribution and growth in developing countries compared to the developed
ones, the need and growth for energy resources will also be more or less similar.
Figure1 Mankind Vision for Sustainable World
Mankind success in space exploration has opened up their vision of the uniqueness of the
world we live in and the need for conserving our environment (Djojodihardjo, 2009;
Djojodihardjo & Varatharajoo, 2009; Djojodihardjo, 2010), as illustrated in Figure 1. Such
vision which has inspired mankind to develop technological capabilities in atmospheric and
space flight as well as exploring new fromtiers beyond the earth’s atmosphere has been
171
____________________________________________________________________________________________
profoundly articulated as far back as in 400 BC by Socrates in the well-known verse: "Man
must rise above the Earth -- to the top of the atmosphere and beyond -- for only thus will
he fully understand the world in which he lives."
Mankind has acquired further wisdom and intelligence to observe, identify and respond to
the challenges posed by the observed global climate change from advances in space
science, technology and exploration, and its close relationship to sustainable life on earth
and mankind dramatically rising demand of energy. Such state of affairs is summarized in
Figure 1. With the appreciable climate change that has been observed and of great
concern not only by scientists but world population at large, the need for global energy and
its production demands new approaches and paradigm.
Through advances in space science, technology and exploration, mankind also acquired
awareness of the presence of our sun as an inexhaustible source of energy, which may
then offer a host of additional solutions to meet the need of world expanding population
and increasing demand for energy.
The globalization process that have been taking place at impressive pace due to progress
and wide accessibility of information technology, products and network has made each
individual is figuratively speaking a world citizen, with more or less common objectives,
interest and role in the world problems.
Through a meticulous review of these issues to direct our wisdom and intelligence to
establish vision for future solutions of mankind needs and problems, the present article will
explore underlying philosophy and paradigm that has shaped up mankind understanding
of the “life-support system”: the global environment and the need for its sustainability, and
their translation into space technology development and progress addressing energy,
environmental conservation and transportation system, thus addressing them for feasible,
viable, and equitable solutions for world population as a whole and entity. It is with such
overview that the following aspects are discussed:
a. Vision and Paradigm: Aerospace & Sustainable World

b. Earth Energy Balance and Global Change
c. Green Technology Imperatives in Aviation and Aeronautics
d. Concluding Remarks and The Way Forward
2. VISION AND PARADIGM: AEROSPACE AND SUSTAINABLE WORLD
Therefore, for the world’s dream for socio-economic, intellectual and technological equity
and networking for narrowing gap should be accompanied by a vision, determination and
172
____________________________________________________________________________________________
proactive actions, in spite of diversity in population distribution, growth and capacity to

provide solutions for mankind basic, intellectual and quality of life needs including natural
and energy resources and sustainable environment. A vision for world’s “green”
environment, energy and technology should be shared and contributed by all, as reflected
in Figure 2.
When addressing any issue relating to environmental impact, it is necessary to adopt a

total (global) system view covering relevant aspect of science, engineering, economics,
social and political setting. Except for the political issues, and considering economic
aspects implicitly as embedded in many engineering considerations, the present paper
attempts to follow such approach.
Our concern for global change cannot be separated from a holistic view of basic human
needs, world’s natural resources availability and sustainability, and physical and scientific
principles as represented in Figure 3 as thermodynamic principles. With the “skyrocketing”
growth of world population as depicted in Figure 4,
The world’s dream: socio-economic, intellectual and
technological equity and networking for narrowing

ENERGY
gap.
ENVIRONMENT
➢ Vision, determination and proactive actions, in spite of
diversity in population distribution, growth and
capacity, to provide solutions for mankind basic,
intellectual and quality of life needs including natural
and energy resources and sustainable environment.
➢ Vision for world’s “green” environment, energy and

Figurebe2.shared
technology Visionand
forcontributed
“Green” environment
by world’s
population.
173
____________________________________________________________________________________________
Figure 3: Holistic view of Global Change and World Population Dynamics and Demands.
Figure 4: World population growth: a. Population growth recorded and predicted for the
last 350 years; b. Population growth recorded and predicted for the last 3000 years (UN-
IPCC-2010; UNDP, 2008, Walker, 2010)
Along with such growth, the demand for energy (as depicted in Figure 5) and exploitation
of natural resources, particularly non-renewable ones will have corresponding increases,
174
____________________________________________________________________________________________
and consequently, environmental or global change that relatively recently has caught the
attention and raised concern of most of us.
Figure 5: World energy demand: a. World energy consumption in exajoules (EJ) per year
for various region; b. recorded and projected energy sources (US-EIA, 2010)
It is with such perspectives that a review and critical assessment of the state of affairs
depicted in Figure 3 will be elaborated, which prompted the development of aerospace
technology, the focus of the present paper, to take place during recent decades.
Advances in space technology has allowed mankind to understand the universe, and
projected into mankind daily environment, understanding the potentials and limitations of
the Earth. With progress achieved in aerospace technology, and associated science,
technology and industrial development, as well as vision, technology and paradigm gain
through mankind endeavour in exploring space, efforts are carried out problems taking
advantage of such progress for the betterment of life on earth
3. EARTH ENERGY BALANCE AND GLOBAL CHANGE
The Earth receives solar radiation energy from the Sun which is depicted in Figure 6.
Solar Radiation originated from the Sun is generated by nuclear fusion. It travels at speed
of light (300,000 km/second), which implies that it takes 8 1/3 minutes to travel from Sun to
175
____________________________________________________________________________________________
Earth. The amount of solar energy received at the surface of the Earth is 1367 W/m2 and
is known as the Solar constant.
Figure 7 exhibits(a)
the electromagnetic radiation
(b) spectral characteristic of the
(c)solar radiation
which is received by the earth and partially reflected back to space. Solar output peaks in
Figure
the visible part of the 6: Solar
spectrum; Radiation
some from theofSun
wavelengths to the
solar Earth are absorbed and
radiation
scattered in the atmosphere. Absorption takes place as process in which the
electromagnetic energy is transferred to heat energy when radiation strikes molecules or
particles in a gas, liquid, or solid on the atmosphere and surface of the earth. The
electromagnetic radiation energy also experiences scattering: process in which particles
and molecules in the atmosphere deflect incoming solar radiation in different directions on
collision. Absorption warms the atmosphere directly. Solar rays can be scattered back to
space or down toward Earth.
176
____________________________________________________________________________________________
Figure 7 Electromagnetic radiation spectral characteristic (Strahlers & Merali, 2008)
The wavelength of shortwave electromagnetic radiation energy is in the range from 0.2 to
3 µm. Longwave electromagnetic energy is radiated from the Earth. Certainly, the energy
originated from solar radiation radiated by the Earth is less than the radiated energy from
the Sun received by the earth. Energy from Earth is radiated at longer wavelengths.
Some wavelengths emitted by Earth are absorbed in the atmosphere. The Longwave
electromagnetic radiation in the range from 3 to 50 µm
Thus in the global energy (exchange) System, there are electromagnetic radiation from the
Sun received by the Earth which is absorbed and scattered by the Earth’s atmosphere and
then received by the surface of the Earth, and electromagnetic energy radiated back by
the surface and atmosphere of the Earth towards space which is known as counter-
radiation. Increased amount of the absorption of the longwave radiation from Earth by
atmospheric gases, i.e. CO2, H2O, other gases increases the absorption of heat in lower
atmosphere, which is known as the Greenhouse Effect. Cloud layers (liquid water) also
absorb longwave radiation
Throughout mankind civilization, mankind has enjoyed solar radiation for their sustenance,
directly as well as indirectly through their chemo-thermophysical effects on natural
177
____________________________________________________________________________________________
resources (organic and inorganic). In addition, mankind has created anthropogenic

processes that have to a large extent contributed to the global energy balance. These
processes, from knowledge gained by mankind through their inquisitive and creative mind
and endeavour, are governed by thermodynamic laws. The state of affairs can be
represented by processes summarized in Figure 8.
BASIC PRINCIPLES
THE ENTROPY CHALLENGE

EARTH’S ENERGY BALANCE AND
GLOBAL CHANGE
PRINCIPLES AND LAWS OF
THERMODYNAMICS
ENERGY CONVERSION AND
PRINCIPLES OF ENERGY
CONSERVATION
Figure 8: Earth Energy Balance and Anthropogenic Energy Conversion.
GLOBAL ENERGY BALANCE

B) Hot Th
First Law of Thermodynamics
F
“Conservation of Energy”
Heat added to a closed system is equal to the F

internal energy minus the work extracted A) Cold Tc
dQ = dU − dW
Symbolically,
Change in Change in
Change in
heat Work
internal
Second Law of Thermodynamics
energy
Figure 9: Fundamental Thermodynamic Laws (Chu, 2008; Ozawa,2003)
The basic thermodynamic laws governing these processes within our present interest are
the first and the second laws, as depicted in Figure 9. In essence, mankind is facing the
178
____________________________________________________________________________________________
“Global Entropy Challenge : “The entropy of the universe tends to a maximum.”. The
progress of mankind and the world global environment lies not only in their creativity and
ingenuity to respond to such challenge, but to a large extent to how this challenge is
responded my mankind as a synergistic society with narrowing socio-economic and
cultural technological gap.
TEMPERATURE OF THE EARTH IS ESSENTIAL TO SUSTAIN HUMAN LIFE AS A WHOLE

➢ During the last 2 billion years the Earth's climate has alternated between
➢ A frigid "Ice House", like today's world
➢ A steaming "Hot House", like the world of the dinosaurs
Figure 10: Earth’s Temperature through the Ages (UN-IPCC, 2010)
The challenge materialized in many global phenomena observed by us today, such as

global warming, and the depletion of natural resources. Some of these phenomena are
illustrated subsequently.
One of the most conspicuous phenomena is the Earth’s Temperature through the Ages,
which is illustrated in Figure 10. The accompanying Figure 11 shows some simulation
studies to understand what are the options available to us, and to understand the influence
of anthropogenic versus natural contribution to such phenomena, or the global warming or
Greenhouse effect.
179
____________________________________________________________________________________________
GLOBAL TEMPERATURE CHANGE
Data from IPCC (Intergovernment Panel on Climate Change).
Figure 11: Global Warming and Emission Scenarios (Ghoniem, 2008; Walker, 2010))
Natural Forcings to Counteract Assessed Green House Gases effects
Sensitivity experiments indicate that a level of solar variability as reconstructed over the
past 1000 years is insufficient to mask the predicted 21st century anthropogenic global
warming. Volcanic forcing could counteract the anthropogenic greenhouse warming, but
this requires (i) a permanent level of very high volcanic activity, (ii) a volcanic forcing
increasing with time, (iii) a huge stratospheric aerosol burden (unlike anything we have
seen in the recent past).
Bernstein et al (2007) carried out study of various mitigation scenarios, which results in a
range of future emission scenarios are exhibited in Figure 11.
180
____________________________________________________________________________________________
Figure 12: Policy Impact on Global Climate (Ghoniem, 2008; Walker, 2010))
Another projection of policy impact on global climate is exhibited in Figure 10. These
scenarios indicate that:
i. There is an urgent need for global mitigation policy and action to mitigate the GSG
global warming effect to allow sustainable development for mankind to take favorable
effect.
ii. Even with appropriate immediate mitigation action, their favorable effect to the global
environment will take more than hundred years to return the situation to previous
situation, as Figure 12 illustrates.
Mankind venture into flight and space, which to some extend literally responded to
“Socrates Challenge”, has shown to open up visionary and far-reaching solutions to the
“Global Change and Entropy Challenge”. Some of these efforts will be highlighted.
4. GREEN TECHNOLOGY IMPERATIVES IN AVIATION AND AERONAUTICS
With growing concern for environmental sustainability and increased understanding on the
what could be done to alleviate global warming and at the same time improving
performances of man-made products, processes and systems, the term “GREEN
TECHNOLOGY” has been coined for environmentally friendly technology. Environmental
technology or “green technology” is the application of the environmental sciences to
conserve the natural environment and resources, and by curbing the negative impacts on
181
____________________________________________________________________________________________
human involvement Green Technology refers to products, equipments of systems which

satisfy the following criteria: minimizes degradation of environment, zero or low
greenhouse gas (GHG) emission, safe for use and promotes healthy and improved
environment for all forms of life, conserves the use of energy and natural resources,
promotes the use of renewable resources, among others. The following four pillars of
Green technology can be identified34:
1. Energy: energy independence & efficiency
2. Environment: Conservation & Impact Minimization
3. Economy: Enhance Economic development through use of technology
4. Social: Improve quality of life for all
Concern for greener aircrafts
Commercial aircrafts generate 13% of CO2 emissions by transportation sources. Aircraft

engine emissions, just like noise, are regulated by the FAA. However, only “local
emissions” (around airports) are regulated... Studies have identified that low-emission
combustion is key area in engine design (Antoine, 2003). Typical global distribution of
aircraft emission is illustrated in Figure 13. Global air transport contributes about 0,025°C
to the total global warming of the earth surface of 0,7°C. Figure 14 from IPCC (Inter-
governmental Panel on Climate Change) Report in 2009 exhibits various Global Radiative
Forcing Components that contribute to Global Warming. Radiative Forcing is a measure
for expressing the climate impact by the so-called greenhouse gases and impurities in the
Earth’s atmosphere. Radiative Forcing is measuring the rate of temperature increase due
to human activities in Watt per square meter (W/m2). A simplified calculation shows that 1
W/m2 results in about 0.8 (0.5 – 1.2) °C global medium temperature on earth surface.
The total anthropogenic contribution was 1.6 W/m2, most of these are contributed by
atmospheric greenhouse gases. The contribution from natural radiative forcing function,
such as solar irradiance, was only 0.2 W.m2. The Figure also identifies the contribution of
“Contrails”: condensation trails of flying aircrafts that can be observed by naked eye,
although the figure there is relatively very small.
34
Adapted from the website of the Malaysian Ministry of Energy, Green Technology and Water
182
____________________________________________________________________________________________
Figure 13: Typical Global Distribution of aviation emissions (Szodruch, 2009)
(a)
(b)
Figure 14: (a) IPCC Studies on Global Radiative Forcing Functions in Watt/m2 (UN-IPCC Report,
2007); (b) Aviation Radiative Forcing Function in2005 (Lee et al, DLR, 2009 via Szodruch, 2009)
183
____________________________________________________________________________________________
Figure 15 a. shows an aircraft with contrails, while Figure 15 b. shows satellite image of
contrails over part of Western Europe. Contrails are formed as water from engine exhaust
freezes. DLR (German Aerospace Agency) studies (Szodruch, 2009) has shown that
Contrails promote cirrus formation, and may hamper atmosphere heating/cooling
schedule. RF from aviation CO2 forms presently about 1/3 of the total aviation RF.
Because of long lifetime, the CO2 -RF keeps growing even for constant emissions.
Induced cirrus cloudiness depends on soot and contrails. Outside contrails, soot cause
RF<0, inside contrails soot cause RF>0
(a) (b)
Figure 15 (a). An aircraft with contrails; (b). Satellite image of contrails over part of
Western Europe (Antoine, 2003).
There are studies that relate the presence of cirrus clouds contributable by aircraft
contrails. Recent DLR- studies show that contrail induced cirrus clouds may cause RF
>0.1 W m-2. The global warming by aviation can be limited only if contrails are reduced in
addition to CO2 (and NOx )
184
____________________________________________________________________________________________
Importance of Contrails
Schumann, DLR,2008 as quoted by
Szodruch (2009)
Figure 16 Contrails and Cirrus (Szodruch, 2009)
Figure 16 Close Relationship between Contrails and Cirrus (Szodruch, 2009)
185
____________________________________________________________________________________________
Figure 17 Global Contrails induced Cirrus Clouds Impact on Climate (Szodruch, 2009)
Figure 18 Green House Emissions of various transportation modes (Szodruch, 2009)
These climate studies associated with aircraft contrails and cirrus cloud formation lead to
the following findings (Szodruch, 2009; Antoine, 2003):
186
____________________________________________________________________________________________
• The CO2 impact remains very important for centuries. Hence, Fuels without fossil C
emissions are needed
• The NOx impact is less important than thought when formulating ACARE objectives in
2000, however, NOx can be a health issue in the airport vicinity
• The climate impact of contrail cirrus is larger than estimated so far.
• A reduction of soot emissions helps to reduce the climate impact of contrail cirrus.
• Contrail cirrus can be reduced by flying higher or lower, depending on the predicted
weather situation. Antoine, (2003), however, suggests that contrails can be reduced by
decreasing cruise altitude (to increase ambient temperature). Fuel-Related Emissions
can be reduced by increasing combustion temperature and pressure to promote more
complete combustion and resulting in reduced fuel flow.
• This causes a small CO2-RF-increase and a larger contrail RF- reduction.
• Future ATM routing should minimize climate impact from CO2 and contrails
• Limiting global warming to less than 2°C requires quick actions on all warming
contributions, including contrails and soot
• To reduce NOx Emissions, temperature and pressure are catalysts in the dissociation
of N2 and O2 and the formation of NOx. Generally, changing operating conditions or
combustor configuration to reduce NOx emissions increases fuel consumption and
related emissions.
It should be noted, however, that greenhouse gases emitted by large aircraft per
passenger-mile is in the low range region compared to those produced by other
transportation modes, as depicted in Figure 18.
As practiced nowadays, emissions are only regulated during take-off and landing.
However increasing concern will mandate cruise regulations in the near future. There are
now conflicting requirements depending on emissions to be reduced (NOx versus Fuel
Consumption versus Noise). While trend towards larger turbofans has improved fuel
efficiency and decreased noise, it is a challenge to reduce NOx emissions.
Embracing both the global issue of climate change (CO2, NOx, Soot, water vapour,
particulates) as well as the local issues of noise and air quality should be translated into
addressing the following issues
o Green Aircraft
187
____________________________________________________________________________________________
▪ Flight Physics
▪ Aerostructures
▪ Propulsion
▪ Systems and Equipment
▪ Avionics
o Ecological Production and Maintenance
▪ Production
▪ Maintenance and Disposal
o Green Air Transport Operations
▪ Flight and Air Traffic Management
▪ Airports
With such background, Green Aircraft Technology Imperatives have led industrial
countries, to establish roadmaps and undertake technology development program which
addresses
• The greening of air transport
• Increasing time efficiency
• Ensuring customer satisfaction and safety
• Improving cost efficiency
• Protection of the aircraft and passengers
• Pioneering the air transport of the future
as exemplified below (adapted from Antoine, 2003):
Optimized Designs of Green Aircrafts
188
____________________________________________________________________________________________
Trading Emissions
Energy Intensity Reduction for Air Transport
Figure 19: Energy Intensity Reduction for Air Transport
Developing “Green Aircraft” as a compromise yet optimizing overriding global climate

change considerations, higher thermodynamic efficiency and addressing customer
189
____________________________________________________________________________________________
requirements. Examples are the Green Airplane concepts from Airbus and the new
innovation by MIT as commissioned by NASA, as depicted in Figure 18 (a) and (b).
(a) (b)
Figure 19: Green Aircrafts: (a) Airbus concept (Antoine, 2003) and (b) MIT recently
proposed design (MIT, 2010)
The green airplane designed by an MIT-led team that is estimated to use 70 percent
less fuel than current planes while also reducing noise and nitrogen oxide emissions.
MIT-led team presented two designs to NASA in May 2010 as part of a research
contract to develop environmental and performance concepts for future aircraft, which
is estimated to use 70 percent less fuel than current planes while also reducing noise
and emission of nitrogen oxides (NOx).The design was one of two that the team,
presented to NASA (MIT, 2010).
5. CONCLUDING REMARKS
A review has been carried out to have an integrated view of global climate change concern
and translation of the vision, roadmaps and activities carried out in aerospace technology
to address the issues relevant to, as concrete response of mankind to “Socrates
Challenge”, the understanding and conservation of mankind “life-support system”: the
global environment and the need for its sustainability and search for feasible, viable, and
equitable solutions for world population as a whole and entity. Space Technology progress
has allowed mankind to understand the universe, and its projection into mankind daily
environment, understanding the potentials and limitations of the Earth. Technology
190
____________________________________________________________________________________________
development and environment conservation efforts take advantage of vision, technology

and paradigm gained through mankind endeavour in exploring space for betterment of life
on earth. Intertwined and interdisciplinary efforts involving technological breakthrough and
innovation, economic and societal imperatives have and continue to facilitate mankind
efforts for betterment of life on earth (and beyond!). Going green accommodates and
promotes mankind creativity in understanding and coping with mankind environment and
life support. Space vision and imperatives require concerted and unified mankind efforts
which could bring better equitable solutions to open problems to come.
In the area of atmospheric flights, Green Aircraft and Aviation paradigm has been
progressively translated into technological development and regulatory activities. At
present, aircraft emissions are only regulated during take-off and landing, but increasing
concern will mandate cruise regulations in the near future. Conflicting requirements
depending on emissions to be reduced (NOx vs. Fuel Consumption vs. Noise) need to be
resolved. While trend towards larger turbofans has improved fuel efficiency and decreased
noise, it is a challenge to reduce NOx emissions. Essentially future technological
development in aircraft technology is an open problem. The commercial aircraft of the
future might well be: “Slower, Lower, and Greener”.
Global Change (and Entropy) Challenge will continue to shape up mankind’s efforts
carried out to develop environmental friendly and energy efficient technologies, renewable
and novel energy resources and technology, mankind efforts to utilize sun rather than
fossil based energy (and fuel), biomimetic and bio inspired technology miniaturization and
nano-technology in mankind progressive paradigm change towards “well balancedness” :
compromise between comfort and high performance with sustainability.
References
Antoine, N. (2003). Aircraft Emissions, Stanford University,

adg.stanford.edu/aa241/emissions/ AA241Emissions.pdf
Bernstein, L. (2007). Climate Change 2007: Synthesis Report Summary for Policymakers,
An Assessment of the Intergovernmental Panel on Climate Change, A summary
approved in detail at IPCC Plenary XXVII, Valencia, Spain, 12-17 November 2007.
Brusati, M. 2009, Programma di finanziamento di R&S della Comunità Europea in campo

aeronautico, Clean Sky Goals and Organisation, Politecnico di Milano
Chu, S., Second Law and Energy, in MIT Seminar “The Entropy Challenge”, MIT, 2008.
191
____________________________________________________________________________________________
Djojodihardjo, H. (2009). Beyond Fossil Fuels, Proceedings of the National Seminar on

Alternative Energies to substitute Fossil Fuels, (in Indonesian), Universitas Jenderal
Achmad Yani (UNJANI), Bandung.
Djojodihardjo, H. and Varatharajoo, R. (2009). Space Power System Initiatives:

Establishing World Vision And Capacity, paper IAC-09-C3.3.3, 60th International
Astronautical Congress, 12 – 16 October 2009, Daejeon, Republic Of Korea
Djojodihardjo, H. (October 5th 2010). Space Power System - Motivation, Review and
Vision, Solar Collectors and Panels, Theory and Applications, Reccab Manyala,
IntechOpen, DOI: 10.5772/10335. Available from:
https://www.intechopen.com/books/solar-collectors-and-panels--theory-and-
applications/space-power-system-motivation-review-and-vision-
Ghoniem, A.F. (2008). The Energy Challenge and Emerging Opportunities, The
International Conference on Mechanical and Manufacturing Engineering, Johor
Bahru, May 21-23.
MIT, MIT Delivers Green Airplane Designs to NASA, thefutureofthings.com/.../mit-

delivers-green-airplane-designs-to-nasa.html
Szodruch, J. and Schumann, U., 1989, DLR Climate Research and Aircraft Technologies,
ICAS Programme Committee Workshop, Amsterdam, September 2009
Strahler, A and Merali, Z., 2008, Chapter 2 -The Earth’s Global Energy Balance, in
Visualizing Physical Geography John Wiley & Sons Publishers, 2008
UN, The United Nations Framework Convention on Climate Change (2010).

http://unfccc.int/ essential_background /convention/background/items/1353.php.
UNDP Human Development report 2003, (2003). hdr.undp.org/en/reports/global/hdr2003/;

www.unic.un.org.pl/hdr/hdr2003/hdr03_complete.pdf; also Human Development Report
2003, Millennium Development Goals: A compact among nations to end human
poverty, Published for the United Nations Development Programme (UNDP) New
York Oxford, Oxford University Press 2003.
UNDP (2008). Human Development Report 2007/2008, Fighting Climate Change, Human
Solidarity in a Divided World, Published for the United Nations Development
Programme.
192
____________________________________________________________________________________________
US Energy Information Administration. (2010). International Energy Outlook 2010,

Highlight, Report #: DOE/EIA-0484(2010) Release Date: May 25, 2010, http:
//www.eia.doe. gov/oiaf/ieo/
Walker, H., Keim, B. and Arndt, M.B. (2010) -Natural and Anthropogenic Factors Affecting
Global & Regional Climate, (2010), http://www.necci.sr.unh.edu/necci-
report/NERAch3.pdf
193
____________________________________________________________________________________________
194
____________________________________________________________________________________________
IX
POTENTIAL AND PROSPECTS OF OFFSHORE WIND AND
PHOTOVOLTAIC ENERGY35
Chairman of the Board, The institute for the Advancement of Aerospace Science and
Technology (IAAST), Jakarta 15419, Indonesia
Abstract. The Ocean Energy sector has the potential to contribute to the supply of energy
to countries and communities located close to the sea, although presently this
considerable source of renewable energy have not been much utilized. The present paper
focuses on current developments in offshore wind and photovoltaic energy, highlighting
current efforts in many countries, particularly in the Asian-Pacific countries. The potential
of these energy sources and technology will be reviewed and assessed, referring to the
trends in the offshore wind industry to project future growth potentials. Based on a
compréhensive review on Offshore Wind Energy and Photo Voltaic Power System
technology and their applications in various parts of the world, and particular and
prospective applications in Malaysia and Indonesia, an overall insight on the potential and
promise of wind and photovoltaic energy, are elaborated.
Keywords: ocean energy, offshore wind, growth scenarios, cost, current developments
1 Introduction
1.1. Motivation and Objectives
35
Keynote address delivered at the 2nd Workshop on Ocean Energy, Universiti Teknologi Malaysia, Kuala Lumpur 1
June 2016
195
____________________________________________________________________________________________
The motivation of this presentation originates from Socrates Challenge: “Man must rise
above the Earth—to the top of the atmosphere and beyond—for only thus will he fully
understand the world in which he lives.” (Socrates, 499-369 BC). With such motivation,
one could formulate a vision related to the topic of this presentation, which is schematically
depicted in Figure 1, i.e. understanding Sustainable World and Establishing Goal,
Paradigm and Technology to that end [1]. Within the framework of such insight, the issue
of the Potential and Prospects of Offshore Wind and Photovoltaic Energy will be
discussed, which include a brief review on the potential, technology and economics of
photovoltaic and wind energy.
1.2. Global Energy Balance
Following thermodynamic principles, the Global Energy Balance is schematically illustrated

in Figure 2, which describes the equilibrium between the energy input from the sun and the
energy radiated from the Earth [1]. The focus of the present presentation is on the
utilization of solar based energy that can be harvested from the ocean, highlighting current
efforts in many countries, particularly in the Asian-Pacific region. One may note that the
first generation of commercial ocean energy devices were installed in the UK and Portugal
in 2008.
Fig. 1. (a) Schematic of the vision triggered by “Socrates Challenge” – Understanding

Sustainable World and Establishing Goal, Paradigm and Technology to that end. (b)
Mankind and the Universe – Sustainability. Translation of the Paradigm depicted in Fig.1
into a schematic of resources management paradigm [1].
196
____________________________________________________________________________________________
• Fig. 2. Global Energy Balance
There are currently four ways of obtaining energy from sea areas, from
• wind,
• tides,
• waves and
• thermal differences between deep and shallow sea water.
1.3. Sun Energy – Focus on Wind and Solar Photonic (PV)
The potential of these energy sources and technology and their utilization, as summarized
in Figure3, will be assessed, by reviewing the trends in the offshore wind industry to
project future growth potentials. The percentage of the world’s electricity produced from
ocean-based devices to be around 7% by 2050, and this would employ a significant
number of people, possibly around 1 million, mostly in the maintenance of existing
installations.
The Ocean Energy sector has the potential to contribute to the supply of energy to
countries and communities located close to the sea, although presently this considerable
197
____________________________________________________________________________________________
source of renewable energy has not been much utilized. The development, application and
diffusion of new technologies in reducing greenhouse gas emissions and in addressing
climate change is of great importance [2]. The utilization of various combinations of
renewable power could theoretically power most countries in the world.
1.4. World Energy Landscape
Fig. 3. Schematic View of Sun Energy Utilization
For the present interest, the World Energy Statistics and Projections can be highlighted as
follows:
• World population was approximately 6.1 billion in 2001
• One scenario projects an increase of 0.9%/yr to approximately 9.4 billion
by 2050.
• World per capita GDP was approximately $7,500 in 2001,
• Another scenario projects an increase of 1.4%/yr to approximately
$15,000 by 2050.
• World energy intensity was approximately 0.29 W/($/yr) in 2001
198
____________________________________________________________________________________________
• Another scenario projects a decrease of 0.8%yr to approximately 0.20 W/($/yr) by

2050.
Table 1: World Energy Statistics and Projections

Definition Quantity Units 2001 2050 2100
Population N persons 6.145 9.4 10.4
Gross Domestic Product GDP T$/yr 46 140 284
Gross Domestic Product per capita GDP/N $/person-yr 7,470 14,850 27,320
Energy Intensity E/GDP W/$-yr 0.294 0.20 0.15
Energy Consumption Rate E TW 13.5 27.6 43.0
Carbon Intensity C/ E kgC/W-yr 0.49 0.40 0.31
Carbon Emission Rate EMC GtC/yr 6.57 11.0 13.3
Equivalent CO2 Emission Rate EMCEq GtCO2/yr 24.07 40.3 48.8
Ref: P. Moriarty, D. Honnery, Renewable and Sustainable Energy Reviews 16 (2012) 244– 252[3]
(a) (b)
Fig.4. (a) Total primary energy demand and GDP in selected Southeast Asian countries,
1971-2013. (b) Energy demand prospects (adapted from [4]).
The world energy consumption rate can be estimated using the following logical
relationship
199
____________________________________________________________________________________________
 GDP   E 
E = (N )    
 N   GDP 
where N is the world population and E is world energy consumption rate. Using this
equation, the world energy consumption rate is projected to increase to more than double,
from 13.5 TW in 2001 to 27.6 TW by 2050, and then to more than triple to 43.0 TW by
2100.
By way of illustration, Table 1 exhibits the World Energy Statistic and Projection, while
Figure 4 shows the total primary energy demand and GDP in selected Southeast Asian
countries, 1971-2013, and the related Energy demand prospects.
2 Renewable Energy Potential
2.1. Global Potential of Renewable Energy

To gain some insight on the Global Potential of Renewable Energy, Tables 1 and 2 is
presented, as Extracted from [3].
1.2. Ocean Energy Potential
Fig.5. OTEC-ResourceMap2009-Lockheed-Martin
200
____________________________________________________________________________________________
Five different ocean energy technologies under development aim to extract energy from
the oceans, including:
➢ Tidal power: the potential energy associated with tides can be harnessed by building a
barrage or other forms of construction across an estuary.
➢ Tidal (marine) currents: the kinetic energy associated with tidal (marine) currents can
be harnessed using modular systems.
➢ Wave power: the kinetic and potential energy associated with ocean waves can be
harnessed by a range of technologies under development.
➢ Temperature gradients: the temperature gradient between the sea surface and deep
water can be harnessed using different ocean thermal energy conversion (OTEC)
processes.
➢ Salinity gradients: at the mouth of rivers, where freshwater mixes with saltwater, energy
associated with the salinity gradient can be harnessed using the pressure‐retarded
reverse osmosis process and associated conversion technologies.
Table 1: Global Primary Energy Projections, 2020-2100 (in EJ=Exajoule=1018J)

Organization and year 2020 2030 2050 2100
BP (2011) 565-635 600-760 NA NA
European Commission (2006) 570-610 650-705 820-935 NA
EIA (2010) 600-645 675-780 NA NA
IAEA (2009) NA 605-705 NA NA
IIASAl(2007) 555-630 NA 800-1175 985-1740
Shell International(2008) 630-650 690-735 770-880 NA
WEC(2008) 615-675 700-845 845-1150 NA
Tellus Institute(2010) 504-644 489-793 425-1003 243-1200
Overall general impression from above 500-675 480-845 425-1150 240-1740
Extracted from P. Moriarty, D. Honnery / Renewable and Sustainable Energy Reviews 16 (2012) 244– 252
Table 2: Global Potential of Renewable Energy (in EJ=Exajoule=1018J)

Study and year of estimate Solar Wind
Hafele (1981) ( “realizable Potential”) NA 95(32)
201
____________________________________________________________________________________________
Lightfoot-Green(2001)(range of values) 163(118-206) 72(48-72)

Gross et al (2003) 43-144 72-144
Sims et al (2007) 1650 600
Resch et al(2008) 1600 600
Klimenko et al(2009)(“economic potential”) 2592(19) 191(86)
Cho(2010) >1577 631
Tomabechi(2010) 1600 700
Moriarty-HonneryEarth Energy Flow 3,900,000 28,400
Overall general impression from above 140-1600 72-600
Extracted from P. Moriarty, D. Honnery / Renewable and Sustainable Energy Reviews 16 (2012) 244– 252
None of these technologies is widely deployed as yet. Tidal barrages depend on

conventional technology, but only a few large‐scale systems are in operation worldwide,
notably the 240 MW La Rance barrage in France, which has been generating power since
1966. Other smaller projects have been commissioned since then in China, Canada and
Russia. The 254 MW Sihwa barrage (South Korea) is due to become operational in 2011
[5].
Fig.6. Variation of yearly averaged OTEC power density (kW m-2) when Wcw 20m yr-1.
(a) Initial field (no feedback from OTEC plants), (b) 5 year feedback, (c) 25-year feedback ,
(d) 50 year feedback, (e) 100 year feedback, and (f) 200 year (nearly asymptotic
feedback.[Extracted from [6]
202
____________________________________________________________________________________________
2.3. Global Wind Energy Potential
The Global Wind Energy Potential is illustrated by Figures 7 and 8. In the utilization of this
energy, an energy ratio is defined as the ratio of gross energy output to energy inputs
(both measured in primary or common energy units).
Net energy is gross energy output less input energy; it is net energy which fuels the non-
energy sectors of the economy. The Net Energy Ratio or NER of an energy technology is
used to show how ‘efficient’ that technology is in terms of providing energy to society.
It should be noted that energy inputs are needed to manufacture the turbine and its
support structure, for building support infrastructure (access roads, transmission lines), for
operation and maintenance, and finally for decommissioning and removal of the turbine.
Fig.7. Global Wind Energy Potential. (a) Earth Global Circulation, (b). Global Wind Map at
80m altitude, (c) Global Wind Generated Electricity Potential
203
____________________________________________________________________________________________
Fig. 8. Global annual gross wind energy output against energy ratio (Er). Energy is shown
as both a cumulative sum for the marginal Er (left axis) and distribution in Er (right axis).
Three scenarios of Moriarty & Honnery [3] are shown.
2.4. Global and Regional Solar Energy Potential

Solar Energy Potential can best be represented by the Solar Radiation map. Figure 9
exhibit the composite Global, Malaysian and Indonesian Solar Irradiation map
.
Fig. 9. Composite Map of Global, Malaysian and Indonesian Solar Irradiation
204
____________________________________________________________________________________________
2.5. Progress and Trends in Renewable Energy
Fig. 10. Progress and Trends in Renewable Energy
Fig. 11. (a) Capital costs of European offshore wind farms, by year (EUR/W)
(Source: IEA-Technology Roadmap_ Wind Energy - 2013 edition). (b) Global
electricity mix by 2050 in the 2DS and hiRen scenario [7].
The progress and trends in Renewable Energy, can best be described by referring to
Figures 10, 11(a) and 11(b), which give us an insight on the availability, their imperative for
environmentally friendly utilization efforts, and their global trends.
3 Wind Energy Technology Overview
3.1. Offshore Wind Technology

Offshore wind turbines are installed in the wind coastal regions. This area can be several
tens of kilometers off the shoreline depending on the depth of the sea. Offshore wind
turbines sites have better wind energy potential than onshore ones.
Offshore turbines, therefore, achieve significantly more full‐load hours. Offshore wind
parks also more acceptable to public. Present offshore wind turbines are essentially large
205
____________________________________________________________________________________________
land turbines, but need enhanced corrosion protection. Figures 12 and 13 provide some
impression on cumulative installed capacity and prospects. Future machines will be larger
and tailored especially for offshore applications. Turbines will be larger, because the
constraints that limit the size of onshore turbines can be relaxed offshore. Individual
turbines with capacities up to and beyond 10 MW are already in the pipeline, with some
radical new designs, which are under development but still at the R&D stage and still need
to be demonstrated. Offshore wind farms can also be large; several planned projects in the
North Sea have capacities well over 1 000 MW.
Fig. 12. (a) Estimated cumulative installed capacity of offshore wind; (b) Historical
and projected growth of offshore wind [8].
Fig. 13. (a) Estimation of future ocean energy (OE) and offshore wind electricity
production; (b) Cumulative worldwide offshore wind capacity [8]
1.2. Progress and Recent Trends in Wind Energy Technology
206
____________________________________________________________________________________________
Fig. 14. Modern and historical rotor designs
The development of wind energy technology, as exhibited in Figures 14 and 15, result in
two main configurations, horizontal axis wind turbines (HAWT) and vertical axis wind
turbines (VAWT). The growth in size of commercial HAWT is exhibited in Figure 15.
Fig. 15. Growth of size of Commercial HAWT
207
____________________________________________________________________________________________
1.3. Propulsion and starter mechanism (for VAWT)
Fig. 16. Propulsion and starter mechanism (for VAWT)
Figure 16 illustrates some basic differences between drag and lift based Wind turbine, as
exemplified there. The Savonius Rotor Wind Energy Conversion is based on Drag, and is
vertically positioned. It can serve as a starter for Darrieus Rotor, which is a VAWT but
based on lift. Propeller type Wind Turbines, known also as HAWT, are self-starting.
The method of propulsion critically affects the maximum achievable efficiency of the rotor.
Historically, as illustrated in Figure 14, the most commonly utilized method was drag, by
utilizing a sail faced normal to the wind, relying on the drag factor (Cd) to produce a force
in the direction of the prevailing wind. This method proved inefficient as the force and
rotation of the sail correspond to the wind direction; therefore, the relative velocity of the
wind is reduced as rotor speed increases..
1.4. Some Principal Design Characteristic Discrepancies between HAWT and VAWT
208
____________________________________________________________________________________________
The two configurations shown in Fig. 17 have instantly distinguishable rotor designs, each
with its own favorable characteristics [9]. The discontinued mainstream development of the
VAWT can be attributed to a low tip speed ratio and difficulty in controlling rotor speed.
Difficulties in the starting of vertical turbines have also hampered development, believed
until recently to be incapable of self-starting.
Fig. 17. Alternative configurations for shaft and rotor orientation (adapted from
M.R. Islam et al. / Renewable and Sustainable Energy Reviews 21 (2013) 456–
468)
However, the VAWT requires no additional mechanism to face the wind and heavy
generator equipment can be mounted on the ground, thus reducing tower loads.
Therefore, the VAWT is not completely disregarded for future development. A novel V-
shaped VAWT rotor design is currently under investigation which exploits these favorable
attributes. This design is currently unproven on a megawatt scale, requiring several years
of development before it can be considered competitive. The popularity of the HAWT can
be attributed to increased rotor control through pitch and yaw control. The HAWT has
therefore emerged as the dominant design configuration, capitalized by all of today’s
leading large-scale turbine manufacturers.
209
____________________________________________________________________________________________
3.4. Theoretical Maximum Efficiency of Wind Turbine
The theoretical maximum efficiency of any wind turbine is given by the well-known
Equation:
1
P  CBetz V 3 Across −sec tion (1)
2
Where
CBetz =maximum possible conversion efficiency, = 16/27 (Betz Law)
 = air density
A = swept area or cross section of the wind-turbine stream tube
V = air flow velocity
The wind turbine Flow Energy Conversion efficiency is equal to Equation (1) times the
Mechanical Efficiency of the particular turbine, due to any other mechanical losses, while
further conversion into electrical energy will have a mechanical to electrical conversion
efficiency of the generator or the like. Mechanical Efficiency losses are generally reduced
by avoiding low tip speed ratios which increase wake rotation, selecting airfoils which have
a high lift to drag ratio, and specialized tip geometries, among others.
3.5. Strategic Features of Wind Energy Technology
Factors like efficiency, torque, mechanical stress, aerodynamics and noise should be
considered in selecting the appropriate tip speed, as exemplified in Figure 18. To obtain an
impression of the progress of wind energy technology, a selection of turbine size and
weight configurations is exhibited in Table 3. The efficiency of a turbine can be increased
with higher tip speeds, which is given by
r
= (2)
Vw
where
 = Tip Speed Ratio,  = Rotational Velocity (rad/sec), r = Radius, Vw= Windspeed
210
____________________________________________________________________________________________
Fig. 18. Strategic Features of Wind Energy Technologies (adapted from [9])
The increase of the tip speeds is not significant when considering some penalties
such as increased noise, aerodynamic and centrifugal stress.
Table 3: A selection of turbine size and weight configurations
The ideal plan form of a HAWT rotor blade is defined using the BEM method by calculating
the chord length according to Betz limit, local air velocities and airfoil lift. Several theories
exist for calculating the optimum chord length which range in complexity, with the simplest
theory based on the Betz optimization, as stipulated in Equation (1). The Betz method
gives the basic shape of the modern wind turbine blade (as schematically exhibited in
Figure 19 with other Wind Turbine components). However, in practice more advanced
211
____________________________________________________________________________________________
methods of optimization are often used. The blade optimum Chord Length for best
performance is given by Equation (3)
2 r 8 Vwd
Copt = (3)
n 9CL Vr
where
Vwr = Vw2 + Vwd 2 (4)
R = Radius (m), N = number of Blades, CL = Lift Coefficient,  = Local Tip Speed Ratio,
Vr = Local Resultant Air Velocity (m/sec), Vw = Wind Speed (m/sec), Vwd = Design Wind
Speed (m/sec), Copt = Optimum Chord Length (m)
Fig. 19. A typical Wind Turbine Components, Blade Plan and Region of
Classification
To optimize the efficiency of the blades during operation with changing operational
windspeed, “Smart Blades” design has also been introduced, as exemplified in Figure 20.
These Smart Blades alter their shape depending on the wind conditions. Within this
category of blade design are numerous approaches which are either aerodynamic control
surfaces or smart actuator materials.
212
____________________________________________________________________________________________
Fig. 20. Several types of Smart Blade Designs
1.6. Wind Energy Technology Roadmap
Fig. 21. Wind electricity production in the hiRen versus industry scenarios
(adapted from [4] and [10])
Of interest for further application planning of Ocean Based Wind Energy Conversion
System installation is the enabling technology progress, which can be represented by
Wind electricity production trend as related to its application scale. This can be
represented by Wind Energy Technology Roadmap, Figure 21, exhibiting Wind electricity
production in the hiRen versus industry scenarios and Figure 22, Target for cost
reductions of land-based wind power in the United States.
213
____________________________________________________________________________________________
Fig. 22. Target for cost reductions of land-based wind power in the United States
(source: [11])
4 Brief Overview of Marine Applications of Solar Energy Technology
A brief review will be elaborated subsequently, focusing on a selected Photo Voltaic

System for marine applications. Table 3, exhibits the impressive growth of both Solar PV
and Wind Power Electricity generation, as reported in REN12-GSR2015-Renewables 2015
Global Status Report. Germany, China, Japan, Italy and United States are five countries
that have installed the highest Solar PV capacity.
Fig. 23. Solar Photovoltaic (PV)- Off-Shore in Kagoshima.
An example of Solar PV applications for off-shore applications is exhibited in Figure 23.

The 70MW Kagoshima Nanatsujima mega solar power plant is Japan's largest utility-scale
214
____________________________________________________________________________________________
solar power plant. The plant is located at Nanatsujima in Kagoshima City, the capital city of
Kagoshima Prefecture.
Fig. 24. The 1,021 megawatt Mirrah solar PV plant in South Oman.
Table 3: Renewable Energy Indicators 2014

Power Start 2004 2013 2014
Renewable Power Capacity (Total, not including Hydro) GW 85 560 657
Renewable Power Capacity (Total, including Hydro) GW 800 1,578 1,712
Total Hydropower Capacity GW 715 1,018 1,055
Bio-Power Capacity GW <36 88 93
Geothermal Power Capacity GW 8.9 12.1 12.8
Total Solar PV Capacity GW 2.6 138 177
Total Wind Power Capacity GW 48 319 370
Adapted from [12]
GLOBAL ST
An example of one of the largest land-based Solar Photovoltaic installation is the 1,021
megawatt Mirrah solar plant in South Oman is being built by PDO and Glass Point Solar,
as exhibited in Figure 24.
215
____________________________________________________________________________________________
5 Solar PV and Wind Energy Economics Overview

5.1. Project Cost
Fig. 25. (a) Evolution of wind installed capacity (including offshore), 2000‐10. (b)
Investment costs of Danish onshore wind projects (black) and global average
full‐load hours (FLH) (orange)
5.2. Employment Factors for Ocean Based Energy Device
Fig. 26. Future scenario employment patterns of Offshore and Ocean Energy
216
____________________________________________________________________________________________
The economic promise of Offshore and Ocean Energy is exhibited by Figures 25

and 26. Figure 25 exhibits evolution of installed capacity while Figure 26 the
associated employment opportunities.
5.2. The Levelized Cost of Electricity (LCOE)
The levelized cost of electricity (LCOE) is a measure of a power source which attempts to
compare different methods of electricity generation on a comparable basis. These are
exhibited in Figures 27 and 28, with red rectangles indicating solar and wind energy.
Fig. 27. The Levelized Cost of Electricity (LCOE) (Adapted from [10] and [11]).
Fig. 28. The LCOE Ranges by Renewable Power Generation Technology, 2014
and 2025 (IRENA, 2014)
217
____________________________________________________________________________________________
It is an economic assessment of the average total cost to build and operate a power-
generating asset over its lifetime divided by the total energy output of the asset over that
lifetime. The LCOE can also be regarded as the minimum cost at which electricity must be
sold in order to breakeven over the lifetime of the project.
The Levelized Cost of Electricity is defined as:
I t + M t + Ft

n
t −1
(1 + r )
t
sum of cos ts over lifetime
LCOE = = (5)
Et
sum of electrical energy produced over lifetime
 (1 + r )
n
t −1 t
where
It : investment expenditures in the year t
Mt : operations and maintenance expenditures in the year t
Ft : fuel expenditures in the year t
Et : electrical energy generated in the year t
r : discount rate
n : expected lifetime of system or power station
6 Analysis and Prospects
Wind energy is a mature and proven technology, with mature markets around the world
and an increasingly globalised manufacturing industry. Wind energy is a reliable and
increasingly cost-competitive source of clean energy with the potential for further cost
reductions.
Apart from learning‐induced cost reductions, the increased competition with Asian
manufacturers entering the market will result in lowering the turbine prices.
A number of important challenges exist, however, especially when higher penetrations of
wind power are achieved:
(i) the weather‐induced variability in wind energy output pose challenges that need to
be resolved in the integration of large quantities of wind power into the power
system;
(ii) public acceptance problems and environmental concerns should be dealt with along
with the deployment of wind power; and
(iii) the emergence of cheap conventional fuel and unconventional gas has to be
considered to achieve low-cost option for reaching mid‐term climate goals and
deploying solar PV and wind power
7 Concluding Remarks
218
____________________________________________________________________________________________
Based on an exhaustive review on Offshore Wind Energy and Photo Voltaic Power
System technology and Applications in various parts of the world, and particular
applications in Malaysia and Indonesia, a comprehensive review on the potential and
prospects of wind and photovoltaic energy, has been elaborated to gain better insight on
the challenge and promise of two promising renewable energies for sustainable
development. Conceptual designs and technical requirements for an independent venture
of these Energy Conversion Systems has shown promise for more sustainable energy
system in not too distant future.
The global wind power capacity that has reached 194.4 GW at the end of 2010 while it
was only 6.1 GW in 1996 shows encouraging trend in the use of Solar PV and Wind
Energy. Greater challenges are faced for their off-shore and ocean applications, due to the
more involved technology and economy of scale for their economics and feasibility. Within
the last three decades, the wind turbine size has been enlarged around 10–12 times while
the unit capacity of wind turbine developed from 100 kW to 2MW. In the near future the
wind turbine capacity can be increased up to 10–12MW.
Though the Horizontal Axis Wind Turbine (HAWT) is highly developed and used all over
the world, the recent R&D has shown that the Vertical Axis Wind Turbine (VAWT) is more
economical and efficient in using land space. Generally, to maintain 90% of the
performance of isolated HAWTs, the turbines in a HAWT farm must be spaced 3–5 turbine
diameters apart in the cross-wind direction and 6–10 turbine diameters apart in the
downwind direction. In such cases, it is found that by using VAWT instead of HAWT on the
same land area, it is possible to produce more than 10 times of wind energy. Therefore, in
the future VAWTs can be more appropriate replacement of HAWTs.
The stochastic nature of wind and the need to fill up the existing gap between availability
and requirement of energy require energy storage system.
The adoption of a new technology will start very slowly due to research and development
cost, technology learning and economics of scale. Eventually, the new technology will be
recognized as superior compared to the old technology which becomes obsolete and has
inherent limitations. For future developments and implementation in offshore renewables,
favorable policies should be created by governments for the development of related local
industries (such as the feed-in-tariffs) to promote applications, innovations and economies
of scale.
References
1. Djojodihardjo, H., Aerospace and Green Technology: Progress and Outlook, World
219
____________________________________________________________________________________________
Engineering Congress 2010, 2nd – 5th August 2010, Kuching, Sarawak, Malaysia
Conference on Aerospace and Mechanical Engineering
2. Anonymous, The United Nations Framework Convention on Climate Change
(UNFCCC), 1992.
3. Moriarty, P. and Honnery, D., Renewable and Sustainable Energy Reviews 16, 244–
252, 2012.
4. Anonymous, IEA, Southeast Asia Energy Outlook - World Energy Outlook Special
Report, 2015.
5. Edenhofer, O, Pichs-Madruga, R and Sokona, Y (Eds.), Special Report on Renewable
Energy Sources and Climate Change Mitigation, IPCC, 2012
6. Rajagopalan, K and Nihous, G.C., An Assessment of Global Ocean Thermal Energy
Conversion Resources with a High-Resolution Ocean General Circulation Model,
Journal of Energy Resources Technology, ASME, 2013, Vol. 135, 041202-1 to 9.
7. Anonymous, International Energy Agency (IEA), Technology Roadmap_ Wind Energy,
2013 edition.
8. Esteban, M. and Leary, D., 2009, Current Developments and Future Prospects of
Offshore Wind and Ocean Energy, web.mit.edu/12.000/www/
m2018/pdfs/japan/offshore-energy.pdf, 2009.
9. Islam, M.R., Mekhilef, S.,Saidur, R, Progress and recent trends of wind energy
technology, Renewable and Sustainable Energy Reviews 21, 456–468, 2013.
10. Thresher, R., Robinson, M. and Veers, P., Wind Energy Technology: Current Status
and R&D Future, Conference Paper, NREL/CP-500-43374, August 2008
11. Zayas, J., Derby, M., Gilman, P. et al, Enabling Wind Power Nationwide, US
Department of Energy, 2015.
12. Anonymous, Renewables 2015 Global Status Report, REN12-GSR2015, 2015
220
____________________________________________________________________________________________
THE VISION OF SOLAR SAILING FOR INTERPLANETARY MISSIONS36
Chairman of the Board, The Institute for the Advancement of Aerospace Science and
Technology “Persada Kriyareka Dirgantara”
email: harijono@djojodihardjo.com
ABSTRACT
With the progress of solar sail interplanetary travel in the last two decades,
various alternative concepts and technologies have been developed. Two of the
solar sail technologies gaining more popularity are the Flat Solar Sail and Solar
Photonic Thruster. Along this frame of thought, the present work is aimed to
compare a conventional Flat Solar Sail (FSS) to a modified Solar Photon
Thruster (SPT) in order to demonstrate their potentials. To that end, an
interplanetary mission is analyzed for a specific trajectory to Mars as an
example. The advantages and disadvantages of a SPT are discussed in
comparison to a conventional FSS.
A solar magnetic sailing spacecraft utilizes the interaction between solar
wind and magnetic field that is generated by a loop of superconducting wire
attached onboard of the spacecraft. The development of the working principle of
solar magnetic sailing from MagSail to M2P2 and MPS is reviewed and
discussed to study their performance, focusing on its operation for
interplanetary travel. The orbital dynamic of MagSail is elaborated to explore
36 Keynote Address at Universiti Putra Malaysia-Universiti Kuala Lumpur AEROTECH VII 2018, 7-8 August 2018
221
____________________________________________________________________________________________
the probable trajectories of interest for space travel. Examples for logarithmic
spiral trajectories concept for MagSail interplanetary travel are discussed for
insight future continuing work.
Since the introduction Solar Electric Sailing by Janhunen in 2004 for
interplanetary travel, it has progressed significantly both in its theoretical,
laboratory and experimental flight tests. The electric solar wind sail (E-sail) is a
newly invented space propulsion concept which uses the natural solar wind
dynamic pressure for producing thrust for a spacecraft by Coulomb interaction.
The baseline configuration of an E-sail comprises a number of long, thin,
conducting and centrifugally stretched tethers; by an onboard electron gun
these are kept in a high positive potential. The number of electron actually
hitting the tether is small provided the tether is thin, since the solar wind plasma
and also the resulting electron sheath surrounding the tether is highly
collisionless. E-sail gains its efficiency since the effective sail area of the tethers
can be millions of times larger than the physical area of the thin tethers wires,
thus offsetting the very weak dynamic pressure of the solar wind. It has been
estimated that an E-sail of 1 N thrust and 100 kg mass could be built in the near
future, producing a dramatic level of specific acceleration for interplanetary
travel propulsion.
The almost complete absence of trapped electrons in the E-sail could lead to
E-sail thrust about five times higher than otherwise, corresponding to 1N thrust
for a baseline construction with 2000 km total tether length. Theoretical analysis
and test particle calculations have indicated that in a realistic three-dimensional
E-sail spacecraft a natural mechanism exists to chaotize their orbits and to
cause them to collide with the conducting tethers eventually, thus removing the
trapped electrons.
A study and trajectory calculations for many classes of missions have been
made.
Several issues have been addressed to look into the mathematical models
assumptions to account for the significant temporal and spatial variation (nature
of the randomness and uncertainty) of velocity of the solar wind and thrust
vectoring of the solar electric sail spacecraft. Dynamic plasma shielding theory
has been adopted to develop a fully self-consistent solution for the potential
around a wire in a plasma, which introduced changes to the performance
analysis for the electric sail, most notably to the thrust dependence on distance
from the sun.
222
____________________________________________________________________________________________
Associated with these issues and studies, the status of solar electric sailing
is comprehensively reviewed in view of their relevance. Variability of Solar Wind
Field in the Solar System and Influence of Solar wind field fluctuations on solar
electric sail thrust for various solar electric propulsion architecture configuration
and thrust vectoring of an electric solar wind sail with a realistic sail shape will
be addressed. Some critical aspects will be discussed.
Keywords: Interplanetary Travel, Flat Solar Sail, Solar Photonic Thruster, Solar Radiation
Pressure, Solar Sail, MagSail; Orbital analysis; Solar Magnetic Sailing; Space dynamics;
Space Travel. Advanced Propulsion Concepts, Electric Solar Wind Sail, Solar Electric Sail,
Solar Electric Thrust, Solar System Space Missions, Solar System Exploration.
Nomenclature
Iplasma = Plasma current, A
B = Magnetic field vector, T
Isp = Specific Impulse [sec]
c = Light speed (3x108 m/s)
J = Current density, A/m2
Cd = Drag coefficient
L = magnetospheric size, m
δ = Ion mean free path, m
mi = Ion mass, kg
E = Electric field vector, V/m
riL = Ion larmor radius at magnetopause, m me
M == Mass
Electron mass,
of the Sunkg
e = Elementary charge (1.6x10-19 C)
reL = Electron larmor radius at magnetopause, m
M == Solar
Magnetic moment, Tm3
Gravitational Constant
Icoil = Coil current, A
Rcoil = Coil radius, m m = Spacecraft’s Mass
μ0 = Magnetic permeability (1.26x10-6 H/m)
Rplasma = Plasma current radius, m r̂ = Spacecraft Radial Component

N = Solar wind density, m-3
T = Plasma temperature, K
ˆ = Spacecraft Transverse Component
V = Solar wind velocity, m/s
= Spacecraft Normal Component

v = Particle velocity, m/s
A =Sail Area  = Spacecraft Angle
 = Sail Pitch Angle v =Transverse Component of Solar Sail Velocity
 =Sail Clock Angle t-t0 = Transfer Time
r = Spacecraft’s Radial Distance to Sun r0 = Initial Distance From Sun
G = Newton’s Gravitational Constant 223

____________________________________________________________________________________________
INTRODUCTION
The development of spacecraft obtaining the large thrust for near earth, planetary and
interstellar exploration or deep space mission is necessary to achieve less mission time
and payload ratio, i.e. the increase of the spacecraft fuel to spacecraft weight ratio. This
leads to the effort of exploring and utilizing innovative space propulsion technique and new
types of sustainable power source that can be derived directly from space, that will be
capable of carrying out interplanetary or interstellar mission for large distances as well as
large payload without utilizing Earth based propulsion system and propellant for the
spacecraft. Hence the use of the solar wind has stimulated innovative efforts. In addition,
the successful and very long space travel of Voyager spacecraft has unveiled new
information regarding the heliosphere.
Currently, three kinds of sail propulsion concepts are studied and they are called as
solar light sail, magnetic sail, and electric sail. Since these sail propulsion concepts do not
require propellant, but instead, the momentum of the solar radiation or the solar wind is
used to accelerate a spacecraft. Such propellant-less propulsion system may be the
dream for spacecraft engineers because spacecraft propulsion Engineer are willing
Figure 1 Spacecraft Solar Sailing using Solar Energy
to improve maneuverability by increasing specific impulse (Isp), but propellant-less

propulsion may provide infinite Isp.
Solar Sails: Limitations and Future Prospects (Funaki-Ikkoh Funaki, Overview of

Sail Propulsion for Space Flight, Dec 2013, www.kml.k.u-tokyo.ac.jp-
CP07_Funaki_SailPropulsion)
224
____________________________________________________________________________________________
1. Thrust is produced only near the Sun – Large acceleration is possible for inner solar
system exploration. therefore, spacecraft can be put into an orbit of Mercury, Venus and
Mars via solar sails.
– Acceleration is NOT enough for orbital transfer in the outer solar system beyond Jupiter.
This means that solar sail propulsion is effective for 1) flyby missions targeting at outer
planets in the solar system, or 2) for
solar system escape (with nuclear power source) when enough acceleration is provided in
the inner solar
system region.
2. Solar sails’ thrust as well as electric power are severely limited. To overcome electric
power limitation, in particular in the outer solar system, the usage of solar power sail (SPS)
is planned for future Jupiter-Trojan mission. To overcome thrust limitation for outer planet
exploration, aero assist maneuver or the usage of electric propulsion (in combination with
SPS) may be effective.
3. Rapid solar system escape would be another target mission with solar sails. Drastic
acceleration in the inner solar system may be possible by Magsail’s derivatives or by
Electrostatic sail.
Taking advantage of the solar radiation and solar wind in the heliosphere, propellantless
spacecrafts have been conceived for interplanetary travel. These are: solar photonic
sailing (conventional Flat Solar Sail (FSS) to a modified Solar Photon Thruster (SPT)),
solar magnetic sailing and solar electric sailing.
The concept behind solar sailing is utilizing the vanishingly small momentum of solar
photons in space. This can be compared to sail boats which use earth wind vessels to
achieve high velocities with the exception of using sun light as a propeller. Considering
each light photon as a quantum pocket of energy, in order to generate more effective
thrust and integrate more photons in space, solar sails are designed as large extremely
thin reflective surfaces which provide a continuous thrust force for a given spacecraft.
Using a high-performance solar sail with a characteristic acceleration of 6 mm/s^2 and a
close solar pass at 0.2 AU cruise speed of over 20 AU per year can be achieved. This
compares well with the 3 AU per year cruise speed of Voyager spacecraft accelerated
using gravity assists [1]. In this paper we will discuss the dynamics of a solar sail and the
225
____________________________________________________________________________________________
governing equations which would lead to derivation of solar sails characteristic

acceleration. Furthermore, a specific type of orbit know as Logarithmic Spiral Trajectories
is introduced which is a suitable type of Trajectory considering the solar sail properties.
Later on, the velocity equations in a polar coordinate system and transfer time equation
are derived which would lead to a parametric study of a particular solar sail for an
interplanetary mars mission.
The use of the solar wind in a concept of the magnetic sail as a propulsion system was
first proposed and invented by Dana Andrews and Robert Zubrin [1]. The original concept
to tap into the solar wind was called Magnetic Sail or “MagSail” (Andrews and Zubrin [1, 2],
Zubrin [3], Zubrin and Martin [4]). In a further development Winglee [5, 6] proposed a
plasma sail concept that was called M2P2 (mini-magnetospheric plasma-propulsion), as a
derivative system from the Magnetic Sail. In the concept of M2P2, the original magnetic
field attached to a spacecraft is expanded by the injection of artificial plasmas from the
spacecraft to form finally a huge magnetosphere [7], and since no large structure is
required, it is more feasible from the engineering point of view.
The Mini-Magnetospheric Plasma Propulsion (M2P2) inflates a large magnetic bubble

around the spacecraft to deflect and pick up the momentum from the solar wind particles
which are traveling at speeds of 350 to 800 km/s. One potential significant benefit of the
M2P2 is its small hardware size, and there is no need to deploy large mechanical
structures. Research groups in Japan, among others those led by Funaki, have also
carried out significant work in magnetic sail propulsion systems (Funaki et al, [8 - 12]). The
design of the magnetic sail type space propulsion has steadily evolved over time, even the
first magnetic sail spacecraft model has been created [13-16]. Then the objective of this
review is to assess the state of the art of the research and technology development
associated with the implementation of magnetic sail propulsion principle and the magnetic
sail-based spacecraft for interplanetary travel.
Since its introduction by Janhunen in 2004 [1,2] for interplanetary travel, in addition to
Solar Radiation Sailing and Solar Magnetic Sailing, Solar Electric Sailing has gained
significant progress both in its theoretical, laboratory and experimental flight tests.
The electric sail1,2 uses long and thin conducting tethers which are kept at a high
positive potential by an onboard (typically solar-powered) electron gun. The positively
charged tethers repel the solar wind protons, thereby extracting momentum from them. As
226
____________________________________________________________________________________________
a by-product they also attract electrons, but since the solar wind plasma and also the
resulting electron sheath surrounding the tether is highly collisionless, the number of
electrons actually hitting the tether is small provided the tether is thin. Typically, the tether
is composed of four 20-μm diameter interconnected redundant wires (Figure 1) for
micrometeoroid-resistance and the tethers are kept at ~ 20 kV potential, which requires ~
500 W of electric power for 50-100 tethers of 20-30 km length (Janhunen & Sandroos [2],
Janhunen, Mengali, Quarta [3])
The electric solar wind sail is a newly invented way for using the solar wind dynamic
pressure for providing thrust for a spacecraft. An electric sail spacecraft deploys long, thin,
conducting tethers which are centrifugally stretched and kept in a high positive potential by
an onboard electron gun. Scientifically, the essential problem is to predict the thrust force
per unit length that the plasma stream exerts on the tether when the tether is kept in a 15-
40 kV voltage. Recently, theoretical arguments were put forward which suggest that
trapped electrons are almost completely absent from the electric sail. In view of these
arguments, we make here the assumption that trapped electrons are absent and proceed
to derive a simplified analytical thrust formula. This formula predicts about five times higher
electric sail thrust than the original estimates which included trapped electrons (Janhunen
et al [4])
The electric sail is a new propulsion concept which uses charged tethers to extract
momentum from the solar wind by Coulomb interaction. The thrust estimates have gone
up recently by a factor of about five, samples of final-type tether have been manufactured,
accurate navigability of the sail in variable solar wind has been shown numerically, a
CubeSat test mission for measuring the electric sail force in orbit is in Phase-A study and
trajectory calculations for many classes of missions have been made.
Barth: There are many unknowns in space environments and the interaction mechanisms.
The low level of funding in the applied science discipline of spacecraft environments and
effects has resulted in model development and validation lagging behind rapid technology
changes. Access to space for validating effects models and ground test protocols is also
critically low. Ground tests cannot duplicate the space environment, particularly when
environments have synergistic effects and effects are complicated by enhanced low dose
rates in space. Often these unknowns require that large design margins be applied to
performance predications, resulting in overheads that reduce capability or that can
preclude use of newer technologies in spacecraft systems.
SOLAR WIND CHARACTERISTICS AND MODELING
227
____________________________________________________________________________________________
The Sun is a source of both photons and plasma; the fluxes of each fall off as one over the
Sun-Spacecraft Radius squared. The effects of solar radiation on the heliosphere and local
interstellar cloud interaction are small compared to those of the solar wind (Richardson
and Schwadron [8]). Since completion of the Voyagers’ planetary missions in 1989 with
the close flyby of Neptune by the Voyager 2 spacecraft, the Voyagers have embarked on a
new quest, racing to the boundary of the heliosphere (Zurbuchen et al [9]).
Fig. 1 illustrates an impression of the Heliosphere (The Heliosphere [10]), which is the
entire area or bubble inside the boundary of the Solar System.
The place where the solar wind slows down and begins to interact with the interstellar
Figure 2 The Heliosphere and the Earth’s Magnetosphere : (a) . The

Heliosphere; (b) Some details of the Heliosphere; (c) The Earth’s Magnetosphere
and (c) Solar Wind interaction with Spacecraft’s Magnetosphere
medium is called the heliosheath. The heliosheath has a few parts: The Termination Shock
(the innermost part of the boundary), the Heliopause (the outermost part of the boundary)
and the part in between the inner and outer boundary. The solar wind moves outward at
supersonic speeds and carries with it the Sun’s magnetic field.
228
____________________________________________________________________________________________
The interstellar medium is also moving at supersonic speeds and carries with it the
interstellar magnetic field. The solar wind has fluctuating flow speed, density, temperature
and flow angles relative to the radial direction [11]. whereas the mean speed amounts to
400 km/s (Vulpetti [12]). The existence of the solar wind was theoretically modelled by
Parker in 1958 and experimentally verified in 1962 [13]. Since then, it has been observed
throughout wide parts of the heliosphere, as close as 0.29 AU and as far as (by now) 70
AU from the Sun, mainly in the ecliptic plane, but also above both solar poles [14 – 17].
Further, the solar wind dynamic pressure or momentum flux (which is twice the kinetic
energy density) is 1.6 × 109 N/m2 [23 - 26]. Solar wind properties have to be accounted for
solar wind-based space propulsion [27, 28].
Typical parameters of the slow solar wind at 1AU is exhibited in Table 1, adapted from
[11], while Fig. 2 illustrates the notion that solar wind has fluctuating flow speed, density,
temperature and flow angles relative to the radial direction [11]. Both density and speed
depend, at the same distance, on the solar latitude. In the ecliptic plane and at 1 AU the
mean density of the quiet solar wind is about I0 x 10 2J kg/m3 (or 6 protons/cm3), whereas
the mean speed amounts to 400 km/s (Vulpetti [12]).
Table 1 Typical parameters of the slow solar wind at 1AU [11].
229
____________________________________________________________________________________________
Fig. 3. The solar wind proton parameters (flow speed, density, temperature and flow
angles relative to the radial direction) during a full solar rotation in early 1975, as
observed by the Helios 1 solar probe close to 1 AU. The two large high-speed
streams with the extended compression regions in front are typical for this phase of
minimum solar activity [11].
Janhunen’s electric sail is a new propulsion concept which uses charged tethers to
extract momentum from the solar wind by Coulomb interaction [Janhunen & Sandroos [2],
Janhunen and Toivanen [18], Zank et al [19], Echim et al [20]).
Table 2 Various Aspects of Solar Sail Propulsion for Interplanetary Flight

Propulsion Solar Sail (Solar Light -Photonic Mag-Sail (Solar Magnetic) E-Sail (Solar Electric)
Name/Type Radiation)
Propulsion Solar Light (Photonic Radiation) Solar Wind-Magnetospheric Solar Wind – Electrical Charges:
Mechanism Interaction:
Coulomb drag interaction between charged
Reactive force introduced by coupling tethers and the solar wind
Solar Radiation (photonic) pressure to the solar wind with a minimagnetosphere
produce thrust
Typical M2P2-MPS spacecraft model proposed by

JAXA[30]
Illustrations
230
____________________________________________________________________________________________
Conceptual
Versions/ Key Square Sail
Technologies
(not to scale)
HelioGyro
Original Zubrin-Andrews MagSail baseline

Square design
Sail (not to
scale)
Spinning Disk Sail
(not to scale)
Wingee’s Principle of magneto-plasma sailing (a) E-sail schematic view; (b) Schematic description
with Magnetic field inflation by plasma of the original spinning, positive polarity electric
injection sail; (c) Artist’s impression of an electric solar wind
sail showing the spacecraft from which dozens of
tethers (green) are deployed.
a. Clipper
Slough Plasma Sail driven by a Rotating

Magnetic Field Negatively biased gravity-stabilised Coulomb drag
b. Quad
plasma brake in LEO for satellite deorbiting
Brief History/ Svante Arrhenius predicted in 1908 the Zubrin et al: 20-N-class Magsail (for 100- Sometime around 2004 Janhunen proposed
c. Butterfly
possibility of solar radiation pressure km-diameter magnetosphere) is the concept of electric sail propulsion, that
Concept
distributing life spores across interstellar proposed that is obtained with B-field by allows a spacecraft to deliver a payload to
Development
distances. superconducting coil of 5mm in diam., some high-energy orbit without the need for
5000 kg weight. Zubrin MagSail deploys reaction mass. The spacecraft is spun around
• Friedrich Zander (Tsander) published a superconducting cable after launched the symmetry axis and the rotational motion is
technical paper that included technical into space. Before the launch of a used to deploy a number (e.g., 50–100) of long
analysis of solar sailing, using tremendous MagSail spacecraft, a loop of millimeter and thin conducting tethers which are held at a
in diameter superconducting cable, high positive potential by an onboard electron
mirrors of very thin sheets" and "using the attached on a drum onboard the gun [31-32], which is typically solar-powered,
pressure of sunlight to attain cosmic spacecraft. After launch, the cable is whose electron beam is shot roughly along the
velocities”. released to form a loop of tens of spin axis.
kilometers in diameter. A current is
• J.D. Bernal wrote in 1929, "A form of space initiated in the loop, and maintained in The electric sail, like the magnetic sail [21-18],
sailing might be developed using the repulsive the superconductor without operating also uses the solar wind momentum flux as a
effect of the sun's rays instead of wind power supply. The magnetic field created thrust source. The electric sail is also similar to
will impart a hoop stress to the loop to an ion engine in its use of electric power to
• The first formal technology and design effort force it to a rigid circular shape generate thrust and to electrodynamic tether
for a solar sail began in 1976 at Jet propulsion in its use of long, conducting
Propulsion Laboratory for a proposed mission Winglee M2P2: The original M2P2 tethers.
to rendezvous with concept advocated a very compact
The electric sail differs fundamentally from
Halley's Comet. configuration with a coil of 0.1m in these propulsion methods in that it is based on
diameter and a a unique propulsion concept that utilizes
3-cm-diamter helicon plasma source. tethers and the solar wind as its underlying
Although many physical principle.
papers insist that the magnetic field

inflation based on such
a weak magnetic field generates only

negligible thrust,
Slough Rotating Magnetic Field (RMF)

- Plasma Magnetic System:
The rotating magnetic field (RMF) that

maintains the large-scale dipole currents
can be constructed out of copper tubing,
and driven by a simple oscillating tank
circuit that operates at very high
efficiency. The huge difference in cross
231
____________________________________________________________________________________________
sectional area that the plasma subtends

(km2 vs. cm2) minimizes the additional
power requirement. In recent
experiments, a high power RMF system
has operated at high efficiency (>90%)
and at powers ~ 10 to 100 kW [9]. Thrust
powers of 10 to 100 MW should be
achievable
Funaki Magnetoplasma Sail: The

analyses derived by Asahi indicate that
the revised M2P2
(MPS) with a over 10-m-diameter coil

can produce a
strong interaction between the inflation

plasma and the
magnetic field under the condition of

rLi<<L. Since the optimum thrust
performance available for the M2P2/MPS
sail has not been established yet, further
research is required.
Typical The propelling thrust of Solar Sail varies as The propulsive force of MagSail fiekd fall Propulsive acceleration provided by an E-sail
acceleration the inverse square distance from the sun, off as the inverse square distance from at a distance r from the Sun is proportional to
the sun, 1/r2 1/r, where it has been estimated that   (1,
At best a solar sail will experience 9 N of force 7/6).
per square kilometer of sail located in Earth Estimates of propusive force : 0.7 N
orbit (McInnes, 1999), to provide a suitably (Winglee) to 70 N MagSail Assuming a 100-kg spacecraft with 100 such
large momentum transfer. tethers, each being of 10-km length, the
electric sail provides about 0.1-N thrust at 1-AU
The sail is required to have a large surface distance from the sun.
area while maintaining as low a mass as
possible.
Typical example ac=0.85 mm/s2-1.00 mm/s2
Sample/
Typical
Planetary
Orbits
Logarithmic Spiral Trajectories of a FSS and SPT Ashida Trajectories of the small-scale
magnetic sail when the spacecraft escapes
from the gravitational sphere of Earth
Mengali Spacecraft trajectory in a ten years orbit
raising
Andrews and Zubrin Escape from 12RE

Circular Orbit
Application Asteroid Mining

1. Thrust is produced only near the Sun – Large acceleration is possible for inner solar
Areas system exploration. therefore, spacecraft can be put into an orbit of Mercury, Venus and
Spacecraft Deceleration:Plasma Brake
Mars via solar sails.
2. Acceleration is NOT enough for orbital transfer in the outer solar system beyond
Jupiter. This means that solar sail propulsion is effective for 1) flyby missions targeting at
outer planets in the solar system, or 2) for solar system escape (with nuclear power
source) when enough acceleration is provided in the inner solar system region.
3. Solar sails’ thrust as well as electric power are severely limited. To overcome electric
power limitation, in particular in the outer solar system, the usage of solar power sail
(SPS) is planned for future Jupiter-Trojan mission. To overcome thrust limitation for outer
planet exploration, aeroassist maneuver or the usage of electric propulsion (in
combination with SPS) may be effective.
3. Rapid solar system escape would be another target mission with solar sails. Drastic
acceleration in the inner solar system may be possible by Magsail’s derivatives or by
Electrostatic sail.
232
____________________________________________________________________________________________
Current E-sail effect in low Earth orbit is

Development demonstrated on-board ESTCube-1
DLR solar sail satellite, which was
Examples
launched on May 7 201 3. A 10 m long tether
ground deployment
was deployed and charged up to allows the
measurements of the E-sail force exerted
test M2P2-MPS spacecraft model proposed by
on the tether by the ionospheric ram flow
acting on the satellite.
JAXA[30]
20-m solar sail deployment tests by ATK (left)

Slough M et.al. vacuum chamber with
and L’Garde (right) at NASA Glenn
two pair of RMF(rotating magnetic field)
coil sets for producing RMF Bx and By
IKAROS solar sail, imaged by free flying
camera. Winglee M2P2 prototype in a small
(1m) vacuum chamber at the
University of Washington
ESTCube-2, will be launched in early 2019
to test advanced technologies, e.g. E-sail,
plasma brake for deorbiting and as a
prototype of Estonia's future moon-orbiting
spacecraft.
PIC
Simulation
a.
Associated
with Solar
Wind
Interaction
b.
(Examples)
a. Winglee deflection of the solar wind
Technology Structure & Material The use of solar radiation to enhance Interplanetary E-sail uses positive voltages,
Challenges thrust by MagSail (Khazanov et al., electron gun and multiple centrifugally
by a simple dipole.
Deployment Architecture 2005 and Akita and Suzuki, 2004). stabilised tethers. Plasma brake uses
vertical gravity-stabilised tether(s), negative
In-flight Propulsion Control Slough proposed a way to capture the voltage and no electron or ion gun
b. Khazanov
solar wind Density
momentumstructure
by from
using a
Launching Configuration rotating magnetic field, and the new
system is called of
MHD simulation ‘the plasma magnet’
Winglee’s
Initial Energy Requirements and scheme
configuration
Propulsion Solar Light (Photonic Radiation) Solar Wind-Magnetospheric Solar Wind – Electrical Charges:
Mechanism Interaction:
Reactive force introduced by coupling tethers and the solar wind
Solar Radiation (photonic) pressure to the solar wind with a
produce thrust minimagnetosphere
Typical M2P2-MPS spacecraft model

Illustrations proposed by JAXA[30]
233
____________________________________________________________________________________________
Conceptual
Versions/ Key Square Sail
Technologies
(not to scale)
Original Zubrin-Andrews MagSail

baseline design
(a) E-sail schematic view; (b) Schematic

description of the original spinning,
positive polarity electric sail; (c) Artist’s
impression of an electric solar wind sail
showing the spacecraft from which dozens
of tethers (green) are deployed.
Negatively biased gravity-stabilised

Coulomb drag plasma brake in LEO for
satellite deorbiting
HelioGyro
Square
Sail (not to
Spinning Disk Sail
scale)
(not to scale)
Wingee’s Principle of magneto-plasma

sailing with Magnetic field inflation by
plasma injection
a. Clipper
Slough Plasma Sail driven by a

b. Quad Rotating Magnetic Field
c. Butterfly
Table 3. Solar sail missions by benefit
234
____________________________________________________________________________________________
Table 4. Solar sail mission key characteristics
History of Solar Light Sail

235
____________________________________________________________________________________________
• Svante Arrhenius predicted in 1908 the possibility of solar radiation pressure distributing
life spores across interstellar distances, the concept of panspermia. He apparently was the
first
Figure 4 Conventional Solar Sail; (a) Principle of Solar Sail; (b) On-
ground verification of a conventional solar sail, end of 1999 at DLR site
in Cologne; (c) Artist impression of the successful Japanese IKAROS
Solar Sail Spacecraft
scientist to state that light could move objects between stars.
• Friedrich Zander (Tsander) published a technical paper that included technical analysis
of solar sailing. Zander wrote of "using tremendous mirrors of very thin sheets" and "using
the pressure of sunlight to attain cosmic velocities”.
• J.D. Bernal wrote in 1929, "A form of space sailing might be developed which
used the repulsive effect of the sun's rays instead of wind. A space vessel spreading its
large, metallic wings, acres in extent, to the full, might be blown to the limit of Neptune's
orbit. Then, to increase its speed, it would tack, close-hauled, down the gravitational field,
spreading full sail again as it rushed past the sun.”• The first formal technology and design
effort for a solar sail began in 1976 at Jet Propulsion Laboratory for a proposed mission to
rendezvous with Halley's Comet.
Solar Sailing has been an attractive concept and possibly an alternative mean of
space propulsion for decades to come. The main advantage of solar sail is the fact that it
generates thrust without requiring any propellant. Although the resulting acceleration is
small the continuous thrust would lead to high speeds. A conventional Flat Solar Sail uses
the reflection of solar radiation pressure to accelerate the spacecraft. Figure 3 shows
Conventional Solar Sail Principle, (a), On-ground verification of a conventional solar sail, at
236
____________________________________________________________________________________________
the end of 1999 at DLR site in Cologne, (b) and an Artist impression of the successful
Japanese IKAROS Solar Sail Spacecraft (c).
Theory of Solar Light Sail;

Fundamental Considerations
The analysis carried out in the present

work will utilize Lagrange variational
equations for convenience and following
development elaborated in5. These
equations represent the rate of change of
the osculating solar sail orbital elements,
which are the instantaneous elliptical
Figure 5 Orbital Elements in Sun- orbital elements when the solar sail
Centered Coordinate System spacecraft is jettisoned. Since the orbital
elements are in general slowly changing5, Lagrange variational equations may be
appropriate in representing the solar sail spacecraft orbital dynamics in certain cases. The
instantaneous Orbital Elements in the Sun-Centered Coordinate System is depicted in Fig.
2. The orbit may be defined with respect to the Sun centered celestial sphere, the ecliptic
plane and the first point of the Aries  . The solar sail spacecraft orbit is oriented within the
orbit plane and using the argument of the perihelion  which defines the angle between N,
the ascending node, and the perihelion P. The true anomaly f is polar angle of the solar
sail spacecraft in the orbit plane measured from P.
Figure 6 Schematic of perfect reflection of solar radiation
237
____________________________________________________________________________________________
In Figure 5, β is called the sail loading parameter also known as lightness number which is
a dimensionless constant described as the ratio of solar radiation acceleration to solar
gravitational acceleration.
Cone angle α is defined to be the angle between the sail normal and the sun-line while
clock angle δ is defined to be the angle between projection of the sail and some reference
direction onto a plane normal to the sun-line. Solar radiation force acting on a solar sail
can be calculated as follows (see Fig. 5):
Fr = PA(er .n)er (1)
and
Fr ' = − PA(er .n)er ' (2)
Since
er − er ' = 2(er .n) (3)
where er and er  are the unit vectors along the sunline and its reflection respectively, then
the total radiation force for a perfectly reflecting solar sail would be
FS RP = Fr + Fr = 2PA(er .n)2 n = 2PAcos 2 n (4)
Since solar radiation pressure has an inverse square variation with radius, (4) can be
rewritten as
1AU 2
FSRP = ( Peff )1 AU ( ) Acos 2 α n (5)
r
where Peff is solar radiation pressure for a perfectly reflecting solar sail at 1 AU distance
from the sun which is
Peff = 2 P01 AU = 9.126 N / m2 (6)
characteristic acceleration can also be written in terms of solar gravitational acceleration
238
____________________________________________________________________________________________
GM
aSRP =  2
cos 2 n (7)
r
To obtain some impression on the capabilities of solar sailing, changes in orbital dynamics
of the sail craft will be discussed in four cases. The first case takes a look at the changes
in semi-major axis in a sun-centered orbit with an initial semi-major of 1.25 AU starting
from earth’s orbit; the second case analyzes the modifications of eccentricity with the
same conditions as the first case. The third case takes a look at changes in the inclination
angle of the orbit in an earth-centered orbit and finally the final case compares the escape
trajectories of these proposed sail crafts in an earth-centered orbit starting at a circular
geostationary orbit. It should be noted that β is known as the sail lightness number which
is the ratio of solar radiation acceleration to solar gravitational acceleration.
Cone angle α is defined to be the angle between the sail normal and the sun-line while
clock angle δ is defined to be the angle between projection of the sail and some reference
direction onto a plane normal to the sun-line. Solar radiation force acting on a solar sail
can be calculated as follows (see Fig. 5):
Fr = PA(er .n)er (8)
and
Fr ' = − PA(er .n)er ' (9)
Since
er − er ' = 2(er .n) (10)
where er and er  are the unit vectors along the sunline and its reflection respectively, then
the total radiation force for a perfectly reflecting solar sail would be
FS RP = Fr + Fr  = 2 PA(er .n ) 2 n = 2 PAcos 2 n (11)
Since solar radiation pressure has an inverse square variation with radius, (4) can be
rewritten as
1AU 2
FSRP = ( Peff )1 AU ( ) Acos 2α n (12)
r
239
____________________________________________________________________________________________
where Peff is solar radiation pressure for a perfectly reflecting solar sail at 1 AU distance
from the sun which is
Peff = 2 P01 AU = 9.126 N / m 2 (13)
characteristic acceleration can also be written in terms of solar gravitational acceleration
GM
aSRP =  cos 2 n (14)
r2
The pressure P on a flat perfect reflector is given by:
cos 2  cos 2 
P ( R ) = P0 2
= 9.120 2
 N / m2 (15)
R R
where R the distance from the Sun's center in AU, and α is the angle between Sun and
sail normal.
Using an efficiency factor, η, of typically about 0.90, the pressure, characteristic

acceleration, and sail loading , σ, are related by:
P  9.120  8.28
ac = = = mm / s 2 (16)
  
Sail loading σ is total mass divided by sail area, and σ is given in [g/m2].
The pressure P on a flat perfect reflector is given by:
cos 2  cos 2 
P ( R ) = P0 = 9.120  N / m2 (17)
R2 R2
where R the distance from the Sun's center in AU, and α is the angle between Sun and
sail normal.
Using an efficiency factor, η, of typically about 0.90, the pressure, characteristic

acceleration, and sail loading, σ, are related by:
P  9.120  8.28
ac = = = mm / s 2 (18)
  
Sail loading σ is total mass divided by sail area, and σ is given in [g/m2].
Using these definitions, it can be shown that the Lagrange variational equations may be
written as5,6 :
240
____________________________________________________________________________________________
da 2 pr 2 p
= [ Se sin f + T ] (19)
df  (1 − e )
2 2
r
de r 2 r r
= [ S sin f + T (1 + ) cos f + T e] (20)
df  p p
di r 3
= cos ( f +  )W (21)
df 
d r3
= sin ( f +  )W (22)
df  sin i
d d  r2 r
=- cos i+ [− S cos f + T (1 + ) sin f ] (23)
df df e p
dt r2  r2 r 
= 1 − [ S cos f − T (1 + )sin f ] (24)
df  p  e p 

where p=a(1-e2) is the semi-latus rectum, n = is the mean motion and M=n(t-) is the
a3
mean anomaly, where  is the time of perihelion passage. The radial, transverse and
normal force components S, T and W may be written as:

S= cos  3 (25)
r2

T = 2
cos  2 sin  sin  (26)
r

W = cos  2 sin  cos  (27)
r2
S is directed along the Sun-line, T is normal to S and in the orbit plane, and W is directed
normal to the orbit plane. Although optimal control theory should be used to generate true
minimum time trajectories, there are instances when only simple maneuver strategies will
be sufficient. For example, the transfer of a solar sail to a close heliocentric orbit, or the
increase of the inclination using a cranking orbit, can be efficiently generated using simple
sail-steering laws. In the present work, only such class of locally optimal trajectories will be
241
____________________________________________________________________________________________
considered using such simple steering maneuvers. The limitation of such maneuvers is
that no global optimality will be achieved. This locally optimal trajectories approach will be
followed throughout the present example.
Figure 7 Solar Sail Spiral Trajectories
Solar Radiation pressure induced acceleration (MacDonald, McInnes)

The momentum carried by individual photons is extremely small; at best a solar sail will
experience 9 N of force per square kilometre of sail located in Earth orbit (McInnes, 1999),
thus to provide a suitably large momentum transfer the sail is required to have a large
surface area while maintaining as low a mass as possible.
Orbital Dynamics of SPT

As seen in (5), thrust force generated by a Flat Solar Sail is reduced by the cosine squared
of sail cone angle. Moreover, since it is the transverse component of force tangent to the
solar sail orbit which does useful work, only 38% of the available solar radiation pressure
force is of use when the sail orientation is optimized [1]. However it can be seen that by
having a large parabolic reflective surface for the purpose of collecting solar radiation
(Collector) and a smaller flat reflective surface for the purpose of directing the radiation
and therefore generating thrust (Controller) , significant optimizations can be made over
the conventional FSS. This device is called Solar Photon Thruster, first coined by Robert
Forward [13]. Two design cases will be considered. The first case is simple SPT with two
242
____________________________________________________________________________________________
reflecting surfaces: the parabolic collector and the controller, as shown in Fig 6 and
discussed by Guerman et al [6]. The second case is a more complex SPT elaborated by
McInnes [1], which consists of a parabolic collector, a collimating mirror and the controller,
as shown in Fig. 7. By tracing a single photon beam through the SPT the equation of
radiation force exerted on the sail surface can be derived for both cases. For the first case
shown in Fig. 6, the photon beam is first reflected by the collector generating a reaction
force f1 and an incident force fi . After being reflected by the controller the photon beam
will cause a reaction force f r and an incident force − f1 which means that the total force
acting on the sail is the summation of fi and f r . For the second case, shown in Fig. 7, the
incoming solar radiation is directed toward the collimating mirror, which will create a
uniform beam of radiation director towards the controller. It can be seen that even for a
more complicated optical path such as the second case, the reaction forces still cancel
each other and therefore the summation of the resultant forces would be identical to the
first case which is the summation of fi and f r . Asuming that the surfaces are perfectly
reflective and the collector has an area of A , the radiation forces for the entire surface are
as follows:
Fi = PAui (28)
Fre = − Fi ur (29)
where Fi and Fre are the total incident and reaction forces acting on the solar sail, P is
the radiation pressure, ui is the unit vector directed along the sunline and ur is the unit
vector directed along the path of photon beams leaving the solar sail. Based on (3), the
total force exerted on the SPT would be:
FSRP = 2 PA(ui .n)n (30)
which could be rewritten as
243
____________________________________________________________________________________________
FSRP = 2PA cos  n (31)
The direction of the thrust force between these two cases are different; however the
magnitude of the thrust force would be the same. It can be seen that the magnitude of the
force acting on the SPT varies with cos α, while for the FSScos2α. Fig. 8compares the
normalized force acting on a solar sail with an area of 100 m 2 at one earth distance from
sun.
FSS Logarithmic Spiral Trajectories

The formulas derived in this section follow closely the Logarithmic Spiral Trajectories
development by McInnes [1]. The equation of motion for a perfectly reflecting flat solar sail
can be defined as
d 2r µ µ
2
+ 2 rˆ = β 2 (rˆ.n)2 n (32)
dt r r
Where µ = G(M + m) and since m << M it can be assumed that µ = GM . According to
Fig. 3, by resolving the above equation to radial r̂ , transverse ˆ and normal ˆ components,
the three-dimensional equations of motion for a solar sail can be written as follows
d 2r d 2 d 2 2 µ µ
2
– r( ) – r( ) cos  = – 2 + β 2 cos3α (33)
dr dt dt r r
1 d  d   d  d  µ
cos  r 2  − 2r    sin = β 2 cos α sinα sinδ
2
(34)
r dt  dt   dt  dt  r
1 d 2 d d 2 µ
(r ) + r( ) sin cos = β 2 cos 2α sinα sinδ (35)
r dt dt dt r
The transverse and radial components of solar sail velocity vector are derived as follows
µ
vθ = [1– βcos 2α(cosα – tanγ sinα )]1/2 cosγ (36)
r
244
____________________________________________________________________________________________
µ
vr = [1 – βcos 2α(cosα – tanγ sinα )]1/2 sinγ (37)
r
and the magnitude of solar sail velocity is
µ
v(r) = [1 – βcos 2 α(cosα – tanγ sinα )]1/ 2 (38)
r
By integrating the equation for the radial velocity, transfer time can be obtained from an
initial orbit radius r0 to a distance r
1 3/ 2 1 − βcos 3 α 1/ 2
t – t 0 = (r – r0 )( 2
3/ 2
)
3 β µc os 4 α sin 2 α (39)
Sample Orbital Dynamics Results
Figure 8. Minimum necessary sail pitch angle for a wide range of X
245
____________________________________________________________________________________________
Figure 9. Transfer time and pitch angle for an FSS with respect to β (reproduced
from Reference 2)
Figure 10. Logarithmic Spiral Trajectories of an FSS and SPT
The minimum sail pitch angle should not exceed the optimum angle so that the spacecraft
can achieve a minimum transfer time. It can be seen that the transfer time equation is
different for a Solar Photon Thruster compared to a Flat Solar Sail. Figure 13 indicates the
Logarithmic Spiral Trajectory of a spacecraft with a sail lightness number of 0.05 for a
Mars mission utilizing FSS (left) and SPT (right). Solar Photon Thruster has shorter
transfer time in comparison to a same sized Flat Solar Sail which indicates the significant
improvement on SPT. Figure 14 indicates the transfer time difference of these two
technologies for a range of sail lightness numbers for a Mars mission. It should be noted
that for each sail lightness number, the optimum sail pitch angle has been considered in
order to optimize the trajectory.
246
____________________________________________________________________________________________
Figure 11. Transfer time difference of these two technologies for a range of sail
lightness numbers
Figure 12 Funaki Orbital Transfer by Solar Light Sail - Mercury Orbiter Trajectory
Figure 13 Funaki Orbital Transfer by Solar Funaki Orbital Transfer by Light Sail -
Saturn Flyby Trajectory
247
____________________________________________________________________________________________
Figure 14 Reflecting the photons forward along the direction of motion slows the
spacecraft down.
MAGNETOPLASMA SAIL OPERATION PRINCIPLE
Fundamental Physical Principles
Figure 15 Schematic of the magnetosphere produced by the interaction of the

particles of the solar wind with the geomagnetic field-b (not to scale and details)
248
____________________________________________________________________________________________
Figure 16 (a) Original MagSail baseline design diagram (adapted

from [1 -4]); (a) Normal Configuration; (b) Axial Configuration
The Magnetic sail (MagSail) is a unique interplanetary propulsion system but it has
never been realized. However, the momentum transfer process from the solar wind to the
spacecraft is a complicated electromagnetic process and the process and its feasibility has
not been clarified specifically. The utilization of the solar wind to propel spacecraft by
utilizing the interaction between solar wind and magnetic field of the spacecraft mimics the
interaction between solar wind and magnetic field of the of the Earth and other planets
within the solar system. The magnetic field around an onboard superconducting coil of the
spacecraft is generated by a loop of superconducting wire attached to the spacecraft. The
magnetic field will then produce thrust by intercepting the solar wind. The interaction
between the magnetic field of the spacecraft and the solar wind contained in a flux of real
particles is unique.
As proposed by Zubrin, a MagSail spacecraft has a hoop coil which produces an

artificial magnetic field to reflect the solar wind particles approaching the coil. The
magnetic sailing spacecraft (MagSail) utilizes the interaction between solar wind and
magnetic field that is generated by a loop of superconducting wire attached to the
spacecraft, as depicted in Fig. 2, to produce thrust by intercepting the dynamic pressure of
the solar wind using a magnetic field around an onboard superconducting coil. The
249
____________________________________________________________________________________________
magnetosphere around a MagSail spacecraft can capture the solar wind momentum
without deploying a large and heavy mast and sail. Zubrin estimated that a large coil (for
example, 32km-coil for 20-N-thrust [3]) is required to propel the Magsail, which may not be
realistic for a spacecraft system.
In the conceptual design of a MagSail spacecraft, a loop of superconducting cable with

diameter in the order of millimeter, is attached on a drum onboard the spacecraft. After the
launch, the cable is released from the spacecraft to form a loop with a diameter of about
50-100km.
Then, a current is initiated in the loop. Once the current is initiated, it will be maintained
in the superconductor without operating the power supply. MagSail propulsion is
generated by using the interaction between the flowing plasma from solar wind and the
automated magnetic field created outside of the spacecraft. The energy from the solar
wind is transformed into a continuous thrust of the MagSail spacecraft. The thrust is
proportional to the difference between the speed of the plasma flow and the velocity of the
spacecraft. If the
spacecraft travels
faster than the solar
wind, the sail can be
used to slow down the
spacecraft. Because of
the average speed of
the plasma flow, a
more likely use would
be to accelerate the
spacecraft towards
their destination during
interplanetary travel.
Additionally, the
density of the solar
Figure 17 Winglee plasma sail (M2P2-MPS); Winglee
wind particles will
proposed to use a very compact coil to obtain a large
decrease
MagSail by inflating the original weak magnetic field
proportionally to the
by injecting a plasma jet from a spacecraft
distance from the sun
squared. Accordingly, a prototype for the device has been constructed in a laboratory
vacuum chamber [6], consisting of a helicon plasma source inserted asymmetrically in a
moderately strong magnetic field.
250
____________________________________________________________________________________________
The M2P2 (mini-magnetospheric plasma-propulsion) plasma sail concept proposed by

Winglee [5, 6] can be achieved with low weight (< 50 kg for the device) and lower (< 3 kW)
requirements to produce thrust of a few newtons, and acts like a balloon in that it will
expand as the solar wind dynamic pressure decreases with distance from the sun.
Winglee plasma sail (M2P2-MPS) as illustrated in Fig. 3.
This plasma injection allows the deployment of the magnetic field in space over large
distances (comparable to those of the MagSail) with the B-field strengths that can be
achieved with existing technology. Although the magnetic bubble is very large, one
potential significant benefit of the M2P2 is the small size of the hardware, since there is no
need for the deployment of large mechanical structures as envisaged for the MagSail or
the solar sails. However, the first M2P2 design adopting a small (20-cm-diameter) coil and
a small helicon plasma source design was criticized by Khazanov et al [29] since MHD is
not an appropriate approximation to describe the M2P2 design. Khazanov et al [29]
showed, with ion kinetic simulation, that the M2P2 design could provide only negligible
thrust. Khasanov et al [29] stipulated that for the Mini-Magnetospheric Plasma Propulsion
system (M2P2) as proposed by Winglee, the size of the magnetic bubble is actually less
than, or comparable to, the scale of significant characteristic parameters. Therefore, a
kinetic approach, which addresses the small-scale physical mechanisms, must be used.
An examination of the physics and planned implementation of plasma sail propulsion

indicates that the proposed technology does not provide a functional, resource-competitive
and viable propulsion mechanism using current technologies or technologies expected to
be available in the foreseeable future. This conclusion is primarily based on application of
the conservation of magnetic flux for the plasma sail system, which follows from the
requirement that the divergence of the magnetic field vanish.
In a series of theoretical and experimental investigations on MagSail and its derivatives

at JAXA and in collaboration with Japanese universities, Funaki (Funaki et al, [8 - 12]) has
lead research work in magnetic sails and propulsion systems that utilize magnetic fields.
The first laboratory experiment of MagSail was conducted to confirm theoretically derived
thrust formula. Also, small flight demonstration of MagSail has been proposed. In this
regard, attention has been focused on the theoretical aspects of the magnetic sail and
some small-scale experiments on its application. The design and the theoretical
calculations of the magnetic sail that have steadily evolved over time have yielded very
promising results, such as a thrust of 1 N at 4 kW, and an efficiency of 250 mN/kW,
compared to a thrust of up to 200 mN and an efficiency of 20-30 mN/kW for an ion engine,
what is currently used for some NASA space missions [13]. Recently, exciting progress
251
____________________________________________________________________________________________
has been made which may directly lead to the physical creation of the first magnetic sail
[13-16]. The original M2P2 concept advocated a very compact configuration with a coil of
0.1m in diameter and a 3-cm-diamter helicon plasma source. Although many papers insist
that the magnetic field inflation based on such a weak magnetic field generates only
negligible thrust, the analyses derived by Asahi indicate that the revised M2P2 (MPS) with
an over 10-m-diameter coil can produce a strong interaction between the inflation plasma
and the magnetic field under the condition of rLi<<L. Since the optimum thrust performance
available for the M2P2/MPS sail has not been established yet, further research is required
[8].
Figure 18 Principle of magneto-plasma sailing with Magnetic field inflation by

plasma injection (adapted from Funaki et al [8-10], Yamakawa et al [30], and Ashida
et al [31]. (a) Three-dimensional image of the plasma flow and magnetosphere of
MagSail. (b) A schematic illustration of the trajectories of charged particles at the
magnetopause; ions and electrons incident on a boundary layer when the
polarization electric field due to charge
; (c) Schematic representation of (a).
Following Funaki [32], flight system study and mission analyses are also important to
show the feasibility of plasma sail. In addition to the spacecraft guidance method in a
radial acceleration [33], electromagnet system should be studied in detail; until now, only
rough estimations are conducted [34-36]. The Principle of magneto-plasma sailing with
Magnetic field inflation by plasma injection developed by Funaki et al [8-12], Yamakawa et
al [30], and Ashida et al [31], is shown in Fig. 4. When MagSail is operated in
interplanetary space, charged particles approaching the current loop are
decelerated/deflected according to the B-field they experience (Funaki & Yamakawa [8]). If
the interacting scale length between the plasma flow and the magnetic field is large as in
252
____________________________________________________________________________________________
the cases of some magnetized planets like Earth and Jupiter, a magnetosphere (a
magnetic cavity or a magnetic bubble) is formed around the current loop. Due to the
presence of the magnetosphere, the supersonic solar wind flow is blocked and
decelerated being accompanied by a bow shock; a wave-drag force is then transferred to
the coil current through electromagnetic processes (Nishida et al. [37]). Thus the MagSail
spacecraft is accelerated in the direction of the solar wind.
Zubrin’s large spacecraft design with a large hoop coil of 30 km in radius forms 100 km-
radius blocking area (corresponding to 20-N-class thrust). For such a large
magnetosphere (or equivalently, a large stand-off distance, L), fluid-like interactions
depicted in Fig. 5 in analogy to the geomagnetic field are expected. In contrast, ion or
electron kinetic movement becomes important for a smaller L below the ion Larmor radius
(rLi). For the MagSail with a large rLi /L value, coupling between the ion flow and the
magnetic field becomes loose, leading to only negligible thrust production.
Figure 19 Schematic diagram of the Magnetosphere created by a MagSail

spacecraft; a. Magnetosphere of MagSail; b. Schematic diagram of the propulsive
thrust direction of MagSail (adapted from Funaki et al, [10]); c. Thrust as a function
of Larmor radius as studied by Funaki and Yamakawa, [8]; d. B-field distribution
along stagnation line (dashed line A in a) (adapted from Funaki and Yamakawa, [11,
38])
253
____________________________________________________________________________________________
Although many theoretical works are going to study the effect of magnetospheric size
(L) on the thrust of the MagSail (Fujita [39]) and its derivatives (Winglee et al.[6]; Khazanov
et al. [8]), such a complicated plasma flow in a transitional regime between the MHD scale
and the ion kinetic scale will be more confidently treated by a scale-model experiment.
Funaki et.al. [10] are among the first who discussed the most important scaling
considerations that characterize the plasma flow of the MagSail. Funaki et.al. [10]
developed experimental simulator of the magnetic sail, and introduced some initial test
results, which help the understanding of the plasma flow structure of the MagSail.
Plasma sail propulsion based on the

plasma magnet is a unique system that taps
the ambient energy of the solar wind with
minimal energy and mass requirements
(Slough [39]). The coupling to the solar wind
is made through the generation of a large-
scale (~> 30 km) dipolar magnetic field.
Unlike the original magnetic sail concept, the
coil currents are conducted in a plasma
rather than a superconducting coil.
Figure 20 Slough Plasma Sail
driven by a Rotating Magnetic Field In this way the mass of the sail is reduced
(adapted from Slough [39]) by orders of magnitude for the same thrust
power. In a further work, Slough [39] developed a plasma magnet consisting of a pair of
polyphase coils that produce a rotating magnetic field (RMF) that drives the necessary
currents in the plasma to inflate and maintain the large-scale magnetic structure. The
plasma magnet is deployed by the Lorentz self-force on the plasma currents, expanding
outward in a disk-like shape until the expansion is halted by the solar wind pressure.
Unlike a solid magnet or sail, the plasma magnet expands with falling solar wind pressure
to provide constant thrust. But the singularly most important aspect of the plasma magnet
is the possibility of achieving very high (multi-Megawatt) thrust powers, enabling manned
interplanetary travel with only minimal resources, and no need for massive nuclear
sources and shielding.
The plasma magnet of the MagSail has the advantages of directly maintaining a large
scale magnetic structure, but the dipole currents are carried in a plasma. Like M2P2, for a
given amount of on-board power and fuel, the amount of thrust power that can be attained
can be several hundred times that of current propulsion systems without the size and
254
____________________________________________________________________________________________
power limitations imposed by a small dipole coil [39]. The ultimate spacecraft speed
powered by the plasma magnet is that of the solar wind (350 to 800 km/s) which is orders
of magnitude higher than the Isp limitations of existing plasma thrusters. The plasma
magnet acts similar to a balloon (or magnetosphere) in that it will expand as the solar wind
dynamic pressure decreases with distance from the sun. It will provide a constant force
surface and almost constant acceleration to the spacecraft as it travels into the solar
system.
The rotating magnetic field (RMF) that maintains the large-scale dipole currents can be
constructed out of copper tubing, and driven by a simple oscillating tank circuit that
operates at very high efficiency [39]. Even though the plasma may be more resistive than
the superconducting wires of the MagSail, the huge difference in cross sectional area that
the plasma subtends minimizes the additional power requirement. The principle of Plasma
Sail driven by a Rotating Magnetic Field is exhibited in Fig. 6 The steady confining dipole
field shown is produced by azimuthal currents driven in the plasma. The two pair of saddle
coils (red and blue) carry RF currents that are phased to produce a magnetic dipole field
that rotates in the equatorial plane.
Scaling Parameter of MagSail
Similarity law for MagSail is elaborated after introducing two important scaling lengths,
ion Lamor radius and skin depth. Charged particles moving within a magnetic field will
revolve at the gyroradius or Larmor radius. At higher energies such oscillations give rise to
what is termed "magnetobremsstrahlung" or synchrotron radiation. This circular
component of the motion of electrically charged particles moving in a magnetic field gives
rise to the helical shape of Birkeland currents (Scott, [40]).
Magnetospheric boundary is schematically illustrated in Fig. 5. When charged particles

impinge on the magnetospheric boundary from outside the magnetospheric boundary, ions
can enter deep into the magnetosphere; electrons are trapped and reflected back to the
sun direction at the surface of the boundary (Fig. 5b). The penetration depth of ions is
comparable to ion Larmor radius
mi usw
rLi = (40)
e 2Bmp
where rLi=72 km if mi=1.67x10-27 kg, usw=400 km/s, e=1.6x10-19 C, and Bmp=29 nT [11, 38,
40, 41]. At a given value of v⊥, the Larmor radius at which the particle will gyrate will be
255
____________________________________________________________________________________________
mv
rL = (41)
qB
Density structure from an MHD simulation a) on a global scale with solar wind flow lines
that divert around magnetopause and with locations of bow shock and magnetopause and
b) near region of the source with magnetic field lines (Khazanov et al, [8]). The solar wind
is a supersonic plasma flow (Richardson and Schwadron [26]), and it consists of
collisionless particles, with typical mean free path of about 1 AU. These features are
described by high Mach number, M > 1 as well as very high magnetic Reynolds number,
Rm >>1. M and Rm are defined as follows:
usw
M= (42)
 RTSW
Rm = 0 usw L (43)
where  is electric conductivity, R is gas constant,  is specific heat ratio, and 0 is

permeability in vacuum. Putting typical plasma velocity and temperature of the solar wind
(usw=400 km/s and Ti~10 eV) into the above equation, M~8 is obtained. Also, the
assumption of Coulomb collision gives  =2x104/Ωm and Rm~108 for L=10 km; rLi/L, and 
/L are defined, making four non-dimensional parameters in total introduced. The
parameters Rm, rLi/L, and  /L, are functions of the size of the magnetosphere, in which L
was selected as 10 km<L< 100 km in the present study. Corresponding non-dimensional
parameters are 0.72 <rLi/L < 7.2, which is in contrast to the MHD scale requiring rLi/L<<1),
and lastly,  /L < 0.03 (the skin depth is much smaller than L) [19].
Thrust of Magsail
The large loop of superconducting wire carrying current is the heart of a MagSail-based
spacecraft thrust generator. The artificial magnetic field generated by the current deflects
the charge particles from the solar wind thus producing a propulsive thrust. The
fundamental equation the propulsive thrust as depicted in Fig. 5 and Fig. 6 can be derived
using the relationships elaborated below. Analogous to the drag generated in
aerodynamics, the force exerted on the MagSail current loop depends on the area
blocking the solar wind. The force on the coil of a MagSail can therefore formulated as,
256
____________________________________________________________________________________________
1
Fsw = CD  swusw 2 S (44)
2
1
where CD is thrust coefficient,  swusw 2 is the dynamic pressure of the solar wind, and S is
2
the blocking area. In (5), sw = mi n is the density of the solar wind, mi is the mass of an
ion, n is the number density, and usw is the velocity of the solar wind. Hence:
1 1
 swusw 2 = nmi usw
2
(45)
2 2
Following Funaki et al [10, 12], the blocking

area is estimated to be S=L2, where L is the
characteristic length, which is the distance
between the stagnation point and the center of
the coil, as depicted in Fig. 6. The standoff
distance is chosen as the characteristic length
L,. L is derived from a pressure balance at the
stagnation point (Schield, [42], Kare [43]) as
(a)
( 2B )
2
=
mp
nmi u 2
or
2 0
sw
Bmp = usw 0 nmi / 2 (46)
where Bmp is expressed using the magnetic

moment, Mm, given by
0 M m
Bmp = (47)
4 L3
(b)
Figure 21 Theoretical prediction of

The standoff distance L is then is given by
MagSail produced thrust calculated 1/ 6
 0 M m 2 
=  Yamakawa,
using (10); a. Funaki Land 2  [8, (48)
 8 nmi usw 
2
38]; b. Djojodihardjo and Aziz, [47, 48].
which is the magnetospheric size and is analytically calculated from the force balance of
the magnetic pressure and the solar wind dynamic pressure. The correlation between L
and F is given by
257
____________________________________________________________________________________________
1
F = Cd  usw 2 L2 (49)
2
or
1 1/ 3
Fsw = CD ( nmi ) usw4  0 M m 2
2
(50)
4
or
1/ 3
1 4  I 2r 4 
Fsw = CD  sw 0 usw 3  c 
2  8nmi 
(51)
in which Cd in (12) is a fitted curve to

numerical simulation results (Fujita, [44]).
Thrust given by (10a,b,c) is plotted in Fig. 8
which shows the variation of produced
thrust as a function of the radius of the
blocking area or characteristic length of
Fig. 22 Thrust characteristics of the flow around MagSail. As elaborated in
small (full-PIC) to large (MHD) [10, 12, 45, 46], L=20 km is required to
magnetic sails (adapted from Ashida obtain ~1 N, which will be suitable to
et al, [31]) accelerate a 1-ton-class deep space
explorer.
Thrust control is one of the critical issues

in the use of MagSail for space travel. The key of the thrust control of MagSail is the
plasma injection. The M2P2/MPS (Mini-Magnetospheric Plasma Propulsion (M2P2) sail
uses an artificially generated magnetic field (Funaki and Yamakawa, [8, 38]) inflated by a
low-energy plasma injection.
This injection will deploy the magnetic field in space over large distances (in comparison
to pure MagSail) with the B-field strengths that can be achieved with existing
electromagnets or superconducting magnets technology. On the other hand, the thrust
direction of the magneto-plasma sail is constrained to within a certain range from the
258
____________________________________________________________________________________________
opposite direction from the Sun, which will severely limit the applicability of the magneto-
plasma sail to deep space missions. In reality, the injected plasma flux depends on the
electrical power available from the solar cell which is inversely proportional to the square
of the distance from the Sun.
System of Forces acting on the spacecraft due to the Sun and the Earth
The angle of attack α and steering angle  are defined on the basis of the solar wind (z-
axis) direction as shown in Fig. 9 (Ashida et al [31]). For planetary transfer study, i.e. for
orbit much larger than the geostationary orbit, only the force from the Sun is taken into
consideration; the gravitational force from the Earth is neglected. Following Ashida et al
[31], α=0 ° means that the
magnetic moment of the coil is
parallel to the solar wind
direction, and α=90 ° means
that the magnetic moment is
perpendicular to the solar wind
direction.
The absorbing boundary

Figure 23 (a). Definition of angle of attack α and condition is set for the
steering angle  for Magnetic Plasma Sail electromagnetic field in all
(MPS/M2P2). Note that (b) is referred to as the boundaries. Ashida [33] and
perpendicular case (α = 90 deg, adapted from Ashida et al [16, 31] found that
Ashida [33] and Ashida et al, [31] and (c) is the thrust of small-scale
referred to as the parallel case (α = 0 deg). magnetic sail is approximately
proportional to magnetic moment, solar wind density and solar wind velocity. The solar
wind particles flow into the computational domain from the inflow boundary with typical
solar wind velocity and thermal distribution. By way of example, simulation results of
artificial plasma injected from the injection source grid near the coil for the MagSail (or
Magneto Plasma Sail, MPS) are shown in Fig. 10 (Ashida et al, [31]). In the parallel case,
the magnetic moment of the coil is parallel to the z-axis and, in the perpendicular case, the
magnetic moment of the coil is directed to the y-axis.
Since solar wind pressure has inverse square variation with altitude (or radius), (51)
becomes:
259
____________________________________________________________________________________________
2
 1AU 
Fsw = Peff   Acos 
2
(52)
 r 
where Peff is solar wind pressure for perfectly reflecting Solar Sail at 1AU distance from
the Sun. Then the pressure becomes:
Peff = 2P1AU = 2 ( 2.05nPa ) = 4.1nPa (53)
Force on the current loop depends on the area blocking the solar wind. By increasing the
size of the magnetosphere, large blocking area hence large thrust is available. Force on
the MagSail is given by (10a), (10b) or (10c). Analogous to the case of Solar Sail
(McInnes. [46]), the equation of motion for planetary travel of MagSail Spacecraft can be
formulated in similar fashion.
Then in an analogous way and using Ashida et al's results [31], the total solar magnetic
plasma wind force acting on a perfectly reflecting MagSail can be calculated as:
1 
Fn = CD  V 2   L2 ( cos  MagSail ) (54)
2 
For gravitational acceleration

considerations, MagSail loading σ can be
defined as the Gravitational Attraction
loading per unit area, or the total mass
divided by sail area, so that σ is given as (in
[g/m2]):
m
 MagSail = (55)
A
Adopting the value of the MagSail magnetic
Figure 24 Solar Wind Pressure
moment of the coil into the relationship, the
Compared with MagSail Magnetic
loading per unit area MagSail is defined as:
Pressure, N/m2 as a function of Solar
Wind Speed and Density (Zubrin and massMagSail
Martin [4], Djojodihardjo and Aziz [47,  MagSail = (56)
 L2
48])
In an analogous manner, using appropriate
260
____________________________________________________________________________________________
date [31], Fig. 11 is obtained. This value can be utilized as a baseline for parametric study
calculation
Mass / Blocking Area = 1000 kg / ( p.10 2 )km2 (57)
The minimum mass of such a coil is constrained by material strength limitations at
Table 1 Magnetic sail design parameters for

orbital analysis [33]
roughly 40 tons and it would generate 70 N (16 lbf) of thrust, giving a mass/thrust ratio of
600 kg/N.
Mass / Thrust Ratio = 600 kg / N (58)
Defining characteristic length of the magnetosphere as L, so that S=L2, correlation

between L and F is derived. One may notice that about L=10 km is required to obtain 1 N,
which will be suitable for a 1,000-kg-class deep space explorer (Funaki and Yamakawa,
[11, 38], Yamakawa et al [31], Funaki et al [45, 46]).
The idea to make a large magnetosphere by a compact coil diameter (~several meters)
with a plasma jet was proposed instead of employing a largescale coil (Funaki et al [45,
46], Nagasaki et al [36]) in the mini-magnetospheric plasma propulsion (M2P2) or Magneto
Plasma Sail (MPS). The main difficulty in capturing the solar wind is the inflation of the
relatively minuscule dipole field [32]. The conditions required for inflation can be readily
derived [32], but it can be seen that the magnetosphere must be inflated by plasma
pressure, and the amount of expansion is directly proportional to the source plasma “beta”
– the ratio of plasma energy to the local magnetic field energy, or β = nkT/(B2/2μ0). This
261
____________________________________________________________________________________________
makes for a significant challenge in that a local source of high β plasma will be difficult to
sustain during initial inflation at magnetic fields high enough to generate a multi-kilometer
size M2P2.
Propulsive Characteristics and Trajectories
A preliminary spacecraft design is shown based on the concrete orbit plan taking the
Jupiter flyby mission as an example, as described by Yamakawa et al [30] by assuming
logarithmic spiral trajectories [49, 51]. As the trajectory is a direct transfer from the Earth
to Jupiter without planetary swing-by, the flight time was found to be only 2 years and 3
months. In this example, the magneto-plasma sail is turned on up to a distance of 4AU
from the Sun. A comprehensive impression on the Propulsive Characteristics and
trajectories of Magneto Plasma Sail (MPS) can be obtained from the study of Ashida [33].
In Ashida [33] study, the plasma flow around Magnetic Sail and Magneto Plasma Sail is
simulated from the ion inertial scale, where ion Larmor motion is comparable with the
artificial magnetosphere size, to the electron inertial scale, where electron Larmor radius
and Debye length are comparable with the magnetosphere size. Three-dimensional Flux-
Tube model, two-dimensional Full-PIC model developed to incorporate the electron kinetic
effects. Three-dimensional Full-PIC model have been simulated to reveal the scaling law
of the propulsive characteristics of Magnetic Sail and Magneto Plasma Sail. The thrust of
magnetic sail is approximately proportional to the magnetic moment of onboard
superconductive coil on the electron inertial scale even though the thrust is approximately
proportional to the 2/3 power of the magnetic moment on the ion inertial scale. The
empirical formula of thrust was obtained by the combination of Flux-Tube model and Full-
PIC model. These propulsive characteristics were shown to be attributable from the finite
Larmor motion and charge separation between ion and electron. In Ashida’s simulation,
the thrusts on the electron inertial scale and the ion inertial scale are proportional to the
1.15 power of number density and the 0.67 power of number density, respectively. These
propulsive characteristics give rise to the difference in the flexibility of the interplanetary
flight missions by magnetic sail since the average plasma density is inversely proportional
to square of the sun-spacecraft distance. Large 3D full-PIC simulations by using the
parallel computing techniques and the huge computational resource by Ashida [33]
revealed that the thrust of a small-scale magnetic sail is determined by the magnetic
moment M of the spacecraft onboard coil as the main design parameter of the spacecraft,
the solar wind parameters (density NSW and velocity VSW), and the angle of attack α on the
electron inertial scale.. Ashida [33] shows that the thrust of small-scale magnetic sail is
262
____________________________________________________________________________________________
approximately proportional to magnetic moment, solar wind density and solar wind
velocity, respectively. To study to be the demonstrator spacecraft, trajectories of the small-
scale magnetic sail with various thrust-mass ratio and initial velocity has been optimized.
Realistic interplanetary missions were estimated by considering three different spacecraft:
magnetic sails, i.e. a Magnetic Sail with the solid coil (Rcoil= 2 m), the second with an
expansion coil (Rcoil = 100 m) and the third an MPS with an expansion coil (Rcoil = 10 m
and thrust increase is 97 times). Their different thrust characteristics (steering angle and
thrust-mass ratio) are shown in Table 1. As for the superconducting coil system, Nagasaki
et al. examined the optimization to magnetic sail [36]. The trajectories of the magnetic sail
spacecraft from Earth were obtained by numerically integrating the relevant governing
equations [33, 44, 45] in a two-dimensional Cartesian coordinate system, assuming
constant mass (since the specific impulse of the magnetic sail is infinite and no fuels are
consumed). In addition to the radial thrust the magnetic sail can also generate the
tangential thrust for accelerating the spacecraft along its trajectory.
Figure 25 Trajectories of the small-scale magnetic sail when the spacecraft escapes
from the gravitational sphere of Earth at (X, Y) = (1, 0) when (a) bound for Jupiter
with an initial velocity of Vy = 3000 m/s and (b) bound for Mercury with an initial
velocity of Vy = -3000 m/s, and steering angle set to 0 and 20 deg. The dotted line
represents the spacecraft trajectory until the flyby [33].
Fig 12 worked out in [33] illustrates the trajectories of the small-scale magnetic sail
when the spacecraft escapes from the gravitational sphere of Earth bound for Jupiter (a)
and bound for Mercury (b). The spacecraft exhibits gradually increasing eccentricity and
finally reaches Jupiter after 59 years [33]. For the inner planetary orbit to Mercury, due to
263
____________________________________________________________________________________________
larger thrust since the solar wind density is higher than that in the outer planetary orbit, the
small-scale magnetic sail launched with a small-scale initial velocity is able to reach
Mercury in 4.2 years without any fuel (Fig. 12b) when the thrust vector is controlled. The
spacecraft cannot reach Jupiter or Mercury in 100 years without thrust vector control.
Under the assumption of γ = 20 deg, the magnetic sail produces tangential acceleration in
addition to radial acceleration.
An overall impression of the significant features of MagSail, M2P2, Slough Rotating

Magnetic Field - Plasma Magnetic System, and Magneto-Plasma-Sail is summarized in
Table 2. The great promise of the plasma sail was recognized with the introduction of the
M2P2 concept, although a sufficient understanding of the underlying physics to make the
transition from concept to actuality needs to be developed. The transition from a laboratory
experiment to demonstration has not been satisfactorily elaborated. However, better
understanding of the relevant physics can be gained.
Magnetic Plasma Sail
Mini-magnetospheric plasma propulsion (M2P2) is a novel propulsion scheme proposed

by Robert Winglee [6]. The method makes use of the ambient energy of the solar wind by
coupling to the solar wind through a large-scale (~ > 10 km) magnetic bubble or
minimagnetosphere. M2P2 is analogous to the solar and magnetic sails in that it seeks to
harness ambient energy in the solar wind to provide thrust to the spacecraft.
The technical and material problems that have beset existing sail proposals are removed
from the problem
The method makes use of the ambient energy of the solar wind by coupling to the solar
wind through a large-scale (~ > 10 km) magnetic bubble or minimagnetosphere. M2P2
harness ambient energy in the solar wind to provide thrust to the spacecraft by making use
of the ambient energy of the solar wind by coupling to the solar wind through a large-scale
minimagnetosphere
MagSail (among others)
264
____________________________________________________________________________________________
Inspired by the ideas of MagSail and its derivatives, many new sail propulsion system are
advocated. Khazanov and Akita proposed the usage of solar radiation to enhance thrust
by MagSail (Khazanov et al., 2005 and Akita and Suzuki, 2004). Also, Slough proposed a
way to capture the solar wind momentum by using a rotating magnetic field, and the new
system is called ‘the plasma magnet’ (Slough, 2005). The plasma magnet is already
accessed by laboratory experiment (Slough, 2007). In 2004, Janhunen proposed a
completely new idea using the solar wind, which has a set of thin long wires being kept at
a high positive potential so that the wires repel and deflect incident solar wind protons and
it is called as electrostatic sail (Janhunen, 2004; Janhunen & Sandroos, 2007). These
ideas are not so matured to proceed to a flight demonstration in space, but attractive solar
wind sails that are competitive against the existing thruster technology is emerging.
SOLAR ELECTRIC SAIL OPERATION PRINCIPLE
Outside of Earth's magnetosphere, the E-sail can provide propulsive thrust almost
everywhere in the solar system. The only restrictions are that the thrust direction cannot be
changed by more than ~_30o and that inside giant planet magnetospheres special
considerations are needed. The E-sail thrust magnitude decays as ~ 1/r where r is the
solar distance. Notice that the E-sail thrust decays slower than photonic sail and solar
electric propulsion thrust because the latter ones decay as 1/r2. This is due to the fact that
while the solar wind dynamic pressure decays as 1/r2, the effective area of the sail is
proportional to the electron sheath width surrounding the tethers which scales similarly to
the plasma Debye length which in the solar wind scales as ~ r. Since the E-sail thrust is
proportional to the product of the dynamic pressure and the effective sail area, it scales as
1/r. The obtainable performance (characteristic acceleration) depends the fraction the E-
sail propulsion system forms the spacecraft total mass. There is also a practical upper limit
of E-sail size beyond which complexity would increase and performance would drop. At
present level of technology this soft limit is likely to be ~ 1 N thrust at 1 -AU solar distance.
It should be noted that as far as orbital dynamics is concerned, the only parameter
affecting the result is the characteristic acceleration generated by the sail spacecraft which
means that the E-sails in the same category would have identical performance due to their
common characteristic acceleration. The objective of current work is to compare how
selected technologies being developed recently may perform in reaching the space travel
objectives.
Using existing technology, it seems possible to build an electric sail of  1N thrust, 

100 kg mass and  10 year lifetime. In terms of lifetime produced impulse per unit
propulsion system mass, such a near-term and general-purpose device would be about
265
____________________________________________________________________________________________
1000 times more efficient than a chemical rocket and about 100 times more efficient than a
contemporary ion engine. This level of performance is enough to enable a host of
important applications, such as in situ measurements in interstellar space, sample return
from most solar system targets, non-Keplerian orbit probes for space weather forecasting
and helioseismology and economical utilisation of asteroid resources (Janhunen [6]). Here
we present physical arguments and test particle calculations indicating that in a realistic
three-dimensional electric sail spacecraft there exist a natural mechanism which tends to
remove the trapped electrons by chaotizing their orbits and causing them to eventually
collide with the conducting tethers. Janhunen presents calculations which indicate that if
these mechanisms were able to remove trapped electrons nearly completely, the electric
sail performance could be about five times higher than previously estimated, about 500
nN/m, corresponding to 1N thrust for a baseline construction with 2000 km total tether
length (Janhunen [7])
Figure 26 (a) E-sail schematic view; (b) Schematic description of the original
spinning, positive polarity electric sail; (c) Artist’s impression of an electric solar
wind sail showing the spacecraft from which dozens of tethers (green) are
deployed. The whole structure rotates in a cartwheel fashion around the spacecraft
to keep the tethers centrifugally stretched. Also shown are solar wind particles
(protons [+] and electrons [e−]) and their tracks affected by the electric charge of
the tethers ((adapted from [1,2,4,5])
266
____________________________________________________________________________________________
The electric sail as depicted in Figure 1 is a propulsion concept that, similar to a more
conventional solar sail, allows a spacecraft to deliver a payload to some high-energy orbit
without the need for reaction mass.
The spacecraft is spun around the symmetry axis and the rotational motion is used to
deploy a number (e.g., 50–100) of long and thin conducting tethers which are held at a
high positive potential by an onboard electron gun [31-32], which is typically solar-
powered, whose electron beam is shot roughly along the spin axis. The electric sail is
similar to the magnetic sail [21-18] in its use of the solar wind momentum flux as a thrust
source. The electric sail is also similar to an ion engine in its use of electric power to
generate thrust and to electrodynamic tether propulsion in its use of long, conducting
tethers. In spite of these similarities, however, the electric sail differs fundamentally from
these propulsion methods in that it is based on a unique propulsion concept that utilizes
Coulomb drag interaction between charged tethers and the solar wind as its underlying
physical principle.
In its original form [1], the electric sail was envisioned as a large wire mesh of thin
conducting wires and placed across solar wind flow (as redrawn in its basic configuration
in Figure 2), whose mesh spacing is of the order of the plasma Debye length and which is
kept in a high positive potential V0 with an onboard electron gun. Such a mesh would form
an impenetrable obstacle for solar wind protons for up to some threshold solar wind
plasma density which also depends on the mesh potential. Solar wind electrons bombard
the wire mesh to neutralize the positively charged wires attract electrons. Therefore,
electrons should be continuously “pumped” out of the structure by attaching it to a voltage
source whose other end is connected to an electron-emitting device. The resulting electron
current is proportional to the total surface area of the wires and also proportional to √V0
and must be expelled by the electron gun.
If the mesh is kept at a positive potential with respect to the solar wind plasma, an
outward electric field sets up around each wire whose spatial scale size is comparable to
the Debye length of the plasma. If the mesh spacing is of the same order as the Debye
length or smaller and if the mesh is kept at a potential V, such that eV exceeds the kinetic
energy of the solar wind protons (about 1 keV), the incoming solar wind protons see the
mesh as an impenetrable barrier. The potential should be assured to be sufficiently high
(Janhunen assumes V =6 kV, say).
As a by-product they also attract electrons, but since the solar wind plasma and also the
resulting electron sheath surrounding the tether is highly collisionless, the number of
electrons actually hitting the tether is small provided the tether is thin. Typically, the tether
267
____________________________________________________________________________________________
is composed of four 20-μm diameter interconnected redundant wires (Fig. 1) for

micrometeoroid-resistance and the tethers are kept at _ 20 kV potential, which requires _
500 W of electric power for 50-100 tethers of 20-30 km length.
Actually, the sail need not form an impenetrable surface for solar wind protons; it is
enough if the sail wires are able to deflect them to some extent. The situation where the
wires are so far apart that that the protons always leak through between them is optimal
because then there are never any superfluous wires so that all mass in the wires is in
maximal use, and the situation remains the same over a wide range of plasma densities.
Figure 27 Schematic of the electric sail [1]. Left: The original idea of an electric sail
as a large wire mesh whose mesh spacing is of the order of solar wind plasma
Debye length [1]. This version would be difficult to deploy and the mesh spacing
would be optimised for one particular solar wind density only. Right: Basic
schematic of an electric sail in operation Technically realisable version of the
electric sail which consists of a set of rotating, charged tethers. Each tether forms
an electric influence region around itself where solar wind proton trajectories are
deflected and the tether experiences a push from the solar wind which depends on
the tether’s potential. Bottom: Model of four-line micrometeoroid-resistant
“Hoytether” [28 - 31]. The structure as a whole does not break if and when
micrometeoroids cut some wires. The structure width is ~ 2 cm and the wire
thickness ~ 20 μm.
268
____________________________________________________________________________________________
Janhunen stipulates further that the practical electric sail consists of a number of long,
thin, conducting tethers which are kept in a high positive potential by an onboard electron
gun. In a full-scale mission the number of tethers is typically 50-100, their length 20 km,
the tether potential up to +20 kV and the electron gun power needed to maintain it ~ 500
W. In order to be resistant to micrometeoroids, the tethers are made of multifilament
Hoytether-type structure [33-36], the bottom Figure of Figure 2. The Hoytether width is
typically ~ 2 cm and it is made of 20 μm wires [1,2, 28 - 31].
With these numbers the electric sail gives ~ 0.1-0.2 N thrust at 1 Astronomical Unit (AU)
distance from the Sun. The thrust force decays as ~ 1/r7/6 where r is the distance from the
Sun [3, 32]. The tethers are kept stretched by rotating them with spin period of ~ 20
minutes. With these parameters the yield strength requirement due to the centrifugal force
becomes 210 MPa, assuming copper wires and the worst case where micrometeoroids
have broken all but one of the wires at a point which is close to the root of the tether. Metal
wires are industrially available whose yield strength is 1 GPa and more so the strength
requirement can be handled.
The dynamic pressure of the solar wind is on average about 2 nPa at 1 AU distance
from the Sun. This is about 5000 times less than the radiation pressure of the solar
photons, which is the momentum source used by the solar sail. Thus, at first sight it would
appear that utilising the solar wind dynamic pressure with an electric sail is much more
difficult than building a solar photon pressure sail with equal performance (acceleration,
i.e. force per mass). However, compared to a solid, two-dimensional membrane surface, a
charged, thin tether can be built extremely lightweight per effective sail area produced.
This is because the effective “electric width” of a charged tether is about 20 m (a few times
the plasma Debye length in the solar wind where the coefficient depends on the potential)
which is of the order of million times larger than the physical thickness of the wire (20 m).
Thus, an electric sail can have a higher performance than a currently deployable solar sail,
even though it uses a thrust source whose areal density is 5000 times smaller.
A typical electric sail would take the electricity needed to power its electron gun from
ordinary, modest-size solar panels. Like the solar sail, it has infinite specific impulse and
the duration of the propulsive action is limited only by physical breaking of the equipment
or manoeuvring of the spacecraft far from the Sun.
Between the spacecraft and each of the tethers there is a potentiometer (tunable
resistor) which allows each tether to be in a slightly different potential. Because the thrust
magnitude depends on the tether potential, this gives a way to control the thrust
experienced by each tether individually. The whole tether spinplane can be turned by
269
____________________________________________________________________________________________
modulating the potentiometer settings by a sinusoidal signal which is synchronised to the

rotation period. The phase of the signal determines the direction into which the spinplane
turns and its amplitude determines how fast the turning occurs. A mechanical simulation
program has been written to demonstrate this.
Due to prevailing uncertainties, there are possibilities that one of the tethers start to
rotate with slightly higher or lower angular speed than the other tethers, which may lead to
a collision of two neighbouring tethers. One possibility to avoid such situation is to slightly
reel in or out the offending tether in order to slightly increase or decrease its angular
speed, respectively. To that end, such maneuver should be engineered.
To acquire initial angular momentum, different approaches can be taken. The most
straightforward deployment procedure is to use a pair of small chemical rockets mounted
on tips of rigid booms of some tens of metres long for producing torque. The spinup fuel
tank, booms and rockets can be jettisoned after the deployment is complete, so they do
not affect the performance of the final flying package, although they do increase the mass
which must initially be launched from the Earth. The needed fuel is inversely proportional
to the length of the spinup booms.
➢ The tether width for a typical electric sail application is about 2 cm and is composed
of wires for which the diameter is 20 m.
➢ Successful tests conducted recently (July 2007) at the University of Helsinki have
verified the feasibility of bonding a 25-m-diam wire.
➢ A diameter value of 20 m for the electric sail wires appears compatible with the
current or near-term technology.
➢ Assuming a 100-kg spacecraft with 100 such tethers, each being of 10-km length,
the electric sail provides about 0.1-N thrust at 1-AU distance from the sun. Unlike
solar sails, for which the propelling thrust varies as the inverse square distance from
the sun, the electric sail thrust force decays as (1/r)^7/6 .
➢ Once deployed, the tethers are maintained stretched by rotating the spacecraft with
a spin period of about 20 min and lie on the same plane (the spin plane).
➢ The electricity needed to power the electron gun is obtained from conventional,
modest-sized, solar panels.
270
____________________________________________________________________________________________
Figure 28 Schematic of the electric sail in orbit around the Sun [1]
SOLAR ELECTRIC PROPULSION PRINCIPLE
Estonia plans to launch a CubeSat into space in early 2019 aiming to test advanced
technologies, including a plasma brake for deorbiting satellites and electric sail propulsion.
The mission, named ESTCube-2, will serve as a prototype of Estonia's future moon-
orbiting spacecraft.
E-Sail Technology roadmap
The E-sail and the plasma brake have a lot of technical synergy. The baseline concept is
that the interplanetary E-sail uses positive voltages, electron gun and multiple centrifugally
stabilised tethers while the plasma brake uses vertical gravity stabilised tether(s), negative
voltage and no electron or ion gun (a relatively small conducting object being enough to
gather the balancing electron current in that case). However, it is not impossible to
combine the elements of the technology also in other ways.
One LEO CubeSat experiment (ESTCube-1) is already in orbit and another one (Aalto-1)
is being built. If these experiments are technically successful, they will demonstrate
deployment of 10 m and 100 m tether, respectively, and will measure the strength of
negative and positive polarity Coulomb drag effects in LEO plasma conditions.
Our current plan for the next step is to fly a 3-U CubeSat experiment (ESTCube-3) in solar
wind intersecting orbit which measures the E-sail effect with a 1 km long tether using 5-10
kV voltage. Because launch opportunities to solar wind intersecting orbit (for example a
271
____________________________________________________________________________________________
lunar orbit) are less frequent than ordinary LEO CubeSat launches, to ensure mission
success we plan to prove the satellite's technologies by first flying an identical satellite
(ESTCube-2) in LEO. ESTCube-2 also naturally demonstrates a 1 km long plasma brake.
After ESTCube-3, we will have a measurement of the strength of the E-sail effect in the
actual environment (solar wind), a demonstration of deploying a 1 km long tether and a
demonstration of using the E-sail effect for spacecraft propulsion.
After ESTCube-3, we need an E-sail \pathfinder" mission (comparable to SMART-1 in its

philosophy) which tests the use of E-sail propulsion for going to some target and carries
some payload. For example, it could be a NEO mission equipped with imaging
instruments.
(a) Helio-Gyro-Solar Sail
(b) HELIOS heliogyro technology flight demonstration reference concept
272
____________________________________________________________________________________________
(c) JPL Comet Halley rendezvous heliogyro solar sail concept. Membrane blades are
7.5 km long
Figure 29 Some impressions of HelioGyro-Solar Sail
Figure 30 Helio-Gyro Sail Blades Structural Dynamic Analysis
PROPULSION AND THRUST MODELING
Basis of Solar Wind Electric Sail Propulsion
The mathematical models used in the baseline studies have assumed that:
a) The velocity of the solar wind is constant
b) The sail thrust direction can be turned without reducing the total thrust magnitude
c) The velocity of the sail is always a very small fraction of the velocity of the wind
273
____________________________________________________________________________________________
Thruster Mathematical Model
Model considered: a tether of length L charged at a potential V and plunged in the solar
wind. The electric field generated around the tether interacts with the solar wind in such a
way that a small thrust is obtained. It may be shown [2] that the propulsive force per unit of
tether length is
6.18m p vsw 2 n 0Te

F = (59)
 m p vsw 2  2  0Te  
e exp  ln   − 1
 eV  rw ne2  
where
r 
n = n    (60)
r 
and
1
r  3
T = Te     (61)
 r 
Assume a simplified approximation of considering a constant value for the solar wind
velocity [2]: vsw = 400 km/s. here n = 7:3 x10^6 m^3 is the mean solar wind electron
density at r ≜1 AU, and Te 12 eV is the corresponding mean solar wind electron
temperature.
If one neglects the dependence on r in the logarithm argument of Eq. (1), the following
approximate expression for the propulsive force is found
7
r  6
F  F  F    (62)
 r 
Hence
→ the propulsive force reduces with the sun– spacecraft distance as r(-7/6).
→ Here F is the value of F calculated from Eq. (1) when r= 1 AU.
→ Assuming a wire radius rw = 10 m, and a potential V= 12 kV [2], result shows that
the approximate thrust model of Eq. (4) matches the accurate model of Eq. (1) to
within 4% for both Earth–Venus and Earth–Mars transfers.
274
____________________________________________________________________________________________
Figure 31 Propulsive force as a function of the sun’s distance Simplified model
PROPULSION - THRUST OF SOLAR E-SAIL (a)
Consider a long positively charged wire placed in solar wind which blows
perpendicular to it to the x-direction. To calculate the force acting on the wire, it is sufficient
to know the potential pattern because from that one can easily compute the solar wind
proton trajectories numerically. For each incident proton its deflection angle tells how much
x-directed momentum the particle has lost in its interaction with the potential pattern. Only
solar wind provides a source of plasma particles, photoelectrons (energies generally below
10 eV) emitted from the wire are able to move only ~0.1μm away from the wire because of
the high surface electric field ~100 MV/m which tends to pull them back [2].
In vacuum the potential pattern around a charged wire would be
r0
ln
V ( r ) = V0 r (63)
r
ln 0
rw
where r0 is the distance where the potential is required to vanish [V (r 0)=0], rw is the wire
radius and V0 is the wire potential. The plasma electrons shield the potential and make the
potential vanish faster than the vacuum solution at high distances. We have found and will
show below in detail that the following shielded potential expression ansatz agrees very
well with our self-consistent plasma simulation results:
275
____________________________________________________________________________________________
  r 2 
ln 1 +  0  
  r  
V ( r ) = V0  (65)
  r 2 
ln 1 +  0  
  rw  
where
 0Te
r0 = 2D = 2De = 2 (66)
n0e2
where De  D is electron Debye length, Te is the solar wind electron temperature (on
average Te=12 eV at 1AU) and n0 is the undisturbed solar wind electron density n 0 (n0=7.3
cm−3 on average at 1AU). Since rw<<r0 it also holds that
  r0 2 
ln 1 +   
V0   r  
V (r ) = (67)
2 r 
ln  0 
 rw 
For r<<r0 potential (2) reduces to the vacuum formula (1) and for r>>r 0 it goes to zero as
1/r2.
From Gauß’ law we find the electron density corresponding to potential (2) as
 
 
0 1 d  e V0 
ne ( r ) = n0 + ( rV ' ( r ) ) = n0 1 +
1
2  (68)
e r dr

2 Te   
2
 
r   ln  0  
r 
 1 + 
    w  
r0  r

For r<<r0 the electron density is a constant which is typically 40–60 times higher than n0.
For r>>r0 its difference to n0 goes to zero as 1/r4.
The force per unit length acting on the wire is the solar wind dynamic pressure
Pdyn = m p n 0 v 2 (69)
276
____________________________________________________________________________________________
times the effective width of the potential structure. The effective width is proportional to the
proton stopping distance rs which must be solved from the equation
1
eV ( rs ) = mpv2 (70)
2
Thus
dF
= Km p n 0 v 2 rS (71)
dz
with K3.09
Janhunen found the given numerical value for K from a test-particle proton Monte Carlo
simulation with potential (2); in other words, Janhunen launched a number of solar wind
protons into the potential pattern and recorded their momentum change after they had
finished their interaction with the potential.
Solving the stopping distance from Eq. (5) Janhunen obtain
r0
rS = (72)
 m p v 2 r0 
exp  ln  − 1
 eV0 rw 
hence the force per unit length is finally given by
dF Km p n v 2 r0
= (73)
dz  m p v 2 r0 
exp  ln  − 1
 eV0 rw 
where r0 is given by Eq. (3). In most of the interesting range the argument of the
exponential in Eq. (8) is around unity so asymptotic formulae for Eq. (8) are not so useful
to give.
277
____________________________________________________________________________________________
Figure 32 Force per unit length according to Eq. (8) as function of voltage V0. Solid
curve is for baseline electron temperature 12 eV, dotted for 6 eV and dashed for 24
eV. Solar wind electron density n0=7.3 cm−3, velocity v=400 km/s and wire radius
rw=10μm.
Figure 1 shows the force per unit length given by Eq. (8) as function of applied voltage V0
for three different electron temperatures. The Debye length and thus r0, and approximately
also rs and dF/dz, are proportional to Te, thus higher electron temperature yields wider
electron sheath and thus larger propulsive effect.
The bulk of Janhunen’s paper is devoted to providing simulation evidence for the
hypothesis that potential (2) is a good approximation for the true potential.
In practice the wire cannot be a single filament because micrometeors would soon break it,
but it must instead consist of more than one subwires which are attached together at
regular intervals. Ways of constructing such micrometeor resistant wires are known, for
example various types of the “Hoytether” wire (Hoyt and Forward, 2001). The
perpendicular distance b between the subwires would in practise probably lie in the
millimetre to centimetre range; in any case, it satisfies rw<b<r0 where rw is the subwire
radius as before (we usually assume rw=10μm). The calculation of the effective electric
radius of such a multiple wire is given by Janhuinen .[1]
Thrust prediction and electrosphere
Based on the assertion that trapped electrons are absent, implicit equations from
which the thrust can be numerically solved were derived in Janhunen (2009b). Here we
shall present a simplified, more approximate derivation which produces a convenient
278
____________________________________________________________________________________________
closed-form result. Motivated by the above considerations, we shall assume that trapped
electrons are absent. Consider a positively charged tether with voltage V0, embedded in
perpendicularly flowing solar wind having number density no and velocity v. Solar wind
ions are repelled by the tether so ion density is zero up to some radial distance R from
which is gradually increases to the ambient value. Solar wind electrons are attracted by
the tether, but due to the conservation of angular momentum their average density is much
smaller than ambient when r < R, see e.g. (Sanmart´ın et al. 2008) and (Janhunen 2009b).
Therefore it is not a very bad approximation to assume that the electron density is zero
when r < R. In other words, in this approximation both ion and electron density are zero up
to r = R and they have the ambient value no for r > R. Then the electric field around the
tether is simply obtained the vacuum expression

E (r ) = (74)
2 r 0
where λ is the line charge of the tether (ampere per metre). The distance R is determined
from the fact that at R, the pressure of the electric field (1/2)0E2 must be equal to the solar
wind dynamic pressure Pdyn = n0mpv2 where mp is the proton mass. From these we obtain

R= (75)
2 2 0 Pdyn
The thrust per unit length dF/dz is then given by dF/dz = KRP dyn where K ≈ 3.09 is a
normalisation factor determined from test particle calculation (Janhunen and Sandroos
2007).
The only task is to relate the line charge λ to the tether potential V0. Applying formula A4
of Janhunen and Sandroos (2007) we have
2 0 (V0 + V1 )
R= (76)
 
ln  R * 
 w
r
where r*w is the effective electric width of the tether (Janhunen and Sandroos 2007),
typically r*w ∼ 1 mm. A rigorous lower bound for a multiline tether r*w is the two-wire tether
result r*w = √rwh where rw is the physical wire radius and h the tether width. We have
added the solar wind proton kinetic energy term
279
____________________________________________________________________________________________
V1 = (1/2)mpv2/e to the potential because in order to deflect the protons, the potential must
be equal to V1 at r = R. After substituting everything we obtain the thrust per unit length
dF 2.2 2.2
 (V0 + V1 )  0 Pdyn = (V0 + V1 ) v  0 n0 m p (77)
dz R  R 
ln  *  ln  * 
 rw   rw 
Typically eV0 ≪ (1/2)mpv2 ≈ 1 keV so that the V1 can be usually dropped. The quantity R is
in principle unknown and should be found by iterating the equations, but since the
dependence on R is only logarithmic, a reasonably good approximation can be obtained
by setting e.g. R ≈ 100 m.
In analogy with the magnetosphere, the term electrosphere was introduced by

Janhunen (2009b) to describe the situation. The force balance equation at r = R is
analogous to the magnetic force balance equation at the subsolar point of the terrestrial
and other magnetospheres which determines the subsolar distance of the magnetopause.
Analogously, it is natural to call the electrosphere boundary at r = R the electropause.
Fig. 5 shows a comparison of the approximate formula (4) with the more accurate (and
still approximate) formula of Janhunen (2009b). We see that under the assumption of zero
electron density the linearized formula (4) is in quite good agreement with the more
accurate result. Even if the average electron
density inside the electrosphere would be equal to the ambient density or larger, the result
still remains qualitatively valid.
Janhunen’s Force Model
The force model currently being used in orbital mechanics models for the electric sail was
developed by
Janhunen and Sandroos in 2007 [9]. An overview of this original force model follows. The
force on an electric sail wire can be found if we know the potential pattern created by the
wire’s charge, since the trajectory of a particle in that potential can be computed fairly
simply. The electric field, E , due to an infinite line of charge is:

E= r (78)
2 0 r
280
____________________________________________________________________________________________
Where  is the line charge density (C/m), 0 is the permittivity of free space, r is the radial
distance from the wire, and r is the unit vector in the radial direction. Since the electric field
in this case is always directed radially, we can integrate the electric field to get the
potential as a function of the radius, V(r), as:
 r1  r
V (r ) =  dr = ln 0 (79)
2 0 r r0
2 0 r
def
 r
V ( rw )  V0 = ln 0 (80)
2 0 rw
r 
ln  0 
V ( r ) = V0  
r
(81)
r 
ln  0 
 rw 
Where r0 is where the potential is required to vanish, rw, is the radius of the wire surface,
and V0is the
potential at the wire surface. r0 is taken to be twice the solar wind plasma Debye length, D,
a characteristic
scale for the shielding of a test charge in a quasi-neutral plasma
 0Te
r0 = 2D = 2 (82)
n0e2
where T0 is the electron temperature, n0 is the electron density, and e is the elementary
charge.
Janhunen proposes the following, modified expression for use in place of Equation 2
based on particle-in-cell (PIC) simulation results.
 2

ln 1 +  0  
r
 r  
V ( r ) = V0  (83)
 2

ln 1 +  0  
r
  w 
r
281
____________________________________________________________________________________________
This approximation for the potential gives good agreement with the plasma simulation
results, however, Janhunen refers to this as a “shielded” potential expression. This is due
to the fact that a build-up of electrons in the vicinity of a spherical charge occurs in a quasi-
neutral plasma that serves to shield the potential of the charge, a phenomenon known as
Debye shielding. That is, the equation for the potential near a point charge in vacuum is:
e 1
V (r ) = (84)
4 0 r
And the Debye shielded potential of a point charge is [10-A. Piel, Plasma Physics,
Heidelberg: Springer-Verlag, 2010.]:
e −r
V (r ) = e D
(85)
4 0 r 2
Figure 2 shows a comparison between a standard coulomb potential (Equation 5) and a

retarded potential due to Debye shielding (Equation 6) near a point charge. Note in
particular the significant diminution of the Debye potential (due to shielding), when
compared with the Coulomb potential, for r past the Debye length.
Figure 3 shows a similar graph to Figure 2, comparing Equations 2 and 4. Figure 3

shows that the modified potential is boosted above the vacuum potential around a charged
wire rather than being depressed below it. This indicates that Debye charge shielding is
not responsible for the difference between the vacuum potential and the computationally
observed potential of Janhunen. In fact, Debye shielding should not be expected for a line
charge distribution, as was observed by Janhunen in later paper [11-P. Janhunen,
"Increased electric sail thrust through removal of trapped shielding electrons by orbit
chaotization due to spacecraft body," Annales Geophysicae, vol. 27, pp. 3089-3100,
2009.].
282
____________________________________________________________________________________________
(a) (b)
Figure 33 (a)2: Comparison between standard Coulomb potential and a Debye

shielded potential for a point charge as they vary with radial distance from the
charge. (b) Potentials for Equation 2 (standard potential around a charged wire) and
Equation 4 (Janhunen’s modified potential). Note that Janhunen’s modified version
is boosted above the standard potential rather than retarded as with the Debye
shielding.
This result can be summarized by noting that the impact parameter of a particle incident
on the wire can be found by noting that the particle’s angular momentum is conserved
along its path, i.e.
pme v = rme v ( r ) (86)
where p is the impact parameter [12] of an electron with starting velocity, v , and is v(r) the
velocity as the electron approaches the wire. In order for a particle starting from a large
distance to reach the wire, its impact parameter must be  p as defined above, thus, per
unit length, the number of particles arriving from infinity reaching the wire, N , is
proportional to nvp, where n is the density of the bulk plasma at infinity.
The electrons near the wire have some (possibly different) density distribution, n e(r). Since
the electrons are incident from one side of the wire here, there are n e(r)⁄2 particles with
velocity v(r) incident on the surface of the wire per unit length, 2r. To summarize:
283
____________________________________________________________________________________________
N = nvp (87)
ne ( r )
N= v ( r ) 2r = ne ( r ) v ( r ) r (88)
2
Then, combining these with Equation 7, we obtain the result that has been derived
similarly in a number of other works [13] [14].
The above derivation relies on the assumption that the orbits of the particles in question
connect to infinity at both ends, i.e. that the electrons do not orbit the wires, but it is easy to
show that with the large potentials envisioned for the electric sail, electrons will orbit the
wires. Janhunen has shown, however, that the time scale for an electron caught in an orbit
to break free is quite short (minutes) compared with a sail mission duration, so neglecting
the effect of orbiting electrons appears to be a reasonable assumption to be used in
deriving Equation 9 [11].
Since we have shown above that shielding does not occur for a cylindrical charge
distribution, this leaves open the question of why it is reasonable to use the boosted
potential presented in Equation 4. Figure 4 (reproduced from Janhunen and Sandroos’
original treatment of the problem) can give some insight. There is a thin dense layer of
ions formed in front of the wire
Figure 34: From Janhunen and Sandroos, 2007. 2D PIC simulation results for an
electric sail wire (black dot in the bottom of the figure, extending out of the page)
284
____________________________________________________________________________________________
showing the instantaneous ion density. Solar wind particles are incident from the
left of the figure.
The final piece of the force model from Janhunen and Sandroos’ 2007 paper uses the fact
that the force per unit length on an electric sail wire is proportional to the width of the
sheath of disturbed protons multiplied by the dynamic pressure of the solar wind, i.e. Pdyn
=mpnv2, where mp is the mass of a proton. This leads to a force per unit length of:
dF 3.09m p n v 2 r0
= (89)
dz  
 mpv2 
exp   −1
 eV0 ln  r0  
  rw  
Equations of Motion
The equations of motion for an electric sail in a heliocentric polar inertial frame can be
formulated using
Newton’s laws of motion as follows.
R = vR (90)
v
= (91)
R
v 2  F
vR = − + cos ( )   (92)
R R  m craft
vR v F
v = − + sin ( )   (93)
R  m craft
Where R is radial distance from the sun,  is the polar angle from a reference position, vR
and v are the radial and transverse velocity components respectively,  is the standard
gravitational parameter for the sun, is the sail turning angle, and (F⁄m ) craft is the craft
acceleration.
285
____________________________________________________________________________________________
Previous work presents a value for the craft acceleration as [15]:

7
F  R  6
  = a   (94)
 m craft  R 
Where a and R indicate acceleration and radial distance at 1 AU respectively. This

essentially states that the craft acceleration is its value at Earth’s orbit scaled by (1 ⁄r )7⁄6 ,
which is approximately how the force on an electric sail is expected to vary with distance
from the sun [9]. Equation 15, while leading to promising electric sail performance results,
does not account for variations in solar wind velocity and neglects the relative velocity
between the craft and the solar wind. In this paper, a model which takes these factors into
account is presented, and which may be a more accurate model. The problem of
calculating exactly what the acceleration of an electric sail is at 1 AU has been treated by
Mengali [4]. He uses Equation 10 along with a model for approximating the spacecraft
mass per unit of tether length to obtain a value for to be used in Equation 15.
Here Gemmer etal [IAC14] propose an expression for (F⁄m)craft (Equation 16) which is a
modified version of Mengali’s expression [4] where, is the payload mass fraction, is the
solar wind velocity, subscript denotes a value at 1 AU, is electron temperature, deals with
multiplicity in the wires (assumed to be 4.3 here), is the mass-to-power ratio (assumed
0.25 kg/W), is the electron mass, and is the density of the wire material.
Figure 35 The effect of scaling the turning angles (e.g in Equations 12 and 13) in reducing
the available force on the sail as it turns. Overall force is scaled to be a maximum of 1
(Gemmer & Mazzolini [IAC-14-C.4.6.6]).
286
____________________________________________________________________________________________
Gemmer and Mazzolini [IAC-14-C.4.6.6] newly derived equation (16)
2 1
R  R  3
6.18 (1 −  ) m p ( vsw − vR ) n     0Te   
2
F  R   R 
  = a
 m craft   1 
   R  3 
   0Te  
2 ( eV )  m p ( vsw − vR )
3 2
 2 2  R  
ekt 2 n rw +  w rw exp  ln   − 1
 me   eV r R 
2
   w n e 2    
   R  
  
(95)
Equation 16 accounts for the relative velocities of the solar wind and the spacecraft; note
that the solar wind velocity is all radial so we only use the spacecraft’s radial velocity for
the compensation.
Gemmer & Mazzolini [IAC-14-C.4.6.6] also account directly for the variation in solar wind
density, which goes as 1/r2, as well as the solar wind electron temperature, which goes as
1/r1/3 [16].
To deal with the fact that some portions of the sail will have to be turned off in order to turn
the electric sail, Gemmer & Mazzolini [IAC-14-C.4.6.6] modify Equations 13 and 14 as:
v 2  F
vR = − + cos (1.5 )   (96)
R R  m craft
vR v F
v = − + sin ( 0.75 )   (97)
R  m craft
Gemmer & Mazzolini [IAC-14-C.4.6.6] scale the angles by making what they believe to be
a conservative assumption that 25% of the sail needs to be off in order to hold the sail at
35° relative to the solar wind (as discussed below, the maximum sail angle possible has
not been rigorously established, but most studies assume this angle to be approximately
287
____________________________________________________________________________________________
35° [4] [15]). Then, to get from Equation 13 to Equation 17, Gemmer & Mazzolini [IAC-14-
C.4.6.6] solve
cos (   35o ) = 0.75  cos ( 35o ) (98)
to get   1.5 and a similar calculation is used to get from Equation 14 to Equation 18. This
gives proportionally scaled force values resulting in ~75% of the original force available
when the sail is fully turned to 35° (See Figure 5). The final equations of motion for the
electric sail are then Equations 6, 7, 12, and 13.
COMPUTATIONAL MODEL
The final improvement presented here regarding the modelling of electric sail
astrodynamics will deal with variations in the solar wind speed. Previous models have
assumed that the solar wind is constant at ~400 km/s. While this value is a reasonable
average velocity to assume for the solar wind, the solar wind actually
varies significantly with time from 200-800 km/s [17]. Gemmer & Mazzolini introduce a
variable speed solar wind in the computational model by randomly changing the speed of
the solar wind after each simulation day. The change per day is allowed to be ±10 km/s,
provided that the solar wind speed not fall below 200 km/s nor exceed 800 km/s. This
method is not intended to rigorously produce a correct distribution for the solar wind
speed, but by conducting several of these simulations (with different randomized solar
wind variations), it allows us to examine qualitatively how such variations (which are
known to happen) affect performance.
In order to evaluate the equations of motion, Gemmer & Mazzolini use a standard variable
step Runge-Katta method to obtain a numerical solution with a relative error tolerance of
10-3 and absolute error tolerance of 10-6. The scenarios used here are chosen not for
performance analysis of the sail but to evaluate the effect of the changes made to the
model. As such, Gemmer & Mazzolini choose a number of scenarios that can be easily
simulated using the old model (Equation 15 for the craft acceleration) and the model
outlined in this paper.
RESULTS AND COMPARISONS
288
____________________________________________________________________________________________
In Figures 36 through 38, the results of Ashida Magnetic Sail, Figure 37 shows Mengali
and Janhunen results and Gemmer and Mazzolini Solar E-Sail are compared for overall
general impression.
Figure 36 Trajectories of the small-scale magnetic sail when the spacecraft escapes from
the gravitational sphere of Earth at (X, Y) = (1, 0) when (a) bound for Jupiter with an initial
velocity of Vy = 3000 m/s and (b) bound for Mercury with an initial velocity of Vy = -3000
m/s, and steering angle set to 0 and 20 deg. The dotted line represents the spacecraft
trajectory until the flyby.
Figure 37 Mengali Spacecraft trajectory in a ten years orbit raising (ac = 0.1 mm/s2,
=30 deg, and r0 = r).
The mission scenario Gemmer and Mazzolini consider for comparison here is a simple
direct transfer exit of the solar system. The sail angle for which maximum acceleration is
possible has not been rigorously established, but most studies assume this angle to be
approximately 35° [4] [15], so that is the value Gemmer & Mazzolini will use for this
289
____________________________________________________________________________________________
scenario. Thus, Gemmer & Mazzolini will fix the sail angle at 35° for the entire mission. A
first comparison of the performance for the two models is given in Figure 6 and Table 1.
a b c
Figure 38 (a) Orbit comparison for previous electric sail model (red dashed line) and the
model proposed here (blue solid line) over 5 simulation years. The Table indicates the
Final conditions for orbits using Janhunen and Gemmer model as shown in Figure (c),
which shows the Orbit comparison for 10 different runs of the new model (previous model
is left in for comparison) showing how significantly the variable speed solar wind can affect
the sail trajectory.
As can be seen from Figure 6 and Table 1, there is a significant difference between the old
and new models; as such we will examine the effects of each of the changes made to the
original model in turn to examine the relative impacts of each.
a b
Figure 39 Orbit comparison for 10 different runs of the new model (previous model is at left
(a) for comparison) showing how significantly the variable speed solar wind can affect the
sail trajectory. The original model is shown in red dashed line, while Gemmer and
Mazzolini is shown in (b) without scaling the force when turned (blue dash-dotted line).
The new model was calculated with constant solar wind speed.
290
____________________________________________________________________________________________
Table 5 Final conditions for orbits shown in Figure 38.
Variable Solar Wind Speed
The first change Gemmer & Mazzolini will examine is the introduction of a variable speed
solar wind. The degree to which this influences performance varies significantly from one
simulation to another due to the random variability implemented as outlined in section III.
This is illustrated in Figure 7 where 10 runs of the new model are shown together to
illustrate how much the trajectory can vary. The final radial positions for these runs range
between 3.95 and 5.90 AU and the final radial velocities range from 2.11 to 8.34 km/s. In
the final section Gemmer & Mazzolini will discuss further the accuracy of the random
model introduced here for the solar wind speed; however, these results give a clear
indication that the variability of the solar wind will play a large role in determining the orbit
of an electric sail. In order to more clearly examine the other changes to the model, the
scenarios considered next assume that the solar wind has a constant velocity of 400 km/s
in both models.
Thrust Reduction when Turning
We now consider the effect of needing to turn off a portion of the sail in order to turn it.
Note that the scenario being considered is a worst case for this condition since, as shown
in Figure 5; the reduction in thrust is most pronounced when the sail is fully turned, as it is
for the entirety of this example mission. Figure 8 and Table 2 show the difference between
a sail that has been partially turned off in order to execute a turn and one that has not
been.
291
____________________________________________________________________________________________
Figure 39 Orbit comparison for a model which accounts for the relative velocity between
the craft and the solar wind (blue) and a model that does not (red) over 10 simulated years
Relative Velocities
Finally, we will consider how much effect accounting for the relative velocity between the
craft and the solar wind has. Figure 9 shows a simulation comparing an orbit where the
relative velocities have been accounted for with one where they have not. The relative
velocity difference between the craft and the solar wind has less than a 0.5% effect on the
final conditions of the sail for the parameters used in the models above even when the
time is extended far enough that the sail would approach the heliosphere.
Figure 40 Top – example solar wind velocity distribution from the model here for one year.
Bottom –example one year measured velocity distribution from [18].
292
____________________________________________________________________________________________
V. CONCLUSIONS
In order to investigate the dynamics of Solar Photon Thrusters, two cases were
introduced and the equations of radiation pressure force acting on them were derived and
their limits and drawbacks were discussed. It was concluded that the thrust generated by
both SPT’s has the same magnitude and opposite direction given the assumption that no
radiation pressure is lost due to lack of reflectivity. Then the dynamics of a Solar Photon
Thruster has been investigated in comparison to a conventional Flat Solar Sail for a
Logarithmic Spiral Trajectory. According to the results it can be concluded that Solar
Photon Thrusters can generate more thrust and leads to shorter transfer time. Moreover,
since the thrust is generated by a smaller surface, altitude control and dynamics of a SPT
would be simpler compared to an FSS where the entire large reflecting surface is
responsible for thrust. On the other hand, a Flat Solar Sail has the advantage of simplicity
given the fact that it only consists of one flat surface which could be much easier to deploy
and geometrically insured in space than a more elaborate parabolic surface.
Another common problem with SPT is the elevated sail temperature on the
collector’s surface due to absorption of concentrated radiation. This is related to the fact
that in reality a reflecting surface is not a perfect reflector and a percentage of solar
photons are absorbed by the sail.
Gemmer and Mazzolini have shown in this paper that accounting for effects not
included in previous studies on electric sail performance can result in up to a 60%
reduction in the final radial distance achieved by an electric sail on a solar system escape
mission. The largest impact on performance comes from the fact that some portion of the
sail must be deactivated in order for the sail to turn at an angle and accelerate away from
the sun. This effect may be lessened if less of the sail needs to be turned off in order to
angle the sail plane, but a conservative estimate of 25% of the sail being off in a full turn
has a dramatic effect.
This turning effect should have a much lower impact for missions that do not include
large portions of the trajectory where the craft is fully turned. Future work will involve
simulating different trajectories and using the new model to calculate optimal trajectories
for other types of mission profiles.
Another important issue identified here is the impact of a variable speed solar wind.
As shown in Figure 7, this can have a dramatic effect on the overall performance of the
293
____________________________________________________________________________________________
sail. Figure 10 shows an example solar wind velocity history as used in the model
proposed here juxtaposed with an actual solar wind velocity history. Qualitatively, the
method used here is a reasonable approximation of the actual variation of solar wind
speed. Future models will improve the method of updating solar wind velocities so that
they reflect actual statistical values of the solar wind speed over long periods of time.
Finally, Gemmer & Mazzolini have shown that the elative velocity of the solar wind to the
craft has very little effect, at least for this type of mission, but it will still be important to
incorporate this into the craft equations of motion as the performance of the electric sail is
further defined, since differences on the order of 0.5% will still be significant for planning
actual mission scenarios. It is also anticipated that mission simulations that remain in the
inner solar system (where accelerations are still large) will be more affected by the
inclusion of the relative velocity terms in the equations of motion.
The electric sail is a new and potentially revolutionary deep space propulsion
technique which is at the moment undergoing rapid technical development. From the
operational viewpoint, the electric sail is like a solar sail, but, when considering high
performance levels, it is expected to be easier to construct and deploy. The most important
limitation of the electric sail is that it cannot produce thrust in Earth’s magnetosphere
because there is no solar wind there.
REFERENCES AND BIBLIOGRAPHY

1. P.Janhunen. "Electric Sail for Spacecraft Propulsion", Journal of Propulsion and
Power, Vol. 20, No. 4 (2004), pp. 763-764.
2. P. Janhunen and A. Sandroos, “Simulation study of solar wind push on a charged wire:
basis of solar wind electric sail propulsion”, Ann. Geophys., 25, pp.755-767, 2007.
3. P.Janhunen, G.Mengali, A.A.Quarta, Electric Sail Propulsion Modeling and Mission
Analysis, The 30th International Electric Propulsion Conference, Florence, Italy,
September 17-20, 2007
4. Janhunen, Physics of thrust prediction of the solar wind electric sail, 2009,
https://electric-sailing.fi/papers/ASTRONUM2009.pdf
5. S.Merikallio & P.Janhunen, The Electric Solar Wind Sail (E-sail): Propulsion Innovation
for Solar System Travel, National Academy Of Engineering, 2018
6. P.Janhunen, Status report of the electric sail in 2009, Acta Astronautica 68 (2011) 567–
570
294
____________________________________________________________________________________________
7. P. Janhunen, Increased electric sail thrust through removal of trapped shielding

electrons by orbit chaotisation due to spacecraft body, Ann. Geophys., 27, 3089–3100,
2009
8. Richardson, D. and Schwadron, NA, The Limits of Our Solar System John,
ftp://space.mit.edu/pub/plasma/ publications/ jdr_schwadron_book/jdr_schwadron_book.pdf
9. Zurbuchen, TH, von Steiger, R, Manchester, WB and Fisk, LA, Heliospheric Magnetic
Field Configuration at Solar Maximum Conditions: Consequences for Galactic Cosmic
Rays
10. The Heliosphere, https://www.nasa.gov/pdf/623511main_IBEX_lithograph.pdf, accessed 1 May
2018
11.
Anonymous, Solar Wind: Global Properties ENCYCLOPEDIA OF ASTRONOMY AND
ASTROPHYSICS, Copyright © Nature Publishing Group 2001 Brunel Road,
Houndmills, Basingstoke, Hampshire, RG21 6XS, UK Registered No. 785998 and
Institute of Physics Publishing 2001 Dirac House, Temple Back, Bristol, BS1 6BE, UK 1
12. Vulpetti G, 1994, A Critical Review on the Viability of a Space Propulsion Based on
The Solar Wind Momentum Flux, Acta Astronautica Vol. 32, No. 9, pp. 641~644.
13. Parker, E. N., Dynamical theory of the solar wind, Space Sci. Rev., 4,. 666-708, 1965
14. Solar Probe, 1989, Scient(fic Rationale and Mission Concept. JPL D-6797 (1989).
15.
Meyer-Vernet, N., How does the solar wind blow? A simple kinetic model, Eur. J. Phys.
20 (1999) 167–176
16. Matsumoto, M, Usui, H., Nunami, M., Nakamura, M. and Shinohara, I., 2012, AMR-PIC
Simulation on Solar Wind Interaction with Kinetic Scale Magnetosphere
17.
Maksimovic M, Zouganelis I, Chaufray J-Y et al, Radial evolution of the electron
distribution functions in the fast solar wind between 0.3 and 1.5 AU, Journal of
Geophysical Research Atmospheres, September 2005
18. P.Janhunen, P.K.Toivanen et al, Invited Article-Electric solar wind sail-Toward test
missions, Review of Scientific Instruments 81, 111301 2010 0
19. G.Zank, N.V.Pogorelov, J.Heerikhuisen, Physics of the Solar Wind–Local Interstellar
Medium Interaction: Role of Magnetic Fields, 2009, Space Science Reviews
146(1):295-327
20. M.M. Echim, J.Lemaire, Øystein Lie-Svendsen, A review on solar wind modeling:
kinetic and fluid aspects, Surveys in Geophysics, Volume 32, Issue 1, pp.1-70, 2011
21. W.Clark, Electron Gun Technology, Defense Advanced Research Projects Agency
ARPA Order No. 1807, Report ADA034170, 1976
22. B. Diop, J. Bonnet, T. Schmid and A. Mohamed, Compact Electron Gun Based on
Secondary Emission Through Ionic Bombardment, Sensors 2011, 11, 5202-5214;
doi:10.3390/s110505202
23. Zubrin, R.M., and Andrews, D.G., Magnetic sails and interplanetary travel J. Spacecraft
& Rockets, 28, 2, 197-203 (1991).
295
____________________________________________________________________________________________
24. Zubrin R.M., 1993, The Use of Magnetic Sails to Escape From Low Earth Orbit, Journal
of the British Interplanetary Society, pp. 3-10.
25. Zubrin, R.M. and Martin, A., 2000, The Magnetic Sail, Final Report to the NASA
Institute of Advanced Concepts (NIAC) January 7, www.niac.usra.edu_files_studies
_final_report_320Zubrin, accessed 15 January 2016.
26. P. Janhunen, P.K. Toivanen, J. Polkko, S. Merikallio, P. Salminen, E. Haeggstrom et
al, Electric Solar Wind Sail In-Space Propulsion Status Report, 2014
27. P.Janhunen,The Electric Sail - A New Propulsion Method Which May Enable Fast
Missions To The Outer Solar System, JBIS 2018
28. R. Hoyt, R.L. Forward, Alternate interconnection Hoytether failure resistant multiline
tether, US Pat. 6286788 B1 (2001).
29. Robert P. Hoyt, Robert L. Forward, The Hoytether-TM-A Failsafe Multiline Space
Tether Structure, 2000-AIAA 00-0329
30. R. Hoyt, Design And Simulation Of A Tether Boost Facility For LEO⇒GTO Transport,
AIAA 2000-3866
31. Hoyt, Forward, Grat, Bangham, Tillotson, Tether Boost Facilities for In-Space
Transportation,www.niac.usra.edu
32. Johnson etal, NASAʼs In-Space Propulsion Technology Program: Overview and
Update, 2004
33. P. Toivanen and P. Janhunen, Thrust vectoring of an electric solar wind sail with a
realistic sail shape arXiv1703.08975v1 27 Mar 2017
34. P. K. Toivanen and P. Janhunen, Electric Sailing under Observed Solar Wind
Conditions, Astrophys. Space Sci. Trans., 5, 61–69, 2009
35. P. Janhunen, Ann.Geophys.2009, Increased electric sail thrust through removal of
trapped shielding electrons by orbit chaotisation due to spacecraft body
36. Pekka Janhune, Physics of thrust prediction of the solar wind electric sail propulsion
system, https://electric-sailing.fi/papers/ASTRONUM2009.pdf
37. G. Mengali, A. A. Quarta, G. Aliasi, Summary of orbit calculations supporting WP61,
WP62 “Orbit Calculations”, Deliverable D62.1, http://www.electric-
sailing.com/fp7/docs/D62.1.pdf
38. Pekka Janhunen, Coulomb Drag Devices: Electric Solar Wind Sail Propulsion and
Ionospheric Deorbiting, arXiv 2014
39. E. Choiniere, B.E. Gilchrist, Self-consistent 2-D kinetic simulations of high-voltage
plasma sheaths surrounding ion-attracting conductive cylinders in flowing plasma,
IEEE Trans. Plasma Sci. 35 (2007) 7–22.
40. Pekka Janhunena, Petri Toivanen, Jouni Envall, Sini Merikallio, Giuditta Montesanti et
al, Overview of electric solar wind sail applications, Proc.Estonian Acad.Sci-2014-2S-
267-278
296
____________________________________________________________________________________________
41. McInnes, C. R. Solar Sailing: Technology, Dynamics and Mission Applications.

Springer, 2004.
42. T. Gemmer, A. Mazzoleni, Improved Modelling of Electric Sail (E-Sail) Force
Generation
43. T. Gemmer, A. Mazzoleni , Solar Wind Ion Focusing Thruster (Swift) Orbital
Performance Analysis, IAC-15-C.4.8.1
44. E.C. Sittler, J.D. Scudder, An Empirical Polytrope Law for Solar Wind Thermal
Electrons
45. Spores etal, A Solar Electric Propulsion Cargo Vehicle to Support NASA Lunar
Exploration Program, 2005
46. T.R. Gemmer, A.P. Mazzoleni, Computational Plasma Physics Simulations of Electric
Sail Force Generation, in: Proc. 67th Int. Astronaut. Congr., Guadalajara, Mexico,
2016.
47. T.R. Gemmer, A.P. Mazzoleni, Improved Modeling Techniques for with Applications to
Outer Solar System Missions, in: Proc. 65th Int. Astronaut. Congr., Toronto, Canada,
2014.
48. G.Mengali, A.A.Quarta, P.Janhunen, Electric Sail Performance Analysis, Journal of
Spacecraft and Rockets, Vol. 45, No. 1, January–February 2008,
49. Colin R. McInnes, Solar sailing: mission applications and engineering challenges, The
Royal Society 2003.1280
297
____________________________________________________________________________________________
Table 5 Summary of Solar Sail
Solar Sail Winglee M2P2 (Mini- Funaki MPS (Magneto- Janhunen E-Sail
Magnetospheric Plasma- Plasma-Sail)
Propulsion)
Typical propulsive acceleration

Thrust/ provided by an E-sail at a
propulsive distance r from the Sun is
acceleration proportional to 1/r, where
it has been estimated that 
 (1, 7/6).
M2P2-MPS spacecraft model
proposed by JAXA[30]
Limitations 1. Thrust is produced only near the The most important The most important The most important
Sun – Large acceleration is limitation of the electric sail limitation of the electric limitation of the electric
possible for inner solar system is that it cannot produce sail is that it cannot sail is that it cannot
exploration. Therefore, spacecraft thrust in Earth’s produce thrust in Earth’s produce thrust in Earth’s
can be put into an orbit of magnetosphere because there magnetosphere because magnetosphere because
Mercury, Venus and Mars via solar is no solar wind there. there is no solar wind there is no solar wind
sails. there. there.
2. Acceleration is NOT enough for

orbital transfer in the outer solar
system beyond Jupiter. This means
that solar sail propulsion is
effective for 1) flyby missions
targeting at outer planets in the
solar system, or 2) for solar system
escape (with nuclear power source)
when enough acceleration is
provided in the inner solar system
region.
Typical propulsive acceleration

Thrust/ provided by an E-sail at a
propulsive distance r from the Sun is
acceleration proportional to 1/r, where
it has been estimated that 
 (1, 7/6).
M2P2-MPS spacecraft model
proposed by JAXA[30]
Limitations 1. Thrust is produced only near the The most important The most important The most important
Sun – Large acceleration is limitation of the electric sail limitation of the electric limitation of the electric
possible for inner solar system is that it cannot produce sail is that it cannot sail is that it cannot
exploration. Therefore, spacecraft thrust in Earth’s produce thrust in Earth’s produce thrust in Earth’s
can be put into an orbit of magnetosphere because there magnetosphere because magnetosphere because
Mercury, Venus and Mars via solar is no solar wind there. there is no solar wind there is no solar wind
sails. there. there.
2. Acceleration is NOT enough for

orbital transfer in the outer solar
system beyond Jupiter. This means
that solar sail propulsion is
effective for 1) flyby missions
targeting at outer planets in the
solar system, or 2) for solar system
escape (with nuclear power source)
when enough acceleration is
provided in the inner solar system
region.
298
____________________________________________________________________________________________
Table 5 Summary of Solar Sail (continued)
Solar Sail Winglee M2P2 (Mini- Funaki MPS (Magneto- Janhunen E-Sail
Magnetospheric Plasma- Plasma-Sail)
Propulsion)
Sample
Trajectory
Calculations-
Outward
Sample
Trajectory
Calculations-
Inward
Sample/
Typical Sample/ Typical
Planetary Planetary Orbits
Orbits
Logarithmic Spiral Trajectories of a FSS and Ashida Trajectories of the small-scale

SPT magnetic sail when the spacecraft
escapes from the gravitational sphere
of Earth Mengali Spacecraft trajectory in a
ten years orbit raising
Application Asteroid Mining

Areas Application Areas
Spacecraft Deceleration
Technology Structure & Material

Challenges Technology Challenge
Deployment Architecture
In-flight Propulsion Control
Launching Configuration
Initial Energy Requireents and scheme
50. Colin R. McInnes, 1999, Solar Sailing: Technology, Dynamics, and Mission
Applications, Springer-Praxis, 1999.
51. T.R. Gemmer, C.Yoder. A.P. Mazzoleni,Increasing the Accuracy of Electric Sail
Mission Performance Estimates, IAC-17.C4.6.12.
52. Bruce M. Wiegmann, Conceptual Design Of An Electric Sail Technology Demonstration
Mission Spacecraft, AAS 17-142, 2017
53. Mengali and Quarta, Electric Sail Propulsion Modeling and Mission Analysis, 2007
54. R.M. Zubrin and D.G. Andrews, “Magnetic sails and interstellar travel”, JBIS, 43,
pp.265-272, 1990.
55. Posner etal, Planetary and Space Science 89 2013, The Hohmann–Parker effect
measured by the Mars Science Laboratory on the transfer from Earth to Mars:
Consequences and opportunities
299
____________________________________________________________________________________________
56. Juan R. Sanmartin, Eric Choiniere, Brian E. Gilchrist, Jean-Benoit Ferry, and Manuel
Martinez-Sanchez , Bare-Tether Sheath and Current: Comparison of Asymptotic
Theory and Kinetic Simulations in Stationary Plasma,
http://oa.upm.es/21760/1/A83lpdf.pdf
57. Sanmartin etal, Bare-Tether Sheath and Current: Comparison of Asymptotic Theory
and Kinetic Simulations in Stationary Plasma, http://oa.upm.es/21760/1/A83lpdf.pdf
58. Kroemer, SAMUEL (Space Applied Mechanism for Unreeling ELectric conductive
tethers), EPSC Abstracts V5 2010
59. Janhunen, Boltzmann electron PIC simulation of the E-sail effect, Ann. Geophys.,2015,
arXiv-v2
60. Hoshi, Kojima, Yamakawa, Particle-in-cell Simulations of Potential Structure around
Electric Solar Wind Sail Tethers, ISTS-2015-b-298
61. Johnson, Wiergman, Bangham, Electric Sail Propulsion for Exploring Nearby
Interstellar Space NASA 2015-ppt
62. Janhunen, Quarta, Mengali, Electric solar wind sail mass budget model, gid-2-C206-
2012-supplement
63. P.Janhunen, A.A.Quarta & G.Mengali, Electric Solar Wind Sail Mass Budget Model,
Geosci. Instrum. Method. Data Syst.Oct.2012
64. G. Mengali, A.A. Quarta, P. Janhunen, Considerations of Electric Sailcraft Trajectory
Design, JBIS 2008
65. M. Aru, P. Janhunen, E-SAIL for Fast Interplanetary Travel, Planetary Science Vision
2050 Workshop 2017
66.
Solar Wind: Global Properties Encyclopedia of Astronomy and Astrophysics,
www.cfa.harvard.edu
67. Geiss and Hultqvist- The Solar System and Beyond,ISSI SR-003
68. Wang et al, Deflected propagation of a coronal mass ejection from the corona to
interplanetary space, arXiv v1 18 Jun 2014
69. NASA- IBEX-The Edge of Our Solar System
70. Richardson and Schwadron, The Limits of Our Solar System
71. Andrews and Zubrin, Progress in Magnetic Sails, AIAA 90-2367
72. W. J. Hooper, New Horizons In Electric, Magnetic & Gravitational Field Theory
73. Bernd Dachwald, Giovanni Mengali, Alessandro A. Quarta, and Malcolm Macdonald.
"Parametric Model and Optimal Control of Solar Sails with Optical
Degradation", Journal of Guidance, Control, and Dynamics, Vol. 29, No. 5 (2006)
74. Janhunen et al, Cubesat Testing of Coulomb Drag Propulsion, SP2016 3124954, arXiv
v1 28 Apr 2016
75. Janhunen, Boltzmann electron PIC simulation of the E-sail effect, Ann. Geophys.,2015,
arXiv-v2
300
____________________________________________________________________________________________
76. Ingale, Turbulent density fluctuations in the solar wind, PhD Thesis, IIS Pune,
2015
77. Kellogg and Horbury, Rapid density fluctuations in the solar wind, An.Geophys 23,
2005
78. P.Janhunen, P.Toivanen, J.Envall and S.Merikallio et al, Electric solar wind sail
applications overview, 2014,1404.5815, arXiv 24 April 2014
79. R.J.Noble, Combining Electric and Sail Propulsion For Interplanetary Sample Return,
SLAC-PUB-9624, 2003
80. G. Mengali, A.A. Quarta and P. Janhunen, Considerations of electric sailcraft trajectory design,
JBIS Vol61 2008
81. Robert P. Hoyt, Robert L. Forward, The Hoytether™: A Failsafe Multiline Space Tether
Structure, Tethers Unlimited, Inc., http://www.tethers.com/papers/Hoytether.pdf
82. Christopher Deline et al, Assessment of Plasma Flow Effect on Langmuir Triple Probe
Operation via Kinetic Simulation, IEEE Transactions on Plasma Science · October
2009
83. Andrews, D. G. and Zubrin R. M., 1990, Magnetic Sailing and Interstellar Travel.
Bangalore, India : Journal of the British Interplanetary Society, 1990. 39th Congress of
International Astronautical Federation. Vol. 6.
84. Zubrin, R.M., and Andrews, D.G., Magnetic sails and interplanetary travel J. Spacecraft
& Rockets, 28, 2, 197-203 (1991).
85. Zubrin R.M., 1993, The Use of Magnetic Sails to Escape From Low Earth Orbit, Journal
of the British Interplanetary Society, pp. 3-10.
86. Zubrin, R.M. and Martin, A., 2000, The Magnetic Sail, Final Report to the NASA
Institute of Advanced Concepts (NIAC) January 7, www.niac.usra.edu_files_studies
_final_report_320Zubrin, accessed 15 January 2016.
87.
Winglee, R.M., Slough, J., Ziemba, T., and Goodson, A., 2000, Mini-Magnetospheric
Plasma Propulsion: Tapping the Energy of the Solar Wind for Spacecraft Propulsion,
Journal of Geophysical Research, Vol.105, No.21, pp.21067-21078, ISSN0148-0227
88. Winglee R M, Ziemba T, Slough J, Euripides P and Gallagher D, 2001, Laboratory
Testing of the Mini-Magnetospheric Plasma Propulsion (M2P2) Prototype, CP552,
Space Technology and Applications International Forum-2001, edited by M. S. El-
Genk.
89. Funaki, I. and Yamakawa, H., 2009, Research Status of Sail Propulsion Using the
Solar Wind, J. Plasma Fusion Res. SERIES, Vol. 8.
90. Funaki, I. Kojima, H., Yamakawa, H., Nakayama, Y., and Shimizu, Y., 2007, Laboratory
Experiment of Plasma Flow around Magnetic Sail, Astrophysics and Space Science,
Vol.307, No.1-3, pp.63-68, ISSN 0004-640X
301
____________________________________________________________________________________________
91. Funaki, I., Kimura, T., Ueno, K., Ayabe, T., and H. Horisawa, H., Yamakawa, H.
Kajimura, Y. and Nakashima, H., 2007, Laboratory Experiment of Magnetoplasma Sail,
Part 2, IEPC-2007-94
92. Funaki I and Yamakawa H, 2009, Solar Wind Sails,
cdn.intechopen.com/pdfs/32547/InTech-Solar_wind_sails.pdf, retrieved 15 January
2014
93. Funaki, I., H., Kajimura, Y., Ueno, K., Oshio, Y., Nishida, H., Usui, H., Matsumota, M.,
Shinohara, I., 2010, Experimental and Numerical Investigations on the Thrust ,AIAA-
2010-6773
94.
Domonkos, M.T., Patterson, M.J.and Jankovsky, R.S., Glenn Research Center,
Cleveland, Ohio, Ion Engine and Hall Thruster Development at the NASA Glenn
Research Center, NASA/TM—2002-211969
95. Vulpetti G, 1994, A Critical Review on the Viability of a Space Propulsion Based on
The Solar Wind Momentum Flux, Acta Astronautica Vol. 32, No. 9, pp. 641~644.
96. Yamakawa H, 2003, A guidance strategy for the radially accelerated trajectory, AAS
Paper 03–521, AAS/AIAA in: Astrodynamics Specialists Conference, Big Sky,
Montana, August 3–7.
97. Ashida, Y., Yamakawa, H., Funaki, I., Usui, H., Kajimura, Y. and Kojima, H.,, 2014,
Thrust Evaluation of Small-Scale Magnetic Sail Spacecraft by 3D Particle-in-cell
Simulation, Kyoto U, 1.B35026, http://repository.kulib.kyoto-
u.ac.jp/dspace/bitstream/2433/182204/1/1.B35026.pdf, accessed 15 January 2016
98. Richardson, D. and Schwadron, NA, The Limits of Our Solar System John,
ftp://space.mit.edu/pub/plasma/ publications/ jdr _schwadron _book/ jdr_ schwadron
_book.pdf
99. Zurbuchen, TH, von Steiger, R, Manchester, WB and Fisk, LA, Heliospheric Magnetic
Field Configuration at Solar Maximum Conditions: Consequences for Galactic Cosmic
Rays
100. The Heliosphere, https://www.nasa.gov/pdf/623511main_IBEX_lithograph.pdf, accessed 1 May
2018
101.
Anonymous, Solar Wind: Global Properties ENCYCLOPEDIA OF ASTRONOMY AND
ASTROPHYSICS, Copyright © Nature Publishing Group 2001 Brunel Road,
Houndmills, Basingstoke, Hampshire, RG21 6XS, UK Registered No. 785998 and
Institute of Physics Publishing 2001 Dirac House, Temple Back, Bristol, BS1 6BE, UK 1
102. Parker, E. N., Dynamical theory of the solar wind, Space Sci. Rev., 4,. 666-708, 1965
103. Solar Probe, 1989, Scient(fic Rationale and Mission Concept. JPL D-6797 (1989).
104.
Meyer-Vernet, N., How does the solar wind blow? A simple kinetic model, Eur. J. Phys.
20 (1999) 167–176
105. Matsumoto, M, Usui, H., Nunami, M., Nakamura, M. and Shinohara, I., 2012, AMR-PIC
Simulation on Solar Wind Interaction with Kinetic Scale Magnetosphere
302
____________________________________________________________________________________________
106.
Maksimovic M, Zouganelis I, Chaufray J-Y et al, Radial evolution of the electron
distribution functions in the fast solar wind between 0.3 and 1.5 AU, Journal of
Geophysical Research Atmospheres, September 2005
107. Cattell, C., Catto, P., Funsten, H., Garnier, D., Hershkowitz, N., Myers, R.,
Petschekand, H., Winske, R., Physics and Technology of the Feasibility of Plasma
Sails , PSFC/JA-05-26, 2005.
108.
Gros, C., Universal scaling relation for magnetic sails: momentum braking in the limit of
dilute interstellar media, arXiv:1707.02801v2 [physics.space-ph] 8 Nov 2017,
https://arxiv.org/pdf/1707.02801.pdf , accessed 15 April 2018
109. Russel, CT, Solar Wind and Interplanetary Magnetic Field: A Tutorial,
https://agupubs.onlinelibrary.wiley.com/ doi/pdf/10.1029/GM125p0073, accessed 15 April 2018.
110. Khazanov, G., Delamere, P., Kabin, K. and Linde, T.L., 2005, Fundamentals of the
Plasma Sail Concept, AIAA-3737-130, AIAA Journal of Propulsion and Power.
111. Yamakawa, H. Funaki, I., Nakayama, Y., Fujita, K., Ogawa, H., Nonaka, S., Kuninaka,
H., Sawai, S., Nishida, H., Asahi, R., Otsu, H., and Nakashima, H., 2006, Magneto-
plasma sail_ An engineering satellite concept and its application for outer planet
missions, Acta Astronautica, Volume 59, Issues 8–11, Pages 777-784
112. Ashida, Y., Funaki, I. Yamakawa, Kajimura, Two-Dimensional Particle-In-Cell
Simulation of Magnetic Sails, IEPC-2011-180, Presented at the 32nd International
Electric Propulsion Conference, Wiesbaden • Germany, September 11 – 15, 2011
113. Funaki, I., Overview of Sail Propulsion for Space Flight, 2015-lecture, http://www.al.t.u-
tokyo.ac.jp/ lecture/Chap8(Sailing Propulsion).pdf, accessed 15 April 2018
114. Ashida, Y., Study on Propulsive Characteristics of Magnetic Sail and Magneto Plasma
Sail by Plasma Particle Simulations, Doctoral Thesis, Kyoto University, 2014
115. Funaki, I., Kojima, H, Yamakawa, H., Nakayama, Y., Shimizu, Y., 2007, Laboratory
experiment of plasma flow around magnetic sail, Astrophys. Space. Science 307 (1-
3). pp. 63-68.
116. Funaki, I., Kajimura, Y., Nishida, H., Arita, H., Ashida, Y., Yamanaka, H., Oshio, Y.,
Ueno, K., Yamamura, H. and Yamagiwa, Y., 2013, “Magnetoplasma Sail with
Equatorial Ring-current”, AIAA 2013-3878, 49th AIAAASME/SAE/ASEE Joint
Propulsion Conference and Exhibit, San Jose, July 2013.
117. Nagasaki, Y., Funaki, I., Nakamura, T., Yamakawa, H., 2015, Increase in Thrust of
Magnetic-Plasma Sail-IEPC-2015 328/ ISTS-2015-b-328, Presented at Joint
Conference of 30th International Symposium on Space Technology and Science-34th
International Electric Propulsion Conference and 6th Nano-satellite Symposium,Hyogo-
Kobe, Japan, July 4 – 10, 2015.
118.
Nishida, H., Funaki, I., Ogawa, H. and Inatani, Y., MHD Analysis on Propulsive
Characteristics of Magneto Plasma Sail IEPC-2007-195,
http://erps.spacegrant.org/uploads/images/images/iepc_articledownload_1988-2007/2007index/IEPC-
2007-195.pdf
303
____________________________________________________________________________________________
119. Funaki, I. and Yamakawa, H., 2009, Research Status of Sail Propulsion Using the
Solar Wind, J. Plasma Fusion Res. SERIES, Vol. 8.
120. Slough, J., The Plasma Magnet, NASA Inst.Adv. Concepts,2003
121. Scott, D.E., 2013, A Note on the Acceleration of the Solar Wind, https://electric-
cosmos.org/SolarWind.pdf, accessed 15 January 2017
122. Kasper, J.C., 2002, Solar Wind Plasma - Kinetic Properties and Micro-Instabilities,
PhD, MIT
123. Schield, M.A. , 1969, Pressure Balance between Solar Wind and Magnetosphere,
JGeophysRes.Space Phys.
124. Kare J.T, 2002, High-acceleration Micro-scale Laser Sails for Interstellar Propulsion,
NASA NIAC Research Center, www.niac.usra.edu/files/studies/final_report/597Kare.pdf,
retrieved 15 January 2017
125. Fujita, K., Particle Simulation of Moderately-Sized Magnetic Sails, The Journal of
Space Technology and Science, Vol.20, No.2, (2004), pp.26-31, ISSN 0911-551X
126. Funaki, I., Kojima, H, Yamakawa, H., Nakayama, Y., Shimizu, Y., 2007, Laboratory
experiment of plasma flow around magnetic sail, Astrophys. Space. Science 307 (1-
3). pp. 63-68.
127. Funaki, I., Kajimura, Y., Nishida, H., Arita, H., Ashida, Y., Yamanaka, H., Oshio, Y.,
Ueno, K., Yamamura, H. and Yamagiwa, Y., 2013, “Magnetoplasma Sail with
Equatorial Ring-current”, AIAA 2013-3878, 49th AIAAASME/SAE/ASEE Joint
Propulsion Conference and Exhibit, San Jose, July 2013.
128. Djojodihardjo, H., Aziz, N., 2015, An Exploratory Study of Magnetic Sailing, 6th CSA-
IAA Conference on Advanced Space Technology. 10-12 November 2015, Shanghai,
China
129. Djojodihardjo, H., Aziz, N., 2016, Solar Magnetic Sailing Configuration and Inter-
Planetary Travel - An Exploratory Study, Paper IAC-16.C4.8.9. presented at the, 67th
International Astronautical Congress,
130. AL friend, KT, Vidalia, SR, Gerbil, P., How, JP and Berger, LS, 2010, Spacecraft
Formation Flying, Butterworth-Heinemann, Burlington, MA, USA.
304
____________________________________________________________________________________________
PART B – MICRO ASPECTS
The implementation of dreams into Scientific Works: Review of the

State of the Art and/ or detailed Scientific Concepts of relevant topics
in the Aerospace Engineering fields of particular interest.
305
____________________________________________________________________________________________
306
____________________________________________________________________________________________
XI
TRANSONIC FLOW COMPUTATION OF SLENDER BODY OF

REVOLUTION USING TRANSONIC SMALL DISTURBANCE AND
NAVIER-STOKES EQUATIONS37
H. Djojodihardjo1, A.F.Widodo2 and E. Priyono2, W. K. Sekar3, C. Weishäupl4
and B. Laschka3
1 International Cooperation Center for Education Development, Toyohashi University of
Technology
2 Department of Aeronautics and Astronautics, Institute of Technology, Bandung,
Indonesia
3 Lehrstuhl für Fluidmechanik, Technische Universität München
4 EADS, Ottobrunn, Germany
1. Introduction
For drag minimization of slender body of revolution in transonic flow purposes,
computational schemes are developed. Selected methods are reviewed and adapted to
obtain relatively simple and fast procedures to facilitate parametric studies for drag
optimization.
The slender body integral approach was first resorted to for its elegance and its simplicity
to facilitate parametric studies for fast, analytical and structured search procedure in the
optimization scheme, such as that provided by MATLAB code. The scheme was
incorporated in the preliminary step of an optimization cycle that will have refined search
using more accurate codes at later stages.
The finite difference transonic small disturbance schemes will then be used to assess the
aerodynamic characteristics of the candidate geometries in better detail. Two different
finite-difference computational schemes have been pursued. The finite difference schemes
37 KEYNOTE LECTURE: Presented at the International Conference on Computational and Experimental

Engineering Sciences ICCES03, Corfu, Greece, 2003
307
____________________________________________________________________________________________
follow the well-known transonic small disturbance computational techniques. Resort is also
made to commercially available Navier-Stokes Flow Solvers, to validate computational
schemes developed as well as an instrument for numerical experimental studies.
The analytical method, which is based on the well-known transonic small perturbation
slender body theory elaborated in the classical and elegant exposition of Ashley and
Landahl [1], is considered to be convenient and can reveal the generic contributions of
geometrical elements to the drag.
Two finite difference type schemes have been developed. Similar to the approach of
Murman and Cole [2], Bailey [3], and Krupp and Murman[4], the first one has been worked
out [5] while the second one is the extension of the two-dimensional scheme developed
by Sekar, Weishäupl, and Laschka [6].
Computational studies using commercial Navier-Stokes flow solvers have also been
carried out [7][8]. The computational results are validated by using experimental data at
MBB [9].
2. Governing Equation for Transonic Flow about Slender Bodies of Revolution

Divergence form of Transonic Small Perturbation for axi-symmetrical slender body
 ( + 1) M 2 2  + 1 r = 0
(1 − M  )x −
2
 x   r r (1)
 2 x r
Quasi-linear form of Transonic Small Perturbation for axi-symmetrical slender body
308
____________________________________________________________________________________________
θ u
V r
X
    2 1 
 (1 − M 2
 ) − M 2
 (  + 1)  + (r ) =0 (1a)
x  x 2
r r r
Fig. 1 Schematics of axi-symmetric slender body and coordinate system
where
 =V  x + 
u = x =V  + x
v =  y = y
3. Transonic Small Disturbance Approach with Boundary Condition Derived From

Transonic Small Perturbation Integral Equation (1st TSD Method)
The governing equation for axi-symmetrical body moving in transonic flow is given by the
Transonic Small Disturbance equation
    2 1 
 (1 − M 2
 ) − M 2
 (  + 1)  + (r ) = 0 (Quasi-Linear form) (2)
x  x 2
r r r
or
309
____________________________________________________________________________________________
1
λ xx + ( rr )r = 0 (2a)
r
where
  
λ = (1-M 2 ) − (γ + 1) x M 2  (2b)
 U 
The flow tangency boundary condition at the body surface is given by the first-order
slender body approximation38:
dR
lim (rr ) = R (3)
r − 0 dx
To avoid singularities in the application of the Transonic Small Perturbation approach at
the x-axis along the length of the body, the solution obtained using integral approach for
axi-symmetrical slender bodies (Ashley and Landahl [1]), which has been developed using
inner and outer expansion of small parameter approach to the transonic small perturbation
differential equation, has been utilized. Using such approach, the disturbance potential in
the vicinity of the singularity axis can be given by:
S'(x)
φ= ln r + g(x) (4)
2π
The first term on the right-hand side of Eq. (4) can be calculated readily at the particular
point near the x-axis, and the value of φ next depends on the complete solution of the
function g(x).
Since g(x) does not depend on r, a relatively simple numerical scheme to solve for g(x)
can be constructed, which can be superposed to the first term.
3.1. Boundary Conditions

Following Ashley and Landahl [1], the boundary condition at the surface of the axi-
symmetric slender body was derived by matching the inner solution due to the singular
nature of the flow as r -> 0, and yields
38 Frank R.Bailey, Numerical Calculation of Transonic Flow About Slender Bodies of Revolution, NASA TN
D-6582”
310
____________________________________________________________________________________________
1 S'(x)
φ r = lim (4b)
r →0 r 2
So that
S'(x)
φ= ln r + g(x) (5)
2π
from the geometrical relationship : S’(x)=2 R(x) dR(x)/dx
so that
r r = R(x) dR(x)/dx (6)
or
 = R(x)ln r dR(x)/dx + g(x) (7)
Integrating (6a) between r1 and r2 yields
φi,1 = R'(x) R(x) ln r1 + φi,2 − R'(x) R(x) ln r2 = φi,2 + R'(x) R(x)  ln r1 − ln r2  (8)
The disturbance velocity along the x direction on the surface is then given by:
 ( S'(x)i +1 − S'(x)i −1 ) 
 ln R(x) + g(x)i +1,0 − g(x)i −1,0 
  2π 
v= = (9)
x 2Δ x
where g(x)i,0 = g(x)i,1 from previous step.
3.1.1. Far Field Boundary Condition
φ x = 0 and φ r = 0 (10)
3.1.2. Boundary Condition on the Shock Surfaces

To take into account the discontinuous change in velocities that occur at shock surfaces,
using the divergence form equation (1a):
 ( + 1) M 2 2  + 1 r = 0
(1 − M  )x −
2
 x   r r (1a)
 2 x r
311
____________________________________________________________________________________________
Obtain the jump condition (Lax[10])
  u1 + u 2  
(1 − M  ) − M  ( + 1)  2   (u1 − u 2 ) + (v 1 −v 2 ) = 0
2 2 2
(11)
  
 1 = 2 (12)
3.2. Grid Generation and Solution in the vicinity of the Surface

Various grid configurations have been utilized; the simplest one is the uniformly spaced
grid. The distance between consecutive points in the grid is x (along the axial direction)
and r along the radial direction.
r (inde ks j)
X (indek i)
Fig. 2 Grid generation around the axi-symmetric slender body
To avoid using excessive number of nodes, use gradually, geometrically increasing grid
spacing both in the x- and y-directions away from the slender body surface, i.e. use
x next = K 1x previous

(13)
y next = K 2 y previous
where K1 and K2 are stretching factors, between 1.05 and 1.15.(Sankar[10])
At grid points along j = 1, the velocity potential is calculated following the inner solution for
slender axi-symmetric body [1][5] as given by :
312
____________________________________________________________________________________________
S'(x)
φ= ln r + g(x) (5)
2π
g(x) is the part of the velocity potential that is invariant to r and is dependent only on x. It is
given by the following expression:
S'(x)
g(x)i,j = φi,j − ln rj (14)
2π
3.3. Finite Difference Computation
3.3.1. Disturbance Velocity along x direction on the Surface
 S'(x) 
 ln r + g(x) 
φ
=  
2π
v= (15)
x x
in finite difference form
 ( S'(x)i +1 − S'(x)i −1 ) 
 ln R(x) + g(x)i +1,0 − g(x)i −1,0 
v=  
2π
(16)
2Δ x
where g(x)i,0 = g(x)i,1 that was calculated in previous step.
3.3.2. Discretization of the Governing Equation for the Interior Points

a) central finite difference scheme for the elliptical (subsonic) regimes
λ i,j
(φ + φi −1,j ) + A k φi,j−1 + Ck φi,j+1
( Δx )
2 i +1,j
φi,j = (17a)
 2λ i,j 
 Bk + x 2 
 
  φi +1,j − φi-1,j  
i , j = β 2 − M  2 (γ + 1)   (17b)
  Δ x 
313
____________________________________________________________________________________________
1  Δr 1 
Ak = 1 − ( ) 
Δr 2  2 rj 
2 (17c,d,e)
Bk =
r 2
1  Δr 1 
Ck = 1 + ( ) 
Δr 2  2 rj 
b) Backward finite difference scheme for the hyperbolical (supersonic) regimes:
λi,j
( −2φ + φi −2,j ) + A k φi,j−1 + Ck φi,j+1
( Δx )
2 i −1,j
φi,j = (18a)
 λ i,j 
 Bk − (Δ x) 2 
 
  φi,j − φi-1,j  
i , j = β 2 − M  2 (γ + 1)   (18b)
  Δ x  
1  Δr 1 
Ak = 1 − ( ) 
Δr 2  2 rj 
2 (18c,d,e)
Bk =
r 2
1  Δr 1 
Ck = 1 + ( ) 
Δr 2  2 rj 
3.4. Iterative Matrix Solution

The flow field values are obtained by solving the finite difference algebraic equations in an
iterative fashion, starting with assumed initial values.
To facilitate rapid convergence, the Successive Over-Relaxation Scheme based on

Gauss-Seidel Merthod is employed. At iteration stage n, the flow field is calculated by
solving directly the finite-difference equations, to yield field values between n and n+1
iterations (here regarded as the (n+1/2) iteration level). The final solution associated with
(n+1)th iteration is obtained using corrector scheme:
314
____________________________________________________________________________________________
φi,jn +1 = φi,jn + ω j (φ jn +1/2 − φ jn ) (24)
j is a diagonal matrix of relaxation parameter [3].
The direct solution of the algebraic equation obtained at the n th iteration is used as the
value for the (n+1/2)th iteration. For the interior points, since both elliptical as well as
hyperbolical regimes may prevail, the numerical computation should be carried out
following different scheme for each case. The type of the differential equation for each
case can be characterized by i,j, which is defined as
  φi +1,j − φi-1,j  
i , j = β 2 − M  2 (γ + 1)   (25)
  2Δ x  
which is calculated using central difference scheme.
For the interior points, since both elliptical as well as hyperbolical regimes may prevail, the
numerical computation should be carried out following different scheme for each case. The
type of the differential equation relevant for each case can be characterized by the value of
i,j ,. Therefore it is essential to calculate first the value of i,j at each point following central
finite difference scheme.
If the value of i,j obtained is positive, proceed with central finite difference scheme .
If the value of i,j obtained is negative, recalculate i,j using backward finite difference
scheme. If i,j so calculated turns out to be negative, proceed with backward finite
difference scheme.
If i,j calculated using central finite difference scheme was found to be negative, whereas
if calculated using backward finite difference scheme turned out to be positive, then i,j is
set to be zero and the calculation then may proceed using either backward finite
difference- or central finite difference- scheme.
If upon completion of the computational sequence the solution converged, one then
proceeds by calculating the difference between the values of  obtained after the nth and
(n+1)th iteration levels, defined as the Residual:
i max j max
RESIDUAL =  in, +j 1 − in, j (26)
i =0 j =0
315
____________________________________________________________________________________________
4. TSD Equation for Axi-symmetric Body (2nd TSD Method)39

A more rigorous version of the Transonic Small Disturbance (TSD) equation is derived
from the Full Potential equation by adopting the small disturbance assumption but
retaining the nonlinear term in the flow direction to capture the shock. From the
axisymmetric conservative form [6]:
f 0 f 1 f 2 f 2
+ + + =0 (27)
t x r r
where the fluxes are defined as:
f 0 = − ( A t + B x ) (28a)
f 1 = E x + F x2 (28b)
f 2 = r (28c)
A = M 2 , B = 2M 2 ,
1 (28d,e)
E = 1 − M 2 , F =− ( + 1) M 2
2
In the computational coordinates, the TSD equation in the computational coordinates can
be described as:
  t    E   + F (  )2  +     
− A + B   +   x  x    + =0 (29)
t  x    x  
Where
x z
 (x ) =  = (29a,b)
L L
Equation (29) can be rewritten as
R ( n +1 ) = 0 (30)
where R is a differential operator.
39 Computational program developed by W.K.Sekar

316
____________________________________________________________________________________________
In the solution of the TSD equation, the disturbance velocity potential  at specified time
level n+1 is given by:
 n +1 =   +  (31)
with * as an assumed value of n+1.
By applying a Taylor approximation then the governing equation (30) can be written as:
 R 
   = −R (  ) (32)
   =
Equation (32) will be solved by an Approximate Factorization to facilitate independency of

 and  direction that will accelerate the iteration process. The LHS of equ.(32) is
approximately factored into a product of independent operator L and L as:
L L  = −R (  ,  n ,  n −1 ,  n − 2 ) (33)
Where
 3B     t   
2
L = 1 +  x t  −  x  F1 (34)
 4A    2A   
  t 2   1   t 2  1 
L = 1 −  x  −  (35)
 2A    x   2A   
F = E  + 2F   2 (36)
1 x  x
( )
R  *,  n ,  n − 1,  n − 2 = −
1
2 ( )
2 * − 5 n + 4 n − 1 −  n − 2 −
B
4A x x(
t  3 * − 4 n +  n − 1 +
x x ) (37)
(t )2   * 2 *2  (t )2   1  *
  E   + F  x   +  + 
2A x   x   2A     
a. Wake boundary conditions:
[x + t] = 0 (38a)
317
____________________________________________________________________________________________
z  =  x* + −  x* − (38b)
[ ] denotes jump of property inside the bracket across the wake.
4.1.1. Entropy Correction

An entropy correction introduced by Fuglsang [12] due to the discontinuity of pressure
across a shock wave is implemented in this TSD equation and its influence will be added
to the value of the pressure coefficient.
The total pressure distribution consist of isentropic part and non-isentropic part as follows:
C p = C pi + C ps (39)
with the pressure distribution due to the entropy jump:
2(s − s  ) / cv
C ps = (40)
 (  − 1) M 2
and the isentropic pressure distribution part:

 
2   − 1 2      −1 
C pi =  1 + M   1 −   + 2  − 1 (41)
 M 2   2  t   
5. The Navier-Stokes Equations for Axisymmetric body

The Navier-Stokes Equations, which involve the mass, momentum and energy
conservation equations can be written in the conservation form can be recast into:
Q  (E − E v ) (F − Fv )
+ + +  (H − H v ) = 0 (42)
t x y
To facilitate numerical computation, the above equation is written in Finite difference

formulation. The time derivative is approximated by a first order backward difference
quotient and the remaining terms are evaluated at time level n + 1. Then equation (42) can
be written in finite difference formulation as:
318
____________________________________________________________________________________________
n +1 n +1
Q n +1 −Q n  E   F 
+  (H )
n +1
+   +   = 0 (43)
      
Equation (48) is non-linear. Further simplification is afforded by linearized approach, which

then yields:
 E 
E n +1 = E n +   Q + O ( )
2
 Q 
 F 
F n +1 = F n +   Q + O ( )
2
(44, 45, 46)
 Q 
 H 
H n +1 = H n +   Q + O ( )
2
 Q 
where
E F H
=A ; =B ; =C (47)
Q Q Q
are Jacobian matrices
The numerical computation then is carried out by solving the following equation in the
computational grid.
 
Q +  { [E n + A nQ ] + [F n + B n Q ] +  [H n + C n Q ] = 0 (48)
 
6. Results
Computational results of the first TSD Method have been validated using experimental
results obtained at NASA Ames [4]. The general agreement for the most part of the flow
regimes is very good, in spite of the coarseness and simple nature of the computational
grid chosen, as exemplified in Figure 1a-e for M = 1.
319
____________________________________________________________________________________________
The numerical computation for validation purposes for both 1 st and the 2nd TSD scheme
has been carried out for MBB-3 Bodies of Revolution40 at zero angle of attack, at M = 1.2.
The experiments were conducted at Reynolds number of 10 Million based on the length of
the body.
For validation purposes, the results of the 2nd TSD scheme for MBB-5 and MBB-3 Body of
revolution are compared with the experimental data, as shown in Figs. 3a-e and 4a-e, for
M = 0.8 (a) and M = 1.2, (b), respectively.
Comparison of TSD1 with NASA AMES Results:
Parabola 10% c M=0.9

-0.30
Cp
-0.20
-0.10
0.00 0.20 0.40 0.60 0.80 1.00

0.00
x/c
0.10 TSP - Present Method
Eksperimen
0.20 NASA AMes
0.30
Fig 3 a Computational Results for M = 0.9 and comparison with computational and
experimental results at NASA Ames.
40 Lorenz-Meyer, W. and Aulehla, F., " MBB - Body of Revolution No. 3", AGARD AR 138, London, May
1979, Editor J. Barche.
320
____________________________________________________________________________________________
-0.20 Parabola 10% c M=0.975

Cp
-0.10
0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00
0.00
x/c
0.10
TSP Present Method
Eksperiment
NASA Ames
0.20
0.30
Fig 3 b Computational Results for M = 0.975 and comparison with computational and
experimental results at NASA Ames
Cp
-0,3
-0,2
-0,1
0 0,1 0,2 0,3 0,4 0,5 0,6 0,7 0,8 0,9 1

0
x/ c
0,1
TSP -Present Method
0,2 Eksperimen
NASA Ames
0,3
Fig 3 c Computational Results for M = 0.99 and comparison with computational and
321
____________________________________________________________________________________________
PARABOLA 10% c M = 1
-0.20
-0.10
0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00
0.00
0.10
TSP - Present Method
Eksperiment
0.20
NASA Ames
0.30
Fig 3 d Computational Results for M = 1.0 and comparison with computational and
experimental results at NASA Ames

Cp
-0,30
-0,20
-0,10
0 0,1 0,2 0,3 0,4 0,5 0,6 0,7 0,8 0,9 1

0,00
x/c
0,10
Nasa Ames
0,20
Eksperimen
Present Method
0,30
0,40
Fig 3 e Computational Results for M = 1.2 and comparison with computational and
322
____________________________________________________________________________________________
7. MBB Bodies of Revolution

The present study is focused on the MBB Bodies of revolution [*], with fore- and aft-body
geometry following 3rd order polynomials.
Further study will utilize the present results to generate other slender axi-symmetric bodies
with other aft-body geometries for optimum drag considerations.
Since experimental data are available, the geometries of MBB Body of Revolution 1, 3 and
5 [*] will be utilized both for validation as well as a reference for aerodynamic optimization
search to be pursued later. The geometries of these bodies are described below.
The forebody geometry is represented as a 3rd Order Polynomial in x direction as follows:
r(x) = a3 x3 + a2 x2 + a1 x
with:
a3 = rmax/x13
a2 = -3 rmax/x12
a1 = 3 rmax/x1
x1 = 0.5 L
The afterbody geometry represented as 3rd Order Polynomial in x : r(x) = b3 x3 + b2 x2 + b1
x + b0
with :
b3 = rmax/(x2-L)3
b2 = -3x2 rmax/(x2-L)3
b1 = 3x22 rmax/(x2-L)3
b0 = (L rmax/(x2-L)3)(3x2L-L2-3x22)
where:
x2 = 0.5 L for MBB Body of Revolution 1
with L = 800 mm and rmax = 60 mm
323
____________________________________________________________________________________________
0,2
B.o.R. 5
0,15
B.o.R. 3
B.o.R. 1
0,1
0,05
r/L
0
0 0,2 0,4 0,6 0,8 1
-0,05
-0,1
-0,15
-0,2
x/L
Fig 4 The geometries of MBB Body of Revolution 1, 3, and 5.
Pressure Distribution, MBB-1 Body of Revolution, M = 0.8
0.7
0.6
0.5
0.4
0.3
Cp
0.2
0.1
0
1
6
11
16
21
26
31
36
41
46
51
56
61
66
71
76
81
86
91
-0.1
-0.2
X - axis
TSP - Sekar Experimental Data - MBB

TSP - Present Work TSP - Present Work
324
____________________________________________________________________________________________
0.8
0.6
0.4
Cp
0.2
0
1
13
19
25
31
37
43
49
55
61
67
73
79
85
91
97
103
109
-0.2
-0.4
X - axis
TSP - Sekar Experimental Data - MBB

TSP - Present Work TSP - Present Work
Fig 5 a, b Pressure Distribution on MBB Body of Revolution
0.8
0.6
0.4
Cp
0.2
0
1
6
11
16
21
26
31
36
41
46
51
56
61
66
71
76
81
86
91
96
-0.2
-0.4
-0.6
X - axis
TSP - Sekar Experimental Data - MBB TSP - Present Work
Fig 5 c Pressure Distribution on MBB Body of Revolution
325
____________________________________________________________________________________________
MBB 3 Mach =1.2

-0.80
-0.60
-0.40
-0.20
0.00 0.10 0.20 0.30 0.40 0.50 0.60 0.70 0.80 0.90 1.00
0.00
TSD-FARID
TSD-BL-Sekar
0.20 Eksperimental
Geometri
0.40
0.60
0.80
1.00
1.20
Fig Cp
6 a Comparison
of MBB of the
1, Mach = 0.8, Results of the 1st and 2nd TSD Computational schemes with
Re=1.0E+07
0,8
0,75
MBB-3 at M = 1.2 TSD+BL
Geometri e
0,6
Geometry
Cp - TSD
0,5 EXP
Cp - TSD+BL
0,4 Cp - EXP
Cp(x/L), r(x/L)
0,25
Cp, r
0,2
0
-0,25
-0,2
-0,5
0 0,2 0,4 0,6 0,8 1 -0,4
x/L 0 0,2 0,4 0,6 0,8 1
x/L
Fig 6 b MBB-1 at M = 0.8, c. MBB-5 at M = 0.8 2nd TSD with and without viscosity
326
____________________________________________________________________________________________
0,8
0,8
Geometry Geometry
0,6 Cp - TSD
0,6
Cp - TSD
Cp - TSD+BL
0,4 Cp - EXP
Cp(x/L), r(x/L)
0,4 Cp - TSD+BL
Cp(x/L), r(x/L)
0,2
0,2 Cp - EXP
0
0
-0,2
-0,2
-0,4
-0,4
0 0,2 0,4 0,6 0,8 1
0 0,2 0,4 0,6 0,8 1 x/L
x/L
Fig 6 (d) MBB-3 at M = 1.2 2nd TSD with and without viscosity- (e): Comparison of the
Results of the 2nd TSD Computational schemes (without and with viscosity) for MBB-5 at M
= 1.2
Fig 7 Mach contour of MBB-3 Body of Revolution at M = 0.8,  = 0
327
____________________________________________________________________________________________
Cf of MBB 3, Mach = 0.8, Re=1.0E+07

0,006
RAMPANT/FLUENT
0,005
TSD+BL
0,004
0,003
Cf
0,002
0,001
0
0 0,2 0,4 0,6 0,8 1
-0,001
x/L
Fig 8 Comparison of computational results for skin-friction distribution on MBB-3 Body of

Revolution at M = 0.8,  = 0, Re = 1E+07
Cp, M = 0.8, Re=1E+07 Cf, M = 0.8, Re=1E+07

0,75 0,005
MBB1 MBB1
MBB3 MBB3
0,004
0,5 MBB5 MBB5
0,003
0,25
Cp
Cf
0,002
0
0,001
-0,25
2E-18
0 0,2 0,4 0,6 0,8 1
-0,5 -0,001
0 0,2 0,4 0,6 0,8 1
x/L
x/L
Fig 9 Influence of the aft-geometrical shape of MBB Bodies of revolution on the distribution
of pressure and friction coefficients, at M = 0.8,  = 0, Re = 1E+07
The results as exhibited in these figures indicate that the 2 nd TSD scheme has produced
very close agreement with the experimental data, in particular in the vicinity of the adverse
pressure gradient region of the afterbody, except near the trailing edge.
The results also show that the contribution of viscosity to the pressure distribution is very
minor. In Fig. 3a-d, the pressure distribution curves on the three MBB bodies of revolution
328
____________________________________________________________________________________________
at M = 0.8,  = 0, using both TSD computational schemes (and Re = 1E+07 for the 2nd
computational scheme) are compared with experimental data as well as computation
results using Navier Stokes FLUENT flow solver, while Fig.4a-e , for M = 1.2. FLUENT
result gives excellent agreement on the midsection part of the MBB-3 body of revolution.
The FLUENT results are very close to experimental data. Better grids may improve the
accuracy, at the cost of computational time. Fig. 6 compares TSD2 and FLUENT results
for skin friction.
Numerical studies using FLUENT are carried out to look into the influence of the geometry
of the trailing-edge part to the pressure distribution and drag of the body. Figs. 10 a and b
exhibit the Mach number contours for the MBB-3 Body of revolution at M = 0.8 which is
truncated at a small distance from its trailing edge (boat tailing), while Fig.9 exhibits its
influence on pressure and skin friction distribution.
Fig. 10 a and b Mach contour of MBB-3 Body of Revolution at M = 0.8,  = 0, Re = 1E+07,

truncated at a small distance e from its trailing edge (boat tailing)
329
____________________________________________________________________________________________
Drag Coefficient - Influence of Boattailing, MBB-3, M = 0.8
0.35 Cd due to pressure

Cd due to skin friction
0.3
Cf total
0.25
0.2
Cd
0.15
0.1
0.05
0
1 2 3 4 5 6
boat-tailing cut, mm from original trailing edge
Fig.11 Computational Results of Drag of various afterbody geometries at M=1.2, showing the
influence on boat tailing, calculated using FLUENT
Table 1 Computational Results for various aft-body geometries
Mach.No. Flat Base 11th Power 11th Power Tanh Tanh 1/cos MBB-3 5th Power
(TSD) (TSD)
1.2 41.107933E- 1.088242E- 1.8E-2 1.324629E- 9.38E- 3.61E02 8.93E-2

2 2 2 2
Integral 0.961009E- 10.5381E-

Method 2 2
Note:
TSD – TSD2
MBB - experiment by MBB
Power-11 : (R(x) = 1-x11
1/cos : R(x) = 1/cos(px/l)
330
____________________________________________________________________________________________
FLAT AFTERBODY 11th POWER AFTERBODY
Fig.12 Flow field and pressure distribution indicating the influence of boat tailing, calculated using
FLUENT
8. Conclusions
Performance of two finite difference type TSD-schemes following the well-known transonic
small disturbance computational techniques have been shown to give efficient and
accurate results. Following the approach of Murman and Cole [2], Krupp and Murman [3 ]
and Bailey [4], and combining with slender-body Integral formulation for the boundary
condition at the body surface [1], the 1st TSD scheme has been developed. The more
accurate second TSD scheme has been developed and extended to axi-symmetric case.
The 1st TSD computational scheme outlined can be utilized for preliminary estimation of
the transonic aerodynamic characteristics of shock-free slender axi-symmetric body
geometries. The 2nd TSD-viscous computational scheme can be utilized for detailed and
relatively rapid computation of the transonic aerodynamic characteristics of slender axi-
symmetric body geometries, including the effect of viscosity.
331
____________________________________________________________________________________________
Future work will look at the use of other numerical methods for the divergence form of the
transonic equation.
ACKNOWLEDGEMENT
The organization of the work reported here was made possible partly during the first
author’s stay during his sabbatical leave from Institut Teknologi Bandung as a Visiting
Professor at the Lehrstuhl für Fluidmechanik, then chaired by University Prof.Dr.-
Ing.B.Laschka at Technische Universität München, to whom he extends his great
appreciation, and sponsored by DAAD, and partly during his stay as a Visiting Professor at
the International Cooperation Center for Engineering Education Development at Toyohashi
University of Technology, for which he extends his thanks to Toyohashi University of
Technology, and in particular, to Professor Hiroomi Homma. The use of various
computational routines such as FLUENT was made possible through the courtesy of PT
Dirgantara Indonesia.
REFERENCES
1 Ashley, H and Landahl, M.T.(1965): Aerodynamics of Wings and Bodies, Addison-Wesley

Publishing Co., Inc., Reading, Massachusetts, USA.
2 Murman, Earll M. and Cole, Julian D.(1971): Calculation of Plane Steady Transonic Flows,
AIAA J, Vol.9, No.1, January 1971, pp.114-121;
3 Frank R. Bailey (1971): Numerical Calculation of Transonic Flow about Slender Bodies of
Revolution, NASA TN D-6582.
4 Krupp, J.A. and Murman, Earll M.(1972): Computation of Transonic Flows Past Lifting Airfoils
and Slender Bodies, AIAA J, Vol.10, No.7, July 1972, pp.880-886;
5 Djojodihardjo, H and Widodo, A.F.(2002): Small Perturbation Computational Studies Of Two-

Dimensional And Axisymmetric Slender Body In Transonic Flow, The 3rd INDO- TAIWAN
Workshop on Aeronautical Science and Technology, Bandung, Indonesia.
6 Sekar, W.K., Weishäupl, C. and Laschka, B.(2002): Flow Calculation Around Airfoils Using the
TSD Equation and Viscous-Inviscid Interaction, J. Sci. Tech. of Aeronautics, Indonesia.
7 Prijono, E and Djojodihardjo, H. (2002): Computational Study of The Aerodynamic

Characteristics of Axi-Symmetric Bodies in Transonic Flow, International Symposium on
Theoretical and Experimental Mechanics, Organized by Institute of Technology Bandung and
JICA, Bali.
332
____________________________________________________________________________________________
8 Prijono, E and Djojodihardjo, H. (2002): Computational Study of The Aerodynamic

Characteristics of Axi-Symmetric Bodies in Transonic Flow for Afterbody Geometry Optimization,
Paper ICAS 0375, 23rd ICAS Congress, Toronto, Canada, 8-13.
9 Lorenz-Meyer, W. and Aulehla, F.(1979): MBB - Body of Revolution No. 3, AGARD AR 138,
London, Editor J. Barche.
10. Lax, Peter D., Weak Solutions of Nonlinear Hyperbolic Equations and Their Numerical
Computation, Communication of Pure and Applied Mathematics, vol.7, no.1, Feb.1954, pp.159-
193.
11. Sankar, L.N. and Smith, M. J., Advanced Compressible Flow II, Georgia Institute of
Technology, 1995.
12 Fuglsang, D.F. and Williams, M.H.( 1985): Non Isentropic Unsteady Transonic Small
Disturbance Theory; AIAA Paper 85-0800.
333
____________________________________________________________________________________________
334
____________________________________________________________________________________________
XII
DEVELOPMENT AND IMPLEMENTATION OF SOME BEM VARIANTS—A
CRITICAL REVIEW
Kok Hwa Yu, A. Halim Kadarman, Harijono Djojodihardjo41
41 Engineering Analysis with Boundary Elements, Volume 34, Issue 10, October 2010, Pages 884-899
335
____________________________________________________________________________________________
Development and implementation of some BEM variants—A critical review

Kok Hwa Yu a,*, A. Halim Kadarmana, Harijono Djojodihardjob
aSchool of Aerospace Engineering, Engineering Campus, Universiti Sains Malaysia, 14300 Penang, Malaysia
bAerospace Engineering, Faculty of Engineering, Universiti Putra Malaysia, 43400 Serdang, Selangor, Malaysia
ARTICLE INFO ABSTRACT
Article history: Due to rapid development of boundary element method (BEM), this article explores the evolution of
Received 20 August 2009 BEM over the past half century. We here summarize the overall development and implementation of
Accepted 4 May 2010 several well-known BEM variants that includes collocation BEM, galerkin BEM, dual reciprocity BEM,
complex variable BEM and analog equation method. Their theoretical and mathematical backgrounds
Keywords: are carefully described and a generalized Laplace’s equation (and Poisson’s equation) is utilized in
Boundary element method (BEM) demonstrating the different approaches involved. An up-to-date review on characteristics and
Collocation BEM implementation for each of the five variants is presented and also highlighted their significant
Galerkin BEM contributions in boundary element research. In addition, this article tries to cover whole aspect of
Dual reciprocity BEM

Introduction interests including efficiency, applicability and accuracy in order to give better understanding of BEM
Complex variable BEM evolution. Comparisons and techniques of improvement for these variants are also discussed.
Boundary element method (BEM) is one of the numerical techniques designed for solving boundary
Analog equation method © 2010 Elsevier Ltd. All rights reserved.
value problems in partial differential equations (PDEs). Applied in various engineering and science
BEM development
disciplines, BEM can be considered as a major numerical method alongside with better known finite element
Review
method (FEM) and finite difference method (FDM) jointly providing effective computational solution for a wide
class of engineering and scientific problems. Like many other numerical techniques, the interest towards
BEM increased gradually over recent decades catalyzed by rapid advances in computer technology. In fact,
the statistical data based on the Web of Science search shows that the amount of annual published literature
described by BEM saw an exponential growth until late 1990s and exceeded 700 literatures annually in
subsequent years [39]. In this relatively short period of time, the evolution of BEM is tremendous. Several
comprehensive reviews on BEM recently prepared by scholars have documented various theoretical basis
and early development of BEM [39,50,106,256]. Many of the mathematical approaches presented in BEM
are associated with work of famous mathematicians and scientists. The contributions of mathematicians like
Laplace, Green, Fredholm, Fourier, Kellogg and Betti could be traced in the theoretical and mathematical
foundation of boundary integral equation (BIE) in the early 20th century (See [39] for more detailed
description on their contributions). However, pioneering work by Jaswon [113]
336
____________________________________________________________________________________________
* Corresponding author. Tel.: +60 165419737.
E-mail address: yukokhwa@yahoo.com (K.H. Yu).
0955-7997/$ - see front matter & 2010 Elsevier Ltd. All rights reserved.
doi:10.1016/j.enganabound.2010.05.001
and Symm [243] in 1963 has been marked as the formal beginning of the boundary element era. They
demonstrated direct formulation using Green’s third identity for two-dimensional Laplace’s equation, hence,
credited them as the first to formulate the potential problem in terms of direct BIE that set them apart from
existing indirect BIE. Although, in the beginning, their work did not receive much attention as they deserved,
their concept on direct approach has inspired Rizzo [219] to adopt similar approach using displacements and
tractions in integral equation. Soon afterwards, his work has attracted and inspired researchers to investigate
the potential of the new boundary integral approach. Considered as a major breakthrough in BEM, his work is
then adopted by many researchers and saw swift progress in the development of boundary integral equation
approach.
Following these early works, extensive researches and development works were carried out in 1970s to
construct the basis of modern BEM on various aspects including basic principles, applications and numerical
techniques. One must bear in mind that before BEM existed, Green’s formulation used only to reduce the
differential equation in the domain-to-boundary integral equation. Only until late 1970s, the discretization of
these boundary integrals using numerical techniques creates so-called BEMs. The terminology of boundary
element method, previously referred as boundary integral equation method or boundary integral method first
appeared in the works of Brebbia and Dominguez [28] and Banerjee and Butterfield [18] in 1977. However,
the article prepared by Banerjee and Butterfield was still based on indirect method boundary equations while
Brebbia and Dominguez presented the potential problems through a weighted residual approach using direct
version. A year later, Brebbia [25] published the first textbook of BEM focusing on basic
principles and its application to potential and elasticity problems, created a major advance in BEM. At the
same time, enormous research efforts have been directed in expanding the development of BEM. One of
the significant achievements was the implementation of substructure technique in BEM presented by Lachat
[143,144] which overcome one of the major drawbacks in BEM: nonsymmetrical matrix. On the other hand,
apart from conventional BEM in frequency domain, the time domain BEM was later introduced by Cole et al.
[46] for anti-plane strain problem in two dimensional elastodynamics and then improved by Mansur and
Brebbia [153,154] to accommodate scalar wave problem. Following the extension of this formulation, the
BEM can be employed to investigate the transient behavior and also nonlinear problems. The detailed
theoretical basis for these problems (nonlinear and time-dependent problems) can be obtained in textbooks
written by Brebbia and his colleagues in [30,31]. Soon, the BEM was further extended to cover a wide scope
of solid mechanics [6,249] and fluid mechanics [32] problems. Thanks to early development prepared by
numerous researchers including Brebbia and his fellow colleagues who directly involved in constructing the
blueprint of modern BEM which then well received by the scientific community that nowadays the BEM has
been adopted by many researchers covering countless specialized areas such as acoustics [8,45,253,262],
337
____________________________________________________________________________________________
contact mechanics [152], dynamics analysis [61], solids and structures [9,231], soil-structure interactions
[84], nonlinear fluid dynamics [20], heat transfer [262,263] and quantum mechanics [215]. With the solid
foundation and rich heritage, BEM emerged as a powerful method and thus become a strong alternative to
the FEM and FDM.
1. Boundary integral equation
Unlike FEM and FDM, as the numerical implementation of boundary integral equations, BEM requires
surface-only discretization. The BIE re-formulations of boundary value problems for partial differential
equations are valid everywhere-interior and exterior of the domain and also on the boundary, giving it a big
advantage since most of the engineering and scientific applications can be described by PDEs. Note,
however, that not all PDEs can be transformed into integral equations, and therefore, it is crucial for
researchers to be able to understand the classification of PDEs and the concept behind each class. In most
mathematics books, these PDEs can be classified as being elliptic, parabolic, or hyperbolic type according
to the form of the equation. In second order PDE (the order of a PDE indicates the order of the highest order
derivative found in the PDE), the differential equation is considered as: (1) elliptic equation when the
coefficients of both no mixed second-order derivatives are nonvanishing and of the same sign. (2) parabolic
equation when only one second-order non-mixed derivative term is present and of opposite sign. (3)
hyperbolic equation when the coefficients of the non-mixed two second-order derivatives are nonvanishing
and opposite in sign. Moreover, elliptic PDEs have boundary conditions specified around a closed
boundary, whilst hyperbolic and parabolic PDEs have at least one open boundary. Thus, elliptic equations
are often used to describe systems in the equilibrium or steady state whereas the parabolic equations being
utilized for demonstrating physical systems with a time variable, diffusion like phenomena, and for the
hyperbolic equations, they are frequently used to describe oscillatory systems especially wave-like
phenomena. In addition to the classification mentioned above, PDEs can be presented as single PDE or
systems of PDEs with multiple variables. Although the integral equation re-formulation can only be derived
for certain classes of PDE, it is much easier to apply and more computationally efficient, if applicable.
Therefore, it is critically important to know the characteristics of each differential equation in order to employ
the right numerical technique. To date, the integral equations have been successfully applied to describe
various physical disciplines such as elastostatics, electrostatics, electrodynamics, elasticity, plasticity, heat
transfer, acoustics, fluid dynamics and so on. Table 1 illustrates some applicable areas for linear and
nonlinear problems distinguished into classes of PDEs.
338
____________________________________________________________________________________________
Table 1
Applicable areas for different classes of PDEs.
Linear Nonlinear
Single second-order PDEs
(A) Elliptic (A) Hyperbolic
Laplace’s equation Burgers’ equation
• Electrostatics • Fluid mechanics
• Incompressible potential flow
• Heat Conduction (Steady state, no heat
generation)
Poisson’s equation
• Electrostatics
• Electromagnetics
• Heat Conduction (Uniform thermal
conductivity, steady state, heat generation
within the solid)
Helmholtz equation
• Acoustics (Interior and exterior problem)
• Optics
(B) Parabolic
Diffusion/Heat equation
• Heat Conduction (Uniform thermal
conductivity, no heat sources)
Schrodinger’s equation
• Quantum mechanics
(C) Hyperbolic
Wave equation
• Acoustics
• Fluid dynamics
Single fourth-order PDEs

Biharmonic equation
• Thin plate problem
• Fluid-flow problem
System of PDEs
Navier’s equation Navier-Stokes equation
• Elasticity problem • Fluid dynamics
Maxwell’s equation Euler’s equation

• Electromagnetics • Fluid dynamics
1.1. Laplace’s equation
Despite the variety, Laplace’s equation is widely preferred by scholars when introducing the BEM to the
reader and we noticed, in general, the elliptic equations have a well-developed theory and some equivalent
forms of BIE. Hailed as the most simple and prominent example, Laplace’s equation is typically utilized in
formulating the potential problem in which the solution is harmonic. Thus, in studying the development of
BEM, Laplace’s equation (and Poisson’s equation) is generally utilized in demonstrating the different
approach adopted by each BEM variants. For convenience, the standard Laplace’s equation with the
corresponding notation described by Brebbia in [25,27,30] is then employed in this section to assist the
understanding of concept behind the transformation of PDEs into integral equations form. Following this, let
339
____________________________________________________________________________________________
us begin this section with basic equation in which two-dimensional Laplace’s equation is considered.
Laplace’s equation can be expressed as follows:
 2 u = 0, u in  (1)
Where the domain Ω is shown in figure below.

Here two BEM approaches can be used in solving Laplace’s equation: ‘direct’ and ‘indirect’. For
direct approach, the integral equation is derived using Green’s second theorem,
 u u * 
 ( u *  u − u u *)d  =   u * n − u d 
2 2
  n 
and leads to

u *  2 ud  =  qu * d  −  uq * d 
2 1
with both u and u* satisfy Laplace’s equation where the potential function, u, satisfies 2u = 0 everywhere in
the solution domain while function u*, known as fundamental solution satisfies  2 u* = 0 everywhere except
at source points. Similarly, the derivative for fundamental solution can be obtained using q* = u* / n. Here
Green’s second identity is utilized in reducing the dimensionality of the problem. Integrating the left-hand
side
of Eq. (3), one obtains
 (  u *) ud  =  uq * d  −  qu * d 
2
  
Since the function u* is the fundamental solution to Laplace’s equation, the solution can be written
2u* = −2i
where the Dirac delta function, i tends to infinity at point x = xi and equal to zero anywhere else and the
integral of i however is
Fig. 1. Geometrical notation for Laplace’s equation with two different types of boundary conditions
(i) u = u on 1 ( Dirichlet boundary condition ) .

u
(ii) q = = q on  2 ( Neumann boundary condition ) .
n
where boundary  = 1   2 and n is the normal vector to the boundary with potential function u is specified
(Dirichlet) or its derivative q is specified (Neumann), both indicated with bar sign.
340
____________________________________________________________________________________________
equal to one. Thus, the fundamental solution can be taken as u* = − ln r 2 for two-dimensional cases where
r is the distance from source point x to field point y. This function is also sometimes known as Green’s
function which can be expressed as G ( xy ) = − ln r 2 . Therefore, Eq. (4) can be reformulate and rewritten as
c ( x ) u ( x ) =  q ( y )u * ( x, y ) d  −  u ( y ) q * ( x, y ) d 
 
where
0 if x is in exterior of domain 

c ( x ) = 1 2 if x is on smooth boundary 
1 if x is in domain 

Eq. (6) is known as the boundary integral equation for Laplace’s equation where the coefficient c(x) depends
on the position of point x. In mathematical point of view based on the description written by Arnold and
Wendland [15], the Eq. (4) can be categorized into three typical classes of mathematical problems. For
coefficient c=0, it best describes the exterior problems (e.g. incompressible flow, electromagnetic fields,
plane elasticity, steady-state thermoelasticity and exterior acoustics problem) in which the singular integral
equations with a Cauchy’s kernel appeared. For c=1/2, the BIE is applicable to surface problems including
normal derivative of double layer potentials in acoustics, ideal flows and plane elasticity. Meanwhile, its
application on interior problem consisting of an integro-differential operator of second order, is obtained once
using coefficient c=1. Other than that, special cases involving first kind integral equation with logarithmic
kernel (Symm’s integral equation) can be established while assuming c=1/2 and is frequently applied in
areas like conformal mapping, torsion problems, plane elasticity, Stokes flows and electrostatics.
On the other hand, the indirect approach (a.k.a. classical or source method) is written in terms of
source density functions defined by the boundary. The source density however has no specific physical
significance. In the indirect approach, reformulation of integral equation is obtained by writing layer potential
u by including unknown density ,
u =   u * d

The above integral equation is the solution for the Neumann problem whereas the solution of the Dirichlet
problem can be obtained when the unknown function u is formulated by adding double-layer potential with
unknown density µ,
u *
u= u d
 n
This indirect approach has been well known and leads to the formulation of lifting surface methods pioneered
by Hess and Smith [91]. Moreover, the work of Djojodihardjo and Widnall [60] is one of the example of early
manifestations of indirect BEM approach. Although the direct and the indirect methods have different
techniques in solving PDEs, both can be derived from their integral expression. In fact, Brebbia and
341
____________________________________________________________________________________________
Butterfield [26] proved that the direct and indirect BEMs are equivalent. For interested reader, we refer to the
standard textbooks [27,30] for further elaboration on both approaches.
2. Development of BEM variants
Using similar boundary integral equation mentioned, numerous BEM variants were created thanks to
enormous efforts by researchers for the past three decades. In this review paper, the overall development of
five well-known BEM variants composing collocation boundary element method (CBEM), Galerkin boundary
element method (GBEM), dual Reciprocity boundary element method (DRBEM), complex Variable boundary
element method (CVBEM) and analog equation method (AEM) were discussed. Among a choice of nearly 40
BEM variants, they were selected based on their significant contributions in boundary element research and
at the same time, possesses solid foundations with establishment duration over 15 years. Practically, these
BEM variants can be divided into two major groups—boundary integrals and domain integrals [217]. The
boundary-type integrals can be discretized directly using boundary elements and they often contains kernels
which are singular or hypersingular (singularity of an order greater than one). As for domain integrals, they
will need to be transformed into a boundary one via analytical or numerical approaches before discretizing
them into boundary elements. In the analytical approach, the conversion of domain-to-boundary is mainly
based on Green’s identities. Meanwhile, the technique for transferring the domain integrals into equivalent
surface integrals using a set of radial basic approximation functions presents a numerical treatment of
domain integrals. In dealing with boundary or
domain integral equations, this article tries to
outline the evolution of the theoretical and
mathematical basis of each BEM variants along
with the way they were being implemented in a
systematic way. As the boundary is discretized,
the BIE is then numerically approximated,
leading to the concern of its stability and
convergence properties. The accuracy of each
BEM variants which mainly based on their
choice of numerical technique is widely
discussed in the subsequent subtopics. Fig. 2
outlines the structure of several BEM variants
focusing in giving a clearer picture of BEM
Fig. 2. Classification of BEM variants
evolution
342
____________________________________________________________________________________________
3.1. Collocation boundary element method
The collocation boundary element method (CBEM) is one of the earliest variant in BEM and often known as
traditional
collocation boundary element method (TCBEM) or classical BEM.
The implementation of collocation method in BEM can be traced as far as in the sixties, where this method
was pioneered by Jaswon [113] and Symm [243] when they discretized the boundary of a domain by a set of
points with straight lines in potential theory problems and then by Rizzo [219] as corresponding numerical
solution in elastostatics. At the beginning of BEM
development, this basic concept of implementing collocation method in BEM has been promising due to its
generality and simplicity. For this particular variant, the disretization of boundary integral equations is based
on the nodal collocation method in which the approximated boundary integral equation is evaluated on the
interpolation nodes. A number of discrete points (nodes of elements) on the problem boundary were chosen
and it was assumed that the integral equation is satisfied at these points. In order to do so, the governing
equation for direct BEM obtained from Eq. (6) can be rearranged as
cu =  uq * d  =  qu * d 
 
Then, the boundary is discretized into a series of N elements. Taking the elements mid points as collocation
nodes, Eq. (9) becomes
N N
cu +   uq * d  =   u * qd 
j j
j =1 j =1
for j=1,...,N. Assuming the u and q values are constant within each element, we can rewrite it as
 N   N 
cu +    q * d   u j =    u * d   q j
j j
 j =1   j =1 
which can be summarized in the form:
 Au =  B q
343
____________________________________________________________________________________________
The numerical method mentioned above is the classical collocation procedure which also known as the
nodal collocation that leads to the linear system connecting functions u and q on boundary collocation nodes.
The complete and detail mathematical description on the nodal
collocation in direct BEM can be found elsewhere, e.g. in [27,30,174]. Due to its simplicity, many researchers
found it easy to implement and as a result, most of the boundary value problems at the beginning of BEM
development are based on collocation method. Therefore, the collocation BEM has been adopted in diverse
engineering-related discipline, such as elastostatics [49,142,219], transient elastodynamics [48,51, 155],
thermoelasticity [220], plate bending [90], thin plate analysis [187], fracture mechanics [156,257], Stokes flow
[68,140,214], plane wave radiation and scattering problem [198] and acoustics [10,45,199]. In addition, the
collocation-based direct BEM was extended for nonlinear boundary value problem [225] (i.e. elastoplastic
problem [19,44,248]). Practically, the numerical solution for BIE usually employs either constant, linear,
quadratic or higher element discretization of the surface as boundary elements, depending on their expected
accuracy. One of the most preferable techniques in this variant is the piecewise polynomial collocation
method which appears to be more adaptable to specific problems and achieves better outcome in the
standard cases especially in the linear case [227]. In spite of all those mentioned above, which may appear
to be an ideal numerical solution in solving the BIE, the nodal collocation was not employed in indirect BEM
in the past. This is due to the difficulties associated with the evaluation of the hypersingular integrals of the
indirect BEM. Furthermore, some of the researchers raise concern on the accuracy of the collocation
approach. In fact, significant number of published articles mainly discuss about the convergence analysis of
collocation approach; and among them, extensive analysis was performed by Arnold et al. [14,16,17],
Ruotsalainen [224] and Juhl [115], and covered various aspects and provides strong evidences on this issue
in their report. In conclusion, they pointed out that the collocation BEM often produces results with poor
convergence and it is unlikely to employ this technique on bodies with edges as it displays a strong
singularity at corner points. Due to this, the collocation method appears to be less efficient. In response to
that, Juhl [115] suggested two different approaches with the aim to boost the rate of convergence for this
particular case (bodies with edges). One applies specialized shape functions replacing the mid-element node
and another adopted the so-called generalized quarter point technique by shifting the mid-element node
approximately one fourth of an element length. Moreover, the lack of symmetry problem later noticed in the
CBEM often cost the loss of computer efficiency, especially in the boundary element method/finite
element method (BEM/FEM). Therefore, a new variant in the CBEM family known as the symmetric
collocation BEM (SCBEM) was presented by Yu [274] in solving the elastodynamic problems. This approach
retains the advantages of the collocation approach while employing symmetry coefficient matrix aiming to
save memory storage. In addition, a modified CBEM was recently presented by Rüberg and Schanz [223] for
static and dynamic problems which is applicable to vector problems (i.e. elasticity) and dynamic problems
(i.e. acoustics and elastodynamics). Compared to standard collocation procedure, the modified CBEM is
344
____________________________________________________________________________________________
based on a mixed approximation formulation on primary variable (e.g. potentials or displacements) and on
dual variable (e.g. surface fluxes or tractions).
3.2. Galerkin boundary element method
Another approach implemented in BEM discretization procedure using one of the weighted residual
techniques called Galerkin method, formed a new variant—Galerkin boundary element method (GBEM).
Apparently, the Galerkin approach for boundary integral equation was originated from the work of Bui [34] in
fracture analysis where the problem of a plane crack with arbitrary shape is
investigated. However, this approach, at that time, still unnoticed by the scientific community as researchers
were at the stage where they started to employ the collocation approach for boundary value problems. The
work of Wendland [258] on asymptotic convergence of Galerkin approach, however, changes the fortune of
this particular approach. Compared to collocation approach, Galerkin approach shows its potential in solving
boundary value problems in terms of singular and hypersingular integral equations and is superior than
collocation approach for obtaining more accurate results. Comparison between Collocation and Galerkin
approach done by several scholars in various aspects such as computing time [15], stiffness matrices [55],
time-domain BEM formulation applied to the wave propagation problem [232] and its stability [275] further
explain the characteristic and performance on both methods. Unlike the collocation procedure, the Galerkin
approach does not involve specific point satisfying the integral equation but requires double integrals on
   . In order to formulate the standard GBEM, the BIE for Laplace’s equation from Eq. (6) can written as
P(x) = c(x)u(x) +  u(y)q* (x,y)dΓ- q(y)u* (x,y)dΓ (13)

Γ Γ
and the corresponding equation for the normal derivative of u with respect to point x could be obtained as
u q* u*
F(x) = c(x) (x) +  u(y) dΓ -  q(y) (x,y)dΓ (14)
N Γ N Γ N
in which both P(x) and F(x) are the residual of the Eq. (13) and (14). According to the Galerkin scheme, the
integration of weighted residual statement over the surface is equal to zero where the statement is formed by
multiplying the residuals with the chosen weight functions. Thus, it can be formulated in the form
Γ
ψk (x)P(x)dx = 0 (15)
Γ
ψk (x)F(x)dx = 0 (16)
where Eq. (15) can be employed for Dirichlet-type surface and Eq. (16) for Neumann-type surface with
 k ( x) as the preferred weight functions. These weighting functions can be expressed by the shape functions
obtained by interpolating the boundary functions u and its normal derivative. Due to this, the Galerkin
approach is generally more accurate than Collocation approach as the error of satisfying the Eq. (6) are
minimized. Further description on the Galerkin procedure in direct BEM can be obtained in [188] for plane
elastostatic problem. Emerged as an alternative approach to the well established CBEM, the Galerkin
345
____________________________________________________________________________________________
approach in BIE then extended for other standard cases such as in elastoplastic problem [151], electrostatics
problem [21], Stokes flow [52], acoustic scattering problem [38,83,114], electromagnetic scattering problem
[33], acousto-aeroelastic problem [58,59], etc. For indirect approach, the implementation of the Galerkin
formulation can be seen in articles by Lean et al. [146] for electrical engineering problems and nonlinear heat
conduction problem by Routsalainen and Saranen [226]. Although regarded as more complicated and
significantly slower techniques compared to collocation, the Galerkin method which concentrated on the
evaluation of double integrals has its advantage by offering treatment to the hypersingular integrals with
standard continuous elements—constant, linear, quadratic or higher order elements. Hence, the capability in
solving the hypersingular equations is proven to be advantageous for the Galerkin approach in dealing with
crack analysis where singular equation alone provides insufficient information [47,239]. Furthermore, the
description written intended for the numerical integration on both singular and hypersingular BIE using the
Galerkin approach for 2D problems is available in [3,4] and 3D problems in [2]. Similar work regarding
evaluation of singular and hypersingular based on Galerkin technique is also discussed by Gray and his
coworkers [75,77,79,81]. Opposed to the Collocation approach, the Galerkin approach holds advantage
where it is easier for Galerkin approach to formulate a natural symmetry BIE as the x and y are treated
evenly. This is noticed since the early birth of GBEM which is highlighted by Sirtori [235] in the linear elastic
analysis of the homogenous continuum and Hartmann et al [89] for elasticity in beams. The described
symmetry matrices in elasticity then adopted and further developed by Maier and his coworkers in
elastoplastic analysis [151], elasticity [236], plasticity [150] and gradient plasticity [149]. The extended
Galerkin formulation is called Symmetric Galerkin Boundary Element Method (SGBEM) associated with its
symmetric matrices features. In this BEM variant, the fundamental solution also known as Green’s function,
and its derivatives satisfy the following symmetry properties:
u* (x,y) = u* (y,x), u * (x,y)/n = - u * (y,x)/n,
u* (x,y)/N = - u* (y,x)/N, u* (x,y)/n = - u * (x,y)/n,
 2 u* (x,y)/Nn =  2 u* (y,x)/Nn (17)
With these additional symmetry features, it will significantly lessen the computational work and thus,
SGBEM has been chosen and implemented in a wide range of scientific applications: fracture analysis
[72,76,80,201,240], steady and incompressible flow [35], plate bending analysis [186,197], analysis of
Kirchoff elastic plates[71], heat conduction [241], viscoelastic problems [195], elastodynamics [276] and
plasticity [148]. Moreover, interested readers may refer to extensive literature review on SGBEM
documented by Bonnet et al. [24] which gives a greater understanding on this particular method with broad
citation. In their review paper, the discussions on SGBEM are mainly focused on areas divided into several
subtopics including linear elastic problems, elastic-plastic quasi-static analysis, fracture mechanics, time-
dependent problems, variational approaches, singular integrals, approximation issues, sensitivity analysis,
346
____________________________________________________________________________________________
coupling of boundary and finite elements and computer implementations. Subsequently, a textbook totally
devoted to SGBEM was recently written by Sutradhar et al. [242], and provides an updated information
regarding SGBEM including the current development with fairly detailed survey of visualization techniques
with corresponding software. In addition, a symmetric Galerkin MATLAB educational program called BEAN is
also presented in the book and available for download at http://www.ghpaulino. com/SGBEM_book. In an
attempt to expand the SGBEM applicability, the SGBEM was then extended by Pe´ rez-Gavilań and Aliabadi
[196] in which the modified method can be demonstrated for multi-connected bodies. However, in their
following reports [193,194], they also pointed out that the applications of symmetric Galerkin boundary
element method to multiple connected regions, where at least one closed boundary is subjected to Neumann
boundary condition only, will result in non-uniqueness. To overcome the non-uniqueness problem, they
proposed a new approach which consists of partitioning the domain in two simply connected subregions to
deal with the nonuniqueness in symmetric Galerkin scheme. In another case, Gray and Griffith [78] proposed
a modified Galerkin approach in order to improve the computational efficiency of Galerkin approach which
can be applied on singular and hypersingular equations. To demonstrate the improved version of the
Galerkin approach, the Dirichlet problem will be considered here. From the Eq. (15), the coefficient matrix
can be taken from the integrals

 k ( x)  q( y )u* ( x, y )dydx

(18)

 k ( x)  u ( y )q* ( x, y )dydx

(19)
In the proposed approach, the modification involves implementing the Galerkin on outer x integration
and inneryintegration,

 m ( x)   I ( y)u* ( x, y)dydx

(20)

 m ( x)   I ( y)q* ( x, y)dydx

(21)
in which the boundary functions u(y) and q(y) have been replaced by their approximations,
u( y) =  u( yl ) l ( y) (22)
l
q( y) =  q( yl ) l ( y) (23)
l
This simple modification was reported to decrease computation time by 20–30 percent for computing the
non-singular integrals and has significantly improved the computational performance, especially for moderate
to large scale problems. Another effort to improve the computational efficiency of the GBEM proposed by
Wang et al. [254] demonstrated in solving two-dimensional elastostatics problems involving numerous
inhomogeneities. Block computation techniques were employed by computing the combined influences of
groups of elements using asymptotic expansions, multiple shifts and Taylor series expansions.
347
____________________________________________________________________________________________
In addition to all mentioned above, there are two other subclasses of Galerkin approach known as the
Galerkin–Bubnov Indirect Boundary Element Method and Wavelet Galerkin Boundary element method
(WGBEM). Often, the densely populated system matrices resulting from traditional discretizations of integral
equations cost a major concern. As a solution, a new alternative technique employing wavelets as the basis
functions and weighting functions in the Galerkin BIE discretization was proposed. The early initiative
implementing wavelet Galerkin scheme in boundary integral equation can be traced back to the literature
written by Lage and Schwab [145] in 1999 on waveletbased Galerkin discretization of second kind integral
equations for piecewise smooth surfaces. At the same time, a fully discrete wavelet Galerkin scheme for the
2D Laplacian was presented by Harbrecht and Scheider [88] and later extended to three dimensional [85].
From their work, a new approach which known as wavelet Galerkin boundary element method (WGBEM)
was created and then utilized by researchers in engineering fields with successful implementation in
electromagnetic shaping [66,67], acoustics scattering wave [86], elasticity [64] and electrostatic analysis
[268]. To understand more on WGBEM, the Fredholm’s integral equation of the first kind from Eq. (6) for
Dirichlet problem is considered,
Au ( x) =  q( y )u* ( x, y )d  = f ( x) (24)

which appears as a single-layer equation and also can be represent as
Au ( x) = c( x)u ( x) +  u ( y )q* ( x, y )d  (25)


Introducing the weighting function in the Galerkin discretization by referring to Eq. (15), the matrix
system entries Ac can be formulated as
A =   k  q( y )u* ( x, y )d  (26)
 
Thus, the integral equations with the single-scale basis can be expressed in the linear system form as
A u = f (27)
However, in the WGBEM, wavelet bases are employed instead of using the single-scale basis which is
commonly applied in the traditional Galerkin approach. There are dozens wavelets that can be chosen and
primarily categorized as either orthogonal [63,64] or biorthogonal [87,88]. The selection of wavelets depends
on their characteristics, mainly on orthogonality, vanishing moments and smoothness. Consequently, the
implementation of wavelet bases in Galerkin discretization leads to sparse matrices. These nonrelevent
sparse matrix entries which can be negligible and treated as zero will be discarded in the latter part by
employing the wavelet matrix compression introduced by Beylkin et al. [23]. The matrix compression which
can be done using A-priori compression or A-posterior compression is one of the important factors in order to
achieve an efficient computational method [53,269]. Investigation on multiwavelet basis function was also
348
____________________________________________________________________________________________
presented by in the work of several scholars [5,145,270]. In general, WGBEM offers a new class of fast
solution for the integral equations other than multipole and panel clustering.
Another variant known as Galerkin–Bubnov Indirect boundary element method (GB-IBEM) was first
implemented in solving the antenna radiation over lossy half-space developed by Poljak [203]. However, the
implementation of the Galerkin–Bubnov scheme in boundary integral equation can be seen in the work of
Rolics [221,222]. For the Galerkin–Bubnov scheme, the weighting function is obtained in the same form with
the weight function for Galerkin approach (but with arbitrary coefficients). In several literatures
[36,205,206,208,209,211,212], GB-IBEM is preferred for treating Pocklington’s integro-differential equation
arising from electric field integral equation which can be written in the operator form as
KI = E (28)
Given E as the excitation with K represents linear operator, unknown function I can be computed. However,
the unknown function can also be expressed by the sum of a finite number (n) of linearly independent basis
functions f i with unknown complex coefficients Ii:

n
I n =  I i fi (29)
i =1
Therefore, employing the weighted residual approach with the Galerkin–Bubnov procedure, the operator
Eq. (28) transforms into a system of algebraic equation
n
I 
i =1
i  K ( fi ) f m dz =  Ef m dz, m =1, 2,..., n

(30)
This approach which contains unknown sources can be pointed out as an indirect boundary element
method. Full details for this approach can be obtained from textbooks [204,207]. Frequently used in dealing
with the electric field integral equation, the Galerkin–Bubnov scheme demonstrated the electromagnetics
analysis for antenna with partially penetrating the ground [36,205], above ground [211] and fully buried in the
ground [206,208,209,212]. It was also extended for investigating the effect of electromagnetic field on human
body [210].
3.3. Dual reciprocity BEM
In 1982, Brebbia and Nardini presented a new alternative approach in solving the elastodynamic
problem at the international conference on soil dynamics and earthquake engineering and the same article
[29] was published in 1983. The proposed approach also addressed in [158] where the statical fundamental
solution is employed in solving the dynamic problems which demonstrated conversion of free vibration
problem to frequency independent algebraic eigenvalue problem on homogeneous elastic bodies. Thus,
making the boundary integrals only computed once and therefore producing an efficient and accurate
alternative method. This new BEM variant was later named dual reciprocity boundary element method
349
____________________________________________________________________________________________
(DRBEM). Unlike any other variants, this method has the ability to handle the domain integrals even
nonhomogeneous is involved. To explain the DRBEM, basic formulation of Poisson-type equation in the form
2u = b (31)
subjected to similar boundary condition mentioned earlier for Laplace’s equation. Function b in the integral
equation can be represented by
(i) b = − (u / x) in the convective problem ( 2 u = − (u / x))
(ii) b = (1/ k )(u / t ) in the diffusion problem
( 2 u = (1/ k )(u / t ))
(iii) b = −  2 u in the Helmholtz equation ( 2 u +  2 u = 0)
(iv) b = ( 2 u / t 2 ) +  (u / t ) +  sin u in the sine-Gordon equation (( 2u / t 2 ) +  (u / t ) = 2u −  sin u )
Applying the standard boundary integral approach, an integral equation analogous to Eq. (6) can be
obtained.
ci ui +  uq* d  −  qu* d  =  bu *d  (32)

  
Note that the right hand side of the equation contains domain integral. Here the domain integral can be
transformed to boundary integral using the dual reciprocity method featuring the main component of DRBEM.
In order to attain that, function b can be approximated as follows:
N
b   j f j (33)
j =1
where N is the number of collocation points,  j are a series of unknown coefficients which can be
determined by collocation method, while f j are a set of approximating functions usually applied as the radial
basis approximation functions


f j =  r k =1 + r + r 2 + ... (34)
k =0
with the particular solutions written as
 2 uˆ j = f j (35)
Multiplication of Eq. (31) with fundamental solution of Laplace’s equation u* and integrating over the
domain  produces the equation

u* 2ud  =  u*bd 

(36)
350
____________________________________________________________________________________________
Substituting Eq. (33) and (35) into Eq. (36) yields,

N +L
 
( 2 u )u * d  =  
j =1
j 
( 2uˆ j )u *d  (37)
Applying integration by parts twice for the domain integral term, Eq. (32) can be rewritten as
( )
N
ci ui +  uq* d  =  u* qd  =   j ci uîj +  uˆ j q*d  −  u *qˆ j d  (38)
   
j =1
As expected, domain integral in Eq. (32) is eliminated and replaced with boundary integral shown in Eq.
(38). The subsequent discretization and its solution will follow standard BEM procedure. Full description of
this particular method can be obtained from the work of Patridge et al. [191]. Since proposed in 1982, the
DRBEM experienced continuous progress which tends to improve the current formulation. For example,
although the linear radial basis function f j =1 + r is commonly adopted in the beginning of DRBEM
development, Zhang and Zhu [277] investigated and compared the accuracy by using different selection of
terms from Eq. (34) where r term is replaced by r 3 which has proven to be more superior with minimum error.
In fact, there are other radial basis functions applicable in DRBEM and they are
(i) Duchon radial cubics, f j = r 3
(ii) Radial quadratic plus cubic, f j =1+ r 2 + r 3
(iii) Thin plate splines, f j = r 2 ln r
(iv) Multiquadric, f j = (r 2 + c 2 )1/2
(v) Gaussian, f j = exp(-r 2 /c 2 )
where cis a specified constant. Apart from radial basis functions, many kind of approximation functions have
been proposed including global basis functions (i.e., polynomial series [40,189], trigonometric series
[65,189,247] and hyperbolic series) which can be used to replace locally based radial basis function. These
global basis functions in generalized form with m, n = 0,1,2,... were listed in Table 2. In addition, Partridge
and Sensale [192] suggested a hybrid approximation functions by augmenting radial basis functions with
appropriate global expansions. With so many kind of approximation functions available, a study on the
criteria of selection for a given problem was summarized by Partridge [190]. He concluded that the main
considerations in selecting the f function rely upon the characteristic of the domain integral where different
cases (i.e. known functions, unknown functions without derivaties (steady case), unknown functions with
derivatives (steady case), unknown functions with derivaties (transient case), nonlinear functions and internal
351
____________________________________________________________________________________________
nodes) would adopt different approach in order to get the best performance. Furthermore, the convergence
properties of the radial basis functions and global basis functions demonstrated in [40,271] shows superior
convergence properties when employing the global basis functions.
In other aspect, the implementation of DRBEM was extended to the case of potential problems with
arbitrarily distributed sources [167] and also in the nonlinear problem, for example in the diffusion problem
[264] involving nonlinear features such as nonlinear material, nonlinear boundary conditions, nonlinear
sources inside the domain and moving interface problems. Apart from Poisson-type equation, DRBEM is
also employed for integral equation involving biharmonic operator  4 , especially structural analysis of plates
like bending problem [118], buckling problem [65], large deflection problem [255] and vibration problem [54].
Moreover, the application of DRBEM to date has successfully been implemented in areas including heat
conduction problems [12,22,234,244–246,265–267], heat convection problem [41], convective-diffusive heat
problem [228,229], fluid flow problems governed by the Navier–Stokes equation [42,70] and crack problem
[7,252]. As DRBEM proved to have practical applicability,
Table 2 . Example of the global basis functions in generalized form

Global basis function Generalized Equation
Polynomial series f j = xm y n
Fourier sine series f j = sin mx sin ny
Fourier cosine series f j = cos mx cos ny
Hyperbolic sine series f j = sin h mx sin h ny
Hyperbolic cosine series f j = cos h mx cos h ny
It was later extended to three dimensional problems [1,73,250]. In addition, the DRBEM based on multi-
domain approach was proposed to improve the performance of DRBEM and applied to nonlinear convective-
diffusive equations [213], velocity-traction formulation of the Navier–Stokes equations [70] and non-
Newtonian Stokes equations [69]. The review of multi-domain DRBEM in terms of performance and
implementation in 3D problems can be obtained from [159].
Few years after the dual reciprocity method was established, Nowak proposed an addition to the dual
reciprocity BEM family by presenting multiple reciprocity boundary element method (MRBEM) through
introduction of a sequence of higher order fundamental solutions derived from the Laplace operator. Also
known as multiple reciprocity method (MRM), this technique was first applied for transient heat transfer [169]
and then employed to the Poisson [172] and Helmholtz equation [171]. As an extension of DRBEM, MRBEM
preserved the reciprocity theorem although the technique implementing it is different. In MRBEM, sequences
of higher order fundamental solutions and source function laplacians employed can be formulated as
 2 uk* +1 = uk* (39)
352
____________________________________________________________________________________________
 2 bk = bk +1 (40)
where k=0,1,2,... Now, consider the same Poisson’s equation from Eq. (28) with an extra subscript ‘‘k’’ for
the function b,
 2 u = bk (41)
Start with k = 0,
 2 u = b0 (42)
and the integral equation obtained from Eq. (32) can be written
ci ui +  uq0* d  −  qu0*d  =  b0 q0*d  (43)

  
while bearing in mind that q0* = u0* / n and the fundamental solution also with similar subscript ‘‘0’’. Using the
relationship in Eq. (39), domain integral in Eq. (43) can be transformed to boundary integral by applying the
reciprocity theorem, which gives
 b 
 b u d =  b ( 2u1* )d  =  b0 0 d  +  u  2b0 d 
* *
 0 0  0 
 n   1
(44)
Utilizing the relationship in Eq. (40), one can obtain new function b1 such that
b1 =  2 b0 (45)
Consequently the domain integral from the right hand side of Eq. (44) can be computed by
 u* 

b1u1* d  =  b1 2 − u2* 2b1d  d  +  u2*b1d 

 n 

(46)
These repeated procedures can be carried out until reaching desirable number of cycles. Similar with
DRBEM, MRBEM also successfully employed for several integral equation such as Helmholtz equation
[37,116,117,272], diffusion equation [111,112,185] and biharmonic equation [164,237,238]. With both
methods capable of transforming domain integrals, both often draw comparison between them [74,173]. One
significant difference shown is the inclusion of the internal points is rather necessary in the dual reciprocity
approach but not needed in MRBEM. Moreover, MRBEM produced better degree of accuracy compared to
DRBEM but required more computational effort. In spite of DRBEM is more widely implemented in various
problems, MRBEM rather focuses its potential in selective areas such as in vibration problem [238], heat
conduction problem [168,170,181,216], thermoelasticity analysis [165,166,233] and elastoplastic analysis
[180]. In [180], Ochiai and Kobayashi stipulated that the conventional MRBEM is not convenient to operate in
the elastoplastic problems arising from inability in determining the distribution of initial stress and initial strain
353
____________________________________________________________________________________________
analytically. Thus, they proposed an improved MRBEM called triple reciprocity boundary element method
(TRBEM) in handling the elastoplasticity problems [175]. According to this approach, the domain integral in
each step is divided into point and area integrals. Two step functional approximations can be formulated as
 2W1 = − W2 (47)
 2W2 = − W3 (48)
The term W1 is known function whereas functions W2 and W3 are unknown. From Eqs. (47) and (48),
one can obtain
 4W1 = W3 (49)
In the elastoplastic analysis [175], W1 represents deformation of a fictitious thin plate while W3 as the
unknown point load. Based on TRBEM, the unknown point load can be computed inversely by utilizing the
displacement given. Aside from elastoplastic analysis, the TRBEM is exercised in heat conduction problem
[177–179,183], thermoelastic [182], thermal stress [176] and convection-diffusion problem [184]. Based on
their work, TRBEM can produce remarkable degree of accuracy using only the fundamental solutions of
lower order [176,179].
3.4. Complex variable boundary element method
Complex variable boundary element method (CVBEM) is another well-known BEM variant. The CVBEM
is a numerical technique based on Cauchy’s integral formulae with complex variable to formulate boundary
integral equation and mainly dedicated only to Laplace’s and Poisson’s equations. This method was
originated from the work of Hromadka and Guymon [99] in 1984, initially for the solution of two-dimensional
potential problem involving Laplace’s partial differential equation and was further elaborated in [105].
Basically, the CVBEM adopted similar idea developed in Analytic Function Method (AFM). This method
which was presented by van der Veer [251] is based on summation of simple products of complex linear
polynomials and complex logarithm functions to form an analytic approximation function and connection
between both of them (CVBEM and AFM) was described in [96]. Unlike real variable BEM procedures, the
functions used to approximate the exact solution in CVBEM are analytic and thus, exactly satisfy the integral
equation throughout the domain of the problem. In addition, the integration of the boundary integrals along
each boundary elements can be solved analytically without any numerical process. In general, the theoretical
basis of CVBEM can be described by commencing the complex variable analytic function
 ( z ) =  ( x, y) + i ( x, y) (50)
Where z = x + iy and i = −1 . Both potential function  ( x, y ) and stream function  ( x, y) satisfy the Laplace
equation
354
____________________________________________________________________________________________
 2 = 0  2 = 0 (51)
and they are connected by the Cauchy-Reimann equations

   
= =− (52)
x y y x
With the analytic function  ( z ) defined, the Cauchy integral formula can be written as
1  ( z)
 ( z0 ) = 
2 i z − z0

dz (53)
where z0 is the interior point. As the solution cannot be performed analytically, approximate numerical
solution is chosen instead. Similar to the collocation approach, the boundary then divided into straight line
segments by boundary nodal points. However, nodal point equation needs to be employed as both functions
 and c are unknown. For a standard case, the nodal point equation is normally obtained through linear trial
function given by
 zi +1 − z   z − zi 
 ( z ) = i   + i +1   (54)
 zi +1 − zi   zi +1 − zi 
Besides the linear trial functions, other approximation techniques applicable in CVBEM such as circular
contour integration and high order polynomial approximations were mentioned in [99]. Soon afterward, it was
extended to higher order trial functions and the implementation for parabolic, cubic and Hermite cubic
polynomial functions is demonstrated in the article written by Hromadka II and Yen [105]. In their report, they
concluded that those four investigated trial function (including linear trial function) produced same level of
accuracy. However, the CVBEM is not error-free and more research efforts were carried out in order to
improve the CVBEM performance. From there, the error analysis was further investigated and the studies
indicated that the error analysis measured in the CVBEM is due to modelling error [95] and approximation
error [97] and therefore leads to its convergence study on Dirichlet and mixed boundary value problems in
[94]. Error reduction was later examined by refining approximate boundary method [261] in which the
modeling error can be easily reduced by adding nodal points along the boundary accordingly. In other
aspect, the applicability of CVBEM has been extended to accommodate doubly connected analysis [120]
and multiply connected analysis [107] for potential problems. This additional feature enables solution of
problems involving multiple domains especially structure containing multiple holes, cracks and inclusions
using CVBEM. To date, the CVBEM which can be applied to mixed boundary value problems (Dirichlet,
Neumann or Robin) has been successfully implemented in potential problems including ideal fluid flow (for
instance: air flows [82,157,230], groundwater flows [218], hydrodynamics [200], etc.), heat transfer [119],
torsion analysis [43,62], crack problems [11,57,202], etc. Although regarded as specialized method devoted
for the Laplace and Poisson equations, an attempt to use CVBEM for biharmonic problem (r4 u¼0) for
elasticity of plane and plate was reported by Lei and Mao-Kuang [147]. In their report, computational results
of CVBEM on several different structures (i.e., circular disk, cantilever beam, simply supported square plate)
under external concentrated forces or uniform loads show good agreement with the exact solution. The
355
____________________________________________________________________________________________
CVBEM was later imposed into other elasticity problem including thermoelasticity [13,141], poroelasticity
[108] and viscoelasticity [109]. In spite of all those improvements mentioned above, before 21th century, the
CVBEM only concentrated in the 2D problem and the lack of multi-dimensional application feature was
realized and recently, the problem is solved and the upgraded CVBEM can be applied for three-dimensional
analysis [103]. The new additional feature in CVBEM is then employed by Hromadka and Whitley [102] for
three dimensional steady-state potential flow problems using two-dimensional complex polynomials. In other
related work, Huber and Hickman [110] developed a scheme called surface ‘dust’ to randomly generate dust
points on 3D object’s surface. In their report, they attached the Mathematica code for their scheme which
demonstrated the new approach on typical sphere and open cylinder. In spite of recent progress in three
dimensional, the CVBEM transformation in multi-dimension is still in the early stage of development and
required more intensive study. In separate case, the program Mathematica was again utilized to investigate
the implementation of CVBEM using collocation points not located at the usual boundary nodal point
locations [56]. However, further research is needed to improve the current approach. In overall, this
advanced mathematical modeling approach had seen considerable theoretical development for the past two
decades and all mentioned aspects above along with complete derivation compiled in several published
articles [92,259,260] and series of textbooks [93,98,100,101,104].
3.5. Analog equation method
Analog Equation Method (AEM) presented by Katsikadelis [125] was originally designated for solving the
linear and nonlinear potential problem. Combining the features and advantages of few numerical techniques
like FEM, BEM and FDM, this method tries to establish itself as one among few leading BEM variants.
Similar to DRBEM, this method is developed to deal with domain integrals without involving domain
discretization. Given a nonlinear differential equation or a linear one which is difficult to establish its
fundamental solution, the actual problem can be substituted with an equivalent one described by a linear
differential operator with known fundamental solution using AEM. In order to solve this equivalent equation,
the unknown fictitious source density function needs to be computed first using indirect BEM while
preserving the boundary and initial conditions. Described in [125], the AEM procedure can be laid out by first
considering the boundary value problem,
N (u, u x , u xx , u xy , u yy ) = g ( x, y) in  (55)
 u +  un =  on  (56)
where Nis in general a nonlinear second order differential operator and  ,  and  are functions specified
on  . Now, function u can be assumed as the sought solution of the real domain problem and once
Laplacian operator applied to this function, the Poisson equation similar to Eq. (31) can be obtained
2u = b (57)
356
____________________________________________________________________________________________
In AEM, Eq. (55) is known as the analog equation and the uniqueness of AEM is laid on the approach in
constructing the source density function b. Here, the solution for Eq. (57) at instant time t can be written as a
sum of the homogenous solution uand a particular solution u p .
u =u + up (58)
However, to solve Eq. (57), fictitious source can be established where we assume
M
b =  j f j (60)
j =1
in which uˆ j are the particular solutions for  2 uˆ j = f j with f j as a set of approximating functions while  j
known as the time-dependent coefficients. On the other hand, the integral representation of the solution u is
given as
cu = −  (u* q − uq* )ds (61)


and substituting Eq. (58) into Eq. (61) and assuming c¼1 yields
M
u = −  (u* q − uq* )ds+ uˆ j j (62)

j =1
Differentiating the above equation, one would obtain

M
ux = −  (u*x q − uq*x )ds+ (uˆ j ) x j (63)

j =1
M
u y = −  (u*y q − uq*y )ds+ (uˆ j ) y j (64)

j =1
M
u xx = −  (u*xx q − uq*xx )ds+ (uˆ j ) xx j (65)

j =1
M
u yy = −  (u*yy q − uq*yy )ds+ (uˆ j ) yy j (66)

j =1
M
u xy = −  (u*xy q − uq*xy )ds+ (uˆ j ) xy j (67)

j =1
Then, in order to complete the solution process, the Eqs. (63–67) above can be further discretized and
full description of AEM procedure with several demonstrated examples (such as membranes on elastic
foundation, heat flow in bodies with nonhomogenous material properties, heat flow in bodies with nonlinear
material properties and steady-state spontaneous ignition) can be obtained in [125]. This method had been
demonstrated in solving boundary value problems for many research areas, i.e. thermal conductivity in non-
homogenous or nonlinear bodies [125], nonlinear flexural vibrations of plates [135], integration of nonlinear
equations of motion [121], linear and nonlinear plate bending problems [132,160], plane elastostatic
problems [128,129], finite deformation analysis of elastic cables [123,127], plate buckling problems [161],
inverse problems [162], soap bubble problem [131], nonlinear analysis of shells [273], finite equationless
problems in nonlinear bodies using only boundary data [133], large deflection analysis of beams [137],
357
____________________________________________________________________________________________
nonlinear static and dynamic analysis of membranes [122,130,136,138,139], ponding problem on

membranes [134,163] and meshless approach on 2D elastostatic problem [124]. Since it is considered as
boundary-only method, this method only deals with discretization and integration on the boundary only.
However, the collocation points inside the domain may be used to improve the solution. This method was
later further developed by Katsikadelis [126] to meshless analog equation method (MAEM) as a new RBFs
(radial basic functions) method for solving 2D and 3D PDEs. Similar with other RBFs method, MAEM
requires no domain boundary (BEM) dicretization and integration and thus avoids establishment of
fundamental solutions and evaluation of singular integrals.
4. Summary and conclusion
The reviews presented in this article are rather basic concepts of several BEM variants with their
significant contributions in boundary element research. The detailed developments for each of the variants
were outlined in a systematic way to enhance the understanding of their different approaches. In general,
BEM and more specific, the BEM variants underwent a remarkable progress over the past half century. They
are well developed in both theoretical and applied aspects. Compared to FEM and FDM, BEM possess a
clear advantage in modeling and meshing stage which reduces the dimensionality of problems considered.
However, like many other numerical methods, BEM also has advantages and disadvantages. Table 3 gives a
detailed comparison of the BEM with FEM and FDM regarding their theoretical basis, as well as advantages
and disadvantages.
In this article, we briefly discussed the implementation for each of the BEM variants considered in each of the
variants and have demonstrated many different solving approaches when dealing with boundary integral
equation. To illustrate the differences, Table 4 gives a comparison between these variants regarding their
advantages and disadvantages. For beginner in BEM community, the collocation BEM is highly
recommended as it is the simplest among them and the easiest to be implemented. It is preferable for
engineer looking for fast solution and at the same time avoiding complicated mathematical procedure.
However, for advance and more accurate analysis, SGBEM and DRBEM are considered as the best choice
in their particular field: boundary-based and domain-based problems, where they can practically
demonstrated in every known application area. On the other hand, specific method such as CVBEM extends
BEM application scope to integral equation with complex variable configuration. Although, it is limited to
Laplace-based integral equation, yet it has the potential for expansion in a much wider application area. In
spite of considerable progress towards effective computational method, these BEM variants experiences
continuous development with several additional improvement features proposed by various researchers.
With all mentioned above summarized in this article, this review is believed to assist the task for researchers
in selecting the appropriate BEM approach in solving particular problem. In general, the BEM still lacks
behind FEM in the field of numerical method. Although, the BEM has improved in a big step forward but still
358
____________________________________________________________________________________________
the initial objective to replace FEM has not been realized. More needs to be done in order to achieve the
goal. Aside from these variants, new variants have emerged as strong competitor in the numerical analysis.
Those recommended are boundary node method, boundary contour method, boundary particle method,
boundary knot method, cell boundary element method, hybrid boundary element method, fast multipole
boundary element method, spectral stochastic boundary element method, scaled boundary finite-element
method and variational indirect boundary element method. The future of BEM may be depends on these
variants.
Table 3 Comparisons between BEM, FEM and FDM.
Boundary Element Method Finite Element Method (FEM) Finite Difference Method (FDM)
(BEM)
Theoretical Based on approximation on Based on approximation on Based on finite difference
basis equivalent governing equivalent governing integral approximation on governing
integral relation using relation using finite segments. differential equation using a grid
boundary segments. of uniformly spaced nodes.
Advantages •Discretization of the • Integration of simple function • Easiest method to implement
boundary only • Symmetrical and sparse • No numerical integration
•Ideal for infinite problem matrices
•Less computational time
Disadvantages •Mostly nonsymmetrical • Requires domain meshes • Requires domain meshes
matrices • Not suitable for infinite • Not suitable for infinite problem
•Requires complicated problems • Requires very fine grids
integral relation • Requires integral relation from • Computation process is time
•Difficult treatment of variational principle or consuming
inhomogeneous and weighted residual formulation
•nonlinear problems • Computation process is time
consuming
359
____________________________________________________________________________________________
Table 4
Comparisons between CBEM, GBEM, DRBEM, CVBEM and AEM\
Advantages Disadvantages
CBEM • Easiest to implement • Poor convergence
• Fast solution and accuracy
• Applicable to wide range of • Nonsymmetrical
standard cases and dense matrices
• Difficult to deal with
hypersingular
integra
GBEM • High accuracy • Slow solution
• Able to handle singular and
hypersingular integrals
• Easier to produce
symmetric coefficient
matrix
• Can be implemented for
various problems including
DRBEM • Able to deal with domain • Fully populated and
integrals nonsymmetrical
• Requires only boundary matrices
discretization • Computationally
• Applicable to wide range of expensive
problems • Mathematically
complicated
CVBEM • High accuracy • Limited to Laplace-
• Suitable for problems with type problem
stress singularities and
concentrations
AEM • Able to deal with domain • Mathematically
integrals complicated
• Requires only boundary • Limited applicability
discretization • Hard to implemen
• Suitable for linear and
nonlinear problem
Acknowledgement
The authors thank the reviewers for their valuable comments and suggestions to improve this
manuscript. Thanks is also extended to Mohammed Zubair for his critical review. The first author was
supported by USM Fellowship and the second author would like to acknowledge Universiti Sains Malaysia—
Research University Grant no. RU814042 and USM Incentive Grant for sponsoring this project.
360
____________________________________________________________________________________________
References
[1] Agnantiaris JP, Polyzos D, Beskos DE. Three dimensional structural vibration analysis by the dual
reciprocity BEM. Comput Mech 1998;21(4-5):372–81.
[2] Aimi A, Diligenti M. Hypersingular kernel integration in 3D Galerkin boundary element method. J Comput.
Appl.Math 2002;138(1):51–72.
[3] Aimi A, Diligenti M, Monegato G. New numerical integration schemes for applications of Galerkin BEM
to 2D problems. Int J Numer Meth Eng, 1997;40(11):1977–99.
[4] Aimi A, Diligenti M, Monegato G. Numerical integration schemes for the BEM solution of hypersingular
integral equations. Int J Numer Meth Eng 1999;45(12):1807– 30.
[5] Aimi S, Nixon SP. Multiwavelet Galerkin boundary element solution of Laplace’s equation. Eng Anal
Bound Elem 2006;30(2):116–23.
[6] Alarcon E, Brebbia CA, Dominguez J. The boundary element method in elasticity. Int J Mech Sci
1978;20(9):625–39.
[7] Albuquerque EL, Sollero P, Fedelinski P. Dual reciprocity boundary element method in Laplace
domain applied to anisotropic dynamic crack problems. Comp Struct 2003;81(17):1703–13.
[8] Ali A, Rajakumar C. The boundary element method: applications in sound and vibration. Taylor & Francis
Routledge; 2004.
[9] Aliabadi MH, Wrobel LC. The boundary element method: applications in solids and structures. John
Wiley & Sons; 2002.
[10] Amini S. Boundary integral solution of the exterior Helmholtz problem. Comp Mech 1993;13(1-2):2–11.
[11] Ang WT. A complex variable boundary element method for antiplane stress analysis around a crack
in some nonhomogeneous bodies. J Chin Inst Eng 1999;22(6):753–61.
[12] Ang WT. Non-steady state heat conduction across an imperfect interface: a dual-reciprocity boundary
element approach. Eng Anal Bound Elem 2006;30(9):781–9.
[13] Ang WT, Clements DL, Cooke T. A complex variable boundary element method for a class of boundary
value problems in anisotropic thermoelasticity. Int J Comp Math 1999;70(3):571–86.
[14] Arnold DN, Saranen J. On the asymptotic Convergence of spline collocation methods for partial
Differential equations. SIAM J Numer Anal. 1984;21(3): 459–72.
[15] Arnold DN, Wendland WL. Collocation versus Galerkin procedures for boundary integral methods.
In: Brebbia CA, editor. Boundary Element Methods In Engineering. Berlin-Heidelberg-New York:
Springer; 1982. p. 18–33.
[16] Arnold DN, Wendland WL. On the asymptotic convergence of collocation methods. Math Comput
1983;41:349–81.
361
____________________________________________________________________________________________
[17] Arnold DN, Wendland WL. The convergence of spline collocation for strongly elliptic equations on
curves. Numer Math 1985;47:317–41.
[18] Banerjee PK, Butterfield R. Boundary element method in geomechanics. In: Gudehus G, editor. Finite
elements in geomechanics. New York: Wiley; 1977. p. 529–70. Chapter 16.
[19] Banerjee PK, Cathie DN. A direct formulation and numerical implementation of the boundary element
method for two-dimensional problems of elastoplasticity. Int J Mech Sci 1980;22(4):233–45.
[20] Banerjee PK, Morino L. Boundary element methods in nonlinear fluid dynamics. Taylor & Francis; 2005.
[21] Beatovic D, Levin PL, Sadovic S, Hutnak RA. Galerkin formulation of the boundary element method for
two-dimensional and axi-symmetric problems in electrostatics. IEEE Trans Elec Insul 1992;27(1):135–
43.
[22] Behbahani-nia A, Kowsary F. A dual reciprocity BE-based sequential function specification solution
method for inverse heat conduction problems. Int J Heat Mass Transf 2004;47(6-7):1247–55.
[23] Beylkin G, Coifman R, Rokhlin V. Fast wavelet transforms and numerical algorithms I. Commun Pure
Appl Math 1991;44(2):141–83.
[24] Bonnet M, Maier G, Polizzotto C. Symmetric galerkin boundary element method. Appl Mech Rev
1998;51:669–704.
[25] Brebbia CA. The boundary element method for engineers. London/New York: Pentech Press/Halstead
Press; 1978.
[26] Brebbia CA, Butterfield R. Formal equivalence of direct and indirect boundary element methods. Appl
Math Modell 1978;2(2):132–4.
[27] Brebbia CA, Dominguez J. Boundary Elements—An introductory course. Southampton: CMP; 1989.
[28] Brebbia CA, Dominguez J. Boundary element methods for potential problems. Appl Math Modell
1977;1:372–8. [29] Brebbia CA, Nardini D. Dynamic analysis in solid mechanics by an alternative
boundary element procedure. Int J Soil Dyn Earthquake Eng 1983;2(4):228.
[30] Brebbia CA, Telles JCF, Wrobel LC. Boundary element techniques—theory and applications in
engineering. Springer-Verlag; 1984.
[31] Brebbia CA, Walker S. Boundary element techniques in engineering. London: Newnes-Butterworths;
1980.
[32] Brebbia CA, Wrobel LC. Boundary element method for fluid flow. Adv Water Resour 1979;2:83–9.
[33] Buffa A, Hiptmair R. Galerkin boundary element methods for electromagnetic scattering. In: Ainsworth
M, Davies P, Duncan Dugald, editors. Topics in computational wave propagation: direct and inverse
problems. Springer; 2009. p. 83–124.
[34] Bui HD. An integral equation method for solving the problem of a plane crack of arbitrary shape. J Mech
Phys Solids 1977;25:29–39.
[35] Capuani D, Bigoni D, Brun M. Integral representations at the boundary for stokes flow and related
symmetric galerkin formulation. Arch Mech 2005;57(5):363–85.
362
____________________________________________________________________________________________
[36] Cavka D, Poljak D GB-IBEM model of vertical antenna above, below and ˇ penetrating ground. In: Rozic
N, editor. Proceedings of 2008 international conference on software, telecommunications and computer
network, split, 2008.
[37] Chang JR, Weih W, Wu YC, Chang JJ. Applications of the complete multiple reciprocity method for
solving the 1D Helmholtz equation of a semi-infinite domain. Adv Eng Software 2001;32(2):111–7.
[38] Chen Z, Hofstetter G, Mang HA. Galerkin-type BE-formulation for acoustic radiation and scattering of
structures with arbitary shape. In: Marburg S, Nolte B, editors. Computational acoustics of noise
propagation influids—finite and boundary element methods. Berlin Heidelberg: Springer; 2008. p. 435–
58.
[39] Cheng AHD, Cheng DT. Heritage and early history of the boundary element method. Eng Anal Bound
Elem 2005;29(3):268–302.
[40] Cheng AHD, Lafe O, Grilli S, Dual-reciprocity BEM. based on global interpolation functions. Eng Anal
Bound Elem 1994;13(4):303–11.
[41] Choi CY. Dual reciprocity boundary element analysis for the laminar forced heat convection problem in
concentric annulus. KSME Int J 1999;13(6): 496–503.
[42] Choi CY, Balaras E. A dual reciprocity boundary element formulation using the fractional step method for
the incompressible Navier-Stokes equations. Eng Anal Bound Elem 2009;33(6):741–9.
[43] Chou SI, Shamas-Ahmadi M. Complex variable boundary element method for torsion of hollow shafts.
Nucl Eng Des 1992;136(3):255–63.
[44] Cisilino AP, Aliabadi MH. A boundary element method for three-dimensional elastoplastic problems. Eng
Comput 1998;15(8):1011–30.
[45] Ciskowski RD, Brebbia CA. Boundary element methods in acoustics. Southampton: CMP; 1991.
[46] Cole DM, Kosloff DD, Minster JB. A numerical boundary integral equation method for elastodynamics. I.
Bull Seism Soc Am 1978;68:1331–57.
[47] Costabel M, Stephan EP. An improved boundary element Galerkin method for three-dimensional crack
problems. Integr Equations Oper Theor 1987;10(4):467–504.
[48] Cruse TA. A direct formulation and numerical solution of the general transient elastodynamic problem II.
J Math Anal Appl 1968;22(2):341–55.
[49] Cruse TA. Numerical solutions in three dimensional elastostatics. Int J Solids Struct 1969;5(12):1259–
74.
[50] Cruse TA. Recent advances in boundary element analysis methods. Comp Meth Appl Mech Eng
1987;62:227–44.
[51] Cruse TA, Rizzo FJ. A direct formulation and numerical solution of the general transient elastodynamic
problem I. J Math Anal Appl 1968;22(1): 244–59.
[52] D’Elıá J, Battaglia L, Storti MA, Cardona A. Galerkin boundary integral equations applied to three
dimensional Stokes flows. Mecańica Computacional, 2007;XXVII:2397–2410.
363
____________________________________________________________________________________________
[53] Dahmen W, Harbrecht H, Schneider R. Compression technique for boundary integral equations—
optimal complexity estimates. SIAM J Numer Anal 2006;43(6):2251–71.
[54] Davies TW, Moslehy FA. Modal analysis of plates using the dual reciprocity boundary element method.
Eng Anal Bound Elem 1994;14(4):357–62.
[55] De Paula FA, Telles JCF. A. comparison between point collocation and Galerkin for stiffness matrices
obtained by boundary elements. Eng Anal Bound Elem 1989;6(3):123–8.
[56] Dean TR, Hromadka II TV. A collocation CVBEM using program Mathematica. Eng Anal Bound Elem
2010;34(4):417–22.
[57] Denda M, Dong YF. Complex variable approach to the BEM for multiple crack problems. Comp Meth
Appl Mech Eng 1997;141(3-4):247–64.
[58] Djojodihardjo RH. Unified BE-FE aerodynamic-acoustic-structure coupling scheme for acoustic effects
on aeroelastic structures. paper ICAS 2008 7.7.7.5, In: Proceeding of the 26th international congress of
the aeronautical sciences, 14–19 September 2008, Anchorage, Alaska.
[59] Djojodihardjo RH. True and efficient solution of unified BEM-FEM acousticstructural coupling using chief
regularization. paper IAC-08.C2.3.7, In: Proceeeding of the 59th international astronautical congress, 28
September–3 October 2008, Glasgow, Scotland.
[60] Djojodihardjo RH, Widnall SE. A numerical method for the calculation of nonlinear, unsteady lifting
potential flow problems. AIAA J 1969;7(10): 2001–9.
[61] Dominguez J. Boundary elements in dynamics. CMP; 1993.
[62] Dumir PC, Kumar R. Complex variable boundary element method for torsion of anisotropic bars. Appl
Math Modell 1993;17(2):80–8.
[63] Ebrahimnejad L, Attarnejad R. A novel approach to solve linear system arising from BEM using fast
wavelet transforms. Math Meth Appl Sci 2010;33(5):643–54.
[64] Ebrahimnejad L, Attarnejad R. Fast solution of BEM systems for elasticity problems using wavelet
transforms. Int J Comp Math 2010;87(1):77–93.
[65] Elzein A, Syngellakis S. Dual reciprocity in boundary element formulations of the plate buckling problem.
[66] Eppler K, Harbrecht H. Fast wavelet BEM for 3D electromagnetic shaping. Appl Numer Math 2005;54(3-
4):537–54.
[67] Eppler K, Harbrecht H. Wavelet-based boundary element methods for exterior electromagnetic shaping.
[68] Fachinotti V, Cardona A, D’Elıá J, Paquay S. BEM for the analysis of fluid flow around MEMS.
Mecańica Computacional 2007;XXIV:1104–19.
[69] Florez WF, Power H. Multi-domain mass conservative dual reciprocity method for the solution of the
non-Newtonian Stokes equations. Bound Elem Commun 1994;5:57–61.
[70] Florez W, Power H, Chejne F. Multi-domain dual reciprocity BEM approach for the Navier–Stokes
system of equations. Commun Numer Meth Eng 2000;16(10):671–81.
364
____________________________________________________________________________________________
[71] Frangi A, Bonnet M. A galerkin symmetric and direct BIE method for kirchoff elastic plates: formulation
and implementation. Int J Numer Meth Eng 1998;41:337–69. [72] Frangi A, Novati G, Springhetti R,
Rovizzi M. 3D fracture analysis by the symmetric galerkin BEM. Comp Mech 2002;28:220–32.
[73] Frayce D, Khayat RE, Derdouri A. A dual reciprocity boundary element approach to three-dimensional
transient heat conduction as applied to materials processing. Numer Heat Transf. Part A, Appl
1996;29(3):243–64.
[74] Ga´ spa´ r C. Multigrid technique for biharmonic interpolation with application to dual and multiple
reciprocity method. Numer Algorithms 1999; 21(1-4):165–83.
[75] Gray LJ. Evaluation of singular and hypersingular Galerkin integrals: direct limits and symbolic
computation. In: Sladek V, Sladek J, editors. Advances in boundary elements. Southampton: CMP;
1998. p. 33–84.
[76] Gray LJ, Chinta B, Kane JH. Symmetric galerkin fracture analysis. Eng Anal Bound Elem 1995;15:103–
9. [77] Gray LJ, Glaeser JM, Kaplan T. Direct evaluation of hypersingular Galerkin surface integrals. J
Sci Comput 2004;25(5):1534–56.
[78] Gray LJ, Griffith BE. A faster Galerkin boundary integral algorithm. Commun Numer Meth Eng
1998;14(12):1109–17.
[79] Gray LJ, Maroudas D, Enmark MN. Galerkin boundary integral method for evaluating surface derivates.
Comput Mech 1998;22(2):187–93.
[80] Gray LJ, Paulino GH. Symmetric Galerkin boundary integral fracture analysis for plane orthotropic
elasticity. Comput Mech 1997;20:26–33.
[81] Gray LJ, Salvadori A, Phan A-V. Manticˇ. Direct evaluation of hypersingular Galerkin surface integrals II.
EJBE 2006;4(3):105–30.
[82] Grecu L, Petrila T. A complex variable boundary element method for the problem of the free-surface
heavy inviscid flow over an obstacle. Gen Math 2008;16(2):3–17. [83] Ha-Duong T, Ludwig B, Terrasse
I. A Galerkin BEM for transient acoustic scattering by an absorbing obstacle. Int J Numer Meth Eng
2003;57(13):1845–82.
[84] Hall WS, Oliveto G. Boundary elements methods for soil-structure interaction. Springer; 2003.
[85] Harbrecht H Wavelet Galerkin schemes for the boundary element method in three dimensions. Ph.D.
Thesis, Technische Universit€at Chemnitz, Germany, 2001. [86] Harbrecht H, Hohage T. Fast methods
for three-dimensional inverse obstacle scattering. J Integr Equat Appl 2007;19(3):237–60.
[87] Harbrecht H, Schneider R. Adaptive wavelet Galerkin BEM. In: Bathe K, editor. Computational fluid and
solid mechanics 2003. Elsevier; 2003. p. 1982–6.
[88] Harbrecht H, Schneider R. Wavelet Galerkin schemes for 2D-BEM. In: Elschner J, Gohberg I,
Silbermann B, editors. Problems and methods in mathematical physics: The Siegfried Prossdorf
Memorial Volume ¨ —Proceedings of the 11th TMP, Chemnitz, Germany, March 25–28, 1999 (Operator
Theory: Advances and Applications). Birkhauser Basel; 2001. ¨
365
____________________________________________________________________________________________
[89] Hartmann F, Katz C, Protopsaltis B. Boundary elements and symmetry. Ingenieur-Archiv 1985;55:440–
9. [90] Hartmann F, Zotemantel R. The direct boundary element method in plate bending. Int J Numer
Meth Eng 1986;23(11):2049–69.
[91] Hess JL, Smith AMO. . Calculation of potential flow about arbitrary bodies. Progress in aeronatical
sciences, vol. 8. New York: Pergamon Press; 1966.
[92] Homentcovschi D, Cocora D, Magureanu R. Some developments of the ˘ CVBEM-aplication to mixed
boundary value problem for the Laplace equation. Eng Anal 1987;4(1):15–20.
[93] Hromadka II TV. A multi-dimensional complex variable boundary element method. Southampton: WIT
Press; 2002.
[94] Hromadka II TV. Convergence properties of the CVBEM: Development. Eng Anal 1986;3(3):181–7.
[95] Hromadka II TV. Determining relative error bounds for the CVBEM. Eng Anal 1985;2(2):75–80.
[96] Hromadka II TV. Linking the complex variable boundary-element method to the analytic function method.
Numer Heat Transf, Part A: Appl 1984;7(2): 235–40.
[97] Hromadka II TV. Modeling error in evaluation of the CVBEM matrix system. Eng Anal Bound Elem
1996;17(1):85–90.
[98] Hromadka II TV. The complex variable boundary element method. SpringerVerlag; 1984.
[99] Hromadka II TV, Guymon GL. A complex variable boundary element method: development. Int J Num
Meth Eng 1984;20:25–37.
[100] Hromadka II TV, Lai C. The complex variable boundary element method in engineering analysis. New
York: Springer-Verlag; 1987.
[101] Hromadka II TV, Whitley RJ. Advances in the complex variable boundary element method. New York:
Springer-Verlag; 1998.
[102] Hromadka II TV, Whitley RJ. Approximating three-dimensional steady-state potential flow problems
using two-dimensional complex polynomials. Eng Anal Bound Elem 2005;29(2):190–4.
[103] Hromadka II TV, Whitley RJ, Yen CC. Extending the complex variable boundary element method of
three dimensions. May 2003 BEM conference, Detroit, MI. Conference proceedings, vol. XV.
Southampton, UK: WIT Press; 2004. p. 105–13.
[104] Hromadka II TV, Yen CC. Complex variable boundary elements. Computational Mechanics Press;
1986.
[105] Hromadka II TV, Yen CC. Extension of the CVBEM to higher-order trial functions. Appl Math Modell
1988;12(6):619–26.
[106] Hsiao GC. Boundary element methods—An overview. Appl Numer Math 2006;56(10-11):1356–69.
[107] Hsieh CK, Kassab AJ. Complex variable boundary element methods for the solution of potential
problems in simply and multiply connected domains. Comp Meth Appl Mech Eng 1991;86(2):189–213.
[108] Huang Y, Mogilevskaya SG, Crouch SL. Complex variable boundary integral method for linear
viscoelasticity: Part I—basic formulations. Eng Anal Bound Elem 2006;30(12):1049–56.
366
____________________________________________________________________________________________
[109] Huang Y, Mogilevskaya SG, Crouch SL. Complex variable boundary integral method for linear
viscoelasticity: Part II—application to problems involving circular boundaries. Eng Anal Bound Elem
2006;30(12):1057–68.
[110] Huber M, Hickman R. A scheme to randomly generate surface dust points for the 3D complex variable
boundary element method (CVBEM). Eng Anal Bound Elem 2006;30(12):1025–9.
[111] Itagaki M, Brebbia CA. Multiple reciprocity boundary element formulation for one-group fission neutron
source iteration problems. Eng Anal Bound Elem 1993;11(1):39–45.
[112] Itagaki M, Sahashi N. Matrix-Type multiple reciprocity boundary element method for solving three-
dimensional two-group neutron diffusion equations. J Nucl Sci Tech 1997;34(7):655–65.
[113] Jaswon MA. Integral equation method in potential theory – I. Proc R Soc Ser 1963;A275:23–32.
[114] Jin C. A direct boundary integral equation method for the acoustic scattering problem. Eng Anal Bound
Elem 1993;12(1):39–46.
[115] Juhl P. A note on the convergence of the direct collocation boundary element method. J Sound Vib
1998;212(4):703–19.
[116] Kamiya N, Andoh E. A note on multiple reciprocity integral formulation for Helmholtz equation.
Commun Numer Meth Eng 1993;9(1):9–13.
[117] Kamiya N, Andoh E, Nogae K. Three-dimensional eigenvalue analysis of the Helmholtz equation by
multiple reciprocity boundary element method. Adv Eng Software 1993;16(3):203–7.
[118] Kamiya N, Sawaki Y. The plate bending analysis by the dual reciprocity boundary elements. Eng Anal
Bound Elem 1988;5(1):36–40.
[119] Kassab AJ, Chesla S. An iterative CVBEM solution of nonlinear heat transfer problems. Eng Anal
Bound Elem 1993;11(1):67–75.
[120] Kassab AJ, Hsieh CK. Application of the complex variable boundary element method for solving
potential problems in doubly connected domains. Int J Numer Meth Eng 1990;29(1):161–79.
[121] Katsikadelis JT. A new time step integration scheme for structural dynamics based on the analog
equation method. In: Kounadis AN, editor. Collection of papers dedicated to Prof. P.S. Theocaris.
Athens: National Technical University of Athens; 1994. p. 80–100.
[122] Katsikadelis JT. Dynamic analysis of nonlinear membranes by the analog equation method. A
boundary-only solution. Comput Model Eng Sci 2002;29(2):170–7. [123] Katsikadelis JT. Finite
deformation of elastic cables under 3-D loading. Proceeding of the 4th German–Greek–Polish
symposium on advances on mechanics. Warsaw-Pultusk; 2001.
[124] Katsikadelis JT. The 2D elastostatic problem in inhomogeneous anisotropic bodies by the meshless
analog equation method (MAEM). Eng Anal Bound Elem 2008;32(12):997–1005.
[125] Katsikadelis JT. The analog equation method—a powerful BEM-based solution technique for solving
linear and nonlinear engineering problems. In: Brebbia CA, editor. Boundary element method XVI.
Southampton: CLM Publications; 1994. p. 167–82.
367
____________________________________________________________________________________________
[126] Katsikadelis JT The meshless analog equation method. A new highly accurate truly mesh-free method
for solving partial differential equations. In: Brebbia CA, Katsikadelis JT, editors. Proceedings of the
international conference on boundary elements and other mesh reduction methods, 10– 12 May 2006,
Esperides Hotel, Skiathos, Greece, BEM/MRM 28, WIT Press, Southampton. [127] Katsikadelis JT,
Apostolopoulos NA Finite deformation analysis of cables by the analog equation method. In: Kounadis
A, editor. Proceedings of the first European Conference on Steel Structures, Eurosteel ’95, Balkema,
Rotterdam, 1995. p. 355–360.
[128] Katsikadelis JT, Kandilas CB Plane stress analysis of thin plates with variable thickness by the analog
equation method. In: Theocharis PS, Gdoutos EE, editors. Proceedings of the fourth national congress
on applied mechanics, Vol. 1, Mechanics of Solids, Demokritus University, Xanthi, 1995. p. 562–573.
[129] Katsikadelis JT, Kandilas CB. Solving the elastostatic problem by the analog equation method. In:
Papadrakakis M, Topping BHV, editors. Advances in computational mechanics. Edinburgh: Civil-Comp
Press; 1994. p. 269–78. [130] Katsikadelis JT, Nerantzaki MS. A boundary-only solution to dynamic
analysis of non-homogenous elastic membranes. Computer Modell Eng Sci 2000;1(3):1–9. [131]
Katsikadelis JT, Nerantzaki MS. A boundary element solution to the soap bubble problem. Comput
Mech 2001;27(2):154–9.
[132] Katsikadelis JT, Nerantzaki MS. Non-linear analysis of plates by the analog equation method. Comput
Mech 1994;14:154–64.
[133] Katsikadelis JT, Nerantzaki MS Solving Equationless problems from boundary only data. In:
Proceeding of the European conference on computational mechanics, Munich, Germany, 1999 p.
818–819. ¨
[134] Katsikadelis JT, Nerantzaki MS. The ponding problem on membranes. An analog equation solution.
Comput Mech 2001;28:122–8.
[135] Katsikadelis JT, Nerantzaki MS, Kandilas CBA. BEM approach to non-linear vibrations of plates. In:
Moan, editor. Structural dynamics—EURODYN ’93. Rotterdam: Balkema; 1993. p. 659–71.
[136] Katsikadelis JT, Nerantzaki MS, Tsiatas GC. The analog equation method for large deflection analysis
of membranes. A boundary only solution. Comput Mech 2001;27(6):513–23.
[137] Katsikadelis JT, Tsiatas GC. Large deflection analysis of beams with variable stiffness. An analog
equation solution. In: Proceedings of the sixth national congress on mechanics, Thessaloniki, Greece,
I, 2001. p. 172–177. [138] Katsikadelis JT, Tsiatas GC. Nonlinear dynamic analysis of heterogeneous
orthotropic membranes. In: Beskos DE, Brebbia CA, Katsikadelis JT, Manolis G, editors. Boundary
elements XXIII. Southampton: WITpress; 2001. p. 139–48.
[139] Katsikadelis JT, Tsiatas GC. The analog equation method for large deflection analysis of
hererogeneous orthotropic membranes. A boundary-only solution. Eng Anal Bound Elem
2001;25(8):655–67.
[140] Kim S, Karrila SJ. Integral equations of second kind for stokes flow: direct solutions for physical
variables and removal of inherent accuracy limitations. Chem Eng Commun 1989;82(1):123–61.
368
____________________________________________________________________________________________
[141] Koshelev V, Ghassemi A. Complex variable BEM for thermo- and poroelasticity. Eng Anal Bound Elem
2004;28(7):825–32.
[142] Kuhn G, Mohrmann W. Boundary element methods in elastostatics: Theory ¨ and applications. Appl
Math Modelling 1983;7(2):97–105.
[143] Lachat JC A further development of the boundary integral technique for elastostatics. Ph.D. Thesis,
University of Southampton, 1975.
[144] Lachat JC, Watson JO. Effective numerical treatment of boundary integral equations: a formulation for
three-dimensional elastostatics. Int J Num Meth Eng 1976;10:991–1005.
[145] Lage C, Schwab C. Wavelet Galerkin algorithms for boundary integral equations. SIAM J Sci Comput
1999;20(6):2195–222.
[146] Lean MH, Friedman M, Wexler A. Application of the boundary element method in electrical problems.
In: Banerjee PK, Butterfield R, editors. Developments in boundary element methods, 1. London:
Applied Science Publishers; 1979. p. 207–50.
[147] Lei G, Mao-Kung H. A complex variable boundary element method for solving plane and plate
problems of elasticity. Eng Anal Bound Elem 1991;8(6):266–72.
[148] Liu YH, Zhang XF, Cen ZZ. Lower bound shakedown analysis by the symmetric galerkin boundary
element method. Int J Plasticity 2005;21: 21–42.
[149] Maier G, Miccoli S, Novati G, Perego U. Symmetric Galerkin boundary element method in plasticity and
gradient plasticity. Comput Mech 1995;17(1-2):115–29. [150] Maier G, Miccoli S, Novati G, Sirtori SA.
Galerkin symmetric boundary element methods in plasticity: formulation and implementation. In: Kane
JH, Maier G, Tosaka N, Atluri SN, editors. Advances in boundary element techniques. Berlin
Heidelberg: Springer-Verlag; 1993. p. 288–328.
[151] Maier G, Polizzotto CA. Galerkin approach to boundary element elastoplastic analysis. Comp Meth
Appl, Mech Eng 1987;60(2):175–94.
[152] Man KW. Contact mechanics using boundary elements. CMP; 1994.
[153] Mansur WJ, Brebbia CA. Formulation of the boundary element method for transient problems governed
by the scalar wave equation. Appl Math Modell 1982;6(4):307–11.
[154] Mansur WJ, Brebbia CA. Numerical implementation of the boundary element method for two-
dimensional transient scalar wave propagation problems. Appl Math Modell 1982;6(4):299–306.
[155] Mansur WJ, Brebbia CA. Transient elastodynamics using a time-stepping technique. In: Brebbia CA,
Futagami T, Tanaka M, editors. Boundary elements. Berlin: Springer; 1983. p. 677–98.
[156] Martin PA, Rizzo FJ. On boundary integral equations for crack problems. Proc R Soc London. Ser A.
Math Phys 1989;421:341–55.
[157] Mokry M. Complex variable boundary element method for external potential flows. AIAA J
1991;29(12):2027–8.
[158] Nardini D, Brebbia CA. A new approach to free vibration analysis using boundary elements. Appl Math
Modell 1983;7(3):157–62.
369
____________________________________________________________________________________________
[159] Natalini B, Popov V. Tests of performance of the boundary element dual reciprocity method—multi-
domain approach for 3D problems. Mecańica Computacional 2007;26:1174–93.
[160] Nerantzaki MS. Solving plate bending problems by the analog equation method. In: Brebbia CA, editor.
Boundary Element Method. Southampton: CLM Publications; 1994. p. 283–91.
[161] Nerantzaki MS, Katsikadelis JT. Buckling of plates with variable thickness – an analog equation
solution. Eng Anal Bound Elem 1996;18(2):149–54.
[162] Nerantzaki MS, Katsikadelis JT. Solving inverse problems by use of the AEM. In: Tanaka M,
Dulikravich G, editors. Inverse problems in engineering mechanics. Tokyo: Elsevier; 1998. p. 335–40.
[163] Nerantzaki MS, Katsikadelis JT. The ponding problem on floating membranes. Eng Anal Bound Elem
2002;27:589–96.
[164] Neves AC, Brebbia CA. The multiple reciprocity boundary element method in elasticity: a new
approach for transforming domain integrals to the boundary. Int J Numer Meth Eng 1991;31(4):709–
27.
[165] Neves AC, Nowak AJ. Steady-state thermoelasticity by multiple reciprocity method. Int J Numer Meth
Heat Fluid Flow 1992;2(5):429–40.
[166] Neves AC, Wrobel LC, Nowak AJ. Transient thermoelasticity by multiple reciprocity method. Int J
Numer Meth Heat Fluid Flow 1993;3(2): 107–19.
[167] Niku SM, Brebbia CA. Dual reciprocity boundary element formulation for potential problems with
arbitrarily distributed sources. Eng Anal 1988;5(1):46–8. [168] Nowak AJ. Solving linear heat
conduction problems by the multiple reciprocity method. In: Wrobel LC, Brebbia CA, editors. Boundary
element methods in heat transfer. Southampton, Boston: CMP; 1992. p. 63–132.
[169] Nowak AJ Temperature fields in domains with heat sources using boundaryonly formulations. In:
Brebbia CA. In: Proceeding of tenth BEM conference on computational mechanics publications
Southampton and Boston, Springer-Verlag, Berlin, vol. 2, pp. 233-247, 1988.
[170] Nowak AJ. The multiple reciprocity method of solving transient heat conduction problems. In: Brebbia
CA, Connors JJ, editors. Advances in boundary elements, vol. 2. Southampton: CMP; 1989.
[171] Nowak AJ, Brebbia CA. Solving Helmholtz equation by multiple reciprocity method. In: Carlomangno
GM, Brebbia CA, editors. Computer and Experiments in Fluid Flow. Southampton: CMP; 1989. p.
265–70.
[172] Nowak AJ, Brebbia CA. The multiple-reciprocity. A new approach for transforming BEM domain
integrals to the boundary. Eng Anal Bound Elem 1989;6(3):164–7. [173] Nowak AJ, Partridge PW.
Comparison of the dual reciprocity and the multiple reciprocity methods. Eng Anal Bound Elem
1992;10:155–60.
[174] Noye J. Computational techniques for differential equations. Elsevier; 1984.
[175] Ochiai Y. Formulation for three-dimensional elastoplastic analysis without internal cells by triple-
reciprocity BEM. EJBE 2002;1:67–76.
370
____________________________________________________________________________________________
[176] Ochiai Y. Three-dimensional steady thermal stress analysis by triplereciprocity boundary element
method. Int J Numer Meth Eng 2005;63(12): 1741–56.
[177] Ochiai Y. Two-dimensional steady heat conduction in functionally gradient materials by tripel-reciprocity
boundary element method. Eng Anal Bound Elem 2004;28(12):1445–53.
[178] Ochiai Y. Two-dimensional unsteady heat conduction analysis with heat generation by triple-reciprocity
BEM. Int J Numer Meth Eng 2001;51(2): 143–57.
[179] Ochiai Y, Kitayama Y. Three-dimensional unsteady heat conduction analysis by triple-reciprocity
boundary element method. Eng Anal Bound Elem 2009;33(6):789–95.
[180] Ochiai Y, Kobayashi T. Initial stress formulation for elastoplastic analysis by improved multiple-
reciprocity boundary element method. Eng Anal Bound Elem 1999;23(2):167–73.
[181] Ochiai Y, Sekiya T. Steady heat conduction analysis by improved multiplereciprocity boundary element
method. Eng Anal Bound Elem 1996;18(2): 111–7.
[182] Ochiai Y, Sladek V, Sladek J. Axial symmetric stationary thermoelastic analysis by triple-reciprocity
BEM. Commun Numer Meth Eng 2006;22(6):547–66.
[183] Ochiai Y, Sladek V, Sladek J. Transient heat conduction analysis by triplereciprocity boundary element
[184] Ochiai Y, Takeda S. Meshless convection-diffusion analysis by triplereciprocity boundary element
[185] Ozgener B, Ozgener HA. The application of the multiple reciprocity method to the boundary element
formulation of the neutron diffusion equation. Ann Nucl Energy 1994;21(11):711–23.
[186] Panzeca T, Milana V, Salerno M. A symmetric galerkin BEM for plate bending analysis. Eur J Mech
A/Solids 2009;28:62–74.
[187] Parı´s F, De Leoń S. Boundary element method applied to the analysis of thin plates. Comp Struct
1987;25(2):225–33.
[188] Parreira P, Guiggiani M. On the implementation of the Galerkin approach in the boundary element
method. Comp Struct 1989;33(1):269–79.
[189] Partridge PW. Dual reciprocity BEM: local versus global approximation functions for diffusion,
convection and other problems. Eng Anal Bound Elem 1994;14(4):349–56.
[190] Partridge PW. Towards criteria for selecting approximation functions in the dual reciprocity method.
Eng Anal Bound Elem 2000;24(7-8):519–29.
[191] Partridge PW, Brebbia CA, Wrobel LC. The dual reciprocity boundary element method. CMP; 1991.
[192] Partridge PW, Sensale B. Hybrid approximation functions in the dual reciprocity boundary element
method. Commun Numer Meth Eng 1997;13(2):83–94.
[193] Pe´ rez-Gavilań JJ, Aliabadi MH. A symmetric galerkin BEM for harmonic problems and
multiconnected bodies. Meccanica 2001;36:449–62.
[194] Pe´ rez-Gavilań JJ, Aliabadi MH. A symmetric galerkin BEM for multiconnected bodies: a new
approach. Eng Anal Bound Elem 2001;25:633–8.
371
____________________________________________________________________________________________
[195] Pe´ rez-Gavilań JJ, Aliabadi MH. A symmetric galerkin boundary element method for dynamic
frequency domain viscoelastic problems. Comp Struct 2001;79:2621–33.
[196] Pe´ rez-Gavilań JJ, Aliabadi MH. Symmetric galerkin BEM for multi-connected bodies. Commun
Numer Meth Eng 2001;17(11):761–70.
[197] Pe´ rez-Gavilań JJ, Aliabadi MH. Symmetric galerkin BEM for shear deformable plates. Int J Numer
Meth Eng 2003;57:1661–93.
[198] Perrey-Debain E, Trevelyan J, Bettess P. Plane wave interpolation in direct collocation boundary
element method for radiation and wave scattering: numerical aspects and application. J Sound Vib
2003;261(5):839–58. [199] Perrey-Debain E, Trevelyan J, Bettess P. Use of wave boundary elements
for acoustic computations. J Comput Acoustics 2003;11(2):305–21.
[200] Petrila T. Consideration of a CVBEM approximation for plane hydrodynamics. Eng Anal Bound Elem
2006;30(12):1045–8.
[201] Phan A-V, Napier JAL, Gray LJ, Kaplan T, Symmetric-Galerkin BEM. simulation of fracture with
frictional contact. Int J Numer Meth Eng 2003;57:835–51.
[202] Ping SJ, Hui LX, Heng CY. A complex variable boundary element method for solving interface crack
problem 1999;96(2):167–78.
[203] Poljak D. New numerical approach in the analysis of a thin wire radiating over a lossy half-space. Int J
Numer Meth Eng 1995;38(22):3803–16.
[204] Poljak D, Brebbia CA. Boundary element methods for electrical engineers. Southampton: WIT Press;
2005.
[205] Poljak D, Brebbia CA. Indirect Galerkin-Bubnov boundary element method for solving integral
equations in electromagnetics. Eng Anal Bound Elem 2004;28(7):771–7.
[206] Poljak D, Doric V. Wire antenna model for transient analysis of simple grounding systems, Part II: The
Horizontal grounding electrode. Progress in Electromagnetics Research 2006;64:167–89.
[207] Poljak D, Doric V, Antonijevic S. Computer aided design of wire structures —frequency and time
domain analysis. Southampton: WIT Press; 2007.
[208] Poljak D, Doric V, Drissi KEK, Kerroum K, Medic´ I. Comparison of wire antenna and modified
transimission line approach to the assessment of frequency response of horizontal grounding
electrodes. Eng Anal Bound Elem 2008;32(8):676–81.
[209] Poljak D, Gizdic I, Roje V. Plane wave coupling to finite length cables buried in a lossy ground. Eng
Anal Bound Elem 2002;26(9):803–6.
[210] Poljak D, Roje V Currents induced in human body exposed to the power line electromagnetic field. In:
Proceedings of the 20th annual international conference of the IEEE engineering in medicine and
biology society, Vol 20, No 6, 1998.
[211] Poljak D, Roje V Induced current and voltages along a horizontal wire above a lossy ground. In:
Proceedings of the 21th international conference on bounda elements, BEM 21, pp. 185–194, Oxford
UK, Aug 25–27, 1999.
372
____________________________________________________________________________________________
[212] Poljak D, Roje V. Transient response of a thin wire buried in a real ground. Antennas Propag Soc Int
Symp 2001;2(2001):396–9.
[213] Popov V, Power H, Baldasano JM. BEM solution of design of trenches in a multi-layered landfill. J
Environ Eng ASCE 1998;124(1):59–66.
[214] Power H, Wrobel L. Boundary integral methods in fluid mechanics. Southampton: CMP; 1995.
[215] Ramdas Ram-Mohan L. Finite element and boundary element applications in quantum mechanics.
Oxford University Press; 2002.
[216] Ramesh PS, Lean MH. Stability of the multiple reciprocity method for transient heat conduction.
Commun Numer Meth Eng 1993;9(7):629–34.
[217] Rashed YF, Brebbia CA. Transformation of domain effects to the boundary. Southampton and Boston:
WIT Press; 2003.
[218] Rasmussen TC, Yu G. Determination of groundwater flownets, fluxes, velocities, and travel times using
the complex variable boundary element method. Eng Anal Bound Elem 2006;30(12):1030–44.
[219] Rizzo FJ. An integral equation approach to boundary value problems of classical elastostatics. Q Appl
Math 1967;25:83–95.
[220] Rizzo FJ, Shippy DJ. An advanced boundary integral equation method for three-dimensional
thermoelasticity. Int J Numer Meth Eng 1977;11(11): 1753–68.
[221] Rolicz P. Bubnov–Galerkin method for solving exterior alternating field problems. J Phys D: Appl Phys
1982;15:2401–11.
[222] Rolicz P. Use of the Bubnov–Galerkin method to skin effect problems for the case of unknown
boundary conditions. IEEE Trans Magn 1982;18(2):527–30.
[223] Ruberg T, Schanz M. An alternative collocation boundary element method ¨ for static and dynamic
problems. Comput Mech 2009;44(2):247–61.
[224] Ruotsalainen K. On the convergence of the collocation method for nonlinear boundary integral
equations. J Comput Appl Math 1994;50(1-3):471–83. [225] Ruotsalainen K, Saranen J. On the
collocation method for a nonlinear boundary integral equation. J Comput Appl Math 1989;28:339–48.
[226] Routsalainen K, Saranen J. The boundary element method for some nonlinear initial boundary value
problems. In: Constanda C, editor. Integral methods in science and engineering. Longman Scientific &
Technical; 1994.
[227] Russell RD, Shampine LF. A collocation method for boundary value problems. Numer Math 1972;19:1–
28. [228] Sarler B, Kuhn G. Dual reciprocity boundary element method for convective- ˇ diffusive solid-
liquid phase change problems. Part 1. Formulation. Eng Anal Bound Elem 1998;21(1):53–63.
[229] Sarler B, Kuhn G. Dual reciprocity boundary element method for convective- ˇ diffusive solid-liquid
phase change problems. Part 2. Numerical examples. Eng Anal Bound Elem 1998;21(1):65–79.
[230] Sato K. Complex variable boundary element method for potential flow with thin objects. Comp Meth
Appl Mech Eng 2003;192(11-12):1421–33.
373
____________________________________________________________________________________________
[231] Schanz M. Wave propagation in viscoelastic and poroelastic continua: a boundary element approach..
Springer-Verlag; 2001.
[232] Schanz M, Ruberg T, Kielhorn L. Time Domain BEM: Numerical aspects of ¨ Collocation and Galerkin
formulations. In: Manolis GD, Polyzos D, editors. Recent advances in boundary element methods.
Springer; 2009. p. 415–32.
[233] Shiah YC, Lin YJ. Multiple reciprocity boundary element analysis of two-dimensional anisotropic
thermoelasticity involving an internal arbitrary non-uniform volume heat source. Int J Solids Struct
2003;40(24): 6593–612.
[234] Singh KM, Tanaka M. Dual reciprocity boundary element analysis of inverse heat conduction problems.
Comp Meth Appl Mech Eng 2001;190:5283–95.
[235] Sirtori S. General stress analysis method by means of integral equations and boundary elements.
Meccanica 1979;14:210–8.
[236] Sirtori S, Maier G, Novati G, Miccoli SA. Galerkin symmetric boundaryelement method in elasticity:
formulation and implementation. Int J Numer Meth Eng 1992;35(2):255–82.
[237] Sladek V, Sladek J. Multiple reciprocity method in BEM formulations for solution of plate bending
problems. Eng Anal Bound Elem 1996;17(2): 161–73.
[238] Sladek V, Sladek J, Tanaka M. Multiple reciprocity method for harmonic vibration of thin elastic plates.
Appl Math Modell 1993;17(9):468–76.
[239] Stephan EP, Wendland WL. An augmented Galerkin procedure for the boundary integral method
applied to two-dimensional screen and crack problems. Appl Anal 1984;18(3):183–219.
[240] Sutradhar A, Paulino GH. Symmetric galerkin boundary element computation of T-stress and stress
intensity factors for mixed-mode cracks by the interaction integral method. Eng Anal Bound Elem
2004;28(11): 1335–50.
[241] Sutradhar A, Paulino GH, Gray LJ. On hypersingular surface integrals in the symmetric galerkin
boundary element method: application to heat conduction in exponentially graded materials. Int J
Numer Meth Eng 2005;62:122–57.
[242] Sutradhar A, Paulino GH, Gray LJ. Symmetric galerkin boundary element method.. Springer-Verlag;
2008.
[243] Symm GT. Integral equation method in potential theory—II. Proc R Soc Ser 1963;A275:33–46.
[244] Tanaka M, Kurokawa K, Matsumoto T. A time-stepping DRBEM for transient heat conduction in
anisotropic solids. Eng Anal Bound Elem 2008;32(12): 1046–53.
[245] Tanaka M, Matsumoto T, Takakuwa S. Dual reciprocity BEM for timestepping approach to the transient
heat conduction problem in nonlinear materials. Comp Meth Appl Mech Eng 2006;195(37-40):4953–
61. [246] Tanaka M, Matsumoto T, Suda Y. A dual reciprocity boundary element method applied to the
steady-state heat conduction problem of functionally gradient materials. EJBE 2002;1:128–35.
[247] Tang W A generalized approach for transforming domain integrals into boundary integrals in boundary
element method. Ph.D. Thesis, Computational Mechanics Institute, Southampton, 1987.
374
____________________________________________________________________________________________
[248] Telles JCF, Brebbia CA. On the application of the boundary element method to plasticity. Appl Math
Modell 1979;3:466–70.
[249] Telles JCF, Brebbia CA. The boundary element method in plasticity. Appl Math Modell 1981;5(4):275–
81.
[250] Tosecky´ A. Kolekova´, Schmid G, Kalinchuk V. Three-dimensional transient half-space dynamics
using the dual reciprocity boundary element method. Eng Anal Bound Elem 2008;32(7):597–618.
[251] Van Der Veer P. Calculation method for two-dimensional groundwater flow. Rijkswaterstaat
Communications No. 28/1978. Netherlands: Government Publishing Office, The Hague; 1978.
[252] Vera-Tudela CAR, Telles JCF. A numerical Green’s function and dual reciprocity BEM method to solve
elastodynamic crack problems. Eng Anal Bound Elem 2005;29(3):204–9.
[253] Von Estorff O. Boundary elements in acoustics: advances and applications. WIT Press; 2000.
[254] Wang J, Crouch SL, Mogilevskaya SG. A fast and accurate algorithm for a Galerkin boundary integral
method. Comput Mech 2005;37:96–109.
[255] Wang W, Ji X, Tanaka M. A dual reciprocity boundary element approach for the problems of large
deflection of thin elastic plates. Comput Mech 2000;26(1):58–65.
[256] Watson JO. Boundary elements from 1960 to the present day. Electron J Bound Elem 2003;1(1):34–
46.
[257] Watson JO. Singular boundary elements for the analysis of cracks in plane strain. Int J Numer Meth
Eng 1995;38(14):2389–411.
[258] Wendland WL. Asymptotic accuracy and convergence. In: Brebbia CA, editor. Progress In Boundary
Element Methods, vol 1. New York: John Wiley; 1981. p. 289–313.
[259] Whitley RJ, Hromadka II TV. Complex logarithms, Cauchy principal values, and the complex variable
boundary element method. Appl Math Modell 1994;18(8):423–8.
[260] Whitley RJ, Hromadka II TV. Theoretical developments in the complex variable boundary element
[261] Wood MA, Ciejka CJ, Hromadka II TV. CVBEM error reduction using the approximate boundary
method. 1993;11(3):233–7.
[262] Wrobel LC, Aliabadi MH. The boundary element method: applications in thermo-fluids and acoustics.
John Wiley & Sons; 2002.
[263] Wrobel LC, Brebbia CA. Boundary element methods in heat transfer. CMP; 1992.
[264] Wrobel LC, Brebbia CA. The dual reciprocity boundary element formulation for nonlinear diffusion
problems. Comp Meth Appl Mech Eng 1987;65(2): 147–64. [265] Wrobel LC, Brebbia CA, Nardini D.
Analysis of transient thermal problems in the BEASY system. In: Connor JJ, Brebbia CA, editors.
BETECH 86. Southampton: CMP; 1986.
[266] Wrobel LC, Brebbia CA, Nardini D. The dual reciprocity boundary element formulation for transient heat
conduction. In: Sa da Costa A, Melo Baptiste A, Gray WG, Brebbia CA, Pinder GF, editors. Finite
elements in water resources VI. Berlin: Springer; 1986.
375
____________________________________________________________________________________________
[267] Wrobel LC, Telles JCF, Brebbia CA. A dual reciprocity boundary element formulation for axisymmetric
diffusion problems. In: Brebbia CA, Tanaka M, editors. Boundary elements VIII. Berlin: Springer; 1986.
[268] Xiao J, Tausch J, Cao Y, Wen L. Combined equivalent charge formulations and fast wavelet Galerkin
BEM for 3-D electrostatic analysis. Int J Numer Meth Eng 2009;79(6):753–72.
[269] Xiao J, Tausch J, Hu Y. A-posteriori compression of wavelet—BEM matrices. Comput Mech
2009;44(5):705–15.
[270] Xiao J, Zhang D, Wen L. Fully discrete Alpert multiwavelet Galerkin BEM in 2D. Eng Anal Bound Elem
2008;32(2):91–9.
[271] Yamada T, Wrobel LC, Power H. On convergence of dual-reciprocity boundary-element method. Eng
Anal Bound Elem 1994;13(3):291–8.
[272] Yeih W, Chen JT, Chen KH, Wong FC. A study on the multiple reciprocity method and complex-valued
formulation for the Helmholtz equation. Adv Eng Software 1998;29(1):1–6.
[273] Yiotis AJ, Katsikadelis JT. The boundary element method for nonlinear analysis of shells. Proceedingof
the 4th German–Greek–Polish Symposium on Advances on Mechanics. Warsaw-Pultusk; 2001.
[274] Yu GY. A symmetric boundary element method/finite element coupling procedure for two-dimensional
elastodynamic problems. J Appl Mech 2003;70(3):451–4.
[275] Yu G, Mansur WJ, Carrer JAM, Gong L. Stability of Galerkin and collocation time domain boundary
element methods as applied to the scalar wave equation. Comput Struct 2000;74(4):495–506.
[276] Yuan W, Zhao Z, Lie ST, Yu G. Numerical implementation of the symmetric galerkin boundary element
method in 2D elastodynamics. Int J Numer Meth Eng. 2003;58:1049–60.
[277] Zhang Y, Zhu S. On the choice of interpolation functions used in the dualreciprocity boundary-element
method. Eng Anal Bound Elem 1994;13(4): 387–96
376
____________________________________________________________________________________________
XIII
BEM-FEM COUPLING FOR ACOUSTIC EFFECTS ON AEROELASTIC
STABILITY OF STRUCTURES42
Harijono Djojodihardjo43 And Irtan Safari44
Abstract
A series of work has been carried out to develop the foundation for the computational
scheme for the calculation of the influence of the acoustic disturbance to the aeroelastic
stability of the structure. The generic approach consists of three parts. The first is the
formulation of the acoustic wave propagation governed by the Helmholtz equation by using
boundary element approach, which then allows the calculation of the acoustic pressure on
the acoustic-structure boundaries. The structural dynamic problem is formulated using
finite element approach. The third part involves the calculation of the unsteady
aerodynamics loading on the structure using generic unsteady aerodynamics
computational method. Analogous to the treatment of dynamic aeroelastic stability problem
of structure, the effect of acoustic pressure disturbance to the aeroelastic structure is
considered to consist of structural motion independent incident acoustic pressure and
42 Reprinted from CMES: Computer Modeling in Engineering & Sciences, Vol. 91, No. 3, pp. 205-234, 2013
Tulisan ini merupakan salah satu respons penulis terhadap “Keynote Address”dari Pro. Ffowcs-Williams di
Congress International Council of the Aeronautical Siences di London pada tahun 1986, dengan melakukan
penelitian tenatng Aero-Acousto-Elasticity dan membimbing mahasiswa S1 di ITB dan S2 di Universiti Sains
Malaysia,
43 University Putra Malaysia, Aerspace Engineering department; Corresponding Author; email:
44 Garuda Maintenance Facility, Jakarta, Indonesia
377
____________________________________________________________________________________________
structural motion dependent acoustic pressure, referred to as the acoustic aerodynamic

analogy. Results are presented and compared to those obtained in earlier work.
Keywords: Boundary Element Method, Finite Element Method, Fluid-Structure Coupling,

Computational Mechanics
1 Introduction
The foundation for the computational scheme for the calculation of the influence of the
acoustic disturbance to the aeroelastic stability of the structure has been developed in
earlier work [Djojodiardjo and Tendean (2004), Djojodihardjo and Safari (2005, 2006))].
Analogous to the treatment of dynamic aeroelastic stability problem of structure, in which
the aerodynamic effects can be distinguished into motion independent and motion induced
aerodynamic forces, the effect of acoustic pressure disturbance to the aeroelastic structure
(acousto-aero-elastic problem) can be viewed to consist of structural motion independent
incident acoustic pressure and structural motion dependent acoustic pressure, which is
known as the scattering pressure. This can be referred to as the acoustic aerodynamic
analogy. Proceeding to the formulation of BE-FE coupling to treat the fluid-structure
interaction, reference is made on the solution of structural-acoustic interaction problems
using BEM-FEM coupling given by Holström(2001) and Meddahi, Marquez, and Selgas
(2004). Applying similar approach to solve the acousto-aeroelastic problem, the present
work consists of three parts. The first part involves the formulation of the acoustic wave
propagation governed by the Helmholtz equation by using boundary element approach,
which then allows the calculation of the acoustic pressure on the acoustic-structure
boundaries. The governing Helmholtz equation will be solved using Boundary Element
method, following the procedure elaborated by Wrobel (2002) and taking into
considerations various techniques and development described in many recent literature,
such as those elaborated by Holström (2001), Zhang, Gu and Chen (2009a, 2009b). Chen,
Chen and Liang(2001), and Papacharalampopoulos, et al (2010). The second part
addresses the structural dynamic problem using finite element approach. The acoustic-
structure interaction is then given special attention to formulate the BEM-FEM fluid-
structure coupling. The third part involves the calculation of the unsteady aerodynamic
loading on the structure using a conveniently chosen unsteady aerodynamics
computational method, to be utilized in the aeroelastic problem. The acoustic pressure
disturbance is then superposed to the aeroelastic problem, following the acoustic
aerodynamic analogy. Solution procedure can then be readily formulated. Figure 1 shows
the computational strategy to treat the aeroacoustic effects on aeroelastic structure.
378
____________________________________________________________________________________________
2 Discretization of the Helmholtz Integral Equation for the Acoustic Field

For an exterior acoustic problem, as depicted in Figure 2, the problem domain V is the free
space Vext outside the closed surface S. V is considered enclosed between the surface S
and an imaginary surface  at a sufficiently large distance from the acoustic sources and
the surface S such that the boundary condition on  satisfies Sommerfeld’s acoustic
radiation condition as the distance approaches infinity.
For time-harmonic acoustic problems in fluid domains, the corresponding boundary

integral equation is the Helmholtz integral equation [Dowling and Ffowcs-Williams (1983)]
 g p 
cp ( R ) =  p ( R )
 − g ( R − R0 ) dS (1)
S
n0 n0 
where n0 is the surface unit normal vector, and the value of c depends on the location of R
in the fluid domain, and where g the free-space Green’s function. R0 denote a point
located on the boundary S, as given by
− ik R −R
g ( R − R0 ) =
e 0
(2)
4 R − R0
To solve Eq. (1) with g given by Eq. (2), one of the two physical properties, acoustic
pressure and normal velocity, must be known at every point on the boundary surface. At
the infinite boundary , the Sommerfeld radiation condition in three dimensions can be
written as [Dowling and Ffowcs-Williams (1983)]:
 g 
lim r + ikg   0 as r   , r = R − R0 (3)
R −R0 →  r 
which is satisfied by the fundamental solution.
379
____________________________________________________________________________________________
COMPUTATIONAL METHOD FOR ACOUSTIC
EFFECT ON AEROELASTIC STRUCTURE

Formulation of Calculation of
Structural
Helmhotz Equation Unsteady

Dynamic Problem
Boundary Element Finite Element Unsteady
For Acoustic Wave Formulation Aerodynamics
Method
Linear Solid Aerodynamics
Method
Propagation Linear Shell
Acoustic-Structure Element (DLM & DPM)

Aero-Structure
Element
Normal Modes
Coupling Coupling
Acoustic Aerodynamic Calculation Generalized Aerodynamic
Analogy Unified Treatment

Forces
ACOUSTO-AEROELASTIC
COUPLING
Generric Approach-1: Generric Approach-2:
Flutter Calculation Dynamic Response
Figure 1: Computational strategy for the calculation of acoustic effects on

aeroelastic structures
The total pressure, which consists of incident and scattering pressure, serves as an
acoustic excitation on the structure. The integral equation for the total wave is given by
 g ( R − R0 ) p ( r ) 
cp(R ) − pinc (R ) =   p ( R ) − g ( R − R0 ) dS (4)
S
n0 n0 
where p = pinc + psc , and where
 1 , R  Vext
 1 / 2 , R S
 (5)
c=
 / 4 , R  S (non smooth surface)
 0 , R  Vint
The Helmholtz equation is then discretized by dividing the boundary surface S into N
elements. The discretized boundary integral equation becomes,
380
____________________________________________________________________________________________
N N
cpi − pinc −   pgdS = i 0   gvdS (6)
j =1 S j =1 S
where i indicates field point, j source point and Sj surface element j, and for convenience,
g is defined as
g
g (7)
n
Exterior Problem
Imaginary Boundary 
Exterior Region Vext ro Surface S

(Problem Domain)
interior
region
Vint
Figure 2: Exterior problem for homogeneous Helmholtz equation
Let
H ij =  gdS
Sj
(8), Gij =  gdS
Sj
(9)
Substituting g in Eq. (2) to be the monopole Green’s free-space fundamental solution, it

follows that:
ik R j − Ri
 g( R ) e
Gij =  gdS = − Ri dS =  4 R dS (10)
− Ri
j
Sj Sj Sj j
or, in Cartesian coordinate system,
381
____________________________________________________________________________________________
( x j − xi ) +( y j − y i ) +( z j − zi )
2 2 2
− ik
e
Gij =  dS (11)
( x j − xi ) + ( y j − y i ) + ( z j − zi )
2 2 2
Sj 4
where Rj is the coordinate vector of the midpoint of element j and Ri is the coordinate
vector of the node i. In the development that follows, four-node iso-parametric quadrilateral
elements are used throughout. To calculate H ij , the derivative g has to be evaluated
g
 gdS =  nˆ dS =  ( g )
T
H ij = ˆ
ndS (12)
Sj Sj Sj
where
 nx 
nˆ = ny  (13)
 nz 
and
 − ik ( xi − x j ) + ( y i − y j ) + ( zi − z j )
2 2 2
 
 xe  1 
−  ik + 
(x − x j ) + ( y i − y j ) + ( zi − z j ) (x − x j ) + ( y i − y j ) + ( zi − z j )
2 2 2 2 2 2
 4  

i  i 
 − ik ( xi − x j ) + ( y i − y j ) + ( zi − z j )
2 2 2
 
 ye  1 
g =  −  ik + 
2 2 2 2 2 2
 4  

i  i 
 − ik ( xi − x j ) + ( y i − y j ) + ( zi − z j )
2 2 2
 
 ze  1 
−  ik + 
2 2 2 2 2 2
 4  
 i  i 
(14)
For a four-node iso-parametric quadrilateral element, the pressure p and the normal
velocity v at any position on the element can be defined by their nodal values and linear
shape functions, i.e.
382
____________________________________________________________________________________________
 v1 
v 
v ( , ) = N1v1 + N2v 2 + N3v 3 + N4v 4 = N1 N2 N3 N4   2  (15)
v 3 
 
v 4 
 p1 
p 
p ( , ) = N1p1 + N2 p2 + N3 p3 + N4 p4 = N1 N2 N3 N4   2  (16)
 p3 
 
 p4 
where the shape functions in the element coordinate system are,
1 1
N1 = ( − 1)( − 1) N2 = − ( + 1)( − 1)
4 4 (17)
1 1
N3 = ( + 1)( + 1) N2 = − ( − 1)( + 1)
4 4
The four-node quadrilateral element can have any arbitrary orientation in the three-
dimensional space. Using the shape functions (20), the integral on the left-hand side of Eq.
(6), considered over one element j, can be written as:
 p1   p1 
p  p 
 pg ds =  N N4  g i dS  2  = h ij h ij h ij   2 
1 2 4
N2 N3 hij 3 (18)
i 1
 p3     p3 
   
Sj Sj
 p4  j  p4  j
while that on the right-hand side
 v1   v1 
v  v 
 gvdS =  N N4  g i dS  2  = g ij 1 g ij 2 g ij   2 
n
N2 N3 g ij 3 (19)
1
v 3    v 3 
   
Sj Sj
v 4  j v 4  i
where
N
k
h ij = k g j dS k = 1,2,3,4 (20)
Sj
383
____________________________________________________________________________________________
g k ij =  N g dS
Sj
k j k = 1,2,3,4 (21)
The integration in Eq. (18) and (19) can be carried out using Gauss points [Weaver and
Johnston (1987), Holström (2001)]. These Gauss points in the iso-parametric system are
defined as:
1 1
(1,1 ) = (1, −1) (2 ,2 ) = (1,1)
3 3
(22)
1 1
(3 ,3 ) = ( −1,1) (4 ,4 ) = ( −1, −1)
3 3
Substituting equations (18) and (19) into equation (6) for all elements j, there is obtained
 p1   v n1 
N p  N v 
h1ij h ij   2  = i 0  g 1ij g 4 ij   n 2  (23)

2 3 4
ci p i − pinc − h h g 2ij g 3 ij

j =1, j  i 
ij ij
  p  j =1 v n 3 
3
   
 4j
p v n 4  j
Equation (23) can be rewritten as

 p1   v n1 
N p  N v 
 h 1
h 2ij h3 ij h ij   2  = i 0  g 1ij
4
g 2ij g 3 ij g ij   n 2  + pinc
4
(24)
j =1
ij
 p3  j =1 v n 3 
   
 p4  j v n 4  j
Hence the discretized equation forms a set of simultaneous linear equations, which relates
the pressure pi at field point i due to the boundary conditions p to v at source surface Si of
element i and the incident pressure pinc.
384
____________________________________________________________________________________________
(a)
(b)
Figure 3: (a) Surface pressure distribution on pulsating sphere for analytical, BEM,
and BEM-CHIEF solution for one and two CHIEF point; (b) error of the surface
pressure distribution in (a) with respect to the exact solution. 384 isometric surface
elements are utilized, and the use of one (1) CHIEF point has been able to eliminate
the spurious solution with reasonably good accuracy.
In matrix form:
Hp = i 0 Gv + pinc  (25)
385
____________________________________________________________________________________________
where, H and G are two NN matrices of influence coefficients, while p and v are vectors
of dimension N representing total pressure and normal velocity on the boundary elements.
This matrix equation can be solved if the boundary condition v = p n and the incident
acoustic pressure field pinc are known.
At this point, a few remarks are necessary. Proper interpretation should be given to the
diagonal terms of [H] in equation (25) as implied by the original boundary integral (4), since
these terms concern the evaluation of influence coefficient for which the field point is
located at the source element. Accordingly, [H] should be written as
[H] = [H]D + [H]OD (26)
i.e. the diagonal and the off-diagonal part.
The matrix [H] D as implied in (26) can be written as [H] D = [ H ]D +[C] where C is space
angle constant as implied in Eq.(4) which is the quotient of /4π and H is the matrix
implied by the second term of eq.(23) . For a node coinciding with three or four element
corners,  is the space angle towards the acoustic medium, and the space angle for a
sphere is 4π. For a smooth surface the space angle is 2π, and C = ½.
The boundary integral equation of equation (4) fails at frequencies coincident with the
interior cavity frequencies of homogeneous Dirichlet boundary conditions [Wrobel (2002)].
In the case of the formulation of the exterior problem, these frequencies correspond to the
natural frequencies of acoustic resonances in the interior region. When the interior region
resonates, the pressure field inside the interior region has non-trivial solution. Since the
interior problem and the exterior problem shares similar integral operators, the exterior
integral equation may also break down. The discretized equation of the [H] matrix in
equation (25) becomes ill-conditioned when the exciting frequency is close to the interior
frequencies, thus providing an erroneous acoustic loading matrix. This problem could be
overcome by using the CHIEF [Schenck(1976), Chen, Chen and Liang(2001)] or Burton-
Miller method [Burton and Miller(1971), Chen, Chen, Kuo and Liang(2001)], or a recent
technique utilizing SVD and Fredholm alternative theorem [Chen, Chen, Kuo and
Liang(2001), Chen, Chen & Chen (2006), Chen, Chen, LEE and LEE (2012)]. To avoid
non-uniqueness problem, reference [13] describes special treatment to be carried out to
inspect whether the H matrix is ill-behaved or not by utilizing SVD updating technique. The
present method, however, resorts to the utilization of CHIEF method, if eq. (25) ill-
behaved. Such approach applied to the present method has proved to be successful, as
indicated in Figure 3.
386
____________________________________________________________________________________________
3 BEM-FEM Acoustic-Aeroelastic Coupling (AAC)

Following [Weaver and Johnston (1987)], the BE region is treated as a super finite element
and its stiffness matrix is computed and assembled into the global stiffness matrix, and
identified as the coupling to finite elements. The state of affairs is schematically depicted in
Figure.4(a).
The utilization of FEM on the structural domain leads to a system of simultaneous

equations which relate the displacements at all the nodes to the nodal forces. In the BEM,
on the other hand, a relationship between nodal displacements and nodal tractions is
established. Representing the elastic structure by FE model, the structural dynamic
equation of motion is given by [Bisplinghoff, Ashley and Halfman (1955)]
Mx + Cx + K x = F (26)
where M, C and K are structural mass, damping and stiffness, respectively, which are
expressed as matrices in a FE model, while F is the given external forcing function vector,
and {x} is the structural displacement vector. The incorporation of the self-excited
aerodynamic effects to the structural dynamics equation can be written as [Bisplinghoff,
Ashley and Halfman (1955), Rodden and Johnson (1994) and Zona-Tech (1992)]:
Mx + Cx + Kx − q  A ( ik ) x = 0 (27)
where A(ik) is an aerodynamic influence coefficient after applying aero-structure coupling

from the control points of aerodynamic boxes to the structural finite element grid points as
elaborated in [Djojodihardjo and Safari (2006)].
387
____________________________________________________________________________________________
Pressure at non-
coinciding nodes
Acoustic Domain
Acoustic
Scattering
Source
Total Pressure at
Incident Pressure
coinciding nodesMatrix L
Coupling
Pressure
Structure Domain
(a)
Region c
Region c
Acoustic Source
Region b
Region a
(b)
Figure 4: (a). Schematic of Fluid-Structure Interaction Domain (b) Schematic of FE-

BE problem representing quarter space problem domains for half wing
Taking into account the acoustic pressure p on the structure at the fluid-structure interface
as a separate excitation force, the acoustic-structure problem can be obtained from Eq.
(27) by introducing a fluid-structure coupling term given by [L]{p}. It follows that
388
____________________________________________________________________________________________
Mx + Cx + K x − q  A (ik ) x + L p = F (28)
where L is a coupling matrix of size M x N in the BEM/FEM coupling thus formulated. M is

the number of FE degrees of freedom and N is the number of BE nodes on the coupled
boundary. For the BE part of the surface at the fluid-structure interface a, Eq. (25) can be
utilized.
The global coupling matrix L transforms the acoustic fluid pressure acting on the nodes
of boundary elements on the entire fluid-structure interface surface a, to nodal forces on
the finite elements of the structure. Hence L consists of n assembled local transformation
matrices Le, given by
Le =  N FT nN B dS (29)
Se
in which NF is the shape function matrix for the finite element and NB is the shape function
matrix for the boundary element. It can be shown that:
1 0 0 0 0 
N F = 0 1 0 0 0   Ni  (30)
0 0 1 0 0 
The rotational parts in NF are neglected since these are considered to be small in
comparison with the translational ones in the BE-FE coupling, consistent with the
assumptions in structural dynamics as, for example, stipulated in [Bisplinghoff, Ashley and
Halfman (1955)].
For the normal fluid velocities and the normal translational displacements on the shell
elements at the fluid-structure coupling interface, a relationship, which takes into account
the velocity continuity over the coinciding nodes, should be established. This relationship
is given by
v = i( T.x ) (31)
Similar to L, T (n × m) is also a global coupling matrix that connects the normal velocity of
a BE node with the translational displacements of FE nodes obtained by taking the
transpose of the boundary surface normal vector n [Beer and Watson (1992), Holström
(2001)]. The local transformation vector Te can then be written as:
Te = nT (32)
389
____________________________________________________________________________________________
The presence of an acoustic source can further be depicted by Figure4(b). Three regions
are considered, i.e. a, b and c; region a is the fluid-structure interface region, where FEM
mesh and BEM mesh coincide and region b and c is the region where all of the boundary
conditions (pressure or velocity) are known.
For the coupled FEM-BEM regions, BEM equation can now be written as:
H11 H12 H13   pa   G11 G12 G13  v a   pinca 

H        
 21 H22 H23   pb  = i 0 G21 G22 G23  v b  +  pincb  (33)
H31 H32 H33   pc  G31 G32 G33  v c   pinc 
 c
Considering va = i  ( T.x ) , BEM equation can be modified as:
H11 H12 H13   pa   G11 G12 G13  i  T  x   pinca 

H        
 21 H22 H23   pb  = i 0 G21 G22 G23   v b  +  pincb  (34)
H31 H32 H33   pc  G31 G32 G33   v c   pinc 
 c
or:
H11pa + H12 pb + H13 pc = − 0 2G11Tx + i 0G12v b + i 0G13v c + pinca  

H21pa + H22 pb + H23 pc = − 0 2G21Tx + i 0G22v b + i 0G23v c + p 
incb (35)
H31pa + H32 pb + H33 pc = − 0 2G31Tx + i 0G32v b + i 0G33v c + p 
incc
If the pressure boundary condition on b (pb), velocity boundary condition on c (vc), and the
incident pressure on a, b and c are known, by taking to the left side all the unknown the
above equation can be written as:
0 2G11Tx + H11pa − i 0G12v b + H13 pc = −H12 pb + i 0G13v c + pinc a
0 2G21Tx + H21pa − i 0G22v b + H23 pc = −H22 pb + i 0G23v c + p 

incb (36)
0 2G31Tx + H31pa − i 0G32v b + H33 pc = −H32 pb + i 0G33v c + p 
incc
Since the pressure p on FEM equation lies in region a, Eq. (28) can be written as
Mx + Cx + Kx − q  A ( ik ) x + Lpa  = F (37)
390
____________________________________________________________________________________________
where pa is the total acoustic pressure resulting from the application of acoustic
disturbance force to the structure, which consists of the incident acoustic pressure pinc and
scattering acoustic pressure psc. The scattering acoustic pressure will be dependent on the
dynamic response of the structure due to the incident acoustic pressure. Following the
general practice in structural dynamics, solutions of Eq. (37) are sought by considering
synchronous motion with harmonic frequency . Correspondingly, Eq. (37) reduces to:

K + iC −  2M x − q  A ( ik ) x + Lpa  = F (38)
where
x = xe i t ; pa = paei t (39)
or, dropping the bar sign for convenience, but keeping the meaning in mind, Eq. (38) can
be written as
K + iC −  2M   x − q  A ( ik )   x +  L  pa  = F (40)
Combining Eq. (36) and (40), the coupled BEM-FEM equation can then be written as:
 K + iC −  2M − q  A ( ik )  x L 0 0  x 

   
 0 2G11T H11 −i 0G12 H13   pa 
  
 0 2G21T H21 −i 0G22 H23  v b 
 0 2G31T H31 −i 0G32 H33   pc 
(41)
 F 
 −H p + i  G v + p 
 12 b 0 13 c inca 
= 
−H22 pb + i 0G23v c + pincb 
 −H p + i  G v + p 
 32 b 0 33 c incc 
This equation forms the basis for the treatment of the fluid-structure interaction in a unified
fashion. The solution vector consisting of the displacement vector of the structure and total
acoustic pressure on the boundaries of the acoustic domain, including the acoustic-
structure interface, can be obtained by solving Eq. (41) as a dynamic response problems.
391
____________________________________________________________________________________________
4. FURTHER TREATMENT FOR AAC; ACOUSTIC-AERODYNAMIC ANALOGY

At this point, the solution approach philosophy is in order. Analogous to the treatment of
dynamic aeroelastic stability problem of structure, in which the aerodynamic effects can be
distinguished into motion independent (self-excited) and motion induced aerodynamic
forces, the effect of acoustic pressure disturbance to the aeroelastic structure (acousto-
aero-elastic problem) can be viewed to consist of structural motion independent incident
acoustic pressure (excitation acoustic pressure) and structural motion dependent acoustic
pressure, which is known as the scattering pressure. However the scattering acoustic
pressure is also dependent on the incident acoustic pressure. The consequence of such
treatment has been adopted in the above section and will further be implemented in the
subsequent development.
For aeroelastic calculation purposes, further treatment to simplify Eq. (41) will be carried
out. Since the pressure boundary condition on b (pb = 0) and velocity boundary condition
on c (vc = 0), Eq. (36) can be written as:
0 2G11Tx + H11pa − i 0G12v b + H13 pc = pinc a

(42a)
0 2G21Tx + H21pa − i 0G22v b + H23 pc = pinc b

(42b)
0 2G31Tx + H31pa − i 0G32v b + H33 pc = pinc c

(42c)
Since G22 and H33 is square matrix, equation (42b) and (42c) can be written as
vb = −
i
G 
  22
−1
(  G
0
2
Tx + H21pa + H23 pc − pincb
21 ) (43a)
0
pc = − H33 
−1
(  G
0
2
31 Tx + H31pa − i 0G32v b − pincc ) (43b)
Substituting equation (43b) into equation (42b)
0 2 A 21Tx + B21pa − i 0 A 22v b + B23 pinc − pinc = 0

c b
(44)
where
392
____________________________________________________________________________________________
(
A 21 = G21 − H23 H33  G31
−1
)
= (H − H23 H33  H31 )
−1
B21 21
(45)
= (H
23 H33  )
−1
B23
= (G − H23 H33  G32 )

−1
A 22 22
Since A22 is square matrix, Eq. (44) can be written as:
A 22  ( 0 2 A 21Tx + B21pa + B23 pinc )

i

−1
vb = − − pincb (46)

0
c
Substituting equation (43a) into equation (42c)
0 2C31Tx + A31pa + A33 pc + B32 pinc − pinc = 0 b c

(47)
where
(
C31 = G31 − G32 G22  G21
−1
)
= (H − G32 G22  H )
−1
A 31 31 21
(48)
= (H − G32 G22  H )
−1
A 33 33 23
= (G G22  )
−1
B32 32
pc = −  A 33 
−1
(  C
0
2
31 Tx + A 31pa + B32 pincb − pincc ) (49)
Substituting Eq. (46) and (49) into equation (42a)
0 2D11Tx + E11pa + F12 pinc + F13 pinc = pinc b c a

 (50)
where
393
____________________________________________________________________________________________
(
D11 = G11 − G12  A 22  A 21 − H13  A 33  C31
−1 −1
)
= (H − G12  A 22  B21 − H13  A 33  A 31 )
−1 −1
E11 11
(51)
F12 = G12  A 22  − H13  A 33  B32
−1 −1
F13 = H13  A33  − G12  A 22  B23

−1 −1
Since E11 is square matrix
pa = − E11 
−1
(   D T  x − p
0
2
11 inca + F12 pincb + F13 pincc ) (52)
Matrix E11 and D11 are also a square matrix, finally by substituting equation (52) into
equation (40) BEM-FEM aero-acoustic-structure coupling can be obtained as:
K + i C −  2M x − q  A ( ik )  x
( ) ) = F
(53)
+ L − E11 
−1
(   D T  x − p
0
2
11 inca + F12 pincb + F13 pincc
Incident pressure on region b and c will not influence the stability problem associated with
the structures, and may at this point be disregarded. Hence, without considering damping
matrix C Eq. (53) simplifies to:
K −  2M x − q  A ( ik )  x

(54)
− 0 2 LE11  D11 T x = − LE11  pinc  + F
−1 −1
a
or
K −  2M x − q  A ( ik )  x − 0 2 Facsc ( kw )  x = Facinc ( kw ) + F   (55)
where
Fac ( kw )  = LE11  D11 T 

−1
 sc 
(56)
F ( k ) = − LE  p 
acinc w 11
−1
inca
Eq. (55) will not be solved directly since the size of the mass and stiffness matrices of the
aircraft model are very large. Instead one uses the modal approach where the structural
deformation {x} is transformed to the generalized coordinate {q} given by the following
relation:
x = q (57)
394
____________________________________________________________________________________________
where  is the modal matrix whose columns contain the lower order natural modes. Pre
multiplying by T and converting dynamic pressure q into reduced frequency (k) as
elaborated in [Djojodihardjo and Safari (2006)], Eq. (56) can then be written as:
   L
2


2
 2k    
 K −   M +    A ( ik )  + 0 Facsc ( kw )     q = T Facinc ( kw ) + T F
T
 
(58)
since all of the acoustic terms are functions of wave number (kw) Eq. (58) can be solved by
utilizing iterative procedure.
Incorporation of the scattering acoustic term along with the aerodynamic term in the
second term of Eq. (58) can be regarded as one manifestation of the acoustic-
aerodynamic analogy followed in this approach.
Further method of approach for the solution of the acousto-aeroelastic problem is then
dealt with. Following the same procedure as developed in earlier work [Djojodihardjo and
Tendean (2004), Djojodihardjo and Safari (2005)], the acoustic excitation is incorporated
by coupling it to the unsteady aerodynamic load in the flutter stability formulation. Linearity
and principle of superposition has been assumed. Hence the acoustic loading can be
superposed to the aerodynamic loading on the structure, and form the modified aeroelastic
equation (acousto-aeroelastic equation) of the structural dynamic problem associated with
acoustic and aerodynamic excitation. In the earlier work, tacit consideration is only given to
the incident acoustic pressure as the acoustic excitation, without considering the acoustic
scattering effects, and without considering L. The incident pressure pinc was also assumed
to belong to a certain class that allows its incorporation in the aerodynamics term. Thus
eq. (41) was treated in a decoupled fashion. Such approach has given instructive results.
In the present development, rigorous consideration has been devoted to the acoustic
scattering problem. Two generic approaches to solve Eq. (41) can be followed. The first is
to solve Eq. (41) as a stability equation in a ”unified treatment”, and the disturbance
acoustic pressure already incorporates the total pressure, i.e. the incident plus the
scattering acoustic pressure. The treatment of the incident acoustic pressure pinc in Eq.
(58) follows similar approach adopted for the scattering acoustic pressure by tuning pinc so
that it behaves like the aerodynamic terms in the modal Eq. (58). This is considered logical
for the problem considered since the intention is to look at its enhancement effect to the
aerodynamic one, thus only a class of pinc will meet the eigenvalue requirements of Eq.
(58). This approach will be elaborated further in the following section. The second generic
approach is to solve Eq. (41) as a dynamic response problem due to acoustic excitation.
395
____________________________________________________________________________________________
The left-hand side of Eq. (41) incorporates the scattering acoustic pressure term.
Appropriate algebraic manipulation is carried out to allow modal approach of pinc
[Djojodihardjo (2007)].
5. Acoustic Modified Flutter Formulation (Stability Problem) using (K-Method)

For the calculation of the influence of acoustic effect on aeroelastic stability problem, Eq.
(58) can be further formulated by making special treatment to the acoustic incident force
and without other external forces (F=0) in the right-hand side. This treatment can be made
by “tuning” that term to behave like the aerodynamic terms in generalized variables, in
addition to the treatment of the scattering acoustic pressure. This assumption has been
made by assuming linearity and principle of superposition. This assumption allows the
superposition of the acoustic loading to the aerodynamic loading on the structure, and
form the modified aeroelastic equation (acousto-aeroelastic equation) of the structural
dynamic problem associated with acoustic and aerodynamic excitation. Let define
F *
acinc ( kw ) = T Fac ( kw )
inc
(59)
Then Eq. (58) can be written as:
 *  *   L 2 * 
K −   M +    A ( ik )  + 0 F* acsc ( kw )    q =  2 F** acinc ( kw )  q (60)
2
 2k  
  
where
M* = T M = generalized mass matrix (61a)
K* = T K = generalized stiffness matrix (61b)
A* (ik ) = T A(ik ) = generalized aero matrix (61c)
F* acsc ( kw ) = T Facsc ( kw )   (61d)
(F )
*
(F )
acinc
**
= i
(61e)
acinc
i q 2
i i
As modified aeroelastic stability problem, Eq. (60) can be written as
396
____________________________________________________________________________________________
 *   L
2

K −  2  M* +    A * ( ik )  + 0 F* acsc ( kw )  + F** acinc ( kw )    q = 0 (62)
  2k  
 
which can be simplified as:
 M** −  K  q = 0 (63)
 
where
  L
2

M**  = K * −  2  M* +    A* ( ik ) + 0 F*acsc ( kw )  + F**acinc ( kw )    (64)
  2k 
 
1 + ig
and = (65)
2
Eq. (64) is solved as an eigenvalue problem for a series of values for parameters k and .
Since M** is in general a complex matrix, the eigenvalues  are also complex numbers. For
n structural modes, there are n eigenvalues corresponding to n modes at each k. The air
speed, frequency and structural damping are related to the eigenvalue  as follows:
1 f b Im (  )
f = (66a), Uf = (66b) and g= (66c)
Re( ) k Re (  )
To evaluate the flutter speed, V–g and V-f diagrams are constructed [Bisplinghof, Ashley
and Halfman (1955), Dowell (ed) (1980)]. The V-g diagram plots the structural damping as
a function of velocity, and the V-f diagram plots the frequency as a function of velocity. The
flutter critical speeds is indicated in the V-g diagram as the lowest velocity V at which the g
curve crosses the V axis from its negative (stable region) to its positive value (unstable
region), i.e. when g = 0.
6. Numerical Results
6.1. Acoustic Boundary Element Simulation
In order to verify the validity of the boundary elements acoustic models, a numerical test
case is conducted to test the validity of the method. To avoid complexity, the acoustic
source is assumed to be a monopole source which creates the acoustic pressure. This
acoustic pressure is interacting with the unsteady aerodynamic forces.
397
____________________________________________________________________________________________
For a pulsating sphere an exact solution for acoustic pressure a at a distance r from the
center of a sphere with radius a pulsating with uniform radial velocity Ua is
a iz ka
p ( r ) = U a 0 e−ik ( r − a ) (67)
r 1 + ika
where z0 is the acoustic characteristic impedance of the medium and k is the wave
number.
Figure 5 shows the discretization of the surface elements of an acoustics pulsating sphere
representing a monopole source. BEM calculation for scattering pressure from acoustic
monopole source will be compared with exact results. Figure 6 which shows the excellent
agreement between the computational procedure developed and the exact one.
Discretization of one octant pulsating sphere
0.8
0.6
0.4
0.2
0 0
0
0.2
0.4 0.5
0.6
0.8 1
1
Figure 5: Discretization of one octant pulsating sphere
Scattering Pressure from Monopole Source (a=0.1 m ) Scattering Pressure from Monopole Source (a=0.1 m )
for Certain Radius [Real Part] for Certain Radius [Im aginary Part]
0.16 3
0.14
2.5
0.12
0.1 2
Pressure (Pa)
Pressure (Pa)
0.08 1.5
0.06
1
0.04
0.02 0.5
0
0
-0.02 0 10 20 30 40 50 60 70
0 10 20 30 40 50 60 70
-0.04 Radius (m ) -0.5
Radius (m )
Exact BEM Exact BEM
398
____________________________________________________________________________________________
Scattering Pressure from Monopole Source (a=0.1 m )

for Certain Radius [Magnitude]
3
2.5
Pressure (Pa)
1.5
0.5
0
0 10 20 30 40 50 60 70
Radius (m )
Exact BEM
Figure 6: Comparison of monopole source exact and BEM scattering pressure

results
The calculation depicted in Figure 6 was based on the assumption of f=10 Hz, =1.225
Kg/m3, and c=340 m/s. The excellent agreement of these results with exact calculation
serves to validate the developed MATLAB® program for further utilization.
6.2. Coupled BEM-FEM Numerical Simulation
The BAH wing structure [Bisplinghoff, Ashley and Halfman (1955)] and the surrounding
boundary representing quarter space of the problem are discretized as shown in Figure 7.
The problem domain is divided into two parts. First the near field region is a quarter space
with radius of two times the BAH wing span and is relatively more densely discretized;
second, the intermediate to far field region is a quarter space with radius ten times the
BAH wing span and is less densely discretized compared to the near field region, and is
modelled with BEM only.
399
____________________________________________________________________________________________
Figure 7: 3-D domain representing of BAH wing structure and its surrounding
boundary
The BAH wing which is modelled as FEM and BEM is subjected to an excitation due to an
acoustic monopole source; the acoustic medium is air with density  =1.225 kg/m3 and the
sound velocity is c = 340 m/s. The monopole acoustic source is placed at the intersecting
line of the half span and half chord planes of the BAH wing structure, and at about 0.1 m
above the wing surface. The monopole source has the frequency of 10 Hz, radius of a =
0.1 m. The result of applying Eq. (61) for F = 0 is presented as the incident, total and
scattering pressures drawn as color-coded diagrams in Figure 8, which qualitatively exhibit
the expected behaviour. It could be added that in the example considered, CHIEF method
has also been utilized in the BEM part to take care of the fictitious frequency problem, so
that such phenomena can be eliminated in the BEM-FEM acoustic-structure coupling.
400
____________________________________________________________________________________________
Figure 8: Pressure distribution on symmetric equivalent BAH wing; a) Incident

pressure [dB] from monopole acoustic source as an acoustic excitation and b)
deformation and total acoustic pressure response [dB]
6.3. Flutter Calculation for Coupled Unsteady Aerodynamic and Acoustic

Excitations
(a) (b)
Figure 9: (a) Unsteady aerodynamics pressure distribution (Cp), and (b) Mode shape
of the wing structure when flutter occurs
401
____________________________________________________________________________________________
Figure 10: Damping and frequency diagram for BAH wing calculated using V-g
method written in MATLAB® for the acousto-aeroelastic problem (the total acoustic
pressure already incorporates the scattering pressure).
In earlier work [Djojodihardjo and Tendean (2004), Djojodihardjo and Safari (2005)], the
acoustic excitation is incorporated by coupling it to the unsteady aerodynamic load in the
flutter stability calculation. Linearity and principle of superposition has been assumed.
Hence the acoustic loading can be superposed to the aerodynamic loading on the
structure, and form the modified aeroelastic equation (acousto-aeroelastic equation) of the
structural dynamic problem associated with acoustic and aerodynamic excitation. In the
earlier work, tacit consideration was only given to the incident acoustic pressure as the
acoustic excitation, without considering the acoustic scattering effects, and without
considering L.
The incident pressure pinc was also assumed to belong to a certain class that allows its
incorporation in the aerodynamics term. Thus Eq. (61) was treated in a decoupled fashion.
Such approach has resulted in the delay of the inception of flutter. Figure 9 shows the
unsteady aerodynamics pressure (Cp) and mode shape of the structure when flutter
occurs.
In the present development, rigorous consideration has been devoted to the acoustic
scattering problem. by solving Eq. (61) as a stability equation in a ”unified treatment”, and
the disturbance acoustic pressure already incorporates the total pressure, which has been
“tuned” to behave like the aerodynamic terms in the modal Eq. (61). The solution is
402
____________________________________________________________________________________________
exhibited as Figure10, which shows that the flutter inception is delayed at a higher speed
also.
7. AAC Parametric Study
The computational scheme for the distribution of acoustic pressure on the surface of the
pulsating sphere, the total acoustic pressure for coupled BEM-FEM problem, and the
influence of placing an acoustic monopole above a three dimensional wing (a BAH wing)
to the flutter velocity, by using coupled BEM-FEM formulation for the acoustic incident
pressure induced by the monopole source have been validated using NASTRAN®
[Rodden and Johnston(1994)] and ZAERO® [Zona Tech (2004)]. The calculation of the
unsteady aerodynamic terms in Eq.(60) is carried out using Doublet Point Method as
elaborated in [Houbolt (1969), Ueda and Dowell (1982)], and developed into a routine
written in MATLAB® , as elaborated in [Djojodihardjo and Safari (2006)].
It is of interest to look into some simple applications to obtain the usefulness of the
(a) (b)
Figure 11: The Influence of Acoustic Monopole Source Intensity on flutter velocity
as a function of Monopole position; (a) at midchord along wing span, (b) at wing-tip
section along the chord
method. Along this line, several parametric studies are carried out. The first study looks
into the influence of the intensity of the acoustic source on the flutter stability by varying its
location above the wing. Figure11(a) indicates that the most effective way in placing the
403
____________________________________________________________________________________________
acoustic monopole source is on the tip of the wing and Figure11(b) indicates that the most
effective way in placing the acoustic monopole source is on the trailing edge of the wing.
Next the influence of the distance between the acoustic source and the wing on the
flutter stability is investigated. Figure12 exhibits the results of such study and indicates that
the most effective way in placing the acoustic monopole source is on the nearest distance
from the wing. These results serve to indicate the logical trend of such problem, which will
be useful for further practical applications. However, the favorable effect of the introduction
of a monopole source closer to the wing should be accompanied by the increase of its
strength.
Figure 12: The Influence of Acoustic Monopole Source Strength on Flutter Velocity
as a function of the distance of the Monopole Source above the wing from the tip-
chord point of the wing-tip section
The computational scheme for the calculation of the influence of the acoustic disturbance
to the aeroelastic stability of a structure has been developed using a unified treatment by
applying acoustic aerodynamic analogy.
By considering the effect of acoustic pressure disturbance to the aeroelastic structure

(acousto-aero-elastic problem) to consist of structural motion independent incident
acoustic pressure and structural motion dependent acoustic pressure, the scattering
acoustic pressure can be grouped to-gether in the aerodynamic term of the aeroelastic
equation. By tuning the incident acoustic pressure, it can also be incorporated along with
the scattering acoustic term, forming the acousto-aeroelastic stability equation. For this
404
____________________________________________________________________________________________
purpose, the topology of the problem domain has been defined to consist of those
subjected to acoustic pressure only and that subject to acoustic structural coupling, which
is treated as acousto-aeroelastic equation. Using BE and FE as appropriate, an integrated
formulation is then obtained as given by the governing Eq. (41), which relates all the
combined forces acting on the structure to the displacement vector of the structure. The
solution of Eq. (41) – and after using modal approach in structural dynamics, Eq.(58) - can
be obtained by solving Eq.(62) as a stability equation in a ”unified treatment”, and the
disturbance acoustic pressure already incorporates the total pressure ( incident plus
scattering pressure), which has been “tuned” to behave like the aerodynamic terms in the
modal Eq.(60). Such approach allows the application of the solution of the acousto-
aeroelastic stability equation in the frequency domain using V-g method. Such technique
forms the first generic approach to solve Eq. (41). Alternatively, the acousto-aeroelastic
equation part can also be treated as a dynamic response problem, which forms the second
generic approach and which has been dealt with in [Djojodihardjo and Safari (2006) and
[Djojodihardjo (2007)].
The method developed has been demonstrated to be capable of solving the acoustic-aero-
elastomechanic coupling problem. Specifically, the results of both generic approaches to
the example worked out show that the presence of acoustic excitation at a frequency near
the original flutter frequency can delay the flutter inception, thus confirming our
expectation. Further improvements in the computational technique based on efficient
algorithm and specific numerical behaviour may take advantage of the work of Schanz
(2010) and Wu, Liu and Jiang (2012).
List of Symbols
 AIC  : Aerodynamics Influence Coefficient
 A(ik ) : Unsteady Aerodynamics Matrix

b : wing chord/span chosen for convenience
C : Viscous Damping
c : constant for BEM equation, or speed of sound

F  : External Forces
Gij : influence coefficient matrices
405
____________________________________________________________________________________________
g : free space green function
H ij : influence coefficient matrices
K  : Stiffness Matrix
k : reduced frequency
kw : wave-number, in the Helmholtz equation
L : fluid-structure coupling matrix
M  : Mass Matrix
N : shape function, as implied by the context

n0 : surface normal vector
p : acoustic pressure
pinc : incident acoustic pressure
psc : scattering acoustic pressure
q : generalized coordinates
q : dynamic pressure of the fluid surrounding the structure
R0 : a point in boundary surface
S : bounding surface
Vf : flutter speed
v : normal velocity vector

 : Kronecker’s delta function
 : wave length
 : air density
406
____________________________________________________________________________________________
References:
Anonymous, Zona Tech, (2004) “ZAERO Theoretical Manual” ZONA Technology, Inc.
Thirteenth Edition 12-04 © 2004.
Beer, G. and Watson, J.O.(1992), “Introduction to Finite and Boundary Element Methods
for Engineers”. John Wiley & Sons Ltd, Baffins Lane, Chichester, England.
Bisplinghoff, R. L, Ashley, H, Halfman, R.(1955) Aeroelasticity, Addison Wesley,
Reading, Massachusetts.
Burton, J. and Miller, G.F. (1971), The application of integral equation methods to
numerical solutions of some exterior boundary value problem, Proc. Royal Society London
Ser. A 323, pp 201–210.
Chen, J.T., Chen, I. L. and Liang, M.T. (2001) “Analytical Study and Numerical
Experiments for Radiation and Scattering Problems using the CHIEF Method”, Journal of
Sound and Vibration, 248(5), pp.809-828.
Chen, J.T., Chen, I. L., Kuo, S. R. and Liang, M. T. (2001), “A New Method for True and
Spurious Eigensolutions of arbitrary cavities using the CHEEF Method”, J. Acoustic
Society of America, 109(3), [DOI:10.1121/1.1349187].
Chen, J.T., Chen, I. L. and Chen, K. H. (2006) “Treatment of Rank Deficiency in Acoustic
using SVD”, J. Comp. Acoustic, Vol. 14, No.2, pp.157-183.
Chen, J-T., Chen, I-L, LEE, Y-T. and , LEE, J-W.(2012) Non-uniqueness and treatment in
dual BIEM/BEM using SVD, The Cross-Straits Workshop on Applied Mathematics.
Djojodihardjo, H and Tendean, E. (2004): A Computational Technique for The Dynamics
of Structure Subject to Acoustic Excitation, ICAS 2004, Vancouver, October.
Djojodihardjo, H and Safari, I. (2005): Further Development of the Computational
Technique for Dynamics of Structure Subjected to Acoustic Excitation, paper IAC-05-
C2.2.08, presented at the 56th International Astronautical Congress, Fukuoka Japan.
Djojodihardjo, H and Safari, I. (2006): Unified Computational Scheme for Acoustic
Aeroelastomechanic Interaction, paper IAC-06-C2.3.09, presented at the 57th International
Astronautical Congress, Valencia Spain.
Djojodihardjo, H. (2008): Unified BE-FE Aerodynamic-Acoustic-Structure Coupling
Scheme for Acoustic Effects on Aeroelastic Structures Paper ICAS-2008-585,26TH
International Congress of The Aeronautical Sciences, Anchorage
Djojodihardjo, H. (2007): BEM-FEM Acoustic-Structural Coupling for Spacecraft Structure
Incorporating Treatment of Irregular Frequencies, Paper IAC-07-C2.3.4, 58th International
Astronautical Congress, Hyderabad.
407
____________________________________________________________________________________________
Dowell, E.H.(Ed), Curtiss, H.C., Scanlan, R.H., and Sisto, F. (1980) A modern course in
aeroelasticity, Sijthoff & Noordhoff, Alphen aan den Rijn, The Netherlands..
Dowling, A.P. and Ffowcs Williams, J.E. (1983) Sound and Sources of Sound, Ellis
Horwood Limited, Chichester – John Wiley & Sons, New York Brisbane Chichester
Toronto, ©1983, A.P. Dowling and J.E. Ffowcs Williams.
Holström, F. (2001): Structure-Acoustic Analysis Using BEM/FEM; Implementation In
MATLAB®, Master’s Thesis, Copyright © 2001 by Structural Mechanics & Engineering
Acoustics, LTH, Sweden, Printed by KFS i Lund AB, Lund, Sweden, May 2001,
Homepage: http://www.akustik.lth
Houbolt, J.C. (1969) “Some New Concepts in Oscillatory Lifting Surface Theory, “AFF
DLTR-68-2”.
Meddahi, S., Marquez, A. and Selgas, V. (2004) “A new BEM–FEM coupling strategy for
two-dimensional fluid–solid interaction problems”, Journal of Computational Physics 199
pp. 205–220.
Papacharalampopoulos, A., Karlis, G.F., Charalambopoulos, A. and Polyzos, D.,
(2010) BEM Solutions for 2D and 3D Dynamic Problems in Mindlin’s Strain Gradient
Theory of Elasticity, CMES Vol.58, no. 1, pp 45-73, 2010
Rodden,W.P., and Johnson, E.H.(1994) MSC/NASTRAN Aeroelastic Analysis User’s
Manual, Version 68, pp. 237-257.
Schanz, M. (2010) On a Reformulated Convolution Quadrature Based Boundary Element
Method, CMES, vol.58, no.2, pp.109-128.
Schenck, H.A. (1976) Improved integral formulation for acoustic radiation problems, J.
Acoust. Soc. Am. 44(1) , pp 41–58.
Ueda, T., and Dowell, E.H. (1982) “A New Subsonic Method for Lifting Surfaces in
Subsonic Flow,” AIAA Journal, Vol. 20, No. 3, pp. 348 – 355, March 1982. Technical
Comment, Rodden, W.P. Vol. 22, No.1, p. 160.; and Reply by Ueda, T. and Dowell, E.H.,
Vol. 22, No.4, p.575, 1983.
Weaver, W. and Johnston, P. R. (1987) “Structural Dynamics by Finite Elements”,
Prentice-Hall, Inc. Englewood Cliffs, New Jersey.
Wrobel, L.C.(2002) The Boundary Element Methods, Vol.1, Applications in Thermo-Fluids
and Acoustics, John Wiley & Sons, Chichester, West Sussex PO19 IUD, England.
Wu, H.J, Liu, Y.J and Jiang, W.K (2012)Analytical integration of the moments in the
diagonal form fastmultipole boundary element method for 3-D acoustic wave problems,
Engineering Analysis with Boundary Elements 36 , PP 248–254
Zhang, Y.M., Gu, Y. and Chen, J.T.(2009a) Boundary Layer Effect in BEM with High
Order Geometry Elements Using Transformation, CMES, vol.45, no.3, pp.227-247, 2009
408
____________________________________________________________________________________________
Zhang, Y, Gu, Y. and Chen, J-T., (2009b) Analysis of 2D Thin Walled Structures in BEM
with High-Order Geometry Elements Using Exact Integration, CMES, vol.50, no.1, pp.1-20,
2009.
Acknowledgement
The work reported here has partly been supported by Universiti Sains Malaysia
Fundamental Research Grant (FRGS) and Universiti Putra Malaysia Research Univesity
Grant Scheme (RUGS) No. 05-02-10-0928RU. The author would like to thank Universitas
Al-Azhar Indonesia for the opportunity to carry out the work at Universiti Sains Malaysia
and Universiti Putra Malaysia.
409
____________________________________________________________________________________________
410
____________________________________________________________________________________________
XIV
VIBRO-ACOUSTIC ANALYSIS OF THE ACOUSTIC-STRUCTURE
INTERACTION OF FLEXIBLE STRUCTURE DUE TO ACOUSTIC
EXCITATION45
and
Faculty of Engineering, Universitas Al-Azhar Indonesia
Jalan Sisingamangaraja, Jakarta 121010, Indonesia
ABSTRACT
The application of BE-FE Acoustic-Structure interaction on a structure subject to

acoustic load is elaborated using the Boundary Element – Finite Element Acoustic
45 Reproduced from Acta Astronautica, Volume 108, March–April 2015, Pages 129-145
Tulisan ini merupakan kelanjutan dari kegiatan penelitian dalam bidang Aero-Acousto-Elasticity dalam Space
Technology, yang disampaikan dalam beberapa versi dan tahap pada International Astronautical Congress pada
tahun-tahun sebelumnya, dan direkomendasikan oleh Technical Committee untuk dipublikasikan dalam Acta
Astronautica, Journal dari the International Academy of Astronautics,,
411
____________________________________________________________________________________________
Structural Coupling and the utilization of the computational scheme developed earlier.
The plausibility of the numerical treatment is investigated and validated through
application to generic cases. The analysis carried out in the work is intended to serve
as a baseline in the analysis of acoustic structure interaction for lightweight
structures. Results obtained thus far exhibit the robustness of the method developed.
Keywords: Acoustic-Structure Interaction, BEM-FEM Coupling, Boundary Element Method,

Vibro-Acoustics
1. Introduction
During flight missions, space vehicles, such as illustrated in Figure 1 [1], are subjected to a
severe dynamic pressure loading and broadband, aeroacoustic and structure-borne
excitations of various circumstances, which can endanger the survivability of the payload
and the vehicles electronic equipment, and consequently the success of the mission.
Aerospace structures are generally characterized by the use of exotic composite materials
of various configurations and thicknesses, as well as by their extensively complex
geometries and connections between different subsystems. It is therefore of crucial
importance for the modern aerospace industry, the development of analytical and
numerical tools that can accurately predict the vibroacoustic response of large, composite
structures of various geometries and subject to a combination of aeroacoustic excitations.
Assisted with computing capability and user-friendly computer-aided analysis software, the
analyst is challenged to ensure that the analysis includes all the relevant physical
phenomena. Simple fundamental principles are mandatory, in order not to lose insight on
the interrelationships between relevant elements, and to devise simple methods that are
robust to address various problems. Space borne structure must be able to resist the loads
induced by the launch environment, and meet all the functional performances required on
orbit such as dimensional stability and structural integrity. Noise and Vibration should also
be taken as critical consideration in the design of aerospace vehicles for fatigue of
components arising from interior structural and acoustic pressure fluctuations due to
external structural or acoustic loading [2-9]. Other related works are reported in references
[10-13]. Pappa et al [10-12] summarizes modal testing activities at the NASA Langley
Research Center for generic aircraft fuselage structures. Citarella et al [13] set up an
integrated approach for an automobile vibro-acoustic analysis to assess, visualize and
412
____________________________________________________________________________________________
compare vibro-acoustic performance to pre-determined design targets and identifying and

quantifying the forces and sound sources responsible for their prevailing behavior.
The great number of design variables allows to synergistically fulfill high stiffness and
acoustic standards. Hence the objective of the present paper is to describe the application
of BE-FE Fluid Structure interaction on a structure subject to acoustic load and to
elaborate FE formulation of the computational scheme for unified approach on acoustic-
aeroelastic interaction as developed earlier [15-20]. Figure 2, adapted from [21] shows
schematically the structures subsystem interface. This is divided into two separate
categories, Inputs and outputs, to allow for easy referencing. A technique to estimate
driving force spectra of equipment packages attached to cylindrical structures subjected to
broadband random acoustic excitations is summarized in Figure 3, adapted from [21]. This
procedure is considered indicative of the present state-of-the-art and will provide
satisfactory predictions of the vibratory environment.
2. Problem Formulation
To address the problem associated with fluid structure interaction, in particular the
vibration of structures due to sound waves, aerodynamics and their combined effects, a
generic approach to the solution of the elasto-acousto-fluid-dynamic interaction will be
followed in order to develop the foundation for the computational scheme for the
calculation of the influence of the acoustic disturbance to the aeroelastic stability of the
structure, starting from a rather simple and instructive model to a more elaborate FE-BE
fluid-structure one. The generic approach consists of two parts, as schematically
summarized in Figure 4 which exhibits the computational strategy to treat the acoustic-
structure interaction.
The first is the formulation of the acoustic wave propagation governed by the Helmholtz
equation by using boundary element approach, which then allows the calculation of the
acoustic pressure on the acoustic-structure boundaries. The influence of the acoustic
excitation field has been given rigorous consideration by taking into account both the
incident and scattering acoustic pressure, following the governing equations described by
Dowling and Ffowcs-Williams [22] and Norton [23]. The second part addresses the
structural dynamic problem using finite element approach. In the formulation of BE-FE
coupling to treat the fluid-structure interaction, reference is made to the solution procedure
for structural-acoustic interaction problems described by Chuh-Mei and Pates [24],
Holström [25] and Marquez, Meddahi and Selgas [26]. A third part could be added to
413
____________________________________________________________________________________________
incorporate other environment effect, such as aerodynamics, as elaborated in references

[16-20], to be utilized in the aero-acoustoelastic problem.
Figure 1: An illustration of a spacecraft being inspected at APL’s Kerschner Space

Building [1]
414
____________________________________________________________________________________________
Figure 2: Structures subsystem interface [21]
Figure 3: A technique to estimate driving force spectra of equipment packages

subjected to broadband random acoustic excitations [21]
415
____________________________________________________________________________________________
Figure 4: Introduction of FEM-BEM approach in the integration strategy for

computational method in aeroacoustic effect on aeroelastic structures [14-19]
Following the scheme depicted in Figure 4, the present work is a synthesis and adaptation
of a host of methods that have been suggested by various authors as appropriate and
elaborated subsequently for its effectiveness. The method has been applied to generic
problems in the acoustic as well as structural dynamic domain, followed by its application
for acoustic-structure coupling .It is then applied to address the stability problem in aero-
acoustoelasticity, by careful development of various elements of methods: BEM for
acoustic domain, FEM for structural domain, and BEM-FEM for the acoustic-structural
coupling or acousto-aeroelasticity generic problems. Attention is focused on instructive
method suitable for desk-top computers. Computations are carried out using in-house
MATLAB based program as well as NASTRAN for validation.
A novel approach is presented in addressing acoustic-aeoelastic problem, by the

introduction of acoustic-aerodynamic analogy in treating acousto-aeroelastic stability
problem. To avoid spurious results, CHIEF method (as elaborated subsequently) is utilized
and assessed.
3. Discretization and Treatment of Helmholtz Integral Equation for The Acoustic

Field following Conventional BEM formulation
416
____________________________________________________________________________________________
For an exterior acoustic problem, the problem domain V is the free space V ext outside
the closed surface S. V is considered enclosed between the surface S and an imaginary
surface  at a sufficiently large distance from the acoustic sources and the surface S.
External radiation and scattering problems can be reduced to integral equations over a
surface in various ways. The utilization of Helmholtz Integral Equation for the External
Acoustic Field and their implementation to boundary element method (BEM) has been the
subject of continued interest. One should note, however that there may be a discrete set of
wave numbers or frequencies for which the solution to these integral equations either does
not exist or is not unique. Benthien and Schenck [27] review many of these methods for
handling these nonexistence or nonuniqueness problems and has carried out comparative
study on their accuracy and efficiency. Both problems stem from the rank deficiency of the
matrix. The Fredholm alternative theorem and singular value decomposition (SVD)
updating techniques have been utilized to study the rank-deficiency matrices [28]. Juhl [29]
also employed the SVD technique to study the numerical instability due to the irregular
frequency. To deal with this problem, Burton and Miller [30] solved the problem by
combining singular and hypersingular equations with an imaginary number. However, the
calculation for the hypersingular integral is required. To avoid this computation, an
alternative method was proposed by Schenck [31]. He proposed the Combined Helmholtz
Interior Integral Equation Formulation (CHIEF) method by collocating the point outside the
domain as an auxiliary constraint to promote the rank of influence matrices. Wu et al. [32]
proposed a CHIEF-block idea to enforce the constraints in a weighted residual sense over
a small region. If the CHIEF point locates on or near the nodal line of its corresponding
mode, it may not provide a valid constraint [33-34].
With such preliminary note, one could proceed by considering the propagation of time
harmonic acoustic waves in a homogeneous isotropic acoustic medium (which can be
either finite or infinite) as described by the Helmholtz equation:
2 ( x ) + k 2 ( x ) = 0 x V (1)
where  is the pressure field, k =/c is the wave number,  is the angular frequency and c
is the wave speed in the acoustic medium.
In the present case considered as illustrated in Figure 5, the boundary condition for the
Helmholtz equation is given by:
417
____________________________________________________________________________________________
 ( x ) = ( x ) x  V
 ( x ) (2a, b)
 q ( x )  q ( x )  i v ( x ) x  Sor 
n
The barred quantities indicate known values on the boundary.
The corresponding boundary integral representation of the solution to the Helmholtz46

integral equation [3, 16-19, 22-26] is given by
  ( y ) G ( x, y ) 
C ( x )  ( x ) =   G ( x, y ) −  ( y ) dS +  i
 n ( y ) n ( y ) x  V ) (3)
S 
 G ( x, y ) 
=   G ( x, y ) q ( y ) −  ( y ) dS +  i
  n ( y )
S 
where x is the collocation point, y the source point, n(y) the surface unit outward normal
vector at y. Frequently one seeks to express the unknown exterior potential  (p) as the
potential arising from some particular form of source distribution (q) on the boundary, for
example as a single-layer potential
 ( p ) =   ( q ) G ( p, q ) dSq  L   (4a)
B
or as a double-layer potential

 ( p) =   (q) G ( p, q ) dS q  M   (4b)
B
nq
where /nq denotes differentiation along the outward normal at q. In the latter case (q) )
represents a distribution of dipoles or doublets on S. Equations (4a) and (4b)define (p)
explicitly at all points of S.
The incident wave ϕi(x) in Eq. (3) will not be present for radiation problems. The value of
C(x) depends on the location of R(x) in the fluid domain,. R0 denote a point located on the
boundary S, and G the free-space Green’s function. For 3-D problems G is given by:
eikr eik x − y
G ( x, y ) = ; r = x − y → G ( x, y ) = (5)
4 r 4 x − y
46Also known as Kirchhoff-Helmholtz Integral Equation, A.D.Pierce, Acoustics,1981[35]

418
____________________________________________________________________________________________
where i= (-1).
The boundary condition on  satisfies Sommerfeld acoustic radiation condition as the

distance approaches infinity. At the infinite boundary , the Sommerfeld radiation condition
in three dimensions can be written as [22, 23, 25-27]:
 g 
lim R  − ikg   0 as R   (6)
R − R0 →
 R 
Figure 5: Exterior problem for homogeneous Helmholtz equation
which is satisfied by the fundamental solution. Letting point x approach the boundary leads
to the following conventional boundary integral equation (CBIE):
 G ( x, y ) 
C ( x )  ( x ) =   G ( x, y ) q ( y ) −  ( y ) dS ( y ) +  I ( x )
 n ( y )
S 
x  S (7)
where C(x) =1/2 if S is smooth around x.
Eq. (7) can be rearranged as:
G ( x, y )
C ( x ) ( x ) −  I ( x ) +   ( y ) dS ( y ) =  G ( x, y ) q ( y )dS ( y )
S
n ( y ) S
419
____________________________________________________________________________________________
x  S (8a)
or alternatively:
G ( x, y )
C ( x ) ( x ) +   ( y ) dS ( y ) =  G ( x, y ) q ( y )dS ( y ) +  I ( x )
S
n ( y ) S
x  S (8b)
where  I ( x ) is the incident wave. The right-hand-side of Eq. (8) represent the boundary
condition on S, and in the cases considered here, will be assumed to be known. In

discretized form, Eq. (8) can be written as
( E + B )  = i A v (9a)
or
( E + B)  = A q (9b)
where the double-layer potential  is the sound pressure vector (unknown), v is the
velocity vector (given), and the entries of the influence coefficient matrices are
represented, respectively, by
1 1
Eij = −  ij ; Eij = − when i = j (10)
2 2
Aij = a j ( R i ) =  N j ( R Q ) G ( R i , R Q ) dSQ (11)

1
G ( R i , R Q )
Bij = b j ( R i ) =  N j ( R Q ) dSQ (12)

nQ
Eq. (9a) or (9b) can also be written as
N N
 f  = g q
i =1
ij i
j =1
ij j + bî (13a)
for node i=1,2,…N (12) or
420
____________________________________________________________________________________________
N N

i =1
fiji =  gij q j + i I
j =1
(13b)
where, in general, N j is the interpolation function of the j-th node and b̂ is from the
incident wave for scattering problems as represented in Eq. (8a), and the LHS of Eq. of
(13b)
G ( xi , y )
fiji =   j dS ( y ) +  ij j (14)
1 ,i  j
n ( y )
while the RHS of Eq. of (12b)
gij q j =  G ( x, y ) q dS ( y )
1
j
(15)
Further detail related to the discretization of Helmholtz Integral Equation is given in

Appendix A.
4. Acoustic-Structure Coupling
For the purpose of establishing acoustic-structure coupling formulation, both the BE-
Acoustic and the FE structure domain are schematically illustrated in Figure 6. Learning
from the aeroelastic case, aeroelastic modes are those that exist when the structural and
aerodynamic modes are fully coupled; that is, oscillations of a fluid mode excite all
structural modes and vice versa. In general, these aeroelastic modes also have complex
eigenvalues and eigenvectors. At low speeds (well below the flutter speed, for example)
one may usually identify the structural and aerodynamic eigenvalues separately, because
structural/aerodynamic coupling is weak [36]. However, as stability issues are approached,
the eigenvalues and eigenvectors may change substantially, and the fluid and structural
modes become more strongly coupled.
The utilization of FE for the structural dynamic equation of motion in the structural domain
leads to a system of simultaneous equations which relate the displacements at all the
nodes to the nodal forces. In the BEM, on the other hand, a relationship between nodal
displacements and nodal tractions should be established. Representing the elastic
structure by FE model, the structural dynamic equation of motion is given by [16-19]
421
____________________________________________________________________________________________
Mx + Cx + K x = F (16)
and {x} is the structural displacement vector. The elastic structure can be represented by
FE model.
Let divide the BE nodes into two parts; part a, which is related to the finite elements that
represents the surface of the acoustic medium in contact with the elastic structure, and
part b, which is the remaining acoustic domain. Through the use of well-established modal
analysis, the acoustic-structure problem as the BEM/FEM coupling represented by Eq.
(15) can be recast into equivalent one using generalized coordinates as before, and yields
Mq + Cq + K q + L pa  = F (16)
where M, C and K are now the generalized structural mass, damping and stiffness,
respectively which are expressed as matrices in a FE model, while F is the given external
forcing function vector, and q the generalized coordinate vector, while L represent the
generalized acoustic-structure coupling .
elements at the fluid-structure coupling interface, the coupling is governed by a
relationship, which takes into account the velocity continuity over the coinciding nodes.
This relationship is given by
v = i ( T.x ) (17)
Similar to L, T(n × m) is also a global coupling matrix that connects the normal velocity of a
BE node with the translational displacements of FE nodes obtained by taking the
transpose of the boundary surface normal vector n. The strength of the acoustic-structure
coupling depends on various aspect of the computational procedure. For weakly coupled
problems a stable and efficient algorithm is obtained using one stage and a sufficiently
accurate predictor. For strongly coupled problems, stability is enhanced by increasing the
number of stages in the computational iteration.
422
____________________________________________________________________________________________
Figure 6: Schematic of Fluid-Structure Interaction Domain
L is the acoustic-structure coupling matrix of size m x n, where m is the number of FE

degrees of freedom on the structure and n is the number of BE nodes on the coupled
boundary representing part a of the acoustic domain. Accordingly, the node pressure
values, p, from the BE model are categorized into two groups, p a and pb.
Similarly, in the use of FMM-BEM scheme, following an elaborate procedure described in

earlier work [16-19], the governing equation for the acoustic-aerodynamic-elastic structure
coupling is also given by
 K + iC −  2M  − q  A ( ik )   x L 0 0 
  
 0 2G11T H11 −i 0G12 H13 
 0 G 21T
2
H 21 −i 0G 22 H 23 

 0 G 31T
2
H 31 −i 0G 32 H 33 
(18)
x  F 
 p  −H12 pb + i 0G13vc + pinc 

 a  a 
 =  
 vb  −H 22 pb + i 0G 23vc + pincb 
 pc   −H p + i  G v + p 
 32 b 0 33 c incc 
423
____________________________________________________________________________________________
This equation forms the basis for the treatment of the acoustic-fluid-structure interaction in
a unified fashion. The solution vector consisting of the displacement vector of the structure
and total acoustic pressure on the boundaries of the acoustic domain, including the
acoustic-structure interface, can be obtained by solving Eq. (18) as a dynamic response
problems. Further detail related to the development of the Acoustic-Aeroelastic Coupling is
given in Appendices B and C.
5. Finite Element Numerical Simulation of a rectangular plate under pressure
To verify to the correctness of the developed finite element formulation, they are used to
analyze the normal mode response of wing like plate, incorporating an algorithm
developed following the generic scheme of Figure 4 and written in MATLAB ®; results are
then validated using commercial software package NASTRAN®.
Figure 7: Bending and torsional rigidity of Wing-like plate, here represented by

equivalent BAH wing47
The results of 5 normal mode analysis of Equivalent BAH wing using developed finite
element program MATLAB® and validation using commercial package NASTRAN®, are
illustrated in Figure 8 and 9. The Stiffness properties of the equivalent BAH wing is
illustrated in Figure 7.
47
BAH wing is a wing developed by Bisplinghoff, Ashley and Halfman in [37] and has been used extensively for benchmarking.
424
____________________________________________________________________________________________
a. Solid element
(a)
(b)
Figure 8: Five normal mode analysis for equivalent BAH wing
modeling with solid element, using (a). MATLAB®, (b). NASTRAN®
b. Shell element
(a)
425
____________________________________________________________________________________________
(b)
Figure 9: Five normal mode analysis for equivalent BAH wing modeling with shell
element
The natural frequencies associated with these five modes for solid and shell elements in
the Finite Element Analysis are exhibited in Tables 1 and 2, respectively. Looking into
these tables carefully, one may conclude that the differences are quite acceptable, and
these may justify the plausibility as well as the accuracy of the method, in particular as
proof of concept.
Table 1. Five normal mode analysis for equivalent BAH wing modeling with solid
element
Table 2: Five natural frequency for equivalent BAH wing modeling with shell
element
426
____________________________________________________________________________________________
6. Flexible Structure Subject to Harmonic External Forces in Acoustic Medium
Several cases are considered to assess and validate the computational scheme as well as
to evaluate its performance. An example is carried out for the wing-like a flat plate with
flexural properties as elaborated in Figures 8 and 9 subject to monopole acoustic loading.
The incident pressure distribution is exhibited in Figure 10 while its deformation and total
acoustic pressure response are shown in Figure 11.
Figure 10: Incident pressure distribution [dB] due to monopole acoustic source
Figure 11: Deformation and total acoustic pressure response [dB] on symmetric
equivalent BAH wing
427
____________________________________________________________________________________________
Another generic example is exemplified by reproducing solution considered in [25], i.e. a

flexible vibrating membrane on the top of a box whose all other walls are rigid subjected to
harmonic external forces in acoustic medium as shown in Figure12.
The structure consists of five hard walls and one flexible membrane on the top and has the
dimension a × b x c = 304.8 × 152.4 × 152.4 mm. The flexible structure, which consists of
a 0.064 mm thick undamped aluminum plate, is modelled with coupled boundary and finite
elements.
Figure 12: Generic flexible structure typical of space-structure subjected to

harmonic external forces in acoustic medium
The frequency response due to the application of arbitrary harmonic excitation forces to
the membrane following the present method using BEM-FEM Coupling is shown in Figure
13, and is compared to results obtained using FEM-FEM approach [16-20, 25].
Comparable agreement has been indicated and serves to validate the present method.
Figure 13: Comparison between FEM-FEM and BEM-FEM approach for acoustic
pressure [dB] at the center of the plate.
428
____________________________________________________________________________________________
(a)
(b)
(c)
Figure 14: Convergence trend of the sound pressure level frequency response of a
vibrating top membrane of an otherwise rigid box due to monopole source at the
center of the box (a) studied in [12] as a function of frequency calculated using
present computational scheme for various grid size is shown in (b); c. Total
pressure distribution on the surfaces of the same box. Top surface is modelled as
BE-FE, others as BE.
429
____________________________________________________________________________________________
The convergence trend of the sound pressure level frequency response of a vibrating top
membrane of an otherwise rigid box due to monopole source at the center of the box as
studied in [25] is also reproduced and the results are exhibited in Figure14.
These results lend support to the extension of the present technique to tackle more
involved cases, such as how the internal acoustics influences the response of an
externally excited box. For the latter case, the governing equation (8a) or (8b) should be
rewritten, such as, following Herrin, Wu and Seybert [40] as
 G ( r ) 
p ( P ) =   G ( r )  dp −  p  dS (19)
S 
n 
where the primary variables are the single-layer (δ dp) and double-layer (δp) potentials.
When using the direct BEM, there is a distinction between an interior and exterior problem.
Both sides of the boundary are considered simultaneously even though only one side of
the boundary may be in contact with the fluid [40]. In this case, the boundary consists of
the inside and outside surfaces of the surface S shown in Figure 5, and both sides should
be analyzed at the same time.
Flexible Structure Subject to Acoustic Excitation in a Confined Medium

Application of the method to another example is carried out for a box shown in Figure
15 with a dimension of a × b x c = 450 × 450 × 270 mm.. Five walls of the structure are
modelled as shell elements and the bottom of the box is modelled as a rigid wall. Each of
the flexible walls is assumed to be made of 1 mm aluminum plate, and is modelled as
coupled boundary and finite elements.
a b
Figure 15: Generic flexible structure typical of space-structure subjected to

monopole acoustic source in an acoustic medium
430
____________________________________________________________________________________________
This box structure is subjected to an acoustic monopole source at the center of the box
and the acoustic medium is air with the following properties: density, ρ =1.21 kg/m 3 and
sound velocity c =340 m/s. The discretization of the box is also depicted in Figure15.
Figure16: First three normal modes for box modelled with five flexible walls using
shell elements
a. Normal Mode Analysis
The result of the modal analysis of the box to obtain the first three normal modes using
finite element program developed in MATLAB® is shown in Figure 16. The first five eigen-
frequencies for the shell elements obtained using the present routine are compared to
those obtained using commercial package NASTRAN®. As exhibited in Table 3, good
agreement is obtained.
431
____________________________________________________________________________________________
Table.3 First five Eigen-frequencies for box modeling with shell element
Mode Natural Frequency (Hz)

MATLAB® NASTRAN®
1 17.644 16.190
2 36.026 35.986
3 41.072 41.520
4 44.585 44.787
5 51.231 51.689
b. Acoustic Excitation
Acoustic excitation due to an acoustic monopole source with initial frequency, f = 10 Hz, is
applied at the center of the box.
Figure 17: Incident acoustic pressure distribution on the surface of box due to
monopole acoustic excitation
432
____________________________________________________________________________________________
Figure 18: Total acoustic pressure distribution on the surface of box due to
monopole acoustic excitation
Figure 19: Incident and total acoustic pressure distribution on the center top
surface of box as a function of frequency
No other external forces are applied. The resulting distribution of the incident acoustic
pressure is shown in Figure 17. The total pressures on the surface of the box obtained
from the computational results are shown in Figure18. The frequency response for the
incident pressure and total pressure on the center top surface of the box computed using
Eq. (17) is shown in Figure 19.
433
____________________________________________________________________________________________
7. Numerical Results for Acoustic Boundary Element Validation
Discretization of one octant pulsating sphere
0.8
0.6
0.4
0.2
0 0
0
0.2
0.4 0.5
0.6
0.8 1
1
Figure 20: Discretization of one octant pulsating sphere
Figure 21: Comparison of monopole source exact and BE scattering pressure

results
Figure 20 shows the discretization of the surface elements of an acoustics pulsating

sphere representing a monopole source. This should be later compared to the improved
scheme using FM-BEM algorithm and constant elements. Excellent agreement of the BEM
calculation for scattering pressure from acoustic monopole source with exact results is
shown in Figure 21.
The calculation was based on the assumption of f=10 Hz, =1.225 Kg/m3, and c=340
m/s.The excellent agreement of these results with exact calculation serves to validate the
developed MATLAB® program for further utilization.
434
____________________________________________________________________________________________
Figure 22 shows the convergence trend of the computational scheme to the grid size on
the calculation of the sound pressure level on the pulsating sphere for various frequencies
of the pulsating sphere. The BEM-FEM simulation results on a spherical shell (Figure 23 a
and b) subject to acoustic pressure is shown in Figures 24 to 25. Analytical values are
given by Junger and Feit [38].
(a)
(b)
Figure 22: a. Normal displacement and b. Surface pressure distribution, on a

completely flexible sphere modelled using BEM-FEM Coupling, and subjected to
external normal force at a point on the surface.
435
____________________________________________________________________________________________
(a) (b)
(c)
(d)
Figure 23: (a) Typical Mode Shape, showing the triangular FEM Elements on the
spherical shell; (b) Triangular FEM Shell elements adopted by Chen et al [27] which
is also used here for bench marking. (c) Normal displacement along a meridional
arc for k=1.6; (d) Normal displacement along a meridional arc for k=1.6 obtained by
Chen et al [28]
436
____________________________________________________________________________________________
Figure 24: Frequency sweep plot for the pulsating sphere model [15]
Figure 25: Scattering from the rigid sphere at the fictitious frequency ka= π [28]
The boundary integral equation of Eq. (4) fails at frequencies coincident with the
interior cavity frequencies of homogeneous Dirichlet boundary conditions [17]. In the
formulation of the exterior problem, these frequencies correspond to the natural
frequencies of acoustic resonances in the interior region. When the interior region
resonates, the pressure field inside the interior region has non-trivial solution. Since the
interior problem and the exterior problem shares similar integral operators, the exterior
integral equation may also break down. The discretized equation of the [H] matrix in Eq.
(19) becomes ill-conditioned when the exciting frequency is close to the interior
frequencies, thus providing an erroneous acoustic loading matrix.
437
____________________________________________________________________________________________
Figure 26: Surface pressure distribution on pulsating sphere for analytical, BEM,
and BEM-CHIEF solution for one and two CHIEF point [33, 34];
This problem could be overcome by using the CHIEF [18-20, 27, 31, 33, 34] or Burton
Miller method [30], a recent technique utilizing SVD and Fredholm alternative theorem [26]
or others as discussed by Benthien and Schenk [27]. To avoid non-uniqueness problem,
special treatment is carried out to inspect whether the H matrix is ill-behaved or not by
utilizing SVD updating technique [28]. If it is ill-behaved, the present method resorts to the
utilization of CHIEF method.
Figure 27: Comparison of the Logarithm of RMS Error of Surface Pressure

Distribution of Pulsating Sphere using CHIEF Method (present work), Benthiem-
Schenck CHIEF Results and Chen, Cheng & Harris Burton-Miller Method [39]. 384
isometric surface elements are utilized, and the use of one (1) CHIEF point has
demonstrated its ability to eliminate the spurious solution with reasonably good
accuracy.
438
____________________________________________________________________________________________
Without loss of generality, as exhibited in Figures 24, 25 and 26, the application of
CHIEF method for one and three CHIEF points proved to be successful, which verified
Benthien & Schenck [27] observation that CHIEF continues to is a viable and efficient
approach. As also pointed out by Wu and Seybert [32], the choice of CHIEF points can
readily be made without losing accuracies. Following the reviewer’s suggestions, the
application of Burton-Miller reformulated method by Chen, Cheng and Harris [39] is also
shown in Figure 27.
Vibro-acoustic analysis of random vibration response of a flexible structure due to acoustic
forcing has been carried out on typical aerospace generic structure. A brief survey was
carried out to review and assess dynamic pressure loading and broadband, acoustic and
structure-borne excitations of various situations designated not to endanger the
survivability of the payload and the success of the mission. The analysis and numerical
simulations for accurate prediction of the vibro-acoustic response of generic structures of
various geometries subject to acoustic excitations is carried out using the unified BEM-
FEM Acoustic-Structural Coupling developed in the author and colleagues earlier work.
Results of FM-BEM are presented to show that the computational procedure for solving
combined excitation due to acoustic and external forces on structural problem formulated
as coupled FEM-BEM equation has given good results.
By using quarter space modeling for acoustic domain, and varying the radius from 5 to
20 times the half wing-span and the number of elements from 400 to 1200, convergent
acoustic pressure response on symmetric equivalent BAH wing have been obtained.
Hence such numerical configuration can be used for the calculation of total acoustic
pressure response in coupled BEM-FEM problem due to acoustic excitation.
Using BE and FE as appropriate, an integrated formulation is then obtained as given by

the governing Eq. (17), which relates all the combined forces acting on the structure to the
displacement vector of the structure. By analyzing the structural-dynamic response due to
acoustic excitation, the work has served as examples and baseline approach in the
viability of the analysis of acoustic structure interaction of aerospace structures. The work
carried out thus far is focused on the formulation of the basic problem of acoustic
excitation and vibration of elastic structure in a coupled fluid-elastic-structure interaction.
439
____________________________________________________________________________________________
Judging from the results of the case studies, the computational procedure to solve the
combined excitation due to acoustic and external forces on structural problem formulated
as coupled FEM-BEM equation has shown to be satisfactory. The synthesized methods
developed, including the in-house MATLAB code, proved to be effective. The effectiveness
and efficiency as well as rapid convergence are exhibited in the Figures 14, 21, 22, and
27, among others. Computations carried out using in-house MATLAB based program as
well as NASTRAN have produced results with close accuracy. In retrospect, the method
effectiveness, including the effectiveness of the coupling method, has been demonstrated.
The efficiency of the method has been evaluated through comparison of the individual
elements of the three components outlined in the introduction and summarized in Figure 4
in qualitative way to particular method, and exemplified in the generic examples
mentioned. In retrospect, the method effectiveness, including the effectiveness of the
coupling method, has been demonstrated. The efficiency of the method has been
evaluated through comparison of the individual elements of the three components outlined
in the introduction and summarized in Figure 4 in qualitative way to particular method, and
exemplified in the generic examples mentioned. A simple solution using CHIEF
regularization has been employed to address the fundamental issue of spurious solution.
The solution of Eq.(18) as a result of the effect of acoustic disturbance to a structure is
given as the pressure loading response on the structure as well as the pressure field in the
fluid medium, and is given as total pressure. This allows the calculation of the scattering
pressure due to the incident pressure.
After using modal approach in structural dynamics, the solution of Eq. (18) can be
obtained by solving it as a stability equation in a ”unified treatment” (see Appendix C). The
disturbance acoustic pressure already incorporates the total pressure ( incident plus
scattering pressure), which has been “tuned” to behave like the aerodynamic terms in the
modal equation. Such approach allows the application of the solution of the
acoustoaeroelastic stability equation in the frequency domain using V-g method.
Alternatively, the acousto-aeroelastic equation part can also be treated as a dynamic
response problem, which forms the second generic approach and which has been dealt
with in [16][17] and [18].
A simple solution using CHIEF regularization has been employed to address the
fundamental issue of spurious solution. The solution of Eq.(17) as a result of the effect of
acoustic disturbance to a structure is given as the pressure loading response on the
440
____________________________________________________________________________________________
structure as well as the pressure field in the fluid medium, and is given as total pressure.
This allows the calculation of the scattering pressure due to the incident pressure.
Since the method outlined focused on proof of concept, it has not been elaborated in
its application in more complex geometries and problems. The improvement of the
computational speed and efficiency will be subject to further separate work.
REFERENCES
[1]. Skullney, W.E, Kreitz, Jr., H.M., Harold, M.J., Vernon, S.R., Betenbaugh, T.M.,
Hartka, T.J., Persons, D.F. and Schaefer, E.D., Structural Design of the MSX
Spacecraft, The Johns Hopkins, www.jhuapl. edu/ techdigest/TD/td1701/skullney.pdf
[2]. Calvi, A., Spacecraft Structural Dynamics and Loads , An Overview, www.ltas-
vis.ulg.ac.be/ /uploads/ File/CALVI---LIEGE_2010
[3]. Chang, K.Y., Cockburn, J. C. and Kao, G. C., Prediction of Vibro-Acoustic Loading
Criteria for Space Vehicle Components, NASA-CR-171019, Wyle Laboratories --
Research Staff, Report WR 73-9, September 1973
[4]. Cohan, L.E. and Miller, D.W., "Vibroacoustic launch analysis and alleviation of
lightweight, active mirrors", Opt. Eng. 50, 013002 (Jan 20, 2011) © 2011 Society of
Photo-Optical Instrumentation Engineers.
[5]. Chronopoulos, D., Prediction of the Vibroacoustic Response of Aerospace Composite
Structures in a Broadband Frequency Range, PhD Thesis, Ecole Centrale De Lyon.
2012
[6]. Durand, J.F., Gagliardini, L and Soize, C., Random uncertainties modeling for
vibroacoustic, conference-2005-ISMA2004-Leuven-Belgium.
[7]. Pirk, R., Desmet, W., Pluymers, B., Sas, P., Goes, L.C.S., Vibro-Acoustic Finite
Element Analysis of the Brazilian Vehicle Satellite Launcher Fairing, iav.org-archives-
icsv-2002-icsv9-papers-P143-1.pdf.
[8]. Durand, J.F., Gagliardini, L. & Soize, C., Non-parametric modeling of vibroacoustic
coupling interface uncertainties, preprint, conference-2005-Eurodyn, 2005.
[9]. Coyette, J-P., Sources of uncertainties in vibro-acoustic,
2003,www.infobruit.com/revues/-8-11098
[10]. Pappa, R.S., Pritchard, J.I. and Buehrle, R.D., Vibro-Acoustics Modal Testing at
NASA Langley Research Center, NASA TM-1999-209319, 1999.
[11]. Pappa, R.S., Pritchard, J.I. and Buehrle, R.D., Structural Dynamics Experimental
Activities in Ultra-Lightweight and Inflatable Space Structures, N ASA / TM-2001-
210857, May 2001
441
____________________________________________________________________________________________
[12]. Pritchard, J.I., Buehrle, R.D., Pappa, R.S. and Grosveld, R., Comparison of Modal
Analysis Methods Applied to a Vibro-Acoustic Test Article, sem-
proceedings.com/.../sem.org-IMAC-XX-Conf-S34P01, 2001.
[13]. Citarella, R. , Federico, L. and Cicatiello, A., Modal acoustic transfer vector approach
in a FEM–BEM vibroacoustic analysis, Engineering Analysis with Boundary Elements
31 (2007) 248–258.
[14]. Coyette, J.P., Detandt, Y., Lielens, G. and Van den Nieuwenhof, B., Vibro-acoustic
simulation of mechanical components subjected to distributed pressure excitations,
Free Field Technologies, 2008
[15]. Djojodihardjo, H and Tendean, E., A Computational Technique for The Dynamics of
Structure Subject to Acoustic Excitation, ICAS 2004, Vancouver, October 2004.
[16]. Djojodihardjo, H and Safari, I., Unified Computational Scheme for Acoustic
Aeroelastomechanic Interaction, paperIAC-06-C2.3.09, presented at the 57th
International Astronautical Congress, 1-6 October 2006/Valencia Spain.
[17]. Djojodihardjo, H., BE-FE Coupling Computational Scheme for Acoustic Effects on
Aeroelastic Structures, paper IF-086, Proceedings, The International Forum on
Aeroelasticity and Structural Dynamics, held at the Royal Institute of Technology
(KTH), Stockholm, Sweden, 18-20 June 2007.
[18]. Djojodihardjo, H., BEM-FEM Acoustic-Structural Coupling for Spacecraft Structure
Incorporating Treatment of Irregular Frequencies, paper IAC.07-C2.3.4, IAC
Proceedings, presented at the 58th International Astronautical Congress, 23-28
September 2007/Hyderabad, India.
[19]. Djojodihardjo, H. and Safari, I., BEM-FEM Coupling for Acoustic Effects on
Aeroelastic Stability of Structures, Computer Modeling in Engineering & Sciences,
Vol. 91, No. 3, pp. 205-234, 2013.
[20]. Djojodihardjo, H., Unified Aerodynamic-Acoustic Formulation for Aero-Acoustic
Structure Coupling Journal of Mechanics Engineering and Automation 3 (2013) 209-
220 https://www.google.com/webhp?source=search_app.
[21]. Annarella, C., Spacecraft Structures, 1991, www. thirdwave. de/ 3w/tech/ spacecraft/
spacecraft structures .pdf
[22]. Dowling, A.P. and Ffowcs-Williams, J.E., Sound and Sources of Sound, Ellis Horwood
Limited, Chichester – John Wiley and Sons, New York Brisbane Chichester Toronto,
1983, ©1983, A.P.Dowling and J.E. Ffowcs Williams.
[23]. Norton, M.P., 1989, Fundamentals of Noise and Vibration Analysis for Engineers,
Cambridge University Press, Cambridge, New York, Melbourne, Sydney.
[24]. Chuh-Mei, and Pates III, C.S., Analysis Of Random Structure-Acoustic Interaction
Problems Using Coupled Boundary Element And Finite Element Methods, NASA-CR-
195931, 1994.
[25]. Holström, F., Structure-Acoustic Analysis Using BEM/FEM; Implementation In
MATLAB®, Master’s Thesis, Copyright © 2001 by Structural Mechanics and
442
____________________________________________________________________________________________
Engineering Acoustics, LTH, Sweden, Printed by KFS i Lund AB, Lund, Sweden, May
2001, Homepage: http://www.akustik.lth
[26]. Marquez, A., Meddahi, S. and Selgas, V., “A new BEM–FEM coupling strategy for
two-dimensional fluid–solid interaction problems”, Journal of Computational Physics
199 pp. 205–220, 2004.
[27]. Benthien, G. W. and Schenck, H. A., Structural-Acoustic coupling, Chapter 6 in
Boundary Element Methods in Acoustics ,Elsevier Applied Science, London, 1991.
[28]. Chen, J.T., Chen, I.L., Chen, K.H., Treatment of rank deficiency in acoustics using
SVD, Journal of Computational Acoustics, 2006
[29]. Juhl, P., A numerical study of the coefficient matrix of the boundary element method
near characteristic frequencies, Journal of Sound and Vibration, 1994
[30]. Burton, A.J. and Miller, G.F., The Application of the Integral Equation Method to the
Numerical Solution of Some Exterior Boundary Value Problems, Proceedings of the
Royal Society of London Series A, 323, 201–210, (1971)
[31]. Schenck, H.A., Improved integral formulation for acoustic radiation problems, J.
Acoust. Soc. Am. 44, 41–58 (1968)
[32]. Wu, T.W. and Seybert, A.F., A weighted residual formulation for the CHIEF method in
acoustics, J. Acoust. Soc. Am. 90, 1608–1614 (1991)
[33]. Chen, I.L., Chen, J.T., Kuo, S.R., Liang, M.T., A new method for true and spurious
eigensolutions of arbitrary cavities using the combined Helmholtz exterior integral
equation formulation method, The journal of the Acoustical Society of America, 2001.
[34]. Chen, I.L., Chen J.T. and Liang, M.T., Analytical Study and Numerical Experiments
For Radiation and Scattering Problems Using The Chief Method, Journal of Sound
and Vibration (2001) 248(5), 809-828..
[35]. Pierce, A.D., Acoustics: An Introduction to its Physical Principles and Applications
(McGraw-Hill, New York, (1981).
[36]. Dowell, E.H. and Hall, K.C., Modeling Of Fluid-Structure Interaction, Annu. Rev. Fluid
Mech. 2001. 33:445–90
[37]. Bisplinghoff, R.L., Ashley, H. and Halfman, R.L., Aeroelasticity, Addison-Wesley
Publishing Company, 1955.
[38]. Junger, M. C. and Feit, D., "Sound, structures and their interaction," M.I.T. Press,
1986
[39]. Chen, K., Cheng, J. and Harris, P.J., A new study of the Burton and Miller method for
the solution of a 3D Helmholtz problem,IMA Journal of Applied Mathematics (2009)
74, 163−177
[40]. Herrin, D. W., Wu, T. W. and Seybert, A.F., Boundary Element Modeling, published
online: 8 Apr 2008, DOI: 10.1002/9780470209707.ch8, accessed 15 April 2014.
List of Acronyms & Symbols

443
____________________________________________________________________________________________
Acronyms:
 AIC  : Aerodynamics Influence Coefficient
 A(ik ) : Unsteady Aerodynamics Matrix
Symbols
 A ( t *) : Unsteady Aerodynamics Matrix
b : wing chord/span chosen for convenience
C : Viscous Damping
c : constant for BEM equation, chord, or speed of sound
 D : Viscous Damping
F  : External Forces
H ij : Influence coefficient matrices
Gij : influence coefficient matrices
g : free space Green function
H ij : influence coefficient matrices
K  : Stiffness Matrix
k : reduced frequency b
U
kw : wave-number, in the Helmholtz
444
____________________________________________________________________________________________
equation
L : fluid-structure coupling matrix
L : aerodynamic lift
M : aerodynamic moment in flutter calculation
M  : Mass Matrix
N : shape function, as implied by the context
n̂0 : surface normal vector
n0 : surface normal vector
p : acoustic pressure
pinc : incident acoustic pressure
psc : scattering acoustic pressure
q : generalized coordinates
q : Vector of Generalized Coordinates
q : dynamic pressure of the fluid surrounding the structure
r : radius of the acoustic monopole
R0 : a point in boundary surface
S : bounding surface
Vf : flutter speed
445
____________________________________________________________________________________________
Greek Symbols
 : boundary at infinity
U : closed boundary
 : Kronecker’s delta function
 : wave length
v : normal velocity vector
 : air density
Appendix A
Discretization of Helmholtz Integral Equation
The Helmholtz equation is dicretized by dividing the boundary surface S into N elements.
The discretized boundary integral equation as given by Eq. (9a) and the following
equations can be written as,
N N
cpi − pinc −   pgdS = i 0   gvdS (A1)
j =1 S j =1 S
where i indicates field point, j source point and Sj surface element j, and for convenience,
g is defined as
g
g
n
(A2)
Let
H ij =  gdS
Sj
(A3a),
446
____________________________________________________________________________________________
Gij =  gdS
Sj
(A3b)
Substituting g in Eq.(A1) by the monopole Green’s free-space fundamental solution, it

follows that:
− ik Ri − R j
 g ( Ri − R j ) dS =
e
Gij =  gdS =
Sj Sj
 4
Sj Ri − R j
dS (A4)
The computational procedure is based on collocation method, while depending on the

complexity of the problem, constant or linear quadrilateral element will be employed.
A four-node iso-parametric quadrilateral element, the pressure p and the normal velocity v
at any position on the element can be defined by their nodal values and linear shape
functions. The four-node quadrilateral element can have any arbitrary orientation in the
three-dimensional space. Using Cartesian coordinate system, and going through the
algebra and using linear shape functions, the integral on the left-hand side of Eq. (A1),
considered over one element j, can be written as:
 p1 
p 
 pg ds =   N
i 1 N2 N3 N 4  g i dS  2 
 p3 
 
Sj Sj
 p4  j (A5)
 p1 
p 
=  hij hij   2 
1 2 4
hij hij 3
   p3 
 
 p4  j
while that on the right-hand side
447
____________________________________________________________________________________________
 v1 
v 
 gvdS =   N 1 N2 N3 N 4  gi dS  2 
 v3 
 
Sj Sj
v4  j
(A6)
 v1 
v 
=  gij1 gij   2 
n
gij 2 gij 3
   v3 
 
v4  i
where
=  N k g j dS
k
h ij k = 1,2,3,4 (A7)
Sj
g k ij =  N g dS
Sj
k j k = 1,2,3,4 (A8)
The integration in Eq. (A7) and (A8) can be carried out using Gauss integration [14, 25].
Going through the algebra, Eq.(A1) can be recast into a discretized set of simultaneous
linear equations, which relates the pressure pi at field point i due to the boundary
conditions p to v at source surface Si of element i and the incident pressure pinc , given by:
 p1   v n1 
N p  N v 
 h
j =1
1
ij h 2 ij h3 ij h 4 ij   2  = i 0  g 1ij
 p3  j =1
g 2 ij g 3 ij g 4 ij   n 2  + pinc
v n 3 
(A9)
   
 p4  j v n 4  j
or in matrix form:
 H p = i 0 G v +  pinc  (A10)
where, H and G are two N×N matrices of influence coefficients, while p and v are vectors
of dimension N representing total pressure and normal velocity on the boundary elements.
This matrix equation can be solved if the boundary condition v = p n and the incident
acoustic pressure field pinc are known.
448
____________________________________________________________________________________________
At this point, a few remarks are necessary. Proper interpretation should be given to the
diagonal terms of [H] in Eq. (A10) as implied by the original boundary integral (7), since
these terms concern the evaluation of influence coefficient for which the field point is
located at the source element. Accordingly, [H] should be written as
H = H + H

D OD
(A12)
i.e. the diagonal and the off-diagonal part. The matrix [H] Das implied in Eq. (A12)can be
written as [H] D = [ H ]D +[C] where C is space angle constant which is the quotient of /4π
and H is the matrix implied by the second term of Eq.(A5) . For a node coinciding with
three or four corner elements,  is the space angle towards the acoustic medium, and the
space angle for a sphere is 4π. For a smooth surface the space angle is 2π, and C = ½.
APPENDIX B
BEM-FEM Acoustic-Aeroelastic Coupling (AAC)

The BE region is treated as a super finite element and its stiffness matrix is computed and
assembled into the global stiffness matrix, and identified as the coupling to finite elements.
The state of affairs is schematically depicted in Figure 6.
The utilization of FEM on the structural domain leads to a system of simultaneous

equations which relate the displacements at all the nodes to the nodal forces. In the BEM,
on the other hand, a relationship between nodal displacements and nodal tractions is
established. Representing the elastic structure by FE model, the structural dynamic
equation of motion is given by Bisplinghoff, Ashley and Halfman [37]
M x + Cx + K x = F (B1)
and {x} is the structural displacement vector. The incorporation of the self-excited
aerodynamic effects to the structural dynamics equation can be written as [17-20]:
M x + Cx + K x − q   A ( ik ) x = 0 (B2)
449
____________________________________________________________________________________________
where A(ik) is an aerodynamic influence coefficient after applying aero-structure coupling

from the control points of aerodynamic boxes to the structural finite element grid points as
elaborated by Djojodihardjo and Safari [16].
Taking into account the acoustic pressure p on the structure at the fluid-structure interface
as a separate excitation force, the acoustic-structure problem can be obtained from
Eq.(B2) by introducing a fluid-structure coupling term given by [L]{p}. It follows that
M  x + C x + K  x − q  A ( ik )  x + L  p = F (B3)
where L is a coupling matrix of size M x N in the BEM/FEM coupling thus formulated. M is

the number of FE degrees of freedom and N is the number of BE nodes on the coupled
boundary. For the BE part of the surface at the fluid-structure interface a, Eq.(A10) can be
utilized.
The global coupling matrix L transforms the acoustic fluid pressure acting on the nodes
of boundary elements on the entire fluid-structure interface surface a, to nodal forces on
the finite elements of the structure. Hence L consists of n assembled local transformation
matrices Le, given by
Le =  N FT nN B dS (B4)
Se
in which NF is the shape function matrix for the finite element and NB is the shape function
matrix for the boundary element. It can be shown that:
1 0 0 0 0 
N F = 0 1 0 0 0   Ni  (B5)
0 0 1 0 0 
The rotational parts in NF are neglected since these are considered to be small in
comparison with the translational ones in the BE-FE coupling, consistent with the
assumptions in structural dynamics as, for example, stipulated in [37].
elements at the fluid-structure coupling interface, a relationship, which takes into account
the velocity continuity over the coinciding nodes, should be established. This relationship
is given by Eq. (17)
v = i ( T.x ) (17)/ (B6)
450
____________________________________________________________________________________________
Similar to L, T(n × m) is also a global coupling matrix that connects the normal velocity of a
BE node with the translational displacements of FE nodes obtained by taking the
transpose of the boundary surface normal vector n . The local transformation vector Te can
then be written as:
Te = nT (B7)
The presence of an acoustic source can further be depicted by FigureB1. Three regions
are considered, i.e. a, b and c; region a is the fluid-structure interface region, where FEM
mesh and BEM mesh coincide and region b and c is the region where all of the boundary
conditions (pressure or velocity) are known. For the coupled FEM-BEM regions, BEM
equation can now be written as:
H11 H12 H13   pa   G11 G12 G13  v a   pinca 

H        
 21 H22 H23   pb  = i 0 G21 G22 G23  v b  +  pincb  (B8)
H31 H32 H33   pc  G31 G32 G33  v c   pinc 
 c
Region c
Region c
Acoustic Source
Region b
Region a
Figure B1: Schematic of FE-BE problem representing quarter space problem domains for
half wing
Considering va = i  ( T.x ) , BEM equation can be modified as:
451
____________________________________________________________________________________________
H11 H12 H13   pa   G11 G12 G13  i T  x   pinca 

H      
  

 21 H22 H23   pb  = i 0 G21 G22 G23   v b  +  pincb  (B9)
p 
H31 H32 H33   G33     
c G31 G32  vc    pincc 

or:
H11pa + H12 pb + H13 pc


= − 0 2G11Tx + i 0G12v b + i 0G13v c + pinca 
H21pa + H22 pb + H23 pc
(B10)

= − 0 2G21Tx + i 0G22v b + i 0G23v c + pincb 
H31pa + H32 pb + H33 pc
 
= − 0 2G31Tx + i 0G32v b + i 0G33v c + pincc
If the pressure boundary condition on b (pb), velocity boundary condition on c (vc), and the
incident pressure on a, b and c are known, by taking to the left side all the unknown the
above equation can be written as:
0 2G11Tx + H11pa − i 0G12v b + H13 pc

 
= −H12 pb + i 0G13v c + pinca
0 2G21Tx + H21pa − i 0G22v b + H23 pc
(B11)
 
= −H22 pb + i 0G23v c + pincb
0 2G31Tx + H31pa − i 0G32v b + H33 pc
 
= −H32 pb + i 0G33v c + pincc
Since the pressure p on FEM equation lies in region a, Eq. (B3) can be written as
Mx + Cx + K x − q  A ( ik ) x + Lpa  = F (B12)
where pa is the total acoustic pressure resulting from the application of acoustic
disturbance force to the structure, which consists of the incident acoustic pressure pinc and
scattering acoustic pressure psc. The scattering acoustic pressure will be dependent on the
dynamic response of the structure due to the incident acoustic pressure. Following the
452
____________________________________________________________________________________________
general practice in structural dynamics, solutions of Eq. (B12) are sought by considering
synchronous motion with harmonic frequency . Correspondingly, Eq. (B12) reduces to:
K + iC −  2M x  − q  A ( ik ) x + Lpa  = F  (B13)
where
x = xe i t ; (B14a)
pa = paei t (B14a)
or, dropping the bar sign for convenience, but keeping the meaning in mind, Eq. (B12) can
be written as
K + iC −  2M   x − q  A ( ik )   x +  L  pa  = F (B15)
Combination of Eq. (B11) and (B15) yields the coupled BEM-FEM Equation as given by
Eq. (18).
APPENDIX C
Further Treatment for Acoustic-Aeroelastic Coupling; Acoustic-Aerodynamic

Analogy
At this point, the solution approach philosophy is in order. Analogous to the treatment of
dynamic aeroelastic stability problem of structure, in which the aerodynamic effects can be
distinguished into motion independent (self-excited) and motion induced aerodynamic
forces, the effect of acoustic pressure disturbance to the aeroelastic structure (acousto-
aero-elastic problem) can be viewed to consist of structural motion independent incident
acoustic pressure (excitation acoustic pressure) and structural motion dependent acoustic
pressure, which is known as the scattering pressure. However, the scattering acoustic
pressure is also dependent on the incident acoustic pressure. The consequence of such
treatment has been adopted in the above section and will further be implemented in the
subsequent development.
453
____________________________________________________________________________________________
For aeroelastic calculation purposes, further treatment to simplify Eq. (B16) will be carried
out. Since the pressure boundary condition on b (pb= 0) and velocity boundary condition
on c (vc = 0), Eq. (B11) can be written as:
0 2G11Tx + H11pa − i 0G12v b + H13 pc = pinc a

(C1a)
0 2G21Tx + H21pa − i 0G22v b + H23 pc = pinc b

(C1b)
0 2G31Tx + H31pa − i 0G32v b + H33 pc = pinc c

(C1c)
Since G22 and H33 is square matrix, equation (C1b) and (C1c) can be written as
vb =
1
G 
  22
−1
(   G Tx + H
0
2
2 p + H23 pc − pincc
21 a ) (C2a)
0
pc = − H33 
−1
(  G
0
2
31 Tx + H31pa − i 0G32v b − pincc ) (C2b)
Substituting equation (C2b) into equation (C1b)
0 2 A 21Tx + B21pa − i 0 A 22v b + B23 pinc − pinc = 0 c b

(C3)
where
( )
A 21 = G21 − H23 H33  G31
−1
= (H − H H  H )
−1
B21 21 23 33 31
(C4)
= (H H  )
−1
B23 23 33
= ( G − H H  G )
−1
A 22 22 23 33 32
 A22  ( 0 2 A21Tx + B21pa + B23 pinc )

i −1
vb = − − pincb (C5)
0 c
Substituting equation (C2a) into equation (C1c)
454
____________________________________________________________________________________________
0 2C31Tx + A 31 pa + A33 pc + B32 pinc − pinc = 0 b c

(C6)
where
(
C31 = G31 − G32 G22  G21
−1
)
= (H − G32 G22  H )
−1
A 31 31 21
(C7)
= (H 33 − G32  G22  H )
−1
A 33 23
= (G G22  )
−1
B32 32
Since A33 is square matrix, Eq. (C6) can be written as:
pc = −  A33 
−1
(  C
0
2
31 Tx + A31pa + B32 pincb − pincc ) (C8)
Substituting Eq. (C2b) and (C8) into equation (C1a)
0 2D11Tx + E11pa + F12 pinc + F13 pinc = pinc b c a

 (C9)
where
(
D11 = G11 − G12  A 22  A 21 − H13  A 33  C31
−1 −1
)
= (H − G12  A 22  B21 − H13  A 33  A 31 )
−1 −1
E11 11
(C10)
F12 = G12  A 22  − H13  A 33  B32
−1 −1
F13 = H13  A 33  − G12  A 22  B23

−1 −1
Since E11 is square matrix
pa = −  E11 
−1
(   D Tx − p
0
2
11 inca + F12 pincb + F13 pincc ) (C11)
Matrix E11 and D11 are also a square matrix; finally by substituting Eq. (C11) into Eq. (B15),
the BEM-FEM aero-acoustic-structure coupling can be obtained as:
455
____________________________________________________________________________________________
K + iC −  2M   x − q  A ( ik )   x
(
+  L  −  E11 
−1
(   D Tx − p
0
2
11 inca + F12 pincb + F13 pincc )) (C12)
= F
Incident pressure on region b and c will not influence the stability problem associated with
the structures, and may at this point be disregarded. Hence, without considering damping
matrix C Eq. (C12) simplifies to:
K −  2M x − q  A ( ik )  x

(C13)
− 0 2 LE11 
−1
D11 T x = − LE11 
−1
 
pinca + F
or
K −  2M x − q  A ( ik )  x − 0 2 Facsc ( kw )  x

(C14)
 
= Facinc ( kw ) + F
where
Fac ( kw )  = LE11  D11 T 

−1
 sc 
(C15)
 
Facinc ( kw ) = − L E11 
−1
 
pinca
Eq. (C14) will not be solved directly since the size of the mass and stiffness matrices of the
aircraft model are very large. Instead one uses the modal approach where the structural
deformation {x} is transformed to the generalized coordinate {q} given by the following
relation:
x = q (C16)
where  is the modal matrix whose columns contain the lower order natural modes. Pre
multiplying by T and converting dynamic pressure q into reduced frequency (k) as
elaborated by Djojodihardjo and Safari [16], Eq. (C14) can then be written as:
   L
2

 K −   M +    A ( ik )  + 0 Facsc ( kw )     q = T Facinc ( kw ) + T F 
T

2
 2k     (C17)
 
456
____________________________________________________________________________________________
since all of the acoustic terms are functions of wave number (kw). Eq. (C17) can be solved
by utilizing iterative procedure.
Incorporation of the scattering acoustic term along with the aerodynamic term in the
second term of Eq.(C17) can be regarded as one manifestation of the acoustic-
aerodynamic analogy followed in this approach.
Further method of approach for the solution of the acousto-aeroelastic problem is then
dealt with. Following the same procedure as developed in earlier work [15, 16], the
acoustic excitation is incorporated by coupling it to the unsteady aerodynamic load in the
flutter stability formulation. Linearity and principle of superposition has been assumed.
Hence the acoustic loading can be superposed to the aerodynamic loading on the
structure, and form the modified aeroelastic equation (acousto-aeroelastic equation) of the
structural dynamic problem associated with acoustic and aerodynamic excitation. Detailed
elaboration can be found in [17] and [19].
457
____________________________________________________________________________________________
458
____________________________________________________________________________________________
XV
NUMERICAL MODELLING, SIMULATION AND VISUALIZATION
OF FLAPPING WING ORNITHOPTER48
Harijono Djojodihardjoa*, Alif Syamim Syazwan Ramlib, Mohd Sharizal Abdul Azizc
and Kamarul Arifin Ahmadd
aProfessor, bGraduate Student, cGraduate Student, dAssociate Professor

a, b, dDepartment
of Aerospace Engineering, Faculty of Engineering, Universiti Putra
Malaysia
cSchool of Aerospace Engineering, Universiti Sains Malaysia, Engineering Campus, Seri
Ampangan, 14300 Nibong Tebal, Seberang Perai Selatan, Pulau Pinang, Malaysia.
*Corresponding Author, email-address: harijono@djojodihardjo.com;
Telephone: +6017 416 9045; +628159301745
ABSTRACT
The state of the art of flapping wing ornithopter MAV is reviewed to provide a
comprehensive insight into the geometrical, kinematic and aerodynamic characteristics of
flapping biosystems. Then a generic approach is carried out to model the kinematics and
aerodynamics of ornithopter to mimic flapping wing to produce lift and thrust for hovering
and forward flight, by considering the motion of a three-dimensional rigid thin wing in
flapping and pitching motion, using simple approach, applied to a two- and quad-wing
48
Keynote Address, International Conference on Engineering Materials and Processes (ICEMAP
– 2013), Chennai, 23rd and 24th May, 2013
459
____________________________________________________________________________________________
flapping ornithopter, which are modelled and analyzed to mimic flapping wing biosystem to
produce lift and thrust for forward flight. Considering bird’s scale ornithopter, basic
unsteady aerodynamic approach incorporating salient features of viscous effect and
leading-edge suction are utilized. Parametric study is carried out to reveal the
aerodynamic characteristics of flapping quad-wing ornithopter flight characteristics and for
comparative analysis with various selected simple models in the literature, in an effort to
develop a flapping wing ornithopter model. Further, numerical and flow visualization
studies are carried out to simulate the aerodynamics of generic rigid and flexible flapping
ornithopter wings. Two different solvers are utilized; FLUENT for fluid flow analysis and
ABAQUS for structural analysis. The resulting coupled procedure retains second order
temporal accuracy. The simulation of phenomena of aeroelasticity is performed with a FSI
method.
Keywords: Flapping Wing Aerodynamics; Flapping Wing Ornithopter; Flapping Wing Air
Vehicle; Micro Air Vehicle; Ornithopter; Unsteady Aerodynamics;
1. Introduction –From Myth to MAV
Human desire to mimic flying biosystems such as insects and birds through
engineering to meet human needs has existed for hundreds of years and motivated
mankind creativity. The Sanskrit epic Ramayana (4th Century BC) describes an ornithopter,
the Pushpaka Vimana. The ancient Greek legend of Daedalus (Greek demigod engineer)
and Icarus (Daedalus's son) and The Chinese Book of Han(19 AD) both describe the use of
feathers to make wings for a person but these are not actually aircraft. History has
recorded various efforts in this direction, from ideas to anthropogenic efforts, such as the
9th century poet Abbas Ibn Firnas (recorded in the 17th century), the 11th century monk Eilmer
of Malmesbury (recorded in the 12th century) and writing of Roger Bacon, in 1260, were among
the first to consider a technological means of flight. In 1485, Leonardo da Vinci began to study
the flight of birds. Understanding that humans are too heavy and do not have sufficient
strength to fly just using wings simply attached to the arms, he conceived a device to
assist a human to lying down on a plank equipped with two large, membranous wings
using hand levers, foot pedals, and a system of pulleys, depicted in Figure 1a. Edward
Frost of Cambridgeshire, England, who was later presid ent of the Royal Aeronautical
Society, constructed an ornithopter of willow, silk, and feathers in 1902. His ornithopter is
depicted in Figure 1b. Around 1894, Otto Lilienthal, a well known German aviation pioneer,
studied bird flight and conducted some related experiments, as well as developed and
460
____________________________________________________________________________________________
performed successful glider flights. Lilienthal also constructed an ornithopter, although its
complete development was prevented by his untimely death on the 9th of August 1896 in a
glider accident. Figure 1c depicted one of his flight efforts. One of the first modern
development and successful attempts to develop bird-like flapping flight was made by
DeLaurier (1993) team at the University of Toronto Institute for Aerospace Studies; Professor James
DeLaurier, who worked for several years on an engine-powered, piloted ornithopter, at the
Bombardier Airfield at Downsview Park in Toronto, Professor DeLaurier's machine, the UTIAS
Ornithopter No.1 made a jet-assisted takeoff and 14-second flight in July 2006. According to
DeLaurier, the jet was necessary for sustained flight, but the flapping wings did most of the
work. DeLaurier’s ornithopter is depicted in Figure 1d. These are among the remarkable
anthropogenic flapping flight efforts recorded in history.
Figure 1: A selection of ornothopters conceived throughout the history of mankind.

a. Leonardo da Vinci’s; b. Frost’s; c. Otto Lilienthal’s; d. DeLaurier.
In the abstract and introduction to his book, Dhawan (1991) acknowledged that “ Avian
flight has fascinated man from ancient times but it is only in recent years that the efforts of
scientists from diverse fields have been able, to some extent, to understand and explain
the dynamics of animal flight. Observation show an incredible diversity of flight techniques
and maneuvers. Since time immemorial man has been fascinated and intrigued by
thebeauty, grace and intricacies of bird flight. There is perfect harmony of form and
function. It is equally exhilarating to attempt to understand how the physiology and
performance of birds are related through scientific principles.”
Though various anthropogenic flying machines may differ in form, they are usually built
on the same scale as these flying biosystems. Some of the manned ornithopters been built
have been successful. These machines can be differentiated into two general types: those
with engines, and those powered by the muscles of the aviator.
461
____________________________________________________________________________________________
An ornithopter (from Greek ornithos "bird" and pteron "wing") is an aircraft that flies by
flapping its wings, mimicking the flapping-wing flight of insects, bats, and birds. Each of the
flapping flights reveals different flight characteristics and capabilities. Mandatory elements
for flapping biosystem and Micro-Air Vehicles (MAV) flights are wings, kinematics,
aerodynamics, control and sensory systems.
Figure 2: Some of the successful ornithopter MAV’s. a. The MicroBat, developed by

Aerovironment and Caltech (2000), was the first micro-sized ornithopter. It had
three-channel radio control and used one of the lithium-polymer batteries which had
just become available; b. The MIT Phoenix Ornithopter (2009); c. Hovering freeflight
ornithopters built by Mentor at University of Toronto (2002); it was the first hovering
ornithopter with radio control and is important for maneuvering in tight spaces; d.
Delfly, developed at the Technical University of Delft and Wageningen University
(2006), is able to transition between hovering and forward flight. These ornithopters
also carry a small video camera. The live images are analysed by a computer on the
ground, giving Delfly the capacity for autonomous navigation. (source:
www.ornithopter.org/history.mav.shtml and Tedrake et al , 2009)
Micro Air Vehicle (MAV) research and development works are progressing very fast
and have become one of the most exciting research areas in aeronautics. Most of the
researchers are looking at the application of the flying mammalians on MAV due to its
inherent flexibility and light weight. Membrane wings are used to mimics the characteristics
of the flying mammalians besides the flapping motion of the wings. A thorough
understanding of the unsteady aerodynamics created by the flexible membrane surface is
non-trivial as to ensure the success of the development of MAV. This is a delicate task
since due to the low Reynolds number of MAV coupled with Fluid-Structure Interaction
(FSI), the flow created is a mixture of laminar, transition, and turbulent ones. Some of the
successful flapping wing ornithopter MAVs are exhibited in Figure 2.
462
____________________________________________________________________________________________
Perhaps the most comprehensive account of insect flight or entomopter to date is given
by Ellington (1984a, 1984b, 1999), (1999), Weis-Fogh (1973), Dickinson(1999),
Shyy(1999, 2010) and Ansari, Zbikowski and Knowles (2006). Ellington (1999) reminds us
that small anthropogenic flying machines are still in their infancy, and there is a need to
identify general purpose designs that have survived the testbed of insect evolution.
Furthermore, these designs should be reduced to their simplest features, such as
only one pair of wings. The experimental and numerical tools that are used to study the
flow need to be cost effective but yet accurate enough so that more flow and model
parameters can be
investigated. .Biomimicry
of membrane wings have
been studied and
developed by keyplayers
like Gordnier (2009),
Kumar (2010), Persson
(2007), Shyy (2007), Song
(2008), and Rojratsirikul
(2008). A comprehensive
review has been carried
out by Shyy (2004) on
research related to the
membrane wings, which
Figure 3: Visualization of flow fields around a hovering hawkmoth. Iso-vorticity-
includes the underlying
magnitude surfaces around a hovering hawkmoth during (A) the downstroke, (B) the
fundamentals of the flow
supination, (C) the upstroke, and (D) the pronation, respectively. The color of iso-vorticity- structure involved and the
magnitude surfaces indicates the normalized helicity density which is defined as the advantages of the
projection of a fluid’s spin vector in the direction of its momentum vector, being positive membrane wings over the
(red) if these two vectors point in the same direction and negative (blue) if they point in the corresponding rigid wings.
opposite direction. (Shyy et al, 2010)
Biosystem’s flapping flights are characterized by relatively low Reynolds number,

flexible wing, highly unsteady flow, laminar separation bubble, non-symmetrical upstroke
and downstroke and for entomopters, the presence and significant role of leading edge
vortex, and wake vortices capture, among others. It has also been observed that the
flapping frequency tends to decrease with body mass increase (Shyy e al, 1999).
463
____________________________________________________________________________________________
Figure 4: I. Simplified diagram of normal hovering flight. (A) The instantaneous

forces. (B) The animal seen horizontally from the side, and (C) vertically from above
; II. Typical body and wing postures in some hovering animals, as drawn from flash
photographs of (a) the hummingbird ArchUochuz colubru (Greenewalt, 1960), (6) the
sphingid moth Deilephila elpenor (Nachtigall, 1969), (c) the sphingid moth Manduca
sexta during normal hovering (present study), (d) a bumble-bee Bombus sp. before
landing on a flower (Schmidt, i960), (e) Manduca sexta during a quick maneuver
(present study), and (J) the cockchafer Melolontha vulgaru during vertical take-off
(Lane, 1955).( adapted from Weis-Fogh, 1973); III. A humming bird during hovering.
Lift is produced during both up- and downstroke (Shyy et al, 1999)
Gordnier (2009) performed numerical and experimental works on the membrane wings.
In his numerical work, he used a sixth-order Navier-Stokes solver coupled to a finite
element solution of a two degree of freedom nonlinear string model. The flow and the
structural responds were assumed to be two-dimensional. He found that the parameters
that have significant impact on the aerodynamics characteristics of the membrane wings
are Strouhal number, reduced frequencies and the static angle of attack. Song (2008) also
performed experimental work to study the aerodynamics performance of membrane
compliancy. He found that the compliant wing when compared to the static wing has
higher lift slope, maximum lift coefficients, and a delayed stall to higher angles of attack. In
addition, they exhibit a strong hysteresis both around a zero angle of attack as well as
around the stall angle.
464
____________________________________________________________________________________________
Figure 5: a. Normal hovering of the sphingid moth Mcmduca sexta as traced from
every 10th frame in a slow-motion film taken vertically from above at 3000 (start)
to 3900 (end of stroke) frames/sec. The undersides of the wings are drawn in
black (adapted from Weis-Fogh, 1973) ; b. A study of theegret take-off. The
horizontaldistance from thestarting point (in cm) is plottedagainst the
heightabove ground level. Thenumber within the circleindicates milliseconds
afterstart. The number belowthe circle indicates thelevel. Note that
betweenlevels 4 and 6 the bird dropsabout 10cm as its flight hasnot fully
stabilised. At level12 the bird’s speed is approximately10m/s and itsclimbing rate
is about 0.33m/s. (adapted from S Dhawan , 199, and Simha, 2003)
Lian (2007) investigated the effect of laminar-turbulent transition on the aerodynamic

performance of MAVs by coupling a Navier-Stokes solver, eN transition model and a
Reynolds-averaged two-equation closure. The performance of a rigid airfoil and flexible
airfoil mounted with a flexible membrane structure on the upper surface were tested.
Observations showed that the self-excited flexible surface vibration affected the separation
and transition positions whereas the time-averaged lift and drag coefficients were close to
those of the rigid airfoil. Visbal et al. (2009) analyzed low-Reynolds-number transitional
flows over moving and flexible canonical configurations motivated by small natural and
man-made flyers. Laminar separation and transition over a stationary airfoil, transition
effects on the dynamic stall vortex generated by a plunging airfoil and the effect of
flexibility on the flow structure above a membrane airfoil were addressed by the authors.
The effect of compliance on the generation of thrust and lift forces was measured by
Müller et al. (2009) using a new test stand design which used a 250 g load cell along with
a rigid linear air bearing. The influence of excessive compliance on drag forces during high
465
____________________________________________________________________________________________
frequency operation was found to be detrimental as the compliance could generate extra
drag at the beginning and end of upstrokes and downstrokes of the flapping motion.
Apart from focusing on insect flight aerodynamics, Zhao et al. (2009) demonstrated that
the aerodynamic force production generally decreases as the flexibility increases. More
rigid wings resulted in greater lift and drag coefficients of wings. However, at very high
angles of attack, flexible wings generated greater lift than a rigidwing. They also proved
that the wing veins could substantially increase the functional rigidity of the wings, thereby
enhancing its aerodynamic performance. Molki and Breuer (2010) focused on oscillatory
motion of a membrane under aerodynamic loading.Observations showed mostly
asymmetric deflection with the point of maximum camber located nearly at 40% of the
chord length from the leading edge. The oscillations were caused by the oscillatory nature
of the flow due to fluid-membrane interaction and the formation of the leading edge and
trailing edge vortices. Hu et al. (2009) studied the aerodynamic benefits of flexible
membrane wings for the development of flapping wing MAV. The time-averaged lift and
drag generation of flexible nylon wing and a more flexible latex wing were compared with
those of a rigid wing. The rigid wing exhibited better lift while the latex wing showed best
drag generation and the nylon wing was found to be the worst.
2. Learning from nature – observation and characterization
In view of these findings, the classification tabulated in Table 1 could summarize some
of the relevant features of flapping biosystems that may give us an overview in developing
flapping ornithopter MAV. Whereas crane-flies, mosquitoes and other Nematocera as well
as many large Brachycera and Cyclorrhapha undoubtedly use normal hovering in most
cases.
466
____________________________________________________________________________________________
Birds habitually perform aerial maneuvers that exceed the capabilities of best
anthropogenic / man-made aircraft control systems (Tedrake et al, 2009). The complexity
and variability of the aerodynamics during these maneuvers are difficult, with dominant
flow structures (e.g., vortices) that are difficult to predict robustly from first-principles (or
Navier-Stokes) models. In this conjunction, machine learning will play an important role in
the control design process for responsive flight by building data-driven approximate
models of the aerodynamics and by synthesizing high-performance nonlinear feedback
policies based on these approximate models and trial-and-error experience.
Table 1: Overview of some relevant characteristics of flapping biosystems

Small
Low
Hummin Small Large Flappin
Items Insects Bat Speed
g Bird Birds Birds g MAV
Airplane
s
Beetles,
Eagle,
Bumblebee Sparrow
Plecotu Hawk,
s, s, DARPA Cessna
1. Types Amazilia s
Butterflies, Swifts, Vulture, DRO 210
Auritus
Dragonflies Robins
Falcon,
,
2. Weight
25 × 10-5 - 952-
Typical 5.1 9.0 35 - 82 ≤ 50 1045000
12.8 4300
(gf)1
3. Wing
Semi-
0.062 – 7.7 5.9 11.5 20 - 48 58-102 < 7.5 5600
span (cm)
1
Wing-
0.029- 0.35 –
Loading 10-3 – 10-1 0.4 0.072 10-2 - 1 11.18
0.152 0.67
(g/cm2)
4. Typical
Power (gf
5.3 - 238 130 83 93 - 110 42 - 57 39 1.3×104
cm sec-1
per gf)
5. Hover Hover
Hover Fly Fly Fly Fly
Dominant and Fly and Fly
467
____________________________________________________________________________________________
Wing
Movement
99m/s
6. Flight
(cruise at
Speed 1.05 - 9 15 10 - 14 6 - 10 10 - 20 3-10
6100 m
(m/s)
altitude)
7.
103 – 104 - 10,000,0
Reynolds 10-1000 7500 14000 104 - 105
104 105 00
No.
8.
LEV by
Leading
swept wing
Edge yes yes yes yes yes no
at Re = 5 ×
Vortex/LE
103
V
10.
Entering
its own
yes yes no no no no no
TEV/
Wake
Capture
9.
Laminar
Separatio
yes yes yes yes yes yes no
n
Bubble/LS
B
e.g.
Mallard,
Has at Re = 6
10. been ×
Leading - - observe - 4
10 (Jone - -
Edge Flap d on s, 2008)
bats
468
____________________________________________________________________________________________
1Power functions of wing dimensions and flight parameters against body mass m, following
Shyy (1999),Rayner( ), Greenwalt ( ) and Norberg ( ). The exponent of correlation is for
(Mass)exponent
Ted Drake et al highlights some of the more remarkable characteristics of nature’s

flyers, and describes the challenges involved in replicating this performance in our
machines. Tedrake et al conclude by describing their two-meter wingspan autonomous
robotic bird and some initial results using machine learning to design control systems for
bird-scale, supermaneuverable flight.
Birds are incredibly maneuverable. The roll rate of a barn swallow is in excess of 5000
deg/sec (Shyy et al., 1999). Bats can be flying at full-speed in one direction, then be flying
at full-speed in the opposite direction, using a turning maneuver that is accomplished in
just over 2 wing-beats and in a distance less than half the wingspan. Although quantitative
flow visualization data from maneuvering flight is scarce, a dominant theory is that the
ability of these animals to produce sudden, large forces for maneuverability can be
attributed to unsteady aerodynamics, e.g., the animal creates a large suction vortex to
rapidly change direction (Tian et al., 2006). These astonishing capabilities are called upon
routinely in maneuvers like flared perching, prey-catching, and high speed flying through
forests and caves. Even at high speeds and high turn rates, these animals are capable of
incredible agility - bats sometimes capture prey on their wings,
The synthesis of a comprehensive theory of force production in insect flight is hindered

in part by the lack of precise knowledge of unsteady forces produced by wings. Data are
especially sparse in the intermediate Reynolds number regime (10<Re<1000) appropriate
for the flight of small insects. Dickinson and Götz (1993, 1999) attempted to fill this deficit
by quantifying the time-dependence of aerodynamic forces for a simple yet important
motion, rapid acceleration from rest to a constant velocity at a fixed angle of attack. The
study couples the measurement of lift and drag on a two-dimensional model with
simultaneous flow visualization. Dickinson and Götz (1999) results can be used to
determine the importance of unsteady processes for the generation of flight forces in these
small insects. Some highlights of the results are shown below
At angles of attack below 13.5°, there was virtually no evidence of a delay in the
generation of lift, in contrast to similar studies made at higher Reynolds numbers. At
angles of attack above 13.5°, impulsive movement resulted in the production of a leading
edge vortex that stayed attached to the wing for the first 2 chord lengths of travel, resulting
469
____________________________________________________________________________________________
in an 80% increase in lift compared to the performance measured 5 chord lengths later.
This increase could be attributed to the process of detached vortex lift, analogous to the
method of force production in delta-wing aircraft. As the initial leading edge vortex is shed
from the wing, a second vortex of opposite vorticity develops from the trailing edge of the
wing, correlating with a decrease in lift production. This pattern of alternating leading and
trailing edge vortices generates a von Karman street, which is stable for at least 7.5 chord
lengths of travel.
Throughout the first 7.5 chords of travel the model wing exhibits a broad lift plateau at
angles of attack up to 54°, which is not significantly altered by the addition of wing camber
or surface projections. These results indicate how the unsteady process of vortex
generation at large angles of attack might contribute to the production of aerodynamic
forces in insect flight. Because the fly wing typically moves only 2–4 chord lengths each
halfstroke, the complex dynamic behavior of impulsively started wing profiles is more
appropriate for models of insect flight than are steady-state approximations.
Studies on bumblebees offer one of the most complete kinematic descriptions of free
flight (Dudley and Ellington, 1990a,b; Ellington, 1999; Cooper, 1993) and can be used to
illustrate various characteristics of insect flights. Bumblebees vary considerably in size;
typically a bumblebee can have a mass of 0.175 g, a wing length R of 13.2 mm, a
wingbeat frequency n of 149 Hz and a wingbeat amplitude  of 114 °(Ellington, 1999)
Ellington define the Advance Ratio of bumblebee’s flight as
V
J= (1)
2nR
The aerodynamics of insect flight is affected by the scaling of the Reynolds number Re,
which is the ratio of inertial to viscous forces in a fluid. Re is defined as the product of a
characteristic length and velocity divided by the kinematic viscosity n of the fluid. For
comparative purposes, we can conveniently ignore the forward velocity and define a mean
2R
Re for hovering flight based on the mean chord c = ( c =2R/AR) and the mean wingtip
AR
velocity Utip . These are defined as
cU tip 4nR 2
Re = = , where U tip = 2nR (2)
  AR
470
____________________________________________________________________________________________
where AR is the aspect ratio, n is the wingbeat frequency, R is the wing length and  is
the wingbeat angular amplitude (peak-to-peak, in rad). Given geometric similarity and the
scaling of frequency, Re increases as m0.42. For large insects, Re lies between 5000 and
10 000, but it approaches 10 for the smallest ones. In all cases, the airflow is in the laminar
regime, but viscous effects become progressively more important as size decreases.
As advance ratio increases, the downstroke increasingly dominates the force balance;
the downstroke path becomes relatively longer, indicating a higher velocity and thus larger
forces. At high J, the asymmetry is very pronounced, with the powerful downstroke
responsible for weight support and some thrust, but the direction of the feeble upstroke
force is suitable for thrust only. The required thrust is never very large for insect flight, and
even at high speeds it is only some 10–20 % of the weight. The net aerodynamic force is
therefore nearly vertical, tilted forwards by less than approximately 10 °. Between hovering
and fast flight, the stroke plane tilts by almost 40 ° for the bumblebee, but the net force
vector tilts by only 8 °.
Geometric, Kinematic and Aerodynamic Design Guidelines of Flapping MAV
Insect wings are elegant, impressive and instructve in small-scale engineering. They
are deformable aerofoils whose shape is actively controlled by the wingbase articulation
while the wing area is subject to inertial, elastic and aerodynamic forces. For the first
conceptual design of flapping MAV, a simple sail-like construction may be sufficient (such
as illustrated in Figure 5): a stiff leading edge supporting a membrane, further braced by a
boom at the base. Movement of the boom will control the angle of attack at the wing base,
and billowing of the sail will provide the necessary twist along the span. The fan-like
hindwings of some insects, such as locusts, provide a more sophisticated variant on the
sail design that might prove useful (Wootton, 1995; George et al, 2012; Lentink, 2012;
Tobalski et al, 2007). An impression of the structure of various biosystem wings is
illustrated in Figure 6, accompanied by some samples of artificial membrane wing design.
471
____________________________________________________________________________________________
a. b.
c.d. e.
Figure 6: a. Schematics of a bird wing, a human arm, and a bat wing. The upper arm,
i.e.humerus'', is proportionatelyshorter, the wrist and palm bones are fused together
for greater strength in supporting the primary flight feathers (Shyy, 1999). The bat
wing features leading edge flap (Jain et al, 2012; Rhea von Busse et al, 2012). b.
Low Reynolds number airfoil studied by Shyy et al (1999). The low Reynoldsnumber
airfoil, S1223, is of substantial camber and modest solidity.c. Schematic of ladybug
wing and outline used for acrylic wing fabrication (George et al, 2012); d. Leading
edge flap on a Mallard (Jones et al, 2008). e.The flexible covert feathers acting like
self-activated flaps on the upper wing surface of a skua (Shyy et al, 1999).
Together, these schematics illustrate different aspects of wing/airfoil shapesand structural

components from nature and man-made devices (adapted from Shyy et al, 1999).
In a numerical study of insect flight, Liu and

Kawachi (1998) utilizes Time-Accurate
Solution to the Navier–Stokes Equations.
The governing equations are the three-
dimensional, incompressible, unsteady
Navier–Stokes equations written in strong
conservation form for mass and momentum.
The artificial compressibility method
developed by Chorin (1968) is used by
adding a pseudo-time derivative of pressure
to the continuity equation. This relaxes the
elliptic nature of the equations and results in
a hyperbolic–parabolic system.
472
Figure 7: The wingbeat of the long-eared bat
Plecotus auritus, illustrating an inclined stroke
plane during hovering flight (Norberg, 1970).
____________________________________________________________________________________________
3. Kinematics of Flapping Wing Motion
The flapping wing motion of ornithopters and entomopters can be generally grouped in
three classes, based on the kinematics of the wing motion and mechanism of forces
generation; the horizontal stroke plane, inclined stroke plane and vertical stroke plane
(Ellington, 1984). The most distinctive characteristic in insect flight is the wing kinematics
(Ansari, 2006). Due to smaller scale by nature, insects differ fundamentally from birds in
which all actuations are carried out at the wing root. Unlike insect, birds have internal
skeletons to which muscles are attached, enabling more localized actuation along the
wing, for example, wing warping, although commonly, bird wing deflection may be passive.
As a result from these kinematics, the aerodynamics associated with insect flight are also
very different from those met in conventional fixed- and rotary-wing or even bird flight
(Ansari, 2006). Based on Ellington’s study (Ellington, 1984, 1999), the kinematic of flight
produced by the generic wing (semi-elliptical wing) can be classified into the inclined
stroke plane, where the resultant force produced by the wing can be separated into vertical
and horizontal components, which are lift, thrust and drag, respectively throughout the up-
stroke and down-stroke cycle; the inclined stroke plane, where a large horizontal thrust
component will be produced (see Figure 7); and the vertical stroke plane, which is often
seen during take off and hovering of butterflies and in which the wing motion is
perpendicular to the chord. During flapping, the magnitude of the vertical induced flow is
maximum near the wing tips and decreases as it approaches the root. Thus for constant
forward speed, the relative angle of attack (AOA) also decreases from tip towards root.
Figure 7 illustrates an inclined stroke plane during hovering flight prevailing during the
wingbeat of the long-eared bat Plecotus Auritus (Norberg, 1970).
To maintain low Angle of Attack (AOA) at the tip to meet attached flow situation, the
wing must pitch in the direction of the flapping. During the down-stroke the total
aerodynamic force is tilted forward and has two components, lift and thrust. During the up-
stroke, the AOA is always positive near the root but at the tip it can be positive or negative
depending on the amount of pitching up of wing. Therefore, during up stroke the inner part
of wing produces aerodynamic force which is upward but tilted backwards producing lift
and negative thrust. The outer region of the wings would produce positive lift and drag if
the AOA is positive. But if AOA is negative then it will produce negative lift but positive
thrust (Harmon, 2008). In the kinematic modelling adopted in the present study of the
flapping wing flight of pterosaur, only periodic flapping and pitching motions will be
473
____________________________________________________________________________________________
considered, and without losing generalities, the flapping axis is assumed to be very close
to the body longitudinal axis and pitching motion axis at the leading edge of the wing. This
kinematic modelling is implied in Figure 5.
In the present development, some observations obtained by Pennycuick (1990) will be

considered. Using a combination of multiple regressions and a dimensional analysis, flight
parameter for flapping flight can be correlated by geometrical characteristics of the flying
birds and insects. Pennycuick experimentally derived the correlation of the wingbeat
frequency for flapping flight to the body mass, wingspan, wing area and the wing moment
of inertia. For birds with the body mass ranging from 20g to nearly 5kg the wingbeat
frequency is correlated by the following formula:
1.08 m g
f = 3 (3)
b  S
where m is the bird’s body mass in kg, g is the gravitational acceleration, b is the
wingspan, S is the wing area and  is the air density, which has been observed by Bunget
(2010) to give a good fit when applied to small birds, bats and insects. In addition, the flight
velocity can also be correlated to the mass of the bird or flying insect by (adapted from
Pennycuick (1990), Ho et al (2003)):
1
U = 1.508 ( m ) 6 (4)
3. Conceptual Modeling for reasonably simple bioinspired ornithopter MAV -

Excerpts from Current Work
In the present work, a generic approach is followed to understand and mimic the
unsteady aerodynamics of bio-inspired bird- or pterosaur-like flapping wing to produce lift
and thrust for hovering and forward flight in an attempt to develop a simple and workable
Micro-Air-Vehicle (MAV) ornithopter flight model, since such model does not need to
generate more involved leading edge vortex and wake penetration exhibited by insect
flight (Ellington, 1984, 1999). The use of a flexible membrane allows the wing to passively
474
____________________________________________________________________________________________
change its relative angle of attack (AOA) and camber during the stroke cycle. This is the
mechanism that has been utilized by operational commercially-available ornithopters.
The generic train of thought in modelling and developing up and down flapping motion
configuration with flexible membrane wing skins can be summarized in Figure 8, to mimic
the flapping wing mechanism of a real bird or pterosaur, exhibited in Figure 8(a) and (b),
respectively. Following earlier work (Djojodihardjo & Ramli, 2012), Aerodynamic Strip
theory and Theodorsen-Jones (Theodorsen, 1949; Jones, 1940) unsteady aerodynamics
will be utilized. Garrick leading-edge suction formulation (Garrick, 1936; Scherer, 1968;
Harmon, 2008) will also be utilized to investigate its influence. Reynolds number is a
significant dimensionless aerodynamic parameter that characterizes ornithopter’s flight as
compared to high speed aircraft flights. For an airfoil with a 0.25 m chord length, an
average size for the fixed wing UAV with a one meter span, the airfoil Reynolds numbers
will be between 75,000 and 200,000 at cruise speeds of 10 to 30 km/hr. This Reynolds
number range is a transition region with increasingly poor lift-to-drag ratios for smooth
fixed wing airfoils (Harmon, 2008). Considerations will be given to oscillatory motion of the
idealized wing in pitching and flapping with phase lag. By carrying out parametric study,
the lift, drag, and thrust characteristics within a cycle for various configurations and
operational parameters can be obtained, which could be considered for synthesizing proof-
of-concept Flapping Wing MAV model with simplified mechanism. Computational code for
the modelling of ornithopter unsteady aerodynamic is developed which can be further
enriched with additional motion elements and control elements, and to synthesize a
laboratory model.
Figure 8: Comparison of flying biosystems and their modelling as Flapping Wing

Ornithopter and Quad-Wing Air Vehicle (QWAV); (a) Pterosaur (Strang, 2009); (b)
Soaring eagle exhibiting its wing geometry and structural detail, (c) A humming
bird, which is the only bird species that ehhibit unique flapping wing characteristic
reminiscent of insect; (d) a dragonfly and (e) A model of quad-wing air vehicle
(Prosser, 2011).
475
____________________________________________________________________________________________
Figure 9: Flight motion of dragonfly (Adapted from Wang & Russell, 2007).
Within such backdrop, in the present work, a generic approach is followed to

understand and mimic the unsteady aerodynamics of biosystem that can be adopted in the
present QWAV, following our previous attempt to develop pterosaur-like ornithopter to
produce lift and thrust for forward flight and hence develop a simple and workable Quad-
Wing-Micro-Air-Vehicle (QVMAV) ornithopter flight model. At the present stage, such
model will not take into account the more involved leading edge vortex and wake
penetration exhibited by insect flight (Ho et al, 2003; Ellington, 1984, 1999).
Theoretical Development of The Generic Aerodynamics of Flapping Wings
Harmon (2008) wing model Byl’s (2010) blade-element model Altshuler et al (2004) wing model
Wing of Dragonfly (Nicholson et al, 2007) Kesel’s (2000) dragonfly wing A generic semi-elliptical wing
planform (Djojodihardjo & Ramli, 2012)

Figure 10: Various Generic wing planforms considered for the choice of chosen
ones as baseline geometries for the ornithopter wing Biomimicry Flapping
Mechanism
Figure 10: A generic semi-elliptical ornithopter’s wing planform with the backdrop of various wing-planform geometries
476
____________________________________________________________________________________________
Following the frame of thought elaborated in the previous section, several generic wing
planforms are chosen in the present work as baseline geometries for the ornithopter wing
Biomimicry Flapping Mechanism, among others the semi elliptical wing (shown in Figure
10) with the backdrop of various wing-planform geometries utilized by various researchers.
The present work resorts to analytical approach to the flapping wing aerodynamic
problem, which can be separated into quasi-steady and unsteady models. The quasi-
steady model assumes that flapping frequencies are slow enough that shed wake effects
are negligible, as in pterosaur and medium- to large-sized birds while the unsteady
approach attempts to model the wake like hummingbird and insects. The present
aerodynamic approach is synthesized using basic foundations that may exhibit the generic
contributions of the motion elements of the bio-inspired quad-wing air vehicle
characteristics. These are the strip theory and thin wing aerodynamic approach (Kuethe &
Chow, 1986), Jones modified Theodorsen unsteady aerodynamics (Theodorsen, 1949;
Jones, 1940), incorporation of leading edge suction (Garrick, 1936; Polhamus, 1945).
Jones’ modified Theodorsen approach which incorporates Garrick’s leading edge suction
without spanwise twist and post-stall behavior was adopted following DeLaurier’s
approach, and the computation of lift, drag and thrust generated by pitching and flapping
motion of three-dimensional rigid wing in a structured method using strip theory and Jones’
modified Theodorsen approach without camber, leading edge suction and post-stall
behavior. Other improvement of the computational model may later on be added based on
other observations and work of various researchers. Lifting-surface theory (Ashley et al,
1965; Smith et al, 1996) may be later incorporated.
Blade element theory has been utilized for flapping wing analysis by many researchers
(Ellington, 1984; DeLaurier, 1993; Byl, 2010; Shyy et al, 2008). In the present
work,unsteady aerodynamics of a flapping wing using a modified strip theory approach as
a simplification of DeLaurier’s and Harmon’s approach for pterosaur flapping-wing
aerodynamics is carried out without post-stall behavior. Byl and Malik and Ahmad (2010)
have applied blade element and DeLaurier’s approach in their work, respectively.
A novel initiative has been introduced by Djojodihardjo and Ramli (2012) for separating
the wing flapping motion element and carrying out a parametric study on the contribution
of each of these elements in the aerodynamic forces generated. These are motivated by
477
____________________________________________________________________________________________
the objective to gain insight into the mechanism of lift and thrust generation by itching,
flapping and coupled motions, as well as the influence of pitch-flap phase lag for
optimization purposes, by also looking into the influence of the variation of the forward
speed, flapping frequency and pitch-flap phase lag. The computational logic in the present
work is summarized in the Flow-Chart exhibited in Figure 11. The results of DeLaurier’s,
Byl’s, Malik and Ahmad’s and Zakaria et al’s are used for validation.
Figure 11: Ornithopter Flapping Wing Aerodynamics Computational Scheme
The flapping wing can have three distinct motions with respect to three axes as: a)
Flapping, which is up and down stroke motion of the wing, which produces the majority of
the bird’s power and has the largest degree of freedom. b) Feathering is the pitching
motion of wing and can vary along the span. c) Lead-lag, which is in-plane lateral
movement of wing.
Flapping angle β varies as a sinusoidal function. β and its rate are given by following
equations. The degree of freedom of the motion is depicted in Figure 5. Flapping angle β
varies as a sinusoidal function. The angle β and its rate and pitching angle θ are given by
478
____________________________________________________________________________________________
 (t ) = max cos 2 ft
 (t ) = −2 f max sin 2 ft (5)
y
 (t ) = 0 cos(2 ft +  )
B
where θ0 is the maximum pitch angle,  is the lag between pitching and flapping angle and
y is the distance along the span of the wing under consideration.
(a)
(b)
Figure 12: Angular movement of wing, adapted from Harmon (2008); stroke plane is
indicated in (a), an adaptation of Ellington’s (1984) configuration (where βp is stroke
plane angle).
The vertical and horizontal components of relative wind velocity, as depicted in Figure 13,
can be expressed as
479
____________________________________________________________________________________________
Vx = U cos  + (0.75c sin  ) (6)
VZ = U sin  + (− y cos  ) + (0.75c cos  ) (7)
For horizontal flight, the flight path angle γ is zero. Also, 0.75 c  is the relative air effect
of pitching rate  which is manifested at 75% of the chord length (DeLaurier, 1993). The
relative velocity, relative angle between two velocity components ψ and the relative angle
of attack can be expressed as
V = Vx 2 + Vz 2 (8a)
 Vz 
 = tan −1  ; (8b)
 Vx 
and
 = + (8c)
The section lift coefficient due to circulation (Kutta-Joukowski condition, flat plate) is given
by (DeLaurier, 1993)
Clc = 2C (k )sin  (9)
The sectional lift dLc can then be calculated by
1
dLc = V 2Clc cdy (10)
2
which should be integrated along the span to obtain the flapping-wing lift. Here c and dy
are the chord length and spanwise strip width of the element of wing under consideration,
respectively. The apparent mass effect (momentum transferred by accelerating air to the
wing) for the section, is perpendicular to the wing, and acts at mid chord, and can be
calculated as (Harmon, 2008; Scherer, 1968)
480
____________________________________________________________________________________________
c 2
dN nc = − (U + y cos  − 0.5)dy (11)
4
Figure 13: Forces on section of the wing.
The drag force has two components, profile drag and induced drag where the values
for the drag coefficients are assumed to be similar to those associated with basic
geometrical cases (such as flat plate, airfoil with tabulated data and the like). To account
for profile drag, a factor K is introduced (Harmon, 2008; Scherer, 1968). A maximum value
of K of 4.4 as given by Scherer (1968) will be used. Cdi is induced drag coefficient, and e is
the efficiency factor of the wing and is 0.8 for elliptical wing. Total section drag is thus
given by
dDd = dDp + dDi (12)
The circulatory lift dLc, non-circulatory force dNnc and drag dDd for each section of the
wing changes its direction at every instant during flapping. These forces in the vertical and
horizontal directions will be resolved into those perpendicular and parallel to the forward
481
____________________________________________________________________________________________
velocity, respectively. The resulting vertical and horizontal components of the forces are
given by
dL = dLc cos  cos  + dNnc cos(−) cos  cos  + dDd sin  cos  (13)
dT = dLc sin  cos  + dNnc sin(−) cos  cos  − dDd cos  cos  (14)
and are calculated within one complete cycle, and averaged to get the total average lift
and thrust of the ornithopter.C’(k), F’(k) and G’(k) relate to the well known Theodorsen
function (Theodorsen, 1949) which are functions of reduced frequency k. More
sophisticated procedure (which later on will be added and introduced as second method in
result and analysis subchapter) can be done by adding Garrick’s (1936) expression for the
leading edge suction of two dimensional airfoil to be applied on present strip theory model,
and also the effect of downwash, w0/U which causes a local induced angle of attack,
where it reduces lift (Kuethe & Chow, 1986).
Results and Analysis For Two-Wing Flapping Ornithopter
The results below are obtained using the following wing geometry and parameters: the
wingspan 40cm, aspect ratio 6.2, flapping frequency 7Hz, total flapping angle 60º, forward
speed 6m/s, maximum pitching angle 20º, and incidence angle 6º. The computational
scheme developed has been validated satisfactorily. Two methods (procedures); first
method and second method are shown for observance purpose on force production
tolerance.
A sample of such validation is shown in Figures 14, which was obtained using
aerodynamic strip theory and Theodorsen-Jones modified formulations, where the
geometry is similar to Harmon’s (2008) and the parameters are relatively close to his. The
following assumptions were made: the pitching and flapping motions are in sinusoidal
motion, and the upstroke and downstroke phases have equal time duration. There is
incidence angle, which is 6º and there is no flight path angle.
The phase lag was assumed to be fixed at 90º. Harmon’s (2008) example did not
incorporate the leading edge suction, wake capture and dynamic stall. As Figure 14
indicates, the computational results using the present second generic Computational
482
____________________________________________________________________________________________
Procedure have comparable agreement to the measured results by Byl (2010).The

Average values for lift per flapping cycle calculated using the first and second
Computational Procedure are comparable, both for rectangular and semi-elliptical
planform. Agreement with Byl’s (2010) value of Lift per flapping cycle for modified elliptical
planform is only qualitative, which could be understood for the simplicity of our models.
The Average lift per flapping cycle computed using the second Computational Procedure
for DeLaurier’s pterosaur wing are in excellent agreement with those obtained by both
DeLaurier (1993) and Zakaria et al (2009), while for the thrust, our second Computational
Procedure result agrees with Zakaria et al’s. The average thrust per flapping cycle
calculated using the first Computational Procedure is close to that obtained by Malik et al
(2010).
Figure 14: Lift, Thrust and Drag Forces obtained using the Computational Procedure
outlined in Figure 4 for Semi-Elliptical Planform Wing
Another study is carried out to investigate the influence of individual contributions of the
pitching-flapping motion and their phase lag on the flight performance. The calculation is
performed on rectangular wing. Results obtained as exhibited in Figure 15 show that for
the lift, the pitching angle dominates the force, while for the thrust, the flapping angle. The
drag is also dominated by flapping effect.
Parametric Study Of Two-Wing Flapping Ornithopter
A parametric study is carried out to assess the influence of some flapping wing motion
parameters to the flight performance desired. The study considers the following
parameters: the Effect of Forward speed, the Effect of Flapping Frequency, the Effect of
Lag Angle, the Effect of Angle of Incidence and the Effect of Total Flapping Angle. The
483
____________________________________________________________________________________________
results are exhibited in Figure 16. An interesting result is exhibited by Figure 16 (b) and
(c), where the wingbeat frequency has been varied and the thrust is consistently increased
with the increase of the wingbeat frequency, while the lift increases only slightly. If
reference is made to Pennycuick’s (1990) formula (1) and Tucker’s (1987) formula to
correlate wing-span and wing area of birds, the present ornithopter model operating
frequencies as anticipated in Figure 16 are close to the operating flapping frequency
values of selected birds shown in Table 3.
Quad Flapping Wing Micro Air Vehicle
Following similar kinematic and aerodynamic model and aerodynamic computational

scheme as elaborated in previous sections, a computational study is carried out for a
quad-wing flapping ornithopter, using similar dimensions as the two-wing flapping
ornithopter. The wing dimensions are such that performance comparison between the two-
wing and quad-wing ornithopter can be made, such as the total wing area should be
similar for both.
The influence of individual contributions of the pitching-flapping motion and their phase
lag on the flight performance is carefully modelled and investigated. Without loss of
generality, for simplicity the calculation is also performed on rectangular wing. Results
obtained as exhibited in Figure 17 show the lift produced for various scenarios involving
phase combinations between flapping and pitching motions of individual fore- and hind-
wings. Table 2 summarizes the average forces per cycle for the selected scenarios.
General Observation
The computational results for simplified modelling of both two-wing and quad-wing
ornithopters are meant for better understanding of the key elements that produce Lift and
Thrust Forces for these ornithopters, as well as a guideline for developing a simple
experimental model that can easily be built.
More sophisticated computational and experimental model can be built in a progressive

fashion, by superposing other key features. To gain better insight into the kinematic and
484
____________________________________________________________________________________________
aerodynamic modelling of two-wing and quad-wing ornithopters, comparison will be made

on the basic characteristics and performance of selected ornithopter models withthose of
selected real birds and insects. The most noticeable of these changes is the phase
difference between forewing and hind wings, defined as the phase angle by which
hindwing leads the forewing. When hovering, dragonflies employ a 180° phase difference
(out of phase), while 54-100° is used for forward flight. When accelerating or performing
aggressive maneuvers, there is no phase difference between the two wings (0° in phase)
(Deng & Hu, 2008).
Wingbeat of 7Hz. corresponding to the particular worked out example
Wingbeat of 3.14Hz. corresponding to Pennycuick formula
Figure 15: The influence of individual contributions of the pitching-flapping

motion and their phase lag on the flight performance. The influence of the
flapping frequency is consistent as illustrated in Figure 7.
485
____________________________________________________________________________________________
Figure 16: Parametric Study on the influence of forward speed (a), flapping
frequency (b, c), flapping-pitching phase lag (d), angle of incidence (e) and total
flapping angle (f) on cyclic lift, drag and thrust (for a wing of rectangular planform).
Table 2 also shows the influence of fore and hind wings phase difference to the
production of lift, drag and thrust, computed using the present generic and simplified
scheme. The lift produced for 180o phase difference between the fore- and hind-wings is
the highest among other flight cases. However, the thrust produced for 90 o phase
difference between the fore- and hind-wings is the highest among other flight cases, giving
the best performance attitude for forward flight mode.
Wang and Russel (2007) reported that the vorticity field simulated using CFD
computation for double wing is complex and not readily related to the computational
results for lift and thrust, although on the average, the wing motion creates a downward
flow and thus an upward net force on the wings (Wang & Russel, 2007). Figure 18 shows
the comparison of lift force generated using the present generic simplified model to the
result of Wang and Russell (2007). Although quantitatively the comparison shows some
discrepancies, qualitatively both results show similar behaviour. Such result could lend
support to the present kinematic and aerodynamic modeleing of quad-wing ornithopter
with non-deforming wing, which can progressively be refined to approach the real
biosystem flight characteritics, such as those of dragonfly and other related entomopters.
486
____________________________________________________________________________________________
____ Wang & Russell
Figure 18: Lift computed using the present

simplified and generic model, for 180o phase
angle between fore- and hind-wings, compared
to Wang calculation (Wang & Russell, 2007)
using more elaborate model, which is very
(a)
qualitative, for proof of concept considerations.
Figure 17: Lift, thrust and drag forces for selected

combination of flapping and pitching motion
phase lag as well as fore- and hind-wing motion
phase lag.
For this purpose, Table 3 has been prepared as an extension of the earlier Table
presented in work by Djojodihardjo and Ramli (2012) to obtain an insight of the flight
characteristics and basic performance of ornithopter and entomopter models, and birds
and insect. Table 3 exhibits the ratio of the lift per cycle calculated using the present
487
____________________________________________________________________________________________
simplified computational model and those obtained by other investigators; for comparison,
the weight per wing-span of a selected sample of birds are also exhibited.
Although the comparison is by no means rigorous, it may shed some light on how the
geometrical modelling and the flapping motion considered in the computational model may
contribute to the total lift produced and how further refinement could be synthesized.
Table 2: Average forces for all specifications.

Average Double-Wing Quad-Wing Quad- Quad- Quad- Quad-
Force (Baseline, Wing, Wing, Wing, Wing,
(Fore and
Computational Flapping Pitching Flapping Flapping
Hind wings
Procedure) 90° 90° & 180°
simultaneous)
phase phase Pitching phase
difference difference 90° difference
phase
difference
Lift (N) 0.2108 0.3503 0.4391 0.4378 0.4096 0.4613
Drag (N) 0.0961 0.1629 0.4270 0.2817 0.1928 0.4882
Thrust 0.2768 0.7902 0.8770 0.4793 0.5580 0.7753
(N)
Table 3: Comparison of basic performance of ornithopter & entomopter models, and

birds & insect.
488
____________________________________________________________________________________________
4. CFD Simulation Studies for flexible wing biomimicry
Two different solvers are utilized; FLUENT for fluid flow analysis and ABAQUS for
structural analysis. The real time coupling of these two solvers is facilitated by MpCCI.
When solving the fluid structure interaction problems, the mesh must be allowed to move
in accordance with the motion of the grid structural surface. The MpCCI software enables
the exchange of data between meshes of simulation codes (FLUENT and ABAQUS) in the
coupling region, as illustrated in Figure 19. It keeps track of the distribution of the domains,
allows the exchange of material properties data and updates the FLUENT meshes. The
resulting coupled procedure retains second order temporal accuracy. The simulation of
phenomena of aeroelasticity necessitates the appropriate combination of different
numerical disciplines, which is done with a FSI method (Wuchner et al., 2007).
489
____________________________________________________________________________________________
For CFD simulations, the computational domain was modelled and meshed using
Gambit software. The grid independence study is also carried out for airflow over the
membrane in order to select the best meshing element and thereby improve simulation
results. Spalart-/Allmaras viscous model was selected for lift and drag and stress/
displacement studies owing to its suitability for aerospace applications involving wall-
bounded flows such as boundary layers with adverse pressure gradients. Moreover, the
combination of fine mesh around the wall (airfoil) and low Re of air flow are perfect
conditions for this viscous model, and the accuracy is good especially throughout the
viscous-affected region. The two-dimensional computational domain of NACA 643- 218
airfoil in FLUENT is shown in Figure 20a, and that for ABAQUS is shown in Figure 20b.
Figure 19: Overview of FSI-MpCCI simulation process (MpCCI 3.1, 2009)
490
____________________________________________________________________________________________
a) The FLUENT meshed model showing boundary conditions
b) Meshed model in ABAQUS
Figure 20: Simulation models
The origin of the coordinate system is at the leading edge of the airfoil. The fully
structured mesh was selected and each region was meshed uniformly with 28983 nodes.
The y + value was maintained to nearly equal to 1. This was also the practice with respect
to a similar study by Ahmad et al., (2010). The second order upwind scheme was used to
discretize the Navier-Stokes equations. The leading edge and trailing edge of the airfoil
was considered as solid. With this arrangement, the simulations were run for various
values of Re, where Re = Uc/υ, U is the free stream velocity, c is the chord length (0.1m),
and υ is the air kinematic viscosity (υ=µ/ρ, ρ = 1.225 kg/m 3 and µ= 1.7894x10-5 kg/ms).
The range of Re for CFD simulations was 2738≦Re≦10269 and that for lift and drag study
was 70512≦Re≦101319.
The Pressure-Velocity coupling for all Re is performed using SIMPLE algorithm. The
relaxation factors for modified turbulent viscosity, momentum and pressure are 0.8, 0.7,
and 0.3 respectively. The transient/ unsteady simulations are carried out at angle of attack,
α = 0o, 10o, 20o, and 30o; with 0.001s time step up to 40s of iteration. The membrane
thickness, t = 0.1317 mm, Modulus of elasticity E= 0.77, Mpa, Poisson ratio=0.5, and
membrane density ρm = 1g/ cm3 were set as the membrane properties in ABAQUS. The
Young’s Modulus for the airfoil frame is 70 Gpa with the Poisson ratio = 0.35 and density
ρal = 2800 kg/m3.
Table 4: Material properties
491
____________________________________________________________________________________________
Membrane Material : Latex*

Thickness: 0.1317mm,
0.1483mm, 0.3833mm and
0.4667mm
Modulus of elasticity E= 0.77 Mpa
Poisson ratio=0.5
density ρm = 1g/ cm3
Airfoil frame Material: Aluminium
Young’s Modulus = 70 Gpa
Poisson ratio = 0.35
density ρal = 2800 kg/m3
In the ABAQUS model, the leading and trailing edges are considered as fixed boundaries.
The upper and lower airfoils are defined as deformable structure, which are meshed (total
of 612 elements) with hexahedral sweep method. The material properties are summarized
in Table 4. Mesh and time step independence studies have been performed and the best
mesh and time step setup have been chosen for the subsequent FSI simulations.
492
____________________________________________________________________________________________
5. Results and Discussion
1.5
1.0
Lift Coefficient, CL
0.5
0.0
-0.5
(Abbott et al.,1945)
CFD U =71.89 m/s
-1.0
-10 -5 0 5 10 15 20
Angle of attack (degree)
Figure 21: Lift coefficient vs. Angle of attack for the test airfoils compared with the
NACA 643-218 airfoil
Validation of NACA 643-218 airfoil standard CFD model
The CFD results are compared with the published data from Abbot et al. (1945) in
order to validate the current work. However, the comparison is only limited to the steady
and standard NACA 643-218 airfoil as provided by Abbot et al. (1945).The data for NACA
643-218 airfoil published by the authors include: free stream velocity, U = 71.89 m/s; chord
length, c= 24 inches and kinematic viscosity, υ = 1.4604×10-5 m2/s.
Comparison of Rigid and Membrane Type of Airfoil
As shown in Figure 22, the plots of CL vs. α, CD vs. α, lift to drag ratio (L/D) vs. α and CL
vs. CD were obtained from simulations. Figure 23 shows the instantaneous streamline
pattern of the rigid and membrane airfoils at various angles of attack. At the lowest angle
of attack, α = 0o, the flow started to detached from the airfoil surface at the beginning of
the trailing edge for both rigid and membrane airfoil cases. At α = 10o, a distinct shape of
493
____________________________________________________________________________________________
vortex appears in the membrane airfoil case (on the upper surface) while that is not the
case for the rigid airfoil. The size of the vortex increases as the angle of attack is
increased. The vortex started to separate from the upper surface of the airfoil at the angle
of attack of 20o. The vortex appeared to be swept downstream by the main airfoil flow as
the angle of attack increases.
0.30
Rigid
1.0 Membrane
0.25
Drag Coefficient, CD
0.20
0.5
0.15
0.0
0.10
-0.5
0.05
Rigid
Membrane
-1.0 0.00
-10 -5 0 5 10 15 20 -10 -5 0 5 10 15 20
(a) Angle of attack (degree)
(b) Angle of attack (degree)
1.5
30
1.0
20
0.5
10
L/D
0.0
0
-0.5
-10
Rigid Rigid
Membrane Membrane
-1.0
-20
(c)
-10 -5 0 5 10 15 20
(d)
0.00 0.05 0.10 0.15 0.20 0.25 0.30
Angle of attack (degree) Drag Coefficient, CD
Figure 22: Comparison of time averaged aerodynamics characteristics between

rigid and membrane airfoils: (a) CL vs. α, (b) CD vs. α, (c) L/D vs. α, (d) CL vs. CD
494
____________________________________________________________________________________________
α Rigid Airfoil Membrane Airfoil
0o
10o
20o
30o
Figure 23: Comparison of the instantaneous streamline pattern between rigid and
membrane airfoils at various angle of attacks
495
____________________________________________________________________________________________
5. Conclusions
The present work has been performed to assess the effect of flapping-pitching motion
with pitch-flap phase lag in the flight of ornithopter. In this conjunction, a computational
model has been considered, and a generic computational method has been adopted. Two-
dimensional unsteady theory of Theodorsen with modifications to account for three-
dimensional and viscous effects, leading edge suction and post-stall behaviour. The study
is carried out on rectangular and semi-elliptical wing planforms. The results have been
compared and validated with others within similar unsteady aerodynamic approach and
general physical data, and within the physical assumptions limitations, have encouraging
qualitative agreement or better. Judging from lift per unit span, the present flapping-wing
model performance is comparable to those studied by Byl (2010) and Malik and Ahmad
(2010), while DeLaurier’s pterosaur model (1993) is order of magnitude larger and
comparable to Bald Eagle.
The analysis and simulation by splitting the flapping and pitching motion shows that: (a)
The lift is dominantly produced by the pitching motion, since the relative airflow effect
prevailed along 75% of the chord length. (b) The thrust is dominated by flapping motion.
The vertical component of relative velocity increases significantly as compared to the
horizontal components, which causes the force vector produced by the flapping-pitching
motion to be directed towards the horizontal axis (thrust axis). (c) The drag is dominated
by the flapping motion, due to higher relative velocity as well as higher induced drag due to
circulation.
For the quad-wing ornithopter, at the present stage, the simplified computational model
adopted verified the gain in lift obtained as compared to two-wing flapping ornithopter, in
particular by the possibility of varying the phase lag between the flapping and pitching
motion of individual wing as well as between the fore- and hind-wings.
A structured approach has been followed to assess the effect of different design
parameters on lift, thrust, and drag of an ornithopter, as well as the individual contribution
of the component of motion. These results lend support to the utilization of the generic
modelling adopted in the synthesis of a flight model, although more refined approach
should be developed. Various physical elements could be considered to develop
ornithopter kinematic and aerodynamic modelling, as well as using more refined
aerodynamic computation, such as CFD or lifting surface methods. In retrospect, a generic
physical and computational model based on simple kinematics and basic aerodynamics of
a flapping-wing ornithopter has been demonstrated to be capable of revealing its basic
characteristics and can be utilized for further development of a flapping-wing MAV.
496
____________________________________________________________________________________________
Application of the present kinematic, aerodynamic and computational approaches shed

some light on some of the salient aerodynamic performance of the quad-wing ornithopter.
In the second part of the work that deals with CF simulation, the Mesh based parallel
Code Coupling Interface (MpCCI) is effectively utilized to facilitate real time coupling of
flow and structural solvers in order to study the effect of membrane thickness and
Reynolds number on the aerodynamic performance of NACA 643- 218 airfoil for low
Reynolds number applications. Results showed that the aerodynamic lift increases while
drag decreases with the decrease of membrane thickness.
Acknowledgement
The authors would like to thank Universiti Putra Malaysia (UPM) for granting Research
University Grant Scheme (RUGS) Project Code: 9378200, under which the present
research is carried out.
497
____________________________________________________________________________________________
Nomenclature
AR aspect ratio t time
U flight velocity
b wingspan Vx velocity component along x-axis
c chord Vz velocity component along z-axis
C(k) Theodorsen function VT tangential velocity to the section
Cd(f) drag coefficient due to skin friction V relative velocity
Cdp profile drag coefficient w0 downwash velocity at ¾-chord location
Cdi induced drag coefficient ρ air density
Cl-c lift coefficient for flat plate β flapping angle
Cl lift coefficient βmax maximum flapping angle
Cn normal force coefficient βp stroke plane angle
dDd sectional total drag  flapping rate
dDf sectional friction drag  flapping acceleration
dDp sectional profile drag θ pitching angle
dDi sectional induced drag  pitching rate
dFx sectional chordwise force  pitching acceleration
dL sectional instantaneous lift θ0 maximum pitch angle
dLc sectional lift a angle of flapping axis with respect to

stream velocity
dr dr width of sectional strip under consideration
w mean angle of chord with respect to
dN sectional total attached flow normal
flapping axis
force mean pitch angle
References
dNc sectional circulatory normal force lag between pitching and flapping
dNnc sectional apparent mass effect angle
Abbott,
dT
I.H. Von Doenhoff A.E., Stiversδ Jr. L.S.
sectional instantaneous thrust
1945.
incidence angle Summary of Airfoil data, National
Advisory Committee for Aeronautics,γ Reportflight

No.path824,
angle Washington 25, D.C, p. 193.
f wingbeat frequency
Ahmad,
FSI K. Structure
Fluid A., Abdullah,
Interaction M. Z. and Watterson,
ψ relativeJ. K.between
angle 2010. Numerical Modelling of a
two velocity
components
Pitching Airfoil, Jurnal Mekanikal, 30, 37-47.
g gravitational acceleration
α relative angle of attack
Altshuler, D.L.,
plunging rate Dudley, R. and Ellington, C.P. 2004. Aerodynamic Forces of Revolving
α0 zero-lift angle
LEV
Hummingbird Wings and Wing Models, J. Zool, Land. 264: 327-332.
leading edge vortex
ηs efficiency coefficient
PIV Particle Image Velocimetry
498
r distance along the span of ith strip
S wing area
____________________________________________________________________________________________
Ansari, S.A., Zbikowski, R. and Knowles, K. 2006. Aerodynamic Modelling of Insect-like

Flapping Flight for Micro Air Vehicles, Progress in Aerospace Sciences 42: 129–172.
Ashley, H., Landahl, M.T., and Widnall, S.E. 1965. New Directions in Lifting Surface
Theory, AIAA Journal, 3, No.1.
Attar, P. J., Gordnier, G. E. 2009. High-fidelity Computational Aeroelastic Analysis of a

Plunging Membrane Airfoil, AIAA 2009-2472, California, p.p. 1-30.
Bunget, G. 2010. BATMAV – A Bio-Inspired Micro-Aerial Vehicle for Flapping Flight PhD,
North Carolina.
Byl, K. 2010. A Passive Dynamic Approach for Flapping Wing Micro Aerial Vehicle Control,
ASME Dynamic Systems and Controls Conference,
http://www.ece.ucsb.edu/~katiebyl/papers/Byl10 _DSCC.pdf, accessed 8 May 2012.
Capraro, E. 2001. A Micro-Sized Ornithopter Design, Course Project, MIT.
Carruthers, A.A.C., Walker, S.M., Thomas, A.L.R. and Taylor, G.K. 2010. Aerodynamics of
Aerofoil Sections Measured on a Free-flying Bird, J.Aerosp.Eng.
Chorin, A.J. 1968. Numerical solution of the Navier–Stokes equations, Math. Comput. 22,
745.
Conn, A.T., Burgess, S.C. and Ling, C.S. 2006. Design of a Parallel Crank-rocker Flapping
Mechanism for Insect-inspired Micro Air Vehicles, DOI: 10.1243/09544062JMES517.
DeLaurier, J.D. 1993. An Aerodynamic Model for Flapping Wing Flight. The Aeronautical
Journal of the Royal Aeronautical Society, 125-130.
Deng, X., Hu, Z. 2008. Wing-wing Interactions in Dragonfly Flight, A Publication of Ine-
Web.Org, 10.2417/1200811.1269, Institute of Neuromorphic Engineering.
Djojodihardjo, H., Ramli, A.S.S. (2012A), Generic and Parametric Study of the
Aerodynamic Characteristics of Flapping Wing Micro-Air-Vehicle, Applied Mech. and
Materials, Trans Tech Publications, Switzerland, Vol.225, pp 18-25.
Djojodihardjo, H. and Ramli, A.S.S. (2012B), Kinematic and Aerodynamic Modeling of

Flapping Wing Ornithopter, Procedia Engineering (Elsevier), Vol. 50, pp 848-863.
Dickinson, M.H., Lehmann, F.O. and Sane, S.P. 1999. Wing Rotation and the
Aerodynamic Basis of Insect Flight, Science 284, 1954.
Ellington, C.P. 1984. The Aerodynamics of Hovering Insect Flight, I, Quasi-Steady

Analysis, Phil.Trans. of Roy.Soc. London, B, Bio.Sci., Vol 35, No 1122.
499
____________________________________________________________________________________________
Ellington, C.P. 1984. The Aerodynamics of Hovering Insect Flight, III. Kinematics – 1984,
Phil. Trans. R. Soc. Lond. B305, 41-78, rstb.royalsocietypublishing.org /content/305/
1122/41.short
Ellington, C.P. 1985. Power And Efficiency Of Insect Flight Muscle, J. exp. Biol. 115, 293-
304.
Ellington, C.P. 1999. The Novel Aerodynamics of Insect Flight: Applications to Micro-Air
Vehicles, The Journal of Experimental Biology 202: 3439–3448.
Ellington, C. P. 2006. Insects versus birds: the great divide, 44th AIAA Aerospace
Sciences Meeting and Exhibit, Reno, Nevada, 9-12 January 2006.
Friedmann, P., Shyy, W. 2008. A Fundamental Study Of Nonlinear Aeroelastic

Phenomena In Flapping Wing MAV, AFRL-SR-AR-TR-09-0136.
Galvao, R., Israeli, E., Song, A., Tian, X., Bishop, K., Swartz, S., Breuer, K. 2006. The
aerodynamics of compliant membrane wings modelled on mammalian flight
mechanics, 36th AIAA Fluid Dynamics Conference and Exhibit, 5 - 8 June 2006, San
Francisco, California, AIAA 2006-2866.
Garrick, I.E. 1936. Propulsion of a Flapping and Oscillating Aerofoil, NACA Report No.567.
George, R.B., Colton, M.B., Mattson, C.A. and Thomson, S.L. 2012. A Differentially Driven
Flapping Wing Mechanism for Force Analysis & Trajectory Optimization, IJMAV.
Gordnier, R.E. 2009. High Fidelity Computational Simulation of a Membrane Wing Airfoil,
Journal of Fluids and Structures, 25:897–917.
Gordnier, R.E., Attar, P.J. 2009. Implicit LES Simulations of a Low Reynolds Number
Flexible Membrane Wing Airfoil. 47th AIAA Aerospace Sciences Meeting Including The
New Horizons Forum and Aerospace Exposition. Orlando, Florida.
Harmon, R.L. 2008. Aerodynamic Modelling of a Flapping Membrane Wing Using Motion
Tracking Experiments. MSc. Thesis, University of Maryland.
Ho, S., Nassef, H., Pornsinsirirak, N., Tai, Y-C., Ho, C-M. 2003. Unsteady aerodynamics
and flow control for flapping wing flyers, Progress in Aerospace Sciences 39: 635–681.
Hou,T.Y., Stredie,V.G., Wu, T.Y. 2007. Mathematical Modeling and Simulation of Aquatic
and Aerial Animal Locomotion, Journal of Computational Physics 225, 1603–1631.
500
____________________________________________________________________________________________
Hou,T.T., Stredie,V.G., Wu, T.Y. 2006. A 3D Numerical Method for Studying Vortex
Formation Behind a Moving Plate, Commun. Comput. Phys., Vol. 1, No. 2, pp. 207-
228.
Hubel, T.Y. and Tropea, C. 2010. The Importance of Leading Edge Vortices under
Simplified Flapping Flight Conditions at the Size Scale of Birds, Jour.Exp.Bio 213,
1930-1939.
http://www.picsearch.com.vn/pictures/.com-EN/Vehicles/Aircrafts/xxx/pictures/.com-EN/
Vehicles / Aircrafts / Aircrafts/20D/ deLaurier/202001/20Ornithopter.html
Hu. H., Kumar, A. G., Abate, G., Albertani, R. 2009. An Experimental Study of Flexible
Membrane Wings in Flapping Flight, 46th AIAA Aerospace Sciences Meeting and
Exhibit AIAA-2009-0876.
Hu, H., Tamai, M. & J.T., Murphy, J. T. 2008. Flexible-Membrane Airfoils at Low Reynolds
Numbers. Journal of Aircraft, 45, 1767-1778.
H. Yusoff , M. Z. Abdullah, M. Abdul Mujeebu and K. A. Ahmad, “Development of Flexible

Wings and Flapping Mechanism with Integrated Electronic Control System, for MAV
Research”, Experimental Techniques.
Ifju, P.G., Jenkins, D.A., Ettinger, S., Lian, Y., Shyy, W., Waszak, W. 2002. Flexible-Wing-
Based Micro Air Vehicles, AIAA 2002-0705.
Jackowski, Z.J. 2009. Design & Construction of an Autonomous Ornithopter, SB Thesis,

Massachusetts Institute of Technology.
Jones, R.T. 1940. The Unsteady Lift of a Wing of Finite Aspect Ratio, NACA Report 681.
Jones, A.R, Bakhtian, N.A. and Babinsky, H., (2008) Low Reynolds Number
Aerodynamics of Leading-edge Flaps. J Aircraft, 45. pp. 342-345. ISSN 0021-8669
Kesel, A.B. 2000. Aerodynamic Characteristics of Dragonfly Wing Sections Compared with
Technical Aerofoils, J. Exp. Biol. 203: 3125-3135.
Kumar, H. H., Abate, A. G., Albertani, G. 2010. An Experimental Investigation on the

Aerodynamic Performances of Flexible Membrane Wings in Flapping Flight, Aerospace
Science and Technology,14 (8):575-586.
Kuethe, A.M., Schetzer, J.D. and Chow, C.Y., 1986, Foundations of Aerodynamics, 4th ed,
John Wiley, New York, pp145-164.
501
____________________________________________________________________________________________
Kuethe, A. 1939. Circulation Measurements about the Tip of an Airfoil During Flight
through Gust, NACA TN-685.
Lentink, D., Jongerius, S.R. and Bradshaw, N.L. 2007. The Scalable Design of Flapping
Micro-Air Vehicles Inspired by Insect Flight, Chap.14, www.delfly.nl.
Lian, Y. and Shyy. W. 2007. Laminar-turbulent Transition of a Low Reynolds Number Rigid
or Flexible Airfoil, AIAA Journal, 45(7):1501-1513.
Lissaman, P. B. S. 1983. Low-reynolds-number Airfoils. Annual Review of Fluid Mechanics

15, 223–239.
Liu, H., Kawachi, K. 1998. A Numerical Study of Insect Flight, Journal Of Computational
Physics 146, 124–156.
Lyon, C. A., Broeren, A. P., Giguere, P., Gopalarathnam, A. and Selig, M. S. 1997.
Summary of Low-Speed Airfoil Data vol. 3. SoarTech Publications, Virginia Beach,
Virginia.
Maybury, W.J., Lehmann, F-O. 2004. The Fluid Dynamics of Flight Control by Kinematic
Phase Lag Variation Between Two Robotic Insect Wings, Journal of Experimental
Biology, Vol. 207: 4707-4726.
Maxworthy, T. 1979. Experiments on the Weis-Fogh Mechanism of Lift Generation by

Insects in Hovering Flight. Part1: Dynamics of the Fling. Journal of Fluid Mechanics 93,
1, 7–63.
Minotti F.O. 2002. Unsteady two-dimensional theory of a flapping wing, U.Buenos Aires.
Martinez-Val, R., Perez, E., Puertas, J. and Roa, J. 2010. Optimization of Planform and
Cruise Conditions of a Transport Flying Wing, Journal of Aerospace Engineering , 224:
1243-1251.
McArthur, J. 2008. Aerodynamics Of Wings At Low Reynolds Numbers: Boundary Layer
Separation And Reattachment, PhD., USC.
McCune, J.E., Lam, C-M.G., Scott, M.T. Nonlinear Aerodynamics of Two-Dimensional

Airfoils in Severe Maneuver, AIAA Journal, vol. 28, issue 3, pp.393.
Molki, M., Breuer, K.. 2010. Oscillatory Motions of a Prestrained Compliant Membrane
Caused by Fluid-membrane Interaction. Journal of Fluids and Structures, 26(3) pp.
339-358.
502
____________________________________________________________________________________________
Mueller, T.J. 2001. Fixed and Flapping Wing Aerodynamics for Micro Air Vehicle
Applications. Reston, VA: AIAA.
Müller, D., Bruck, H. A., Gupta, S. K.. 2009. Measurement of Thrust and Lift Forces
Associated with Drag of Compliant Flapping Wing for Micro Air Vehicles using a New
Test Stand Design, Experimental Mechanics 50:725–735.
Nicholson, B., Page, S., Dong, H., Slater, J. 2007. Design of a Flapping Quad-Winged
Micro Air Vehicle,AIAA-4337.
Norberg, U.M. 1970. Hovering Flight of Plecotus Auritus, L. Bijdr. Dierk 40, 62-66 (Proc.2nd
int. Bat.Res, Conf.).
Pennycuick C.J. 1990. Predicting Wingbeat Frequency and Wavelength of Birds, The
Journal of Experimental Biology150: 171 – 85.
Persson, P.-O., Peraire, J., Bonet, J. 2007. A high order discontinuous Galerkin method for
fluid–structure interaction, AIAA-2007-4327.
Phan, H.V., Nguyen, Q.V., Truong, Q.T., Truong, T.V., Park, H.C., Goo et al. 2012. Stable
Vertical Takeoff of an Insect-Mimicking Flapping-Wing System Without Guide
Implementing Inherent Pitching Stability, Journal of Bionic Engineering 9, 391-401.
Polhamus, E.C. 1966. A Concept Of The Vortex Lift Of Sharp-Edge Delta Wings Based On
A Leading-Edge-Suction Analogy, NASA TN D-3767.
Prosser, D., Basrai, T., Dickert, J., Ratti, J., Crassidis, A., Vachtsevanos, G. 2011. Wing
Kinematics and Aerodynamics of a Hovering Flapping Micro Air Vehicle, IEEE
Aerospace Conference.
Prosser, D.T. 2011. Flapping Wing Design for a Dragon-fly like MAV, MSc Thesis,
Rochester Institute of Technology.
Ramli, A.S.S. 2011. Aerodynamic Study and Conceptual Design of Flapping Wing
Ornithopter, Bachelor Thesis, supervised by Harijono Djojodihardjo, Universiti Putra
Malaysia.
Ratti, J. 2011. QV-The Quad Winged, Energy Efficient, Six degree of Freedom Capable
Micro Air Vehicle, PhD thesis, Georgia Institute of Technology.
Rojratsirikul, P., Wang, Z., Gursul, I. 2008. Unsteady aerodynamics of membrane airfoils.
AIAA-2008-0613.
503
____________________________________________________________________________________________
Rosenfeld, N.C. 2011, An Analytical Investigation of Flapping Wing Structures for MAV,
PhD Thesis, U Maryland.
Sane, S.P. 2006. Induced Airflow in Flying Insects - I. A Theoretical Model of the Induced
Flow, The Journal of Experimental Biology 209.
Scherer, J.O. 1968. Experimental and Theoretical Investigation of Large Amplitude

Oscillating Foil Propulsion Systems, Hydronautics, Laurel, Md.
Schwartz, S.M., Iriarte-Diaz, J., Riskin, D.K., Breuer, K.S. 2012. A bird? A plane? No, it's a
bat: An introduction to the Biomechanics of Bat Flight, Book Chapter 9, in Sharon
Schwarz et al, Cambridge Studies in Morphology and Molecules: New Paradigms in
Evolutionary Bio., Cambride University Press.
Shekhovtsov, A.V. 1998. Inertial-Vortical Principle Of Animal Flight, Institute of

Hydromechanics of National Academy of Sciences of Ukraine, acretcija.narod2.ru
Shigeoka, K. 2007. Velocity and Altitude Control of an Ornithopter Micro Aerial Vehicle,
MSc, U. Utah.
Smith, M.J.C., Wilkin P.J., Williams, M.H. 1996. The Advantages of an Unsteady Panel
Method in Modelling the Aerodynamic Forces on Rigid Flapping Wings,” The Journal of
Experimental Biology, Vol. 199: 1073-1083.
Song, A.,Tian, X., Israeli, E., Galvao, R., Bishop, K., Swartz, S., Breuer, K. 2008.
Aeromechanics of membrane wings with implications for animal flight, AIAA Journal,
46(8): 2096-2106.
Shyy, W., Berg, M., Ljungqvist, D. 1999. Flapping and Flexible Wings for Biological and
Micro Air Vehicles, Progress in Aerospace Sciences, Vol. 35: 455-505.
Shyy, W., Lian, Y., Tang, J., Viieru, D., Liu, H. 2008. Aerodynamics of Low Reynolds
Number Flyers. Cambridge University Press, New York.
Shyy,W and Kamakoti, R. 2004. Fluid-structure interaction for aeroelastic applications,

Progress in aerospace sciences, 40(8):535-558.
Shyy, W., Ifju, P., Viieru, D. 2005. Membrane wing-based micro air vehicles Applied
Mechanics Reviews, 58, pp. 283–301
Shyy, W., Aono, H., Chimakurthi, S.K., Trizila, P., Kang, C-K., Cesnik, C.E.S., Li, H. 2010.
Recent Progress in Flapping Wing Aerodynamics and Aeroelasticity, Progress in
Aerospace Science.
Strang, K.A. 2009. Efficient Flapping Flight of Pterosaurs, PhD, Stanford.

504
____________________________________________________________________________________________
Stredie, V.G. 2004. Mathematical Modeling and Simulation of Aquatic and Aerial Animal
Locomotion, PhD Thesis, CalTech.
Swartz SM, Bishop KL, Ismael-Aguirre M-F. 2005. Dynamic complexity of wing form in
bats: implications for flight performance. In: Akbar Z, McCracken G, Kunz TH, editors.
Functional and evolutionary ecology of bats. Oxford: Oxford University Press; pp. 110–
130.
Talay, T.A. 1975. Introduction to The Aerodynamics of Flight, NASA SP-367.
Theodorsen, T. 1949. General Theory of Aerodynamic Instability and the Mechanism of

Flutter, NACA Report No. 496.
Tian, X., Iriarte-Diaz, J., Middleton, K., Galvao, R., Israeli, E., Roemer, A., Sullivan, A.,
Song, A., Swartz, S. and Breuer, K. 2006. Direct measurements of the kinematics and
dynamics of bat flight. Bioinspiration & Biomimetics, 1: S10–S18.
Tobalske, B.W., Warrick, D.R., Clark, C.J., Powers, D.R., Hedrick, T.L., Hyder, G.A. and
Biewener, A.A. 2007. Three-dimensional kinematics of hummingbird flight, The Journal
of Experimental Biology 210, 2368-2382.
Tucker, V.A. 1987. Gliding Birds: The Effect Of Variable Wing Span, J.Exp.Biology, 133.
Visbal, M. R., Gordnier, R. E., Galbraith. M. C. 2009. High-fidelity simulations of moving
and flexible airfoils at low Reynolds numbers, Experiments in Fluids, 46: 903-922.
Walker, W.P. 2009. Unsteady Aerodynamics of Deformable Thin Airfoils, MSc, VPISU
von Busse, R., Hedenström, A., Winter, Y. and Johansson, L.C., Kinematics and wing
shape across flight speed in the bat Leptonycteris yerbabuenae, Posted Online
October 11, 2012 doi : 10.1242 - bio.20122964
Wang, Z.J. and Russell, D. 2007. Effect of Forewing and Hindwing Interactions on
Aerodynamic Forces and Power in Hovering Dragonfly Flight, Physical Review Letters
99, 148101.
Warkentin, J., DeLaurier, J. 2007. Experimental aerodynamic study of tandem flapping
membrane wings, Journal of Aircraft, 44(5):1653-1661.
Warrick, D.R., Tobalske, B.W., Powers, D.R. and Dickinson, M.H. 2007. The
Aerodynamics of Hummingbird Flight, www.dpowerslab.com, accessed 15 May, 2013.
Weis-Fogh, T. 1973. Quick Estimates of Flight Fitness in Hovering Animals, Including

Novel Mechanisms for Lift Production. Journal of Experimental Biology 59, 169–230.
505
____________________________________________________________________________________________
Wu, T.Y. A Nonlinear Theory for Unsteady Flexible Wing, California Institute of
Technology, Pasadena, Dedicated to Dr. J. Nicholas Newman in honor of his
Seventieth Anniversary, http://web.mit.edu/flowlab/NewmanBook/Wu.pdf, accessed 28
December 2012.
Wuchner, R., Kupzok, A. & Bletzinger, K.-U. 2007. A framework for stabilized partitioned
analysis of thin membrane–wind interaction, International Journal for Numerical
Methods in Fluids, 54, 945-963.
Zakaria, M. Y., Elshabka, A. M., Bayoumy, A. M., Abd Elhamid, O. E. 2009. Numerical
Aerodynamic Characteristics of Flapping Wings, 13th International Conference on
Aerospace Sciences & Aviation Technology, ASAT- 13.
Zhao, L., Huang, Q., Deng, X., Sane, S. 2009. The effect of chord-wise flexibility on the
aerodynamic force generation of flapping wings: experimental studies. IEEE
International Conference on Robotics and Automation, Kobe, Japan.
506
____________________________________________________________________________________________
XVI
KINEMATIC AND UNSTEADY AERODYNAMIC STUDY ON BI- AND
QUAD-WING ORNITHOPTER49
Harijono Djojodihardjo1, Alif Syamim Syazwan Ramli2

Muhammad Anas Abd Bari3
1, 2Department of Aerospace Engineering, Faculty of Engineering, Universiti Putra
Malaysia, 43400 UPM Serdang, Selangor, Malaysia.
1Professor and Corresponding Author, Phone: +6017 416 9045; +628159301745
Email: harijono@djojodihardjo.com,
2Graduate Student,Email: harijono@djojodihardjo.com,
3Research Assistant and Ph.D Candidate, University of Southampton; Email:
ma.abdbari@gmail.com
Keywords:Bi-Wing Ornithopter,Flapping Wing Aerodynamics, Micro Air Vehicle, Quad-

Wing Ornithopter,Unsteady Aerodynamics.
Abstract:The potential of Flapping Wing Micro Air Vehicles (MAVs) for sensing and
information gathering relevant for environmental and disaster monitoring and security
surveillance leads to the identification and modeling the salient features and functional
significance of the various components in the flying reasonably sized Biosystems. The
dynamics, kinematics and aerodynamics of their wing systems and the production of
mechanical power output for lift and thrust will be synthesizedfollowinga simplified and
49 Published with different format in Aeroelastic and Structural Dynamics Journal (ASDJournal) (2016), Vol.
4, No. 1, pp. 1-23
507
____________________________________________________________________________________________
generic, but meticulous, model for a flapping wing ornithopter. Basic unsteady
aerodynamic approach incorporating viscous effect and leading-edge suction is utilized.
The first part of the study is focused on a Bi-Wing ornithopter. Later, parametric study is
carried out to obtain the lift and thrust physical characteristics in a complete cycle for
evaluating the plausibility of the aerodynamic model and for the synthesis of an ornithopter
model with simplified mechanism. Further analysis is carried out by differentiating the
pitching and flapping motion phase-lag and studying its respective contribution to the flight
forces. A similar procedure is then applied to flapping quad-wing ornithopter model.
Results are discussed in comparison with various selected simple models in the literature,
with a view to develop a practical ornithopter model.
1 INTRODUCTION
Motivated by flying biosystems, flight engineering has been initiated since hundreds of
years ago and has gradually grown from the time of Leonardo Da Vinci to Otto Lilienthal’s
gliders, to modern aircraft technologies and present flapping flight research. Recent
interest in the latter has grown significantly particularly for small flight vehicles (or Micro-
Air-Vehicles) with very small payload carrying capabilities to allow remote sensing
missions hazardous as well as confined areas. Some of these vehicles may have a typical
wingspan of 15 cm, with a weight restriction of less than 100 g (Ho et al, [1]). Perhaps the
most comprehensive account of insect flight or entomopter to date is given by Weis-Fogh
[2], Ellington [3-5], Shyy et al [6-7], Dickinson et al [8] ,Żbikowski [9] and Ansari et al [10],
while one of the first successful attempts to develop birdlike flapping flight was made by
DeLaurier [11]. Although our interest in developing a mathematical and experimental
model is on more or less rigid quad wing ornithopter, it is also motivated by the fact that
insect and hummingbirds have lightweight, flexible wings that undergo large deformations
while flapping, which can increase the lift of flapping wings (Rosenfeld [12]). It will be of
good interest how wing flexibility can be later on adopted. The flapping wing designs have
been created with varied success, for forward or hover mode, but not both, based on
observations of hummingbirds and bats (Nicholson et al [13]). According to Maybury and
Lehmann [14], the dragonfly has the capability to shift flight modes simply by varying the
phase lag between its fore and hind wings. With that observation, a quad-winged flapping
system could be conceived as the simplest mechanism that has the capabilities to shift
between flight modes [13]. In one of the recent works in developing quad flapping wing
micro air vehicle, Ratti [15] has theoretically shown that a flight vehicle with four flapping
wings has 50% higher efficiency than that with two flapping wings. Inspired by the flight of
a dragonfly, Prosser [16] analyzed , developed and demonstrated a Quad-Wing Micro Air
Vehicle (QW-MAV) which can produce higher aerodynamic performance and energy
efficiency, and increased payload capacity compared to a conventional (flapping wing)
MAV (BW-MAV). However, to develop a generic model of flapping wing ornithopter, Bi-
508
____________________________________________________________________________________________
Wing ornithopter will first be reviewed and developed, and then extended to quad-wing
ornithopter.
In addition, the present approach is aimed to find the simplest ornithopter configuration
which can be used as the baseline for progressive and continued development. Also, by
analyzing and synthesizing simple ornithopter configuration, the latter can be built into
mechanized one that can be used for experimental studies and further development. For
this purpose, the sequence of Figures 1 to 3 is presented, which are ordered according to
the wing structure characteristics. Figure 1 exhibits wing geometries of a Pterosaur, an
eagle and a dragonfly, which could inspire the development of the geometrical and
aerodynamic modeling of an ornithopter.
Figure 1: a. Pterosaur [17]; b. Soaring eagle c. A dragonfly exhibiting its wing geometry
and structural detail.
Figure 2: Upstroke and downstroke motion of dragonfly (Adapted from [18]).
The image displayed in Figure 2 exhibit a dragonfly, which will later be imitated to take
advantage of the quad-wing kinematic and aerodynamic interactions, in the effort of
2 LEARNING FROM NATURE – OBSERVATION AND CHARACTERIZATION
509
____________________________________________________________________________________________
Table 1: Overview of some relevant characteristics of flapping Biosystems

[extended from [19])
Small
Humming Small Flapping Low
Items Insects Bat Large Birds
Bird Birds MAV Speed
Airplanes
Eagle,
Beetles,
Sparrows, Hawk,
Bumblebees, DARPA Cessna
1. Types Amazilia PlecotusAuritus Swifts, Vulture,
Butterflies, DRO [1] 210
Robins Falcon, Skua
Dragonflies,
Gull
2. Weight
25 × 10-5 -
Typical (gf) 5.1 9.0 35 - 82 952-4300 ≤ 50 1045000
1 12.8
3. Wing
Semi-span 0.062 – 7.7 5.9 11.5 20 - 48 58-102 < 7.5 5600
(cm) 1
Wing-
0.029-
Loading 10-3 – 10-1 0.4 0.072 0.35 – 0.67 10-2 - 1 11.18
0.152
(g/cm2)
4. Typical
Power (gf
5.3 - 238 130 83 93 - 110 42 - 57 39 1.3×104
cm sec-1 per
gf)
5. Dominant
Hover and Hover
Wing Hover Fly Fly Fly Fly
Fly and Fly
Movement
Pronation
6. Motion Pronation &
& Flapping Flapping
elements of supination Flapping and Flapping and
supination and and -
Wing in stroke pitching Pitching
in stroke Pitching pitching
Kinematics plane
plane
99m/s
7. Flight (cruise at
1.05 - 9 15 10 - 14 6 - 10 10 - 20 3-10
Speed (m/s) 6100 m
altitude)
8. Reynolds
10-1000 7500 14000 103 – 104 104 - 105 104 - 105 10,000,000
No.
LEV by
9. Leading
swept wing
Edge yes yes yes yes yes no
at Re = 5 ×
Vortex/LEV
103
10. Entering
its own
yes yes no no no no no
TEV/ Wake
Capture
11. Laminar
Separation yes yes yes yes yes yes no
Bubble/LSB
e.g. Mallard,
at Re = 6 ×
104(Jones,
Has been
12. Leading [20])
- - observed on - - -
Edge Flap
bats
e.g. Skua Gull

13. Self- [6-7]
activated
flaps at TE
510
____________________________________________________________________________________________
1 Power functions of wing dimensions and flight parameters against body mass m, following Shyy[7] and Norberg[21].
The exponent of correlation is for (Mass)exponent
improving the performance of the ornithopter to be developed. Figure 2 also schematically

exhibits the flapping motion of the quad-wing dragonfly, as studied by Wang and Russell
[18].Within such backdrop, a generic approach is followed to understand and mimic the
unsteady aerodynamics of Biosystem that can be adopted in the present bi-wing FW-MAV
and quad-wing QWMAV, following our previous attempt to develop pterosaur-like
ornithopter to produce lift and thrust for forward flight as a simple and workable ornithopter
flight model [19]. At the present stage, such model will not take into account the more
involved leading edge vortex and wake penetration exhibited by insect flight [1-10].
Biosystem’s flapping flights are characterized by a relatively low Reynolds number, flexible
wing, highly unsteady flow, laminar separation bubble, non-symmetrical upstroke and
downstroke and for entomopters, the presence and significant role of the leading edge
vortex, and wake vortices capture, among others. It has also been observed that the
flapping frequency tends to decrease with body mass increase [6].In view of these
findings, the classification tabulated in Table 1 could summarize some of the relevant
features of flapping Biosystems that may give us an overview for developing flapping
ornithopter MAV. Whereas crane-flies, mosquitoes and other Nematocera as well as
many largerBrachycera and Cyclorrhapha undoubtedly use normal hovering in most
cases.Birds habitually perform aerial maneuvers that exceed the capabilities of best
anthropogenic aircraft control systems (Tedrake et al [22]). The complexity and variability
of the aerodynamics during these maneuvers are difficult, with dominant flow structures
(e.g., vortices) that are difficult to predict robustly from first-principles (or Navier-Stokes)
models. In this conjunction, machine learning will play an important role in the control
design process for responsive flight by building data-driven approximate models of the
aerodynamics and by synthesizing high-performance nonlinear feedback policies based on
these approximate models and trial-and-error experience.
3 KINEMATICS OF FLAPPING WING MOTION
The flapping wing motion of ornithopters and entomopters can be generally grouped in
three classes, based on the kinematics of the wing motion and mechanism of forces
generation; the horizontal stroke plane, inclined stroke plane and vertical stroke plane [5].
The most distinctive characteristic in insect flight is the wing kinematics [10]. As a result
from these kinematics, the aerodynamics associated with insect flight are also very
different from those met in conventional fixed- and rotary-wing or even bird flight [10].
Based on Ellington’s study [3-5], the kinematics of flight produced by the generic wing
(semi-elliptical wing) can be classified into the inclined stroke plane, where the resultant
511
____________________________________________________________________________________________
force produced by the wing can be separated into vertical and horizontal components,
which are lift, thrust and drag, respectively, throughout the up-stroke and down-stroke
cycle; the inclined stroke plane, where a large horizontal thrust component will be
produced; and the vertical stroke plane.
Insect wings are elegant, impressive and instructive in developing small-scale engineering.
They are deformable aerofoils whose shape is actively controlled by the wingbase
articulation while the wing area is subject to inertial, elastic and aerodynamic forces. For
example, the leftmost imageof Figure 3 illustrates that the hovering motion of
Melanotrochilusfuscus (Black Jacobin) horizontal stroke (Ellington [5]). The second image
illustratesthe prevailing inclined stroke plane during the hovering flight within a wingbeat
cycle of the long-eared bat Plecotusauritus(Norberg [21]), and the third shows the Vertical
stroke plane of Pierisbrassicae (Ellington [5])
Figure 7: The wingbeat of the

long-eared bat Plecotus auritus,
Figure 3: Three different flapping strokes: a. Thewingbeat pattern for

Melanotrochilusfuscus(Black Jacobin) horizontal stroke (Ellington [5]); b. The wingbeat of
the long-eared bat Plecotusauritus, illustrating an inclined stroke plane during hovering
flight (Norberg [21]) ; c. Vertical stroke plane of Pierisbrassicae (Ellington [5])
4 THEORETICAL DEVELOPMENT OF THE GENERIC AERODYNAMICS OF

FLAPPING WINGS
Following the frame of thought elaborated in the previous section, several generic flying
biosystem wing planforms are chosen as baseline geometries for the ornithopter. Referring
to the eagle wing and for convenience of baseline analysis, the semi elliptical wing (shown
512
____________________________________________________________________________________________
in Figure 4) is selected for current study with the backdrop of various wing-planform
geometries utilized by various researchers.
Analytical approaches of quasi-steady and unsteady model are carefully evaluated in the
present work in order to deal with the aerodynamic problem. In agreement with the quasi-
steady model, it is observed and can be assumed that the flapping frequencies are
sufficiently slow that shed wake effects are negligible, as in pterosaur and medium- to
large-sized birds while the unsteady approach attempts to model the wake like
hummingbird and insects will be deferred to succeeding work. The present aerodynamic
approach is synthesized using basic foundations that may exhibit the generic contributions
of the motion elements of the bio-inspired bi-wing ad quad-wing air vehicle characteristics.
These are the strip theory and thin wing aerodynamic approach [23], Jones modified
Theodorsen unsteady aerodynamics [25, 11], incorporation of leading edge suction [26,
27], and Jones’ modified Theodorsen approach which incorporates Garrick’s leading edge
suction. The computation of lift and thrust generated by pitching and flapping motion of
three-dimensional rigid wing is conducted in a structured approach using strip theory and
Jones’ modified Theodorsen approach without camber, leading edge suction and post-stall
behavior. Later, the computational model will take into account certain physical parameters
that can be identified via observations and established results of various researchers.
Lifting-surface theory [28-31] may later be incorporated. In the present work, unsteady
aerodynamics of a flapping wing using a modified strip theory approach as a simplification
of DeLaurier’s[11] approach is utilized without post-stall behavior. The computational logic
in the present work is summarized in the Flow-Chart exhibited in Figure 5.
Figure 4: A generic semi-elliptical ornithopter’s wing planform with the backdrop

of various wing-planform geometries
To obtain insight into the mechanism of lift and thrust generation, Djojodihardjo and Ramli
[36, 37] analyzed the wing flapping motion by looking into the individual contribution of the
513
____________________________________________________________________________________________
pitching, flapping and coupled pitching-flapping to the generation of the aerodynamic

forces. Also the influence of the variation of the forward speed, flapping frequency and
pitch-flap phase lag has been analyzed. Such approach will also be followed here through
further scrutiny of the motion elements. The generic procedure is synthesized from the
pitching-flapping motion of rigid wing developed by DeLaurier [11] and Harmon [35]. The
flapping motion of the wing is distinguished into three distinct motions with respect to the
three axes; these are: a) Flapping, which is up and down plunging motion of the wing; b)
Feathering is the pitching motion of wing and can vary along the span; c) Lead-lag, which
is in-plane lateral movement of wing, as incorporated in Figure 5. For further reference to
the present work, the lead-lag motion could be interpreted to apply to the phase lag
between pitching and flapping motion, while the fore-and-aft movement can be associated
with the orientation of the stroke plane.
The degree of freedom of the motion is depicted in Figures 3 and 6. The flapping angle β
varies as a sinusoidal function and pitching angle θ are given by the following equations.
 (t ) = 0 sin t (1)
dy
 (t ) = 0 sin(t +  ) +  (2)
B
Figure 5: Ornithopter Flapping Wing Aerodynamics Computational Scheme
514
____________________________________________________________________________________________
where θ0 and βo indicate maximum value for each variables,  is the lag between pitching
and flapping angle and y is the distance along the span of the wing.
Figure 6: (a)Forces on section of the wing. (b),(c),(d)Flapping and Pitching

motion of flapping wing.
As a baseline, by referring to eq. (1) and eq. (2), β and θ is considered to vary following a
sine function; such scheme indicates that these motions start from zero value, which is a
different scheme compared to the one adopted in the previous work, where it followed
negative cosine function similar to DeLaurier's.
For the quad-wing kinematics and aerodynamics, the present work takes into account the
influence of the forewing induced downwash on the hindwingeffective angle of attack. This
effect is modelled by assuming that, at any instant, the circulation Γ of the forewing acts at
its quarter-chord point, and the induced downwash is also calculated at the quarter-chord
point of the hindwing, as depicted in Figure 7.
L fore L hind
Γ
U∞
αinduced
Vi
Figure 7: Schematic diagram of the fore wing downwash and the

induced angle of attack on the hind wing
Following Kutta-Joukowski Law, the instantaneous equivalent circulation generated by the

forewing is given by
515
____________________________________________________________________________________________
L fore
=
U 
(3)
and the induced velocity Vi , following Biot-Savart law is given by

Vi = (4)
2 d
Following Figure 7, for small angle of attack, the induced angle is formulated as
Vi
induced  (5)
U
Therefore the pitching angle of the hind wing is given by

dy V
 (t ) = 0 sin(t +  ) + i +  (6)
B U
Figure 8 : Induced angle of attack due to flapping
Leading edge suction is included following the analysis of Polhamus [27] and DeLaurier’s
approximation [11]. Three dimensional effects will later be introduced by using Scherer’s
modified Theodorsen-Jones Lift Deficiency Factor [38]. To account for the unsteady
effects, Theodorsen unsteady aerodynamics [24] and its three dimensional version by
Jones [25] have been incorporated. Further refinement is made to improve accuracy. Thin
airfoil approximation based on Prandtl’s lifting line theory, i.e. that the circulation is acting
on the quarter-chord and the downwash and dominant airflow is calculated at the three-
quarter chord point, is also adopted for each strip.
In the present analysis no linear variation of the wing’s dynamic twist is assumed for
simplification and instructiveness. However, in principle, such additional requirements can
easily be added due to its linearity. For the plunging displacement or heaving of the wing,
516
____________________________________________________________________________________________
the flapping diaplacement h as illustrated in Figure 8, assuming small angle approximation,

is given by
h  y (7)
The total normal force acting perpendicularly to the chord line and given by
dN = dNc + dNnc (8)
The circulatory normal force for each section acts at the quarter chord and also
perpendicular to the chord line is given by [11]
UV
dNc = Cn ( y )cdy (9)
2
 c 2
dN nc = Vmid −chord dy (10)
4
Where
1
Vmid −chord = U  − c (11)
4
Using these relationships, the relative velocity at three-quarter chord point which is used
for the calculation of the aerodynamic forces can be established. The relative angle of
attack at three-quarter chord, α, is then given by
 
 h cos ( −  a ) + c + U ( −  ) 
3
= 
4
(12)
U
 = Aeit (13)
which is schematically elaborated in Figure 9.
After considering all of these basic fundamentals, the relative angle of attack at three-
quarter chord point α’ is given by
AR  c G(k )  wo
' =  F (k ) + − (14)
(2 + AR)  2U k  U
which has taken into account the three dimensionality of the wing.
517
____________________________________________________________________________________________
Figure 9: Schematic diagram of flapping and pitching components of induced

velocities at ¾ chord.
The finiteness of the span of the wing is accounted for by using this factor α’in the
unsteady flow calculation, since although strip theory is employed, the present method
deals with elliptical planform wing. For such considerations, Jones [25] came up with
modified unsteadiness coefficient
Cn = 2 C (k ) jones  (15)
where C(k)jones in (8) is the modified Theodorsen Lift Deficiency function for finite aspect
ratio which has also been utilized by DeLaurier in his approach. Accordingly, C(k) jones is a
complex function; therefore it is more convenient to use Scherer’s [24,25] formulation
which takes the following form
AR C (k )
C (k ) jones = (16)
(2 + AR)
C (k ) = F (k ) + iG(k ) (17)
C(k), F(k) and G(k) relate to the well-known Theodorsen function [24,25] which are
functions of reduced frequency, k. In addition, in present study the interpretation that the
real part of C(k) contributes only to the lift whereas the imaginary part for the thrust is
followed. This interpretation follows the methodological philosophy of Theodorsen and
Garrick [26,39] and the classical unsteady aerodynamics. Using Complex Analysis, the
unsteady lift is expressed as [26]:
518
____________________________________________________________________________________________
L = 2 bC (k )Q (18)
where Q is given by Q = eit . Then, substitution Q into eq. (18) gives
L = 2 b  C (k ) ( eit ) (19)
In the Complex Analysis of Theodorsen, Garrick, the convenience of the analysis is to

associate the Imaginary part of (18) and (19) with the Lift [26, 39]. The details are
b b  t
elaborated as follows. The reduced frequency is defined as k = , or t = = ks .
  b
Assuming sinusoidal motion
eit =  ( cos t + i sin t ) (20)
Or
eit =  ( cos ks + i sin ks ) (21)
Combining (17 ) and (20), one obtains:

L = 2 b  ( F (k ) + iG (k ) )( cos ks + i sin ks )  (22)
Figure 10: Theodorsen function

Note that
1
C (k )  C ( k ) = F (k ) + iG(k ) = ( F (k ) 2 + G(k ) 2 )
−
2 (23)
The Imaginary Value of Eq. (22) is the Lift:

Note that, from Figure (10)
G (k )
 = tan −1 (24)
F (k )
F (k ) = C (k ) cos  = C ( k ) cos  (25)
519
____________________________________________________________________________________________
G (k ) = C (k ) sin  (26)
After algebraic manipulation, Eq. (22) reduces to

C(k ) cos(ks) cos  − C(k )sin(ks)sin  
L = 2 b I .P   (27)
 + iC(k ) ( cos(ks)sin  + sin(ks) cos  ) 
and the imaginary parts of the above equation is
C(k ) ( cos(ks)sin  + sin(ks) cos  )
Or
C(k ) sin ( ks +  ) (28)
Therefore:
 1
 G (k )  
L = 2 b ( F (k )2 + G(k )2 ) 2 sin  ks + tan −1
−
 (29)
  F (k )  
Following Anderson [40], for consistency with the strip theory, the downwash for untwisted
planform wing is given by
wo 2( 0 +  )
= (30)
U 2 + AR
From Figure 4(c), the flow velocity which including downwash and wing’s motion relative to
free-stream velocity, V can be formulated as
1
  1  2
2
( )
V =  U cos  − h sin ( −  ) +  U ( '+  ) − c  
2
(31)
  2  
where the third and fourth terms are acting at the three-quarter chord point. The apparent
mass effect (momentum transferred by accelerating air to the wing) for the section, is
perpendicular to the wing, and acts at mid chord, and can be calculated as [11]
 c 2 1
dN nc = − (U − c )dy (32)
4 4
The term U − 1 c is mid-chord normal velocity’s time rate of change due to the motion of
4
the wing.
Apart from normal forces, chordwise forces are also generated due to sectional
circulation distribution as in Figure 6(a). The total chordwise force, dF x is accumulated by
three forces which are leading edge suction, force due to camber, and chordwise friction
520
____________________________________________________________________________________________
drag due to viscosity effect. All of these forces acting along and parallel to the chord line
as in the Figure 6(a).
dFx = dTs − dDcamber − dD f (33)
where Garrick’s [26,39] expression for leading edge suction,dTs is

 1 c  UV
dTs = s 2    +  −  cdy
 4U  2 (34)
and [11]
UV
dDcamber = −2 o (  +  ) cdy (35)
2
1
dD f = Vx2C f cdy (36)
2
According to the potential theory, the leading edge suction for most aerofoils is predicted
to be less that 100% due to viscosity effect, hence the efficiency term ηs is introduced for
dTs. The normal 2D force,dN and 2D chordwise force, dFx for each section is of the is also
changes its direction at every instant during flapping. These forces in the vertical and
horizontal directions will be resolved into those perpendicular and parallel to the free-
stream velocity, respectively. The resulting vertical and horizontal components of the
forces is then given by
dL = dN cos + dFx sin  (37)
dT = dFx cos  − dNsin  (38)
These expressions are then needed to be integrated along the semi span, b/2 in order to
obtain a three dimensional lift for each wing
b /2
L= L
0
2D dy (39)
b /2
T= T
0
2D dy (40)
5. RESULTS
5.1 Results for Bi-Wing
521
____________________________________________________________________________________________
For later comparison with appropriate results from the literature, numerical computations
are performed using the following wing geometry and parameters: the wingspan of 40cm,
aspect ratio of 6.2, flapping frequency of 7Hz, total flapping angle of 60º, forward speed of
6m/s, maximum pitching angle of 20º, incidence angle of 6º and there is no wing dihedral
angle. In the calculation, the pitching and flapping motions are sinusoidal, and the upstroke
and downstroke have equal time duration. The computational scheme developed has been
validated satisfactorily. A sample of such validation is shown in Figure 11 and Table 2.
These results show that the more meticulous inclusion of various motion elements carried
out in the present work produces comparable agreements with the behavior of Harmon’s
results [35]. In addition such tailoring of the motion elements can produce higher
amplitudes as well as cycle average values of lift and thrust.
The leading edge suction, wake capture and dynamic stall have not been accounted for in
the current computational procedure. The result is quantitatively in agreement with Byl’s
[32], while the agreement with Harmon’s [35] value of lift per flapping cycle for modified
semi-elliptical planformis only qualitative. The average thrust per flapping cycle calculated
using the current more meticulous inclusion of various motion elementsindeed produces
improvements compared to that obtained by previous work [19].
Present work
Present work
Previous work
Previous work
Harmon
Harmon
‘ Figure 11: Lift and thrust for bi-wing ornithopter.

Previous work refers to Reference [19].
Table 2: Average lift and Thrust of present work and others.

Forces Present Previous Harmon[35]
Method Work[19]
Average Lift 0.9407
0.1585
(N)
Average 1.332
1.5804
Thrust (N)
522
____________________________________________________________________________________________
geometrical modeling and the flapping motion considered in the computational modeling
5.1.1 Variation of oscillatory articulation of the Bi-Wing
In modeling the pitching and flapping motion of the ornithopter wing, one may learn from
the biosystems as summarized in Table 1, but could also attempt to introduce variations. A
close observation to selected avians, such as soaring eagles, one can observe that before
taking off, they expand their wings up to a maximum position and stretch their
legssimultaneously. It follows, that the oscillatory motion can be modelled as a cosine
function. It is noted, however, that Delaurier’s [11] uses negative cosine model, which is
also remarkable. Motivated by these meticulous observations, various possible models
can be defined and utilizedaccordingly to account for every possible flapping kinematics.
The results are shown in Figure 12 and Table 3.
Figure 12: Lift and thrust for bi-wing ornithopter for each kinematics definition.
These results show that the flapping kinematics can produce significant aerodynamics
forces and the sensitivity of the lift and thrust produced to the oscillatory articulationcould
be utilized for tailoring or optimization purposes. Further investigation is currently in
progress.
Table 3: Average lift and thrust for bi-wing

Negative
Forces sine Cosine
Cosine
Max Lift 1.1486 2.9169 0.5266
523
____________________________________________________________________________________________
- -
Min Lift -0.5571
2.2854 0.5666
Average -7.19E-
0.155 0.1585
Lift 04
Max
3.2024 3.9464 1.0339
Thrust
Min - -
-0.0529
Thrust 0.0753 0.0208
Average
1.3125 1.5804 0.3458
Thrust
5.1.2 Component-wise Forces for Bi-Wing
Another study is carried out to investigate the influence of individual contributions of the
pitching-flapping on the flight performance. Results obtained as exhibited in Figure 13
show that the lift is dominated by the incidence angle while the thrust is dominated by the
flapping angle (other parameters remaining constant), as also identified in [41].
From the above component-wise force analysis, it can be deduced that also an
appropriate combination of these force elements can be obtained to produce optimum lift
and thrust. The optimization of this problem is also currently under study.
Lift Component
2.5 Thrust Component
3
Theta (Pitch)
2 Theta (Pitch)
Beta (Flap)
Beta (Flap)
Delta (Angle of incidence) 2.5
1.5 Delta (Angle of incidence)
Combined
Combined
1 2
0.5
Force (N)
1.5
Force (N)
-0.5 1
-1
0.5
-1.5
0
-2
-2.5 -0.5
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Non-dimensional Time in One Cycle Non-dimensional Time in One Cycle
Figure 13: The influence of individual contributions of the pitching-flapping motion and
incidence angle on the flight performance.
5.1.3 Parametric Study for Bi-Wing
A parametric study is carried out to assess the influence of some flapping wing motion
parameters: the effect of forward speed, flapping frequency, lag angle, wing span angle of
incidence and the effect of total flapping angle. The results are exhibited in Figure 14.
524
____________________________________________________________________________________________
From this study, in general, the lift always increases as the parameters increases apart
from the pitch and flap phase lag angle where it is at its maximum value when the phase
lag angle,  = π/4. The thrust also depicted a similar behaviour towards these parameters
except for the phase-lag angle and the incidence angle. The variation of lift and thrust over
one cycle of some of these parameters is depicted in Figures 15, 16 and 17.
Lift Variation with Flapping Frequency Lift Variation with Flapping Angle Lift Variation with Phase Angle
2 0.4 0.22
Lift Lift Lift
1.8 0.2
0.35
1.6
0.18
1.4 0.3
0.16
Average Force (N)
Average Force (N)
Average Force (N)

1.2
0.25 0.14
1
0.2 0.12
0.8
0.1
0.6 0.15
0.08
0.4
0.1
0.2 0.06
0 0.05 0.04
6 6.5 7 7.5 8 8.5 9 9.5 10 20 30 40 50 60 70 80 90 100 0 0.5 1 1.5 2 2.5 3 3.5
Frequency (Hz) Flap Angle (degree) Phase Angle (rad)
Thrust Variation with Flapping Frequency Thrust Variation with Flapping Angle Thrust Variation with Phase Angle
8 4 1.8
Thrust Thrust Thrust
7 3.5 1.6
3 1.4
6
Average Force (N)
Average Force (N)
Average Force (N)

2.5 1.2
5
2 1
4
1.5 0.8
3
1 0.6
2 0.5 0.4
1 0 0.2
6 6.5 7 7.5 8 8.5 9 9.5 10 20 30 40 50 60 70 80 90 100 0 0.5 1 1.5 2 2.5 3 3.5
Frequency (Hz) Flap Angle (degree) Phase Angle (rad)
Figure 14: Parametric Study on the influence of forward speed, flapping frequency, angle
of incidence, total flapping angle and wing-span on cyclic lift and thrust (semi-elliptical
planform)
6
Figure 15: Lift and thrust variation with flapping frequency, Hz
525
____________________________________________________________________________________________
Figure 16: Lift and thrust variation with forward speed, U
Table 4: Average lift and thrust.

Frequency, f Forward Speed, U
Forces 3.14
Hz 5 Hz 7 Hz 9 Hz 5 6 7 8 9
Average 0.7569
0.4677 0.1585 1.2059 0.1385 0.1585 0.1746 0.1873 0.1979
Lift (N)
Average 0.4262
Thrust 0.7714 1.5804 5.0027 1.3953 1.5804 1.7327 1.8600 1.9705
(N)
Reference is made to Pennycuick’s formula [42] and Tucker’s formula [43] to

associatewing aspect ratio and wing area of birds, the present ornithopter model operating
frequencies as anticipated in Figure 15 are close to the operating flapping frequency
values of selected birds shown in Table 10. An interesting results are obtained for this
frequency of 3.14 Hz where higher average lift force is obtained although the maximum
amplitude is lower.
Figures 15,16 and 17show the lift and thrust variation for one cycle for respective variable
while Table 4 and Table 5 summarized the average values. These results are in
agreement with initial hypothesis following the analytical procedure being discussed in the
earlier section.From the analysis, it can be deduced that also an appropriate combination
of these parameters can be obtained to produce optimum lift and thrust. The optimization
of this problem is also currently under study
526
____________________________________________________________________________________________
Figure 17: Lift and thrust variation with phase angle.
Table 5: Average lift and thrust

Pitch and Flap phase lag
Forces
0 π/4 π/2 3π/4 π
Average Lift
0.1585 0.2001 0.1802 0.1158 0.0574
(N)
Average
1.5804 1.7549 1.3909 0.792 0.2688
Thrust (N)
5.2 Results for Quad-Wing
The analysis is then carried out for the quad wing with similar wing geometry as for the bi-
wing. Initial initiative was done with an assumption that the fore and hind wings are closely
attached; meaning of inexistence of gap between the leading edge of the hind wing and
the trailing edge of the fore wing .The results below are obtained using the following wing
geometry and parameters: the wingspan of 40cm, aspect ratio of 6.2, flapping frequency of
7Hz, total flapping angle of 60º, forward speed of 6m/s, maximum pitching angle of 20º,
incidence angle of 6º and wing dihedral angle. The results of both methods are compared
to appreciate the influence of physical refinements in the computational procedure and for
validation purposes. This analysis is also accounts for the induced angle of attack on the
hind wing due to downwash of the fore wing. The results are presented in Figure 18 and
Table 6.
527
____________________________________________________________________________________________
Present work
Present work (tailored)
Previous work
Wang & Russell
Figure 18: Lift and thrust for quad-wing ornithopter.
Table 6: Average lift and thrust for present method and others
Forces Present Present Previous Wang and
Work Work Work[19] Russell[18]
(tailored)
Average Lift 0.4216
0.3321
(N)
Average
2.658 3.5643 2.2402
Thrust (N)
Figure 18 shows the lift computed using the present simplified and generic model, for 180 o
phase angle between fore- and hind-wings, compared to previous work [19] Wang and
Russell's more elaborate model calculation [18]. This comparison is very qualitative, for
proof of concept considerations.
5.2.1 Variation of Oscillatory Articulation of the Quad-Wing
Following the procedure and parametric study carried out for bi-wing ornithopter, the
present study also addresses, the flapping kinematics accordingly, by taking into
considerations what has been learned from bi-wing parametric study. The forewing and
hindwing are arranged in tandem without gap, so that the leading edge of the hindwing
528
____________________________________________________________________________________________
touches the trailing edge of the forewing, and they are moving simultaneously. The
pitching motion of both forewing and hindwing moves sinusoidally, while the flapping
motion of both is varied following sine, negative cosine and cosine. The results, as
exhibited in Figure 19 and Table 7, show that the synchronous sinusoidal pitching and
flapping produce the maximum amplitude as well as average values of lift and thrust.
These results also indicate one variation only of such oscillatory articulation possibilities,
that could be further tailored to meet certain objectives.
Figure 19: Lift and thrust for quad-wing ornithopter for each flapping
kinematics definition.
Table 7: Lift and thrust for quad-wing ornithopter for each flapping kinematics definition
Negative
Forces Sine Cosine Cosine
Average Lift 0.3631 0.3321 0.1606
Average
3.3661 2.658 1.6948
Thrust
5.2.2 Component-wise Forces for Quad-Wing
Individual contributions of the pitching-flapping motion on the flight performance are

assessed. The calculation is performed on semi-elliptical wing. Results obtained as
exhibited in Figure 20 depicted similar behavior to the bi-wing cases that the lift is equally
dominated by the pitching, flapping and the incidence angle. For the thrust, the flapping
angle has a very dominant influence over the force.
529
____________________________________________________________________________________________
From the above component-wise force analysis, it can be deduced that also an
appropriate combination of these force elements can be obtained to produce optimum lift
and thrust. The optimization of this problem is also currently under study
Lift Force Variation for Quad-wing Thrust Force Variation for Quad-wing
8 9
Theta (Pitch) Theta (Pitch)
8 Beta (Flap)
Beta (Flap)
6 Delta (Incidence angle)
Delta (Incidence angle)
7
Combined Combined
4 6
5
2
Force (N)
Force (N)
0
3
2
-2
1
-4
0
-6 -1
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1 0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Non-dimensional Time in One Cycle Non-dimensional Time in One Cycle
Figure 20: Component-wise contribution
5.2.3 Parametric Study for Quad-Wing
A parametric study is carried out to assess the influence of certain flapping wing motion
parameters: the effect of forward speed, the effect of flapping frequency, the effect of lag
angle, the effect of the angle of incidence and the effect of the total flapping angle. The
results are exhibited in Figure 13. In general, the sensitivity of the bi-wing and quad-wing
towards these parameters are comparable. Interesting results are exhibited by Figure 23-
25 where the combination of pitch and flap of both fore and hind wings are varied
Frequency, f Distance, d
Forces No Half- One Two
5 Hz 7 Hz 9 Hz
Gap Chord Chord Chord
ResultsAverage
obtainedLift
as exhibited in next section
0.957 0.3631 2.8347show the lift 0.347
0.3631 produced for various
0.3392 scenarios
0.3316
(N)
involving phase combinations between flapping and pitching motions of the individual fore-
Average
and hind-wings. Table 1.6417 3.3661 10.4646
8 summarizes 3.3661
the average 3.3007
forces 3.2668for3.2322
per cycle the selected
Thrust (N)
scenarios.
530
____________________________________________________________________________________________
Figure 21: Fore and hind flap phase lag

Phase Lag
Parameters Forces
0 π/4 π/2 3π/4 π
Pitch and Average lift 0.3631 0.4457 0.3872 0.2394 0.1141
Flap Phase Average
Lag 3.3661 3.6608 2.8717 1.6295 0.5614
Thrust
Fore and Average lift 0.3631 0.3978 0.3622 0.2828 0.2149
Hind Pitch Average
Phase Lag 3.3661 3.4845 3.0849 2.4597 1.9179
Thrust
Fore and Average lift 0.3631 0.2396 0.1675 0.1884 0.2267
Hind Flap Average
phase lag 3.3661 2.7038 1.9209 1.584 1.8108
Thrust
A deduction can be made from the results from Table 9 that the phase lag of π/4 produces
the maximum lift and thrust among the others. A combination of this parameter is shown in
Figure22and Table 10 which produces higher average value of lift and thrust as expected.
However further analysis to optimize the combination of these parameters is still under
progress.
531
____________________________________________________________________________________________
Figure 22: Combination of phase angle.
Table 10: Forces

Forces Value
Max Lift 3.7501
Min Lift -2.845
Average Lift 0.4216
Max Thrust 7.4239
Min Thrust 0.7679
Average Thrust 3.5643
8 COMPREHENSIVE ASSESSMENT OF MODELING RESULT
Better understanding of the production of lift and thrust are intended for current simplified
modeling of both bi-wing and quad-wing ornithopters. It is also meant to build a
comprehensive foundation and act as a guideline to develop a simple experimental model
ornithopter. A more sophisticated computational and experimental prototype can be built in
a progressive manner by superposing other significant characterisrics. To gain better
comprehension into the kinematic and aerodynamic modelling of bi-wing and quad-wing
ornithopters, comparison will be made on the basic characteristics and performance of
selected ornithopter models with those of selected real birds and insects.
The most noticeable of these changes is the phase difference between forewing and hind
wings, defined as the phase angle by which hindwing leads the forewing. When hovering,
dragonflies engage a 180° phase difference, while 54-100° is used for forward flight.When
accelerating or performing aggressive maneuvers, there is no phase difference between
the two wings (0° in phase) [45]. For present study, Table 8 also shows the influence of
fore and hind wings phase difference to the production of lift, drag and thrust, computed
using the present generic and simplified scheme.
532
____________________________________________________________________________________________
The use of CFD computation to simulate the vorticity field for quad-wing is a complex
study as reported by Wang and Russell [18]. Although on average, an upward net force is
generated on the wing due to the downward flow created by the wing motion, the
computation is not readily related to the computational results for lift and thrust.Figure
18shows the comparison of lift force generated using the present generic simplified model
to the result of Wang and Russell [18]. Although quantitatively the comparison shows
some discrepancies, qualitatively both results depict similar behavior. For future progress,
such result could be the basis platform to the present aerodynamics and kinematics
modeling of non-deforming quad-wing ornithopter, which can extensively and
progressively be further redeveloped and refined to approach the genuine livingBiosystem
flight features, such as those of dragonfly and other related enthomopters.
For this purpose, Table 11 has been prepared as an extension of the earlier Table
presented in [19], to obtain an insight of the flight characteristics and basic performance of
ornithopter and entomopter models, and birds and insect. Table 11 exhibits the ratio of the
lift per cycle, thrust per cycle, lift per aspecr ratio and the wing loading calculated using the
present simplified computational model and those obtained by other investigators; for
comparison, the weight per wing-span of a selected sample of birds are also exhibited.
geometrical modelling and the flapping motion considered in the computational model may
The development carried out in this work is addressed to biomimicry of biosystem flying in
the Reynolds number range of 1.0  104 to 1.0  105 which is turbulent. The projected
ornithopter and MAV will be operating in this range of Reynolds number also.
The aerodynamics that have been adopted in the present work takes into account viscous
correction appropriately (DeLaurier [11], Shyy et al. [7]). Shyy et al [7] show that for all
airfoils, the CL/CD ratio exhibits a clear Reynolds number dependency. For Re varying
between 7.5104 and 2.0106, CL/CD changes by a factor of 2 to 3 for the airfoils tested.
In the present study, viscosity effects are taken into account following the approach and
results of DeLaurier [11], using the computational formulation as given in the present
paper as a simplified approach to the problem, but validated through comparison with
comparable experimental results range. Such approach can be justified as a preliminary
step towards more accurate approach and to develop simple flapping ornithopter MAV.
533
____________________________________________________________________________________________
Table 11: Comparison of basic performance of ornithopter models and birds (extended
from earlier work [19])
ORNITHOPTER Present Previous Malik et Byl’s DeLaurie
MODEL Method Work al. [46] hummingbir r
(Semi- (Semi- d-scale pterosau
elliptical) elliptical)[1 robot [32] r
9] model[1
1]
Length -
Wingspan 0.4m 0.4m 0.4m 0.024m 5.4864m
Aspect Ratio 6.37 6.37 6.37 6.37 -
Wing Area 0.0251m2 0.0251m2 0.0251m2 0.0251m2 -
Lift/Cycle 0.1585N 0.1403N 0.1705N 0.1000N 177.923N
Thrust/Cycle 1.5804 1.3163 0.0201N - -
Lift(N) 0.396N/m 0.351 N/m 0.4263N/m 4.167N/m 32.431N/m

Wingspan(m)
Thrust(N) 3.951N/m 3.291N/m 0.0503N/m - -
Wingspan(m)
Wing Loading 6.31N/m2 5.59N/m2 6.79 N/m2 3.98 N/m2 -
Lift(N) 0.025N 0.022N 0.027N 0.017N -
Aspect Ratio
BIRD Wandering Turkey Vulture Red-tailed Bald Eagle Peregrine
Albatross Hawk Falcon
Length 110 cm 67 cm (26 in) 49 cm (19 in) 79 cm (31 in) 46 cm (18 in)
Wingspan 300 cm 171 cm (67 in) 125 cm (49 in) 203 cm (80 in) 116 cm (46
in)
Aspect Ratio 15 7.0 7.1 6.6 8.91
Wing Area 0.643 m2 0.612 m2 0.188 m2 0.703 m2 0.151 m2
Weight 9.00 kg 1.8 kg (4 lb) 1.082 kg (2.4 4.3 kg (9.5 lb) 0.952kg (2.1
lb) lb)
Lift(N) 88.29( N ) 18( N ) 10.82( N ) 43( N ) 9.52( N )

= 29.4 = 10.5 = 8.656 = 21.182 = 8.206
Wingspan(m) 3.00( m ) 1.7(1 m ) 1.25( m ) 2.03( m ) 1.16( m )
Wing Loading 137.31 N/m2 28.84 N/m2 57.41 N/m2 60.00 N/m2 61.80 N/m2
Lift(N) 5.87 N 2.57 N 1.52 N 6.52 N 1.07 N
Aspect Ratio
*For the Ornithopter models, the lift used in the calculation is the Lift/Cycle whereas for the birds, the lift represents the weight of the birds
534
____________________________________________________________________________________________
9 CONCLUSIONS
The present work has been performed to assess the effect of flapping-pitching motion with
pitch-flap phase lag in the flight of ornithopter. In this conjunction, a computational model
has been considered, and a generic computational method has been adopted, utilizing
strip theory and two-dimensional unsteady aerodynamic theory of Theodorsen with
modifications to account for three-dimensional and viscous effects and leading edge
suction. The study is carried out on semi-elliptical wing planforms. The results have been
compared and validated with other literatures within similar unsteady aerodynamic
approach and general physical data, and within the physical assumptions limitations;
encouraging qualitative agreements or better have been indicated, which meet the proof of
concept objectives of the present work. For the bi-wing flapping ornithopter, judging from
lift per unit span, the present flapping-wing model performance is comparable to those
studied by Byl [32] and Harmon [35].The analysis and simulation by splitting the flapping
and pitching motion shows that: (a) The lift is dominantly produced by the pitching motion,
since the relative airflow effect prevailed along 75% of the chord length. (b) The thrust is
dominated by flapping motion (c) Phase-lag could be utilized to obtain optimum lift and
thrust for each wing configurations.
For the quad-wing ornithopter, at the present stage, the simplified computational model
adopted verified the gain in lift obtained as compared to bi-wing flapping ornithopter, in
particular by the possibility of varying the phase lag between the flapping and pitching
motion of individual wing as well as between the fore- and hind-wings. A structured
approach has been followed to assess the effect of different design parameters on lift and
thrust of an ornithopter, as well as the individual contribution of the component of motion.
These results lend support to the utilization of the generic modelling adopted in the
synthesis of a flight model, although more refined approach should be developed. Various
physical elements could be considered to develop ornithopter kinematic and aerodynamic
modelling, as well as using more refined aerodynamic computation, such as CFD or lifting
surface methods. In retrospect, a generic physical and computational model based on
simple kinematics and basic aerodynamics of a flapping-wing ornithopter has been
demonstrated to be capable of revealing its basic characteristics and can be utilized for
further development of a flapping-wing MAV. Application of the present kinematic,
aerodynamic and computational approaches shed some light on some of the salient
aerodynamic performance of the quad-wing ornithopter.
ACKNOWLEDGMENT
University Grant Scheme (RUGS) Project Code: 9378200, under which the present
research is carried out.
535
____________________________________________________________________________________________
REFERENCES
[1] Ho, S., Nassef H., Pornsinsirirak, N., Tai, Y-C., Ho, C-M., Unsteady Aerodynamics and
Flow Control for Flapping Wing Flyers, Progress in Aerospace Sciences 39, 635–681,
2003.
[2] Weis-Fogh, T, Quick Estimates of Flight Fitness in Hovering Animals, Including Novel
Mechanisms for Lift Production. Journal of Experimental Biology 59, 169–230, 1973.
[3] Ellington, C.P., The Aerodynamics of Hovering Insect Flight, III. Kinematics, Phil. Trans. R.
Soc. London B, 305, 41-78, 1984.
[4] Ellington, C.P., The Novel Aerodynamics of Insect Flight: Applications to Micro-Air
Vehicles, The Journal of Experimental Biology 202, 3439–3448, 1999.
[5] Ellington, C.P., The Aerodynamics of Hovering Insect Flight, I, Quasi-Steady Analysis,”
Phil.Trans.of Roy.Soc.London, B, Bio.Sci., Vol 35, No 1122, Feb 1984.
[6] Shyy, W., Berg, M., Ljungqvist, D., Flapping and Flexible Wings for Biological and
Micro Air Vehicles, Progress inAerospace Sciences, Vol. 35: 455-505, 1999.
[7] Shyy, W., Aono, H., Chimakurthi, S.K., Trizila, P., Kang, C-K., Cesnik, C.E.S., Li, H.
2010. Recent Progress in Flapping Wing Aerodynamics and Aeroelasticity, Progress in
Aerospace Science.
[8] Dickinson, M.H., Lehmann, F.O., Sane, S.P., Wing Rotation and the Aerodynamic
Basis of Insect Flight, Science 284, 1954, 1999.
[9] Zbikowski, R., On Aerodynamic Modelling of an Insect-like Flapping Wing in hover for
Micro Air Vehicles, Phil. Trans. R. Soc. Lond. A 360, 273-390, 2002.
[10] Ansari, S.A., Zbikowski, R., Knowles, K., Aerodynamic Modelling of Insect-like Flapping
Flight for Micro Air Vehicles, Progress in Aerospace Sciences 42, 129–172, 2006.
[11] DeLaurier, J.D., An Aerodynamic Model for Flapping Wing Flight, The Aeronautical
Journal of the Royal Aeronautical Society, pp. 125-130, April 1993.
[12] Rosenfeld, N.C., An Analytical Investigation of Flapping Wing Structures for MAV,
Ph.D. Thesis, University of Maryland, 2011.
[13] Nicholson, B., Page, S., Dong, H., Slater, J., Design of a Flapping Quad-Winged Micro
Air Vehicle, AIAA-4337, 2007.
[14] Maybury, W.J., Lehmann, F-O., The Fluid Dynamics of Flight Control by Kinematic
Phase Lag Variation Between Two Robotic Insect Wings, Journal of Experimental
Biology, Vol. 207: 4707-4726, 2004.
[15] Ratti, J., QV-The Quad Winged, Energy Efficient, Six degree of Freedom Capable
Micro Air Vehicle, PhD thesis, Georgia Institute of Technology, 2011.
[16] Prosser, D.T., Flapping Wing Design for a Dragon-fly like MAV, M.Sc. Thesis,
Rochester Institute of Technology, 2011.
[17] Strang, K.A., Efficient Flapping Flight of Pterosaurs, PhD, Stanford, 2009.
536
____________________________________________________________________________________________
[18] Wang, Z.J., Russell, D., Effect of Forewing and Hindwing Interactions on Aerodynamic
Forces and Power in Hovering Dragonfly Flight, Physical Review Letters 99, 148101,
2007.
[19] Djojodihardjo, H and Ramli, ASS, Kinematic And Unsteady Aerodynamic Modelling,
Numerical Simulation And Parametric Study Of Flapping Wing Ornithopter,
Proceedings, International Forum on Aeroelasticity and Structural Dynamics, Bristol,
2013.
[20] Lentink, D., Jongerius, S.R. and Bradshaw, N.L., The Scalable Design of Flapping
Micro-Air Vehicles Inspired by Insect Flight, Flying Insects and Robots, pp 185-205,
2010.
[21] Norberg, U.M., Hovering Flight of Plecotus auritus, L. Bijdr. Dierk 40, 62-66 (Proc.2nd
int. Bat.Res, Conf.), 1970.
[22] Tedrake, R., Jackowski, Z., Cory, R., Roberts, J.W., Hoburg, W., Learning to Fly like a
Bird, Communications of the ACM, 2009.
[23] Kuethe, A.M., Chow, C-Y., The Finite Wing, Foundations of Aerodynamics, 4th ed, John
Wiley, New York, pp145-164, 1986.
[24] Theodorsen, T., General Theory of Aerodynamic Instability and the Mechanism of
Flutter, NACA Report No.496, 1949.
[25] Jones, R.T., The Unsteady Lift of a Wing of Finite Aspect Ratio, NACA Report 681,
1940.
[26] Garrick, I.E., Propulsion of a Flapping and Oscillating Aerofoil, NACA Report No.567,
1936.
[27] Polhamus, E.C., A Concept Of The Vortex Lift Of Sharp-Edge Delta Wings Based On
A Leading-Edge-Suction Analogy, NASA TN D-3767, 1966.
[28] Ashley, H., Landahl, M.T., Widnall, S.E., New Directions in Lifting Surface Theory,
AIAA journal, 3, No.1, 1965.
[29] Albano, A. and Rodden, W.P., A doublet-lattice method for calculating lift distributions
on oscillating surfaces in subsonic flows, AIAA Journal, Vol. 7, No. 2 (1969), pp. 279-
285
[30] Djojodihardjo, R.H. and Widnall, S.E., A numerical method for the calculation of
nonlinear, unsteady lifting potential flow problems, 1969,
AIAA, Vol. 7, No. 2 (1969), pp. 2001-2009
[31] Murua, J. Palacios, R. and Graham, J.M.R., Applications of the Unsteady Vortex-
Lattice Method in Aircraft Aeroelasticity and Flight Dynamics Preprint submitted to
Progress in Aerospace Sciences August 1, 2012
[32] Byl, K., A Passive Dynamic Approach for Flapping Wing Micro Aerial Vehicle Control,
ASME Dynamic Systems and Controls Conference, 2010.
http://www.ece.ucsb.edu/~katiebyl/papers/Byl10 _DSCC.pdf
[33] Altshuler, D.L. Dudley, R., Ellington, C.P., Aerodynamic Forces of Revolving
Hummingbird Wings and Wing Models, J. Zool, Land., 264, 327-332, 2004.
537
____________________________________________________________________________________________
[34] Kesel, A.B., Aerodynamic Characteristics of Dragonfly Wing Sections Compared with
Technical Aerofoils, J. Exp. Biol. 203: 3125-3135, 2000.
[35] Harmon, R.L., Aerodynamic Modelling of a Flapping Membrane Wing Using Motion
Tracking Experiments, M.Sc. Thesis, University of Maryland, 2008.
[36] Djojodihardjo, H., Ramli, A.S.S., Generic and Parametric Study of the Aerodynamic
Characteristics of Flapping Wing Micro-Air-Vehicle, Applied Mech. And Mateials, Trans
Tech Publications, Switzerland,Vol.225, pp 18-25, 2012.
[37] Djojodihardjo, H., Ramli, A.S.S., Kinematic and Aerodynamic Modeling of Flapping
Wing Ornithopter, Procedia Engineering (Elsevier), Vol. 50, 2012, pp 848-863, 2012.
[38] Scherer, J.O., Experimental and Theoretical Investigation of Large Amplitude
Oscillating Foil Propulsion Systems, Hydronautics, Laurel, Md, December 1968.
[39] Garrick, I.E., On Some Reciprocal Relations in the Theory of Nonstationary Flows,
NACA Report 629, 1938.
[40] Anderson, J.D., Fundamentals of Aerodynamics, fourth ed.,McGraw-Hill,New York.
[41] H.Djojodihardjo and M.A.Abd.Bari, Further Development of the Kinematic and
Aerodynamic Modeling and Analysis of Flapping Wing Ornithopter from Basic
Principles, submitted to Aerotech Conference 2014, October 29-30 2014, Kuala
Lumpur, Malaysia
[42] Pennycuick, C.J., Predicting Wingbeat Frequency and Wavelength of Birds,The
Journal of Experimental Biology150,171 – 85, 1990.
[43] Tucker, V.A., Gliding Birds: The Effect Of Variable Wing Span, J.Exp.Biology, 133,
1987.
[44] Mueller, D., Bruck, H.A., Gupta, S.K., Measurement of Thrust and Lift Forces
Associated with Drag of Compliant Flapping Wing for Micro Air Vehicles using a New
Test Stand Design, Experimental Mechanics 50:725–735, 2009.
[45] Deng, X., Hu, Z., Wing-wing Interactions in Dragonfly Flight, A Publication of Ine-
Web.Org, 10.2417/1200811.1269, 2008.
[46] Malik, M.A., Ahmad, F., Effect of Different Design Parameters on Lift, Thrust, and Drag
of an Ornithopter, Proceedings of the World Congress on Engineering 2010 Vol II
(WCE 2010), London, U.K., 2010.
538
____________________________________________________________________________________________
XVII
CONCEPTUAL DESIGN AND AERODYNAMIC STUDY OF BLENDED
WING BODY BUSINESS JET50
Harijono Djojodihardjo51 and Alvin Kek Leong Wei52
Universiti Sains Malaysia
Abstract
A Conceptual Design and Aerodynamic Study of Business Jet BWB Aircraft is

carried out focusing on BWB Aerodynamics, including Wing Planform Configuration and
profiles, and their relationship to the Design Requirements and Objectives. Possible
Configuration Variants, Mission profile, Flight Envelope requirements, performance,
stability, as well as the influence of propulsion configuration and noise considerations of
BWB aircrafts are considered and elaborated. Parametric study performed on wing
planform, thickness, and twist optimization, with design variables including overall span
plus chord, sweep, thickness, and twist at several stations along the span of the wing prior
to more structured optimization scheme. Considerations are also given to range, trim,
structural design, maximum lift, stability, control power, weight and balance. A statistical
study and review on prevailing market demand lead to the choice of a candidate of
conventional Subsonic Business Jet, which will be used as a baseline for the aerodynamic
50 Reproduced from Journal of Mechanics Engineering and Automation, ISSN 2159-5275, USA
51 Universiti Putra Malaysia, *Professor and corresponding author, harijono@djojodihardjo.com
52 Universiti Putra Malaysia, Graduate
539
____________________________________________________________________________________________
and configuration conceptual design. The chosen business jet accommodates 10

passengers as a baseline. Some aerodynamic and performance improvement is then
carried out through parametric study to arrive at the best solution meeting the design
requirements and objectives.
Keywords: Blended-Wing-Body, Aerodynamic, Aircraft Design, Computational Fluid

Dynamics
1 Introduction
The Blended-Wing-Body (BWB) aircraft concept blends the fuselage, wing, and the
engines into a single lifting surface, allowing the aerodynamic efficiency to be maximized.
The largest improvement in aerodynamic efficiency, when compared to a conventional
aircraft, comes from the reduced surface area and thereby reduced skin friction drag
(Liebeck, [1]) while maintaining the payload and other relevant performance. This
reduction comes mainly from the elimination of tail surfaces and engine/fuselage
integration (Leifsson and Mason, [2]). Further performance improvement of the BWB can
be achieved by using distributed propulsion. In addition, the BWB aircraft has the potential
for significant reduction in environmental emissions and noise (Liebeck, [1]; Fielding &
Smith, [3]; Kroo et al,[4]). Locating the engines on the upper surface of the aircraft allows
shielding of the forward-radiated engine fan noise by the center-body, and the engine
exhaust noise not to be reflected by the lower surface of the wing. The absence of slotted
trailing edge flaps allows the elimination of a major source of airframe noise. Further, the
use of trailing edge flaps can be eliminated by obtaining high lift and longitudinal control
through the use of distributed propulsion and deflection of the trailing edge jet.
Furthermore, lower total installed thrust and lower fuel burn imply an equivalent reduction
in engine emissions, using the same engine technology, while relatively larger fuselage
allows BWB to carry relatively larger amounts of fuel. Therefore, BWB aircraft offers a
significant advantage over a conventional aircraft in terms of performance and weight.
Studies have also demonstrated that the BWB is readily adaptable to cruise Mach
numbers as high as 0.95. Although BWB concept has emerged due to limitation
encountered in designing large aircrafts, the advantages offered by BWB as identified
540
____________________________________________________________________________________________
above should also be applicable to smaller aircrafts, provided due considerations of

relevant factors are taken into account. In this conjunction, another class of aircrafts, i.e.
business jets, which offer attractive market, could benefit from various advantages offered
by BWB. It is therefore of interest to look into BWB Business jet configuration, which then
lead to the present study. For this purpose, the conceptual design of BWB for Business
Jets is carried out to look into the feasibility of such application, focusing on the
aerodynamic aspects as a prime driver, taking into account that aircraft designs are the
result of the integration of several technologies, such as propulsion, structures and flight
control.
Market potential and demand of Subsonic Business jets (SBJ’s) is reviewed, and
statistical studies is performed to select a Business Jet candidate for the study. The
significance of the present study is believed to be related to the fact that SBJ comprises a
significant segment of aircraft fleet that contributes to the global economy and economic
growth. In the Aerodynamic Design Study for Conceptual Design of Business Jet BWB
Aircraft, attention is focused on BWB Aerodynamics, including Planform Configuration and
profiles, and their relationship to the Design Requirements and Objectives. Possible
Configuration Variants, Mission profile, Flight Envelope requirements, performance,
stability, as well as the influence of propulsion configuration and noise considerations of
BWB aircrafts are considered and elaborated. Parametric study in this regard will be
required, prior to some optimization scheme. Parametric study is performed on wing
planform, thickness, and twist optimization, with design variables including overall span
plus chord, sweep, thickness, and twist at several stations along the span of the wing.
Considerations are also given to range, trim, structural design, maximum lift, stability,
control power, weight and balance. A statistical study and review on prevailing market
demand lead to the choice of a candidate of conventional SBJ, which will be used as a
baseline for the aerodynamic and configuration design of the present study. The chosen
business jet accommodates 10 passengers as a baseline. Then following a chosen design
procedure evaluated from those offered in the literature, a conceptual design study of a
business jet BWB is carried out to arrive at some candidate solutions. Care is exercised to
meet performance and stability criteria, selected structural and propulsion considerations.
Some aerodynamic and performance improvement is then carried out through parametric
study and optimization, to arrive at the best solution meeting the design requirements and
objectives.
The conceptually designed BWB candidates are then assessed by comparison to

the chosen baseline aircraft in terms of the aerodynamics and performance improvements.
Particular assessment is elaborated regarding the viability of Business Jet BWB,
541
____________________________________________________________________________________________
passenger requirements and multifold performance indicators. Following Bradley (2004), a

generalized BWB configuration is synthesized by utilizing a sizing methodology based on
the center-body part of the wing that has to fit inside the wing, by reference to the generic
configuration already developed in earlier studies (Liebeck, [1]; Wakayama et al, [5]). The
aft spar will serve as the rear pressure bulkhead for the pressurized compartment as well
as taking bending and shear loads from the wing.
To gain aerodynamic advantages through reduced wetted area, structurally efficient use of
wing span, relaxed static stability and optimum span loading, the inboard portion of the
wing configuration that contains the passenger cabin and cargo areas is chosen to be
relatively thick with large chord. Parametric study on various airfoil candidates were carried
out. To verify the advantages, computational aerodynamic codes are utilized for
investigating the detailed fluid dynamic characteristics. The design issues for choosing the
best airfoil for the center-body are, among others, height of cabin where allow passenger
to travel along the cabin with comfort, the radius of leading edge to comfortably and
ergonomically fit-in the pilot with ease and comply with the 15 degree of visible angle to
the ground from the cockpit, as well as the ability to produce highest lift at lowest possible
drag. From the aerodynamic design study on a series of airfoils, the most suitable airfoil for
the body of BWB was chosen.
As an example of the design study results, the passenger cabin extends forward to
the leading edge (also the front spar), which must also take into account the internal
pressure load in addition to bending and shear loads. Passenger bays are located
between ribs, which serve as the walls of each bay, and the outer ribs of the center-body
have to be designed to take the internal pressure load of the cabin. The general
configuration and performance characteristics of the BWB Business Jet (BWB-BJ) will be
compared to the Baseline Conventional Business jet (BCBJ). Further configuration
optimization can be carried out.
wave drag with various constraints. Later on Ward[5] derived the slender-body
approximation for the drag of bodies with a non-zero rate of change of cross-sectional area
at the base. Adams[6] considered several minimum-wave-drag problems on the basis of
Ward’s equation, and arrived at similar minimum-wave drag body as von Karman’s, i.e. it
has zero slope at the base. Parker [7] presented a linearized-drag integral for bodies of
revolution in a double integral form depending explicitly upon the source-distribution
function, which is applicable to a larger class of bodies than the usual slender-body, and
which reduces to Ward’s drag expression in the proper limit, in the supersonic range.
Adams [6] and Harder and Rennemann[8] carried out similar analysis on boattail bodies of
542
____________________________________________________________________________________________
revolution having minimum wave drag. Hess and James [9] carried out an analysis on a
class of axisymmetric bodies having low drag in incompressible flow for the case where
the boundary layer is fully turbulent over the entire flow. Proper minimization of the drag is
based on a reference area equal to two-thirds power of the body volume.
2 Motivation and objectives
One of the well known Blended Wing body prototypes was studied by McDonnell Douglas
Company (Currently is Boeing Company) and NASA which is design to carry 800
passengers over a range of 7000 nautical miles at a cruse mach number of 0.85. It is a
revolutionary transport aircraft configuration with large performance advantages compared
to the current conventional aircraft. Preliminary design studies on the BWB indicate the
following improvement:
Table 1. Improvement of Performance for BWB
Lift to Drag Ratio +20.6%

Maximum Takeoff Gross
-15.2%
Weight
Overall Empty Weight -12.3%
Fuel Burn -27.5%
Thrust -27%
Aerodynamic advantages are achieved through reduced wetted area, structurally efficient
use of wing span, static stability and optimum span loading. Most of the present studies
are focus on super big size, long range commercial transport jet. There is limited study on
application of Blended Wing Body for business jet. Hence, the present conceptual design
study Business Jet Class Blended-Wing-Body Configuration will be challenging.. It is well
known that the BWB configuration is efficient for large airplane configuration due to the
expansion of its configuration in spanwise direction. The design of medium or small size
BWB configuration airplane will face stricter geometrical constraints. The space
543
____________________________________________________________________________________________
requirements to give the passengers enough comfort may also contradict with the wetted
area constraint, so that some trade-off may be required. Other potential problem is the
blending from thick inboard wing into the thin outboard wing. The blending should proceed
as smooth as possible to produce least possible drag.
The objectives of the present work are conspicuous. Firstly, a conceptual BWB
configuration is sought which can meet the design requirements and objectives (DR&O) as
well as mission profile for business jet BWB that offer great comfort to the passengers.
Secondly, the work aims to achieve an improvement in performance and aerodynamics
over the conventional business jet configuration by offering significant margin of
improvement compared to the chosen BCBJ baseline aircraft.
3 Design Mission
To reach our mission statement goals, the idea of a long range business aircraft was
chosen. By looking at long range business aircraft currently in production and choosing
attributes that are believed will contribute to improvements, the design missions are
identified:
• 12 – 19 Passengers + 4 Crew
• Cruise Altitude > 40,000 ft
• Cruise Speed 0.85 Mach
• Still‐air Range of 7,100 nmi
• Takeoff Field Length 4,700 – 5,000 ft
• Landing Field Length 2,500 – 3,000 ft
A high operating ceiling has many benefits. By choosing a cruise altitude of greater than
40,000 feet (although within green aircrafts altitude requirements), the business jet will
operate above the majority of air traffic allowing for higher speeds and a cruise/climb
method, increasing altitude as the aircraft becomes lighter from burning fuel. This method
improves the overall efficiency of the engines and decreases fuel usage. Timely flights are
a desirable characteristic that consumers desire in a business jet. High cruise speed
directly correlates to the flight duration. Therefore, a cruise speed of 0.85 Mach is chosen
as a baseline based on statistical data of combined high speed and fuel efficiency. A range
of 7,100 nmi, a conservative distance from Los Angeles to Hong Kong with a 60 kts
544
____________________________________________________________________________________________
headwind, is a typical design mission range for the aircraft. Destination flexibility is also
important for a desirable business jet solution. With a takeoff field length of 4,700 – 5,200
feet and a landing field length of 2,500 – 3,000 feet, these aircrafts will have access to
many small airports; this reduces the aircraft design’s reliance on larger and more
congested terminals and, thereby, improves turnaround time and decreases wait times.
Sequence Operation
0–1 Warm up
1–2 Taxi
2–3 Take off

3–4 Climb
4–5 Cruise
5–6 Loiter
6–7 Descent
7–8 Land and taxi
Fig. 1 . Mission Profile for BWB Configuration
It is not reasonable to expect the designed aircraft to operate at the full design mission at
all times. Therefore, the typical operating mission could be to carry 6 – 8 passengers, with
3 crew, over approximately 2,500 nmi. This mission allows for travel between many
transcontinental cities. As a reference, a flight from New York to Los Angeles is 2,139 nmi.
While this mission does not fully utilize the aircraft’s capabilities, the short takeoff and
landing capacity will allow for more opportunities for shorter range flights in a given time
frame. Typical Mission Profile is illustrated in Fig. 1.
545
____________________________________________________________________________________________
4 Statistical Studies for the search of Reference Aircraft Configuration and Design
Specification
A statistical study is carried out to find a plausible candidate to be utilized as a reference

and for post assessment of the conceptual design efforts. For such purpose, a host of
business jet aircraft data has been com\piled and summarized in Table 1. Statistical
analysis is carried out to find the spread of data and determine favorable capabilities by
inspection.
The design of BWB configuration for business jet will start with the survey of the current
medium size business jet available in the market. A statistical analysis is carried out en
lieu of market study to determine an acceptable target aircraft design specification,
whereby various performance and design parameters of business jet aircrafts were
determined and listed so that the performance and design parameters of the baseline
aircraft can be determined. The state of the art and progress of conventional Business Jets
as found in the market are considered.
A comprehensive statistical study produced some candidate business jets to be utilized as

reference design requirements and objectives, in-lieu of market study. The design
parameters and performance specifications of several business jet were compiled and
organized systematically. One of these candidate business jets is selected as the
conceptual design target, subject to further overriding considerations.
The analysis includes the review, classification and structured grouping of the aircrafts’
specification and performance such as number of passengers, maximum range, takeoff
gross weight, empty weight, cruise speed, service ceiling, takeoff distance and landing
distance. The specification and performance of these aircrafts was plotted in graphs to
facilitate identification of potentially appealing characteristics or performance. A tolerance
of 25% was set for the potential points. Aircrafts with the specification and performance
within the tolerance point are tabulated. By inspection, the baseline aircraft or aircrafts to
be chosen as a reference can be identified. Statistical analysis for the search of the
baseline or reference aircraft is carried out by considering various relevant parameters
such as Passenger capacity, Range, TOGW, Take-off and Landing distance, Wing
Loading, L/D, Engine Power, Service Ceiling and rate of climb. From such statistical
analysis, a list of baseline parameters for the reference aircraft(s) are tabulated in Table 1.
546
____________________________________________________________________________________________
, which is adopted as the characteristics of Baseline Conventional Business jet (BCBJ).

To be used as having the reference Design Requirements and Objectives (DR&O) in the
present conceptual design of BWB Business Jet (BWB-BJ). The conventional Business jet
that has close characteristics to the BCBJ is Beechcraft Hawker 4000, which will be
referred to also in the present work.
Table 2. Statistical Analysis Outcome for Reference Aircraft Performance
5 Conceptual Design Approach.
This work is organized systematically to cover the design philosophy of the authors and
Raymers [6], taking into considerations the relevance, motivation and the importance of
the Blended-Wing-Body configured aircraft for business jet. The conceptual design of the
Blended-Wing-Body configuration aircraft includes the mission profile, weight and weight
fraction determination, wing loading determination, airfoil selection, thrust loading
determination, engine selection, comprehensive wing sizing, centre of gravity
determination, and landing gear /undercarriage configuration determination.
To arrive at plausible design configuration, the procedure is carried out iteratively

with careful judgment. Better estimation of aircraft design configuration follows through
meticulous analysis. Structural and stability analysis are considered as well. A
performance analysis is then carried out followed by the summary of the reassessed
design specifications. The Conceptual Design Approach is summarized in Fig. 2.
547
____________________________________________________________________________________________
Fig. 2. Conceptual Design Philosophy
The appeal of BWB aircraft technology is the promise of improved performance because
of a higher L/D than can be obtained with a conventional “tube and wing” aircraft. Using
the fuselage structure as both a passenger compartment and part of the wing has the
potential to decrease the wetted area, and improve L/D.
5.1 Airfoil Selection
For 2D airfoil selection in the conceptual design, a basic and simple approach was
adopted by analyzing chosen airfoil using Airfoil Investigation Database [7] and on-line
DesignFOIL software, which are interactive database and programs. Eppler, Liebeck,
GOE, Lockheed and NACA airfoil series were analyzed for the BWB conceptual design.
The airfoil selection process was focused on the airfoil components to achieve favorable
pressure distribution, maximum lift and minimum drag coefficients. As a baseline, three
different airfoils should be chosen for the center body, inner and outer wing.
548
____________________________________________________________________________________________
5.2.1 Center Body
Through careful analysis and comparison, the center body airfoil chosen should be thick,
with large leading edge radius, high lift and high lift to drag ratio. The present conceptual
design work selected Liebeck LA2573A as the most suitable airfoil for the center-body of
the BWB-BJ.
Table 3. Comparison of several Airfoils considered for Center Body Airfoil Selection
549
____________________________________________________________________________________________
Fig. 3. Wing Components of BWB
550
____________________________________________________________________________________________
Fig. 4. Liebeck LA2573A Airfoil (top) and Eppler 403Airfoil (below) considered for
Center Body
5.2.2 Outboard and Tip Airfoil
The outboard and tip wing sections are the crucial parts of wing design since most of the
lift, stability and control are produced in this section. The inboard section will also be used
to store the fuel tank and main landing gear. Thus, a relatively thick airfoil but capable to
produce high possible lift should be selected for this section. Identical airfoil types will be
utilized for the inboard to the tip of the wing to facilitate initial lift estimation for the aircraft,
which could be refined further. By comparing four different airfoils at 0 deg and 15 degrees
angle of attack, the criterion that should be considered in the airfoil selection for the
inboard wing section must have balanced performance in both lift and drag. To simplify,
airfoil with the highest lift and lowest drag will be chosen. The airfoil chosen is NACA
64216.
5.3 Sizing the Pressurized Cabin

The design study conducted by Liebeck[1] showed that for a BWB configuration the
center-body could be treated as a ruled surface in the spanwise direction. The center-body
is composed of a pressurized cabin section and an aft center-body section, which is non-
pressurized. As the number of passengers increases, the center-body is expanded
laterally by adding passenger bays. This lateral expansion automatically increases or
decreases wing span and planform area with passenger capacity. The study determined
that it was possible to design a family of aircraft with identical outer wing panels and the
aircraft sizing will be based entirely on the center-body.
5.4 Initial Weight Estimation
551
____________________________________________________________________________________________
Table 4. Weight Distribution for BWB Configuration
Table 5. Weight Fraction for BWB Mission
5.5 Wing Loading Determination
The wing loading is computed based on two Constraints:
i. Stall velocity, vstall

ii. Landing distance
The typical stall for Hawker 4000 is 155.47 ft/s
Cruise altitude, hcruise = 41000ft
Temperature at 41000ft, T41000ft = 389.99˚R
552
____________________________________________________________________________________________
Atmospheric pressure at 41000ft, P41000ft = 3.7475 lb/ft2
Air density at sea level, ρ0ft= 0.0023769 slugs/ft3
Air density at 41000ft, ρ41000ft = 0.00055982 slugs/ft3
Wing Loading Based On Stall Velocity
Wing Loading Based On Landing Distance
Table 6. Wing Loading Determination using from Stall Velocity and Landing Distance
The lowest wing loading is chosen in order to obtain the maximum wing area for maximum
takeoff gross weight. Thus, the wing loading for the BWB business jet design is taken to be
25.344.
5.6 Thrust Loading Determination
The determination of thrust loading is based on the following Constraints:
i) Takeoff distance
ii) Rate of Climb
iii) Maximum velocity at cruise weight
Table 7. Thrust Loading Determination using various considerations
553
____________________________________________________________________________________________
5.7 Engine Selection
From previous section, the maximum thrust required by the aircraft,
The design range for this aircraft is based on the Beechcraft Hawker 4000 (as reference)
which is R = 4630 km. Transport aircraft which travel in this range is categorized as long
haul aircraft and it falls under the transport aircraft category.
According to the design requirements regulated by FAR, the number of engines required
for aircraft which falls under the transport aircraft category must be more than 1 engine.
Hence, 2 engines are selected to meet this requirement, which incidentally similar to the
number of engines of Beechcraft Hawker 4000. The Beechcraft Hawker 4000 uses two
Pratt & Whitney Canada PW308A turbofan engine. The present work arrives at the thrust
required per engine to be 2456.8 lbf.
The wing sweep for blended wing configuration will be made by section where each
section will be designed with different sweep angle. An example is shown in Fig. 5, where
the sweep angle for the wing root to inboard (section 1) is approximately 50 to 55 degree.
Taking this as starting point, the sweep angle of section for this blended wing configuration
will be 55 degree.
554
____________________________________________________________________________________________
Fig. 5. Example of Blended Wing Configuration with Sweep Angle (Ikeda, [8])
From inboard to tip (section 2 and 3), the wing configuration is more likely similar to
conventional wing. The sweep angle in these sections will be designed based on the
historical trend as implied by Raymer [6]. Wing sweep improves stability because a swept
wing has a natural dihedral effects. From this BWB design, the leading edge sweep angle
is taken to be 25 degree which measure start from the in board.
Using equation, (Raymer, [6]. Page 48), the quarter chord

sweep angle can be calculated. Wing sweep and wing twist will be considered at further
iterations for optimized performance.
Design of Overall Layout of BWB Configuration Based on Wing Span and Wing Area
555
____________________________________________________________________________________________
Fig. 6. Half Span of BWB Configuration Layout
Fig. 7. Center Section of BWB
556
____________________________________________________________________________________________
Fig. 8 . Section 2 of BWB Configuration
The wing area for half span is 363.29 ft2. Thus, total area covered for the whole BWB
configuration is 726.6 ft2.
5.8. Wing / Center Body Sizing
In the selection of the airfoil profile for the BWB Center Wing-Body, the Liebeck LA2573A
airfoil is modified in order to obtain a maximum thickness at 0.7 chord length as compared
to the original which is at 0.25 chord length.
Fig. 9 .The modified Liebeck LA2573A airfoil
557
____________________________________________________________________________________________
This procedure is taken in order to allow convenient and spacious cabin space is to
accommodate business passengers. Accordingly, the properties of the airfoil are changed
due to different camber line compared to the original airfoil, which is a trade-off to be
carefully balanced and analyzed. For conceptual design purpose, it will be assumed that
the effect of such modification can be balanced by favorable properties at other wing
sections, in particular since the modified center wing-body still delivers lift and offers less
drag. Further optimization could be made on the airfoil using Computational Fluid Design.
The multi-disciplinary optimization scheme could follow that of Pambagjo et al [9].
5.9. Cabin Sizing
NASA’s methodology as elaborated by Bradley [10] in the conceptual design of BWB uses
Finite Element Analysis. The pressurized cabin of the BWB was designed considering
combined bending, shear and torsion from aerodynamic loads. In comparison to the
conventional circular fuselage, it was predicted that the non conventional fuselage requires
higher structural strength because of large bending stresses on the skin [8]. In this regard,
there are limited references available for business jet blended wing body research. For
cabin passenger compartment sizing, we refer to the Future Requirement and Concepts
for Cabins of Blended Wing Body Configuration (Eelman, [11]). The derivation of key
requirements for cabin development follows the methodology as described in the following
development.
Taking cabin standards displayed in figure above as a reference, standards for the
BWB cabin are tailored according to the requirements of the specific scenario. The main
geometric standards are class ratios, seat pitch, seat width, aisle width, toilets per
passenger, trolleys per passenger and stowage spaces. These are influenced on the one
hand by the relevant characteristics of the different scenarios, but on the other hand by
general premises having impact on all of the scenarios as well. These are the continuous
growth of human being’s dimensions known as acceleration, enhanced in-flight safety and
medical facilities (Eelman, [11]).
Designing the present BWB-BJ configuration for 10 passengers with first class quality,
the aisle width, seat pitch and seat width will be based on the typical passenger
compartment [6]. For the Aisle height, reference will be made to Beechcraft Hawker 4000
in Fig. 10.
558
____________________________________________________________________________________________
Fig. 10 .Beechcraft Hawker 4000 Cabin Compartment Arrangement (Beechcraft

Hawker, [12])
Table 8. Passenger Compartment for Business Jet BWB Configuration

Description Dimension (in)
Seat Pitch 40 in (1.0160m)
Seat Width 28 in (0.7112m)
Aisle Width 28 in (0.7112m)
Cabin height 72 in (1.8288m)
Fig. 11. BWB Cabin Layout (Side)
559
____________________________________________________________________________________________
Fig. 12 . BWB Cabin Layout (Top View)
Thus, the passenger compartment for this BWB configuration can be defined as shown in
Table 8. Figs. 11 and 12 depicts the cabin lay-out of the present BWB-BJ conceptual
design.
5.10 Center of Gravity
Computation of the center of gravity distance of the center body proper yields a value of
27.144ft from the nose datum. Fig. 13 exhibit the skeleton of the Weight Distribution Along
the Center Cabin Body. This center of gravity excludes sections 2 and 3 which are located
between the inboard and tip BWB wing sections.
Fig. 13 . Weight Distribution Along the Center Cabin Body
The location and length of the Mean Aerodynamic Center (MAC) of the BWB wing is
important because the wing incorporate the aircraft cabin (fuselage) so that careful
considerations of the relative position (or alignment) of entire wing MAC with the aircraft
center of gravity should be taken into account in the conceptual design. This provide first
estimate of the wing position to attain the required stability characteristic. For a stable
aircraft, the wing should be initially located such that aircraft center of gravity is at about
30% of the mean aerodynamic chord [6]. Further detailed and refined analysis is carried
out in [13].
560
____________________________________________________________________________________________
Table 9. Weights Arrangement due to Payload along Center Body
6 Detailed Analysis and Summary

Refined weight Estimation and detailed aerodynamic analysis using CFD are carried out in
[13]. Table 10 exhibit the outcome of such refined analysis. The Lift distribution along half-
span of the BWB wing as well as the corresponding drag polar are exhibited in Figs. 14
and 15, while the BWB-BJ conceived is exhibited in Fig. 16. Table 11 summarizes the
BWB-Business Jet Configuration and compare its performance BCBJ.
561
____________________________________________________________________________________________
Table 10. Better Estimated Weights
Fig. 14 . Lift Distribution along mid-span of BWB-BJ
562
____________________________________________________________________________________________
Fig, 15. Drag Polar of BWB-BJ
7 Conclusions
The BWB configuration was compared to the design baseline aircraft, BCBJ, which is
similar to the characteristics, specifications and performance to the BCBJ following the
statistical study. In the aerodynamics analysis, the L/D ratio of the BWB-BJ configuration
is 41, which is 2.9 times higher than a typical conventional business jet aircraft
represented by the reference BCBJ. In the computational approach, the simulation of flow
on both aircraft section by section show that BWB configuration has 2.8 times higher in lift
generated over the wing span compared to the BCBJ. In the theoretical approach,
however, calculations which has been based on strip method on both BWB-BJ and BCBJ
planform wing show that lift generated on BWB-BJ wing span is 3.54 times higher than the
BCBJ. Hence, it can be concluded that the BWB configuration is able to generate lift over
wing span in 2.8 to 3.54 times higher compared to conventional aircraft as represented by
the BCBJ. The differences in the conceptual design of the BWB configuration are the
cabin and fuselage section compared to the cylindrical one of conventional aircraft. The
design of BWB configuration without the fuselage is the major contributor towards low
weight of the overall BWB configuration. This is because fuselage contains about 20% to
30% of overall empty weight of an aircraft which produces high drag yet less lift.
563
____________________________________________________________________________________________
Fig. 16 . BWB-Business Jet Configuration
Table 11. Summary of BWB-Business Jet Configuration and Performance Comparison

with BCBJ.
564
____________________________________________________________________________________________
The BCBJ empty weight is 22800 lb while the BWB-BJ is 16929.47 lb. By waiving the
fuselage, BWB configuration can save weight up to 5870.53 lb. In other hand, it is shown
that the BWB-BJ aircraft is fuel saving whereby the fuel weight required by BWB
configuration aircraft is 4091.78 lb while BCBJ is 13500 lb. This implies that the conceived
BWB-BJ configuration is 36.4% more weight efficient than the BCBJ for the same flight
mission.
References
[1] Liebeck, R. H. (2004), “Design of the Blended Wing Body Subsonic Transport",
Journal of Aircraft Vol. 41 No. 1, January.
[2] Leifsson, Leifur T. and Mason, William H. (2004), “The Blended Wing Body Aircraft”,
Virginia Polytechnic Institute and State university Blacksburg, VA, USA.
[3] Fielding, J.P, and Smith, H. (2002), Development of Environmentally-Friendly
Technologies and Configurations for Subsonic Jet Transports, 23rd International
Congress of the Aeronautical Sciences.
[4] Kroo, Ilan; Antoine, Nicolas; Barter, Garret; Lukachko, Stephen; Waitz, Ian and
Willcox, Karen (2004), “Future Aircraft: An Environmental Design Space (EDS)”, MIT-
Stanford Environmental Design Space Project (EDS).
[5] Wakayama, Sean and Kroo, Ilan(1995), Subsonic Wing Planform Design Using
Multidisciplinary Optimization, Journal Of Aircraft, Vol. 32, NO. 4, July-August
[6] Raymer, D.P. Aircraft Design: A Conceptual Approach, 2nd Ed.. AIAA, USA, 1992.
[7] Airfoil Investigation Database (AID), “Liebeck LA 2573A”, Accessed 23th November
2010, <http://www.worldofkrauss.com/foils/1812>
[8] Ikeda, T. Aerodynamic Analysis of a Blended-Wing-Body Aircraft Configuration, M.Eng.
Thesis, RMIT, 2006
[9] Pambagjo, Tjoetjoek Eko, Nakahashi, Kazuhiro and Matsushima, Kisa., “Flying Wing
Concept For Medium Size Airplane”, Department of Aeronautics and Space
Engineering, Tohoku University Japan, 2002.
[10] Bradley, Kevin R. (2004), A Sizing Methodology For The Conceptual Design Of
Blended-Wing-Body Transports, NASA/CR-2004-213016
[11] Eelman, S. (2003), Aerlines magazines, “Scenarios of European Airport Capacity and
the Implications for Aircraft Technology in the Year 2020”, Accessed 12 th December
2010, < http://www.aerlines.nl/index.php/2005/scenarios-of-european-airport-capacity-and-the-
implications-for-aircraft-technology-in-the-year-2020/>
[12] Beechcraft Hawker, “Hawker 4000”, Accessed 12th August 2010, <
http://www.hawkerbeechcraft.com /hawker/4000/>
[13] Djojodihardjo, H. and Kek, L.W. (2012), Conceptual Design and Aerodynamic Study of
Blended Wing Body Aircraft, ICAS Paper, Proceeding International Congress of the
Aeronautical Sciences, Brisbane.
565
____________________________________________________________________________________________
Acknowledgement
University Grant Scheme (RUGS) No. 05-02-10-0928RU; CC-91933, under which the
present research is carried out.
566
____________________________________________________________________________________________
XVIII
CONCEPTUAL DESIGN AND AERODYNAMIC STUDY OF JOINED-WING
BUSINESS JET AIRCRAFT
Harijono Djojodihardjo and Kim Ern Foong

Department of Aerospace Engineering, Faculty of Engineering, Universiti Putra Malaysia,
Serdang 43400, Selangor, Malaysia
Received: January 11, 2013 / Accepted: February 7, 2013 / Published: May 25, 2013.
Abstract: The concept of joined-wing aircraft with nonplanar wings as conceived and
patented by Wolkovitch is attractive due to various advantages such as light weight, high
stiffness, low induced drag, high trimmed CLmax, reduced wetted area and parasite drag
and good stability and control, which have been supported by independent analyses,
design studies and wind tunnel tests. With such foreseen advantages, the present work is
carried out to design joined-wing business-jet aircraft and study and investigate its
advantages and benefits as compared to the current available conventional business jet of
similar size, passenger and payload capacity. In particular, the work searches for a
conceptual design of joined-wing configured business-jet aircraft that possesses more
superior characteristics and better aerodynamic performance in terms of increased lift and
reduced drag, and lighter than the conventional business jet of similar size. Another
significant objective of this work is to prove that the added rigidity possessed by the joined
wing configuration can contribute to weight reduction.
Key words: Aircraft conceptual design, aerodynamic design, joined wing, box wing.
Nomenclature A Aspect ratio

CD0 Zero lift drag coefficient
Corresponding author: Harijono Djojodihardjo,

Reproduced from Journal of Mechanics AIROD professor, Sc.D., IPU, research fields:
Engineering and Automation 3 (2013) 263-278 aerospace engineering, fluid structure interaction. E-
mail: harijono@djojodihardjo.com.
567
____________________________________________________________________________________________
CL Lift coefficient for joined-wing aircraft [5-10]. The potential

CLmaxL Landing maximum lift coefficient
for lower structural weights and less drag
CLmaxTO Take-off maximum lift coefficient
DOC Direct operating costs are perhaps the most important of these
e Oswald’s induced drag factor advantages. The business jets promising
FL Flight level market could benefit from various
KL Landing parameter advantages offered by such benefits
KTO Take-off parameter
(L/D)2 Second segment climb lift-to-drag ratio
derived from joined-wing technology.
M Mach number Joining the tail to the wing allows the tail to
MAC Mean aerodynamic chord act as a strut, relieving wing bending
MTOW Maximum take-off weight moment inboard of the wing-tail joint. The
Ne Ne Number of engines
induced buckling on the aft wing structure,
OEW Operating empty weight
P Pressure however, must be resisted with a stiffer
R Range structure, which could lead to weight
SL SL Landing distance increase and need further meticulous
STO Take-off distance design compensation. Cuerno-Rejado et
Sw Wing area
SKO Seat-kilometer offered
al. [11] evaluates the capabilities of joined-
T Thrust wing medium-sized aircraft with tandem
US$ United States dollar wings having positive and negative sweep
W Weight and dihedral, and establishes a
WPL Payload weight
Ratio of specific heats (for ambient air: γ =
comparison with respect to a reference
γ
1.4) conventional wing-plus-horizontal tail
CS-25 minimum second segment climb
γ2,min
angle
aircraft and with the same medium-/long-
θ Twist angle range transport mission. The topics
 Relative density considered include structural arrangement,
 Aircraft’s induced drag factor weights and aerodynamic characteristics,
Subscripts as well as operational issues, such as
performance and direct operating costs.
cr Cruise
L Landing
The conclusions drawn in this preliminary
TO Take-off study are very positive, but further
research is required in order to confirm
1. Introduction some hypotheses regarding the structural
The joined-wing aircraft [1-5] is an arrangement. More recently, Jemitola and
innovative aircraft configuration with Fielding [12] presents a conceptual design
sweeping forward rear wings that join the process for a medium range box wing
main wings at the trailing edge. The rear aircraft which started from the initial
wing (aft wing or tail) is used both for pitch estimates of components parameters
control and as a structural support for the followed by a constraint analysis to choose
forward wing. When compared to a a design point. The structural
conventional wing-tail configuration, considerations incorporate appropriate
several advantages have been predicted wing mass estimation, wing-tip fin joint
568
____________________________________________________________________________________________
fixities and tip fin inclination. Longitudinal fuel, which motivates the present work as
stability issues are also considered for the well as poses a challenge for the
optimization of the design. conceptual design efforts. In summary, the
In line with modern concern on objectives of the present work are to carry
efficiency, energy and environment, the out conceptual design and aerodynamic
objectives of the present work is to study of a joined-wing configuration aircraft
contribute to the concept of “Better, that possesses better aerodynamic
Lighter, Faster, Cheaper and Greener” performance in terms of increased lift and
environmentally friendly aircraft paradigm reduced drag and lighter as compared to
[13] for Joined-Wing Business-Jet aircraft. conventional business jet of similar size,
“Better” means the aircraft to be passenger and payload capability, and to
conceptually designed should possesses arrive at a structurally robust joined wing
superior aerodynamic performance such configuration.
as considerably good rate of climb and The conceptual design and aerodynamic
endurances, takeoff and landing distances, study deliberated in the present paper is
lower stalling velocity, and reduced drag, organized as follows: The statistical study
among others. “Faster” means that the to arrive at the reference conventional
aircraft is able to fly at a high speed, business jet aircraft is described in section
getting from one point to another in a much 2; the conceptual design approach
shorter time. In consequence, the aircraft followed to arrive at the desired design
should be able to fly in high-subsonic or configuration of the joined wing business
transonic cruising speeds. If the joined- jet aircraft is comprehensively elaborated
wing aircraft conceived should have in section 3; the process of arriving at the
considerably good aerodynamic conceptual joined wing business jet aircraft
performance, more fuel saving and configuration is presented in section 4
economical engines with reduced thrust while various salient details of the analysis
will be required, thus saving the aircraft’s and synthesis are elaborated in section 5;
operating cost, and hence the word section 6 summarizes the conceptual
“Cheaper” comes into place. Greener design outcome of the aircraft and in
aircraft objectives could be gained by all section 7, an overall conclusions of the
the previous advantages, as well as novel advantages and drawbacks of JWBJ
concept in the holistic design approach. compared to RCBJ are made.
Various authors [4-10] have established
2. Statistical Studies for Reference
and verified the advantages of Joined Wing
Aircraft
Aircraft as compared to conventional
Cantilevered Wing-Tail Design, such as A comprehensive statistical study is
lighter weight wing structure, better carried out to search for some candidate
directional stability and controllability, lower business jets to be utilized as reference in
induced drag, improved aeroelastic establishing Design Requirements and
characteristics and improved space for Objectives (DR&O), in-lieu of market study.
569
____________________________________________________________________________________________
The design parameters and performance cover the authors’ design philosophy and
specifications of several business jets were that of Refs. [17-21]. The state of the art
obtained from online literatures. One of and progress of the joined-wing aircraft
these candidate business jets is selected technology and development are
as the conceptual design target, subject to considered.
further overriding considerations, and Following a statistical analysis,
reflects the specific DR&O based on performance and design parameters of
customer requirements, certification and various business jet aircrafts are
other requirements. For such purpose, a carefully assessed and analyzed to arrive at
host of business jet aircraft data has been an acceptable target aircraft DR&O (Design
compiled and summarized, as elaborated Requirements and Objectives) and design
in Refs. [14-15]. Based on such statistical specifications, which is then referred to as
analysis on trends and state of the art, a the RCBJ. The DR&O of this RCBJ will
Business Jet with specifications described guide the present conceptual design to
in Table 1, is chosen as the reference arrive at performance and design
(target) joined-wing design. parameters of the desired Joined-Wing
For the interest of objectivity, this Business Jet (JWBJ).
reference business jet will be referred to in The design considerations include
the present study as Reference mission profile, weight and weight
Conventional Business Jet (RCBJ). It may fraction and wing loading determination,
be noted that the specification parameters airfoil selection, thrust loading, engine
of selected RCBJ has a range of values selection, forewing sizing, centre of gravity
between Learjet 45 and Learjet 60 [16]. determination, aft wing (horizontal tail) and
Fig. 1 schematically illustrates the general fuselage sizing, and landing
configuration of the Joined-Wing Business gear (undercarriage) configuration determination.
Jet Aircraft as the reference business jet to
be conceptually designed.
3. Conceptual Design Approach
The work is organized systematically to
570
____________________________________________________________________________________________
Table 1 Business jet specifications as outcome from the statistical analysis.

Intended
Parameters Unit Baseline
improvement
No. of passengers Person 9 9
Range mile 2,104.00 2,500.00
Maximum takeoff gross
lb 21,270.18 20,000.00
weight
Cruise speed mph 520.70 600.00
Empty weight lb 14,420.00 13,000.00
Service ceiling ft 46,218.25 48,000.00
Price USD 10,959,115.50 10,500,000.00
Length ft 53.87 52.00
Height ft 17.44 16.00
Wing span ft 54.72 54.00
Wing area ft 354.84 350.00
Rate of climb ft/min 3568.32 3,600.00
Takeoff distance ft 4,285.91 4,000.00
Landing distance ft 3,086.21 3,000.00
Further computational iterations and

analysis are carried out to obtain better
estimation of aircraft weight, lift and drag.
In addition, structural and stability analysis
are also performed in subsequent iterative
cycles, followed by performance analysis
and comprehensive assessment of the
design outcome. This design philosophy is
summarized in Fig. 2.
Following such design philosophy as
preliminary step toward CDIO (Conception,
Design, Implementation and Operation)
Schematic of the Joined-Wing Business Jet Aircraft
[22], Lean Aircraft Initiatives [23], and
“Better, Lighter, Faster, Cheaper and
Greener” [13] aircraft demanded by global
energy and environmental concerns, the
Fig. 1 Artist impression and schematic problem statement of this work is to
of the joined-wing business jet. conceptually design a joined-wing business
jet aircraft that produces more lift and less
571
____________________________________________________________________________________________
drag,
Fig. 2 Summary of conceptual design approach.
but yet lighter than the conventional the limit load.

business jet of similar size. Basically the V-n diagram is based on
Mission Profile Determination and Flight two limitations, namely aerodynamic and
Envelope of the Joined-Wing Configuration structural limits. Some of the parameters
Aircraft: The flight envelope, or V-n are incorporated in the V-n diagram
diagram, is determined following FAR’s calculations. The improved and refined
regulations and mission profile. The values are used instead of the initial
regulations provide a method to determine estimate. Table 2 summarizes the
the maximum load factor limit. The parameters considered in the flight
structure is designed to the ultimate load envelope calculations, while Fig. 3 depicts
factor with a factor of safety of 1.5 above the mission profile of the target JWBJ.
572
____________________________________________________________________________________________
4. Conceptual Design Elaboration (b) landing distance. Assuming an

approach speed of similar to RCBJ, the
Aircraft Sizing, Weight and Weight
velocity is estimated to be 155.9 km/hr.
Fraction Determination: The detail of the
Typical cruise altitude of hcruise of 35000 ft
design calculation is comprehensively
and cruise Mach number of 0.8290 can be
described in Ref. [15]. The total weight of
assumed.
the payload, Wpayload was determined to be
1635.00 kg (3604.56 lbs), the range 4630
km and cruise velocity 550 mph. The
typical maximum lift-to-drag ratio,  L  of
 D  Max 37,000 f t/11,100m
RCBJ is 14. An improvement in  L  of 35,000 f t/ 10,500m 3
 D  Max 2 4
34,000 f t/10,200m
25% is desired. Assuming the JWBJ

should acquire  L  = 1.75, its lift-to-drag
 D  Max 5 6
0 1
ratio during cruise will be 15.155. 1800 seconds
The wing loading is computed based on Fig. 3 Mission profile of the target
two constraints: (a) stall velocity, Vstall and JWBJ.
Table 2 Parameters considered in flight envelope calculations.

Unit Value Remark
L
  17.5 Initial estimate
 D max
( CL )max 1.512 Obtained from airfoil

Forewing area, S ft2 743.5649
K forewing 0.07423 From Oswald span efficiency method
Oswald span efficiency factor,
e forewing
0.4549 Oswald span efficiency method
( CD )0 (total aircraft) 0.0100094 Component build-up

Cruise altitude ft 35000
Cruise density slugs/ft3 0.0007382
Cruise velocity ft/sec 806.6667
20019.017 Improved value through lift and
Weight at mid-cruise lb
9 structural considerations
573
____________________________________________________________________________________________
Wing loading W or W lb/ft2 30.5073 Improved value

S ft 2
Thrust loading T
lb/ftm 0.2414 Improved value
W
4.1 Wing Loading Based on Stall Velocity parametric study for design iteration and
optimization has been carried out; further
Stall velocity is estimated to be
structured optimization will be carried out
2 W 1
vstall = = 19.9994 ( CLmax ) (1) incorporating wing twist and other
 S CL max
structural considerations. Wing loading
To search for the desired CLmax and CL
study is exemplified in Table 4.
values, appropriate selection of airfoil has
Based on such parametric study,
to be made. Other parameters are
forewing sizing is carried out, followed by
estimated using those applicable to RCBJ.
the computation of wing area and aspect
4.2 Airfoil Selection ratio. Trade-off study is made to choose
the appropriate aspect ratio, taking into
In order to select a suitable airfoil for
considerations the effect of aspect ratio on
conceptual design purposes, airfoil
lift curve slope due to wing tip (trailing)
analysis is carried out using basic
vortices as qualitatively exhibited in Fig. 4
principles and available simple computer
[17].
program (for example designFOIL®).
Fig. 4 qualitatively shows the relationship
Following historical trends, the NACA 5-
digit series were used extensively in between  L  and the wetted aspect ratio.
D max
business jets. Thus, the NACA 5-digit
From such graph and others available on
series airfoils were selected. NACA 66013-
various data bases, a first estimate on the
43 airfoil was selected as a baseline due to
wingspan and aspect ratio can be made.
its conventionality.
A parametric study is then carried out
starting with NACA66013-43 series, and its
parameters are varied to find the best
airfoil. Such parametric study is carried out
varying the first, second and third, fourth
and fifth digits, and other variations. Typical
outcome of airfoil parametric study results
is illustrated in Table 3.
For the example displayed in Table 3,
the most suitable airfoil is NACA66013-43,
since it has a considerably high lift
coefficient and also a reasonably low drag Fig. 4 The effect of aspect ratio to lift
coefficient. At the present stage, only (qualitative) [17].
574
Conceptual Design and Aerodynamic Study of Joined-Wing Business Jet Aircraft 575
Table 3 Typical outcome of airfoil parametric study result.

Variation of the lift coefficient indicated by the first digit (α = 0˚)
Type of airfoil Lift coefficient Drag coefficient Moment coefficient
NACA46013-43 0.436 0.0070 -0.064
NACA56013-43 0.544 0.0072 -0.080
NACA66013-43 0.653 0.0073 -0.097
NACA76013-43 0.724 0.0074 -0.113
NACA86013-43 0.766 0.0076 -0.129
Table 4 Wing loading estimates.

Constraints Wing loading, W/S (lb/ft2) Remark
Stall velocity 30.2390 Lower wing loading
Landing distance 85.9830 Higher wing loading
The choice of wing dihedral angle should shown there (dimensions are indicated in
also be made, which was made following feet). The aileron sizing and placement is
dihedral angle guidelines given by Raymer depicted in Fig. 9.
[17]. Since this joined-wing aircraft is Through strip theory, on-line simple
configured as a low wing and swept one for airfoil computational method and panel
subsonic flight, the dihedral angles should method computations, wing lift and its
be within 3 to 7 degrees. parametric optimization are estimated. The
The forewing is placed in such as way spanwise sectional lift distribution of the
that the aerodynamic center of the wing is conceptual JWBJ is exhibited in Figs. 10-
in line with the center of gravity of the 11. Fig. 10 illustrates the distribution of
fuselage, as schematically illustrated by Sectional Lift along forewing mid-span,
Fig. 5. Schematic diagram of fuselage while Fig. 11 depicts the sectional lift
design and dimensioning is illustrated by coefficient distribution of the joined-wing
Fig. 6. Table 5 summarizes the calculation configured aircraft along forewing mid-
results of the CG of the fuselage without span.
forewings.
4.4 Determination of Thrust and Engine
4.3 Forewing Airfoil Selection
The airfoil chosen for the forewing is The determination of the thrust loading is
NACA 66013-43 airfoil, as shown in Fig. 7. based on three constrains: Take-off
The placement of the forewing on the Distance, Rate of Climb and Maximum
fuselage is illustrated in Fig. 8; the airfoil velocity at mid-cruise. The computational
maximum thickness at the root chord is results for engine selection are tabulated in
____________________________________________________________________________________________
Table 6. Fig. 6 Schematic diagram of fuselage

design and dimensioning.
Fig. 5 Schematic diagram of forewing

placement.
Table 5 Calculation of CG (without forewings).

Unit weight Quantit Total Total Distance from nose
Type of weight ∑
(kg) y (kg) (lbm) datum (ft)
352.7396 2828.9
Air crews 80 2 160 8.02
2 72
1587.328 38445.
Passengers 80 9 720 24.22
6 1
352.7396 8543.3
Cabin crew 80 2 160 24.22
8 55
Crew bag’e* 132.2773 5203.7
30 2 60 39.34
unchecked 8 92
Pax bag’e* 99.20803 2402.8
5 9 45 24.22
unchecked 5 19
176.3698 1414.4
Crew lug’e* 40 2 80 8.02
4 86
Pax lug’e* 595.2482 23417.
30 9 270 39.34
checked 1 06
576
____________________________________________________________________________________________
1976.000 80225.
Engine 448.149 2 896 40.6
3 61
5271.911 16248
6 1.2
*bag’e—baggage, lug’e—luggage, pax—passengers.
Fig. 7 NACA 66013-43 airfoil for

forewing.
Fig. 9 Aileron sizing and placement.
Table 6 Engine selection.

Constrain Thrust Ratio
Fig. 8 Airfoil maximum thickness at parameter required (lbf) (T/W)
root chord (dimensions in feet). Takeoff
1241.0472 0.09326
distance
Rate of climb 4782.6760 0.35940
Vmax at wmid-cruise 1661.5284 0.13070
577
____________________________________________________________________________________________
Fig. 10 The distribution of the sectional lift along the wing mid-span for the RCBJ
and along the forewing mid-span for the conceptually designed JWBJ.
.
Thrust loading based on rate of climb tabulated in Ref. [14], two Honeywell
has been selected because the engines to TFE731-60 are selected to be installed on
be selected later should produce the thrust the joined-wing configuration since not only
required at all points in the flights, which is both engines can produce the required
critical during takeoff and requires largest maximum thrust of 5265.98072lbf, but it is
thrust (5265.9072 lbf.). also significantly lighter as compared to
The maximum thrust TMax required other engines listed there. TFE731-60
during climb just after liftoff is 5265.9072 engine has a length of L = 1.27 m (or
lbf. With the intended range for this aircraft 4.1667 ft), inlet Diameter, Dinlet = 0.787 m
of 2500 nautical miles (4630 km), the (2.5820 ft) and Maximum Diameter,
aircraft falls under long range and transport Dmaximum = 1.077 m (3.5333 ft) [24].
category. Following FAR (Federal Aviation
4.5 Fuselage Sizing
Regulation) design requirements, the
number of engines (Ne) required for aircraft The semi-monocoque fuselage design
under this category must be more than 1 was adopted since such design enables
engine. Hence, 2 (two) engines should be the installation of any combination of
selected, which coincides with the trend for longerons, stringers, bulkheads, and
business jets. Thus, the thrust required per frames to reinforce the skin and maintain
engine is 2632.9536 lbf. Following Federal the cross-sectional shape of the fuselage.
Aviation Regulation, one engine must at The skin plays a major role in resisting the
least provide 2632.9536 lbf during takeoff. shear load and together with the
Following the engine specifications longitudinal members to resist tension and
578
____________________________________________________________________________________________
bending loads. Longerons help to resist seating arrangement. The fuselage of a

most the fuselage bending loads while passenger airplane can be divided into four
stringers on the bending and stabilize the basic sections: nose, cockpit, payload
skin in time of compression. Bulkheads are compartment and tail fuselage.
used to overcome the concentrated load After comprehensive considerations, the
which is introduced unto the fuselage nose length of the RCBJ is adopted for the
especially on the wing, landing gear, and joined-wing aircraft. Fuselage parameters
tail surface attach points. This design and cabin dimensions adopted in the JWBJ
eventually leads to the rigidity and strength design are shown in Tables 7-8,
of the aircraft to be distributed evenly on respectively. The cabin of the RCBJ is
the structure, thus making it stronger. Such considered to be attractive and is adopted
design may withstand considerable amount for the joined-wing aircraft design.
of damage and could remain strong and Glass cockpit is chosen for easy
intact. handling and less weight, as well as
The aisle have to be large enough based following ergonomic considerations.
on safety requirement to facilitate all the Various impressions on the joined-wing
passengers to disembark (escape) from the configurations are exhibited in Figs. 12-14.
aircraft in case of emergency. Wider aisle is Fig. 11 depicts the fuel tanks sizing and
required to ensure emergency evacuation placement (dimensions in feet). Fuel tank
within 90 seconds. Following such for forewing is depicted in Fig. 12
requirements, a 1.8-2.2 inch wider aisle will (dimensions in feet), while Fig. 13 shows
be adopted. the CG location for landing gear placement
The fuselage can be divided up into considerations.
three sections: the nose cone, the cabin,
and the tail cone. Typically the passengers Table 7 Fuselage parameters.
are all housed in the cabin which tends to Fuselage length 57.8483 ft
be in the shape of a right circular cylinder. Fuselage height overall 5.7417 ft
Closure angle 6 deg
This shape is structurally sound, easy to
Upsweep angle 14 deg
manufacture, permits increases in length Nose length 10.9666 ft
by the addition of “plugs”, and has Upsweep length 16.4213 ft
reasonable drag characteristics. The length
of the cabin then depends upon the Table 8 Cabin dimensions.
number of rows of seats desired and the Length (from cockpit divider
pitch of the rows. The number of rows is to end of pressurized 24.04 ft
fixed by the number of seats abreast compartment)
chosen for the design. Width (centerline) 5.74 ft
The fuselage layout is important in the Width (floorline) 3.94 ft
design process as the length of the Height 4.87 ft
airplane depends on this. The length and
diameter of the fuselage is related to the
579
____________________________________________________________________________________________
However, designers have to balance the

benefits of less induced drag against the
costs of structural weight increase, higher
parasitic drag and cost considerations. For
these reasons, aircraft are fitted with
winglets during the last two decades.
Winglets work because they efficiently
produce aerodynamic side forces that divert
the inflow of air from the tip vortex. That
takes a rather sophisticated small wing, one
Fig. 11 Fuel tanks sizing and placement that is sized, shaped, cambered and canted
(dimensions in feet). for a specific application and mounted on
the wingtip where it will produce the most
benefits and the least drag. A simple, large
end plate would block the vortex, but an
increase in span produces a much better
lift-to-drag improvement due to higher lifting
surface aerodynamic performance
efficiency.
Since the winglet has a tip, it also
produces a tip vortex, although a much
weaker one. The winglet's tip vortex is
located far above the airflow over the wing,
Fig. 12 Fuel tank on forewing thus imposing less influence on the airflow
(dimensions in feet). over the main wing, hence Whitcomb
reference of winglets as “vortex diffusers”
[25]. Table 9 elaborates selected aspects
for winglets design considerations. Fig. 14
illustrates the plan-view of the joined-wing
configuration aircraft after the forewing and
Fig. 13 CG localization for landing gear aftwings are joined with winglet extended
placement. above and below (dimensions in feet).
5.2 Structural Analysis
5. Detailed Conceptual Design and Further to the study of the aerodynamic
Analysis performance and weight reduction when all
5.1 Winglet Effects design parameters of the joined-wing
configuration aircraft has been determined
Stretching wingspan or increasing aspect using RCBJ as a reference and to obtain
ratio certainly reduces induced drag. better overall performance, structural
580
____________________________________________________________________________________________
loading on the critical parts of the joined-

wing aircraft configuration is analyzed.
From such analysis, some modifications
may have to be made, bearing in mind that
the modified configuration should have
better performance. These are illustrated in
Figs. 15-17.
Fig. 15 depicts the forewing and aft wing

dimensions when all design parameters of
the joined-wing configuration aircraft have
been tuned to be comparable or better
than the Reference Conventional Business
Jet (RCBJ), including structural
considerations. Fig. 16 shows the Vertical
Tail placement pre-adjustment and Fig. 14 Plan-view of the joined-wing
placement and sizing of aft-wing as configuration aircraft—forewing and aft
refinement of the Conceptual Design. Fig.
wings are joined with winglet extended
17 depicts the Fuel Tank on Fore-wing and
above and below (dimensions in feet).
Aileron Sizing and placement as a result of
finer structural analysis adjustments.
Table 9 Considerations for winglets.

Type of joint Consideration points
 Winglet having an airfoil section and being twisted and
cambered to minimized induced drag [9, 25-26].
 Positive forewing dihedral angle allows larger winglets to
be employed without ground clearance problems [27].
 Trailing edge of forewing overlaps with leading edge aft
wing minimizing interference drag.
(1) Winglet extended
 Outer portion of forewing acts as slat for the outer portion
above and below
of aft wing that improves tip-stalling characteristics.
 Winglets designed to offset parasitic drag and weight
penalties of the connecting structure by reducing the
airplane’s induced drag.
 Winglets designed to develop sideways-acting loads even
when the aircraft itself is not side-slipping.
581
____________________________________________________________________________________________
 Mutual bracing effect on the other wing due to the fact that
a truss structure is formed. Strength to weight ratio, and
the stiffness of the aircraft is improved and the
aerodynamic drag is reduced.
 The fairings are streamlined hence the aerodynamic drag
on the fairings are reduced.
(2) Circular cross section
 Fairing can serve as fuel tank.
fairings
 Fairing can serve as a container for bombs, missiles or
other forms of payload or for landing gear.
(3) Circular cross section
fairings with winglets  The functions are the same as the circular cross section
extended above and fairings but a reduction in induced drag.
below
5.3 Flight Envelope of JWBJ Aircraft

The flight envelope, or V-n diagram, is
determined according to FAR regulations The structure is designed to the ultimate
and mission profile. The load factor for a factor of safety of 1.5
regulations provide a method to determine above the limit load. Basically V-n
the maximum limit load factor. diagrams are based on two limitations,
namely aerodynamic limits and structural
limits. Various parameters are implicitly
involved in the V-n diagram calculations.
Using progressive iterations, improved
and refined
Fig. 15 Forewing and aft wing

dimensions when all design parameters
of the joined-wing configuration aircraft
have been tuned to be comparable or
better than the RCBJ, including
structural considerations.
582
____________________________________________________________________________________________
and the conceptually designed JWBJ

(Joined Wing Business Jet), respectively.
Therefore, for flight at the transonic
regime, the aircraft has to be developed
further to be capable to overcome and
reduce this transonic wave drag while
Fig. 16 Vertical tail placement pre- maintaining its aerodynamic efficiency.
adjustment and placement and sizing of 6. Design Summary
aft-wing conceptual design refinement.
This section focuses on comprehensive
comparison of the results obtained in both
designs with the aim of insuring the joined-
wing configuration to have better overall
improvement over the reference aircraft.
The comparison will be established based
on four technological aspects. It is

important to note that the conclusions
drawn from this study are based on
simplistic aerodynamic and structural
assumptions that should be more
accurately substantiated in future works.
Table 11 summarizes the design
specifications of
Fig. 17 Fuel tank on fore-wing and

aileron sizing and placement.
values are obtained and through

Fig. 18 Flight envelope of RCBJ at
meticulous judgment will be used instead 35000 ft.
of the initial estimate. Table 10 indicates
the Flight Envelope Data for the Reference
Conventional Business Jet (RCBJ). Figs.
18-19 show the flight envelopes of RCBJ
583
____________________________________________________________________________________________
Fig. 19 Flight envelope of joined-wing

configuration aircraft at 35000 ft.
Table 10 Flight envelope data for RCBJ.

Parameter Unit Value Remark
(L/D)max 17.5 Initial estimate
(CL)max 1.512 Obtained from airfoil
Forewing area, S ft2 743.5649
K (forewing) 0.07423 From Oswald span efficiency method
Oswald span efficiency factor,
0.4549 Oswald span efficiency method
e (forewing)
CD0 (total aircraft) 0.0100094 Component build-up
Cruise altitude ft 35000
Cruise density 3
slug/ft 0.0007382
Cruise velocity ft/s 806.6667
Improved value through lift and
Weight at mid-cruise lb 20019.0179
structural considerations
Wing loading (W/S) lb/ft2 30.5073 Improved value
Thrust loading (T/W) lbf/lbm 0.2414 Improved value
Table 11 Summary of JWBJ design specification as compared to those of RCBJ.

Reference
Joined-wing
Parameter Unit conventional business
configuration aircraft
jet aircraft (RCBJ)
Number of passengers - 9 9
Range n mile 2500.6252 2409.0000
Maximum range n mile 2601.5674 2450.0000
Maximum takeoff gross weight lbm 22684.1299 23500.0000
Cruise speed (35000 ft) mph 550.0000 484.0000
Stall velocity at sea-level ft/s 130.4044 129.8300
Stall velocity at 35000 ft ft/s 180.0000 -
Maximum operating speed ft/s 1030.0000 765.6000
Serving ceiling ft 52651.8000 51000.0000
Takeoff distance ft 2603.7323 4000
Landing distance ft 2339.9544 2660.76
Fuselage length ft 57.8483 58.6667
Wing span ft 76.4200 47.7500
Wing area (forewing) sq. ft 743.5649 264.5
584
____________________________________________________________________________________________
Wing area (aft wing) sq. ft 310.2954
585
____________________________________________________________________________________________
store 66,256 kg of fuel in both the main and aft

both JWBJ and RCBJ for comparative wings tanks together, which is 15.41% lower
assessment, whether the design objectives are than in the conventional tanks. This issue has
met. no effect on the design specification but limits
the operational possibilities of reaching
6.1 Structural Concepts
extended range missions with lower payload. A
The structures of both designs differ mainly central tank could mitigate this disadvantage.
in two zones: wing and tailplane. The main These structural characteristics also have
wing structure of the joined-wing aircraft uses further consequences on the commercial
asymmetrical box construction adopted in possibilities of the new design. The joined-wing
previous studies [26-31], which provides concept may pose difficulties for developing a
several advantages, such as lower weight, and family of aircraft, changing only fuselage
no serious drawbacks. sections and maintaining the rest of the
The critical point, as previously discussed, is aircraft. As the main and aft wings are
the need for a stiffer, and, consequently, connected near the tips, the distance between
heavier structure, due to the buckling loads on them is fixed. Therefore, every new family
the aft wing; Gallman et al. [8] found that the member needs a new aft wing. Other problems
joined-wing aircraft without any uplift produced can arise with the landing gear or the fuel
by the aft wing turns out to be as heavy as the capacity.
conventional design. These reasons justify the
6.2 Drag Characteristics
decision to increase the aft-wing area by
moving 15% of the uplift surface from the main One of the most interesting parts of this
wing to the aft wing. In order to determine the study is the comparison of the aerodynamic
real loads and weights of the joined-wing characteristics and, more specifically, the drag
aircraft in comparison with the conventional characteristics.
design, detailed calculations have to be made 6.3 Performance
so as to obtain quantitative results, and this
task falls outside the scope of the initial study. The performance data of an aircraft are
Nevertheless, taking into account the meaningful pieces of information since the
conclusions drawn in previous studies [26-31], effect of the structural and aerodynamic issues
the structural weight is expected to be lighter studied previously can be illustrated in a very
by 20-37% than the reference conventional clear way. As the structural weights of both
aircraft. aircraft were considered identical, the
Being conservative and supposing that the differences in the drag characteristic are
structural weight is 20% lower, the OEW for the responsible for varying the performance
joined-wing aircraft would be 5.55% lower than results. As pointed out in earlier section, the
the reference aircraft OEW (93,812 kg). This differences in the drag polar equations for both
new OEW (88,609 kg) has been obtained designs were evident. This leads to different
assuming that the reduction of the structural values for the lift-to-drag ratio of the joined-
weight only affects the wing and horizontal wing aircraft that is 6.7% higher than that of the
stabilizer. conventional aircraft for the design cruising
As will be seen in the following sections, the condition.
new design turns out to be very promising. As is well known, for the cruise segment of
Finally, the structural concept also affects the any operation, even small differences in the lift-
fuel capacity. While the conventional aircraft is to-drag ratio have enormous effects on the fuel
capable of allocating 78,327 kg of fuel as consumption. This can be best illustrated by
maximum, the joined wing design can only comparing the payload diagrams for both
586
____________________________________________________________________________________________
airplanes, Figs. 18-19. The first part of the aircraft, severely limiting the flexibility of
diagrams is a horizontal line which represents operations.
the limitation of the maximum payload, which is 7. Conclusions
the same in both designs. The corresponding
ranges are the same, accordingly, up to the From all the analysis elaborated here, it can
maximum range of 9,287km reached by the be concluded that the joined-wing configuration
conventional design. At that point, in the aircraft is 5.0716% lighter than the Reference
conventional design, due to its lower lift-to-drag Conventional Business Jet (RCBJ) and
ratio, the MTOW is reached and it is necessary produces 1.3629 times more lift. Having
to decrease the payload in order to increase considered the reduction of vortex drag due to
the range. However, the joined-wing design is the joined-wing configuration, the total drag of
capable of reaching a higher range with the the Joined-Wing Business Aircraft (JWBJ)
maximum payload, 9920 km, which represents configuration is 3.5% lower than RCBJ.
an increase of 6.8%. The next part of the Therefore, the objectives of this project work
diagram is limited by operating within the have been achieved, that is to obtain better
MTOW, increasing the range by means of aerodynamic performance, in terms of
larger amounts of fuel weight and decreasing increased lift and reduced drag, and lighter
the payload, until the maximum fuel weight is structure as compared to the reference aircraft
reached. of similar size.
This part of the diagram is usually the most In addition, the joined-wing configuration
interesting part of the diagram from a aircraft is theoretically has better longitudinal
commercial point of view. As the maximum fuel stability than other conventional business jet
weight is different in each design, the aircrafts available in the market as calculated.
maximum range attainable for each aircraft The joined-wing configuration aircraft is also
taking off with the MTOW is very different: better than the Reference Conventional
14,426 km for the conventional design and Business Jet (RCBJ) in terms of structural
12,083 km for the joined wing (a reduction of strength. Because the forewing and aft wing
16.2% for the new design). are joined at one end, both wings can sustain
Another important fact is that these ranges and carry larger air loads and therefore the
are possible with very different values of the weight of the Joined-Wing Business Aircraft
corresponding payload: 12,168 kg for the (JWBJ) can then be reduced, reducing
conventional aircraft and 24,239 kg for the manufacturing cost at the same time increasing
joined-wing. This implies that the line limiting aerodynamic lift. One of the major advantages
the attainable ranges with MTOW is of this joined-wing configuration aircraft is the
considerably shorter for the new aircraft, joint configuration that results in a reduction of
reducing the size of the most interesting zone wing tip vortices. This in turn reduces the
of the payload-range diagram from a hazards of wake turbulence, formation of vapor
commercial point of view. Nevertheless, the contrails that results in the trapping of Earth’s
design range is higher for the new design: radiation, noise pollution and the recovery of
11,820 km versus 11,068 for the reference 30-40% of power loss that result from drag due
aircraft. The problem is that the design payload to lift in conventional wing designs.
(25,250 kg) is almost the payload for the Optimization can be carried out to further
maximum range with MTOW and maximum improve the joined-wing aircraft performance. It
fuel; therefore, the design point moves from a might be also interesting to further investigate
centered position in the second segment of the how the control surfaces available on the
diagram in the conventional design to the right joined-wing configuration aircraft can be
end of the same segment in the joined-wing employed for attitude and orientation control.
587
____________________________________________________________________________________________
Although in theory it proves that the joined- Aerodynamic and structural studies of
wing configuration aircraft possesses many joined-wing aircraft, Journal of Aircraft 28
benefits as compared to the conventional (1) (1991) 74-81.
aircraft design, it is recommended that practical
experimental processes such as wind tunnel [8] J.W. Gallman, S.C. Smith, I.M. Kroo,
testing and computational fluid dynamics are Optimization of joined-wing aircraft, Journal
carried out to verify and support the results of Aircraft 30 (6) (1993) 897-905.
obtained in the present theoretical and [9] I.M. Kroo, Non-planar wing concept for
conceptual calculations. increased aircraft efficiency, VKI Lecture,
Acknowledgment Stanford University, U.S.A., 2005.
The authors would like to thank the Universiti [10] I.M. Kroo, Drag due to lift:
Putra Malaysia for granting Research Concepts for prediction and reduction,
University Grant Scheme (RUGS) No. 05-02- Annu. Rev. Fluid Mech. 33 (2001) 587-617.
10-0928RU; CC-91933, initiated in November
[11] C. Cuerno-Rejado, L. Alonso-
2012 and the current Universiti Putra
Malaysia/Ministry of Higher Education Albir, P. Gehse, Conceptual design of a
Exploratory Research Grant Scheme (ERGS) medium-sized joined-wing aircraft, in: Proc.
Project Code: ERGS 5527088, under which the IMechE, Vol. 224, Part G: J. Aerospace
present research is carried out. Mr. Engineering,2007.
Muhammad Jafari has assisted in editing the
[12] P.O. Jemitola, J.P. Fielding, Box
figures.
wing aircraft conceptual design, in: ICAS
References
2012, Brisbane.
[1] J. Wolkovitch, Joined Wing Aircraft, U.S. [13] J. Jupp, et al., Greener by
Patent 3942747, March 1976. Design, Annual Report 2011-2012,
[2] J. Wolkovitch, Joined Wing Aircraft, U.S. Published by the Royal Aeronautical
Patent 4365773, Dec. 1982. Society, June 2012.
[3] J. Wolkovitch, The joined wing: An [14] E.F. Kim, Design and
overview, Journal of Aircraft 23 (3) (1986) aerodynamic study of joined-wing aircraft,
161-178. Thesis, Supervised by H. Djojodihardjo,
[4] J. Wolkovitch, D.W. Lund, Application of Aerospace Engineering Department,
the joined wing to turboprop transport Universiti Putra Malaysia, 2011.
aircraft, NASA contractor report, [15] E.F. Kim, H. Djojodihardjo,
forthcoming NASA CR-22187. Conceptual design and aerodynamic study
[5] J. Wolkovitch, Joined-wing research of joined-wing business jet aircraft, in:
airplane feasibility study, AIAA Paper 84- ICAS 2012, Brisbane.
2471, 1984. [16] Learjet 60, Wikimedia
[6] M.F. Samuels, Structural weight Foundation, Inc., http://en.wikipedia.org/
comparison of a joined wing and a wiki/Learjet_60 (accessed June 15, 2012).
conventional wing, Journal of Aircraft 19 [17] D.P. Raymer, Aircraft Design: A
(1982) 485-491. Conceptual Approach, 4th ed., AIAA, USA,
[7] I. Kroo, J. Gallman, S. Smith, 2006.
588
____________________________________________________________________________________________
[18] J. Roskam, Airplane Design: design of wings and wing tip devices,
Preliminary Sizing of Airplanes, Roskam Journal of Aircraft 47 (2) (2010) 534-543.
Aviation and Engineering Corporation, [27] B.S. de Mattos, A.P. Macedo,
Kansas, USA, 1990. D.H. da Silva Filho, Considerations about
[19] J.P. Fielding, Introduction to winglet design, in: 21st Applied
Aircraft Design, Cambridge University Aerodynamics Conference, June 23-26,
Press, 1999. 2003, Orlando, Florida.
[20] E. Torenbeek, Synthesis of [28] R.K. Nangia, M.E. Palmer, C.P.
Subsonic Airplane Design, Kluwer Tilmann, Unconventional high aspect ratio
Academic Publishers, 1982. joined-wing aircraft with aft- & forward-
[21] V. Zhuravlev, Russian approach swept wing-tips, in: 41st AIAA Aerospace
to aircraft design and aeronautical Sciences Meeting and Exhibit, AIAA-2003-
education, in: EWADE 2011, Naples. 0605, January 6-9, 2003, Reno, Nevada,
[22] E.F. Crawley, D.R. Brodeur, D.H. USA.
Soderholm, The education of future [29] J. Wolkovitch, Application of the
aeronautical engineers: conceiving, Joined Wing to Cruise Missiles, Phase I,
designing, implementing and operating, in: ONR-CR-212-266-1, Nov. 1980.
ICAS 2006, Hamburg. [30] H. Miura, A. Shyu, J. Wolkovitch,
[23] E.M. Murman, A value Parametric weight evaluation of joined
perspective on aerospace innovation, in: wings by structural optimization, AIAA
ICAS 2004, Keynote Address, Yokohama. Paper 85-0642-CP, April 1985.
[24] W.P. Henderson, J.K. Huffman, [31] R. Brannick, Z. Eckhart, J. Effron,
Aerodynamic characteristics of a tandem J. Morgenstern, K. Stewart, C. Underwood,
wing configuration at a Mach number of C. Whitley, Small Tactical Joined Wing
0.30, NASA TM X-72779, Oct. 1975. Unmanned Aerial System, December 3,
[25] R.T. Whitcomb, A design 2007,
approach and selected wind-tunnel results http://www.docstoc.com/docs/84289133/S
at high subsonic mounted speeds for mall-Tac tical-Joined-Wing-Unmanned-
winglets, NASA TN D-8260, July 1976. Aeria-System (accessed January 9, 2013).
[26] S.A. Ning, I. Kroo,
Multidisciplinary considerations in the
589
____________________________________________________________________________________________
590
____________________________________________________________________________________________
XIX
OVERVIEW OF GREEN QUAD BUBBLE BUSINESS JET AERODYNAMIC

CONFIGURATION DESIGN53
Institute for the Advancement of Aerospace Science and Technology, “Persada Kryareka Dirgantara”,
Jakarta, Indonesia)
Abstract
Purpose – The purpose of the present work is to explore the possibilities of introducing a number of
visionary and pioneering ideas and upcoming enabling technologies for a conceptual and
aerodynamic design of green business jet aircraft to meet various requirements within Green and N+2
Aircraft framework, and at the same time to meet the requirements of air transportation demand,
economic growth and environmental conservation.
Design/methodology/approach – A synthesis of various aircraft design methodologies has been
carried out through iterative optimization to arrive at the conceptually designed aircraft with novel
concept with optimum performance within the subsonic flight regimes. Major ideas derived from D8
and other novel concepts are appropriately applied in the work, which starts with fuel efficient
53Presented at Airtec 2016 – 25-27 Oct 2016 Munich Exhibition Center, Munich, Germany by invitation
from Prof.Richard Degenhardt, and published at Aircraft Engineering and Aerospace Technology, ISSN: 0002-
2667, Publication date: 9 April 2018
591
____________________________________________________________________________________________
motivation, and followed by wing Aerodynamics and other critical factors related to the Design
Requirements and Objectives.
Findings – Through a meticulous effort following the synthesized design methodologies in the
conceptual design phase, a conceptual design of a quad-bubble business jets with a set of
specifications that meet the green and N+2 aircraft technology requirements and exhibit promising
performances is proposed and assessed within recent aircraft technology development.
Research limitations/implications – The research work is limited to conceptual design and
analytical work which should be followed by further iterative steps incorporating experiments and
detailed structural and aerodynamic computations.
Practical implications – The conceptual design proposed can be utilized as a baseline for further
practical step in an aircraft development project.
Social implications – The conceptual design proposed could be utilized for business and economic
study for future air transportation system.
Originality/value – The work is original, incorporating review of state of the art technology,
environmental requirements and a synthesis of a novel product.
Keywords Aircraft Design; Aerodynamic Design; Business Jet; Conceptual Design; Green Aircraft,
Quad Bubble Configuration.
Paper type Research paper
Nomenclature
A - Wetted Area [m2]

AC - Aerodynamic Center, distance of the Aerodynamic Center with respect to
the chosen origin
AR - Aspect Ratio (of Wing) = Wing Span  Mean Chord/ Wing Area
a - Speed of Sound [m/s]
592
____________________________________________________________________________________________
CD - Drag Coefficient = Drag/(V2A/2)

CL - Lift Coefficient = Lift/(V2A/2)
CL-wing - Lift Coefficient of the wing
CL-fuse - Lift Coefficient of the fuselage
CL-tail - Lift Coefficient of the tail
CL-nacelle - Lift Coefficient of the nacelle
CLCR - Cruise Lift Coefficient
Eskin - Modulus of Elasticity of fuselage skin
Ebend - Modulus of Elasticity of fuselage stringers
htake-off - takeoff altitude [m]
hcruise - start-of-cruise altitude [m]
hlanding - landing altitude [m]
hqb - distance as indicated in Figure 9
Llanding - landing distance [m], [km]
M - Mach Number = Velocity/ Speed of Sound a (depending on the context)
M - Mass (depending on the context) - [kg]
MAC - Mean Aerodynamic Center [m]
MCR - Cruise Mach number [-]
N+ 2 - implies a vision of the generation of aircraft within the next 5 to 10 years
N+ 3 - implies a vision of the generation of aircraft within the next 15 years of
fuel efficient, environmentally friendly and performance and technology
driven aircraft to meet global need that may be available by 2035
QB-BJ - Quad-Bubble Business Jet
RC-BJ - Reference Conventional Subsonic Business Jet
R - Range [km]
Rfuse - Radius of fuselage as indicated in Figure 9 [m]
T - thrust [N]
Tmax - maximum thrust [N]
V - Velocity [m/s], [km/hr]
Vstall - Stall Velocity [m/s], [km/hr]
Wfuel - fuel weight [kg]
Wzf - zero fuel weight (at landing) [kg]
SFC - the mass flow rate of fuel per unit of thrust [kg/s/N]
TSFC/M - Specific fuel consumption based on thrust
R - Range [km]
tshell - “shell” thickness [m]
Wb - takeoff weight
 - wing sweep angle
 - density
cruise - air density at cruise altitude
ρskin - density of fuselage skin
ρbend - density of fuselage stringers
qb - angle as indicated in Figure 9
Introduction
The significant expectations of the air-traffic passengers of 2050 such as economic growth,
increasing air travels, the need for social interactions across the globe, and greater flexibility between
593
____________________________________________________________________________________________
home and the workplace have been explored and indicated by a recent study (Airbus Group, 2011,
Delivering the future, Global Market Forecast 2011-2030). In addition, climate change imperative
demands a vision for a fuel efficient, environmentally friendly and performance and technology driven
aircraft to meet global need and N+3 goal-setting within the next 15 years have been recently
developed or proposed (Anonymous, 2010; Drela, 2010a, 2010b, 2011; Greitzer et al, 2010; Wahls,
2010). Blended-Wing-Body, Joined-Wing and Double-Bubble Wing configurations have been cited as
the most attractive of these novel transport aircrafts. Realizing that the upcoming air transportation
markets in the business jet type are also potential, the present work is devoted for exploring the
possibilities of introducing some of a number of visionary and pioneering ideas and upcoming
enabling technologies in a Conceptual Design Study of Quad-Bubble Business Jet (QB-BJ), which is
inspired by Double-Bubble (D.8) configuration (Drela, 2010a, 2010b, 2011; Greitzer et al, 2010).
The D8 series aircraft configuration is an advanced tube and wing aircraft that has been designed in a
newly developed process that is built up from first principles and incorporates the design and
optimization of the mission, the airframe, operations, and the propulsion system. The objective of the
process pivots on the global optimization of aircraft fuel burn compatible with other NASA N+3
requirements. Within such framework, the objective of the present work is to obtain a conceptual
design of Business Jet version of such vision with N+3 time frame as a baseline. The term Quad-
Bubble is adopted here since, among the technologically developed fuselage configurations, the
selected fuselage cross section has the quad-bubble features. Major ideas derived from N+3 aircraft
technologies, and D.8 concept introduced by Drela (2010a, 2010b, 2011), will be selectively applied
as appropriate and further elaborated in the Conceptual Design Study of a Quad-Bubble Business
Jet. The Conceptual Design and Aerodynamic Study is carried out focusing on its Aerodynamics
which includes Wing Planform Configuration and profiles, and their relationship to the Design
Requirements and Objectives. Possible Configuration Variants, Mission profile, Flight Envelope
594
____________________________________________________________________________________________
requirements, performance, stability, as well as the influence of propulsion configuration of QB-BJ
aircrafts are considered and elaborated. A statistical study and review on prevailing market demand
leads to the choice of a Reference Conventional Subsonic Business Jet (RC-BJ) as a baseline, which
will be used in assessing the merit of the QB-BJ aerodynamic and configuration design. The chosen
business jet accommodates 18 passengers as a baseline. Parametric study is performed on wing
planform, thickness, and twist optimization, with design variables including overall span plus chord,
sweep, thickness, and twist at several stations along the span of the wing to arrive at the best solution
meeting the design requirements and objectives, prior to a more structured optimization scheme.
Considerations are also given to range, maximum lift, stability, control power, weight and balance.
Particular attention has been given to identify and adopt concepts and technologies needed for
reduction in fuel per passenger-mile that may be available by 2035, and the adaptation of Drela's
wide “double-bubble” fuselage with beneficial pitching moment and carryover lift characteristics and
high Aspect Ratio nearly-unswept laminar wing. Other factors which have been identified to be
necessary for achieving N+3 goals are reviewed, selected and utilized, such as the “pi-tail”
configuration similar to that utilized for aft-fuselage-mounted engines; at the present stage,
conventional high efficiency engine with the appropriate choice of high bypass ratio will be utilized.
The merit of each feature is evaluated in terms of mission fuel burn, started with Drela’s Fuel Burn
considerations (Drela, 2010a, 2010b) which utilized Breguet’s formula for fuel weight as initial driver
to look for target lift to drag ratio of the QB-BJ and optimum passenger miles per gallon, following the
author simplified preliminary conceptual design approach (Djojodihardjo and Bari, 2015). The choice
of wing profile and fuselage is carried out selectively, first by comparing their characteristics as
specified, and later by using XFLR5 software (developed by Prof.Drela at MIT) and simulations
(Djojodihardjo and Bari, 2015; XFLR5 software, http://www.xflr5.com/xflr5.htm). Lesson learned from
NASA’s Green Flight Challenge Conceptual Design Approaches and Technologies as elaborated by
595
____________________________________________________________________________________________
Wells (2016) are considered to enable more efficient passenger aircraft. Basic conceptual design
cycle has been synthesized from established schemes (Raymer, 1992; Torenbeek, 1994, 2013;
Fielding, 1999; and Greitzer et al, 2010a, 2010b), as well as specific and relevant procedure
elaborated by the author and others (Djojodihardjo and Kim, 2015; Djojodihardjo and Kek, 2015;
Isikveren, 1999, 2002; Kafyeke, 2003; and Maldonado 2014), with critical iterative cycle to arrive at
plausible primary structure, aerodynamic performance, engine performance, trim and stability as well
as flight trajectory and takeoff performance.
Motivation, Objectives and Requirements
Motivation and Objectives
Research and development of transport aircraft technology in the upcoming period known as N+3
aircraft has been in progress, led by the inspiring work of Drela (2010a, 2010b, 2011), with several
variants of large commercial aircraft similar to that Boeing 737-800 in capacity. Noting that business
jet transport aircraft is also potentially significant, the present study attempts to apply the host of novel
ideas offered by D8 (double-bubble) aircraft configuration as appropriate to its application for
medium-to-large class business-jet with a conceptual design of a Quad-Bubble medium size business
jet, with a more stringent geometrical as well as other design and operational limitations compared to
the large airplane. In essence, the goal and objective of the present work is to obtain a conceptual
design of Business Jet version of Drela’s vision within the N+3 vision and time frame as a baseline.
Hence the main objectives of the present paper are the following.
1. To take a critical look at the salient features and technologies of Double-Bubble aircrafts, with an
emphasis on their aerodynamic and fuel burn performance as well as other green aircraft criteria,
and project these into the envisaged Quad-Bubble- Business Jet Conceptual Design.
596
____________________________________________________________________________________________
2. To elaborate the conceptual design of ‘Quad-Bubble Business Jet (QB-BJ)’ for 18 passengers.
The conceptual design will first address minimal technology insertion as implied by D8.1 which
offers N+2 level reductions in fuel burn, noise, and emissions
3. To assess the features and advantages of Quad-Bubble Business Jet (QB-BJ) with the baseline
(reference) Business Jet, in comparison to the Blended Wing Body Business jet (BWB-BJ) [11]
and Joined Wing Business Jet (JW-BJ) [19] worked out by the first author and colleagues at
conceptual phase, and other new designs.
N+2 (aircraft for the 1920-1925’s), N+3 (Aircraft for the 1930-1935’s) and Clean Sky Requirements
Mounting regulations of noise and emissions could render a noncompliant aircraft obsolete before
it flies, so noise and emissions are critical design goal requirements (Anonymous, NASA, 2012;
Anonymous, ICAO, 2010). The trend in aircraft fuel burn up to date and for the coming few decades
are illustrated in Figure 2, as implied by the trend and goal in Energy Intensity and Fuel Burn based
on Energy Intensity Reduction for Air Transport set by NASA Set Aggressive Technology Goal, Lee et
al (2000) and IPCC (Anonymous, IPCC, 2014). Active flow control has also been considered to be
relevant for a “green” aircraft technology. This subfield of fluid dynamics aims to improve the
aerodynamic performance of a body subject to airflow. It is generally applied as a technique to modify
the airflow around the body, thus having an effect on the pressure and shear stress distributions, and
consequently the lift and drag. Such technique has been incorporated by Maldonado (2014) and
Radespiel and Heinze (2013). The latter application is another novel project at the German
Aerospace Institute DLR.
597
____________________________________________________________________________________________
Figure 2: Trend and Goal in Energy Intensity and Fuel Burn based on Energy Intensity Reduction
for Air Transport (qualitative, adapted from Clean Sky 2 Joint Technical Proposal, Brussel 22 March
2015, and Szodruch and Schumann, 2009)
Agarwal (2012) cited a list of 25 new technologies, initiatives and operational improvements for green
aviation that may make air travel one of the greenest industries by 2050 identified by Aerospace
International (Anonymous, Aerospace International, 2009). Among these, selected enabling and
critical technologies for Business Jets for N+3 that should be considered in the conceptual design are
listed below.
1. “Biofuels – These are already showing promise; the third generation biofuels may exploit fast
growing algae to provide a drop-in fuel substitute.
2. Advanced composites – The future composites will be lighter and stronger than the present
composites which the airplane manufacturers are just learning to work with and use.
4. Wireless cabins – The use of Wi-Fi for IFE systems will save weight by cutting wiring -leading to
lighter aircraft.
7. Blended wing body aircraft - These flying wing designs would produce aircraft with increased
internal volume and superb flying efficiency, with a 20-30% improvement over current aircraft.
598
____________________________________________________________________________________________
10. Laminar flow wings – It has been the goal of aerodynamicists for many decades to design laminar
flow wings; new advances in materials or suction technology will allow new aircraft to exploit this
highly efficient concept.
12. Metal composites - New metal composites could result in lighter and stronger components for key
areas.
14. Quiet aircraft - Research by Cambridge University and MIT has shown that an airliner with
imperceptible noise profile is possible - opening up airport development and growth.
Market Studies and Statistical Studies for the Search of Reference Aircraft Configuration and
Design Specifications
Capitalizing on NASA GE-Cessna-Georgia Tech Studies (2010) to address future growth of air travel
demand the following Paradigm Changing Vision of Aviation suggests the need to develop mid-
size, efficient, low emission, quiet ~20 passenger aircraft to utilize the existing community airport
infrastructure for direct point-to-point travel, and for the first phase, to identify key enabling
technologies for small airliners. The paradigm guiding the technology development is aimed to gain
the following benefits: reduced congestion at major airports, freeing them to serve large aircraft,
total travel time, fuel consumption, noise, emissions, and travel stress, as well as to gain positive
economic impact on communities surrounding small airports.
Based on Commercial/ Business Jet Classification (adapted from Bombardier Business Aircraft,
Market-Forecast, 2015-2034) and four popular general aviation aircrafts compared in terms of the
Green Flight Challenge metrics (Wells, 2016), a selected Light and Mid-size Business Jets Green
Performance are assessed in the light of best economy power and mixture at 8000 foot altitude as
exhibited in Table 1.
599
____________________________________________________________________________________________
Table 1 Selected Light and Mid-size Business Jets Green Performance
While the entire mission was not examined, the data give an idea of where current general aviation
aircraft would score in the Green Flight Challenge. Associated with this, the design of QB-BJ
configuration for business jet will start with the survey and statistical analysis of the current medium
size business jet available in the market. A statistical analysis is carried out to find the spread of data
and determine an acceptable target aircraft design specification, by considering various relevant
parameters such as Passenger capacity, Range, TOGW, Take-off and Landing distance, Wing
Loading, L/D, Engine Power, Service Ceiling and rate of climb. The state of the art and progress of
conventional Business Jets as found in the market are also considered. This market statistical
analysis studies are exhibited in Figure 1, and results for medium business jets shown in Table 2, to
be used for further identification of a reference Business jet for novel design.
600
____________________________________________________________________________________________
Table 2 Statistical Studies for Reference Aircraft Configuration and Design Specifications
The selected baseline reference conventional business jet (RC-BJ) will be utilized as a baseline for
and post assessment of the conceptual design efforts. For such purpose, a host of business jet
601
____________________________________________________________________________________________
aircraft data has been compiled and summarized in Table 2. The Table shows the preliminary
outcome of a series of design studies exhibiting various characteristics of DB-BJ (Djojodihardjo and
Bari, 2015), BWB-BJ (Djojodihardjo and Kek, 2015) and JW-BJ (Djojodihardjo and Kim, 2015).
Figure 1 Market Statistical analysis.
602
____________________________________________________________________________________________
Conceptual Design Philosophical Approach
Depending on the requirements of time and resources deemed appropriate by the airframe
manufacturer, the conceptual definition phase itself cannot be branded as adhering to one type of
mind-set. There exist two tiers under this phase, one aimed at establishing a very quick (time-scale
can be from one to a few weeks) yet technically consistent feasibility study some call pre-design, and
the other would be a protracted and labor intensive effort involving more advanced first-order trade
studies to produce a refinement in defining the minimum goals of a candidate project. The conceptual
design approach followed in the present work result in a configuration depicted in Figure 3.
One strategic equation that characterize the conceptual design key parameters, following Drela
(2010a, 2010b, 2011), is the fuel burn. To that end, the Breguet equation, as given by Drela (2010a):
  TSFC CD R  TSFC CD R
W fuel = Wzf exp   − 1  Wzf    (1)
  M CL a   M CL a
Figure 3 Comprehensive Conceptual and Aerodynamic Design Philosophy Flow Chart
603
____________________________________________________________________________________________
is useful to obtain a simple analytic estimate of the mission fuel burn, which is valid for the dominant
cruise portion. The linearized approximate form on the right hand side of Equation (1) is accurate for
short to medium range aircraft. Here Wfuel is the fuel burn of the aircraft for the range R, WZF is the
zero-fuel landing weight, M is the speed of sound which could be taken as fixed, TSFC/M is the
engine specific fuel consumption, and CD/CL is the drag/lift ratio.
Aircraft Configuration and Design Specifications
A preliminary outcome of the design studies for QB-BJ (Djojodihardjo and Bari, 2015), is shown in
Table 3, and compared to other design study results in the design study series of BWB-BJ
(Djojodihardjo and Kek, 2015) and JW-BJ (Djojodihardjo and Kim, 2015). Further detail is elaborated
in (Djojodihardjo and Bari, 2015). The selected RC-BJ will be utilized as a reference for and post
assessment of the conceptual design efforts. For such purpose, a host of business jet aircraft data
has been compiled and summarized in Table 2.
The design of QB-BJ configuration for business jet will start with the survey and statistical
analysis of the current medium size business jet available in the market. A statistical analysis is
carried out to find the spread of data and determine an acceptable target aircraft design specification,
whereby various performance and design parameters of the baseline business jet aircrafts were
determined and listed. The state of the art and progress of conventional Business Jets as found in the
market are also considered.
This comprehensive statistical study produced some candidate business jets to be utilized as
reference design requirements and objectives, in-lieu of market study. The design parameters and
performance specifications of several business jets were compiled and organized systematically. One
of these candidate business jets is selected as the conceptual design target, subject to further
overriding considerations.
604
____________________________________________________________________________________________
Table 3 Comparison of Quad-Bubble-Business Jet (QB-BJ) Configuration and Performance to

Reference Conventional Business Jet (RC-BJ) and conceptual Blended Wing Body and Joined Wing
Configurations
The analysis includes the review, classification and structured grouping of the aircrafts’
specification and performance such as number of passengers, maximum range, takeoff gross weight,
empty weight, cruise speed, service ceiling, takeoff distance and landing distance. The conceptual
design study results exhibited in Table 3 are the first trial result of the QB-BJ to be assessed in
comparison to the characteristics of the baseline Reference Conventional Business jet (RC-BJ) in the
first column. These data will be used as a reference for determining the Design Requirements and
Objectives (DR&O) in the present conceptual design of Quad-Bubble- Business Jet (QB-BJ).
605
____________________________________________________________________________________________
Design Mission
To reach our mission statement goals, the idea of a long range business aircraft was chosen. By
looking at long range business aircraft currently in production and choosing attributes that are
believed will contribute to improvements, the design missions are identified:
• 12 – 18 Passengers + 4 Crew
• Cruise Altitude at 40,000ft
• Cruise Speed 0.80 Mach
• Range of 12,501 km
• Takeoff Field Length 800-850 m
• Landing Field Length 1700-1800 m
Mission profile utilized in the present conceptual design is illustrated in Figure 4. The first iteration
refers to conventional one, while in the successive iteration, the mission profile recommended for
environmental concern (Anonymous, ICAO, 2010; Anonymous, GE-Cessna-Georgia Tech, 2010;
Anonymous, IPCC, 2014; Barron, 2009; Lee et al, 2000; Szodruch and Schumann, 2009; Welge et
al, 2010) is utilized. A high operating ceiling has many benefits.
By choosing a cruise altitude of greater than 40,000 feet (although within green aircrafts altitude
requirements), the business jet will operate above the majority of air traffic altitude allowing for higher
speeds and a cruise/climb method, increasing altitude as the aircraft becomes lighter from burning
fuel. This method improves the overall efficiency of the engines and decreases fuel burn. Timely
flights are a desirable characteristic that consumers desire in a business jet. High cruise speed
directly correlates to the flight duration. Therefore, a cruise speed of 0.80 Mach is chosen as a
baseline based on statistical data of combined high speed and fuel efficiency. Also considering cruise
606
____________________________________________________________________________________________
altitude acceptable by environmental regulation, cruise velocity for 10 years to come can be assumed
to be the similar to the RC-BJ. A range of 12500 km is a typical design mission range for the aircraft.
Destination flexibility is also important for a desirable business jet solution. With a takeoff field
length of 800-850 meter and a landing field length of 1700-1800 meter, these aircrafts will have
access to many small airports; this reduces the aircraft design’s reliance on larger and more
congested terminals and, thereby, improves turnaround time and decreases wait times.
It is not reasonable to expect the designed aircraft to operate at the full design mission at all times.
Therefore, the typical operating mission is chosen to carry 12-18 passengers, with 4 crews, over
approximately 12000 km. This mission allows for travel between many transcontinental cities. As a
reference, a flight from London to New York is 5577 km. While this mission does not fully utilize the
aircraft’s capabilities, the short takeoff and landing capacity will allow for more opportunities for
shorter range flights in a given time frame. For the typical Mission Profile illustrated in Figure 4, the
bottom figure provides a recommended fuel-efficient flight profile in comparison with the traditional
one that would minimize emission and the fuel consumption. Although this profile will increase the
aircraft performance, it is not currently being utilized due to several constraints that need to be
considered in parallel with the fuel efficiency. Among them are the weather, safe aircraft separation,
tactical and operational demands of airspace boundaries. Putting these constraints aside, this is the
preferred flight profile for the QB-BJ in 10 years to come.
Preliminary configuration design
Airfoil Selection
For 2D airfoil selection in the conceptual design, a basic and simple approach was adopted by
analyzing chosen airfoil using Airfoil Investigation Database [16] and on-line Airtool software [17],
607
____________________________________________________________________________________________
which are interactive database and programs. Eppler, Liebeck, NACA airfoil series were analyzed for
the QB-BJ conceptual design.
The airfoil selection process was focused on the airfoil characteristics to achieve favorable pressure
distribution, maximum lift coefficient and lift-to-drag ratio. The required L/D is 25 and maximum lift
coefficient is 0.85. The QB-BJ will have somewhat better L/D compared to RC-BJ for meeting the
DRO. With that, six airfoils meet this requirements however only those that is classified as laminar
flow airfoil are considered as in Table 4.
Among them, the thinnest possible super-critical airfoil is selected in order to reduce critical Mach
number and to reduce drag divergent Mach number. Thus such choice will allow the aircraft to fly in
the higher part of the transonic range while avoiding the presence of shock wave on it, thus avoiding
undesirable drag rise as well as environmental noise propagation. By inspection, the NACA 64A-010
10% was selected for current conceptual design of QB-BJ as in Figure 5. The lift and pressure
distribution from XFLR5 analysis of such wing profile is presented in Figure 6. In view of the criticality
of the wing design, further iteration should be made for its improvement to achieve the desired and
optimum aerodynamic and overall performance.
608
____________________________________________________________________________________________
Figure 4 Mission profile; (Top) Conventional one for first estimate; (Bottom) Recommended
profile for fuel-efficient aircraft in successive iteration
Figure 5 Chordwise pressure distribution of NACA 64A-010
609
____________________________________________________________________________________________
Table 4: Comparison of several airfoils considered for QB-BJ
Wing Loading
The wing loading is computed based on two constraints:
iii. Stall velocity, Vstall
iv. Landing distance
The following data has been considered:
The typical stall for RC-BJ = 51.44 m/s
Cruise altitude, hcruise = 12192 m
Air density at cruise altitude = 0.302 kg/m3.
It is also noted that due considerations should be given to the choice of low or high wing loading to
assess its associated weight, structural stresses and overall weight penalty. Through parametric
studies, the lowest wing loading is chosen in order to obtain the maximum wing area for maximum
610
____________________________________________________________________________________________
takeoff gross weight. Also, when the wing loading decreases, the thrust required per unit wing area
will be reduced. In addition, a lower wing loading is more favorable from aerodynamic lift
considerations. From the choices of Wing Loading using data from Stall Velocity and Landing
Distance that have already been assessed using the foregoing considerations as exhibited in Table 5,
the wing loading for the QB-BJ design is taken to be 714.7 (N/m2)..
Table 5 Wing Loading Determination using data from Stall Velocity and Landing Distance
Wing Loading, W/S

Constraints Remarks
(N/m2)
Stall Velocity 1380.3 Moderate
Landing distance 1 714.7 Low
Landing Distance 2 1400.0 High
XFLR5 3889.7 Highest
\Figure 6 NACA 64A-010 10% airfoil lift and pressure distribution from XFLR5 [10]
611
____________________________________________________________________________________________
Thrust Loading and Engine Selection
The determination of the thrust loading is based on two constraints: Take-off Distance and Rate of
Climb. The results of the thrust based on these constraints are tabulated in Table 6.
Thrust loading based on rate of climb has been selected because the engines to be selected later
should produce the thrust required at all points in the flights, which is critical during take-off and
requires largest thrust. The maximum thrust TMax required during climb just after lift-off is 12138.8 N
with the intended range for this aircraft of 12500 km.Transport aircraft which travel in this range is
categorized as long haul aircraft and it falls under the transport aircraft category. Engine candidates
are tabulated in Table 7, from which an appropriate choice of engine candidate can be selected as
baseline.
Table 6 Calculated Thrust
Table 7 Engine Candidates.
612
____________________________________________________________________________________________
Requirements on Cabin and Fuselage Aerodynamic and Structural Design
The fuselage serves a multitude of functions and should meet various requirements. Since it
houses the cabin, it should meet safety, passenger and crew members well-being and airline
requirements. The configuration and cabin lay-out should be acceptable to the passengers, and there
are also psychological aspects considerations.
The Quad-Bubble (or D8) configuration basically follows “tube and wing” configuration, and as such
will follow closely the structural design considerations of (Drela, 2010a, 2010b, 2011; Greitzer, 2010a,
2010b). Aerodynamically, the fuselage should be designed to carry some lift (lifting body
considerations) and have less drag. The dimensions of the cabin are dictated by an aerodynamically
optimized shape in which compromises are made concerning the efficiency of the structure.
Following the philosophy of D8 transport aircraft, the airframe structural and weight models treat the
primary structure elements as simple geometric shapes, with appropriate load distributions imposed
at critical loading cases. The fuselage is assumed to be a pressure vessel with one or more
“bubbles”, with added bending loads, and sized to obtain a specified stress at specified load
situations. The wing is assumed to be cantilevered or to have a single support strut, the resulting
fuselage, wing, and tail material volumes, together with specified material density, and then gives the
primary structural weight. The secondary structural weights and non-structural and equipment
weights are estimated via statistical studies following historical weight fractions.
Following D8 philosophy, the fuselage is modelled as a side-by-side “Double-bubble” pressure
vessel with an ellipsoidal nose end-cap and a hemispherical tail end-cap, which is subjected to
pressurization, bending, and torsion loads. Due considerations are given to the placement of the
landing gear which could reduce the bending load at the wing-fuselage junction.
Fuselage cross-section, shell/web junction tension flows, and torsion shear flow from vertical tail load
should be given careful considerations, with an optional bottom fairing. Hence, following Drela’s work,
613
____________________________________________________________________________________________
the fuselage cross-section is transformed from (a) to (b) in Figure 7, hence the adoption of Quad-
Bubble fuselage configuration in the present QB-BJ.
Figure 7 Double Bubble (left) and Quad-Bubble (right) Fuselage Cross-Section in Drela's D8
Aircraft
Following the structural design philosophy of Drela (2010a, 2010b, 2011) for the fuselage design, the
conceptual design of
QB-BJ arrives at configuration shown in Figure 8 and Table 9. In addition the geometry also
considers cabin design requirements as previously mentioned and ergonomics.
614
____________________________________________________________________________________________
Table 8 Conceptual Fuselage Dimension [9]
Figure 8 Considerations for fuselage cross-section, shell/web junction tension flows, torsion
shear flow from vertical tail load, and landing gear load, adapted from Drela (2011), Greitzer (2010a)
Figure 9 Fuselage cross-section, shell/web junction tension flows, and torsion shear flow
from vertical tail load. An optional bottom fairing extends down by the distance Rfuse. Fuselage
frames are not shown.
(Greitzer et al, 2010a, 2010b)
Particular attention should be given to the structural design of the “Quad-Bubble” fuselage structure,
as illustrated in Figure 9, following the Structural Detail philosophy and analysis of Greitzer et al
(2010). Here, the Fuselage cross-section, salient shell/web junction tension flows, and torsion shear
flow from vertical tail load are depicted. An optional bottom fairing extends down by the distance Rfuse.
615
____________________________________________________________________________________________
The detail of the structural calculation following the present conceptual design to insure the structural
strength and integrity requirement could be carried out following closely Greitzer’s analysis (2010a,
2010b). Of particular attention is the effect of qb, hqb, Rfuse to the skin thickness in Figure 9. The skin
has some modulus and density Eskin, ρskin, while the stringers have some possibly different values
Ebend, ρbend. The effective modulus-weighted “shell” thickness tshell can then be defined, assuming that
only the skin and stringers, but not the frames, contribute to bending.
Cabin Initial Weight Estimation
The initial weight estimation is carried out based on best and conventional estimate. The results are
shown in Tables 9 and 10.
Table 9 Initial weight estimation of pilots and air-crew
Taking cabin standards [11], standards for the QB-BJ cabin are tailored according to the
requirements of the specific scenario. The main geometric standards (such as class ratios, seat pitch,
seat width, aisle width, toilets per passenger, and stowage spaces) are influenced on the one hand by
the relevant characteristics of the different scenarios, but on the other hand by general premises
having impact on all of the scenarios as well. These are the continuous growth of human being’s
dimensions known as acceleration, enhanced in-flight safety and medical facilities (Eelman, 2010).
616
____________________________________________________________________________________________
Table 10: Passenger Compartment for QB-BJ Configuration
Figure 10. Reference Business Jet Cabin Compartment Arrangement
Figure 11 QB-BJ cabin with seats arrangement (optional, front view)
Figure 12 An example of Interior Configuration that can be considered in customizing the interior
617
____________________________________________________________________________________________
In the design of the present QB-BJ configuration for 12-18 passengers with first class quality, the
aisle width, seat pitch and seat width will be based on the typical passenger compartment safety,
comfort and airline requirements. For the Aisle height, reference will be made to the RC-BJ in Figures
12 to 14. Thus, the passenger compartment for this QB-BJ configuration can be defined as shown in
Table 10. Figures 10, 11 and 12 depict the cabin lay-out of the present QB-BJ conceptual design.
Center of Gravity
Computation of the center of gravity distance of the center body proper yields a value of 10.77 m from
the nose datum. Table 11 and Figure 13 exhibit the skeleton of the Weight Distribution along the
Center Cabin Body.
Figure 13 Schematic of Weight Distribution along the Center Cabin Body
618
____________________________________________________________________________________________
Table 11 Weights Arrangement along the fuselage and CG calculation
This center of gravity excludes sections 2 and 3 which are located between the inboard and tip of the
QB-BJ wing sections. The location and length of the Mean Aerodynamic Center (MAC) of the QB-BJ
wing is important because the wing is joined to the fuselage in this area so that careful considerations
of the relative position (or alignment) of entire wing MAC with the aircraft center of gravity should be
taken into account in the conceptual design. This provide first estimate of the wing position to attain
the required stability characteristic. As first estimate for a stable aircraft, the calculation was done
such that it follows Raymer (1992) approach and depicted in Figure13; this will be followed by further
iteration.
Lift Distribution
619
____________________________________________________________________________________________
The fraction of the aircraft lift coefficient at cruise can be summarized as follows:
CL = CL−wing + CL− fuse + CL−tail + CL−nacelle
At cruise, the total CL was calculated to be 0.295. With such information and considering suggestion
from [Drela, 2010a, 2010b, 2011; Greitzer, 2011; Anonymous, NASA, 2012], the C L-fuse was found to
be 0.065.
Figure 14 Lift Distribution for QB-BJ at cruise
Using the data from Barron (20090), the lift coefficient of lifting-body designed fuselage and the
nacelles can be appropriately estimated. Based on typical fuselage angle of attack at cruise of 3 o, the
620
____________________________________________________________________________________________
lift coefficient is estimated to be 0.07. Based on center of gravity estimation from previous analysis, it
is found that the CG position is in the front of the Aerodynamics center (AC) with moment arm of
0.61m.
An assumption is also made that the AC is located at about quarter-chord of the wing which is a
typical value for a subsonic aircraft. The moment arm for the horizontal tail on the other hand was
found to be 13.87m. Using this data and appropriate estimate of the tail aerodynamics and the
longitudinal stability analysis (Raymer, 1992), the CL-tail can be estimated to be -0.068. With these
values, the wing coefficient is then calculated and found to be 0.284. For validation, the CL-wing was
analyzed by using XFLR5 software and it is found that the value is 0.320 which suggest the
calculated value is relevant. The lift distribution is depicted in Figure 6 for the wing and Figure 14 for
the lateral lift distribution of the wing-body-tail of the aircraft. It should be noted that as elaborated by
Drela (2010) that similar longitudinal lift distribution will prevail in the present QB-BJ configuration.
Selected Detailed Analysis
Static Margin (S.M) Estimate
The estimation of the static margin for the QB-BJ is crucial in order to determine the stability of
current conceptual design. Stated in terms of S.M, S.M>0 is favorable for stability criterion. From
(Djojodihardjo and Bari, 2015), it was calculated that the S.M for the QB-BJ is 13.167% MAC which is
in the range of many business jets and indicates that the aircraft is stable. Although this value been
considered as normal in various commercial aircrafts, one can conclude that it is too stable which
would render maneuverability. More refined and detailed iterations are currently under progress for
better performance.
621
____________________________________________________________________________________________
Flight Envelope
The V-n diagram of flight envelop was determined according to the mission profile and FAR
regulation. According to Raymer (1992) and Sadraey (2012), the flight envelope was constrained by
aerodynamic limit curve and structural limit line.
Meticulous and careful judgment was initiated into the calculation for the QB-BJ and also RC-BJ for
comparison purpose as depicted in Figure 15. Initial estimate suggest that the QB-BJ possess better
performance compared to the RC-BJ.
Figure 15 V-n diagram for Conceptually Designed QB-BJ
However for a transonic flying aircraft, drag contribution from the wave is an issue that need to be
considered. Therefore further iteration is currently in progress to enhance performance especially to
reduce this drag while maintaining the aircraft aerodynamic efficiency.
Figure 16 QB-BJ Conceptual Design phase dimension
622
____________________________________________________________________________________________
Table 12 Summary of QB-Business Jet Configuration and Performance in Comparison with RC-BJ
623
____________________________________________________________________________________________
Summary of Preliminary Conceptual Design
Refined weight estimation and detailed aerodynamic analysis using CFD are progressively carried out
(Djojodihardjo and Bari, 2015). Table 11 exhibits the arrangement of weights based on conventional
payload and engine along the fuselage Table 12 shows the summary of the Quad-Bubble-Business
Jet (QB-BJ) Configuration and Performance in comparison to the Reference Conventiona Business
Jet (RC-BJ).
Based on similar premises and estimates using Drela’s and Greitzer’s work, the following
results were obtained, i.e. 76% fuel saving and better for the same Flight Range compared to the RC-
BJ model. This is in line with Drela’s work in identifying concepts and technologies required for 70%
reduction in fuel per passenger-mile from current technology baseline, to be further elaborated in
future work. The detail are elaborated in Table 12 and Table 13.
Table 13 Comparison of Wfuel and TSFC for QB-BJ and RC-BJ
The preliminary dimension of the QB-BJ is depicted in Figure 16 along with the CG estimation. The
Lift distribution along the QB-BJ is exhibited in Figure 10, which has been meticulously computed
using XFLR5 (Anonymous, [10] and elaborated in (Djojodihardjo and Bari, 2015).
624
____________________________________________________________________________________________
A three-view impression of QB-Business Jet Configuration conceived is exhibited in Figure 17. Table
3 compares the QB-Business Jet Configuration and Performance with RC-BJ. Assessment of the
merit of the QB-BJ conceptual and aerodynamic design exhibited in Table 3, which displays the
comparison of various relevant characteristics of Quad-Bubble-Business Jet (QB-BJ) Configuration
and Performance to Reference Conventiona Business Jet (RC-BJ) and conceptual Blended Wing
Body and Joined Wing Configurations carried out in the study series. Further refinement of the
conceptual design can follow the right block of Figure 6, which is an adaptation of Drela’s optimization
loop.
Figure 17 Three-view Impression of QB-Business Jet
Discussions
A thorough review of Green Aircraft – Clean Sky Paradigm and Enabling Aircraft Technology Goal
and Effort as reflected by NASA N+2 and N+3 Aircraft Development and Projection of Market need
for Small to Medium Business Jets for the 2020-2035 time frame has been carried out and motivated
625
____________________________________________________________________________________________
a series of Business Jets Conceptual Studies exemplified by the present Quad Bubble Business Jet
(QB-BJ) Conceptual Studies. The term Quad Bubble (four bubbles) is an adaptation of Drela’s Double
Bubble concept and configuration to the proposed conceptual design of QB-BJ to optimize many
design variables.
The specification and performance of selected aircrafts was plotted in graphs to facilitate
identification of potentially appealing characteristics or performance. A tolerance of 25% was set for
the potential points. Aircrafts with the specification and performance within the tolerance point are
tabulated. By inspection, the baseline aircraft or aircrafts to be chosen as a reference can be
identified. Statistical analysis for the search of the baseline or reference aircraft is carried out by
considering various relevant parameters such as Passenger capacity, Range, TOGW, Take-off and
Landing distance, Wing Loading, L/D, Engine Power, Service Ceiling and rate of climb. From such
statistical analysis, a list of baseline parameters for the reference aircraft(s) are identified in Figure 1
and tabulated in Table 1.. Table 3 compares the QB-BJ configuration to the design baseline aircraft,
RC-BJ, which is similar to the characteristics, specifications and performance to the candidate
Conventional Business Jet chosen in the statistical study. In the aerodynamic analysis, the
conservative estimate of the L/D ratio of the QB-BJ configuration is 25, which is higher than a typical
conventional business jet aircraft represented by the reference RC-BJ.. Such result indicates the
promising desirable aerodynamic characteristics using further optimization scheme.
In the theoretical approach, preliminary calculations have been made based on lifting surface
method on both QB-BJ and RC-BJ planform wing. Hence, it can be concluded that the QB-
configuration is able to generate lift over wing span higher compared to conventional aircraft as
represented by the RC-BJ. More detailed comparison could be made in the computational approach
and a simulation of flow on the simulated QB-BJ aircraft section by section.
626
____________________________________________________________________________________________
Table 14 Comparison of Quad-Bubble-Business Jet (QB-BJ) Configuration and Performance to
Reference Conventional Business Jet (RC-BJ), conceptual Blended Wing Body and Joined Wing
Configurations, and Isikveren and Maldonado Design parameters.
The conceptual QB-BJ has Quad-Bubble fuselage section that allows wide-body-like cabin. The
design of QB configuration, similar to and inspired by the design philosophy of Drela (2010a, 2010b,
2011), contributes towards significantly lower weight and fuel burn of the overall QB-BJ configuration.
Overall, the QB-BJ as conceived has met or rated better than the intended improvement in
comparison to the RC-BJ as exhibited in Table 14. These conceptual design serves as indication of
further elaborations that need to be pursued, in view of many emerging excellent ideas and novel
technologies and meeting future challenges.
The specification and performance of these aircrafts was plotted in graphs to facilitate identification
of potentially appealing characteristics or performance. A tolerance of 25% was set for the potential
627
____________________________________________________________________________________________
points. Aircrafts with the specification and performance within the tolerance point are tabulated. By
inspection, the baseline aircraft or aircrafts to be chosen as a reference can be identified. Statistical
analysis for the search of the baseline or reference aircraft is carried out by considering various
relevant parameters such as Passenger capacity, Range, TOGW, Take-off and Landing distance,
Wing Loading, L/D, Engine Power, Service Ceiling and rate of climb.
The ‘Pi-Tail’ configuration is initially chosen in order to ‘hide’ the engines (the engines to be placed
on top of fuselage). This will reduce the drag of engine (compared to wing mounted engine
configuration). Therefore, laminar flow around the wing can be achieved (because the wing is ‘clean’
without engine as noted by Drela [2010a], Twin-fin “Pi-tail” configuration contributes to lighter
horizontal tail, increases clh /CL and allows smaller Horizontal Tail. In addition to CMAC and xCG
reduction, Drela’s D8 configuration with Pi-tail has less-negative CMac and larger clh/CL and results
in smaller cruise Horizontal Tail downward load for given Static Margin. It is also noted that Pi-Tail
has been incorporated in Drela’s D8.0 configurations for current technology with wing-mounted
engines and the configuration using Boundary Layer Ingestion for aft-mounted engines.
Further work can be carried out to compare the overall performance between QB-BJ wing-mounted
engine (with ‘pi-tail’), QB-BJ with top-fuselage-mounted engine (between vertical tails of ‘phi-tail’) and
QB-BJ wing-mounted engine (with “pi-Tail” as well as with ‘T-tail’).
The N+3 challenges implies the reduction of the amount of NO and CO from the exhaust gas. One
of the efforts that can lead to such results can start from the reduction of fuel burn following Drela’s
[20101, 2010b, 2011] and Greitzer’s [2011] work. The present conceptual design work focuses on
aerodynamic design that may lead to such result, such as the minimization of drag and the
optimization of CD/CL. The choice of appropriate engines will also contribute to these challenges.
628
____________________________________________________________________________________________
Further work which incorporate trade-off studies such as implied by Drela and Greitzer’s work could
be carried out in this direction.
Quantitative studies regarding capability of QB-BJ to reduce the noise level compared to
conventional RC-BJ will be the subject of further studies. In the present work, the aerodynamic design
carried out and the use of similar technologies stipulated by Drela and Greitzer work have been
considered.
The detail of the analysis for the operating cost/hour for QB-BJ and its comparison with current BJ
will be the subject for future work. Present analysis shows that based on fuel usage consideration, it
is estimated that some 75% savings in the operating cost can be achieved. Fuel cost/per seat/per km
for QB-BJ is estimated to be 24% of the baseline RC-BJ. The information is elaborated in Table 12,
Summary of QB-Business Jet Configuration and Performance in Comparison with RC-BJ
Conclusions
Following an iterative conceptual design approach that have taken into considerations a host of
requirements and strategic technologies selection, using a meticulously identified Reference
Conventional Business Jet as a baseline a conceptual and aerodynamic design of Quad Bubble
Business Jet (QB-BJ) have been formulated. The philosophical conceptual design approach utilized
Breguet’s formula for fuel weight as initial driver to look for target lift to drag ratio of the QB-BJ and
optimum passenger miles per gallon. In the theoretical aerodynamic approach, preliminary
calculations have been made based on lifting surface method on both QB-BJ and RC-BJ planform
wing. It can be concluded that the QB-BJ configuration is able to meet the superior anticipated
performance and requirements of an N+2 mid-size class business jet as compared to conventional
aircraft represented by the RC-BJ. Finally, a list of baseline parameters of the present Quad Bubble
Business Jet (QB-BJ) Conceptual Studies have been compared to the baseline reference aircraft and
629
____________________________________________________________________________________________
other previously studied Blended-Wing-Body and Joined Wing, as well as to some relevant baseline
parameters of
Acknowledgement
The author would like to thank Mr.Mohamad Anas Abd Bari for his assistance and contributions in the
early part of the work.
References
Agarwal, R. (2012), Review of Technologies to Achieve Sustainable (Green) Aviation, Intechopen,

http://cdn.intechopen.com/pdfs/28820/InTech-Review_of_technologies_to_achieve_sustainable_green _aviation. pdf,
accessed on 20th June 2015.
Anonymous, Aerospace International (2009), The Green Issue, Aerosociety, U.K., March, published
by the Royal Aeronautical Society of U.K.
Anonymous, European Commission (2015), Clean Sky 2 Joint Technical Proposal, Brussel 22 March.
Anonymous, ICAO (2010), ICAO Environmental Report 2010, Chapter 2: Aircraft Technology
Improvement, http://legacy. icao.int/icao/en/ env2010/Pubs/ EnvReport 2010/ ICAO-Env Report 10-
Ch2-en.pdf, accessed 30 March 2013.
Anonymous, IPCC (2014), Climate Change 2014, Mitigation of Climate Change, Cambridge U Press-
ipcc_wg3_ar5_full, accessed on 20th June 2014.
Anonymous, MIT, Aurora Flight Sciences, Pratt & Whitney, (2010), Final_presentation, NASA N+3
MIT Team Final Review. Executive Summary, 23 April 2010,
http://web.mit.edu/drela/Public/N+3/Final_slides.pdf, accessed 30 November 2016
Anonymous, NASA (2012), Green Aviation - A Better Way to Treat the Planet,
green_aviation_fact_sheet_web- Accessed 2 December 2012.
Anonymous, GE-Cessna-Georgia Tech (2010),N+3 Small Commercial Efficient & Quiet Air
Transportation for Year 2030-2035, NASA Contract NNC08CA85C,
http://aviationweek.typepad.com/files/nasa_ge final_report _out_4.22.10.pdf, accessed 30 November 2016.
Anonymous, 1999, 2002, XFLR5 software, http://www.xflr5.com/xflr5.htm, accessed on 20th June 2014.
Barron, P. (2009), NATS and the Environment Report, http://www.nats.aero/wp-

content/uploads/2010/06/ NATSEnvironmentPlan.pdf, accessed 27 June 2014.
630
____________________________________________________________________________________________
Berger R. (2011), On the runway to recovery, Business Aviation Study 2020, Development of the
Business Aviation industry after the crisis, Hamburg, July.
Djojodihardjo H. and Bari M.A. (2015), Quad-Bubble- Business Jet Aerodynamic and Conceptual Design Study,
International Journal of Mechanical & Mechatronics Engineering IJMME-IJENS Vol: 15 No: 06.
Djojodihardjo H and Kek A L W (2015), Hybrid Wing Body Business Jet Conceptual Design and
Aerodynamic Study, International Journal of Mechanical & Mechatronics Engineering IJMME-IJENS
Vol: 15 No: 02, pp 42-55.
Djojodihardjo H and Kim E F (2015), Conceptual Design and Aerodynamic Study of Joined-Wing
Business Jet Aircraft, Journal of Mechanics Engineering and Automation 3, pp 263-278.
Drela M. (2010a), Development of the D8 Transport Configuration, AIAA2011_3970, AIAA

Appl.Aero.Conf, 2011, web.mit.edu/drela/Public/papers/Hawaii_11/Drela_AIAA2011_3970.pdf.,
accessed 27 June 2014
Drela M., (2010b), An Integrated Approach to the Design-Optimization of an N+3 Subsonic Transport,
MIT, AIAA 28th Applied Aerodynamics Conference.
Drela M. (2011), Development of the D8 Transport Configuration, AIAA 29th Applied Aerodynamics
Conference.
Eelman S (2010), Airlines magazines, “Scenarios of European Airport Capacity and the Implications
for Aircraft Technology in the Year 2020”, Accessed 12th December 2010, <http://www.aerlines.nl/
index. php/2005/scenarios-of-european-airport-capacity-and -the-implications-for-aircraft-technology-
in-the-year-2020.
Fielding, J.P. (1999), Introduction to Aircraft Design, Cambridge Aerospace Series, Cambridge
University Press, UK.
Greitzer E.M. (2010a), N+3 Aircraft Concept Designs and Trade Studies, Final Report, Vol.1, MIT,
2010,
Greitzer E.M. el al (2010b), N+3 Aircraft Concept Designs and Trade Studies, NASA CR-2010-
216794-Vo 2-2010.
Hamel et al (2009), Conceptual Design of an N+2 Supersonic Airliner, AIAA 2009-7075.
Isikveren, A. (1999), Design and Optimisation of a 19 Passenger Turbofan Regional Transport, 1999
World Aviation Conference October 19-21, 1999 San Francisco, CA, Paper 1999-01-5579, Copyright
© 1999 by SAE International, and the American Institute of Aeronautics and Astronautics, Inc.
Isikveren, A. (2002), Quasi-Analytical Modelling and Optimization Techniques for Transport Aircraft
Design, PhD Thesis, Royal Institute of Technology (KTH).
631
____________________________________________________________________________________________
Kafyeke, F.(2003), Aircraft Design - Aerodynamic Integration Issues,, https://www.scribd.com/document

/226993584/774-pdf, accessed 15 November 2016.
Lee, DS et al (2000), Identifying Uncertainties in Radiative Forcing of Climate from Contrail and
Cirrus, DERA, http://contrailscience.com/files/Contrail_Uncertainties.pdf., accessed on 20th June 2014.
Maldonado, V. (2014), Conceptual Design of the Trans Atlantic as a Research Platform for the
Development of “Green” Aircraft Technologies, WASET 2014
Radespiel R, Heinze W. (2013), SFB 880 - Fundamentals of High-Lift for Future Commercial Aircraft.
Deutscher Luft- und Raumfahrtkongress, Stuttgart, September 10.-12.
Raymer D.P. (1992), Aircraft Design: A Conceptual Approach, 2nd Ed. AIAA, New York, NY, USA.
Sadraey M. (2012), Aircraft Design: A systems Engineering Approach, Chapter 5, Wiley Publication,
USA,faculty.dwc.edu/sadraey/ Chapter%205.%20Wing%20Design.pdf, accessed 27th June 2014.
Szodruch J. and Schumann U. (2009), “DLR climate research and aircraft technologies,” ICAS
Program Committee Workshop, Amsterdam, September 2009.
Torenbeek, E. (1994), Synthesis of Subsonic Airplane Design, Springer, Berlin, Germany.
Torenbeek, E. (2013), Advanced Aircraft Design: Conceptual Design, Technology and Optimization of
Subsonic Civil Airplanes, John Wiley, Springfield, Mass, USA.
Wahls, R. (2010), N+3 Technologies and Concepts, Green Aviation Summit Integrated Solutions for
Fuel, Noise, and Emission Reduction, NASA Ames Research Center September 8-9, 2010,
http://www.aeronautics.nasa.gov/pdf/wahls_2 _green_aviation_summit.pdf, accessed 30 November 2016.
Welge R.H., Nelson C. and Bonet J. (2010), Supersonic Vehicle Systems for the 2020 to 2035
Timeframe, AIAA paper 2010-4930, 28th AIAA Applied Aerodynamics Conference 28 June - 1 July
2010, Chicago, Illinois.
Wells, D.P., (2016) NASA Green Flight Challenge: Conceptual Design Approaches and Technologies
to Enable 200 Passenger Miles per Gallon, http://www.nasa.gov/pdf/584453main_
Green_Flight_Challenge_TAGGED.pdf, accessed, 10 November 2016.
632
____________________________________________________________________________________________
XX
COMPUTATIONAL STUDY ON THE AERODYNAMIC PERFORMANCE OF WIND

TURBINE AIRFOIL FITTED WITH COANDS JET4854
H. Djojodihardjo,1,2 M. F. Abdul Hamid,2 A. A. Jaafar,3 S. Basri,3 F. I. Romli,2f. Mustapha,2 A. S.

Mohd Rafie,2 and. L. A. Abdul Majid2
1 Universitas Al Azhar Indonesia, Kebayoran Baru, Jakarta 12110, Indonesia
2Department of Aerospace Engineering, Universiti Putra Malaysia, 34400 Serdang, Selangor, Malaysia
3 Faculty of Manufacturing Engineering, University Malaysia Pahang, 26300 Kuantan, Pahang, Malaysia
Correspondence should be addressed to H. Djojodihardjo; harijono@djojodihardjo.com
ABSTRACT
Various methods of flow control for enhanced aerodynamic performance have been developed and
applied to enhance and control the behavior of aerodynamic components. The use of Coandă effect
for the enhancement of circulation and lift has gained renewed interest, in particular with the progress
of CFD. The present work addresses the influence, effectiveness, and configuration of Coandă-jet
fitted aerodynamic surface for improving lift and L/D, specifically for S809 airfoil, with a view on its
incorporation in the wind turbine. A simple two-dimensional CFD modeling using k-e turbulence
model is utilized to reveal the key elements that could exhibit the desired performance for a series of
S809 airfoil configurations. Parametric study performed indicates that the use of Coandă-jet S809
airfoil can only be effective in certain range of trailing edge rounding-off radius, Coandă-jet thickness,
and momentum jet size. The location of the Coandă–jet was found to be effective when it is placed
close to the trailing edge. The results are compared with experimental data for benchmarking. Three
dimensional configurations are synthesized using certain acceptable assumptions. A trade-off study
on the S809 Coandă configured airfoil is needed to judge the optimum configuration of Coandă-jet
fitted Wind-Turbine design.
Keywords: CFD, Coandă Effect, Flow Control, Lift Augmentation, Wind-Turbine.
NOMENCLATURE
4854 Reprinted from Hindawi Publishing Corporation, Journal of Renewable Energy Volume 2013, Article ID 839319, 17 pages,
http://dx.doi.org/10.1155/2013/839319
633
____________________________________________________________________________________________
CFD Computational Fluid Dynamic  Density
CCW Circulation Control Wing

 Turbulent Viscosity, as defined by Equation (2)
R Trailing edge radius (mm)
HAWT Horizontal Axis Wind Turbine
C Airfoil chord length (m)
M Mach number
L Lift force (N)
C Turbulent Model Constant, as defined by Equation (2)
D Drag force (N)
H Coandă-jet thickness (mm) C Momentum coefficient

L/D Lift over drag ratio
C L
Lift augmentation
TE Trailing Edge CL
STOL Short Takeoff Landing

C L
Lift augmentation due to Coandă-jet
y +
Dimensionless wall distance for a wall-bounded flow C
u Friction velocity MW Megawatt
MWh Megawatt hour

y Distance to the nearest wall
v Kinematic viscosity
w Wall shear stress
1. INTRODUCTION
In line with the efforts to enhance the use of green energy technology for energy extraction,
conversion as well as propulsion, the fundamental principles and mechanisms that play key roles in
these technologies have been the focus in many current research efforts as well as the present
research work, since these have the eventual potential of national development significance. Since
one of the first attempts to generate electricity by using the wind in the United States by Charles
Brush in 1888 [1], wind energy has been utilized for electricity generation using large Wind-Turbines
in many wind-farms with potential wind-energy inland as well as off-shore. It has been estimated that
roughly 10 million MW of energy are continuously available in the earth’s wind [2]. The technical
potential of onshore wind energy is very large, 20 X 10 9 to 50 X 109 MWh per year against the current
total annual world electricity consumption of about 15 X 10 9 MWh. The global wind power capacity
installed in the year 2004 was 6614MW, an increase in total installed generating capacity of nearly
20% from the preceding year.
Wind energy conversion research and development efforts have their origin on fluid physics,
thermodynamics and material sciences. Learning from various innovations introduced in aircraft
technology, wind energy technology can take advantage of flow circulation modification and
enhancement.
Flow control for enhanced aerodynamic performance has taken advantage of various techniques,
such as the use of jets (continuous, synthetic, pulsed, etc), compliant surface, vortex-cell and the like
[3 – 16]. These active control concepts can dramatically alter the behavior of aerodynamic
components such as airfoils, wings, and bodies. Specifically, modified and enhanced circulation have
634
____________________________________________________________________________________________
been utilized for improved aircraft and land-vehicle performance as well as in novel air-vehicles lift
and propulsion system concept, due to their better energy conversion capabilities [17 – 23]. The
potential benefits of flow control include improved performance and maneuverability, affordability,
increased range and payload, and environmental compliance. Active flow control may be applied to
delay or advance transition, to suppress or enhance turbulence, or to prevent or promote separation,
that will result in drag reduction, lift enhancement, mixing augmentation, heat transfer enhancement,
and flow induced noise suppression [24], as appropriate. It could be mentioned, that more recently
plasma-based flow control has also been considered for wind turbine applications [25 – 28]. Such
efforts may involve the design of “smart” wind turbine blades with integrated sensor-actuator-
controller modules to improve the performance of wind turbines, by enhancing energy capture, and
reduction of aerodynamic loading and noise by way of virtual aerodynamic shaping. These are
beyond the scope of the present work.
In this conjunction, and with the progress of CFD, the use of Coandă effect to enhance lift has
attracted renewed interest [4 – 7, 10 – 14, 17, 29]. Tangential jets that take advantage of Coandă
effect to closely follow the contour of the body are considered to be simple and particularly effective in
that they can entrain a large mass of surrounding air. This can lead to increased circulation in the
case of airfoils, or drag reduction (or drag increase if desired) in the case of bluff bodies such as an
aircraft fuselage.
In the design of a novel Wind-Turbine using with the latest aerospace engineering technology,
including aerodynamics, new lightweight materials, and efficient energy extraction technology, highly
efficient aerodynamic surface came as a key issue. Recent efforts in the last decade have also
indicated that Coandă effect has been given new and considerable considerations for circulation
control technique [17, 19, 20, and 29]. Taking advantage of these recent results, the present work
looks into the effort to optimize aerodynamic performance of Wind-Turbine and to critically investigate
the use of Coandă effect.
The progress of high speed computers exemplified by the availability of new generations of
notebooks has made possible the use of first-principles-based computational approaches for the
aerodynamic modeling of Wind-Turbine blades, to name an example. As pointed out by Xu and
Sankar [17], since these approaches are based on the laws of conservation of mass, momentum, and
energy, they can capture much of the physics in great detail. These approaches are particularly
helpful at high wind speeds, where appreciable regions of separation are present and the flow is
unsteady.
In the design of circulation control technique, one may note the progress of stall-controlled and
pitch controlled turbine rotor technology for dealing with power production at low and high wind
conditions, as pointed out by Tangler et al [30]. Of interest is the deployment of Wind-Turbines at
larger range of sites not limited to a relatively small number of sites where favorable conditions exist.
At the other extreme, precautions should be taken when the wind speeds become very high, when
the rotor invariably stalls and experiences highly unsteady aerodynamic forces and moments. It is
noted that over the past several years, there has been an increased effort to extend the usable
operating range of stall regulated Wind-Turbines. The concepts of circulation control through trailing
edge (TE) blowing, or Coandă-jet, then came into view.
635
____________________________________________________________________________________________
However, over the past decades, commonly used airfoil families for horizontal axis Wind-Turbines
such as the NACA 44-, NACA 23-, NACA 63-, and NASA LS (1) series airfoils suffer noticeable
performance degradation from roughness effects resulting from leading-edge contamination [30].
Annual energy losses due to leading-edge roughness are greatest for stall-regulated rotors. The loss
is largely proportional to the reduction in maximum lift coefficient (c l,max) along the blade. High blade-
root twist helps reduce the loss by keeping the blade's angle-of attack distribution away from stall
which delays the onset of cl,max. Roughness also degrades the airfoil's lift-curve slope and increases
the profile drag, which contributes to further losses. For stall regulated rotors, whose angle of attack
distribution increases with wind speed, the annual energy loss can be 20% to 30% where leading
edge contamination from insects and airborne pollutants is common. Variable-pitch toward stall would
result in similar roughness losses as fixed-pitch, stall regulation, while variable-pitch toward feather
would decrease the loss to around 10% at the expense of the rotor being susceptible to power spikes
in turbulent high winds. For variable-rpm rotors operating at constant tip-speed ratio and angle of
attack distribution, the loss is minimal at around 5% to 10%. To minimize the energy losses due to
roughness effects and to develop special-purpose airfoils for Horizontal Axis Wind Turbine (HAWT’s),
the National Renewable Energy Laboratory (NREL), formerly the Solar Energy Research Institute
(SERI), and Airfoils Inc. began a joint airfoil development effort in 1984. Results of this effort have
produced a new series of airfoils which are considered more appropriate for HAWT applications.
These blades are providing significant increases in annual energy production as a result of less
sensitivity to roughness effects, better lift-to-drag ratios, and, in the case of stall-regulated rotors,
through the use of more swept area for a given generator size. Because of the economic benefits
provided by these airfoils, they are recommended for retrofit blades and most new Wind-Turbine
designs [30].
Annual energy improvements from the NREL airfoil families are projected to be 23% to 35% for
stall-regulated turbines, 8% to 20% for variable-pitch turbines, and 8% to 10% for variable-rpm
turbines. Optimizing an airfoil's performance characteristics for the appropriate Reynolds number and
thickness provides additional performance enhancement in the range of 3% to 5% [31]. Because of
the economic benefits provided by these airfoils, they are recommended for retrofit blades and most
new Wind-Turbine designs [30]. In order to obtain results that can be well assessed, especially with
reference to extensive research carried out as described in [17, 19, 20, 29], the airfoil S809 [31] is
considered in the present work. For this purpose, in this particular work we focus to a particular
problem, i.e. the basic airflow idealization over a two-dimensional airfoil in subsonic flow. Two specific
conditions are considered. The first is a clean S809 airfoil and the second is the GTRI Dual Radius
CCW airfoil that has already been investigated thoroughly, for benchmarking. The Coandă effect
studies are carried out on S809 airfoil.
2. PROBLEM FORMULATION
Circulation control wing (CCW) technology is known to be beneficial in increasing the bound
circulation and hence the sectional lift coefficient of airfoil. This technology has been extensively
investigated both experimentally and numerically [3 – 22, 29 – 31, 32] over many years. Circulation
control is implemented by tangentially blowing a small high-velocity jet over a highly curved surface,
such as a rounded TE.
636
____________________________________________________________________________________________
This causes the boundary layer and the jet sheet to remain attached along the curved surface due
to the Coandă effect (i.e. a balance of the radial pressure gradient and centrifugal forces) and causing
the jet to turn without separation. The rear stagnation point location moves toward the lower airfoil
surface, producing additional increase in circulation around the entire airfoil. The outer irrotational
flow is also turned substantially, leading to high value of lift coefficient comparable to that achievable
from conventional high lift systems, as illustrated in Figure 1(b) [4]. Tongchitpakdee [19, 20] observed
that early Circulation Controlled Wing designs typically had a large-radius rounded TE to maximize
the lift benefit. These designs, however, also result in high drag penalty when the jet is turned off.
One way to reduce this drag is to make the lower surface of the TE a flat surface, while keeping the
upper surface highly curved. This curvature on the upper surface produces a large jet turning angle,
leading to high lift. In this conjunction, the ability of circulation control technology to produce large
values of lift advantageous for Wind-Turbine design since any increase in the magnitude of the lift
force (while keeping drag small, and L/D high) will immediately contribute to a corresponding increase
in induced thrust and torque will be taken into consideration.
Numerical simulation carried out by Tongchitpakdee [19, 20] looked into two approaches of
introducing Coandă-jet, i.e., at the appropriately chosen point in the vicinity of the trailing as well as
leading edge. A leading edge blowing jet was found to be helpful in increasing power generation at
leading edge separation cases, while a TE blowing jet otherwise.
(a)
(b)
Figure 1: (a) Circulation Control Wing/ Upper Surface Blowing STOL Aircraft Configuration,
from [4]; (b) Coandă- jet tangential blowing over TE surface for Lift Enhancement, from [5]
637
____________________________________________________________________________________________
With such background, the present work is aimed at the search for favorable Coandă-jet lift
enhanced configuration for wind-turbine designs, focusing on two-dimensional subsonic flow, by
performing meticulous analysis and numerical simulation using commercially available CFD Code.
Results obtained from recent researches will be utilized for directing the search as well as for
validation. For example, best lift enhancing configuration found by Tongchitpakdee [19], i.e. lower part
of the TE surface to be flat, will be incorporated in the present numerical investigation. Case studies
performed here use baseline chord dimension of 1m airfoil chord length. Two values of free stream
velocities55 are investigated, i.e. 5.77 m/sec and 14.6 m/sec, corresponding to Reynolds number of
3.95 x 105 and 106, which should fall within the typical situations for large wind-turbines.
3. OBJECTIVES
To arrive at desired design configurations, one is lead to come up with desired logical cause and
effect laws as well as to find ways to carry out optimization schemes. It is with such objectives in mind
that using numerical analyses, parametric studies can be carried out and may offer some clues on
relevant parameters which may be utilized in a multi-variable optimization (and to a larger scale,
multi-disciplinary optimization). The present work will investigate the influence, effectiveness and
configuration of Coandă-jet fitted aerodynamic surface, in particular S809 airfoil, for improving its Lift
Augmentation and L/D, with a view on its incorporation in the design of wind-turbine. In addition,
parametric study is carried out for obtaining optimum configuration of the Coandă effect lift enhanced
airfoil. The comprehensive results as addressed in the objective of the work will be assessed to
establish key findings that will contribute to the physical basis of Coandă-jet for lift enhancement in
aerodynamic lifting surfaces, and an analysis based on physical considerations will be carried out
with reference to their application in propeller (or helicopter rotor) and wind-turbine blade
configuration for design purposes. The feasibility and practicability of Coandă configured airfoil for
wind-turbine applications are assessed.
4. COMPUTATIONAL MODELING AND SALIENT FEATURES OF CFD COMPUTATIONAL

SCHEME
4.1. Governing Equations: Reynolds-Averaged Navier-Stokes
Two-dimensional incompressible Reynolds-averaged Navier-Stokes (RANS) equation will be
utilized to perform the analysis and to obtain numerical solutions on a computational grid surrounding
a reference airfoil. The governing equation is given by (steady state and ignoring body forces):
Viscous stress
ui    u uj  _ _ _ _ 
uj =  − pij +  i +  −  ui 'uj '  (1)
x j x j   x j x i  
  
Change in mean
momentum of
55 fluid element
Note that the free stream velocity in the present two-dimensional study is equal to the resultant velocity contributed by the rotation of the Wind-
Turbine blade (at a selected baseline radial position, say 0.7 R, with R the radius of the wind-turbine rotor) and the free stream velocity of the
ambient air.
638
____________________________________________________________________________________________
Normal stress Reynolds stress
and
ui
=0
x i
Computational fluid dynamics codes will be used to analyze the flow around two-dimensional
airfoil. Various CFD codes are available, and are alternatively utilized. A careful review and analysis
of the application of the first principle in the numerical computation is carried out prior to the utilization
of commercially available CFD codes for the present study. For validation of the computational
procedure, resort is made to appropriate inviscid case, and on line aerodynamic codes are utilized.
For a two-dimensional geometry the mesh generator partitions the subdomains into triangular or
quadrilateral mesh elements [33]. Care should be exercised in the choice and generation of the
computational grid, which will be elaborated subsequently.The comprehensive results as addressed
in the objective of the work are assessed to establish key findings that will contribute to the physical
basis of Coandă-jet for lift enhancement in aerodynamic lifting surfaces. An analysis based on
physical considerations is carried out with reference to its application in wind-turbine blade
configuration for design purposes.
The basis of the computational approach in the present work is the two-dimensional incompressible
Reynolds-averaged Navier-Stokes (RANS) equation (1) and its implementation into the CFD
equation. When pursuing further the numerical solution of dynamic fluid flow using CFD techniques,
in order to arrive at accurate solution, at least two aspects should be given careful attention, with due
consideration of computational uncertainties. The first is the grid generation, and the second is the
turbulence modelling of the particular flow. The first is based on computational algorithm including the
choice of appropriate grid; the grid fineness should be chosen to obtain efficient solution, which is a
combination of computational speed and accuracy. The second is the turbulence modelling, which is
based on physical modeling of real flow. Associated with turbulence modelling, the wall boundaries
are the most common boundaries encountered in fluid flow problems. Turbulent flows are significantly
affected by the presence of walls. The successful prediction of wall bounded turbulent flows relies on
the accuracy with which the flow in the near wall region is represented. Experiments have shown that
the near-wall region can be subdivided into several layers, characterized by the value of y+, which
include the viscous sublayer, where the laminar property is dominant, the fully-turbulent region which
consists of the turbulent logarithmic layer for a range of y+ values, and the outer layer, as
schematically exhibited in Figure 2 (b). The no-slip condition at stationary walls forces the mean
velocity components to a zero magnitude, and can also significantly affect the turbulence quantities. If
the grid distribution is fine enough so as to satisfy the no-slip condition, near wall treatment is not
necessary [34 – 45]
639
____________________________________________________________________________________________
4.2. Turbulence Modeling Considerations

Turbulence modeling in CFD is very essential in the choice of grid fineness and obtaining the
correct simulation of particular flow field. For this purpose, one has to choose a particular model out
of a host of available turbulence models developed to date. One of these turbulence models that is
considered to be appropriate and user friendly is the k −  turbulence model, without disregarding
other models that may be suitable for the purpose of the present work.
The k-epsilon turbulence model was first proposed by Harlow and Nakayama [34], and further
developed by Jones and Launder [46]. Continuing extensive research has been carried out to
understand the nature of turbulence, and this theory has been further elaborated and many other
theories have also been introduced such as elaborated in [47], which seem to be satisfactory for only
certain classes of cases. The turbulent viscosity models based on Reynolds Averaged Navier-Stokes
(RANS) equations (1) are commonly employed in CFD codes due to their relative affordability [48].
However, since the choice of turbulence model and associated physical phenomena addressed are
relevant in modeling and computer simulation of the flow situation near the airfoil surface considered
here, a closer look at turbulence models utilized by the CFD code chosen will be made. Although the
practical implementation of turbulence model, especially, for the near-wall treatment, has been some
somewhat of a mystery [48], the numerical implementation of turbulence models has a decisive
influence on the quality of simulation results. In particular, a positivity-preserving discretization of the
troublesome convective terms is an important prerequisite for the robustness of the numerical
algorithm [48]. The k −  model introduces two additional transport equations and two dependent
variables: the turbulent kinetic energy, k , and the dissipation rate of turbulence energy,  . Turbulent
viscosity is modelled by using the Komolgorov-Prandtl expression for turbulent viscosity
k2
  = C  (2)

where C  is a model constant. In expression (2)   was based on the eddy viscosity assumption
introduced for convenience of further analysis by Boussinesq [49] to draw analogy between the
momentum transfer caused by turbulent eddies and the viscosity in laminar flow.
The dimensionless distance in the boundary layer, sub-layer scaled, representing the viscous sub-
layer length scale, plays significant role in capturing relevant physical turbulence phenomena near the
airfoil surface commensurate with the grids utilized in the numerical computation. In this regards, the
flow field in the vicinity of the airfoil surface is usually characterized by the law of the wall, which
attempts to identify intricate relationships between various turbulence scaling in various sublayers.
For example, the wall functions approach (wall functions were applied at the first node from the wall)
utilized by k −  turbulence model uses empirical laws to model the near-wall region [48] to circumvent
the inability of the k −  model to predict a logarithmic velocity profile near a wall. The law of the wall is
characterized by a dimensionless distance from the wall defined as
u y
y+ = (3)

Subject to local Reynolds number considerations, the wall y+ is often used in CFD to choose the
mesh fineness requirements in the numerical computation of a particular flow.
640
____________________________________________________________________________________________
Based on preliminary attempts to choose the appropriate turbulence model which yields desirable
results, in the present work, k- turbulence model is chosen [34, 35]. In the framework of eddy
viscosity based turbulence models, the flow of a turbulent incompressible fluid is governed by the
Reynolds-averaged Navier-Stokes (RANS) equation (1) for the velocity u and pressure p.

For practical implementation purposes, it is worthwhile to introduce an auxiliary parameter = to
k
linearize the equations of the k- turbulence model using the following equivalent representation
k   
+ .  ku − T k  + k = Pk
t  k 
(4a)
   
+ .  u − T   + C2 k = C1Pk (4b)
t  k 
k
The corresponding linearization parameter is given by  = C . Hence the standard k- turbulence
T
k2
model is based on the assumption that T = C where k is the turbulent kinetic energy and  is the

T
and  are responsible for production and dissipation of turbulent
2
dissipation rate. Pk = u +  u T
2
kinetic energy, respectively. The default values of the involved empirical constants are Cμ = 0.09, C1
= 1.44, C2 = 1.92, k = 1.0, ε = 1.3.
Following iterative procedure elaborated by Kuzmin [35], with prescribed homogenous Neumann
boundary condition and impermeable wall, it remains to prescribe the wall shear stress as well as the
boundary conditions for k and  on the wall. The equations of the k- model are invalid in the vicinity
of the wall, where the Reynolds number is rather low and viscous effects are dominant. Therefore,
analytical solutions of the boundary layer equations are commonly employed to bridge the gap
between the no-slip boundaries and the region of turbulent flow. The friction velocity u τ is assumed to
satisfy the nonlinear equation
u 1
= log y + +  (5)
u 
valid in the logarithmic layer, where the local Reynolds number

u y
y+ =
 (6)
ν is in the range 11.06 ≤ y+ ≤ 300. The empirical constant  equals 5.2 for smooth walls. Note that the
above derivation results in the boundary value of the turbulent eddy viscosity ν T is proportional to ν.
Indeed,
k2
 T = C = u  y = y*+  (7)

641
____________________________________________________________________________________________
u
where y +* = . Based on such information, the search for appropriate grid fines, in addition to the
u
outcome of grid finess ratio study, is also guided by plausible comparison of the validation of CFD
computational results of the test airfoil with experimental values. Here the CFD code utilized using y +
value of 11 and as suggested by Kuzmin [35] was found to yield satisfactory results as indicated
there. Figure 2 below shows the influence of y+ in representing the boundary layer near the wall.
Figure 2 : Typical y+ values in the turbulent boundary layer and Velocity profiles in wall units for
subsonic flow over flat plate, M = 0.2, Re = 1  106, medium grid. (Source: Menter [50]; Salim and
Cheah [51]; (b) Effect of turbulence models on the upper surface, mid-chord boundary layer (M = 0.1,
Re = 5.74  104, Nozzle Pressure Ratio = 1.4) [52]
Various studies [23, 46, 48, 53] have indicated that integrating of the k −  type models through the
near-wall region and applying the no-slip condition yields unsatisfactory results. Therefore, taking into
account the need for effective choice of grid mesh compatible with the turbulence model adopted
using the commercial CFD code, a parametric study is carried out on two airfoils where either
experimental data or computational results are available, to validate the computational procedure,
turbulence model and grid size chosen and establish their plausibility for further application in the
present work. The idea is to place the first computational nodes outside the viscous sublayer, and
make suitable assumptions about how the near-wall velocity profile behaves, in order to obtain the
wall shear stress. Hence, the wall functions can be used to provide near-wall boundary conditions for
the momentum and turbulence transport equations, rather than conditions at the wall itself, so that the
viscous sublayer does not have to be resolved and the need for a very fine mesh is circumvented.
The wall functions in COMSOL®[54] are chosen such that the computational domain is assumed to
start at a distance y from the wall (see Figure 3).
By applying the wall function at the nodes of the first meshing layer of the computational grid at a
distance y from the wall (airfoil) surface, practically the meshing-layer of width y is removed from the
computational domain, thus reducing the total number of grids involved, and hence reducing the
computational time. Kuzmin[48] has introduced a wall function that is able to control the y+ value such
that the y distance will not fall into the viscous sublayer, which could jeopardize the wall function
642
____________________________________________________________________________________________
assumption made. The smallest distance of y+ that can be defined, following Grotjans and Menter
[53], corresponds to the point where the logarithmic layer meets the viscous sublayer.
1 1
The distance y is automatically computed iteratively by solving y+ = logy + +  = logy + + 5.2 so that
k 0.41
,
u y y k2
y+ = = u   , where u = C  (which has been further derived by Kuzmin et al [48] to be equivalent to
  
1
u = C  4 k )is the friction velocity, and is equal to 11.06. This corresponds to the distance from the wall
where the logarithmic layer meets the viscous sublayer. Hence, the value of y, as represented by the
choice of the computational grid size, can never becomes smaller than half of the height of the
boundary mesh cell [54], as illustrated in Figure 3(a). This means that y + can become higher than
11.06 if the mesh is relatively coarse. The k −  variables are not specified a priory, but during the
computation using CFD software, k −  variable values are implicitly set to obtain acceptable y+
values that provide relatively rapid convergence and accuracy (as validated with appropriate data).
U/Uτ buffer layer fully turbulent region

Viscous
sublayer or or
blending region log-law region
1.2(1.2y)
1.2y
y
ln(Uτ(y)/v)
(a) (b)
Figure 3: For wall functions, the computational domain starts a distance from the wall. (a) Grid
generation followed from COMSOL®4.2 User’s Guide; (b) The structure of turbulence boundary layer,
adapted from Menter [23]
Therefore, care is exercised in the choice of grids in the vicinity of the airfoil, to obtain a certain
acceptable error tolerance (which may also be attributable to numerical error and uncertainties). The
plausibility of the numerical results will be judged by comparison to other established results in the
literature (numerical or experimental) for specific cases. In the present study, it was found that the
turbulence intensity of 5% and length scale of 0.01m yield results that agree with benchmarking data.
It is noted, that Howell et al [55, 56] also uses this value and turbulence intensity of 1% in his
numerical study on VAWT.
643
____________________________________________________________________________________________
5. COMPUTATIONAL SET-UP AND VALIDATION

5.1. Computational Grid
In the present work, the grids were constructed following free mesh parameter grid generation
using an algebraic grid generator and varied from extremely coarse up to extremely fine grids.
However, for the S809 airfoil case, near the surface of the airfoil, boundary-layer based meshing is
carried out throughout. Grid sensitivity study on the lift force per unit span for clean airfoil at zero
angle of attack is plotted in Figure 4.
Figure 4 shows that the lift and drag is virtually insensitive of the size of the grid generated. The
grid sensitivity study has lead to an acceptable grid sizes in the range of fine up to extra fine grid size,
since within this range the lift as well as the drag forces do not change appreciably. The associated
range of free mesh parameters (ranging from extra fine to fine meshing grid size) are defined in Table
1.
In order to control the y+ value (set at 11.06, on the airfoil surface), the maximum element size
was set at 0.005, while at the TE rounding-off surface the maximum element size was set at 0.001. At
the Coandă-jet outlet, the surface is divided into a minimum of 10 grid meshes. To obtain acceptable
computational results using CFD code, appropriate boundary layer mesh properties should be
carefully chosen and the thin boundary layers along the no-slip boundaries should be resolved into
mesh layers commensurate with the grid fineness. A boundary layer mesh is a quadrilateral mesh
(2D flow) with dense element distribution in the normal direction along specific boundaries to resolve
the thin boundary layers along the no-slip boundaries. The boundary layer properties chosen are
defined in Table 2.
(a) (b)
Figure 4: Grid sensitivity study for clean S809 airfoil at zero degree angle of attack; (a) Lift force
per unit span; (b) Drag force per unit span.
644
____________________________________________________________________________________________
Table 1
The range of free mesh parameters
Parameter Range
Maximum element size 0.156 – 0.42
Minimum element size 0.018 – 0.12
Maximum element growth
1.08 - 1.13
rate
Resolution of curvature 0.25 - 0.3
Resolution of narrow
1
regions
Along with the requirement of the y+ value to capture the salient turbulent flow field sublayers, a
range of values of the grid dimension could be chosen to represent the thickness of the first meshing
sublayers. In the present example the grid dimension were chosen to be between 0.00005m –
0.0002m, commensurate with the curvature on the airfoil surface. Having chosen the thickness of the
elements of the first meshing layer adjacent to the airfoil surface, the following consecutive layers
were expanded with an expansion factor of 1.2, for eight consecutive layers. Another option can be
taken to allow thickness adjustment of the first meshing layer, by choosing the thickness adjustment
factor [54]; for the present study, the thickness adjustment factor of one was chosen.
645
____________________________________________________________________________________________
Figure 5: Computational Grid around a Typical Airfoil, shown here for S809 Coandă configured Airfoil
Table 2
Computational grid meshing-layer properties
Parameter Range
Number of mesh layers in the
8
boundary layers
Boundary layer mesh expansion
1.2
factor
Thickness of first mesh layer 0.00005 –
0.0002
Thickness adjustment factor 1
The grid generator is sufficiently general so that one can easily vary the jet slot location and size.
Grid spacing and clustering can have significant effects on Wind-Turbine load and performance
predictions [56]. The outer boundary is placed far away from the blade surface, at least at six chord
lengths (6C) from the airfoil surface, to avoid significant influence from outer boundary into the interior
domain and to allow the disturbances to leave the domain [20]. The computational domain and the
grid in the vicinity of the airfoil surface and Coandă-jet slot are exhibited in Figure 5.
5.2. Initial and Boundary Conditions
In general, the initial conditions are set to be equal to the properties of the free-stream flow
condition [19]. The flow properties everywhere inside the flow field are assumed to be uniform and set
to the free-stream values. The following initial values are used:
u = u , v = v  =  p = p T = T (8)
The outer boundary is placed far away from the blade surface, at a minimum of 6 chords (6C).
Nonreflecting boundary conditions are applied at the outer boundaries of the computational domain.
The jet is set to be tangential to the blade surface at the Coandă-jet nozzle location. The jet velocity
profile is specified to be uniform at the jet exit. On the airfoil surface, except at the jet exit, no-slip
boundary conditions are applied. To gain benefits, the jet velocity is here designed to be larger than
the potential flow velocity at the vicinity of the outer edge of the boundary layer. In addition, the
thickness of the Coandă-jet is designed to be less than the local boundary layer thickness.
Outer boundary conditions are chosen to minimize blockage effect, i.e. significant discrepancies
with free flight situations, whether theoretically or numerically simulated or experimental. Wall effects
blockage changes streamline curvature interaction boundary layers and these should be minimized.
The best measure is by carrying out computational experiments with reasonable outer boundaries of
the computational grid and validate with both outer potential flow results and numerical parametric
646
____________________________________________________________________________________________
studies. Both these rationale have shown that, for the case considered, an outer grid boundary
distance to the computational domain center-line of six chords produces results with high accuracy,
as can be justified in the results presented in Figure 5. It should be noted, however, that Figure 5
indicates that with higher angle of attack, far-field boundaries should be placed further away from the
airfoil.
5.3. Baseline Validation
Prior to its utilization, various baseline cases have been tried out, with favorable results. As a case
in point, for benchmarking purposes the code has been applied to calculate the lift-slope
characteristics of S809 airfoil (clean configuration, without Coandă) and GTRI CCW Dual Radius
airfoil (with Coandă), and compared to the results obtained by Somers [57], as shown in Figures 6,
and Englar et al. [5], as shown in Figure 7, respectively. The results as shown in both Figures
demonstrated the plausibility of the present numerical computational scheme.
(a) (b)
Figure 6: Comparison for validation of S809 airfoil of CFD computational results using COMSOL®k-e
turbulence model and experimental values from Somers [57]) at Re = 1E6; (a) Lift coefficient; (b)
Drag coefficient.
Computational results exhibited in Figure 6 served to validate the computational procedure

associated with the use of CFD code in the numerical simulation and as a baseline in furthering the
computational study of Coandă-jet in the present study. Figure 6 compares the present computational
simulation using k −  turbulence model and Kuzmin’s [48] wall function (the associated y+ value is
11.06) with the experimental data of Somers [57]. The numerical results above simulated similar
experimental conditions of Somers for clean S809 airfoil (with wall boundary conditions and without
Coandă-jet). It also shows that the lift and drag coefficient at zero angle of attack are in close
agreement with the experimental data.
Similar numerical simulation was carried out for GTRI Dual Radius CCW airfoil with leading edge
blowing and compared to the experimental data (in Figure 7) from Englar et al. [5] with the same
647
____________________________________________________________________________________________
boundary conditions and jet configuration using k −  turbulence model and Kuzmin’s wall function
[48]. Of significant interest are the grid size, the wall function and y+ value utilized for numerical
simulation. The associated y value for the cells adjacent to the airfoil surface was designed to be no
more than 0.0002m in order to satisfy the y+ value requirements, which were chosen to be 11.06.
The results exhibited in Figure 7 for this case is also encouraging due to the close agreement
between the present computation and the experimental data.
Figure 7: Comparison of lift-curve slope for GTRI Dual Radius CCW airfoil with LE blowing on CFD
computation using COMSOL® k-e turbulence model and experimental values from Englar et al [5] at
Re = 395,000
The results exhibited in both examples above serve to indicate, that the computational procedure
and choice of turbulence model seem to be satisfactory for the present computational study, and
could lend support to further use of the approach in the numerical parametric study.
All computations in the present study were performed on a laptop computer with a 2.10 GHz Intel
Core Duo processor, 4 GB of RAM, and 32-bit Operating System. Typical computation time for the
computation of the flow characteristics around a two dimensional airfoil is in the order of 4 hours with
around 300,000 degrees of freedom by using stationary segregated solver in k −  turbulent model
analysis. With such computational environment, which in consequence limits the computational grids,
the present work will seek and adopt appropriate CFD numerical procedures. Simplified theoretical
analysis is carried out prior to the modeling and numerical computation, while further theoretical
analysis will be carried out in evaluating the computational results.
6. RESULTS AND DISCUSSIONS

6.1. Design considerations for Coandă configured Airfoil
For the purpose of assessing the influence and the effectiveness of the Coandă enhanced L/D
and Lift Augmentation on wind-turbine blade, a generic two-dimensional study is carried out. The
problem at issue is how the Coandă-jet can be introduced at the TE of the airfoil, bearing in mind that
such design may recover any losses due to the possible inception of flow separation there. In
addition, for effective Coandă-jet performance, a curvature should be introduced. Furthermore, the
thickness of the Coandă-jet as introduced on the airfoil surface could have a very critical effect on the
648
____________________________________________________________________________________________
intended lift enhancement function. For best effect, the lower surface near the TE should be flat, as
suggested by Tongchitpakdee[19, 20]. The design of the Coandă-configured TE should also consider
the off-design conditions. With all these considerations, a configuration suggested is exhibited in
Figure 8.
Figure 8: TE construction of the Coandă configured airfoil (the jet flow is tangential to the rounded
circular sector).
6.2. Computational results for S809 airfoil
Next, we would like to investigate the influence of specifically designed airfoil geometry for Wind-
Turbine application, and for this purpose a typical S809, in clean and Coandă-jet equipped
configurations. S809 airfoil represents one of a new series of airfoils which are specifically designed
for HAWT applications [20]. For the present study, the numerical simulation was carried out at two
free-stream velocities. These are 5.77m/s (corresponding to Re = 3.95 x 10 5) and 14.6 m/sec
(corresponding to Re = 1 x 106), which represent low and high free-stream cases, respectively, while
the chord-length is maintained at c = 1m, and density at = 1.225 kg/m3. The baseline for assessing
the advantages of Coandă-jet from parametric study on S809 airfoil is the computational result for the
clean airfoil. The computational result for this baseline case has been validated by comparison of the
computational value for the same S809 airfoil to the experimental results based on wind-tunnel test. It
should be noted, that the flow field boundaries are different than those utilized for the parametric
study.
The two-dimensional numerical simulation study for the S809 airfoil is carried out in logical and
progressive steps. First, the numerical computation is performed on the clean S809 airfoil, then on
the Coandă configured S809 airfoil without the jet(i.e. after appropriate modification due to TE
rounding-off and back-step geometry), and then finally on Coandă configured S809 airfoil in its
operational configuration.
To address three dimensional wind-turbine configurations, particularly for the optimum design of a
Horizontal Axis Wind-Turbine (HAWT), logical adaptation should be made, taking into account the
fact that different airfoil profiles may be employed at various radial sections. Certain assumptions
have to be made in order to project two-dimensional simulation results to the three-dimensional case,
which may be necessary to evaluate the equivalent Betz limit.
649
____________________________________________________________________________________________
6.2.1. The influence of Coandă-jet on the flow off the TE
(a) (b)
Figure 9: Velocity Fields of S809 Airfoil; (a) with, and (b) without Coandă-jet.
The flow field in the vicinity of the TE for both configurations is shown in Figures 9a and 9b.
Careful inspection of these figures may lead to the identification of the geometry of the flow that could
contribute to increased lift, in similar fashion as that contributed by flap, jet-flap or Gurney flap. Figure
9b typifies the flow field around Coandă configured S809 airfoil without Coandă-jet (only with its back-
step configuration), which is used here to get insight to the action of the Coandă-jet.
6.2.2. Parametric study results for Coandă configured S809 airfoil
The TE radius plays an important role in the Coandă configured design airfoil, since it may
positively or negatively influence the downstream flow behavior. Thongcitpakdee [19, 20] had claimed
that the lower surface at the TE of the applied Coandă -jet should be flat in order to minimize the drag
when the jet is turned off. Also, as reported earlier by Abramson and Rogers [58, 59] in the late
1980’s, in spite of ability to generate more lift, the technique has not in general been applied to
production aircrafts. Many of the roadblocks have been associated with the engine bleed
requirements and cruise penalties associated with blown blunt TEs. In addition, there is a tradeoff
between the use of a larger radius Coandă configured airfoil for maximum lift and a smaller radius
one for minimum cruise drag.
In contrast to the needs of TE rounding-off radius, performance degradation associated with it
always stands as an issue due to the drag penalty when the jet is in the off mode.
(a)
650
____________________________________________________________________________________________
(b)
(c) (d)
Figure 10: (a) The effect of TE radius on L/D with Coandă-jet(Re = 1 x 106, C  = 0.005 , t = 1 mm);
Velocity flow field for different TE radius; (c) Lift coefficient; (d) Drag coefficient
To overcome such draw-back, the TE radius should be specificallly and carefully designed. For that
purpose, simulations at several TE radius (from 10mm to 50mm) have been performed, at a fixed
Coandă-jet momentum coefficient C ( C = 0.003 , considered just enough to fit with the Wind-Turbine
 
application), and at a constant free-stream velocity of V = 14.6 m (Re= 1 x 106), to investigate the
sec
effect of TE radius on the aerodynamic characteristics of Coandă configured airfoils.
Results exhibited in Figure 10 show that a higher L D can be achieved with a smaller TE radius(30
mm), and that the L is decreasing as the TE radius is increased from 30 mm to 50 mm. The effect
D
of TE radius on the lift augmentation is significant, as exhibitedby the dashed line in Figure 10.
However, when the TE radius is increased beyond certain value (in Figure 10, >> 35 mm), theTE
rounding-off seems to be ineffective, even detrimental.
Moving the location of the Coandă-jet forward implies the increase of the TE radius.
Consequently, the camber of the airfoil will also changed. This in turn will produce changes in the
angle of attack of the airfoil compared to the baseline case. Therefore, although the present study
looks into the influence of modifying TE radius, while holding other airfoil geometrical parameters
constant, the zero angle of attack condition is at best possible only as first approximation. The
robustness of the computational procedure adopted in the present computational set-up may be able
to take into account all these changes. Such a case is indeed revealed in Figure 10c and 10d
whereby the influence of all the changes of the geometricals variables accompanying the present
parametric study should have been incorporated in the computational scheme which is focused on
the TE radius changes and produce changes in L and D contributed also by the changes in the angle
651
____________________________________________________________________________________________
of attack. Additionally, these figures show that the changes in lift is much larger than the changes in
drag, as exhibited in Figures 10c and 10d.
Variation of the Coandă-jet thickness from 0.5 mm to 3.0 mm at a fixed C  ( C  = 0.005 ), and at a
constant free-stream velocity of V = 14.6 m sec (Re= 1 x 106) is performed to investigate the effect of
Coandă-jet thickness(also called jet-slot-thickness) on the aerodynamic characteristics of Coandă
configured airfoils. From Figure 11, it is found that a higher L/D can be achieved with a smaller
Coandă-jet thickness(1.0 mm), and that the L/D is decreased rapidly as the Coandă-jet thickness is
increased from 1.5 mm to 3.0 mm. A similar behavior is observed for the lift augmentation as
exhibited by the dashed line in Figure 11. However, generating a smaller jet requires higher pressure
than a larger one at the same momentum coefficient.
(a)
(b) (c)
Figure 11: (a) The effect ofjet thickness on the L/D and lift augmentation (Re = 1 x 106, RTE = 30 mm);
(b) Flow separation with t = 0.5 mm; (c) Flow separation with t = 3.0 mm
Since higher lift with as low mass flow rate as possible is preferred, a thin jet is more beneficial
than a thick jet [11]. From aerodynamic design perspective, within the range of agreeable power to
652
____________________________________________________________________________________________
generate Coandă-jet, a smaller Coandă-jet thickness is preferred, although further careful trade-off
study should be made. Separation occours earlier at thicker jet size compared to thinner jet size (see
Fig. 10b and 10c), even both were at the same jet momentum size.
The performance of Coandă configured airfoils is dependent on the jet momentum conditions,
which are important driving parameters. Figures 12a and 12b shows numerical simulation for a free-
stream velocity of 5.77 m/sec and 14.6 m/sec, respectively. In both free-stream velocity cases, when
the jet momentum coefficient C   0.004 , it did not generate a sufficiently strong Coandă effect that
could eliminates separation and vortex shedding, as also found by Tongchitpakdee [19]. The L/D
increases significantly with the increase of the jet momentum coefficient ( C  ) until the jet momentum
coefficient reaches C  = 0.008 . After this value, the effect is otherwise. Under fixed free-stream
velocity and fixed Coandă-jet thickness, the total mass flow rate increases linearly with the increase
of the jet momentum. Also the jet velocity ( VCoandă-jet) has to be increased with the mass flow rate to
keep a constant C  . The dotted line shown in Figures 12a and 12b shows that the maximum lift
augmentation is above 40 and 50, respectively. Figure 12c seems to indicate, that higher free stream
velocity on the Coandă configured S809 airfoil produces higher lift, while at the same time, as
exhibited in Figure 12d, produces lower drag.
v∞ = 5.77 m/s, Re = 3.95 x 105 v∞ = 14.6 m/s, Re = 1.0 x 106
(a) (b)
(c) (d)
Figure 12: The effect of jet momentum on the L/D and lift augmentation (RTE = 50 mm, tjet= 1 mm);
(a) Re = 3.95 x 105; (b) Re = 1.0 x 106
653
____________________________________________________________________________________________
C  = 0.005 C  = 0.010
(a) (b)
(c)
Figure 13: The effect of Coandă- jet location on the L/D and lift augmentation (Re = 1 x 106, RTE = 10
mm, tjet= 1 mm);
(a) C  = 0.005 ; (b ) C  = 0.010 ; (c) Velocity flow field for different Coandă- jet location, C  = 0.010
Figure 13 also showns that the Coandă-jet is only effective when it is located at the rounding-off
surface of the TE. Locating the Coandă-jet further upstream from the rounding-off surface seems to
be detrimental since the Coandă-jet momentum lost its energy before reaching the end of rounding-
off surface. Such notion is demonstrated in Figure 13b by varying the Coandă-jet nozzle at various
positions upstream of the inception of the TE rounding-off surface ( i.e. from 90% to 95% from the
Leading-edge). By reaching the TE at the end of the rounding-off surface, the jet leaving the airfoil
acts as a virtual flap.
6.3. Contribution of Coandă-jet momentum coefficient
6.3.1. CFD results for Coandă-jet configured S809 Airfoils
It should be noted that for the purposes of the present work, a uniform jet velocity profile has been
adopted; this could be readily modified for more realistic modeling or design requirements. Numerical
654
____________________________________________________________________________________________
results indicate that there exists an optimum Coandă-jet configuration, which has been the subject of
parametric study as exhibited in Figures 10 – 13 for S809 airfoil.
A significant design parameter for boundary condition, which has been utilized to characterize
Coandă-jet applications by many investigators [10, 11, 19, 20], is specified by the momentum
coefficient of the jet, C . For two-dimensional modeling, an equivalent jet momentum coefficient C  *
can be defined as:
mVCoanda − jet Coanda − jetVCoanda
2
− jet tCoanda − jet
C  *
=
1 1 (9)
V2 Aref V2cairfoil
2 2
This expression shows that for a given constant C  , changing the thickness of the Coandă-jet will
affect C  favorably [60 - 62].
To justify the results of the present study, and to give us a physical explanation of the effect of
Coandă-jet, one may attempt to carry out simple calculation using first principle and Kutta-Joukowski
law for potential flow, and compare the Lift of the Coandă configured airfoil with the clean one
obtained using CFD code.
L =L + V (VCoanda − jet hCoanda − jet ) (10)
Coanda − jet Airfoil clean Airfoil
where hCoanda − jet is the moment arm of the Coandă-jet with respect to the airfoil aerodynamic center.
One then may arrive at a very good conclusion on the contribution of the Coandă-jet to the lift
(surprisingly, using CFD results for the lift ( L ) values, the accuracy obtained by using
Coanda − jet Airfoil
equation (3) was in the order of 1.39%). However, care should be exercised to insure valid modeling
for comparison.
For the three-dimensional configuration, there is a physical relationship between the Wind-Turbine
shaft torque (which is a direct measure of the extracted shaft power) with C  , and in the actual three-
dimensional case, the wind-turbine rotor yaw angle [19, 20]. From the numerical results gained thus
far, it can be deduced that circulation control, which in this particular case obtained by utilizing TE
Coandă-jet, can considerably increases the torque generated through the L/D increase gained.
It should be noted, that the results obtained in the present work is limited to two-dimensional wind
turbine blade analysis, which at best can be interpreted to be valid at 0.7 blade span distance from
the wind turbine rotor hub axis. The ambient air free-stream wind speed V for the Wind-Turbine is
different from the V implied in the present two-dimensional parametric study, which is the resultant
of the ambient-air wind speed and the rotational speed of the particular section of the rotor blade. In
addition, the centrifugal effects should then be superposed to the local relative flow at the wind-
turbine blade airfoil cross-section. The free-stream flow considered in the present two-dimensional
study should be appropriately regarded as the total relative flow at the cross-section analyzed, which
comprise the wind free-stream velocity, the blade rotational velocity at that point and the centrifugal
effect. For three-dimensional case, 3D conditions should be applied in the utilization of the CFD
655
____________________________________________________________________________________________
computational code. These factors should be considered in translating the two-dimensional study to
three dimensional cases.
With due considerations of the three-dimensional case, from the numerical results gained thus far,
it can be deduced that circulation control, which in this particular case obtained by utilizing TE
Coandă-jet, can considerably increases the torque generated through the L/D increase gained.
Consequently, Coandă-jet has the potential to increase the energy output delivered by a Coandă
configured Wind-Turbine. To this end, one may recall that the maximum power that can be delivered
by a Wind-Turbine cannot exceed the Betz limit, which is given by:
8
PBetz = AWind Turbine RotorV 2 (11)
27
where V is the wind speed.

Hence, with the introduction of Coandă-jet, using considerations reflected by Equation (5) to
derive the new Wind-Turbine energy output, this limit can be exceeded. Tongchitpakdee[20] has also
confirmed such situation, for certain values of Coandă-jet momentum coefficient.
With due regards to the design implementation of the present results and concepts, the maximum
theoretical power that can be extracted from the free stream (ambient air) in the real three-
dimensional situation is given by Equation (6). With the use of Coandă -jet, assuming the jet energy
can be drawn from the inner part of the free-stream in the vicinity of the wind-turbine rotor hub, the
Coandă jet additional power output corresponding to the jet momentum coefficient should contribute
to the increase of shaft power output given by the theoretical Betz limit. Tongchitpakdee studies [32]
also indicated such results. With such scheme, the power required for introducing Coandă-jet can be
minimized and readily be estimated from the total Coandă-jet velocity and mass-flow, although the
implementation required meticulous design and will be the subject of a separate study.
7. CONCLUSION AND FURTHER WORK

CFD numerical experiments have been carried out to elaborate work reported earlier [60 - 62],
with the objective to verify the favorable effects of Coandă configured airfoil for enhanced
aerodynamic performance and obtain some guidelines for the critical features of Coandă configured
airfoil. Care has been exercised in the choice of turbulence model and other relevant parameters
commensurate with the grid fineness desired, in particular since the number of grid utilized is
relatively small in view of the desktop computer utilized capabilities. Comparison of the numerical
computation results for some baseline cases with experimental data under similar conditions lends
support to the present computational parametric study.
CFD numerical computations for the flow-field around two-dimensional airfoil S809 has been
carried out with the objective to study the extent to which the introduction of Coandă-jet enhance the
aerodynamic performance of the airfoil, here represented by the L/D value, and lead to the following
observations.
656
____________________________________________________________________________________________
The introduction of Coandă-jet on both airfoils carried out in the present work results in enhanced
L/D, which depends on the jet velocity. For S809 Coandă configured airfoil, for a certain range of the
jet velocity, the increase of L/D as well as the lift augmentation are monotonic. The two-dimensional
results show that the effects of Coandă-jet in modifying aerodynamic performance in general agree
with those obtained for three-dimensional results of Tongchitpakdee [19, 20].
Rounding-off of the TE along with the introduction of the Coandă-jet seems to be effective in
increasing L/D in airfoil specifically designed for Wind-Turbine, here exemplified by S809. Such result
may be due to the relatively large TE dimension of the Wind-Turbine Specifically designed airfoil
compared to that with sharper TE. To a certain extent, smaller TE radii produced better L/D than
larger ones. It is also noted that after certain value, further increase in TE radius does not give
significant lift augmentation, as indicated by Figure 10a.There is a range of effective Coandă-jet size
designs, depending on their thickness. Within the limits of local boundary layer thickness, there is a
certain range of effective Coandă-jet thickness. The present study indicates that the optimum jet
thickness commensurate with the airfoil dimension. Care should be exercised to avoid flow separation
at larger Coandă-jet thickness. With specific design specification related to the Coandă-jet thickness
and TE rounding-off size, the Coandă-jet momentum needed to improve the performance (lift
augmentation due to jet) should not be excessive but sufficient to delay separation until the tip of the
TE (where the upper surface meets the lower one). In addition, the Coandă-jet should be placed
sufficiently close to the TE to avoid premature separation.
With due considerations of prevailing three-dimensional effects, the two-dimensional numerical
study can be used to direct further utilization of the CFD computational procedure for Wind-Turbine
blade studies and their design optimization. Numerical results presented have been confined to zero
angle-of-attack case, which has been considered to be very strategic in exhibiting the merit of
Coandă-jet as lift enhancer. The numerical studies could be extended to increasing angle-of-attack to
obtain more comprehensive information, for which the choice of turbulence model will be more
crucial.
The study also shows that the maximum total energy output of Coandă configured airfoil may
exceed that predicted by Betz limit. With all the results obtained thus far, it is felt that the present work
is by no means exhaustive. Other issues may still be explored, such as how could the ambient air
energy input that can be drawn by the Coandă-jet configured Wind-turbine either from the nacelle or
elsewhere be utilized to energize the Coandă-jet, and for that matter, to lower the cut-in speed of
HAWT or the starting speed of VAWT.
ACKNOWLEDGEMENT
The present research was initiated under Universiti Putra Malaysia (UPM) Research University Grant
Scheme (RUGS) No. 05-02-10-0928RU; CC-91933, and the Ministry of Higher Education Exploratory
Research Grant Scheme Project Code No. 5527088. The corresponding author would also like to
thank Universitas Al-Azhar Indonesia for the opportunity to carry out the present research at Universiti
Putra Malaysia.
657
____________________________________________________________________________________________
REFERENCES
[1] Manwell J.F, McGowan J.G, Rogers A.L., Wind Energy Explained, 1 st Ed. Amherst, USA: Wiley;
2002.
[2] Ackermann, T. and Söder, L., Wind energy technology and current status: a review, Renewable
and Sustainable Energy Reviews,4 (2000) 315-374.
[3] Lan, C.E, Campbell, J.F. Theoretical Aerodynamics of Upper – Surface Blowing Jet – Wing
Interaction, NASA TN D – 7936; 1975.
[4] Harris, M.J. Investigation of the Circulation Control Wing/Upper Surface Blowing High-Lift
System on a Low Aspect Ratio Semispan Model, Report DTNSRDC/ASED-81/10, David Taylor
Naval Ship R&D Center , Aviation and Surface Effects Department, Bethesda, Maryland 20084,
1981.
[5] Englar, R.J., Smith, M.J., Kelley, S.M., Rover, R.C., Application of Circulation Control to
Advanced Subsonic Transport Aircraft, Part I: Airfoil Development, Journal of Aircraft 1994;
31(5): 1160 – 1168.
[6] Englar, R.J., Smith, M.J., Kelley, S.M., Rover, R.C., Application of Circulation Control to
Advanced Subsonic Transport Aircraft, Part II: Transport Application, Journal of Aircraft 1994;
31(5): 1169 – 1177.
[7] Zhulev, Y.G., Inshakov, S.I. (1995), On the Possibility of Enhancing the Efficiency of Tangential
Blowing of a Slit Jet From an Airfoil Surface, Fluid Dynamics, vol. 31, no. 4, Plenum Publishing
Corporation, 1996, Translated from Izvestiya Rossiiskoi Akademii Nauk, Mekhanika Zhidkostii
Gaza , no. 4, pp. 182 – 186, July – August, 1996. Original article submitted February 14, 1995.
[8] Gad-el-Hak, M. Modern Developments in Flow Control, Applied Mechanics Reviews 1996; 49:
365 – 379.
[9] Englar, R.J., Advanced Aerodynamic Devices to Improve the Performance, Economics, Handling
and Safety of Heavy Vehicles, SAE Technical Paper Series 2001 – 01 – 2072.
[10] Liu, Y, Sankar, L.N., Englar, R.J., Ahuja,K.. Numerical Simulations of the Steady and Unsteady
Aerodynamic Characteristics of a Circulation Control Wing, AIAA 2001 – 0704, 39th AIAA
Aerospace Sciences Meeting, Reno, NV; 2001.
[11] Liu, Y., Numerical Simulations of the Aerodynamic Characteristics of Circulation Control Wing
Sections, PhD Thesis, Georgia Institute of Technology, May 2003.
[12] Wu, J., Sankar, L.N., Kondor, S., Numerical Modelling of Coandă Jet Controlled Nacelle
Configuration, Paper AIAA – 2004 – 0228, 42nd AIAA Aerospace Science Meeting and Exhibit,
Reno, Nevada; 2004.
[13] Shojaefard, M.H., Noorpoor, A.R., Avanesians, A, Ghaffarpour, M., Numerical Investigation of
Flow Control by Suction and Injection on a Subsonic Airfoil, American Journal of Applied
Sciences 2005; 10: 1474 – 1480.
[14] Mamou, M., Khalid, M., Steady and Unsteady Flow Simulation of a Combined Jet Flap and
Coandă Jet Effects on a 2D Airfoil Aerodynamic Performance, Revue des Energies
Renouvelables CER’07 Oujda 2007: 55 – 60.
658
____________________________________________________________________________________________
[15] Sinha, S.K., Optimizing Wing Lift to Drag Ratio Enhancement with Flexible – Wall Turbulence
Control, AIAA – 2007– 101APA21; 2007.
[16] Radespiel, R., Pfingsten, K.C., Jensch, C., Flow Analysis of Augmented High – Lift Systems, TU
Braunschweig, Institut für Strömungsmechanik, Bienroder Weg 3, D – 38108 Braunschweig,
Germany, Hermann Schlichting – 100 Years Memorial Volume, Springerlink.com, © Springer –
Verlag Berlin Heidelberg 2009; 102: 168 – 189.
[17] Xu, G., Sankar, L.N., Computational Study of Horizontal Axis Wind Turbines, UASME Journal of
Solar Energy Engineering 2000; 122 (1): 35 – 39.
[18] Duque, E.P.N., Johnson, W., van Dam, C.P., Cortes, R., Yee, K., Numerical Predictions of Wind
Turbine Power and Aerodynamic Loads for the NREL Phase II Combined Experiment Rotor,
AIAA – 2000 – 0038, 38th AIAA Aerospace Sciences Meeting, Reno, NV; 2000.
[19] Tongchitpakdee, C., Benjanirat, S., Sankar, L.N., Numerical Studies of the Effects of Active and
Passive Circulation Enhancement Concepts on Wind Turbine Performance, Journal of Solar
Energy Engineering, Transactions of the ASME 2006; 128: 432 – 444.
[20] Tongchitpakdee, C., Computational Studies of the Effects of Active and Passive Circulation
Enhancement Concepts on Wind Turbine Performance, PhD Thesis, Georgia Institute of
Technology; 2007.
[21] Hokpunna, A., Manhart, M., A Large-Eddy Simulation of Vortex Cell flow with Incoming Turbulent
Boundary Layer, World Academy of Science, Engineering and Technology 32; 2007.
[22] Rumsey, C.L., Spalart, P.R., Turbulence Model Behavior in Low Reynolds Number Regions of
Aerodynamic Flow fields, 38th AIAA Fluid Dynamics Conference and Exhibit, Seattle, WA; 2008.
[23] Menter, F.R., Advances in Turbulence Modelling of Unsteady Flows, ANSYS, Germany, © 2009
ANSYS, Inc; also Menter Shear Stress Transport Model,
http://turbmodels.larc.nasa.gov/sst.html; 2009.
[24] Kral, L.D., Active Flow Control Technology, ASME Fluids Engineering Technical Brief 2000.
[25] Zhang, P. F. , Yan, B, Liu, A. B. and Wang, J. J., Numerical Simulation on Plasma Circulation
Control Airfoil AIAA JOURNAL Vol. 48, No. 10, October 2010.
[26] Zhang, P.F., Yan, B. and Dai, C.F., Lift enhancement by synthetic jet circulation control, Science
China, Technological Science, 2012
[27] Patel, M.P., Vasudevan, S., Nelson, R.C., and Cork, T.C., Plasma Aerodynamic Control
Effectors for Improved Wind Turbine Performance, Orbital Research Inc., Cleveland, OH 44103-
3733, Grant No. DE-FG02-07ER84781 Contract Period: 06/20/2007 - 03/19/2008, August 2008.
[28] Nelson, R.C., Corke, T.C. and Othman, H., A Smart Wind Turbine Blade Using Distributed
Plasma Actuators for Improved Performance, 46th Aerospace Sciences Meeting, January 7-10,
2008, Reno, Nevada
[29] Xu, G., Computational Studies of Horizontal Axis Wind Turbines, PhD Thesis, School of
Aerospace Engineering, Georgia Institute of Technology, Atlanta, GA; 2001.
[30] Tangler, J.L., Somers, D.M., NREL Airfoil Families for HAWTs, American Wind Energy
Association, NREL/TP – 442 – 7109, UC Category: 1211, DE95000267; 1995.
659
____________________________________________________________________________________________
[31] Herbert, G.M.J., Iniyan, S, Sreevalsan, E., Rajapandian, S., A Review of Wind Energy
Technologies, Renewable and Sustainable Energy Reviews 2007; 11: 1117 – 1145.
[32] Jones, G.S., Englar, R.J., Advances in Pneumatic Controlled High Lift Systems Through Pulsed
Blowing, AIAA 2003 – 3411 21st Applied Aerodynamics Conference, Orlando, Florida; 2003.
[33] Zienkiewicz, O.C., Taylor, R.L.,The Finite Element Method, 5th Edition, Butterworth –
Heinemann; 2000.
[34] Harlow, F.H., Nakayama, P., Transport of turbulence energy decay rate, Los Alamos Science
Laboratory, University of California Report LA – 3854, 1968.
[35] Kuzmin, D., Mierka, O. and Turek, S. , “On the Implementation of the k-e Turbulence Model in
Incompressible Flow Solvers Based on a Finite Element Discretization”, International Journal of
Computing Science and Mathematics, vol. 1, no. 2–4, pp. 193–206, 2007.
[36] Harlow, F.H. and Nakayama, P., "Turbulence Transport Equations"-Physics of Fluids, Vol.10,
No.11, 1967.
[37] Harlow, F.H. and Nakayama, P. , "Transport of turbulence energy decay rate", Los Alamos
Science Laboratory, University of California Report LA-3854, 1968.
[38] Launder, B.E., Morse, A., Rodi, W. and Spalding, D.B. , The prediction of free shear flows - A
comparison of the performance of six turbulence models, Proceedings of NASA Conference on
Free Shear Flows, Langley (1972) (Also Imperia1 College Mechanical Engineering Department
Report TM/TN/A/19).
[39] Launder, B.E. and Sharma, B.I., “Application of the Energy-Dissipation Model of Turbulence to
the Calculation of Flow Near a Spinning Disc”, Letters in Heat and Mass Transfer, Vol. 1, No. 2,
pp. 131-138, 1974.
[40] Jones, W.P. and Launder, B.E. , Predictions of low-Reynolds-number phenomena with a Z-
equation model of turbulence, Intern. J. Heat & Mass Transfer 16 (1973) p. 1119.
[41] Jones, W.P. and Launder, B.E. , “The Prediction of Laminarization with a Two-Equation Model of
Turbulence”, International Journal of Heat and Mass Transfer, vol. 15, 1972, pp. 301-314, 1972.
[42] Boussinesq, J., “Essai sur la théorie des eaux courantes”, Mémoires présentés par divers
savants à l'Académie des Sciences 23 (1): 1-680, 1877.
[43] Rumsey, C.L. and Spalart, P.R., “Turbulence Model Behavior in Low Reynolds Number Regions
of Aerodynamic Flow fields”, 38th AIAA Fluid Dynamics Conference and Exhibit, Seattle, WA,
June 23-26, 2008.
[44] Menter, F.R. , “Advances in Turbulence Modelling of Unsteady Flows”, ANSYS, Germany, ©
2009 ANSYS, Inc, 2009; also Menter Shear Stress Transport Model,
http://turbmodels.larc.nasa.gov/sst.html
[45] Farsimadan, E., A Study Of The Turbulent Wake Of An Airfoil In An Air Stream With A 90o
Curvature Using Hot-Wire Anemometry And Large Eddy Simulation, PhD Thesis, Brunel
University, August 2008.
[46] Jones, W.P., Launder, B.E., The Prediction of Laminarization with a Two – Equation Model of
Turbulence, International Journal of Heat and Mass Transfer 1972; 15: 301 – 314.
[47] Wilcox, D.C., Turbulence Modeling for CFD, 3rd Edition, DCW Industries; 2006.
660
____________________________________________________________________________________________
[48] Kuzmin, D., Mierka, O., Turek, S., On the Implementation of the k – e Turbulence Model in
Incompressible Flow Solvers Based on a Finite Element Discretization, International Journal of
Computing Science and Mathematics 2007; 1 (2 – 4): 193 – 206.
[49] Boussinesq J. Essai sur la théorie des eaux courantes, Mémoires présentés par divers savants à
l'Académie des Sciences 23 1877; 1: 1 – 680.
[50] F.R. Menter, “Advances in Turbulence Modelling of Unsteady Flows”, ANSYS, Germany, © 2009
ANSYS, Inc, 2009; also Menter Shear Stress Transport Model, http://turbmodels.larc.
nasa.gov/sst.html
[51] S.M. Salim, and S.C. Cheah, “Wall y+ Strategy for Dealing with Wall-bounded Turbulent Flows”,
Proceedings of the International Multi-Conference of Engineers and Computer Scientists 2009
Vol. II, IMECS 2009, Hong Kong, March 18 - 20, 2009.
[52] Thomas D. Economon, and William E. Milholen II, Parametric Investigation of a 2-D Circulation
Control Geometry, Configuration Aerodynamics Branch Research and Technology Directorate,
August 7, 2008, August 2008.
[53] Grotjans, H,,Menter, F., Wall Functions for General Application CFD Codes, ECCOMAS 98,
Proceedings of the 4th Computational Fluid Dynamics Conference, John Wiley & Sons 1998:
1112 – 1117.
[54] Anonymous. COMSOL® 4.2. CFD Module User’s Guide, COMSOL, Inc. 1, New England
Executive Park, Suite 350, Burlington, MA 01803, USA; 2011.
[55] Benjanirat, S., Computational Studies of Horizontal Axis Wind Turbines in High Wind Speed
Condition using Advanced Turbulence Models, PhD Thesis, Georgia Institute of Technology;
2006.
[56] Howell, R., Qin, N., Edwards, J., Durrani, N., Wind tunnel and numerical study of a small vertical
axis wind turbine, Renewable Energy 2010; 35: 412 – 422.
[57] Somers, D,M., Design and Experimental Results for the S809 Airfoil, Airfoils, Inc., State College,
PA; 1989.
[58] Rogers, E.O., Development of Compressible Flow Similarity Concepts for Circulation Control
Airfoils, AIAA-87-0153; 1987.
[59] Abramson, J., Rogers, E.O., High – speed Characteristics of Circulation Control Airfoils, AIAA –
83 – 0265; 1988.
[60] Abdul Hamid, M.F., Djojodihardjo, H., Suzuki, S, Mustapha, F., Numerical Assessment of
Coandă Effect as Airfoil Lift Enhancer in Wind – Turbine Configuration, paper RCMEAE – 131,
Proceedings, Regional Conference on Mechanical and Aerospace Technology, Bali; 2010.
[61] Djojodihardjo, H., Abdul Hamid, M.F., Review and Numerical Analysis of Coandă Effect
Circulation Control for Wind Turbine Application Considerations, Conference on Aerospace and
Mechanical Engineering, World Engineering Congress, Kuching, Sarawak, Malaysia; 2010.
[62] Djojodihardjo, H., Abdul Hamid, M.F., Basri, S., Romli, F.I., Abdul Majid, D.L.A., Numerical
Simulation and Analysis of Coandă Effect Circulation Control for Wind – Turbine Application
Considerations, IIUM Engineering Journal; 2011.
CONFLICT OF INTEREST
661
____________________________________________________________________________________________
The authors assure that there is no conflict of interest whatsoever with any commercial products,
including CFD codes, that have been utilized in the present work. Any commercial software codes
that are used in the present work, such as Fluent and COMSOL ® are used for the purpose of arriving
at research results and have been acquired through purchase, without any vested interest
whatsoever from the authors.
662
____________________________________________________________________________________________
XXI
FIRST PRINCIPLE ANALYSIS OF COANDĂ MICRO AIR VEHICLE AERODYNAMIC

FORCES FOR PRELIMINARY SIZING56
Riyadh I. Ahmed, Harijono Djojodihardjo,Abd Rahim A. Talib

and Azmin S. M. Rafie
Department of Aerospace Engineering, Faculty of Engineering, Universiti Putra Malaysia, 43400
Serdang, Selangor Darul Ehsan, Malaysia
Abstract
Purpose –The purpose of this paper is to reformulate the governing equations incorporating major variables
and parameters for the design a Micro Air vehicle MAV, to meet the desired mission and design requirements.
Design/methodology/approach – Mathematical models for various spherical and cylindrical Coandă MAV
configurations were rederived from first principles, and the performance measures are defined. To verify the
theoretical prediction to a certain extent, a computational fluid dynamic CFD simulation for a Coandă MAV
generic models are carried out.
Findings –The major variables and parameters of Coandă MAV have been formulated into practical
guidelines, which relate the lift (or thrust) produced for certain input variables, particularly the Coandă MAV jet
momentum coefficient. The influences of the geometrical parameters are elaborated.
Research limitations/implications – The present analysis on Coandă jet configured MAV is focused on the
lift generation due to Coandă jet effect through a meticulous analysis. The effect of viscosity, the jet thickness,
the radius of curvature of the surface and the stability of Coandă jet are not considered, but will be the subject
of the following work.
Practical implications – The results obtained can be used for sizing in the preliminary design of Coandă
Micro Air Vehicles.
56
Reproduced from Aircraft Engineering and Aerospace Technology, ISSN: 0002-2667, Publication date: 6 March 2017
663
____________________________________________________________________________________________
Originality/value –Physical and mathematical model is developed which can describe the physical
phenomena of the flow field near the Coandă MAV surfaces influenced by Coandă jet sheets and to obtain the
relationship between relevant variables and parameters to the lift of practical interest.
Keywords: Circulation control, Coandă effect, Micro air vehicle (MAV), Unmanned Air Vehicle (UAV), VTOL.
Paper type: Research paper
Introduction
In its simple form, Coandă effect has been identified as the deflection of the flow near a surface following the contour of
the surface. This effect can be attributed to the notion that if a thin film jet is positioned close to a wall, pressure forces
change the path of the fluid elements, due to the low pressure between the jet and the surrounding pressure (Bernoulli
principle) which then results in forces acting on the jet towards the solid surface. Since the wall prevents fluid inflow into
the area between the jet and the wall, this area will have less pressure than the area away from the jet. Due to the
momentum transport from the jet to the stationary or slowly moving fluid, also from the effect of viscosity, the flow in the
vicinity of the jet is accelerated. The emerging pressure gradient normal to the wall generates a force, which moves the jet
flow towards the wall. This effect applies for jets along straight and curved walls and hence tangential blowing can be
used to achieve large turning of the flow over airfoils. Hence, an extra generation of lift (vertical force) could be produced
by the Coandă jet effect due to the contribution of the pressure difference between the upper and lower curved surface of
the associated air vehicle. The phenomena of Coandă effect is encountered in virtually all aerodynamic applications ever
since it was discovered by Henri Coandă (1885-1972) in 1910. Through his patents (Coandă, 1936) as depicted in Figure
1, it became apparent that he had discovered a new principle of achieving aerodynamic force (thrust or lift) and was the
first to recognize the practical application of the phenomenon in aircraft development.
664
____________________________________________________________________________________________
Figure 1 Coandă patent “Perfectionnement aux propulseurs” (Coandă, 1936)
Figure 2 exhibits a sample of various Coandă effect applications that can be found in practice, such as wing circulation
enhancement, Coandă Micro Air Vehicle and Dyson bladeless fan etc.
Figure 2 Some examples of Coandă Jet applications in practice; (a) Coandă Jet blowing for Circulation enhancement
for the Navy A-6/CCW demonstrator aircraft (Harris, 1981); (b) Geoffrey Hatton Coandă MAV (Nedelcut, 2010); (c) Dyson
Bladeless Fan using Coandă Flow Multiplier (Dyson, 2014)
(a) (b) (c)
It is also interesting to note that the Coandă principle can be found in the natural world. For example, Bombardier
beetles eject a defensive fluid and rely on the Coandă effect for aiming (see Figure 3 (a)) as given by Eisner et al. (1999
and 2000). Coandă Effect can also be found in human upper respiratory tract (Mahmoud (2010), Mittal et al (2013),
Scheinherr (2015), and Djojodihardjo and Ahmed (2015)), as schematically exhibited in Figure 3(b).
665
____________________________________________________________________________________________
Coandă effect has drawn renewed interest for various applications, among others for generating lift and maneuvering
impulses to be applied for unmanned air vehicles (UAV) and micro air vehicles (MAV), in addition to its well established
use as circulation control technique for aircrafts, vehicles and wind-turbines, e.g. as reported by Gad-el-Hak (1998 and
2000), Jones et al. (2002, 2005) and Djojodihardjo et al. (2011, 2013 and 2014). Focusing on the MAV design, many
radially shaped (Saucer-Like) vertical take-off and landing (VTOL) aircraft model designs are using Coandă effect to
generate the required vertical thrust to lift off the aircraft from its landing base. Associated with this, the principles and the
performance of this system stand out as concept that needs to be elaborated.
Figure 3 (a) The Bombardier beetles eject a defensive fluid, and utilizes the Coandă effect for aiming (Eisner, 1999);
(b) Schematic of HD Coandă Effect on Upper Respiratory Tract and CFD simulation.
(a) (b)
To gain better understanding on the principle of Coandă MAV lift generation, the present work is devoted to establish
the working principles and relationship capitalizing on fundamental principles. Understanding such basic principles may
assist us in devising MAV design focusing on the influences, effectiveness and configurations of Coandă jet fitted
aerodynamic surface of MAV and to improve its lift augmentation with a view on its incorporation in the design.
Based on a critical review of Coandă effect MAV (for example Benner (1965), Schroijen and Van Tooren (2009),
Mirkov and Rasuo (2010) and Djojodihardjo and Ahmed (2014)), a physical and mathematical model is developed. This
can accurately describe the physical phenomena of the flow field near a deflections surfaces influenced by jet sheets by
means of the Coandă effect and to obtain the relationship between relevant parameters to the lift. The result obtained on
the lift and propulsion of a baseline MAV will be discussed in view of the wealth of Coandă effect technologies.
Specifically, two examples will be addressed, spherical and cylindrical Coandă jet MAV configurations.
666
____________________________________________________________________________________________
To gain further insight into the prevailing flow field around a Coandă MAV, as well as to verify the theoretical prediction
presented in this work, a computational fluid dynamic CFD simulation for a Coandă MAV generic model will be elaborated
using commercial software ANSYS FLUENT,Particular care should be taken in the grid generation and the choice of
turbulence model, following the considerations given by Kuzmin et al. (2007), to have physically acceptable wall function,
and consequently, plausible CFD computational results. As qualitatively verified a posteriori, Djojodihardjo et al (2013),
utilized Menter’s k-omega Shear Stress Transport (SST) (Menter, 2003), which gave satisfactory results for the problem
considered.
Coandă MAV Aerodynamic Forces Determination
Based on the progress, development and successful applications of Coandă jet for circulation enhancement
and lift generation, one may arrive at the definition of Coandă jet, which may at certain circumstances need to
be further, specified. Based on studies carried out thus far by Jones and Englar (2005), Kweder (2011)and
Djojodihardjo (2013), identify a Coandă jet as a relatively thin and slightly viscous jet flowing over a smooth
curved surface and within the thickness of the prevailing boundary layer over that surface as indicated in
Figure 4.
Three different phenomena are associated with the name Coandă. The first phenomenon is the tendency of
a fluid jet initialized tangentially on a curved surface to remain attached to that surface. The second one is the
ability of a free jet to attach itself to a nearby surface and lastly the tendency of jet flows over convex curved
surfaces to entrain ambient fluid and to flow more rapidly than that of plane wall jets.
667
____________________________________________________________________________________________
Figure 4 Behaviour of Coandă jet effect over curved railing edge surface, (Jones et al., 2005).
With such definition, some critical variables may have to be identified and investigated further, such as
viscosity, jet thickness, radius of curvature of the surface, jet velocity, etc. These could be addressed through
further advanced analysis using basic principles, simulations using CFD as appropriate, as well as
experimental work. The latter, however, should be well designed through careful theoretical and fundamental
analysis.
In determining the aerodynamic forces on Coandă MAV, the flow situation around an idealized Coandă jet
assisted air vehicle will be reviewed in conjunction with basic analysis using fundamental principles. In verifying
the validity of the results of the analysis, other similar and related works are noted, among others the work of
Benner (1965), Schroijen and Van Tooren (2009), Mirkov and Rasuo (2010) and Dumitrache et al. (2012).
Mirkov and Rasuo have simulated spherical Coandă effect configuration, which may later on be used to assess
the theoretical model elaborated in the present work. Schroijen and Van Tooren have simulated cylindrical
Coandă effect configuration, while Dumitrache and Benner have carried out more involved viscous flow
analysis.
The present analysis will not consider the viscous effects and velocity profile elaborated by Dumitrache and
can be considered as a simplified version to gain first and baseline insight into the problem; further similar
approach will be covered in our progressive development of this work.
Similar investigations on the Coandă effect on saucer like MAVs models have also been carried out by
Florescu et al. (2010), Ghozali (2012), Drăgan (2013) and Wessapakdee et al. (2014) and will be discussed for
their related perspectives.
668
____________________________________________________________________________________________
Analysis and Mathematical Models for Various Coandă MAV Configurations
Based on first principles, mathematical model of Coandă MAV has been developed by Ahmed and
Djojodihardjo (2014) and will be further elaborated and assessed in view of our CFD simulation and with
reference to various aspects as individually implied in the references discussed in the previous Section.
The mathematical model developed and performance measures derived, to some extent can describe the
physical phenomena of the flow field of Coandă MAV. The relationships between the relevant parameters of
the mathematical model of the Coandă MAV to the lift are elaborated subsequently.
Spherical Coandă MAV
For Coandă MAV with the configuration depicted in Figure 5a, an actuator rotor can be visualized to be located
at the center of the body. For conceptual development, the dimension of the rotor can be set to be small. Part
of the flow being drawn by the actuator can be utilized for lift (like in a helicopter), and part of it will be utilized
for establishing radial flow for Coandă jet blanket on the surface of the body. This saucer like Coandă MAV
with annular structure has been developed and investigated by many researchers, such as Barlow et al.
(2009), Hatton (Nedelcut (2010)) and Saeed (2010), and basically can be idealized as illustrated in Figure 5b.
Momentum analysis is carried out in order to identify the Coandă effect related aerodynamic forces and the
Coandă MAV performance parameters.
Figure 5a Coandă Spherical / doughnut Shape MAV
669
____________________________________________________________________________________________
Figure 5b Configuration model for a nozzle blowing air through the central hole over the top surface of annular
airfoil, Barlow (2009)
In the following, a rigorous analysis is carried out to elaborate how Coandă effect contributes to the
generation of lift capability of Coandă MAV. First, the analysis will address the Coandă effect for lift by applying
the fundamental conservation analysis on the control volume CV (black dashed ellipse in Figure 6.
The continuity equation, which reduces to the Coandă Blanket gives;
ρ V j-R  2πRh = ρ V j-in  2πRi hi = ρ V j-out  2πRo ho (1)
Ri hi m
V j-R = V j-in =
RhR 2 RhR
and (2)
Rh m
V j-out = i i V j-in =
Ro ho 2 Ro ho
where Vj-R is the jet flow velocity, R is the vehicle body radius, h is the jet slot thickness and ṁ is the jet mass flow rate.
The momentum equation in the y (vertical) direction can be differentiated into the contribution due to the Coandă
Blanket momentum and the pressure difference on the body due to Coandă Blanket:
 Total Lift force   Vertical component of momentum   Pressure difference on the body 
 = +  (3)
 due to Coandă Blanket   balance due to Coandă Blanket   of MAVsubject to Coandă Blanket 
Figure 6 Schematic of Coandă jet (Blanket) for a Spherical (doughnut shaped) MAV.
670
____________________________________________________________________________________________
The contribution of lift from the momentum flux through the control volume CV in the y vertical direction is given by:
 Force   Momentum Out   Momentum In 

  =   −   (4)
 in the y-direction   in the y-direction   in the y-direction 
Since the Momentum In in the radial direction does not contribute to lift, then the momentum equation in the y-direction
for the control volume CV depicted in Figure 6 is:
FCoanda jet Blanket = m V j-out = 2πRi hi ρ V j-in V j-out (5)
The contribution of lift from the pressure difference between the upper part (curved MAV body covered by
Coandă Blanket) and the lower part of the MAV body can be found by considering fundamental physical
approach. The derivation is elaborated in Appendix A. At this point, for quick estimates, simplifying
assumptions can be taken, such as by considering, as an approximation only, the average streamline connects
the point of inlet velocity Vj-in to the outlet velocity Vj-out of the jet which is attached to the curved upper surface
of the MAV; then the Bernoulli principle can be applied along that stream line. More accurate approximation
can be taken by incorporating the radial equilibrium between the centrifugal and the pressure forces acting on
the outer and inner edges of the Coandă jet, as also carried out by Roderick (1961) and Benner (1965). This
approach yields:
FInduced pressure difference = Flower − surface − Fupper − surface

 h  m  
0 2
(6)
=  ( R − Ri ) pa −   pa −  
2 2
  πR sin 2 d
2
0

i  R  2πρRh  j−R 
671
____________________________________________________________________________________________
where θi and θ0 are the turning angles at which the jet flow injected and separated from the Coandă surface
respectively.
The jet flow assumed to be uniform outflow separating at the sharp edge of the Coandă MAV curved
surface. Then the contribution for lift due to the pressure difference across the surfaces of the MAV body is
given by (as elaborated in Appendix A, for the significant value of θi):
 m2 
FInduced pressure difference =  (7)
 4πρhR  j − R
Hence the total lift due to Coandă jet blanket momentum and Coandă jet blanket induced pressure difference
is given as;
 m2 
LiftSpherical −Coanda jet Blanket + = 2 Ri hi V j-in V j-out +  
induced pressuredifference  4πρRh  j − R (8)
1
= m V j-out + mV j − R
2
Therefore, due to the presence of the Coandă blanket, the Coandă MAV has additional lift given in (8), in
comparison to a simple micro air vehicle powered by actuator disk only. It should be noted that a more exact
approach requires additional information, i.e. the energy conservation equation, which is then utilized as the
fourth equation. This is elaborated subsequently.
Applying the energy conservation equation on the same control volume, which has been redrawn for
convenience in Figure 7, assuming uniform properties across the sectional areas at the input and output of the
Coandă jet blanket and ignoring the entrainment energy exchange between the ambient air and the Coandă jet
blanket, the energy equation can be written as:
 p 1  p
  + (V j-in ) =   + (V j-out )
2 1 2
(9)

 in 2 
 out 2
Figure 7 Schematic of the control volume around the Coandă MAV for the application of the energy conservation
principle (not to scale)
672
____________________________________________________________________________________________
which is essentially the Bernoulli equation along any streamline between the inlet and the outlet sections. The
contribution of the entrainment energy exchange along the Coandă jet blanket can later be incorporated, such
as by adopting certain assumptions as a heuristic approach or, applying the complete viscous equation by
numerical simulation or CFD approach. In addition, the pressures at the inlet and outlet sections have been
assumed to be the same (ambient or atmospheric pressure). Therefore, noting that from the outset, the flow is
considered to be incompressible, the following equation results:
1 2 1 2
V j-in = V j-out (10)
2 2
Hence the application of the conservation energy principle for incompressible flow, with the assumption that the
ambient pressure at the inlet and outlet of the Coandă jet blanket are the same, and neglecting the energy exchange
between the ambient air and the Coandă jet blanket, the following velocity relationship between the inlet and outlet
sections of the Coandă jet blanket results
V j-out = V j-in (11)
This latter equation then completes the set of equations that are necessary to solve the problem at hand by eliminating
the use of the earlier assumption relating the inlet and outlet velocity by a plausible heuristic assumption to relate Vj-out with
respect to Vj-in (which was carried out in Djojodihardjo and Ahmed (2014) and verified using CFD results), and use
equation (11) in equation (8) instead. Going through the algebra, the following equation results
3
LiftSpherical −Coanda jet Blanket + = mV j −in (12)
induced pressuredifference 2
The detail is elaborated in appendix A. The results will be assessed a posteriori by using more
structured CFD simulations, although the latter also contain uncertainties and inaccuracies.
673
____________________________________________________________________________________________
Cylindrical Coandă MAV
Similar analysis can be made for cylindrically shaped MAV, which for example has the configuration exhibited
in Figure 8. It should be noted, that although the approach taken here will be a simplification of that taken for
the (semi) spherical Coandă MAV, the state of affairs is reminiscent of the application of Coandă jet to
enhance the circulation of a two-dimensional wing. Hence, cylindrical Coandă MAV combines the conventional
'fixed wing' lift while moving forward and Coandă effect lift for hovering purpose.
Figure 8 Cylindrical Coandă MAV Model with Actuator ((a) adapted from Schroijen, 2009; (b) from Google images)
(a) (b)
The analysis can be carried out following the same procedure above, assuming incompressible 2-D flow. In the
following analysis, the cylindrically shaped Coandă MAV is idealized as depicted in Figure 9 (a) and (b), with the
cylindrically shaped upper surface to have a radius of R and depth of l. The Coandă jet flowing over it is assumed to be a
thin jet sheet of thickness h (h<<R), thus the pressure gradient (dp/dR) across the jet sheet is assumed to be negligible.
For the conservation of mass analysis, the control volume around the body is depicted in Figure 9 (a); using the
conservation of mass equation, one obtains
 V j2−in hl =  V j2−out tl
(13)
h
V j −out = V j −in
t
To calculate the lift generated by the Coandă jet in the MAV, consideration will first be given to momentum-
force balance in the vertical direction. Hence, by referring to Figure 9,
 h2 
FCoanda jet Blanket = m j −out V j −out = V j2−in l   (14)
 t 
674
____________________________________________________________________________________________
To find the pressure forces acting on the Coandă surface, the Bernoulli equation can be used along the
stream line encroached by the Coandă jet, assuming the pressure across each cross-section of the Coandă jet
is uniform. By referring to the Control Volume drawn in Figure 9, the contribution of the pressure forces acting
on the Control Volume to the total vertical force is equal to the difference between the integral of the pressure
acting on the lower surface to the vertical component of the integral of the pressure along the upper surface of
the Coandă jet surface. Therefore:
FInduced pressure difference = Flower − surface − Fupper − surface

 2
1
= pa Rl − (p
0
a − V j2 )cos   Rd  l
2
(15)
2
1 h 
=   V j −in  Rl
2 t 
Then the total vertical force is the summation of the vertical force due to the pressure difference, equation
(15) and that due to the Coandă jet, equation (14). The latter is contributed only by the Coandă jet momentum
rate at its exit, which is assumed to act in the vertical direction. Hence,
 h2  1  h
2

LiftCylinderical −Coanda jet Blanket + = V 2
j − in l   +   V j −in  Rl (16)
induced pressuredifference  t  2 t 
This result can be compared to that given by Schroijen and Van Tooren (2009), Djojodihardjo et al. (2013)
and Djojodihardjo and Ahmed (2014).
Figure 9 (a) Schematic of 2D cylindrical Coandă MAV, (b) Pressure forces acting vertically on control volume
675
____________________________________________________________________________________________
Computational Fluid Dynamics Simulation
The foundation of computational fluid dynamics (CFD) is the fundamental conservation principles of fluid
dynamics, i.e. the principle of mass conservation, Newton’s second law, and the principle of conservation of
energy. The numerical implementation of these principles in CFD, which are formulated using discretized form
(such as finite volume), will be subject to numerical propagation errors, which require careful attention and
detailed elaboration to avoid instability (Bakker, 2005). The fluid flow equations obtained by applying the
fundamental physical principles to a finite control volume are in integral form. The equations so obtained from
the finite control volume fixed in space in either integral or partial differential form are called the conservation
form of the governing equations. The equations obtained from the finite control volume moving with the fluid, in
either integral or partial differential form, are called the non-conservation form of the governing equations.
The basis of the computational approach in the present work is the Reynolds averaged Navier–Stokes
(RANS) equation and its implementation into the CFD equation. When pursuing further the numerical solution
of dynamic fluid flow using CFD techniques, in order to arrive at accurate solution, at least two aspects should
be given careful attention, with due consideration of computational uncertainties. The first is the grid
generation, and the second is the turbulence modelling of the particular flow (Djojodihardjo, 2013). The
governing Reynolds averaged Navier–Stokes (RANS) equation is given by (steady state and ignoring body
forces):
ui    u u j  ____ 
u j =  − p ij +   i +  −  ui ' u j '  (17)
x j x j   x j xi  
Change in mean Normal stress Viscous stress Reynolds stress
momentum of fluid u
=0 (18)
element
xi
Care should be exercised to simulate Coandă flows over curved surfaces using Computational Fluid Dynamics as
construed by Bakker (2005), due to the fact that using the conventional RANS models appropriate turbulence model has
to be chosen, in particular to accurately predict the y + value and flow separation points. For this purpose, taking note of
the suggestions implied by Menter (2003), Bakker (2005) and Djojodihardjo (2013), in the present CFD simulation k-
omega SST turbulence model is applied. At the present stage, the results are assessed by qualitative comparison to other
676
____________________________________________________________________________________________
similar CFD simulations, like those of Schroijen and Van Tooren (2009), Mirkov and Rasuo (2010 and 2012), Ghozali
(2012) and Drăgan (2013), for the purpose of assessing the analytical prediction. Further refined modeling is the subject
of on-going work. The Coandă MAV configuration used as a baseline for the CFD simulation is depicted in Figure 5a. In
all the CFD simulation, the Reynolds numbers associated with the analytical model configurations fall in the order of 10 5.
Performance Measure and Results

The feasibility and the benefits of using Coandă techniques to enhance aerodynamic performance of Coandă
MAV can be assessed by using some form of performance measure. The most logical measure that has
commonly been utilized is the Coandă jet momentum coefficient, C (Mamou and Khalid, 2007; Djojodihardjo,
2011 and 2013), which are defined as:
mVCoand ă − jet
C = (19)
1
 jV2 Aref
2
While (19) may be appropriate for any Coandă activated vehicle (Coandă MAV), particularly during hover and lift-off,
one can define alternative performance measure to appropriately evaluate the aerodynamic performance for spherical
Coandă MAV considered here. The rationale is based on how much output can be delivered for a given input. For this
purpose, several performance measures are suggested. The first is PM1, which is defined as the ratio between the
resulting lift as compared to the input rate of momentum, which is a dimensionless quantity, as also discussed by
Djojodihardjo and Ahmed (2014). This is given by:
LiftCoanda − jet Blanket + induced pressuredifference 3

PM 1Spherical Coand ă − = = (20)
MAV Coanda Jet Momentum In 2
Similar expression can be defined for Cylindrically Shaped Coandă MAV. However, apparently such definition results
in constant value, and may not be useful for preliminary design (and sizing) purposes. Alternatively, it may be noted that
Mirkov and Rasuo(2010) considered the inlet velocity to thrust ratio for a given inlet size to be the most important output
value resulting from either experiment on UAV’s or by numerical simulation. Accordingly, another performance measure
could be defined to be the lift to inlet velocity, which is a dimensional quantity. Utilizing the expression for lift as given by
equation (12), PM2 can be defined as;
677
____________________________________________________________________________________________
LiftCoanda − jet Blanket + induced pressure difference

PM 2Spherical =
Coand ă − MAV Coand ă jet inletVelocity
(21)
1
m V j-in + mV j −in
2 3
= = m
V j-in 2
A third Performance measure may be defined based on the Coandă jet rate of momentum influx per unit
Coandă jet kinetic energy input, which is also dimensional:

PM 3Spherical =
Coand ă − MAV Jet Inlet velocity 2
2 R0 h0  V j-in 2 +  R0 h0 V j −in 2
= (22)
V j-in 2
h 
= 3 AMAV _ base  0 
 R0 
where AMAV _base =  R 0 2 (23)
To assess the merit and plausibility of the theoretical analysis using first principles carried out here, a
comparison of the theoretical prediction for the performance measures PM1, PM2 and PM3 given by (20) - (22)
are compared with CFD simulation carried out using ANSYS FLUENT for Spherically Shaped Coandă MAV.
The results are exhibited in Figures 10 and 11. The simulation was performed using steady RANS with two
equations k-ω Shear Stress Transport (SST) turbulence model. Simple pressure-velocity coupling scheme with
the least squares cell base as discretization gradient was applied in the solution method together with second
order upwind for the momentum equation and the turbulent kinetic energy. The solver for the grid generation
utilized in this study was the ICEM in ANSYS FLUENT.
Figure 10 shows that the effect of the body radius ratio R0/Ri, which determines the jet outlet velocity (blue
curve) has no influence on the performance measure PM1, as implied by equation (20). In Figure 10, for
validation purposes, comparison of PM1 values obtained using equation (20) and CFD simulation is exhibited,
using heuristic approach for estimating Vj-out, as elaborated by Djojodihardjo and Ahmed (2014). In addition, a
more realistic approach can be made by another heuristic formula based on the value of Vj-out obtained from
CFD simulation. At this point, it is imperative to note, that the analytical approach thus far has been based on
678
____________________________________________________________________________________________
conservation equations for inviscid flow. Therefore, the heuristic approach should include viscous effects. By
referring to CFD simulation, which is based on Navier-Stokes equation, viscous effects are incorporated,
particularly along the path followed by the Coandă jet on the MAV surface. Nevertheless, for the performance
PM2 as depicted in Figure 11, still utilizes the inviscid approach; the influence of the ratio of the jet slot
thickness h to the reference radius R0, which influence the jet inlet velocity is clearly noticeable.
Figure 10 Performance measure for spherical Coandă MAV with various body diameters for different jet velocity
assumptions at constant jet inlet radius (Ri= 0.05 m) and jet thickness (hi= 0.03m)
Figure 11 Performance measure PM2 for spherical Coandă MAV for various Jet slot thickness at constant jet inlet
radius (Ri= 0.05 m) and body radius (R0= 0.5m). The errors between the analysis and the CFD simulation range were
found to be less than 12%.
In addition to the above performance measures, the influence of the jet inlet velocity on the air vehicle
performance “lift” may also be of interest from designer’s point of view which enables them to befittingly select
the right propulsion system for such MAV. The jet inlet velocity influence on performance of a Semi-Spherical
Coandă MAV at constant jet thickness (h=0.05 m) is depicted in Figure 12 below.
679
____________________________________________________________________________________________
Figure 12 Analytical and CFD models comparison for jet inlet velocity influence on performance of Spherical Coandă
MAV at constant jet thickness (h=0.05 m).
For Cylindrically Shaped Coandă MAV the corresponding theoretical prediction for PM2 is

PM 2Cylinderical =
Coand ă − MAV Coand ă jet inletVelocity
 h2  1  h
2 (24)

V 2
j −in l   +   V j −in  Rl
=  t  2 t 
V j-in
Figure 12 (a) and (b) exhibit another a posteriori assessment of the present theoretical prediction with CFD
simulation results for case considered by Schroijen and Van Tooren (2009).
Figure 13 Performance measure comparison between mathematical and CFD models for Cylindrical Coandă MAV for
various (a) Inlet velocity and (b) Jet slot thickness
(a) (b)
680
____________________________________________________________________________________________
Such comparisons indicate qualitative agreement, since in the analytical study carried out here, many
simplifications have been introduced, such as by ignoring viscous effects, while in the CFD full Navier-Stokes
equation for incompressible fluid was used.
Figure 14 Comparison of CFD Simulation for Cylindrical Coandă MAV at various Inlet velocities; a) Schroijen and van
Tooren (2009) and b) the present study.
a)
b)
The CFD simulation comparisons for the 2D cylindrical shape model compatible to that used by Schroijen
and Van Tooren (2009),for h/R= 0.075 at two different jet inlet velocity ratios(Vj/R= 5 and 50 ) are depicted in
figure 14.
Figures 10 to 13 have shown the comparison between the performance predictions using theoretical
analysis and those obtained using CFD simulations. Figure 14 exhibit the comparison of the present CFD
simulation with that performed by Schroijen and van Tooren (2009), which from visual inspection along with the
color coded dimensions qualitatively show relatively good agreements. Hence these figures serve to show the
681
____________________________________________________________________________________________
validity of the present approach, although due to the exclusion of viscous effects, appreciable differences exist
between the analytical prediction and those from CFD which are based on the solution of Navier-Stokes
equation.
Associated with the CFD approach, Figure 14 shows structured numerical mesh that has been used in the flow
domain. Through meticulous attempts, the size of the mesh cells was generated sufficiently small to enable visualizations
of the flow around the whole body with best details. The case study is performed with a moderately small Reynolds
number, Re= 68458 based on mean velocity and jet inlet height. The velocity is uniform (Vj-in = 20 m/s) across the inlet
which has a thickness of 0.05 m.
For further validation of the present CFD work, two other configurations considered by Mirkov and Rasuo (2010) and
Ghozali (2012) are simulated. The number of the mesh cells was around 52830 as indicated in Figure 14a, and the mesh
quality was found to be acceptable, since the orthogonally quality achieved was 4.96943e-01, which met ANSYS
orthogonality quality requirements. For comparison with the CFD configuration used by Ghozali (2012), the mesh utilized
in the present work consists of 45200 cells with mesh maximum skewness of 0.655 that produce a standard deviation of
0.10185, Figure 14b is produced. The lift produced from CFD simulation using these configurations as a function of
Coandă jet velocity are exhibited in Figure 15a, which corresponds to Mirkov and Rasuo’s (2010), and 15b, which
correspond to Ghozali’s (2012) configurations, respectively. These are compared with the theoretical prediction of the
present work, which also display reasonable qualitative agreements as mentioned previously.
Figure 15 Grid generation utilized in the present work for comparison with CFD simulation of (a) Mirkov and Rasuo
(2010) and (b) Ghozali (2012)
a) b)
682
____________________________________________________________________________________________
Figure 16 Comparison of the theoretical prediction of the influence of Coandă jet velocity to the Lift produced by the
present analysis and those from CFD simulation using configurations utilized by (a) Mirkov and Rasuo and (b) Ghozali
Flow patterns corresponding to CFD simulations for Coandă jet introduced at the inner radius of the Coandă
MAV of Ri=5mm and Ri=50mm are exhibited in Figure 16 (a) and (b), respectively, which reveal axi-
symmetrical pattern as utilized for the basis of the present analytical work. These images also show that for all
the Coandă jet speeds under consideration, the Coandă jet remained attached to the curved surface of the
MAV.
Figure 17 Coandă effect - velocity magnitude contour with different inlet radius a) Ri=5 mm, b) Ri=50mm. Note the
symmetry of the flow pattern.
a) b)
For the cylindrically shaped Coandă MAV (Figure 8), the utilization of conservation principles
elaborated in earlier section produces lift given by (16) or alternatively, (25). This equation consists of
Coandă jet momentum (first term on the right-hand-side) and the pressure difference due to the the
683
____________________________________________________________________________________________
curved jet flow Coandă blanket (second term on the right-hand-side) on the upper surface of the
Coandă MAV. Thus
 h2  1
LiftCylinderical Coanda jet Blanket + =  V j2−in l   +  V j2 Rl (25)
induced pressuredifference  t  2
Discussion
In the analysis of Coandă MAV, the present paper considers semi-spherical (hence “doughnut shape”) Coandă
MAV. The analysis has been carried out using fundamental conservation principle for potential flow analysis,
thus excluding the direct effect of viscosity. The jet is introduced at the inlet section at the symmetry line of the
MAV, such as by the use of propeller or impeller, but its corresponding analysis is not included here. Such
analysis was carried out in previous work (Djojodihardjo and Ahmed, 2014). The analysis has been assessed
and validated by comparison with other theoretical analysis, CFD simulation and experimental results (as
appropriate) to gain in-depth understanding of the underlying principles. Similar analysis has also been carried
out for the cylindrical Coandă MAV, and the results show good agreement with those produced by Schroijen
and van Tooren (2010).
The contribution of lift from the momentum principle as given by (14) agrees with those obtained by
Schroijen and Van Tooren (2009), as well as the theoretical and experimental work of Benner (1965).
The present analysis on the pressure lift force along the curved Coandă jet blanket due to centrifugal force
agrees very well with Benner's analytical and experimental work (1965) on Coandă jet impinging on a curved
surface that is separated from a jet nozzle with relatively wide gap, which took into account the influence of the
centrifugal force. Both works arrive at an expression exhibited by the first term of equation (16).
Conclusion
The most promising route to break through the conventional aerodynamic design limit and bring dramatic
performance improvement to aircraft can be found in the use of flow control, and in the present case, the use
of Coandă Effect. In this conjunction, the main objectives of this paper are, firstly, to gain an in-depth insight on
684
____________________________________________________________________________________________
the fundamental principles of Coandă jet technique, its feasibility and practicability and to identify salient
features essential for its optimal utilization, and finally, to provide a fundamental tool for the analysis and
estimation of Coandă MAV lift generation. Secondly, the results of the analysis are believed to be useful for
conceptual or preliminary design sizing of Coandă MAV's. Therefore a rigorous analysis based on fundamental
principles has been carried out to analyze the generation of lift on a three-dimensional "doughnut-shape" and
"Cylindrical shape" Coandă jet MAV. The present analysis results in the components of lift generated by such
system due to the Coandă jet momentum and the pressure difference between the lower and upper surfaces of
the Coandă MAV. If an actuator disk of the propeller is utilized to partially produce the Coandă jet at the inlet,
then additional lift due to the actuator or propeller can be added. The present approach has utilized all the
required conservation principles, except for the effect of viscosity, and the results compares favorably with
CFD simulation results.
Other factors related to the Coandă jet that have not been given careful considerations in the literature, such
as the effect of viscosity, the Coandă jet thickness, the radius of curvature of the surface, and the influence of
the entrainment of the ambient air into the Coandă jet or blanket and the stability of Coandă jet, should be
further investigated.
Acknowledgments
This work was supported in part by Universiti Putra Malaysia (UPM) Research University Grant Scheme
(RUGS) No. 9378200, Universiti Putra Malaysia Graduate Research Grant GP-IPS/2014/9433914, and the
Ministry of Higher Education grants ERGS 5527088 and FRGS 5524250.
References
Ahmed R.I., Djojodihardjo H., Abu Talib A.R., Abd Hamid M.F. (2014), “Application of Coandă jet for
generating lift for micro air vehicles – Preliminary design considerations”, Applied Mechanics and Material,
Vol. 629, pp. 139-144.
Bakker A., (2005), Applied computational fluid dynamics, Lecture 10, Turbulence Models. Available at:
http://www.bakker.org/dartmouth06/engs-150/10-rans.pdf
685
____________________________________________________________________________________________
Barlow C., Lewis D., Prior S.D., Odedra S., Erbil M., Karamanoglu M., and Collins R., (2009) “Investigation
the use of theCoandă effect to create novel unmanned aerial vehicles”, In International Conference on
Manufacturing and Engineering Systems Proceedings 2009, No. ISSN 2152-1522, pp. 386–391.
Benner S.D. (1965), “The Coandă effect at deflection surfaces widely separated from the jet nozzle”,
University of Toronto, UTISA Technical Note No. 78.
Coandă H. (1936), “Perfectionnement aux propulseurs, ”Brevet d’invention France, 96.843, 1936.
Coandă H. and France C. (1936), “Device for deflecting a stream of elastic fluid projected into an elastic
fluid,” U.S. Patent 2, 052, 869, 1936
Djojodihardjo H. (2013), “Progress and development of Coandă jet and vortex cell for aerodynamic surface
circulation control – An overview”, The SIJ Transactions on Advances in Space Research & Earth
Exploration (ASREE), Vol.1 No.1, PP. 32-42
Djojodihardjo H. and Thangarajah N. (2014),“Research, development and recent patents on aerodynamic

surface circulation control-A critical review”, Recent Patents on Mechanical Engineering, pp. 1-37
Djojodihardjo H. and Abdul Hamid M. F. (2013), “Overviews of Coandă jet lift enhancement and
computational studies”, ASEAN Engineering Journal, Vol. 3 No.1
Djojodihardjo H., Ahmed R.I. (2014),“An Analysis on the Lift Generation for Coandă Micro Air Vehicles”
IEEE, ICARES conference proceeding, Yogyakarta, 13-14 Nov. 2014,2, p.2.
Djojodihardjo H., Hamid M.F.A., Basri S., Romli F. I. and Abdul Majid D. L. A. (2011), “Numerical simulation
and analysis of Coandă effect circulation control for wind-turbine application considerations”, Journal IIUM
Engineering, Vol. 12, pp. 19-32.
Djojodihardjo H., Hamid M.F.A., Jaafar A. A., Basri S., Romli F. I., Mustapha F., MohdRafie A. S., and
Abdul Majid D. L. A.(2013), “Computational study on the aerodynamic performance of wind turbine airfoil
fitted with Coandă jet”, J. Renewable Energy, Vol. 2013, Article ID 839319, pp. 17.
Djojodihardjo H., Ahmed R.I., Abu-Talib A.R. and Mohd-Rafie A.S. (2015), “Analytical and CFD
visualization studies of Coandă MAV,” the 13th Asian Flow Visualization Conference, Novosibirsk,
June2015, pp.15-18.
Djojodihardjo H., Ahmed R.I. (2015) “CFD Simulation of Coandă effect on the upper respiratory system”,
under review
Drăgan V. (2013), “A new mathematical model for high thickness Coandă effect wall jets”, Review of the Air
Force Academy No 1 (23), pp.25-45.
Dumitrache A., Frunzulica F. and Ionescu T. (2012), Mathematical modeling and numerical investigations
on the Coandă effect, Chapter 5, Nonlinearity, Bifurcation and Chaos – Theory and Applications, In Tech
doi, 10.5772/50403.
686
____________________________________________________________________________________________
Dyson, (2014), “Dyson”, available at: http:// www.dyson.com/Fans-and-heaters/cooling-fans.aspx?utm source

=offline &utm medium= redirect&utmcontent=am06_tech_print_ad&utm_campaign=2014environmental-control.
(Accessed 17 November 2015)
Eisner T., Aneshansley D. J., Eisner M., Attygalle A. B., Alsop D. W. and Meinwald J. (2000) “Spray
mechanism of the most primitive Bombardier Beetle”, the Journal of Experimental Biology.Eisner-1265-75.
Eisner et al., (1999) “Spray aiming in the bombardier beetle - Photographic evidence”, Proceeding Natural
Academic Science USA, 9-6, Aug. 1999, pp. 9705–9709.
Englar R.J., Smith M.J., Kelley S.M, Rover R.C. (1994), “Application of circulation control to advanced
subsonic transport aircraft, Part I: Airfoil development”, Journal of Aircraft. Vol.31 No.5, pp. 1160-1168.
Florescu D., Florescu I., Nedelcut F., Nedelcu I.(2010), “Fuselage airstream simulation for a Coandă UAV”,
Technical Sciences and Applied Mathematics. pp. 83-88.
Gad-el-Hak M. (1998), “Introduction to flow control- in flow control: Fundamentals and practices” In Flow
Control, Springer Berlin Heidelberg, pp. 1-108.
Gad-el-Hak M., (2000), “Flow control: Passive, active and reactive flow management”, Cambridge
University Press, London, United Kingdom, 2000, pp. 448
Ghozali D. (2012),“Analysis Coandă effect measurement CFD,” thesis, FakultasTeknik Universitas

GadjahMada Yogyakarta.
Harris M.J., (1981), “Investigation of the circulation control wing -upper surface blowing high-lift system on
a low aspect ratio semispan model”, DTNSRDC-ASED-81-10 May1981.
Jones G.S., Viken S.A., Washburn A.E., Jenkins L.N., Cagle C.M. (2002), “An active flow circulation
controlled flap concept for general aviation aircraft applications”, Flow Physics & Control Branch NASA
Langley Research Center, AIAA2002-3157.
Jones G. S. and Englar R.J.(2005), “Advances in pneumatic-controlled high-lift systems through pulsed
blowing”, AIAA-2005-3411.
Kweder J., Panther C.C., Smith J.E. (2011), “Applications of circulation control, yesterday and today”,
International Journal of Engineering, (IJE) 195; Vol. 4 No. 5, pp. 411-429.
Mahmoud R.A.A., (2010), “The effect of endotracheal tube leakage on the lung protective mechanical
ventilation in neonates”, Dr. Med. Dissertation, Charité – Universitäts medizin Berlin
Mamou M. and Khalid M. (2007), “Steady and unsteady flow simulation of a combined jet flap and Coandă
jet effects on a 2D airfoil aerodynamic performance”, Revue des Energies Renouvelables CER 2007
Oujda: pp. 55–60.
687
____________________________________________________________________________________________
Menter F. R. Kuntz M. and Langtry R. (2003), “Ten Years of industrial experience with the SST turbulence
model”, Turbulence, Heat and Mass Transfer 4ed: K. Hanjalic, Y. Nagano, and M. Tummers, Begell House,
Inc. pp. 625 - 632.
Mirkov N. and Rasuo B. (2010),“Numerical simulation of air jet attachment to convex walls and
applications”, Proceedings of 27th International Congress of the Aeronautical Sciences - ICAS, Nice,
France, 2010.
Mirkov N. and Rasuo B.(2012),“Maneuverability of an UAV with Coandă effect based lift production”,
Proceedings of 28th International Congress of the Aeronautical Sciences –ICAS, 2012- pp. 617.
Mittal R., Erath B.D. and Plesniak M.W, (2013), “Fluid dynamics of human phonation and speech”, Annual
Review of Fluid Mechanics
Nedelcut, F. (2010), “Towards a new class of aerial vehicles using the Coandă effect”, In International Conference
AFASES, Brasov, May 2010
Roderick, W. E. B. (1961),“Use of the Coandă effect for the deflection of jet sheets over smoothly curved surfaces,
Part 11, University of Toronto, Institute of aerophysics, technical note No. 5.
Scheinherr, A., (2015),“Glottal motion and its impact on airflow and aerosol deposition in upper airways during human
breathing,” PhD Thesis, Institut de Recherchesur les Phénomènes Hors Équilibre, Ecole Centrale du Marseille.
Schroijen M., Van Tooren M. (2009), “MAV propulsion system using the Coandă effect,” American Institute of
Aeronautics and Astronautics, AIAA/ASAME/SAE/ASEE, Exhibit, USA: Denver Colorado, Joint Propulsion
Conference, 2009, pp. 1-10.
Wackers J., Ait Said K., Deng G. B., Queutey P., Visonneau M. and Mizine I. (2010), “Adaptive grid
refinement applied to RANS ship flow computation”, Proceedings of the 28th Symposium on Naval
Hydrodynamics, Pasadena, California.
Wessapakdee B., Makarasut P. and Thipyopas C.(2014), “An experimental and computational fluid
dynamic study of axis-symmetric Coandă configuration for VTOL MAV applications”, Applied Mechanics
and Materials. 629. pp. 42-47.
Nomenclature
Symbols
Ajet = Jet opening area (m2) surface
2
AMAV_base = MAV base area (m ) Aref = Reference surface area of air vehicle
(m2)
Arealower- = MAV lower surface area (m2)
surface C = Coandă jet momentum coefficient
Areaupper- = MAV upper surface area (m2) Fc = Centrifugal force acting on Coandă
688
____________________________________________________________________________________________
body(N) Ps = Body surface pressure (pa)

Fp = Pressure force acting on Coandă Plower = Pressure at the lower surface of MAV
body (N) (pa)
FCoandă jet = Force from the Coandă Jet blanket Pupper = Pressure at the upper surface of MAV
blanket (N) (pa)
Finduced pressure = Force from pressure difference PM1,2,3 = Performance Measures1,2 and 3
difference between upper and lower parts of the
R = Radius of MAV curved surface (m)
MAV body (N)
Ri = Jet slot radius (m)
Flower-surface = Force from the pressure on the lower
surface of the MAV body (N) R0 = MAV outer radius (m)
Fupper-surface = Force from the pressure on the upper R' = Radius of Coandă curved surface at
surface of the MAV body (N) any point R'=R sinθ (m)
h = Jet slot thickness on Coandă surface t = Jet thickness at outer surface edge
(m) (m)
hi = Inlet jet slot thickness (m) T = Horizontal or vertical thrust generated
(N)
h0 = Outlet jet thickness (m)
V Coandă jet = Coandă jet velocity (m/s)
l = Length of the cylindrical shape MAV
(m) Vj-in = Jet inlet velocity (m/s)
LIFTSpherical- = Total lift due to Coandă jet blanket Vj-out = Jet outlet velocity (m/s)
Coandă jet blanket momentum and induced pressure Vj-R = Wall-jet velocity (m/s)
+ induced pressure difference for spherical Coandă MAV
difference (N) V∞ = Approaching velocity (ambient) (m/s)
LIFTCylindrical- = The resultant forces that contribute ρ = Air density at sea level (=1.225 kg /
Coandă jet blanket the lift of the cylindrical Coandă MAV m3)
+ induced pressure (N) ρj = Jet flow density (kg / m3)
difference
θi = Jet flow injection turning angles (rad)
ṁ = Mass flow rate (kg/s)
θ0 = Jet flow separation angle (rad)
Pa = Atmospheric pressure (pa)
PR = Pressure along the curved surface
(pa)
Appendix A: Elaboration on Spherical Coandă MAV Lift
Using the present approach, many other boundary conditions are unknown in the formulation. To
account for these missing information some heuristic assumption are made as required. The force
acting on the upper surface of the body (enclosed within the control volume CV, Figure 6), which
is the bottom surface of the Coandă jet (or blanket), with downward direction is;
689
___________________________________________________________________________________________
_
0
Fupper − surface =  pupper 2πRRcos d
i
(A1)
Following Figure 6, R'=R sinθ and since (2sinθcosθ=sin2θ) then (A1) can be written as;
0
Fupper − surface =  pR πR 2 sin2 d
i
(A2)
The force acting on the lower surface of the body (enclosed within the CV in Figure 5) with
upward direction is given by:
Flower − surface = plower  arealower − surface =  ( Ro 2 − Ri 2 ) pa

(A3)
where Ri and Ro is defined in Figure 6. It is noted that Pupper or PR is not yet known. For this
purpose, one has to utilize the relationship of the pressure along the Coandă blanket. This can be
obtained from the Bernoulli equation.
The induced pressure difference across the Coandă surface could be obtained by
incorporating the radial equilibrium between the centrifugal and the pressure forces acting on the
outer and inner edges of the Coandă jet. This approach yields;
V 2 j−R
 Rd h ( 2 R )  = ( pa − pR ) Rd ( 2 R ) (A4)
R
2
h h  m 
pR = pa − V 2 j − R = pa −    (A5)
R R  2πρRh  j−R
Hence, by considering the CV in Figure 6, the force due to the pressure difference between the
upper surface and its lower surface in the upward direction (Lift) could be expressed as;
0 
h  m   2
2
FInduced pressure difference = π ( o i ) a   a R  2πρRh   πR sin 2 d

R 2
− R 2
p −  p −  (A6)
i    j−R 
which is given in (5)? In the main, for the general case where Ri has a significant value as
Ri=Rsinθi at θi (θi=sin-1Ri/R0), and for θ0=π/2, R0=Rsinθ0 =R, then the contribution for lift due to the
pressure difference across the air vehicle surfaces as given in (A6) yields to:
 m2 m2 
FInduced pressure difference = + cos ( 2i ) 
 8πρh0 R0 8πρhR R 
(A7)
m V j −out + V j − R cos ( 2i )

1
=
4
690
___________________________________________________________________________________________
_
Substituting equation (11) and going through the algebra the following relationship results
mV j −in 1 + cos ( 2i )

1
FInduced pressure difference = (A8)
4
For the case of the Coandă MAV radius where the jet is introduced to be very small, θi can be
assumed to be 0: then equation (A8) reduces to
 m2  1
FInduced pressure difference =  = mV j −in (A9)
 4πρh0 R0  2
which is actually the same as equation (7). Substituting Coandă jet blanket induced pressure
difference as expressed by equation (A9) to the Coandă jet blanket momentum, equation (5),
yields
1 3
LiftSpherical −Coanda jet Blanket + = mV j-in + mV j-in = mV j-in (A10)
induced pressuredifference 2 2
which is the relationship sought. Substituting this value into the definition of performance measure
PM1, then equation (20) results
691
___________________________________________________________________________________________
_
692
___________________________________________________________________________________________
_
XXII
AERODYNAMICS AND FLIGHT MECHANICS OF MAV BASED ON

COANDĂ EFFECT57
R.I Ahmed1, A.R Abu Talib1,2,*, H. Djojodihardjo3, and A.S Mohd Rafie1
1Department Aerospace Engineering, Faculty of Engineering, Universiti Putra Malaysia,

43400 Serdang, Selangor, Malaysia
2Aerospace Manufacturing Research Centre, Faculty of Engineering, Universiti Putra
Malaysia,
43400 Serdang, Selangor, Malaysia
3The Institute for the Advancement of Aerospace Science and Technology, 15419
Jakarta, Indonesia.
*abdrahim@upm.edu.my
Abstract
With the progress and development of Coandă Micro Air Vehicle (MAV) to date, various
configurations have been proposed and developed. For the purpose of designing a Micro
Air Vehicle (MAV), that could meet the desired mission and design requirements and can
operate effectively in various environmental conditions, a workable theoretical analysis is
to be developed. With such motivation, capitalizing on the basic fundamental principles,
the aerodynamic forces acting on Coandă MAV configurations are revisited and analysed
on the bases of the Fluid Dynamics and Flight Mechanics of a semi-spherical Coandă
MAV configuration. The major objective of this paper is to analyse the forces and
moments acting on the Coandă MAV as related to the geometry, flow, and motion
parameters, using mathematical modelling. The mathematical model and derived
performance measures in hover and translatory motion are shown to be capable in
describing the physical phenomena of the flow field of the semi-spherical Coandă MAV.
Results obtained are assessed and considered viable for preliminary design of such air
vehicles and further elaborated development, including more flight dynamic manoeuvres.
57
Reproduced from Aerospace Science and Technology 62, November 2016, DOI:
10.1016/j.ast.2016.11.023
693
___________________________________________________________________________________________
_
Keywords: Circulation control, Coandă effect, Coandă MAV flight mechanics, Coandă
MAV fluid dynamics, Micro Air Vehicle (MAV), Unmanned Aerial Vehicle (UAV)
Nomenclature
Ajet : Jet opening area (m2)
Aref : Reference surface area of air vehicle (m2)
AMAV-base : Coandă MAV base Area (m2)
CD→x : Drag coefficient along the axial direction
CD→y : Drag coefficient along the vertical direction
Cμ : Jet moment coefficient (Coandă)
D : Drag Force (N)
Fc : Centrifugal force acting on Coandă body (N)
FCoJB : Force from the Coandă jet blanket (N)
FIPD : Force from Induced Pressure Difference between the upper and the lower
parts of the Coandă MAV body (N)
Fmomentum-CoJ : Force from vertical component of the Momentum balance due to Coandă Jet
(N)
FPD-lower-surface : Force from the pressure difference on lower surface of the Coandă MAV
body (N)
Fp : Pressure force acting on Coandă body (N)
hi : Inlet jet slot thickness (m)
h0 : Outlet Jet thickness (m)
hR : Jet thickness on Coandă surface (m)
l : Length of the cylindrical shape MAV (m)
LHover : Lift force of Coandă MAV in Hover state (N)
LiftCylindrical- : Total lift due to Coandă jet blanket momentum and induced pressure
CoJB+IPD difference for cylindrical Coandă MAV (N)
LiftSpherical- : Total lift due to Coandă jet blanket momentum and induced pressure
CoJB+IPD difference for semi-spherical Coandă MAV (N)
ṁ : Mass flow rate (kg/s)
pa : Atmospheric pressure (Pa)
PM1,2,3CoMAV : Performance Measures 1, 2 and 3
pR : Pressure along the Coandă curved surface (Pa)
R : Radius of Coandă curved surface (m)
R0 : MAV outer radius (m)
Ri : Jet slot radius (m)
t : Jet thickness at outer surface edge of the cylindrical Coandă MAV (m)
TCoMAV : Coandă MAV Thrust generated during Hover (N)
694
___________________________________________________________________________________________
_
TCoMAV-heq : Coandă MAV Thrust equivalent to thrust during Hover (N)

V : Coandă MAV velocity (m/s)
V∞ : Free stream Velocity(ambient) (m/s)
Vj-in : Jet inlet velocity (m/s)
Vj-out : Jet outlet velocity (m/s)
Vj-R : Wall-jet velocity (m/s)
V : The air vehicle acceleration - axial component (m/s2)
W : Air vehicle gross weight (N)
WCoMAV-TF : Air vehicle Take-off weight (N)
ÿ : The vertical acceleration component (m/s2)
α : Angle of attack (deg, rad)
ε : The angle made by the rotor axis of rotation with the free stream velocity
vector (rad)
θi : Angle of Coandă jet at inlet (deg, rad)
θ0 : Angle of Coandă jet at outlet (deg, rad)
 : Flight path angle (deg, rad)
1. Introduction
Coandă effect has been identified as the deflection of the flow near a surface following
the contour of the surface. This effect can be attributed to the notion that if a thin film jet
is positioned close to a wall, pressure forces change the path of the fluid elements, due to
the low pressure between the jet and the solid surface. Since the wall prevents fluid
inflow into the area between the jet and the wall, this area will have less pressure than
the area away from the jet. Due to the momentum transport from the jet to the stationary
or slowly moving fluid, also from the effect of viscosity, the flow in the vicinity of the jet is
accelerated. The emerging pressure gradient normal to the wall generates a force, which
moves the jet flow towards the wall. This effect applies for jets along straight and curved
walls and hence tangential blowing can be used to achieve large turning of the flow over
aerofoils. Hence an extra generation of lift (vertical force) could be produce by the
Coandă jet effect due to the contribution of the pressure difference between the upper
and lower curved surface of an air vehicle. The phenomena of Coandă effect is
encountered in virtually all aerodynamic applications ever since it was discovered by
Henri Coandă (1885-1972) in 1910 [1].
Through Coandă Patents [2], it became apparent that he had discovered a new principle
of achieving aerodynamic force (thrust or lift) and was the first to recognize the practical
application of the phenomenon in aircraft development as shown in Fig. 1.
695
___________________________________________________________________________________________
_
Fig. 1 Coandă patent “Perfectionnement aux propulseurs” [1]
Recently, increasing interest on Coandă effect for various applications, along with others
for generating lift and manoeuvring impulses to be functional in micro air vehicles (MAV)
unmanned air vehicles (UAV) and, besides its well proven use as circulation control
technique for aircrafts, automobile and wind-turbines, e.g. as reported in [3-12]. Focusing
on the MAV design, many radial shaped (Saucer-Like) vertical take-off and landing
(VTOL) aircraft model designs are using Coandă effect to generate the required vertical
thrust to lift-off the aircraft from its landing base. However, due considerations on the
principles and the performance of this system needs to be elaborated.
The establishment of the working principles and relationship capitalizing on fundamental
principles are devoted in the current work to advance the understanding on the principle
of Coandă MAV lift generation. Understanding such basic principles may contribute on
devising MAV design concentrating on the effectiveness, influences, and configurations
of Coandă jet fitted aerodynamic surface of MAV, and to enhance the augmentation of its
lift with a view on its incorporation in the design.
Physical and mathematical model has been developed based on a critical review on
micro air vehicle that utilized the Coandă effect [13-18]. This can precisely describe the
flow field physical phenomena near a deflections surfaces influenced by Coandă effect
and to establish the relationship between the lift and relevant parameters. For the
baseline MAV, the result obtained on the lift and propulsion will be elaborated in view of
wealth of Coandă effect technologies. Specifically, spherical and cylindrical Coandă jet
MAV configurations will be considered in this paper.
In the study of Coandă MAV, it is desired that the Coandă propulsion system will be able
to provide both an efficient cruise phase as well as hover capability, by using Coandă jet
blanket for semi-spherical Coandă MAV, which is deflected downward using a curved
surface. Thus lift will be generated, first to hover and later for propulsion as well. Such
Coandă jet has been utilized for circulation enhancement [3-9] for fixed wing aircraft and
turbine blades in forward flight and movement. The principle of Coandă MAV lift
generation as well as the equation of motion for its translatory motion will be derived and
elaborated.
696
___________________________________________________________________________________________
_
The equations of motion of the Coandă MAV can easily be modified for other
configurations and can be compared to other investigators’ results for further
assessments. CFD simulation for a Coandă MAV generic model will be elaborated using
commercial software Fluent . Particular care should be taken in the grid generation and
the choice of turbulence model, following the considerations given in [19, 20], to have
physically acceptable wall function, and consequently, plausible CFD computational
results. CFD visualization studies utilized to gain further understanding in developing the
physical model in the analysis.
2. The State of Art of Coandă Effect Concept
The Coandă jet can be defined, based on the development, progress, and successful
applications of Coandă jet for lift generation and circulation enhancement, as a relatively
thin and slightly viscous jet flowing over a smooth curved surface and within the thickness
of the prevailing boundary layer over that surface as indicated in Fig. 2.
Fig. 2 Behaviour of Coandă jet effect over curved trailing edge surface, [31, 32]
The phenomena that are associated with the Coandă effect are the tendency of a fluid jet
initialized tangentially on a curved surface to remain attached to that surface, the ability of
a free jet to attach itself to a nearby surface and the tendency of jet flows over convex
curved surfaces to entrain ambient fluid and increase more rapidly than that of plane wall
jets.
In reference to the above definition, few critical variables may have to be recognized, and
further investigated, for example viscosity, radius of curvature of the surface, jet
thickness, jet velocity, etc. These parameters could be addressed through further
advanced analysis using fundamental physical principles, CFD simulation, as well as
experimental work. However, the experimental work should be well designed through
careful theoretical and fundamental analysis.
697
___________________________________________________________________________________________
_
3. Related and Past Work
In the present work, some relevant works are noted, for instance, the work of Benner [21],
Mirkov and Rasuo [16, 22], Schroijen and Van Tooren [13] and the work of Dumitrache et
al., [17]. Mirkov and Rasuo have carried out a simulation study of spherical Coandă effect
configuration, which may later on be used to assess the theoretical model elaborated in
the present work. Schroijen and VanTooren [13] have simulated cylindrical Coandă
effect configuration, while Benner [21] and Dumitrache et al. [17], and have conducted
more involved viscous flow analysis.
To gain first and baseline insight into the problem, the present analysis will not consider
the viscous velocity profile elaborated by Dumitrache et al., [17] and can be considered to
be a simplified version; further similar approach will be covered in our progressive
development of this work. Similar investigations on the Coandă effect on a saucer like
MAVs models have also been carried out by Drăgan [23], Wessapakdee et al., [24] and
Florescu et al., [25], and will be discussed for their related perspectives.
4. Mathematical Models for Various Coandă MAV Configurations
Based on first principles, and utilizing the conservatives equations, mathematical model
developed as indicated in [14, 15], and will be discussed and assessed in view of our
CFD simulation with reference to various aspects as individually implied in the references
discussed in Section III. New performance measures were derived, to some extent can
describe the physical phenomena of the flow field of Coandă MAV. The relationships
between the relevant parameters of the mathematical model of the Coandă MAV to the
lift are elaborated subsequently.
A. Semi-Spherical (Saucer-Like) Coandă MAV
For Coandă MAV with the following configuration depicted in Fig. 3 (a) and (b), an
actuator rotor can be visualized to be located at the centre of the body. For conceptual
development, the dimension of the rotor can be set to be small. Part of the flow being
drawn by the actuator can be utilized for lift (like in a helicopter), and part of it will be
utilized for establishing radial flow for Coandă jet blanket on the surface of the body.
Two-dimensional momentum analyses are carried out in order to identify the performance
parameters (Fig. 4). The performance parameters are related to the two effects; these are
the Coandă jet effect and the actuator disc effect.
698
___________________________________________________________________________________________
_
y Control Volume
(a) (b)
x
Fig. 3 a) A semi-spherical Coandă MAV indicating the development of Coandă jet
over the upper surface of the Coandă MAV, b) An equivalent semi-spherical
Coandă MAV for generic analysis
The contribution of Coandă effect to the generation of lift capability of Coandă MAV is
rigorously analyzed in following sections of this paper. First the analysis will address the
Coandă effect for lift by applying the fundamental conservation analysis on the control
volume (CV) (black dashed ellipse Fig. 4).
The continuity equation, which reduces to that alongside the Coandă Blanket (see Fig. 4)
gives;
m Rh
V j-out = = i i V j-in
2 Ri hi Ro ho (1)
m Ri hi
V j-R = = V j-in
2 Ri hi RhR
The Momentum equation in the y-(vertical) direction can be differentiated into the
contribution due to the Coandă Blanket momentum and the pressure difference on the
body due to Coandă Blanket:
 Total Lift force   Vertical component   Pressure difference on 

 due to =  of momentum balance  +  the body of MAVsubject  (2)
 Coandă Blanket   due to Coandă Blanket   to Coandă Blanket 
     
Fig. 4 Schematic of Coandă jet (Blanket) for a Semi-Spherical MAV

The lift contribution from the momentum flux through the control volume CV in the vertical
direction is given by:
699
___________________________________________________________________________________________
_
Force in the y-direction = Momentum out in the y-direction - Momentum out in the y-
direction
Since, in the radial direction, the Momentum In does not contribute to lift, and then the
momentum equation in the y-direction for the CV depicted in Fig. 4 is:
FCoJB = m V j -out = 2πRi hi   V j -in  V j -out (3)
The contribution of lift from the pressure difference between the upper (curved MAV body
covered by Coandă Blanket) and the lower part of the MAV body, is given by:
0
 h  m  
2
(
FIPD =  Ro − Ri2 2
)p −
a  pa −     2 R sin 2 d
R  2 Rh  j − R 
2
(4)
i 
The jet flow assumed uniform outflow separating at the sharp edge of the Coandă MAV
curved surface. Then the contribution of the pressure difference across the surfaces of
the MAV body for lift for the significant value of θi, is given by
 m2 
FIPD =   (5)
 4π  hR  j − R
Hence the total lift due to Coandă jet blanket momentum and Coandă jet blanket induced
pressure difference is given as
 m2 
LiftSpherical − = 2 Ri hi V j -in  V j -out + 
Coanda jet Blanket +
induced pressure difference
 4 Rh  j - R (6)
1
= m  V j -out + mV j - R
2
Therefore, the Coandă MAV has additional lift given in (6), due to the presence of the
Coandă blanket, in comparison to a simple micro air vehicle powered by actuator disk
only. It should be noted that a more exact approach requires additional information, i.e.
the energy conservation equation, which is then utilized as the fourth equation. This is
elaborated subsequently.
Applying the energy conservation equation on the same control volume, which has been
redrawn for convenience in Fig. 5, assuming uniform properties across the sectional
areas at the input and output of the Coandă jet blanket and ignoring the entrainment
energy exchange between the ambient air and the Coandă jet blanket, the energy
equation can be written as:
 p  p
  + (V j-in ) =   + (V j-out )
1 2 1 2
(7)

 in 2 
 out 2
700
___________________________________________________________________________________________
_
which is essentially the Bernoulli equation along any streamline between the inlet and the
outlet sections. The contribution of the entrainment energy exchange along the Coandă
jet blanket can later be incorporated, such as by adopting certain assumptions as a
heuristic approach or, applying the complete viscous equation by numerical simulation or
CFD approach. The latter should be carried out for more meticulous approach, using the
present simplified analytical approach as guidelines.
At the same time, the CFD results, by appropriate considerations of the relevant
parameters utilized there can be used in developing the heuristic approach as well as for
validating and assessing the merit of the analytical approach. Noting that from the outset,
the flow is considered incompressible, equation (7) reduces to,
1 2 1 2
V j-in =  V j-out (8)
2 2
Fig. 5 Schematic of the control volume around the MAV for the application of the
energy conservation equation (not into scale)
Hence, by the application of the conservation energy principle for incompressible flow,
and assuming ambient pressure at the inlet and outlet of the Coandă jet blanket and
neglecting the energy exchange between the ambient air and the Coandă jet blanket, the
following velocity relationship between the inlet and outlet sections of the Coandă jet
blanket is given by
V j-out = V j-in (9)

This latter equation should simplify the solution given in equation (6) and reduce the use
of idealization or the number of assumption since fewer unknowns are included in the
equations. Combining equations (6) and (9) yields:
3
LiftSpherical- = mV j −in (10)
CoJB+IPD 2
701
___________________________________________________________________________________________
_
The results will be assessed posteriori by using more structured CFD simulations, which
incorporate the effect of viscosity through the use of Navier-Stokes equation, although the
latter also contain uncertainties and inaccuracies.
B. Cylindrically Shaped Coandă MAV
The analysis for cylindrically shaped Coandă MAV, that has the configuration exhibited
in Fig. 6, can be carried out similarly to the aforementioned spherical shape. The
analysis can be preform following the same procedure above, assuming incompressible
2-D flow. In the following analysis the Coandă MAV cylindrically shaped is idealized as
shown in Fig. 6, with the cylindrically shaped upper surface to have a depth of l and
radius of R. The Coandă jet flowing over it is assumed to be a thin jet sheet of thickness
h (h<<R).
Fig. 6 Cylindrical shape Coandă MAV Model with actuator [13].

For the conservation of mass analysis, the control around the body is depicted in Fig.7;
using the mass conservation equation, one obtains
h
V j −out = V j −in (11)
t
702
___________________________________________________________________________________________
_
Fig. 7 (a) 2D cylindrical Coandă MAV pressure forces effect (b) Pressure forces
acting vertically on control volume of Coandă surface.
Consideration will be given to momentum-force balance in the vertical direction, which is
relevant. The contribution of lift from the momentum equation along the Coandă system
vertical (y) axis, considering that at the inlet, the momentum is in the radial direction is
therefore given by
 h2 
FMomentum-CoJ = m j −outV j −out = V j2−in l   (12)
 t 
By referring to the Control Volume drawn in Fig. 7a, the contribution of the pressure
forces acting on the Control Volume to the total vertical force is equal to the difference
between the pressure integral acting on the lower surface to the vertical component of the
pressure integral along the upper surface of the Coandă jet surface. Therefore:
FIPD = Flower − surface − Fupper − surface
 2  2
h 2
= p
0
a cos   lRd − (p
0
a −
R
V j )cos   lRd (13)
2
h 
=  h  V j − in 
t 
Hence, the resultant forces that contribute the lift are given by:
 h2 
2
h 
LiftCylinderical − = V j2− inl   +  hl  V j − in  (14)
CoJB + IPD  t  t 
which could be compared to the result given by Djojodihardjo et al., [9], Djojodihardjo and
Ahmed [15], and the work of Schroijen and Van Tooren [13].
703
___________________________________________________________________________________________
_
5. Flight Dynamic Analysis for Semi-Spherical Coandă MAV in Translatory Motion
A. System of Coordinates
For the derivation of the equation of motion of the Coandă MAV, the system coordinates
that are required for setting the equation will be defined. Following the convention in
flight dynamics, four main reference frames are identified, namely the inertial coordinate
system, the local horizon reference frame, the body reference frame, and the wind
reference frame, as required in the analysis, and are depicted in Fig. 8. Without loss of
generality, for simplicity and instructiveness, only two-dimensional coordinate systems in
the plane of symmetry along the motion of the Coandă MAV will be elaborated. These
four coordinates are:
i) Inertial coordinate system, OExyz.
ii) The local horizon co-ordinate system Oxhyhzh,
iii) The body co-ordinate system Oxbybzb,
iv) The wind axes system Oxwywzw,
(a) (b)
Fig. 8 (a) The details of the four coordinate systems for Coandă MAV flight
vehicle; (b) Axes systems in the vertical plane perpendicular to the Earth’s Surface
In the figure, the wind axes are oriented to the flight path angle γ relative the local horizon
axes and by the angle of attack α relative to the body axes. The two dimensional
configuration in the vertical plane perpendicular to the earth surface is shown in Fig. 8 (b).
B. Flight Dynamic Analysis
704
___________________________________________________________________________________________
_
In the development of the flight dynamics of Coandă MAV in Translatory Motion, the
equation of motion is developed in the vertical plane perpendicular to the earth motion,
rendering two-dimensional planar motion. The hovering state, as depicted in Fig. 9, will
be utilized as a reference.
Balance of forces in the free-body diagram exhibited in Fig. 9 and the use of the Coandă
lift from equation (10) leads to:
3
LHover  TCoMAV = m  V j -in
2 (15)
= 3 Ri hV
i
2
j -in = WCoMAV −TF
In the development of the equation of motion during translatory motion, a further
simplifying assumptions will be made, which could be refined at later stage to incorporate
ones that are more realistic.
These are:
1. The thrust of the Coandă MAV will not be
affected by the attitude of the Coandă MAV configuration during hover. This
assumption implies that Coandă jet flow relative to the Coandă MAV does not
change during manoeuvre. More elaborate analytical model should be developed
assisted by CFD simulation.
2. During the translatory motion, the thrust of
the Coandă MAV is assumed to be:
3
TCoMAV = m  V j -in hover − equivalent
2 (16)
= 3 Ri hV 2
i j -in hover − equivalent
705
___________________________________________________________________________________________
_
Fig. 9 Two-dimensional configuration MAV in hover, in (at the vertical plane of

symmetry and motion)
Fig. 10 Schematic of Coandă MAV in two-dimensional translatory motion in the

vertical plane (at the vertical plane of symmetry and motion).
The equation of motion of the Coandă MAV in translational motion in the two-dimensional
vertical plane can be written by referring to Fig. 10 using the basic flight dynamic equation
for flight vehicle:
Kinematic:
x = V cos  [LT-1] (17)
h  y = V sin  [LT-1] (18)
ywind g ( L − W cos  )
 = tan−1 = tan −1 (19)
V WV
y g ( L − Wcos  ) -1
 = tan−1 wind = tan−1 [T ] (20)
V WV
Coandă MAV Fluid Dynamics:
3
TCoMAV − heq = m  V j -in = 3 Ri hV 2
i j -in
[MLT-2] (21)
2
3 3 m2
TCoMAV − heq = m  V j -in = [MLT-2] (22)
2 4  Ri hi
706
___________________________________________________________________________________________
_
Coandă MAV Flight Dynamics:

V = ( g / W ) (TCoMAV −heq cos  − D − W sin  ) [LT-2] (23)
y = ( g / W ) (TCoMAV −heq sin (  +  ) − W − D sin  ) [LT-2] (24)
It should be noted, that the above relationships are derived for balance of forces and
Newton’s equation for semi-spherical Coandă MAV treated as a point mass moving in a
plane perpendicular to the planar Earth.
6. Performance Measure
A. Performance Measure during hover
The feasibility of using Coandă techniques to enhance aerodynamic performance of

Coandă MAV can be outlined through some non-dimensional quantities of performance
measure. The most logical measure that has commonly been utilized is the Coandă jet
momentum coefficient, C (Mamou and Khalid [26], Djojodihardjo et al., [9]), which are
defined as:
mVJ-R
C = (25)
1
 jV2 Aref
2
While equation (25) may be appropriate for any Coandă activated vehicle (i.e. Coandă
MAV), particularly during hover and lift-off, one can define another performance measure
to evaluate the aerodynamic performance for spherical Coandă MAV considered here, by
assessing the output lift as compared to the input momentum rate, following
consideration discussed by Djojodihardjo and Ahmed [15], and is given by:
LiftCoJB + IPD 3
PM 1Spherical −CoMAV = = (26a)
Coanda Jet Momentum In 2
Alternatively, this obvious dimensionless performance measure may be defined based on
the rate of the energy of the Coandă jet ejected by Coandă MAV at its ideal inlet velocity
Vj-out at its peripheral outlet compared to the rate of momentum influx of the Coandă jet
times its inlet velocity Vj-in (non-dimensional):
Lift produced by Coanda MAV at V j-out at its peripheral outlet
PM 1Spherical-CoMAV =
the rate of momentum influx of the Coanda jet times its inlet velocity V j -in
3
Lift.V j −out mV j −in 2 3 R0 h0  V j-in 3 3
= = 2 = =
2 R0 h0 V j-in 2 V j-in 2 R0 h0 V j-in 3 2 R0 h0  V j-in 3 2
(26b)
707
___________________________________________________________________________________________
_
It is realized at this point, that more information is required to insure uniqueness.

Resorting to the present heuristic approach, further realistic assumption can be drawn
from CFD visualization, which also added further insight to the problem. Similar
expression can be defined for Cylindrically Shaped Coandă MAV.
Another performance measure could be defined to be the lift to inlet velocity, which is a
dimensional quantity and substituting equation (13) for the lift, it gives;
LiftCoJB + IPD
Coanda jet inletVelocity
1 (27)
m V j-in + mV j −in
2 3
= = m
V j-in 2
A third performance measure may be defined based on the Coandă jet rate of momentum
influx per unit Coandă jet kinetic energy input (dimensional):
LiftCoJB+IPD
Jet Inlet velocity 2
2 R0 h0  V j-in 2 +  R0 h0 V j −in 2
= (28)
V j-in 2
h 
= 3 AMAV −base  0 
 R0 
where
AMAV _ base =  R 0 2 (29)
B. Performance Measure during translation
Performance measure during translation can be defined as:

i) For level flight:
Power required toovercomeDrag D V cos  2

PM CoMAV − = = (30)
LevelFlight Power Input byCoanda-jet-action mV j-in 2
The Performance Measure PMCoMAV- Level Flight can be expressed as a function of CD, Ro,
ṁ, hi, , V, Vj-in. These are the basic relationships that can further be modified and
elaborated for other flight conditions.
For purely level flight, as depicted in Fig. 8,  = 0, and Equation (28) reduces to:
1  Ro 2 sin V 3
PM CoMAV −  CD → x (31)
LevelFlight 4 mhi V j-in 2
Or with respect to angle ε
708
___________________________________________________________________________________________
_
1  Ro 2 cos  V 3
PM CoMAV −  CD → x (32)
LevelFlight 4 mhi V j-in 2
Fig. 11 Schematic of Coandă MAV in two-dimensional cruising motion in the vertical

plane of symmetry and motion. Inset: Cross sectional area perpendicular to direction of
motion
ii) For climbing:
Power required toC limb

PM CoMAV- =
Climbing Power Input byCoanda − jet −action
TCoMAV −heq y −D y − W y
=
Coanda Jet Momentum Gain*Coanda Jet Velocity In
3 cos ( −  ) V sin  ( D sin  + W )V sin  (32)

= −
2 V j-in mV j-in 2
3 sin (  +  ) V sin  ( D sin  + W )V sin 
or PM CoMAV- = −
Climbing 2 V j-in mV j-in 2
For purely climbing flight, =/2, and equation (32) reduces to
3 1 
m V j-inV −   CD → y Ro 2V 2 + W  V
PM CoMAV- =
2 2 
2 (33)
purley Climbing mV j-in
7. Some Results and Examples
A. Results and examples for hovering flight
To assess the merit and plausibility of the theoretical analysis using first principles carried
out here, a comparison of the theoretical prediction for the performance measures PM1,
PM2 and PM3 given by equation (26 - 28) are compared with CFD simulation carried out
using ANSYS Fluent for Spherically Shaped Coandă MAV. The results are depicted in
figures 12 and 13. The simulation was performed using steady RANS with two equations
709
___________________________________________________________________________________________
_
k-ω Shear Stress Transport (SST) turbulence model has been used in [29]. Simple
pressure-velocity coupling scheme with the least squares cell base as discretization
gradient was applied in the solution method together with second order upwind for the
momentum equation and the turbulent kinetic energy.
For the performance PM2 as depicted in Fig. 12a, the influence of the ratio of the jet slot
thickness h to the reference radius Ro which influence the jet inlet velocity is clearly
noticeable. In addition to the above performance measures, the influence of the jet inlet
velocity on the air vehicle performance “lift” may also be of interest from designer’s point
of view, which enables them to befittingly select the right propulsion system for such
MAV. The jet inlet velocity influence on performance of Spherical Coandă MAV at
constant jet thickness (h = 50 mm) is depicted in Fig. 12b.
Fig. 12 Performance measure for spherical Coandă MAV for a) various jet slot
thickness at different jet velocity and b) various jet inlet velocity at constant jet
thickness (h=50mm).
For Cylindrical Coandă MAV the corresponding theoretical prediction for PM2 is
 h2  1  h
2

V 2
j −in l   +   V j −in  Rl
PM 2Cylinderical- =
LiftCoJB + IPD
=  t  2 t 
(34)
CoMAV Coandă jet inletVelocity V j-in
For comparative and validation purposes, Fig. 13 (a) and (b) are produced to assess the
present theoretical prediction with CFD simulation results for the case deliberated by
Schroijen and van Tooren [13] for cylindrical Coandă MAV, for h/R= 0.075 at two
different jet inlet velocities.
Relatively good qualitative agreements between the theoretical results and CFD
simulations shown there lend support to the present analysis, noting that in the analytical
study carried out here many simplification have been introduced, while in the CFD
simulation, the full Navier-Stokes equation for incompressible fluid was used.
710
___________________________________________________________________________________________
_
Fig. 14 exemplifies the effect of viscosity that can be revealed by CFD simulation for two
different locations of the Coandă jet introduction. The CFD images exhibited in Fig. 14
(a) and (b) show the velocity magnitude contours for the given configuration and inlet
conditions for cases considered by Mirkov and Rasuo [16] and Ghozali [27].
Fig.13 Performance measure comparison between mathematical and CFD models

for Cylindrical Coandă MAV for various (a) Inlet velocity and (b) Jet slot thickness.
(a)
(b)
Fig. 14 Lift versus input jet velocity for similar configuration considered in (a)
Mirkov and Rasuo [16], (b) Ghozali [27].
711
___________________________________________________________________________________________
_
Fig.15 Mesh details for similar configuration considered in (a) Mirkov and Rasuo
[16], (b) Ghozali [27]
Figure 15 shows structured numerical mesh used in the flow domain. Through
meticulous attempts and grid sensitivity studies the size of the mesh cells was generated
small to enable visualizations of the flow around the whole body with best details. The
numerical study was performed with a moderately small Reynolds number, Re = 68458,
based on mean velocity and jet inlet height. The velocity is uniform (Vj-in = 20 m/s) across
the inlet which has a thickness of 0.05 m. The number of the mesh cells was 52830, and
the mesh quality was found to be acceptable. The orthogonality quality was 4.96943e-
01, which should be acceptable from the ANSYS orthogonality quality requirements. As
elaborated by Ahmed et al., [14] and Ahmed and Djojodihardjo [28], and Djojodihardjo
and Ahmed [15, 29], the present generation of mesh is considered to be acceptable.
The influence of the inlet jet radius on the air vehicle performance (lift) is also investigated
using the CFD simulation. The results are presented as velocity magnitude contours,
which were carried out for two inlet jet radius, Ri = 5 mm and Ri = 50 mm and as shown in
Fig. 16.
Fig. 16 Symmetrical Coandă effect-velocity magnitude contour with different inlet

radius (a) Ri = 5 mm, (b) Ri = 50 mm.
712
___________________________________________________________________________________________
_
Fig.17 Comparison between the CFD simulation and plot for pressure contours
along semi-spherical Coandă MAV surface.
For the semi-spherical Coandă jet MAV, the CFD simulation and visualization results are
exhibited in Fig. 17, which exhibit the pressure contours along semi-spherical Coandă
MAV surface obtained by CFD simulation results (left), and the associated static pressure
color-coded contour (right).
Fig. 18 Comparison of the coefficient of pressure on the Coanda blanket surface;

(a) present CFD Simulation, (b) simulation by Mirkov and Rasuo [22].
The numerical study was performed with a moderately small Reynolds number, Re =
68458, based on mean velocity and jet inlet height. The velocity across the inlet, which
has a thickness of 0.05 m, is uniform (Vj-in = 20 m/s). The number of the mesh cells was
52830, and the mesh quality was found to be acceptable. The orthogonality quality was
4.96943e-01, which is acceptable from the ANSYS orthogonality quality requirements.
Figure 18 compares the coefficient of pressure on the Coanda blanket surface; (a)
present CFD Simulation, (b) simulation by Mirkov and Rasuo [22].
B. Results and examples for climbing
For translatory flight, Figures 19 and 20 exhibit some examples of Performance

Measures simulation studies for Coandă MAV in purely level and climbing flights. The
713
___________________________________________________________________________________________
_
figures are obtained using equations (31) and (33) for level and climbing flights,
respectively. Figure 19 shows the influence of Coandă jet slot thickness on the cruise
performance for various Coandă jet inlet velocity, while Fig. 20 shows pure Coandă MAV
climbing performance for various Coandă jet slot thickness and inlet velocity. The latter
figure shows the threshold of these parameters that will provide Coandă MAV climbing
capability.
Fig. 19 Coandă MAV Performance Measure as a function of jet slot thickness for
various climbing rate (velocity), calculated using Eq. (31) and CFD simulation for a
baseline Coandă MAV configuration.
Fig. 20 Coandă MAV Performance Measure as a function of jet slot thickness for
various climbing rate (velocity), calculated using Eq. (31) and CFD simulation for a
baseline Coandă MAV configuration; (a) Climbing Performance as function of
Coandă jet velocity at various jet slot thickness, (b) Climbing Performance as
function of Coandă jet slot thickness at various jet velocity.
8. Conclusions
A comprehensive effort has been made to analyse and describe the governing equations
applicable to Coandă MAV in hover and translatory motion. It utilizes first principles as
articulated in fluid dynamics and flight mechanic, using conservation principles for a
714
___________________________________________________________________________________________
_
control volume and free-body diagram for the application of Newton’s law of motion. The
paper establishes the basic working relationships among various relevant variables and
parameters governing the aerodynamics forces and performance measures of Coandă
MAV in hover and translatory motion. CFD simulations for a Coandă MAV generic model
are carried out to gain insight into the flow situation, establishing the analytical model and
validating it subject to the theoretical assumptions. Various CFD studies have also
indicated that there are still significant discrepancies between CFD and experimental
studies, which necessitate the existence of specific baseline configurations for validation
purposes. The mathematical model and derived performance measures are shown to be
capable in describing the physical phenomena of the flow field of the semi-spherical
Coandă MAV. Comparison with CFD simulation serves also to assess the uncertainties
and accuracy of the theoretical approach. In addition, the CFD computational and
visualization studies, can provide further insight in revealing other characteristics of the
flow field, and can assist further in-depth analysis, as well as in the design of experiments
to that end. For example, to find out, under what conditions the effect of viscosity may
cause the Coandă jet to separate. CFD visualization has certainly assisted the analytical
work in assessing the application of fundamental conservation principle in continuum
mechanics as well as elaborating the equation of motion for the flight dynamics of the
Coandă MAV. Further elaborate development, which covers additional cases, will be
addressed in the near future.
Acknowledgment
University Grant Scheme FRGS 5524250 and GP-IPS/2014/9433914 research funding,
under which the present research is carried out.
References
[1] Coandă, H. “Perfectionnement aux propulseurs,” Brevet d’invention France, no.

796.843 /15.01.1935.
[2] Coandă, H. and C. France, “Device for deflecting a stream of elastic fluid projected
into an elastic fluid,” US Patent Office, 2,052,869. 1936.
[3] Gad-el-Hak, M. Introduction to flow control- in flow Control. Fundamentals and

Practices, Springer-Verlag, 1998, pp. 1-108.
[4] Gad-el-Hak, M. Flow Control - Passive, Active and Reactive Flow Management,
Cambridge University Press, London, United Kingdom, 2000.
[5] Jones, G.S., Viken, S.A., Washburn, A.E., Jenkins, L.N., Cagle, C.M., An active flow
circulation controlled flap concept for general aviation aircraft applications, Flow
Physics & Control Branch NASA Langley Research Center, AIAA-2002-3157.
715
___________________________________________________________________________________________
_
[6] Englar, R.J., Smith, M.J., Kelley, S.M, Rover, R.C., Application of circulation control
to advanced subsonic transport aircraft, Part I: Airfoil development, Journal of
Aircraft. 31(5) (1994) 1160-1168.
[7] Jones, G. S. and Englar, R.J., ”Advances in pneumatic-controlled high-lift systems

through pulsed blowing”, AIAA-2005-3411.
[8] Kweder, J., Panther, C.C., Smith, J.E., Applications of circulation control, yesterday
and today, International Journal of Engineering, 195; 4(5) (2011) 411-429.
[9] Djojodihardjo, H., Hamid, M.F.A., Jaafar, A. A., Basri, S., Romli, F. I., Mustapha, F.,
Mohd Rafie, A.S., and Abdul Majid, D. L. A., Computational study on the
aerodynamic performance of wind turbine airfoil fitted with Coandă jet, J. Renewable
Energy, Volume 2013, Article ID 839319, 17 pages.
[10] Djojodihardjo, H., Hamid, M.F.A., Basri, S., Romli, F.I., Abdul Majid, D.L.A.,
Numerical simulation and analysis of Coandă effect circulation control for wind-
turbine application considerations, Journal IIUM Engineering, 12 (2011) 19-32.
[11] Djojodihardjo, H., Progress and development of Coandă jet and vortex cell for
aerodynamic surface circulation control – An overview, The SIJ Transactions on
Advances in Space Research & Earth Exploration (ASREE), 1(1) (2013) 32-42.
[12] Djojodihardjo, H., and Thangarajah, N. Research, development, and recent patents
on aerodynamic surface circulation control - A critical review, Recent Patents on
Mechanical Engineering, (2014) 1-37.
[13] Schroijen, M., Van Tooren, M., MAV propulsion system using the Coandă effect,
American Institute of Aeronautics and Astronautics. AIAA/ASAME/SAE/ASEE.
Exhibit. USA: Denver Colorado, Joint Propulsion Conference, (2009) 1-10.
[14] Ahmed, R.I., Djojodihardjo, H., Abu Talib, A.R., Abd Hamid, M.F., Application of
Coandă jet for generating lift for micro air vehicles – Preliminary design
considerations, Applied Mechanics and Material, 629, (2014) 139-144.
[15] Djojodihardjo, H., Ahmed, R.I., An Analysis on the Lift Generation for Coandă Micro
Air Vehicles, IEEE, ICARES conference proceeding, Yogyakarta, Indonesia 2014.
[16] Mirkov, N., and Rasuo, B., Numerical simulation of air jet attachment to convex walls
and applications, Proceedings of 27th International Congress of the Aeronautical
Sciences - ICAS 2010, Nice, France 2010.
[17] Dumitrache, A., Frunzulica, F., and Ionescu, T., Mathematical modeling and
numerical investigations on the Coandă effect, Chapter 5, Nonlinearity, Bifurcation
and Chaos – Theory and Applications, InTech, 2012. 10.5772/50403, 2012.
716
___________________________________________________________________________________________
_
[18] Roderick, W. E. B., Use of the Coanda Effect for the Deflection of Jet Sheets of a
Smoothly Curve Surfaces, Part II, University of Toronto, Institute of Aerophysics,
Technical Note No.5, 1961.
[19] Djojodihardjo, H., Abdul Hamid, M. F., Overviews of Coandă jet lift enhancement and
computational studies, ASEAN Engineering Journal, 3(1), (2013) 39-57.
[20] Menter, F. R., Kuntz, M., and Langtry, R., “Ten Years of industrial experience with the
SST turbulence model,” Turbulence, Heat and Mass Transfer 4ed: K. Hanjalic, Y.
Nagano, and M. Tummers, Begell House, Inc. 2003, pp. 625 - 632.
[21] Benner, S.D., “The Coandă effect at deflection surfaces widely separated from the jet
nozzle” University of Toronto. UTISA Technical Note no. 78, 1965.
[22] Mirkov, N., Rasuo, B., Maneuverability of an UAV with Coandă Effect Based Lift
Production,” Proceedings of 28th International Congress of the Aeronautical Sciences
- ICAS 2012, Brisbane, Australia 2012.
[23] Drăgan, V., A new mathematical model for high thickness Coandă effect wall jets,
Review of the Air Force Academy, No 1 (23) 2013.
[24] Wessapakdee, B., Makarasut, P., and Thipyopas, C., An Experimental and
Computational Fluid Dynamic Study of Axis-Symmetric Coandă Configuration for
VTOL MAV Applications, Applied Mechanics and Materials, 629 (2014) 42-47.
[25] Florescu, D., Florescu, I., Nedelcut, F., Nedelcu, I., “Fuselage Airstream Simulation
for a Coandă UAV,” Technical Sciences and Applied Mathematics. 2010.
[26] Mamou, M., and Khalid, M., Steady and unsteady flow simulation of a combined jet
flap and Coanda jet effects on a 2D airfoil aerodynamic performance Revue des
Energies Renouvelables CER’07 Oujda 55–60. 2007.
[27] Ghozali, Analysis of Coandă Effect Using Computational-Fluid-Dynamic”, Thesis,

Universitas Gajah Mada, Indonesia, 2013.
[28] Ahmed R I, Djojodihardjo H, Abu-Talib AR, Mohd-Rafie A.S., First Principle Analysis
of Coandă Micro Air Vehicle Aerodynamic Forces for Preliminary Sizing, Aircraft
Engineering and Aerospace Technology DOI: 10.1108/AEAT-03-2015-0080.R2 (in
press, 2016).
[29] Djojodihardjo H, Ahmed, R.I., CFD Simulation of Coandă Effect on the Upper
Respiratory System, Journal of Medical Imaging and Health Informatic (in press,
2016).
[30] Liu, Y., Sankar L.N., Englar, R.J., Ahuja, K.K., Numerical Simulations of the Steady
and Unsteady Aerodynamic Characteristics of a Circulation Control Wing Airfoil,
AIAA-2001-0704.
717
___________________________________________________________________________________________
_
[31] Englar, R.J., Pneumatic aerodynamic technology to improve performance of

automotive vehicles, AIAA. 2005.
[32] Shires A. and Kourkoulis V. “Application of Circulation Controlled Blades for Vertical
Axis Wind Turbines,” Energies, 6(8) (2013) 3744-3763; doi:10.3390/en6083744.
718
___________________________________________________________________________________________
_
XXIII
AIRCRAFT TRAILING VORTICES - CIRRUS CLOUD INTERACTION AND

GREEN AIRCRAFT TECHNOLOGY: AN OVERVIEW58
ABSTRACT
Contributions and problems contributed by anthropogenic causes and solutions that can be offered by
Aerospace Technology to address environmental changes known as green technology initiatives are
reviewed. Such initiatives, however, may only provide partial or temporary solutions, as learned from
mankind experience through the ages. The analysis will first look at the basic principles governing physical
changes occurring in the earth’s environment, here defined as the earth and its enclosing atmosphere, and
the effect of anthropogenic changes introduced thereafter. In the efforts to intervene such process and thus
maintaining the sustainability of the earth’s environment, some scientific and technological guidelines to
comprehend the natural phenomena and global changes may be obtained as well as derived, such as
those from thermodynamic principles,.
The work will then review information and knowledge gained from efforts devoted to aircraft technology
and aviation, which may broaden our horizon in understanding our earth’s environment as well as new
technologies that can be offered to our goal of maintaining the sustainability of the earth’s environment.
Elaborating efforts in delivering a new generation of green aircraft to address climate change challenge, two
main aspects will be further elaborated, fuel burn and trailing vortices. The first directly contribute to green-
house gases while the second to the creation of cirrus clouds. Finally a holistic approach of introducing
green aircraft by design is elaborated.
Keywords: Aircraft Trailing Vortices, Cirrus Cloud, Contrails, Climate Change, Green Aircraft Technology
58Re-edited from Proceeding of the 2013 IEEE International Conference on Space Science and
Communication (IconSpace), 1-3 July 2013, Melaka, Malaysia
719
___________________________________________________________________________________________
_
9. Introduction
Vision and Paradigm: Aerospace for

Sustainable World
The world’s dream for socio-economic,
intellectual and technological equity and
GLOBAL ENVIRONMENTAL
networking for narrowing their gap should CONSERVATION CONCERN
be accompanied by a vision, determination NEED FOR
UNDERSTANDING
and proactive actions by all and everyone, Mankind

AND CHERISHING
THE WORLD THAT
SUSTAIN OUR LIFE
in spite of diversity, distribution, growth Vision for

Sustainable
WISDOM &
INTELLIGENCE
TO ACT
NEED TO ESTABLISH
World
and capacity of the population, in order to GLOBAL CONVICTION
GOAL, PARADIGM AND
TECHNOLOGY FOR
SUSTAINING HUMAN
provide solutions and realization for LIFE ON EARTH
"Man must rise above the Earth -- to the top of the atmosphere and beyond -
mankind basic, intellectual and quality of - for only thus will he fully understand the world in which he lives." –
Socrates 400 BC
life needs including natural and energy
resources and sustainable environment. A These words due to Socrates in 400 BC has inspired mankind to explore new fromtiers beyond
the earth’s atmosphere which eventually convince mankind for the preciousness of our unique
vision for world’s “green” environment, world and the the need to for sustainable llife on earth and the significance of space
exploration to that end..
energy and technology should be shared

and contributed by all, as reflected and
summarized in Figure 1(a) adapted from Figure 1: Vision for “Green” environment
and elaborated by Djojodihardjo, (2010a,
2010b).
When addressing any issue relating to and physical and scientific principles as
environmental impact, it is necessary to represented in Figure 2 (Djojodihardjo,
adopt a total (global) system view covering (2009),
relevant aspect of science, engineering,
economics, social and political setting.
MANKIND AND UNIVERSE
- SUSTAINABILITY
Except for the political issues, and POPULATION
EXPLOSION &
RISING DEMAND
PHYSICAL &
SPIRITUAL NEEDS
considering economic aspects implicitly as FOOD & HEALTH
embedded in many engineering POPULATION

NATURAL
RESOURCE ENERGY
considerations, the present paper attempts S

MINERAL
MINERAL
NON- RESOURCES
RESOURCE HOUSING
to follow such approach. Our concern for RENEWABLE

S
global change cannot be separated from a RENEWABLE

RENEWABL
SUN-
SUN-
SYNTHESIZED
SYNTHESIZE
TECHNOLOGICAL
PROCESSES
MOBILITY
NATURAL
holistic view of basic human needs, world’s D RESOURCES

NATURAL
E EFFICIENCY
SECURITY
RESOURCES
natural resources availability and

sustainability, ENVIRONENTAL
CONSERVATION
THERMODYNAMIC
PRINCIPLES
720
___________________________________________________________________________________________
_
Figure 2: Holistic view of Global Change

and World Population Dynamics and
Figure 3 also depicts the reflection of
Demands (Djojodihardjo, 2010a, 2010b).
incident wave towards the Space as long
Djojodihardjo and Varatharajoo (2009) waves. Except for the ultraviolet rays, the
which can be derived from as reflected wave are partly absorbed and
thermodynamic principles (Chu, 2008; reradiated towards the Earth’s surface by
Ghoniem, 2008). the so-called Greenhouse gases. Figure 4
exhibits the electromagnetic radiation
spectral characteristic of the solar radiation
Earth Energy Balance and Global which is received by the earth and partially
Change reflected back to space. Solar output
The Earth receives solar radiation energy peaks in the visible part of the spectrum;
from the Sun which is depicted in Figure 3, some wavelengths of solar radiation are
which depicts the Earth’s energy balance. absorbed and scattered in the atmosphere.
Solar Radiation from the Sun generated by Absorption takes place as a process in
nuclear fusion travels at speed of light which the electromagnetic energy is
(300,000 km/second), and partly directed transferred to heat energy when radiation
towards the Earth. The incident radiation strikes molecules or particles in a gas,
enters the Earth’s atmosphere as electro- liquid, or solid on the atmosphere and
magnetic wave with short wave-lengths surface of the earth. The electromagnetic
and the amount of solar energy received at radiation energy also experiences
the surface of the Earth is 1367 W/m2, scattering process in which particles and
which is known as the Solar constant. molecules in the atmosphere deflect
incoming solar radiation in different
directions on collision. Absorption warms
the atmosphere directly. Solar rays can be
scattered back to space or down toward
Earth.
Figure 3: Solar Radiation from the Sun to

the Earth
721
___________________________________________________________________________________________
_
Figure 4: Electromagnetic radiation It has been observed that CO2

spectral characteristic (Strahlers & Merali, concentrations increase: unprecedented in
2008) the last 10,000 (actually 650,000) years
(Lee et al, 2009). Increased Growth rates
of Greenhouse gas concentrations
(Carbon Dioxide, Methane, Nitrous Oxide)
In Figure 5, (more data is available here has been observed during the last 50
than in the Southern Hemisphere) for the years, and that Carbon Dioxide (CO2)
last 2,000 years. All show anomalous increases are caused mainly by burning
warming in the 20th century (Wang and fossil fuels, as depicted in Figure 6.
Oppenheimer, 2005).
(a)
Figure 5: Comparison of various

temperature reconstructions and model
simulations for the Northern Hemisphere (b)
It has been observed that these

Greenhouse gases have increased
significantly during the last five decades
due to anthropogenic origins. Although
there are many conflicting literature on
anthropogenic global warming (AGW), (c)
Figure 5, taken from Wang &
Figure 6: Increased Growth rates of
Oppenheimer (2010) and represents
Greenhouse gas concentrations (Carbon
scientific evidence supported by IPCC Dioxide, Methane, Nitrous
(IPCC, 2007; Lee et al, 2009), indicates Oxide)(Bernstein, 2007; Brusati, 2009)
that mankind has to carry-out serious
efforts to reverse such trend in foreseeable
and not too distant future. Such goal-
setting have been in the agenda of
aerospace and aviation communities
worldwide, which will be highlighted
subsequently.
722
___________________________________________________________________________________________
_
Figure 7: Global mean surface temperature: Figure 8: Large Human Contributions to

0.75°C warmer than it was a century ago (Lee et Radiative Forcing (Lee et al, 2009)
al, 2009)
Global aviation contributes to climate

change by emissions of carbon dioxide
(CO2), nitrogen oxides (NOx), water vapor,
10. Aviation Contribution to Global particles, contrails and cirrus changes.
Warming Carbon dioxide is the most important
Global aviation contributed to Radiative greenhouse gas. Its effect is independent
Forcing so far about 0.05 W/m2. These are of the altitude at which the emission
about 3 % of the total (about 1.6 W/m2) occurs. Nitrogen oxides from aviation at
radiative forcing from all anthropogenic subsonic cruise altitudes enhance ozone
effects The largest uncertainty comes from formation and reduce methane; both are
aviation contributions to changes in cirrus greenhouse gases.
clouds, which therefore are not included in
the total. Including the presently know
uncertainties, the aviation contribution is
estimated within the range 2 to 8 %. Thus
far, global aviation contributed to the
observed global warming of 0.7°C about
0.02-0.03°C (ca. 3-4 %). Figure 8 is an
example of anthropogenic contribution of
greenhouse gases which constitutes
Radiative Forcing in the atmosphere; the
aviation contribution is identified with + Figure 9: Trends in Global Aviation
sign on the right hand side of the Figure Contributions in terms of GHG’s and Cirrus
(Lee et al, 2009). Formation to the observed Global Warming
of 0.7°C about 0.02-0.03°C (∼3-4 %)(Lee et
al, 2009)
723
___________________________________________________________________________________________
_
Figure 11 illustrates the close relationships

between aviation emissions and aviation
flight routes, particularly in the tropopauze
which deteriorates global warming and
prompted systematic efforts by aircraft
industries, airlines and aviation authorities
to provide acceptable and sustainable
solutions. To this end, as reported in IATA
Press Release on 22 September 2009
(Szodruch and Schumann, 2009), Airlines
Figure 9: Projection of future climate based have presented climate change proposals
on human choices about emissions (Lee et to heads of governments to improve
al, 2009) carbon efficiency with a 1.5% average
annual improvement in fuel efficiency to
2020, to stabilize emissions with carbon-
Water vapor and particles (soot etc.)
neutral growth from 2020, and to reduce
emitted at altitudes near the tropopause
emissions reductions with a 50% absolute
can induce contrails and cirrus clouds,
cut in emissions by 2050 compared to
likely enhancing the greenhouse effect.
2005. It is noted that from 2000 to 2006
Figure 9 exhibits the trends in Global
the fuel burn has decreased by 1,6% per
Aviation Contributions in terms of GHG’s
year.
and Cirrus Formation to the observed
Global Warming. It is imperative, despite
some repudiative views, that mankind can
lessen such trends, as illustrated in Figure
10.
Figure 10: Projection of future CO2

emission scenarios for Civil Aviation and
All Sources (Lee et al, 2009)
724
___________________________________________________________________________________________
_
11. Trailing Vortices & Cirrus Cloud

Interaction
Contrails (condensation trails due to

aircraft trailing vortices) from cruising
aircraft and soot cause cloud changes.
Figure 11: (a) Global distribution of aviation Figure 13 is a satellite image above North-
emissions (Lee et al, 2009) ; (b) Map of all Western France exhibiting line-shaped
flights over the world departing on August contrails evolving into “contrail-cirrus”.
2, 2002 (AERO2K); (c) Vertical Distribution Observations have also confirmed the
of Aircraft Emissions and Tropopause (Lee close correspondence between contrails
et al, 2009) and cirrus formation in the troposphere.
Cirrus enhances the greenhouse effect. In
addition, soot may cause “soot-cirrus”.
However, the total emissions increased in
the same period by 2,3% .
All new products from now on need 50%
fuel burn reduction. Technologies are not
available today. It is estimated that such
goal requires the utilization of more than
50% biofuel. Figure 12 indicates the efforts
that have been undertaken by aircraft
industries, airlines and aviation authorities
to commit themselves to such goal.
Figure 13: Contrails and soot from cruising
aircraft produce cloud changes which
mostly contribute to global warming
(Szodruch and Schumann, 2009).
Contrails and soot from cruising aircraft

cause cloud changes which mostly
contribute to global warming. Contrails are
caused by water vapor emissions from
aircraft flying in cold and humid air
Figure 12: Trends in aviation communities masses. Soot and other particles change
to reduce greenhouse gases, illustrated as contrails and cirrus properties. Line-
the technology development to reduce fuel shaped contrails are detectable from
burn and combustion efficiency, thus the space. The total cirrus change is estimated
energy intensity (Szodruch & Schumann, with still large uncertainty Cirrus and
2009).
725
___________________________________________________________________________________________
_
contrails heat during night and they heat or

cool during day.
In 1992, aircraft line-shaped contrails are

estimated to cover about 0.1% of the
Earth’s surface on an annually averaged
basis with larger regional values (IPCC,
Penner et al, 1999). Following Penner et al
(1999), contrails tend to warm the Earth’s
surface, similar to thin high clouds. The
contrail cover is projected to grow to 0.5%
by 2050 in the reference scenario, at a rate
which is faster than the rate of growth in (b)
aviation fuel consumption. This faster
growth in contrail cover is attributable to Figure 14: Estimates of the globally and
annually averaged radiative forcing (Wm-2)
the increase of air traffic in the upper
(from subsonic aircraft emissions in 1992
troposphere where contrails form
(2a) and in 2050 for certain scenario(Penner
preferentially, as well as due to et al, 1999).
improvements in aircraft fuel efficiency.
Contrails are triggered from the water
vapor emitted by aircraft and their optical The radiative effect of contrails depends
properties depend on the particles emitted on their optical properties and global
or formed in the aircraft plume and on the cover, both of which are uncertain.
ambient atmospheric conditions. Contrails have been observed as line-
shaped clouds by satellites over heavy air
traffic areas and covered on average about
0.5% of the area over Central Europe in
1996 and 1997.
Paoli et al, (2002, 2003), investigated and
simulated the formation of such
condensation trails in the laboratory by
simulating the basic configuration of
exhaust engine jet loaded with soot
particles and water vapor and interacting
with a wing-tip trailing vortex. The
thermodynamic conditions for contrail
formation were identified by tracking the
(a)
spatial distribution of supersaturation
around particles. A strong mass coupling
between the two phases was
726
___________________________________________________________________________________________
_
demonstrated by the simulations: the uncertainty range represented by the lines

condensation of water vapor over soot associated with each bar.
particles, induced by exhaust dispersion
into cold ambient air, leads to the
formation of ice crystals whose sizes grow Cirrus Clouds Extensive cirrus clouds
until thermodynamic equilibrium between have been observed to develop after the
the two phases is reached. formation of persistent contrails. Increases
in cirrus cloud cover (beyond those
The radiative forcing from aircraft due to
identified as line-shaped contrails) are
contrails are depicted in Figure 14. Note
found to be positively correlated with
that the scale in Figure 14b is greater than
aircraft emissions in a limited number of
the scale in Figure 14a by about a factor of
studies. About 30% of the Earth is covered
4. The bars indicate the best estimate of
with cirrus cloud. On average an increase
forcing while the line associated with each
in cirrus cloud cover tends to warm the
bar is a two-thirds uncertainty range
surface of the Earth. An estimate for
developed using the best knowledge and
aircraft induced cirrus cover for the late
tools available at the present time. (The
1990s ranges from 0 to 0.2% of the
two-thirds uncertainty range means that
surface of the Earth. For another scenario,
there is a 67% probability that the true
this may possibly increase by a factor of 4
value falls within this range.) The available
(0 to 0.8%) by 2050; however, the
information on cirrus clouds is insufficient
mechanisms associated with increases in
to determine either a best estimate or an
cirrus cover are not well understood and
uncertainty range; the dashed line
need further investigation.
indicates a range of possible best
estimates. The estimate for total forcing
does not include the effect of changes in
cirrus cloudiness. The uncertainty estimate 4. Engineering Solutions – Contrail
and Trailing Vortices Alleviation
for the total radiative forcing (without
additional cirrus) is calculated as the
square root of the sums of the squares of Contrail Avoidance
the upper and lower ranges for the
The meteorological conditions required for
individual components. The evaluations
the formation of contrails are fairly well
below the graph (“good,” “fair,” “poor,”
understood; they persist only in regions of
“very poor”) are a relative appraisal
air which are supersaturated with respect
associated with each component and
to ice (Royal Aeronautical Society, 2005).
indicate the level of scientific
There is no technology in prospect to
understanding. It is based on the amount
prevent contrail formation in such
of evidence available to support the best
conditions. However, these regions are of
estimate and its uncertainty, the degree of
finite extent – typically in the range 100-
consensus in the scientific literature, and
1000km in lateral extent and 1-5km deep –
the scope of the analysis. This evaluation
and are encountered on rather less than
is separate from the evaluation of
50% of flights over Europe. Also in Europe,
727
___________________________________________________________________________________________
_
they are encountered only rarely at in summer. Fichter et al(2003) suggested

altitudes below 25,000ft. In principle they that the mitigation strategy could be
can be avoided by flying under or over or improved by varying the flight level change
round them. The preferred option will to suit latitude and season.
depend on latitude and season. In every
Work by Williams et al(25) modelled such
case it will be at the cost of increased fuel
a seasonal mitigation strategy for
burn. Further, we cannot firmly conclude
European airspace by setting a flight level
that contrail avoidance will be beneficial in
ceiling which varied from month to month.
all circumstances until we have a firmer
The ceiling was set to give a reduction of
understanding of (a) the effect of varying
approximately 50% in contrail cover in the
altitude on the radiative impact of other
winter, based on monthly average
emissions (NOx, water and particulates)
meteorological data (in fact, the ceiling
and (b) the radiative impact of the primary
was set so that the maximum potential
cirrus formed from contrails as distinct
contrail fraction in any of the grid boxes at
from secondary cirrus formed from
that altitude was below 5%, compared with
particulate emissions.
an average of approximately 10% over the
The way in which contrails develop into year). The fuel burn penalty averaged
cirrus cloud as they age, and the impact of 3.9% over the year. The study predicted a
the clouds thus formed on radiative considerable increase in air traffic
forcing, needs much more research, in controller workload, particularly in winter
particular on the possibility of avoiding months. This was considered an
contrail formation by operational impediment to the implementation of any
measures. The current ESA/Eurocontrol altitude restriction policy but the authors
CONTRAILS program uses a range of suggested that the problem might be
satellite measurements to gather alleviated by re-design of the existing air
comprehensive data on contrails and cirrus traffic management sectors.
over Europe and the North Atlantic for the
year 2004, and is aimed at providing a
firmer evaluation of their impact on Intervention On Trailing Vortices
radiative forcing (Royal Aeronautical Dynamics And Trailing Vortices
Society, 2005). Alleviation
A study by Fichter et al(2003) of the impact Induced Drag Minimization and trailing
of a global change in cruise altitudes vortex alleviation
reported a predicted reduction in contrail
cover, averaged over the year, of about Efforts have been devoted in modern
45% for a reduction in cruise altitude of aircraft development to the enhancement
6,000ft. The consequent increase in fuel of lift and reduction of drag as well in
burn (and CO2 production) was estimated addition to minimizing weight and
to be nearly 6%.The predicted reduction in maximizing propulsion efficiency. The
contrail cover depended strongly on contribution of vortices to lift and lift
season, varying from 20% in winter to 80% enhancement bring our attention to the
second interest, i.e. efforts for induced
728
___________________________________________________________________________________________
_
drag minimization and accordingly, trailing Classification and basic quantities

vortices alleviation.
In an overview on wake vortex research
This subject has received much attention including early studies, model and flight
and has prompted increased tests, numerical investigations and
multidisciplinary research effort, and recent fundamental physical aspects and
comprehensive account can by found in alleviation strategies, Breitsamter (2010)
many recent review papers, among others identifies characteristic quantities for wake
Widnall (1975), Spalart (1998), and vortex analysis including typical length and
Breitsamter (2010). The prediction and time scales as well as turbulence
control of trailing vortices presents both a quantities. From his analysis on detailed
technological challenge of importance in results on the near field wake vortex
air traffic control and provide a myriad of properties associated with large transport
instructive phenomena in fluid mechanics. aircraft in approach configuration, and in
Momentum of the flow that is deflected by the context of the far field development,
a wing, or by another flow, develops into instability mechanisms are elucidated
an organised vortex structures that are along with their relevance for wake vortex
coherent and energetic. This phenomenon decay. Short wave instabilities related to
is also observed in the production of vortex merging and long and medium
vortices by impulsive forces, as observed wave instabilities for wakes consisting of a
during animal flight, or in the jet two- and four-vortex system can be
turbulence. The mechanism underlying identified by certain parameters. He also
these phenomena, and its control for elaborated his studies on wake vortex
various applications, in particular for flight alleviation including spoiler elements,
safety, has been the subject of intensive differential flap setting and oscillating
multidisciplinary field of research (Jacquin, winglet flaps.
2001).
The following features characterize the
The state of affairs of wingtip vortices trailing vortex system in the near field
which form wake turbulence indicating the (x/b  0.5, *0.01): due to aircraft surfaces
flow fields of vortices which possess discontinuity, i.e.
intense swirl velocities and complex time-
dependent behavior. Wingtip vortices are 1. In approach configuration, a large
transport aircraft with four-engine
associated with induced drag; this
generates heterogeneous vortex
phenomenon is a direct consequence of systems where concentrated single
the generation of lift due to viscous effect. vortices are embedded in the vortex
Induced drag and wingtip vortices sheet shed from the wing trailing-edge.
management by selecting the best wing Progressing from the wing tip to the
planform for the mission is a classical wing root, the dominant single vortices
problem and critically important in comprise the wing tip vortex, the
aerospace engineering. outboard flap vortex, the outboard and
inboard nacelle vortices and the wing
fuselage vortex.
729
___________________________________________________________________________________________
_
2. The wing fuselage vortex has an (ii) The extended near-field, 0.5<x/b10,
opposite sense of rotation with respect where the wake roll-up process and
to the other dominant wing vortices the merging of dominant vortices (e.g.
since the circulation gradient at the wing shed at flap edge, wingtip, etc.) take
fuselage junction change sign. place, which further downstream
3. The horizontal tail plane vortex is gradually becomes two counter-
another dominant vortex, which is also rotating vortices.
counter-rotating with respect to the wing (iii) The mid- and far-field, 10<x/b100,
tip vortex due to the negative lift where the wake is descending in the
produced by the horizontal tail at atmosphere and linear instabilities
trimmed flight. emerge.
4. Concentrated vortices of smaller scale (iv) The dispersion region, x/b>~100,
are emanating at other wing surface where fully developed instabilities
discontinuities, such as at nacelle cause a strong interaction between the
strakes, and these are attributed to flow two vortices until they collapse.
separation at slat horns, flap track Several investigations that were carried
fairings, etc. out by FAA and NASA in the 1960’s-
1970’s to define the vortex-wake structure
and to estimate the loads imposed on a
penetrating aircraft as it enters the wake
from different directions already identified
the loads imposed by aircraft wake that
may overpower the control capability and
exceed the structural limits of the
penetrating aircraft. A reduction in the
impact of the wake-vortex hazard on
airport capacity for wake-vortex avoidance
as well as the introduction of new wake
alleviation technologies have been under
Figure 15:. Stages of wake vortex lifespan, study. Addition of turbulence to the vortex
showing: initial vortex perturbations, the wakes of aircraft was the first option
intermediate development, and the far-field
considered because excess turbulence in
result of active control using conventional
the ambient fluid was known to disrupt or
aircraft control surfaces adapted from
Breitsamter (2010). prevent the formation of laboratory
vortices. Therefore, turbulence injection (or
addition of turbulence to the wake by
Judging from its downstream development, means of various devices) was the first
vortex wake can be divided into four method tried.
regions, as depicted in Figure 15.
Inventions and innovation related to lift
(i) The near-field, x/b 0.5, (x/l < O(1)), enhancement and drag reduction may
which is characterized by the formation imply geometrical modifications, invent
of highly concentrated vortices shed at devices and introduce novel features on
all surface discontinuities. the aircraft wings, introduce and/or invent
730
___________________________________________________________________________________________
_
sensors for identifying relevant physical Optimization of lift and vortex drag leads to
phenomena or measuring devices and profound research, development and
introduce novel computational methods to invention related to trailing vortex
assess the prevailing force system with alleviation with multitude of practical
better accuracy through meticulous concerns and leads to a single issue of
modeling. Accordingly, methods of how fast the vortices lose their identity,
measurements and aerodynamic and how to accelerate the process.
theoretical framework and computational
methods are further developed, which
address unsteady aerodynamic as the Vortex Dynamics, Induced Drag and
general case. Wake Hazard
The effectiveness of various differential The dynamics of the vortices in their
spoiler settings (DSS’s) has been tested in various configurations are relevant to
a low speed wind tunnel facility to assess aircraft flight as lift generating and induced
the capability of modifying the spanwise drag generating mechanism, as well as
wing load distribution using half aircraft their impact other vehicles and
model at high lift configuration. If any of the environment.
configurations tried above had been
successful, i.e., if the required flight spoiler
equipment already on board the aircraft Vortex Decay
proved to be adequate, it might not have
been necessary to significantly modify the Typical cross-section of the aircraft wake
aircraft. Application of some of the other trailing vortices in the Trefftz plane
concepts could require extensive originated from the aircraft wing-tips is
modification of the wake generating illustrated in Figure 16. The presence of
aircraft, which would reduce the viscous core radius is clearly indicated.
attractiveness of the wake alleviation Vortex decay is one mechanism which
concept. The use of span loading on the could reduce the intensity of disturbance to
wake-generating wing and wing fins to other objects in the vicinity of trailing
deintensify the vortices could be vortices.
alternatively considered. Various wake-
vortex dispersion mechanisms which
included, among others: spoiler and spline Vortex Pair Instability
devices, wingtip blowing, forward or Aircraft trailing vortices research efforts in
reverse thrust of the engines, flight spoilers he past fifty years have focused on the
already on aircraft, wingtip turbine, and understanding of the structure and
passive control have then been suggested. dynamics of trailing vortices, in particular
Associated with this, research, on the interesting observation of their
development and engineering efforts instability and break-up, and how these
reflected by patents and published phenomena can be taken advantage of in
research work have been devoted to the
optimization of lift and vortex drag.
731
___________________________________________________________________________________________
_
tailoring the trailing vortices efficiently and b. medium-wave instability (MW) –

effectively for various advantages. (Crouch instability):
 
2  
In a comprehensive paper on wake vortex b0 2
characteristics of transport aircraft,

c. short wave instability (SW)-(Widnall
Breitsamter et al (2002) and Breitsamter
instability):
(2010) have carried out a series of   
 
experiments at Technical University of 2 b0 4
Munich’s windtunnel facility, and observed

d. ultra-short wave instability (USW:
and reproduced the relevant vortex pair
vortex merging):
instability taking place downstream of the  

transport aircraft model tested. b0 4
Crow (1970), Widnall (1975) and Crouch

(1997, 2005) have pioneered in the
analysis of vortex instabilities. The first two
types concern the stability of a vortex pair
and known as Crow and Widnall
instabilities. These are:
o long-wavelength (or Crow) instability,
with wavelength of the order of 5 to 10
times the separation distance of the
two vortices. This type of instability can
be frequently observed in the
atmosphere when the vortex pair is
visualized as the condensation trails of
Figure 16. Possible encounters with lift- aircraft in cruise flight.
generated wake by a following aircraft o the short-wavelength (or Widnall)
during take-off (a. Breitsamter, 2010) and instability with a wavelength of the
landing (b, Rossow, 1999), indicating wake order of the vortex core radius.
vortex hazard
Modification, Control and Alleviation Of

In this conjunction, based on wavelength Aircraft Trailing Vortices
which includes both long and short wave
phenomena, Breitsamter (2010) classifies
the instability mechanisms following the Rationale
wavelength ranges as follows:
The alleviation of the hazard arising from
a. long range instability (LW) –(Crow aircraft trailing vortices have been directed
instability): towards modifying some identified

 2 structure and properties of these wake
b0
vortices, in particular to affect the spatial
vorticity distribution in the near field, in
732
___________________________________________________________________________________________
_
order to reduce the induced rolling

moment, due to low vorticity vortex (LVV), Passive means that have been tried are,
or to increase the inherent instability among others, adding or changing the
mechanisms of the vortex systems with the configuration of some aerodynamic
aim to enforce an accelerated decay, surface components, such as wing fins,
which is addressed to the quickly decaying flap edge elements, spoiler elements,
vortex (QDV) (Breitsamter, 2010). Certain vortex plates. Active means like oscillating
wake vortex topologies have been flaps and/ or spoilers and the like have
recognized to excite inherent instabilities. been studied, and even patented. All these
To this end, passive and active means configuration changes to alleviate wake
have been resorted to and are tested. vortices hazard should not introduce any
unfavorable effects. For example, these
changes should not change the aircraft
flight characteristics and performance.
Another basic concern is that, with all
these modifications made at the aircraft or
in its nearfield, the vorticity distribution
rearrangement in the far field should be
favorable affected to meet the objective of
wake vortex alleviation and/or wake vortex
decay enhancement.
.
Figure 17: Photographs of an airplane wake in
cruise, showing simultaneous long- and short-
wave instabilities on trailing vortices. The
photographs are taken at ground level with a
400mm telephoto lens. (Bristol, Ortega,
Marcus and Savac, 2004).
Table 1 – Summary of Selected Inventions on Trailing Vortex Alleviation (Djojodihardjo,

2011)
Passive/
No. Inventors Methods or Innovation Yr Wake vortices alleviation technique
active
Brown; Garry L. Lifting Body With Reduced-Strength chord length variation specifying the
1 and Nosenchuck, Trailing Vortices- US Patent 1990 lifting body with reduced trailing vortices passive
Daniel M. 5492289 strength
Gerhardt, Heinz Wingtip Vortex Impeller for Drag Vortex Impeller for Drag Reduction-
2 1999 active
Adolf Reduction-Vortex Cancellation - US Vortex Cancellation
733
___________________________________________________________________________________________
_
Patent 5918835
altering the generated initial vortex wake
Bilanin, Alan J. System and Method of Vortex Wake to make it vulnerable to rapid breakup;
3 and Quackenbush, Control Using Vortex Leveraging - 2000 producing disturbances to this wake with active
Todd R. US Patent 6,042,059 secondary vortices using vortex
leveraging tabs
Active Control Method And
Crouch, Jeffrey D.
Apparatus For Encouraging The actuating aileron and spoiler following
4 and Spalart, 2000 active
Early Destruction Of Trailing Vortices active control system and scheme
Philippe R.
- US Patent 6082679.
Trailing Vortex Management via
varying the spanwise vortex-sheet
Boundary Layer Separation Control - Active &
5 Greenblatt, David 2005 strength via either passive or active
Greenblatt, US Patent passive
boundary layer separation control
2005/0103944 A
upper and lower surface boundary layers
Vorticity Cancellation At Trailing
control by suction to cancel opposing
6 Loth , John L. Edge For Induced Drag Elimination - 2006 active
vorticity; and wing tip vorticity countering
US Patent US7134631
device
Translating Active Gurney Flap to active flap that moves spanwise back
Eaton, John K. and
7 Alleviate Aircraft Wake Vortex 2010 and forth along the outboard section of active
Matalanis, Claude
Hazard– US Patent 7,740,206 B2 the surface.
Method and devices for reducing the method and device for reducing the
Delaplace, Franck wake vortices of an aircraft in the wake vortices of an aircraft during the
8 2010 active
approach/landing phase. approach/ landing phase by
US7850125 B2 automatically controlling spoilers
process and device for automatic flight
Method and Device for Generating
optimization of aircraft aerodynamic
an Optimum Aerodynamic
9 Sauvinet, Frederic 2010 configuration by determining and active
configuration of an aircraft during a
applying spoilers commands for optimum
Flight, US2010/0219298 A1
aerodynamic configuration.
Lewis, Michael S.; systems and methods for directing and
Meseroke, Jere S., Systems and method for tracing tracing aircraft vortices, which include
10 Dunn, Michael J., aircraft vortices, US Patent 2010 directing a tracer from an aircraft into a active
& Tillotson, Brian 2010/01133384 A1 vortical flow generated by the aircraft
J. flow.
The objectives of aircraft trailing vortices

control and their alleviation are focused on
Vortex modification and decay
transforming the trailing vortices structure
to (a) vortex rings or (b) vortex As an alternative to active control, a
enlargement with strength reduction, as number of methods have been suggested
illustrated in the Figure 18 (Crouch, 2005). to modify the trailing vortices or to enhance
their decay. These schemes are generally
Early efforts to break up the vortices
intended to weaken the strength of the
focused on the excitation of the long-
vortices, or to enlarge the vortex cores.
wavelength instability, known as the Crow
instability, which exists for a pair of
counter-rotating vortices. Crow (1970)
proposed a method to trigger the Crow
instability by oscillating the lift distribution
to move the centroid of vorticity inboard
and outboard along the wing
734
___________________________________________________________________________________________
_
Figure 18: Control objectives for aircraft Goals for Green Aviation
trailing vortices structural transformation
are to induce (a) vortex rings or (b) vortex NASA (NASA-Green Aviation, 2012) has a
enlargement with strength reduction set of research goals on “Green Aviation”
(adapted from Crouch, 2005). which are related to mitigating
environmental impacts of aviation. NASA’s
goals are here quoted to illustrate world’s
The vortices are modified by changing the serious effort to achieve environmentally
wing span loading, and varying the axial friendly aviation and aircrafts technology,
flow using drag devices or mass injection. illustrated in Figure 19. NASA’s goal is to
Various wing-tip devices have also been reduce aircraft fuel consumption,
proposed to modify the wake roll-up emissions and noise simultaneously, which
process. is a much more difficult challenge than
working to reduce them individually. Such
effort has been envisioned in Europe as
Recent Patents On Trailing Vortices Joint Technology “Clean Sky Initiative as
Alleviation illustrated by Figure 20.
In addition to published research work, The reference aircraft for the NASA’s fuel
various inventions have been patented on efficiency goal is a 300-passenger, long-
trailing vortices alleviation, and selected range transport with GE 90 engines,
recent patents have been reviewed by manufactured in 1997 or 1998. The goal
Djojodihardjo (2011), who elaborated how dates represent a technology readiness
new techniques have been devised to take level of 6, which is considered ready for
advantage, a well as to enhance, the state flight testing. This is the point at which
of our knowledge and its utilization in NASA traditionally transfers a new
aircraft trailing vortices alleviation. Some technology to industry for further
of the patents reviewed utilize propellers or development toward operational readiness
and certification by governing authorities
jets to introduce flow disturbance to reduce
such as the Federal Aviation
the induced drag, and required power
Administration.
activation. Some of the devices need
additional power on top of the power
already utilized by the aircraft to produce Fuel Efficiency
lift, and hence induced drag, and some
The challenge faced in fuel efficiency can
need no additional power from the aircraft
be illustrated by the following example. In
power system. The patents reviewed and
2008, major U.S. commercial air carriers
the basic methods utilized are summarized
burned 19.7 billion gallons of jet fuel, while
in Table 1. The details are elaborated in
aircraft owned and operated by the
Djojodihardjo (2011).
Department of Defense consumed another
4.6 billion gallons of jet fuel, with an
estimated fuel cost of $73 billion.
5. Engineering Solutions: Fuel Burn
Reduction
735
___________________________________________________________________________________________
_
(b)
Figure 19: NASA Green Aviation CO2
Emission Projection Figure 20 : (a) Joint Technology Initiative;
(b) Joint Technology Initiative goals
(Szodruch and Schumann, 2009).
.
Associated with this, the goal is to develop The use of more fuel-efficient aircraft
aircraft technology capable of reducing fuel engines and the introduction of larger
burn significantly. aircraft accommodating more seats per
This technology should enable the design aircraft in combination with an increase in
of new aircraft that burn 33 percent less the average stage distances, has reduced
fuel than present airplanes by 2015, 50 the fuel use per available seat kilometer
percent less by 2020 and at least 70 per- (ASK). The improvement in the specific
cent less by 2025. It also should enable fuel consumption has furthermore reduced
the adoption of new air traffic management the necessary amount of fuel that has to
operations that save up to 6 percent of be carried on flights of comparable
annual commercial aviation fuel distances leading to additional fuel
consumption by 2035. savings. Furthermore, the operation at
higher passenger load factors has
contributed to reduce the fuel use per
revenue passenger kilometer (RPK) (Ross,
2009)
(a)
736
___________________________________________________________________________________________
_
Figure 21: Carbon intensity of passenger

transport (IPCC, 1999).
Emissions
The challenge faced in fuel emissions can
be illustrated by the following example.
Fuel consumed by the U.S. commercial air
carriers and the military releases more
than 250 million tons of carbon dioxide
(CO2) into the atmosphere each year.
CO2 is a greenhouse gas and a
contributor to global warming. Other major
emissions are nitric oxide (NO) and
nitrogen oxide (NO2), which together are Figure 22: Ultimate Goal Is To Confine Any
called NOx and contribute to ozone Objectionable Noise Within The Boundaries
creation; sulfur oxides (SO2); and Of An Airport. Source: NASA,
particulates (often referred to as soot).
Forty of the top 50 U.S. airports are in
areas that do not meet Environmental The goal dates represent a technology
Protection Agency local air quality readiness level of 6, which is considered
standards for particulate matter and ozone. ready for flight testing. This is the point at
Reducing NOX emissions also reduces which NASA traditionally transfers a new
SOX emissions. Reducing the amount of technology to industry for further
fuel burned reduces CO2 emissions. development toward operational readiness
The goal is to develop aircraft technology and certification by governing authorities
and air traffic management capable of such as the Federal Aviation
cutting NOX emissions 20 percent by 2015 Administration.
when compared with today’s best engines,
50 percent by 2020 and greater than 50
percent by 2025, and transfer the
technology to industry. Noise
NASA’s emissions reduction goals are The challenge faced can be illustrated as
based on a standard known as follows. Aircraft noise continues to be
International Civil Aviation Organization’s regarded as the most significant hindrance
Committee on Aviation Environmental to increasing the capacity of the National
Protection Sixth Meeting, or CAEP/6. Most Airspace System, largely because of
aircraft engines in use today meet or nuisance noise near major metropolitan
exceed CAEP6. Related to this standard, airports. Although the Federal Aviation
NASA’s goals are to create technology Administration has invested more than $5
capable of enabling engines that emit 60 billion in airport noise reduction programs
percent less NOx, by 2015, 75 percent since 1980, the problem persists.
less by 2020, and greater than 75 percent
less by 2025. The goal is to develop aircraft technology
and airspace system operations to shrink
737
___________________________________________________________________________________________
_
the nuisance noise footprint around each up and shut-down, WE the empty weight,
airport until it is about one-third of its WP for the payload and R for the range,
current size by 2015, about one-sixth its then one can derive
size by 2020, and contained within the
airport property boundaries by 2025.
where X is a range performance parameter

6. Engineering Solutions: Holistic
Aircraft Green Design - Selections defined by
and Overall Considerations
and H is the
Constraints on design and technology calorific value of the fuel, η is the overall
propulsion efficiency of the engine and L/D
Before considering any particular aspects
is the lift-to-drag ratio of the aircraft at
of technology, it is worth identifying the key
cruise.
variables which determine aircraft
performance, particularly those which It is usual to express H in Joules/kg but,
determine fuel efficiency. They are few in since this has the dimension length, H can
number and identifying them helps to give also be expressed in km. Since η and L/D
some indication of what may be realistic, are dimensionless, X is then expressed in
and what unrealistic, to expect from km.
technology.
The Second Law of Thermodynamics

defines a boundary that we cannot cross
(Royal Aeronautical Society, 2005). Along
with it, there is a range of other
relationships – in aerodynamics,
thermodynamics, chemistry, structures –
that also put bounds on what is physically
possible. As elaborated in this article, a
form of the Breguet range equation was
derived which can be cast as an
expression for fuel burn per unit payload-
range. The equation assumes continuous
cruise-climb to maintain the aircraft at its
optimum cruise condition and includes an
allowance for the fuel burned during
taxiing, climb to cruise altitude and en-
route maneuvering. If WMF denotes the
mission fuel burned between engine start-
738
___________________________________________________________________________________________
_
durability and cost. The engine is close to

the limit of achievable efficiency of a
turbofan operating on the simple Joule
cycle, which has been highly developed.
Such aircraft has a history of innovation

and technological leadership, and
Figure 23: (a) Uninstalled SFC as a exercised prudence in both the technical
function of thermal and propulsive and commercial arenas. Both the airline
efficiencies (b) Possible open rotor and aircraft industries operate in a highly
optimization (c) Effect of increased thermal regulated, highly competitive environment
and propulsive efficiencies (Copyright where margins are small, investment costs
Rolls-Royce plc) are high, many years are required to
achieve a satisfactory return on investment
and, above all, passenger safety is
For a kerosene-fuelled medium- or long-
paramount. The travelling public and the
range swept-winged aircraft with currently
airlines have become accustomed to the
achievable values of η and L/D, X is
swept-winged airliner, with windows in the
approximately 30,000 km. Figure 23
cabin, and the airports are equipped with
illustrates the propulsive optimization
gates designed to suit an airplane which
scheme using such estimate (Royal
carries its passengers in a long, relatively
Aeronautical Society, 2005).
thin fuselage.
Essential circumstances and overriding

considerations
The dominant configuration in the world
fleet is the classic sweptwinged turbofan
powered aircraft. The configuration follows
the principles of Cayley’s classic airplane
in separating the functions of providing
volume, lift, stability and propulsion (Royal
Aeronautical Society, 2005).. The swept-
wing is an optimization results to achieve
efficient flight at high speed. In addition,
the dominant configuration has been built
from materials that provide an admirable
balance between weight, strength,
739
___________________________________________________________________________________________
_
Figure 24: Three decades of engine noise

reduction (b) Aircraft departure noise levels
and London Airports Night-time QC Bands
(Copyright Rolls-Royce plc)
Therefore, after half a century of living

comfortably with the dominant
configuration, the public, the airlines and
the manufacturers may have difficulty in (b)
embracing a radically different alternative
without a fairly powerful incentive. Figure 25: (a) More advanced Engine
Concept for 2025 (Szodruch & Schumann,
Probable configurations for new engine
2009); (b) The large blended wing-body of
and aircraft configurations to meet the
the EC NACRE program (Copyright Airbus)
Green Aircraft Challenge are illustrated in
Figure 25.
However, as observed at the beginning of
section 2.0, today’s aircraft is a highly
Climate change – reducing CO2 developed machine with, in its classical
emissions form, limited potential for further advance.
The ACARE target of a reduction in fuel
For a kerosene-fuelled aircraft, reducing burn of 50% between 2000 and 2020 is an
CO2 emission equates exactly to reducing extremely challenging one which, in the
fuel burn. The latter has been a key design words of the ACARE SRA-1, is “not
objective for the airlines and the aircraft achievable without important
and engine manufacturers since the breakthroughs, both in technology and in
beginning of the jet age (Royal concepts of operation.”(Szodruch and
Aeronautical Society, 2005).. Enormous Schumann, 2009; Lee et al, 2009)
sums have been spent, and continue to be
spent, on research to reduce fuel burn.
(a)
740
___________________________________________________________________________________________
_
Figure 26: Local and global engine and

airframe environmental tradeoffs (b)
Historical trends: fuel efficiency
improvement of long range transport
aircraft (Copyright Rolls-Royce plc)
Figure 28: (a) Influence of structural weight

parameter c1 on variation of fuel burn
function with dimensionless range Z; (b)
Relative weight savings and costs of
advanced materials
The maximum L/D of a particular

configuration is proportional to wing span
and inversely proportional to the square
root of the product of the vortex drag factor
κ and the friction drag area at zero lift,
SDO. Considerations are given to each of
Figure 27: (a) Breakdown for Airbus A340- these in turn: (a) Increasing span, (b)
300 noise on the approach; (b) The Reducing vortex drag factor and (c)
Proactive Green aircraft of the EC NACRE Reducing zero-lift drag area. In both the
program (Copyright Airbus) medium and long term, reducing zero-lift
drag is potentially the most powerful
means available to reduce fuel burn. The
Increasing lift-to-drag ratio options which offer the greatest
Fuel burn varies roughly inversely with lift- possibilities are: natural laminar flow
to-drag ratio L/D at cruise and in the long control; hybrid laminar flow control; flying
term increasing L/D is potentially the most wing or blended wing-body configuration;
powerful means of reducing fuel burn. and all-over laminar flow control.
741
___________________________________________________________________________________________
_
If we define a dimensionless range Z =

R/X, where X is the range performance
parameter, then
Figures 28 and 29 illustrates effort in

(a)
airframe weight reduction associated with
Green Aircraft Technology initiatives.
Global warming is observed and largely

caused by human drivers. To this end,
climate protection requires reductions of
the total greenhouse gas emissions as well
(b)
as other factors. Among many
Figure 29: (a) Weight breakdown and (b) anthropogenic origin of global warming,
Roadmap for the utilization of CFRP for presently aviation share in CO2 emissions
aircraft technology development of about 2 %. Hence, increased fuel
(Amendola et al, 2011)
efficiency is important (for several reasons)
In addition, cruising aircraft impact climate
Reducing empty weight by NOx and contrails. The aviation share
in radiative forcing is presently 3 % (range
Reducing empty weight for a given 2-8%) Scenarios of aviation CO2
payload reduces fuel burn. Empty weight emissions show potential increase until
depends on the payload and also the 2050. NOx and Contrails offer special
range of the aircraft. There is a snowball chances for climate mitigation. Largest
effect. For an aircraft designed for a uncertainty and possibly largest
specific payload and range, weight saved contribution is derived from contrail cirrus.
on any particular component – e.g. the The contrail issue needs higher attention
galley – reduces the weight of the rest of from researchers, authorities and aircraft
the aircraft – the wing, the empennage, the industry for Green Aircraft challenge.
engine, the fuel load, the undercarriage. In
assessing the potential benefit of particular
weight saving measures, it is necessary to 8. References
take account of this snowball effect.
[1]. Amendola, G. Iannuzzo, P. Cerreta,
R. Pinto (2011), Future aerostructure
742
___________________________________________________________________________________________
_
for the next generation green civil National Seminar on Alternative

aircraft, Aerodays 2011, Madrid- Energies to substitute Fossil Fuels, (in
www.cleansky.eu, accessed 12 Indonesian), Universitas Jenderal
December 2012. Achmad Yani (UNJANI), Bandung.
[2]. Bernstein, L. (2007). Climate Change [12]. Djojodihardjo, H.(2010a), Space
2007: Synthesis Report Summary for Power System – Motivation, Review
Policymakers, An Assessment of the and Vision, in Solar Collectors and
Intergovernmental Panel on Climate Panels, Theory and Applications,
Change, A summary approved in Sciyo Publishers, 2010
detail at IPCC Plenary XXVII, [13]. Djojodihardjo, H.(2010b),
Valencia, Spain, 12-17 November Aerospace and Green
2007. Technology: Progress and
[3]. Bristol, R.L. , Ortega, J.M. , Marcus, Outlook, World Engineering
P.S. and Savas, Ö.(2004) , On Congress 2010, 2nd – 5th August
cooperative instabilities of parallel 2010, Kuching, Sarawak, Malaysia
vortex pairs, J. Fluid Mech. 517, 331– Conference on Aerospace and
358. Mechanical Engineering
[4]. Breitsamter, C.(2010), Wake vortex [14]. Djojodihardjo, H.(2011), Review on
characteristics of transport aircraft, Development and Recent Patents on
Prog.Aro.Sci. Trailing Vortices Alleviation, Recent
[5]. Breitsamter, C., Bellastrada, C. and Patents in Engineering, Bentham
Laschka, B. (2002), Investigations on Publisher, 2011.
the turbulent wake vortex flow of large [15]. Djojodihardjo, H. and Varatharajoo,
transport aircraft, Paper ICAS 382, R. (2009).Space Power System
ICAS Congress, Toronto. Initiatives: Establishing World Vision
[6]. Brusati, M. 2009, Programma di And Capacity, paper IAC-09-C3.3.3,
finanziamento di R&S della Comunità 60th International Astronautical
Europea in campo aeronautico, Clean Congress, 12 – 16 October 2009,
Sky Goals and Organisation, Daejeon, Republic Of Korea
Politecnico di Milano [16]. Fichter, C., Marquart, S., Sausen, R.,
[7]. Chu, S. (2008), Second Law and Lee, D.S. and Norman, P.D.( 2003),
Energy, in MIT Seminar “The Entropy Impact of cruise altitude on contrails,
Challenge”, MIT, 2008. Proceedings of EC conference
[8]. Crouch, J. D. (1997), Instability and Aviation,Atmosphere and Climate,
transient growth for two trailing-vortex Friedrichshafen, Germany, 30 June -3
pairs. J. Fluid Mech. 350, 311-330, July 2003, EOR 21051
1997. [17]. Ghoniem, A.F. (2008). The Energy
[9]. Crouch, J.(2005), Aircraft trailing Challenge and Emerging
vortices and their control, C. R. Opportunities, The International
Physique 6, 487–499. Conference on Mechanical And
[10]. Crow, S.C. (1970), "Stability Theory Manufacturing Engineering, Johor
for a Pair of Trailing Vortices," AIAA Bahru, May 21-23.
Journal, vol. 8, No. 12, pp. 2172- [18]. IPCC (2007), IPCC Summary for
2179. Policymakers. In Climate Change
[11]. Djojodihardjo, H. (2009). Beyond 2007 - Mitigation. Contribution of
Fossil Fuels, Proceedings of the Working Group III to the Fourth
743
___________________________________________________________________________________________
_
Assessment Report of the [26]. Paoli, R., Helie, J., Poinsot, T. J. and
Intergovernmental Panel on Climate Ghosal, S.(2002), Contrail formation
Change [B. Metz, O.R. Davidson, in aircraft wakes using large-eddy
P.R. Bosch, R. Dave, L.A. Meyer simulations, Center for Turbulence
(eds)], Cambridge University Press, Research, Proceedings of the
Cambridge, United Kingdom and New Summer Program 2002
York, NY, USA. [27]. Paoli, R., Helie, J. & Poinsot,
[19]. Jacquin, L., Fabre, D., Geoffrey, P. T.(2003), Contrail formation in aircraft
and Coustols, E.(2001), The wakes, Under consideration for
properties of a transport aircraft wake publication in J. Fluid Mech, Received
in the extended near-field, AIAA paper 25 November 2003, http://www.
No. 2001-1038Lee, David S., David cerfacs.fr/ ~cfdbib/repository/
W. Fahey, Piers M. Forster, Peter J. TR_CFD_04_18.pdf, accessed 12
Newton, Ron C.N. Wit, Ling L. Lim, December 2012
Bethan Owen, Robert Sausen (2009), [28]. Penner et al, Aviation And The Global
Aviation and global climate change in Atmosphere, IPCC Special Report,
the 21st century, Atmospheric WMO-UNEP, 1999
Environment xxx 1–18 [29]. Rijkee, A.G. & H.P. van Essen (2010)
[20]. Lee, D., Lohmann, U. and Schumann, Review of projections and scenarios
Global Climate Change and Aviation - for transport in 2050 Task 9 Report V
The Challenge, DLR, ETH Zürich, and produced as part of contract
Manchester Metropolitan University, ENV.C.3/SER/2008/0053 between
CEAS Plenary, Accessed 2 Dec 2012 European Commission Directorate-
[21]. Lee and Mo, Analysis of General Environment and AEA
Technological Innovation and Technology plc; see website
Environmental Performance www.eutransportghg 2050.eu
Improvement in Aviation Sector, Int. J. [30]. Ross, David (2009), GHG Emissions
Environ. Res. Public Health 2011, Resulting from Aircraft Travel, Carbon
[22]. NASA, Green Aviation - A Better Way Planet, v 9.2 5/6/2009
to Treat the Planet, [31]. Rossow, V.J.( 1999), Lift-generated
green_aviation_fact_sheet_web- vortex wakes of subsonic transport
Accessed 2 December 2012 aircraft, Prgr.Aero.Sci. 35, pp 507-
[23]. McCollum, David et al, Emissions 660.
from Aviation and Marine [32]. Royal Aeronautical Society (2005), Air
Transportation - Mitigation Potential Travel – Greener by Design,
and Policies, Pew Center on Global Mitigating the Environmental Impact
Climate Change, 2009 of Aviation: Opportunities and
[24]. MIT, MIT Delivers Green Airplane Priorities, Report of the Greener by
Designs to NASA, the Special Design Science and Technology Sub-
Reportfutureofthings.com/.../mit- Group, Published by the Royal
delivers-green-airplane-designs-to- Aeronautical Society.
nasa.html [33]. Spalart, P.R.( 1998), Aircraft Trailing
[25]. Penner et al, Aviation and The Global Vortices, Annu. Rev. Fluid Mech.
Atmosphere, IPCC Special Report, 30:107–38.
WMO-UNEP, 1999
744
___________________________________________________________________________________________
_
[34]. Strahler, A and Merali, Z., 2008, http://www.necci.sr.unh.edu/necci-

Chapter 2 -The Earth’s Global Energy report/NERAch3.pdf
Balance, in Visualizing Physical [41]. Wang, J and Oppenheimer, M., - The
Geography , John Wiley & Sons Latest Myths and Facts on Global
Publishers, 2008 Warming, Environmental Defence,
[35]. Szodruch, J. and Schumann, U., 2005.
1989, DLR Climate Research and [42]. Widnall, S.E. (1975), The Structure
Aircraft Technologies, ICAS Program And Dynamics Of Vortex Filaments,
Committee Workshop, Amsterdam, Annu. Rev. Fluid Mech., 7; 141-165.
September 2009 [43]. Williams, V., Noland, R.B. and Toumi,
[36]. UN, The United Nations Framework R. (2002), Reducing the climate
Convention on Climate Change change impacts of aviation by
(2010). http://unfccc.int/ restricting cruise altitudes,
essential_background Transportation Research D, 7, (6).
/convention/background/items/1353.p
hp.
[37]. UNDP Human Development report
2003, (2003).
hdr.undp.org/en/reports/global/hdr200
3/;
www.unic.un.org.pl/hdr/hdr2003/hdr03_co
mplete.pdf; also Human Development
Report 2003, Millennium
Development Goals: A compact
among nations to end human poverty,
Published for the United Nations
Development Program (UNDP) New
York Oxford, Oxford University Press
2003.
[38]. UNDP (2008). Human Development
Report 2007/2008, Fighting Climate
Change, Human Solidarity in a
Divided World, Published for the
United Nations Development
Program.
[39]. US Energy Information
Administration. (2010). International
Energy Outlook 2010, Highlight,
Report # : DOE/EIA-0484(2010)
Release Date: May 25, 2010, http:
//www.eia.doe. gov/oiaf/ieo/
[40]. Walker, H., Keim, B. and Arndt, M.B.
(2010) -Natural and Anthropogenic
Factors Affecting Global & Regional
Climate, (2010),
745
____________________________________________________________________________________________
746
____________________________________________________________________________________________
XXIV
REVIEW ON DEVELOPMENT AND RECENT PATENTS ON TRAILING

VORTICES ALLEVIATION59
Short Running Title:

TRAILING VORTICES ALLEVIATION
Author / Corresponding Author
Corresponding Author address:
Aerospace Engineering Department Universiti Putra Malaysia, 43400 UPM Serdang,
Selangor, Malaysia and
Universitas Al-Azhar Indonesia, Jakarta 12010, Indonesia
Address for Correspondence:
Department of Aerospace Engineering, Universiti Putra Malaysia, 43400 UPM Serdang,
Selangor Darul Ehsan, Malaysia, Tel: +603-8946 6397; Fax: +603-8656 7125; E-mail:
ABSTRACT: Continuous research efforts have been devoted to the fundamental

understanding of aircraft aerodynamics and the introduction of new concepts and
innovations for the improvement of basic and fundamental aircraft aerodynamic
performance, and hence economy, which leads to the enhancement of lift and the
reduction of drag. It is also well known that the trailing vortices which reflect the lift as
well as drag characteristics of the aircraft could be optimized for better aircraft
performance characteristics and reduction of environmental impact as well as
hazardous interference to other flight vehicles and/or objects. Research in enhanced
aerodynamic efficiency has led to geometrical modifications, novel devices and
features on the aircraft wings, such as blended-wing-body configuration, airfoil
profiles and winglet designs, introduction of and/or invention of sensors for identifying
relevant physical phenomena or measuring devices, introduction of novel
59
Reproduced from Recent Patents on Mechanical Engineering 4(2):83-129, May 2011,
DOI: 10.2174/2212797611104020083
747
____________________________________________________________________________________________
computational methods to assess the prevailing force system with better accuracy
through meticulous modeling, and introduction of control system and procedures for
wake vortices alleviation and aerodynamic configuration optimization. Typical
winglets configuration can significantly reduce the induced drag (in the order of less
than 10 %) with a resulting increase in wing lift-drag ratio and near the design lift
coefficient. The corresponding improvement in lift-drag ratio is more than twice as
great as that achieved with the comparable wing-tip extension. As also observed in
many aircrafts produced in the last decades, only winglets have demonstrated
sufficient benefits to find application on modern airliners. Further enhanced aircraft
aerodynamic performance are suggested by introduction of recent innovative designs
and patents of winglets, sharklets, blended winglets, capped winglets, s-shaped
winglets and spiroidal winglet. The review identifies stability of various configurations
of vortices, vortex decay and means of reducing vortex hazard. Passive wake
vortices alleviation systems utilize the natural evolution of the instability modes with
the highest growth rates while active systems rely on accelerating selected modes of
instability by imposing the vortices individually or as a system. The passive system is
essentially a vortex wake, hence an aerodynamic surface design, while an active
system is an actuator design effort, respectively.
Keywords: aerodynamics, lift and drag, non-planar wings, trailing vortices, Vortex
Alleviation; wakes, winglets
kV Elliptical instability of vortex merging

1. NOMENCLATURE r radius
AR aspect ratio rc vortex core radius
ATC Air Traffic Control r diuspersion radius
a radius of Lamb-Oseen vortex Rb span ratio
b span RΓ circulation ratio
b0 lateral distance of main vortex pair Rec Reynolds number based on the wing chord length
b0 distance between the two adjacent vortices of a four Re Reynolds number based on the circulation of the vortex
t time
vortex system
u, v, w axial, lateral and vertical velocities
bM distance between two main vortices
u, v, w mean axial, lateral and vertical velocities
bg wake-generating wing span
u’, v’, w’ fluctuation part of u, v and w
c chord length
U∞ free stream velocity
CL lift coefficient
V tangential velocity (of a vortex)
f frequency
Vmax maximum tangential velocity (of a vortex)
F wing reference area
x, y, z coordinates in x-, y- and z-direction
k reduced frequency
yC, zC coordinates of the vorticity centroid in half a plane in y-
ka axial wave number
and z-direction
kCrow Crow instability reduced frequency
x*, y*, z* non-dimensional coordinates in x-, y- and z
kCrouch Crouch instability reduced frequency direction
748
__________________________________________________________________________________________
α angle of attack through our further understanding of the

ηHTP horizontal tail plane setting mechanism of lift and drag, the
Γ circulation presence of what is known as trailing
Γ0 initial value of circulation
vortices is one of the consequence of
the generation of lift as well as the origin
λ wavelength
of the induced drag component of the
τ∗ non-dimensional time aircraft drag. Enhanced circulation is
ξ non-dimensional axial vorticity desired for higher lift, but as a
 angular velocity of a vortex consequence, since the aircraft wing has
finite span, the trailing vortices will be
 vorticity
higher as well. Higher lift requirement
 kinematic viscosity
has lead to the development of non-
planar wing, which has received much
Subscripts attention from leading aerodynamicists.
dom dominant However, the trailing vortices
HTP horizontal tail plane commensurate with higher lift may affect
other bodies not generating these
W wing
vortices, as well as introduce
environmental problems arising from
2. INTRODUCTION condensation trails due to trailing
vortices (contrails) as well as noise,
General considerations mentioning only a few examples.
Progress in aircraft technology touches upon, Associated with this, the trailing vortices
among others, the fundamental issue of have introduced hazards to movements
improving basic and fundamental aircraft of other aircrafts in their vicinity. The
aerodynamic efficiency which involves the dynamics and structure of vortices,
enhancement of lift and the reduction of drag. which in addition to their contribution to
In the efforts to achieve increased aircraft lift and atmospheric flight, contribute to
efficiency, wing design and aerodynamics are aircraft wakes, have received much
premier key issues, which lead to extensive attention and gained deeper
research and development efforts and open a understanding in the field of engineering
vast multidisciplinary field of research. physic for perhaps almost one and a half
Through the continuous development of century, although the scientific study of
aircrafts since the first mechanized flight, such lift-generated vortices began with the
efforts have been devoted to the introduction introduction of vortex-lift concepts by
of new concepts and innovations that are Lanchester [3] and Prandtl [4] in the
based on the increased understanding of the early 1900’s.
mechanism of lift and drag of aircrafts as solid
body, which may be flexible, and moving in a Aircraft and vortices
fluid, in particular air, which has a slight Our understanding of lift can start with
viscosity. Viscosity in the air is the very key of the observation and visualization of the
the generation of lift, which allows aircraft to flow field around a wing, which led
fly, and has been hypothesized through Kutta- Lanchester and Prandtl to the vortex
Joukowski law [1, 2], which accounts for the theory of lift wherein the strength of the
generation of circulation produced by the vortex is called its circulation, . The
motion of wings through the air. Hence, generation of lift on wings due to
749
__________________________________________________________________________________________
circulation can be elucidated by considering a Figure (1b), in which vortices are

two-dimensional airfoil with a sharp trailing distributed on these surfaces. This
edge to insure smooth flow represented by a situation is similar to its potential flow
clean departure of the streamlines over the equivalent as depicted in Figure (1c),
top and along the bottom of the airfoil, and which is equivalent to viewing the airfoil
thereby bring about circulation and lift. The to experience a circulation  which is the
streamlines around the airfoil without integral of the vortices on the airfoil
circulation would have to pass around the surface. Adding the flow field associated
sharp trailing edge as indicated in Figure (1a). with circulation, as shown in Figure
Due to the viscous effect of the air, boundary (1d)), results in a smooth the fluid flow
layers are produced on both the upper and off the top and bottom of the airfoil past
lower surfaces of the airfoil, as depicted in the sharp trailing edge.
Figure (1). Flow Field around airfoil adapted from Talay [5], Anderson [2] and Prandtl &
Tietjens [4]
the same size, a wing of rectangular

planform is produced. Trailing vortices
could then be considered to begin at the
The modification of the flow field from Figure wing surface, or in other words, the
(1a) to (1d) is physically and mathematically circulation continues through the wing
equivalent to adding circulation to the flow from wingtip to wingtip.
field around the airfoil, which is the basis of Since the pressure on the wing lower
the Joukowsky hypothesis [1, 2], which surface is higher than the pressure on
implies that the circulation required to the wing upper surface, as illustrated in
generate lift is the amount just sufficient to Figure (2), the airflows around the wing
cause the streamlines flow off its sharp trailing tip from the lower surface to the upper
edge (as shown in Figure (1c) [2, 5]). The surface result in a strong vortex, known
three-dimensional wing can then be visualized as ‘‘wingtip vortex’’. Further, the vortices
as a series of airfoil sections placed side by carried by the fluid coming from the wing
side to form a three-dimensional lifting surface upper and lower surface shows a
of finite size. If all of the airfoil sections are of different sense of direction at the wing
750
__________________________________________________________________________________________
trailing edge. Thus, a free shear layer or rolls up due to its self-induction together
vortex sheet develops, which is connected with the wing tip vortex into a single
with the respective wing tip vortex in the span rolled-up vortex for the left and right
direction. wings, respectively. Consequently, two
counter-rotating trailing vortices exist,
which can exhibit cross flow velocities
of up to 360km/h in their core region
depending upon flight conditions and
aircraft size [2, 5]. After the vortices are
generated, and as time passes, all of the
vortex lines associated with the entire
flight of an aircraft mix with the
surrounding air and diffuse. Hence, after
several minutes, air motions due to the
Figure (2). Effect of finite span on loading of
vortices are usually indistinguishable
wing
from local winds and the turbulence they
generate.
Since the span of the wing is finite, the ends
of the wing allow the high-pressure air on the
bottom of the wing to flow around the wingtips
to the low-pressure region on the top, as
depicted in Figure (2). As a consequence, the
circulation bound to each airfoil section
decreases from the centerline of the wing to
the wingtips, where the lift vanishes. Figure (3). Vortex pattern shed by wing
This state of affairs illustrates that trailing with rectangular loading (Djojodihardjo
vortices develop as a consequence of the lift [7, 8])
an aircraft produced to fly. This phenomenon
also follows from the physical principle known In Figure (3) it is assumed that the lift on
as Kelvin’s law [1] which implies that each airfoil section across the span of
circulation around any closed material curve is the wing is the same so that all of the
invariant in an inviscid fluid, and Helmholtz’s circulation bound in the wing trails
second theorem, which implies that a vortex downstream from each wingtip, which is
filament cannot end in a fluid. Therefore it the simplest lifting surface model
must extend to the boundaries of the fluid or stipulated by Prandtl [4]. A constant lift
form a closed path. Therefore, at the wingtips, across the span of the wing is, however,
the vortices enter the air and are swept not possible.
downstream behind the wing to form the Associated with lift generated by the
trailing vortices, and theoretically are joined action of vortices, research efforts have
far downstream to form the starting vortex, as been devoted to at least two major
depicted in Figure (3). The two downstream categories, the first is the enhancement
ends of the trailing vortices that were of lift, and the second, the minimization
generated when the aircraft lifted off the of induced drag due to trailing vortices,
runway are also joined by an across-stream or the alleviation of the influence of the
vortex as the aircraft lands and reduce its trailing vortices to induced drag, other
wing lift to zero. Hence the state of affairs is aircraft or structures, noise and
illustrated in Figure (3). This free shear layer environment. In fact, theories regarding
751
__________________________________________________________________________________________
the alleviation of aircraft wake vortices have aircraft’s climb drag at critical take-off
been the subject of research papers and conditions, vortex drag is even more
many specialized symposia and professional significant and its influence on the
conferences already initiated in the 1960’s overall aircraft design as well as on the
and are still in progress, indicating continued aircraft cruise performance is profound.
and increasing research and practical interest The improved low speed climb
in this field. performance due to 1% induced drag
reduction may make it possible to
3. LIFT ENHANCEMENT AND INDUCED achieve acceptable take-off and climb
DRAG MINIMIZATION with almost 1% greater take-off weight,
leading to an increase in range several
Lift Enhancement times that associated with the simple
An excellent review on the progress on lift cruise lift-to-drag improvement [9].
enhancement research efforts is given by Therefore reduction in induced drag due
Kroo [9] in a recent lecture at Von Karman to lift can significantly improve aircraft
Institute of Fluid Dynamics. A nonplanar lifting performance.
system has been known to have less induced
drag than a planar wing. One of the early Progress in aircraft wing aerodynamics
discoveries was that vertical surfaces at the for enhanced lift can be illustrated by
wing tips will produce higher lift than various blended-wing-body aircraft
otherwise, and this was patented by configurations considered by Kroo [9],
Lanchester as early as in 1897 [1, 9]. Since Liebeck [10], Boeing [11] and MIT-
that time a number of theoretical analyses Cambridge University Silent Aircraft [12],
have shown that significant improvements are as exhibited by Figure (4). Research in
possible with nonplanar systems including enhanced aerodynamic efficiency has
vertical surfaces at the tip. Typical vortex drag led to various concepts of wing
of commercial aircraft during cruise may planform, including blended-wing-body
account for some 40%-50% of its cruise drag configuration, novel airfoil profiles and
[6, 8]. The vortex drag further contributes to winglet designs. The concept of winglet
the aircraft performance and economy, since was first proposed by Whitcomb [13],
aircraft drag contributes to aircraft thrust mimicking bird wing. Typical winglets
required and thus, with such percentage, has configuration can reduce the induced
a significant effect on fuel consumption, and drag by about 20 %, with a resulting
its associated exhaust gases effects to the increase in wing lift-drag ratio of roughly
environment. The trailing vortices themselves, 9 % for the design Mach number of 0.78
also affect the environment by contributing and near the design lift coefficient. This
contrails and eventually cirrus cloud formation improvement in lift-drag ratio is more
[12]. At low speeds where vortex drag than twice as great as that achieved with
typically accounts for 80%-90% of the the comparable wing-tip extension [9].
752
__________________________________________________________________________________________
Figure (4). a. Blended-wing-body concept with C-wing configuration for enhanced stability
and control.(Kroo [9]); b. Boeing Phantom Works X-48B Blended Wing Body (BWB),
developed in cooperation with NASA and the U.S. Air Force Research Laboratory [11 ]; c.
MIT-Cambridge University silent aircraft design [12 ]; d. Typical BWB span load distributions,
start Cruise Mach 0.85 as studied by Liebeck [10 ].
Also, the negative increments in pitching- with specified lift and span, they are not
moment coefficients associated with the a panacea. Rather, nonplanar wings
addition of the winglets are less than those likely will provide small improvements in
produced by the wing-tip extension. The total drag when their effect on wing
experimental results also indicate that the weight is considered, but may still be
increase in overall performance improvement worthwhile as increments in
provided by the winglets in comparison with performance become progressively
that for a wing-tip extension is significantly more difficult to achieve. Resizing or
dependent on the angles of incidence of the even redesigning the aircraft using
upper winglet. nonplanar lifting system, in addition to
Winglet research has come up with solutions reductions in vortex drag, may lead to
which have the following advantages [6]: desirable effects on structures, stability
Reduced wingtip vortices, cut back on drag up and control characteristics, vortex wake
to 20%, higher cruise speed, increased fuel hazards, and other practical aspects of
economy, possibly double the wings lift to the design. The C-wing configuration
drag ratio, mission block fuel improvement, remains an intriguing design concept
range increase, reduction of noise levels with many beneficial characteristics
around airports on takeoff, proven when applied to large aircraft or tailless
performance, as well as reduction in nitrogen designs. The implications of this
dioxide emissions. Winglet is also an excellent approach should be more fully explored.
option when wing extension is not possible. Furthermore, even for aircraft that is not
In his review paper on the efforts for constrained by a required climb gradient,
enhanced aerodynamic efficiency, Kroo [9] lower drag at high lift conditions leads to
came to the conclusions that although highly reduced noise.
nonplanar lifting systems offer the possibility It is also well known that the trailing
of dramatic reductions in vortex drag for wings vortices which reflect the lift as well as
753
__________________________________________________________________________________________
drag characteristics of the aircraft could be prediction and control of trailing vortices
optimized for better aircraft performance presents both a technological challenge
characteristics and reducing environmental of importance in air traffic control and
impact (such as contrail contribution to cirrus provide a myriad of instructive
cloud, Szodruch [14] as well as hazardous phenomena in fluid mechanics [18].
interference to other flight vehicle (Vicroy
[15]). Momentum of the flow that is deflected
by a wing, or by another flow, develops
Some of the fundamental ideas underlying the into an organised vortex structures that
methods for induced-drag prediction and are coherent and energetic. This
reduction are described by Kroo [9]. Recent phenomenon is also observed in the
concepts for wing planform optimization, production of vortices by impulsive
highly non-planar surfaces, and various tip forces, as observed during animal flight,
devices may lead to incremental but important or in the jet turbulence. The mechanism
gains in aircraft performance. underlying these phenomena, and its
control for various applications, in
Induced Drag Minimization and trailing particular for flight safety, has been the
vortex alleviation subject of intensive multidisciplinary field
Discussions in previous section on the of research (Jacquin, [25]).
contribution of vortices to lift and lift The state of affairs of wingtip vortices
enhancement bring our attention to the which form the major component of
second interest, i.e. efforts for induced drag wake turbulence is illustrated in Figures
minimization and accordingly, trailing vortices (5), (6) and (7), indicating the flow fields
alleviation. of vortices which possess intense swirl
This subject also has received much attention velocities and complex time-dependent
and has prompted increased multidisciplinary behavior.
research effort, and recent comprehensive Wingtip vortices are associated with
account can by found in many recent review induced drag; this phenomenon is a
papers, among others Widnall [16], Jacob direct consequence of the generation of
[17], Spalart [18], Rossow [19], Cottet et al lift due to viscous effect.
[20], Jacquin et al [21], Kroo [22], Steijl and Induced drag and wingtip vortices
Hoeijmakers [23], Jacquin et al [24], Jacquin management by selecting the best wing
[25], Savas [26], Crouch [27], and Breitsamter planform for the mission is a classical
[28], which incorporates also previous work problem and critically important in
carried out by Breitsamter et al [29] and Allen aerospace engineering.
and Breitsamter [30], among others. The
754
__________________________________________________________________________________________
Figure (5). (a) Picture of trailing vortices, courtesy of Cessna Aircraft (b) Formation of a
vortex pair downstream of a flapped aircraft model: longitudinal iso-vorticity values obtained
by Laser Doppler Velocimetry in four different vertical planes downstream (b0 denotes the
model span); adapted from L. Jacquin et al[17]. (c) Impression of the trailing vortex system
shed by an aircraft due to wing and horizontal tail (from Boeing Aero Magazine [31]Crouch &
Spalart patented document [32]).
qualitative circulation distribution and
trailing vortices development
(Breitsamter [28]).
Classification and basic quantities

Breitsamter [28], in his overview on
wake vortex research including early
studies, model and flight tests, numerical
investigations and fundamental physical
aspects and alleviation strategies
identifies characteristic quantities for
wake vortex analysis including typical
length and time scales as well as
turbulence quantities.
From his analysis on detailed results on
the near field wake vortex properties
associated with large transport aircraft in
approach configuration, and in the
Figure (6). (a) Wake vortex evolution and roll-
context of the far field development,
up process, originated from surface
instability mechanisms are elucidated
discontinuities on the wing Huenecke [33]. (b)
along with their relevance for wake
Non-dimensional axial vorticity distribution at
vortex decay.
x*=0.37 for reference configuration 1 (E403)
and shedding location of dominant near field
vortices , indicating the relationship between
755
__________________________________________________________________________________________
3. The horizontal tail plane vortex is

another dominant vortex, which is
also counter-rotating with respect to
the wing tip vortex due to the
negative lift produced by the
horizontal tail at trimmed flight.
4. Concentrated vortices of smaller
scale are emanating at other wing
surface discontinuities, such as at
nacelle strakes, and these are
attributed to flow separation at slat
Figure (7). Stages of wake vortex lifespan, horns, flap track fairings, etc.
showing: initial vortex perturbations, the Judging from its downstream
intermediate development, and the far-field development, Breitsamter [28] divided a
result of active control using conventional vortex wake into four regions, as
aircraft control surfaces adapted from depicted in Figure (7).
Breitsamter [28] (v) The near-field, x/b 0.5, (x/l <
O(1)), which is characterized by the
Parameters are given for short wave formation of highly concentrated
instabilities related to vortex merging and long vortices shed at all surface
and medium wave instabilities for wakes discontinuities.
consisting of a two- and four-vortex system,
(vi) The extended near-field, 0.5<x/b10,
respectively. He also elaborated his studies
where the wake roll-up process and
on wake vortex alleviation including spoiler
the merging of dominant vortices
elements, differential flap setting and
(e.g. shed at flap edge, wingtip, etc.)
oscillating winglet flaps.
take place, which further
The following features characterize the trailing
downstream gradually becomes two
vortex system in the near field (x/b  0.5,
counter-rotating vortices.
*0.01): due to aircraft surfaces discontinuity,
(vii) The mid- and far-field, 10<x/b100,
i.e.
where the wake is descending in the
1. In approach configuration, a large
atmosphere and linear instabilities
transport aircraft with four-engine
emerge.
generates heterogeneous vortex systems
(viii) The dispersion region, x/b>~100,
where concentrated single vortices are
where fully developed instabilities
embedded in the vortex sheet shed from
cause a strong interaction between
the wing trailing-edge. Progressing from
the two vortices until they collapse.
the wing tip to the wing root, the dominant
Several investigations that were carried
single vortices comprise the wing tip
out in the 1960’s-1970’s to define the
vortex, the outboard flap vortex, the
vortex-wake structure and to estimate
outboard and inboard nacelle vortices and
the loads imposed on a penetrating
the wing fuselage vortex.
aircraft as it enters the wake from
2. The wing fuselage vortex has an opposite
different directions, such as Kraft
sense of rotation with respect to the other
Jr.[34], Rose et al [35], Robinson et al
dominant wing vortices since the
[36], Wetmore et al [37], Zwieback [38],
circulation gradient at the wing fuselage
Andrews et al [39] and Wood [40], and
junction change sign.
others incorporated in the FAA/NASA
756
__________________________________________________________________________________________
wake vortex initiatives already identified the Elsayed et al [45] has tested the
loads imposed by aircraft wake that may effectiveness of various differential
overpower the control capability and exceed spoiler settings (DSS’s) in a low speed
the structural limits of the penetrating aircraft. wind tunnel facility to assess the
However, research on trailing vortex hazard capability of modifying the spanwise
alleviation thus far has concluded that, wing load distribution using half aircraft
although a satisfactory aerodynamic solution model at high lift configuration. If any of
to the wake-vortex problem at airports has not the configurations tried above had been
yet been found, a reduction in the impact of successful, i.e., if the required flight
the wake-vortex hazard on airport capacity spoiler equipment already on board the
may soon become available through wake- aircraft proved to be adequate, it might
vortex avoidance concepts currently under not have been necessary to significantly
study as well as the introduction of new wake modify the aircraft. Application of some
alleviation technologies. of the other concepts could require
extensive modification of the wake
Addition of turbulence to the vortex wakes of generating aircraft, which would reduce
aircraft was the first option considered the attractiveness of the wake alleviation
because excess turbulence in the ambient concept. The use of span loading on the
fluid was known to disrupt or prevent the wake-generating wing and of wing fins to
formation of laboratory vortices. Therefore, deintensify the vortices are then
when the FAA/NASA wake vortex program considered. Various wake-vortex
was started in the early 1970s, turbulence dispersion mechanisms have then been
injection (or addition of turbulence to the wake developed, which included, among
by means of various devices) was the first others: spoiler and spline devices.
method tried. wingtip blowing. forward or reverse
thrust of the engines, flight spoilers
Inventions and innovation related to lift already on aircraft, wingtip turbine, span
enhancement and drag reduction may imply loading. wing fins, and passive control.
geometrical modifications, invent devices and It is with such background that the
introduce novel features on the aircraft wings, present paper reviews research,
introduce and/or invent sensors for identifying development and engineering efforts
relevant physical phenomena or measuring reflected by patents and published
devices and introduce novel computational research work devoted to the
methods to assess the prevailing force system optimization of lift and vortex drag.
with better accuracy through meticulous Optimization of lift and vortex drag leads
modeling. Accordingly, methods of to profound research, development and
measurements and aerodynamic theoretical invention related to trailing vortex
framework and computational methods are alleviation with multitude of practical
further developed, which address unsteady concerns and leads to a single issue of
aerodynamic as the general case. how fast the vortices lose their identity,
Results from investigations on some of these and how to accelerate the process.
devices are presented in various conference However, the present review may leave
proceedings (Gessow [41], Wood [40], out some other aspects that should be
Hallock [42, 43] and Meier [44]). More included in a more comprehensive
recently, review. In particular, mathematical
development is discussed only in
757
__________________________________________________________________________________________
fundamental forms to allow basic

understanding of the physical nature of and
role played by aircraft trailing vortices.
4. PRINCIPLES OF TRAILING VORTEX

DYNAMICS
Vortex Dynamics, Induced Drag and Wake

Hazard
The dynamics of the vortices in their various
configurations are relevant to aircraft flight as
lift generating and induced drag generating
mechanism, as well as their impact other
vehicles and environment. Increasing air
traffic density and the introduction of even
larger aircrafts have enhanced research and Figure (8). Possible encounters with lift-
development activities devoted to wake vortex generated wake by a following aircraft
dynamics and safety issues reflected by during take-off (a. Breitsamter, [28]) and
specialty conferences, the bulk of research landing (b, Rossow, [19]), indicating
and review articles, and an up-to-date online wake vortex hazard
bibliography provided by John A. Volpe
National Transportation System Center [46]. Research carried out up to date points
The primary purpose of research in this area out that the characteristics of lift-
is to find a way to reduce the hazard potential generated vortices are related to the
of lift-generated vortices shed by subsonic aerodynamic shapes that produce them
transport aircraft in the vicinity of airports and that various arrangements of
during landing and takeoff operations, as surfaces can be used to produce quite
schematically illustrated in Figures (8) and (9). different vortex structures.
The in-trail spacing of the wakes of a main
aircraft, as schematically depicted in Figures
(8) and (9), poses hazards on other aircrafts
during take-off and landing of the main
aircraft, since the trailing vortices of the main
aircraft could induce a vertical-load and rolling
moment dangerous to other aircrafts in the
main aircraft’s vicinity in carrying out their
maneuvers otherwise.
Figure (9). Definition of viscous core
radius rc and vorticity radius rv for the
pair of rolled-up trailing vortices
(assumption in vortex models counter-
rotating axi-symmetrical vortices of
equal strength (Breitsamter [28]). The
potentially hazardous regions of a vortex
wake behind an aircraft are identified
as: I - vortex core region: imposed roll; II
758
__________________________________________________________________________________________
- down-wash region: loss of altitude/rate of taken at ground level by Bristol et al [48].

climb; III - outboard region: structural load As discussed by Savas [26], the figure
factors. The dashed arrows indicate the demonstrates simultaneous long- and
rotation of the vortices. (Jacob [17]). short-wave instabilities on trailing
vortices being studies by
A satisfactory aerodynamic solution to the aerodynamicists.
wake-vortex problem at airports may still be in
progressive development, but a reduction in
the impact of the wake-vortex hazard on
airport capacity may soon become available
through wake-vortex avoidance concepts
currently under study by many researchers.
Figure (11) A series of photographs of

the far wake of an aircraft flying at cruise
altitude, showing simultaneous long- and
short-wave instabilities on trailing
Figure (10). Boeing B-747 jetliner taking part vortices. The photographs are taken at
in the trailing wake vortex study. The two wing ground level with a 400mm telephoto
tip vortex trails, being the strongest, stay in lens. (Bristol, Ortega, Marcus and
tight cylindrical rolls. The "strength" of the Savas, [48])
vortices decreases toward the midspan of
each wing, and the trails become less defined As discussed by Rossow [19], Savas
(1974 NASA Flight Research Center [26] and Breitsamter [28], control and
photograph [47]) management of trailing vortices takes
origin in the fundamental ideas for the
Studies on the dynamics, structure, reduction of the wake vortex hazard,
controllability and management of trailing which are aimed to affect the spatial
vortices can perhaps be best analyzed by distribution of these trailing vortices.
observing the phenomena exhibited by many Such control in the near field is aimed to
aircrafts in flight. Figure (10), as another alleviate the induced rolling moment
pictorial synopsis of the wake vortex issue, (producing low vorticity vortex (LVV), or
exhibits the trailing edge vortices in the NASA to enhance inherent instability
trailing wake vortex study as water entrained mechanisms of the vortex systems, in
in cores makes visible the vortices in the far order to enforce an accelerated decay
wake of an aircraft flying at cruise altitude. In (quickly decaying vortex, QDV)
this conjunction, as illustrated in Figure (11), a (Breitsamter, [28, 29]).
series of photographs of the far wake of an
aircraft flying at cruise altitude have been
759
__________________________________________________________________________________________
Various passive means and devices such as means for testing the various theories
additional or changed configuration of being developed. In the work of Zeman
elements, like wing fins, flap edge elements, [50]), the influence of swirl and shear on
spoiler elements, vortex plates, and the like turbulence are treated in detail and the
have been proposed in the literature and process incorporates the existence of
tested by many investigators (Rossow, [19]; self-generated turbulence within a
Savas, [26]; Crouch, [27]). vortex, but the radial transfer of
momentum is so effectively damped by
Vortex Decay the swirl velocities and their gradients
Typical cross-section of the aircraft wake that vortex decay is dominated by
trailing vortices in the Trefftz plane originated viscous stresses rather than by turbulent
from the aircraft wing-tips is illustrated in transfer of momentum. Rossow [19]
Figure (9). The presence of viscous core stipulated that such modeling predicts
radius is clearly indicated. Vortex decay is vortex flow fields that mimic those
one mechanism which could reduce the behind even large aircraft which appear
intensity of disturbance to other objects in the to be of a laminar rather than turbulent
vicinity of trailing vortices. It implies a steady type when substances are injected into
monotonic decrease with time in the the flow field to visualize the
magnitude of the swirl velocity distribution in streamlines.
the vortex. The flow field of a vortex pair is It also explicates why vortices persist as
non-linear, and especially in the presence of if the flow field were laminar rather than
atmospheric turbulence, can undergo a wide turbulent, and why vortex instabilities
variety of dynamic motions that usually usually break up the coherent flow field
accelerates the destruction of the vortex pair of the vortices well before viscous and
flow field. It is well known [19] that with very turbulent decay processes cause their
little ambient turbulence the maximum swirl termination. The swirling shear velocities
velocity in a vortex first tends to remain tend to damp out turbulent eddies
constant before beginning a prolonged decay thereby bringing about a laminar
process roughly as t-1/2, which has been character to the vortex flow field. The
confirmed experimentally or numerically (see laminar character of the inner part of
for example Donaldson et al [49]). vortices, even when embedded in a
turbulent environment, is frequently
Numerical simulation on vortex pairs closely observed by means of flow visualization.
predicts the decay of vortex wakes when the
turbulence is ignored. Computational
procedures for vortex wakes that have been
developed since that time appear to have now
either suppress or avoid the diffusion of
vorticity associated with numerical procedures
used in the earlier codes (see Rossow, [19],
for detail). In each of these studies, the effect
of turbulence on the flow field is modelled by
techniques that consider the influence of swirl
and rotary shear on the transfer of
momentum. Laboratory measurements of the
turbulent structure of vortices provide a
760
__________________________________________________________________________________________
Figure (12). Diagram of distortion caused in Navier–Stokes equations reduce to a

turbulence eddies by swirling shear flow fields single equation for the vorticity:
of vortices (Corsiglia [51, 52]), 
=  2 (1)
t
Observations also indicate that the slow The exact solution including axial
decay of swirl velocities and dispersion of vorticity and circumferential (tangential
vorticity is associated with shear forces that or azimuthal) velocity is given by
are more nearly laminar than turbulent. 0  −r 2 
V = 1 − exp  (2)
A possible mechanism by which the 2r  4t 
effectiveness of turbulent eddies is made which is known as the Oseen/Lamb
vanishingly small is illustrated in Figure (12). formulation (Lamb [53]), here referred to
Just as the laminar sublayer of the boundary as the first vortex model. Eq. (2) was
layer on a flat plate damps out eddies near found by Lamb through an adaptation of
the surface, the swirling and shearing flow of a solution presented by Oseen for the
a vortex causes a circular eddy to be distorted diffusion of an isolated two-dimensional
into a flat, high aspect ratio ellipse, which is line source with time. Eq. (2) is
readily damped to ineffectiveness. Therefore, commonly referred to as the Lamb
existing small-scale turbulence introduced into vortex structure. An isolated vortex is
the vortex by the viscous wake of the aircraft chosen for the study of natural decaying
wing of the vortices causes nearly circular vortices because the problem is a two-
eddies to become distorted into long narrow dimensional one which involves only
slits that are ineffective in transferring time and the radial variation of velocity
momentum radially, and that are damped on streamlines which are concentric
quickly. If however, the eddies introduced into circles. Since the radius at which the
the vortical flow field have a scale that, like maximum swirl velocity occurs changes
atmospheric turbulence, is large compared as the vortex ages, a relationship is
with the part of the vortex that has a laminar required for the radius at which the slope
character, the vortices are convected into of the velocity function in Eq. (2) is zero.
sinuous shapes that grow with time and bring The radius at which the swirl velocity is
about breakdown of the vortex structure at the maximum is usually defined as the core
sharp bends in the vortices. radius of the vortex. Differentiation of
Eq. (2) with respect to r yields the radius
Simple models for natural decaying at which the velocity is a maximum, i.e.
vortices rc 2
= 1.25643121 (3)
One of the oldest and simplest equations for 4t
the decay of an isolated vortex is described by or rc = 2.24181 t
Lamb-Oseen vortex model Rossow [19]. The Substitution of Eq. (3) into Eq. (2) gives
Lamb–Oseen vortex model is the basic vortex the maximum swirl velocity
model taking viscosity into account. The 0
V max = 0.7133 (4)
model describes a two-dimensional flow 2rc
characterized by circular streamlines around Eq. (3) predicts the t-1/2 decay rate which
the axis or vortex center. The vorticity  = x is also indicated by data taken in flight
is a function of radial distance r and time t. It and in water towing tanks (Rossow [19]).
results in an exact solution of the Navier– Since vortices generated by lifting wings
Stokes equations based on the initial in the laboratory or in flight have zero
condition  ( r , 0 ) = 0 ( x )  ( y ) . Hence, the
swirl velocities at their centers, the
761
__________________________________________________________________________________________
function of the plateau region there appears to (r )  r 

= A ln   (7)
be an adjustment region which brings the bgU   bg 
 
curve for the decay of the maximum swirl where A is a constant, and bg is wake-
velocity with downstream distance out into the generating wing span. If a linear
vicinity of the t-1/2 curve. variation of the circulation with the
In the 1950’s, Squire [54] extended Lamb's logarithm of the radius is found in the
result to include vortices whose turbulence data for a measured vortex, one may
could be characterized by the circulation assume that the turbulence model used
content of the vortex, which is useful as a first by Hoffman and Joubert [55] to derive
approximation, and when better information is Eq. (7) applies to the vortex structure
not available. In order to obtain a simple (Rossow, [19]).
result, Squire assumed that the swirl velocity Associated with this, a fourth vortex
in a turbulent vortex may be written as an model is developed by Rossow using
extension of Lamb's model; this constitutes simple analytical relationships for the
the second vortex model, given by distribution of swirl velocity in an isolated
0  −r 2  vortex.
V = 1 − exp  (5)
2r  4t (  +  ) 
The functions developed simply
where 0 is the entire circulation content of the approximate measured distributions, and
line vortex, and  is the eddy viscosity usually do not have a physical basis that
representing the existing turbulence. In permits estimates to be made of the
Squire's model, the turbulence does not vary decay process (Vatistas et al, [56]). The
with radius. In simplified terms, Squire functions derived often apply to vortices
substitutes the quantity (  +  ) for the laminar shed by either rotors or wings. One such
value of the kinematic viscosity, , where  is function with considerable latitude is
defined as an eddy viscosity which is taken as given by
r
 = a0 (6) 0 rc
V = (8)
where a is a constant. The decay process 2r 
r 
2n
m
predicted by both Eqs. (4) and similar 1 +   

  rc  
 
equation corresponding to Eq.(5) has the t-1/2
character (Rossow [19]). A more realistic where n and m are arbitrary and rc is the
approach to the turbulent structure of vortices core radius of the vortex. If m=1/n, the
is to conduct an analysis that includes the maximum swirl velocity occurs at rc and
self-generated turbulence in the vortex and decays as 1/r in keeping with
the turbulence in the ambient fluid. In this conventional vortex structure.
conjunction, a simple formulation of what is Another widely used vortex model in
referred here as the third vortex model was real, viscous, fluids. is the Rankine-
derived by Hoffman and Joubert [55] for the Prandtl vortex with circulation Γ and core
structure of a turbulent vortex in which the radius rc is characterized by the
Reynolds stress is derived by use of the tangential velocity
 r
conservation of the moment of momentum of  2r 2 for r  rc

the concentrically circular flow field of the V =  c (9)
  for r  rc
vortex. As an outcome of their analysis, a  2r
relationship for the variation of the circulation For purposes of discussion, this model,
with radius is derived in the form which is very basic and widely utilized,
could be referred here as the fifth vortex
762
__________________________________________________________________________________________
model, and its azimuthal velocity distribution It should be noted that without non-
as a function of radius is exhibited in Figure azimuthal velocity components there is
(13). no mechanism that can produce a
Rankine vortex in the real atmosphere.
Rankine vortex, however, gives a
surprisingly accurate description of air
flow around a tornado, and in many
instances has been used to represent
the core of aircraft trailing vortices
models. However, Spalart [18] noted
that the notion of vortex “core” still
suffers abusive simplifications. Real
Figure (13). Rankine-Prandtl vortex vortices are far from the Rankine vortex,
which has a unique “core radius” rc at
The remainder of the velocity components is which the velocity peaks:
r
identically zero, so that the total velocity field V = for r  rc (10)
is u = ue . This is a swirling flow in a viscous 2 rc 2
fluid with a forced vortex in the central core,
surrounded by a free vortex. Also known as the
Rankine combined vortex, it is a simple model
possessing only azimuthal velocity.
Figure (14). (a) Profiles of vertical velocity at z D 0 behind clean wing. Lines: —, calculation;
- - -, point vortices; - — -, Rankine-Prandtl. The oval edge and wake descent velocity
(−1=2_) are shown (finding of Spalart, [19]) (b) Sketch of an evolution of rotational velocity
profile permitted by conservation of angular momentum. Lines: —, point vortex; - - - earlier
time; - — -, later time (lower kinetic energy). (Spalart, [16])
radius r1 at which the velocity peaks and

Figure (15) shows the velocity profile from a the radius r2 at which the profile blends
roll-up calculation (Spalart [18]); w is shown, with the point-vortex profile differ by an
which equals the combined u of the two order of magnitude. The circulation at r1
vortices on the z = 0 line). It is consistent with is less than 30% of the total, compared
measurements (Widnall, [16]), in that the with 100% for a Rankine vortex and 72%
763
__________________________________________________________________________________________
for a mature viscous vortex (Lamb-Oseen efficient computational code for trailing
vortex, see Batchelor [1]). vortices modeling.
A numerical simulation was carried out by However, as discussed by Spalart [18],
Dacles-Mariani et al. [57] of the vortex wake analytical approach to the ATC wake-
shed by the standard landing configuration of turbulence problem faces two obstacles,
the B-747. The intent of the simulation was to even though the equations of motion, i.e.
find out how well a newly developed the Navier-Stokes equations, are known.
computational method could simulate the The first problem is the physical and
changes observed in the vortex wake computational modeling of the flow
structure measured in the wind tunnel. around an aircraft in landing
configuration, due to limitations in
numerical approaches, in the transition
and/or turbulence modeling, or in
measuring the flow.
Modeling the vortices with good
accuracy associated with aircraft trailing
vortices requires incorporation of many
aircraft components, no matter how
small, such as the landing gear. This is
due to the fact that essentially vortices
are produced by wetted surface
Figure (15). Comparison of upwash
discontinuities. Such situation may be
distributions as computed by use of Navier-
illustrated by Figure (16), which exhibits
Stokes simulation with time-averaged
the images of trailing vortices behind B-
distribution as measured in 80x120 ft Wind
747 aircrafts with landing gear extended
Tunnel at xt=162 ft. Input data for computation
and stowed, with similar flap
from xt=81 ft (24.7 m) (From Dacles-Mariani et
configuration.
al., [57]).
An even more challenging problem is
Two versions of computational code were
that the wake environment, which
developed and applied, the first version of the
dictates boundary conditions for a
code uses the full Navier-Stokes formulation
solution of the equations that describe
to predict the downstream flow field, and the
downstream wake development, is ever
second version, is also based on the Navier-
changing. Vortices meandering are well
Stokes equations, but uses some simplifying
recognized difficulty. The boundary
assumptions to make the code run more
conditions represent a multitude of
quickly, suitable for vortical flows, and
environmental conditions like the winds,
designated as Model II. The results as
atmospheric turbulence, and
exhibited in Figure (15) serves to indicate that
stratification, which all have strong
with careful considerations of the turbulence
effects on the motion and persistence of
judged by windtunnel testing results may
the vortices.
justify the development and use of more
764
__________________________________________________________________________________________
Figure (16) Photographs of wake configurations shed by B-747 with its inboard flaps fully
deployed and with outboard flaps stowed (Rossow, [14]). (a) Landing gear stowed. (b)
Landing gear extended.

 2
Vortex Pair Instability b0
Aircraft trailing vortices research efforts in he f. medium-wave instability (MW) –

past fifty years have focused on the (Crouch instability):
 
understanding of the structure and dynamics 2  
b0 2
of trailing vortices, in particular on the
g. short wave instability (SW)-(Widnall
interesting observation of their instability and
instability):
break-up, and how these phenomena can be   
 
taken advantage of in tailoring the trailing 2 b0 4
vortices efficiently and effectively for various h. ultra-short wave instability (USW:
advantages. vortex merging):
In a comprehensive paper on wake vortex  

characteristics of transport aircraft, b0 4
Breitsamter [28], Breitsamter et al [29] and Crow [58], Widnall [59] and Crouch [60,
Allen and Breitsamter [30], have reported a 61] have pioneered in the analysis of
series of experiments carried out at Technical vortex instabilities. The first two types
University of Munich’s windtunnel facility, concern the stability of a vortex pair and
observed and reproduced the relevant vortex known as Crow and Widnall instabilities.
pair instability taking place downstream of the These are:
transport aircraft model tested. In this o long-wavelength (or Crow) instability,
conjunction, based on wavelength which with wavelength of the order of 5 to
includes both long and short wave 10 times the separation distance of
phenomena, Breitsamter [28] classifies the the two vortices. This type of
instability mechanisms following the instability can be frequently observed
wavelength ranges as follows: in the atmosphere when the vortex
e. long range instability (LW) –(Crow pair is visualized as the condensation
instability): trails of aircraft in cruise flight.
765
__________________________________________________________________________________________
o the short-wavelength (or Widnall) vortices, with co-rotating vortices on

instability with a wavelength of the order of each side of the aircraft. The multiple
the vortex core radius. vortex-pair instabilities grow up to five
o times more rapidly than the Crow
instability, offering the potential for a
more practical means of achieving the
break-up.
A scheme based on the excitation of

these instabilities was proposed and
tested by Crouch, Miller and Spalart
[62]. The approach is analogous to the
concepts of Crow and Bate [63] and
Bilanin and Widnall [64] but the form of
the forcing function is significantly
different. This approach enables a more
rapid break-up of the vortices, with a
lower level of lift oscillation.
Characteristic reduced frequencies can
be derived to identify the wake vortex
Figur inherent instabilities on the basis of
e (17). Three types of instabilities following power spectral densities of the velocity
Crouch, Miller & Spalart [62]. From top to fluctuations (Breitsamter, [28]). The
bottom: long wave, transient growth, and short reduced frequencies calculated with
wave instabilities. respect to the wing halfspan (b/2) and
the free-stream velocity U are
characterized by the following values:
Mutually induced instability of a vortex pair Crow instability: kCrow=0.080.01
was analyzed by Crow [63] who looked into a Crouch instability: kCrouch=0.540.28
mechanism that brings about closed loops in Elliptical instability of vortex merging:
the vortex pair. After formation, the vortex kV=4.21.4.
loops gyrate about to produce mixing in the Widnall instability: ka,Widnall rc = 2.260.2
wake on a scale equal to or larger than the The description of Widnall instability
wingspan of the wake-generating aircraft. depends on the detailed vortex core
Many variations on the general approach to structure. And requires information on
turbulence injection and to mutually induced the viscous core radius rc and
instabilities were postulated and tried. The information about the velocity and
Crow instability reveals itself by contrails in vorticity distribution in the core region
the atmosphere, indicating sinusoidal [28]. With multiple vortices on each side,
deflections of the vortex trajectories [28]. much richer behavior takes place. Two
vortex pairs tumble together in a periodic
Crouch, Miller & Spalart [62] identified three manner, and the distance between them
types of instabilities that are exhibited in is fairly constant. Three vortex system
Figure (17). These instabilities were first pairs have a non-periodic motion, and
analyzed in the studies by Crouch [60, 61]. the vortex clusters on each side expand
His analysis focused on two pairs of trailing and contract very noticeably as they
766
__________________________________________________________________________________________
tumble, notwithstanding the impulse and spans behind a typical aircraft, and
kinetic-energy invariants. Double pairs have which originated at the tips of the wings,
been shown to support instabilities with the outboard flaps, and the fuselage
shorter wavelengths and higher growth rates (which were identified respectively by
than Crow’s (Crouch [61]); these are those numbered 50, 52, and 55).
promising for the purpose of wake destruction. Crouch, [60]) has studied the linear
Spalart [18] surveys the formation, motion, stability of two pairs of co-rotating
and persistence of trailing vortices as relevant vortices (tip and outboard flap, as
to the safety and productivity of air travel. It indicated by number 50 and 52 in Figure
highlights findings or shifts made since (5c)). He identified several instability
Widnall’s [16] review article. Spalart’s review modes depending on the angle,
article also examines the predictability of the wavelength, and amplitudes of the
vortices (particularly in terms of lifespan), the perturbations that are imparted to each
durability of multiple vortex pairs, the pair. Roughly speaking, a long wave
controversy between expectations of vortex instability similar to the Crow instability,
decay and of vortex collapse, the many types takes place when the two pairs are
of turbulence that may influence the flow, the excited in a symmetric fashion. An
rich interplay between the rotational and the instability with a wavelength shorter than
axial velocity fields in the vortex, the various that associated with the Crow instability
atmospheric and ground-related factors that but longer than the core size can also
dominate the late behavior, a few instances of result. The most efficient instability
wakes rising back, and the still unexplained arises when the eigenmodes are non-
bursting of the vortices. orthogonal leading to transient growth
Most of these studies have focused on rates exceeding the maximum
exciting the Crow instability, which operates eigenvalue. This instability mechanism
on a single pair of counter-rotating vortices produces long waves which, when the
and has a wavelength much larger than the outboard vortices are initially
vortex core size. Unfortunately, however, for unperturbed, grow at a rate several
realistic perturbation amplitudes (those which times larger than the Crow instability for
would not cause large unsteady forces on the a single vortex pair.
plane) excitation of the Crow instability would
lead to vortex destruction at large distances Kelvin waves
behind the plane that exceed current FAA Two strategies may be considered to
separation rules for aircraft in IFR conditions. produce less harmful wakes behind
aircraft, i.e. to increase the characteristic
Recent studies by Crouch [60] and Rennich radii of the final vortices so as to
and Lele [65]) have considered instabilities decrease the rolling momentum of a
unique to several pairs of vortices which following aircraft during encounters, and
model aircraft wakes in landing configuration to promote the development of
(Spalart [18]; Cottet et al [20]) as depicted in cooperative instabilities occurring in a
Figure (17). Some of these vortices quickly system of several vortices, which leads
merge, but others persist for long times. In to destructive interactions between the
Figure (17), which schematically describe the two symmetric vortex pairs of the wake.
state of affairs for aircraft wake trailing The development of instability requires
vortices, three persistent vortex pairs can temporal and spatial disturbances,
generally be observed at a distance of several superimposed on the mean (steady) flow
767
__________________________________________________________________________________________
field of a single vortex or a vortex system [66, [24]). To illustrate the role of Kelvin wave
67]. The analytical description introduces in the stability of vortices, the following is
Kelvin waves propagating along the vortex reproduced from [24]. The two generic
[24]. Jacquin et al [24] shows that linear unsteady mechanisms are analyzed by
instability theory enables the introduction of considering the asymptotic linear
important physical mechanisms which lead to stability analysis of model flows such as
unsteadiness. Wind tunnel tests within vortex filaments or Lamb–Oseen
downstream distances limited to typically ten vortices, and more representative
model spans exhibit wake unsteadiness extension of the linear analysis using a
dominated by small amplitude displacements bi-global stability approach, and was
of the vortex cores, known as the verified in [24] by experimental results
“meandering” (or “wandering”) of the vortices. obtained using Laser-Doppler-
From conservation of vertical momentum, the Velocimetry (LDV), hot wire and Particle-
lift
1
CL U  2 S is equal to the flux of vertical Image-Velocimetry (PIV) in wind tunnels.
2 Any perturbation in a rotating flow leads
momentum of the wake, U  bw . The to the propagation of dispersive inertia
circulation is therefore given by  = 2CLU 
b
. waves. These waves are equivalent to
 AR gravity waves in a stably stratified
For a typical transport aircraft during landing, medium. The inertia waves propagate
CL ≈ 1.5, AR ≈ 7. along a vortex forming the Kelvin waves.
In order to characterize the internal structure Assuming the case of a Lamb–Oseen
of the vortices, several vortex core length- vortex with circulation Γ and radius a,
scales may be defined. A common definition the angular velocity is given by
is the “dispersion radius”, corresponding to V ( r )  
r2
− 2 
(r ) = =  −  (12)
 
+ + 1 e a
2 1
r =  dz  dy ( y − yc ) + ( z − zc ) 
2 2 r 2 r 2  

 − −
The inviscid case and extension to
(11) account for the effect of viscosity lead to
where yc and zc are the coordinates of the results that indicate the significance of
vorticity centroid in a half plane. This length- only axisymmetric (m = 0) and helical (m
scale provides an evaluation of the vorticity = 1) modes, as exhibited in Figure (18)
field dispersion. (a) and Figure (18) (b), respectively, and
that modes with azimuthal wavenumbers
Kelvin waves, to-gether with the cooperative |m| ≥ 2 are much more damped.
instabilities, are the basic mechanisms
responsible for the propagation and the
amplification along vortices (Jacquin et al
768
__________________________________________________________________________________________
Figure (18). Frequencies ωr of the Kelvin waves in a Lamb–Oseen vortex: (a) axisymmetric
modes m = 0, (b) helical modes m = 1. Ω0 = Γ/2πa2 (from Jacquin et al [24]).
d0,n ( k )
Results for more realistic models, such as two  V max (14)
dk
scale model, do not differ much from the This property also holds for more
Lamb–Oseen case. The frequencies are realistic vortex models. In the case
made non-dimensional with the rotation rate where Vθ max/V∞ < 1, which holds in
of the vortex center, given by 0 =  2 . Note trailing vortices, energy of the
2 a
perturbations is convected downstream,
that the group velocity dr/dk, which and the flow is thus supercritical. This
corresponds to the slope of the different property prevents the possibility of
branches, decreases with the wave-number. perturbation energy travelling upstream
The fastest waves are found on the branch at a higher speed than that of the flow, a
0,1 in the limit of long wavelength, ka→ 0. necessary condition for occurrence of a
Here k and m are the axial and azimuthal “hydraulic jump” leading to vortex
wave-numbers, respectively. The group breakdown.
velocity of this wave is found to be The branches labelled ω1,−n, with n = 1,
d 0,1 ( k )  2, . . . are either counter-rotating neutral
 0.63 (13)
dk k waves, or damped critical layer waves.
It is interesting that in a Lamb–Oseen vortex,
the maximum tangential velocity is

V max  0.63 . This means that the energy of
k
axisymmetric perturbations propagates with a
speed smaller than the maximum tangential
velocity of the vortex:
769
__________________________________________________________________________________________
Figure (19). Vorticity of the perturbation produced by the superposition of two opposite
Kelvin waves m = 1 and m = −1 on a Lamb–Oseen vortex. (a) Vorticity in the plane
orthogonal to the vortex axis, (b) axial vorticity (from [24, 66, 67]).
the induced rolling moment, due to low

The transition occurs at particular wave- vorticity vortex (LVV), or to increase the
numbers where ωr = 0, corresponding to inherent instability mechanisms of the
steady Kelvin waves. For a Lamb–Oseen vortex systems with the aim to enforce
vortex, see Figure (19) (b), these wave- an accelerated decay, which is
numbers are found to be ka ≈ 2.26, 3.96, addressed to the quickly decaying vortex
5.61, etc . The superposition of these m = 1 (QDV) (Breitsamter, [28]). Certain wake
waves with their m=−1 counterparts leads to vortex topologies have been recognized
steady untwisted perturbations. The vorticity to excite inherent instabilities. To this
field associated with such a perturbation (for end, passive and active means have
ka = 2.26) is shown in Figure (20). Such been resorted to and are tested. Passive
steady untwisted perturbations are particularly means that have been tried are, among
interesting because they can be destabilised others, adding or changing the
by the straining field imposed by other configuration of some aerodynamic
vortices, which is responsible for the Widnall surface components, such as wing fins,
instability [59, 68]. flap edge elements, spoiler elements,
vortex plates. Active means like
5. MODIFICATION, CONTROL AND oscillating flaps and/ or spoilers and the
ALLEVIATION OF AIRCRAFT TRAILING like have been studied, and even
VORTICES patented. All these configuration
changes to alleviate wake vortices
Rationale hazard should not introduce any
In the subsequent discussions, the rationale unfavorable effects. For example, these
and progress of research and development changes should not change the aircraft
leading to wake alleviation strategies will be flight characteristics and performance.
addressed and summarized. Basic rationale Another basic concern is that, with all
for the alleviation of the hazard arising from these modifications made at the aircraft
aircraft trailing vortices have been directed or in its nearfield, the vorticity distribution
towards modifying some identified structure rearrangement in the far field should be
and properties of these wake vortices, in favorable affected to meet the objective
particular to affect the spatial vorticity of wake vortex alleviation and/or wake
distribution in the near field, in order to reduce vortex decay enhancement.
770
__________________________________________________________________________________________
Knowledge gained on the control and [63], proposed a method to trigger the
alleviation of the aircraft trailing vortices and Crow instability by oscillating the lift
their interaction with other aircrafts is distribution to move the centroid of
essentially aimed at three partially competitive vorticity inboard and outboard along the
directions with the intention to adapt the wing. This method was tested in a
current separation distances to the actual towing tank by Bilanin and Widnall [64]
hazard situation (Breitsamter, [28]): in their study, and found that the
1. Detection: A wake vortex encounter is a instability could be triggered by
priority avoided by wake vortex detection with introducing a certain prescribed
on-board systems and/or ground based oscillation of the lift distribution. Bilanin
systems. and Widnall [64] found, however, that
2. Forecast: Based on the analysis of the the level of lift oscillation required to
actual situation, namely the combination of break up the vortices within a useful
types of aircrafts following each other, distance was excessive.
atmospheric conditions (weather) and
airspace conditions (air traffic control Along this train of thought, further
regulations) a forecast of the wake vortex analysis was carried out by Crouch [60,
hazard is made to adapt the separation 61] in his efforts to exploit instabilities
distances. that exist for multiple pairs of trailing
3. Alleviation: The wake vortex hazard in vortices, which could be produced by
terms of the induced rolling moment on a aircrafts with their flaps deployed.
follower aircraft is diminished to a tolerable or Crouch’s analysis focused on two pairs
uncritical value by configurational means. of trailing vortices, with co-rotating
vortices on each side of the aircraft. He
found that the multiple vortex-pair
instabilities grow up to five times more
rapidly than the Crow instability, offering
the potential for a more practical means
of achieving the breakup. A scheme
based on such method of excitation of
Figure (20) Control objectives for aircraft these instabilities was proposed and
trailing vortices structural transformation are tested by Crouch, Miller and Spalart
to induce (a) vortex rings or (b) vortex [62], and was proven to enable a more
enlargement with strength reduction (adapted rapid breakup of the vortices with a
from Crouch, [66]) lower level of lift oscillation.
The objectives of aircraft trailing vortices More recent efforts to break up the
control and their alleviation are focused on vortices attempt to exploit instabilities
transforming the trailing vortices structure to that exist for multiple pairs of trailing
(a) vortex rings or (b) vortex enlargement with vortices, as produced by aircrafts with
strength reduction, as illustrated in the Figure their flaps deployed. Other recent efforts
(20) (Crouch, [69]). to break up aircraft trailing vortices have
Early efforts to break up the vortices focused considered a pair of counter-rotating
on the excitation of the long-wavelength vortices on each side of the aircraft. A
instability, known as the Crow instability, trailing vortices breakup scheme based
which exists for a pair of counter-rotating on such special configuration of this
vortices. Crow [58] and later Crow and Bate
771
__________________________________________________________________________________________
vortex system was proposed by Rennich and turbulence into the vortex system. The
Lele [65]. In this conjunction, the strengths second strategy is to promote the
and positions of the vortices were tuned to development of cooperative instabilities
allow the four vortices to stay in-plane as they occurring in a system of several vortices,
propagate downward, and long-wavelength which could trigger destructive
perturbations was found to grow very rapidly, interactions between the two halves of
and led to a rapid breakup of the vortices with the vortex wake.
a very-small level of initial forcing. This
situation was analyzed by Fabre et al [70], Vortex modification and decay
who showed that the growth rates can be As an alternative to active control, a
orders of magnitude larger than that of the number of methods have been
Crow instability. They also showed that suggested to modify the trailing vortices
without active forcing, shorter-wavelength or to enhance their decay [19]. These
instabilities dominate leading to the schemes are generally intended to
destruction of the weaker vortices without weaken the strength of the vortices, or to
impacting the stronger vortices. These enlarge the vortex cores. The vortices
instability growth rates are very favorable for are modified by changing the wing span
vortex breakup, although the vortex loading, and varying the axial flow using
configurations necessary to achieve them are drag devices or mass injection. Various
very difficult to realize in practice. Fabre et al. wing-tip devices have also been
[70] show that two vortex pairs, with counter proposed to modify the wake roll-up
rotating vortices on each side of the aircraft, process.
can produce striking instability growth
although the conditions stipulated by Rennich For a single pair of vortices originating
and Lele [65] are not met. In these cases, the from an aircraft with a given weight and
vortices tumble as the perturbations grow. speed, the vortex strengths are inversely
This type of instability growth can produce proportional to their spacing.
rapid breakup of the weaker vortices on each Consequently the circulation is
side of the aircraft. The time to breakup decreased with an increase in the wing
decreases as the strength of the weaker span. However, this combination leads
vortex pair is decreased compared to the to the reductions in the vortex descent
stronger pair. After the weak-vortex breakup, rate, as well as in the natural vortex-
the stronger vortices will have a perturbation breakup rate under atmospheric-
that is inversely proportional to their strength. turbulence excitation. Therefore the
Subject to the wavelength, this perturbation potential decrease in the level of upset
can continue to grow at a much slower rate (as a result of lower circulation) could be
until the stronger vortices also break up into counterbalanced by an augmented
rings. probability of encounter for a following
aircraft on the same flight path.
Two strategies may be followed to alleviate
wake vortices hazard behind aircraft. The first Ground-based experiments have shown
is to increase the characteristic radii of the that modifications in loading and axial
final vortices in order to decrease the rolling flow can augment the vortex core size,
moment acting on a following aircraft during and hence decreasing the peak
encounters with these wake vortices. This velocities in the vortices [19]. However,
effect may be produced by introducing the effectiveness of these schemes at
772
__________________________________________________________________________________________
flight Reynolds numbers should still be circulation it will be very distorted, while
investigated. To produce rapid decay of the the stronger vortex will be largely
vortices, vorticity must be moved to the unperturbed (Crouch, [62]).
centerplane, where it can be canceled by
counter-rotating vorticity from the other wing. The results of Ortega et al. [72] show
However, for this purpose an unrealistically- that the dynamics of the counter-rotating
large increase in the vortex-core diameter is system can lead to a factor of 3 increase
required, from a typical value of less than 10% in the effective vortex-core size.
of the vortex spacing to a value near 100% However, this may be accompanied by
[19]. Vortex bursting to destroy the vortices roughly a factor of 2 increase in the
has also been suggested, although as vortex spacing. As measured by a
discussed by Spalart [18], such scheme may pseudo-two-dimensional kinetic energy,
not be practicable. Significant axial flow in a the relative coherence of the vortices is
vortex can bring about instability and the decreased due to the development of
disruption of the vortex core. However, Ragab instability (Durston et al. [73]). Durston
and Sreedhar [71] have shown that such a et al. [73] suggested that the net result
scheme ultimately produces a reorganization of the unforced counter-rotating pair is
of the vortex into a new form that is stable to an altered pair of vortices, which could
further reorganization. Ragab and Sreedhar be characterized by waviness, a larger
[71] study demonstrates that it is not very core, and/or some form of streamwise
easy to significantly modify aircraft trailing periodic distortion of the cores. The
vortices by working on the individual vortices. basic strength and centroid positions of
the resulting vortices can usually be
Similarly, the more recent attempts at vortex estimated from the near wake,
modification efforts have been focused on regardless of the instabilities.
multiple vortex-pair systems. The unforced The vortex-modification approach is a
development of counter-rotating vortices of a passive form of control. However, this
two-pair vortex system on each side of the does not imply that no costs are
aircraft has been considered in several associated with this approach. The
studies. When forced, such scheme can lead generation of a significant counter-
to enhanced breakup of the vortices as rotating pair, for example, requires a
discussed earlier. When unforced, shorter- large reduction in wing loading near the
wavelength instabilities grow most rapidly and body of the aircraft or a large downward
can generate a pinching of the weaker tail load; both of these have adverse
vortices. The larger vortices will be perturbed, influence the aircraft efficiency (Crouch
with a waveform similar to a single-pair Crow [69]).
instability. However, the wavelength may be
too short for continued growth on the single The reduction of the aircraft separation
pair. If the weaker vortices cannot be brought distances during increase in density of
to pinch across the centerplane, the traffic is the concern of both the
perturbations can grow very large as they manufacturers of large aircrafts, on one
orbit the stronger vortices. The ratio of the hand, and air traffic control and airport
perturbations on the stronger to the weaker operators, on the other hand. Such
vortices is approximately inversely reduction of the aircraft separation
proportional to their circulations. Hence, if the distances is associated with a strong
weaker vortex has considerably less mixture of different types of aircraft and
773
__________________________________________________________________________________________
thus different wake vortex types, under full multiple modes of instability in
retention of the safety standards. Wake symmetric counter-rotating pairs. Any
vortices alleviation is then relevant for laboratory or field vortex system is likely
increasing airport capacity commensurate to have inherent perturbations that may
with air traffic (passenger-mile) growth in be in tune with one or many of these
recent decades, which in turn demands more modes.
and/or larger aircrafts. Wake vortices are of Passive wake vortices alleviation
particular interest for military aircraft because systems utilize the natural evolution of
their impact can lead to considerably high the instability modes with the highest
structural dynamic loads. These special growth rates while active systems rely
interests include the formation flight, the on accelerating selected modes of
approach and position-keeping to the tanker instability by imposing the vortices
aircraft for air refueling, or flying through the individually or as a system. The passive
wake of the opposing aircraft during air- system is essentially a vortex wake
combat. design, while an active system is an
actuator design effort, respectively.
Recent wake vortex research in the laboratory
has derived considerable benefits from
concurrent analytical and numerical research
on the instability of vortex systems. The most
effective combination for laboratory research
comprise towing tank, with dye flow
visualization and particle image velocimetry.
Savas [26] has demonstrated his concept of
passive and active wake alleviation schemes
in the laboratory. The passive wake vortices
alleviation systems make use of the natural
evolution of vortex instabilities while the active
systems capitalize on the acceleration of
selected instabilities by forcing the vortices
individually or as a system.
A single vortex filament or collection of
filaments display various modes of
Figure (21) (a) three sheet metal wing
instabilities, caused by either the internal
distribution of vorticity in a filament or mutual models: rectangular planform, with a
interactions among filaments or combinations contiguous inboard flap, and with
of both. A single vortex can exhibit internal outboard triangular flaps (TF) (left
column, top to bottom) utilized by Savas
modes of varying shapes, which can take
[24] to investigate passive control of
shape as sinus, varicose, helical, or
aircraft trailing vortices .(b)-(d) are their
centrifugal instabilities.
respective vortex wake images . This is
Multiple vortex systems exhibit numerous
a pictorial illustration of the simplification
instabilities; the Crow instability between
needed for laboratory experiments for
equal-strength counter rotating pair and its
mechanical manageability and analytical
generalization to unequal strength counter
rotating vortex pairs, multiple modes of tractability.
instability in symmetric co-rotating pairs, and
774
__________________________________________________________________________________________
Figure (21) (a) exhibits the three wing models instabilities by imposing forced changes
(rectangular planform, central flapped, and in the vortex structure to modify its
outboard flapped) used in the towing-tank nature all together, or redesign the
experiments of Savas [26]. Images of the vortex wake from the outset. The
complete wake off the outboard flapped wing experiment carried out by Bilanin and
are exhibited in Figure (21) (b), where dye Widnall [64] following the forcing
traces indicate a vigorous instability in the scheme proposed by Crow use the wing
wake. Here the vortex based Reynolds control surfaces to accelerate the
number ReΓ is O(105). The diminishing degree development of cooperative instabilities
of complexity in the vortex wakes generated of the counter-rotating vortex pair in its
behind the flow models in Figure (21)(b) wake were not carried out far enough in
compared to others reported by Savas [26] the wake to observe the implications for
contribute gradually more tractable flow fields. eventual ring formation (Savas, [26]). To
The ultimate goal is to introduce methods or achieve this goal, Savas suggested to
devices so that the wake of the class of revisit and review many earlier ideas, as
aircrafts like Boeing 747 or Airbus A-380 are well as unusual and radical ones, under
acceptable for the purposes of both airport the light of recent and theoretical
capacity and air travel safety. Many developments. For example, the
experiments like those of Savas [26] turbulence near the core, the helical
conducted using model test has been at instabilities at the edge of the vortex, the
Reynolds numbers more than two orders of axial velocity, etc. may not be optimally
magnitude lower than the real one. considered in the approach. One may
recall that other initially tested concepts,
Therefore the issue of incomplete similarity including mass injection, oscillating
certainly requires further analysis on how to devices, wing tip modifications, vortex
extend the instability behavior observed at interactions, and end plates were tested
lower Reynolds numbers to full scale by NASA in their series of aircraft trailing
conditions. The knowledge on the optimum vortices research, but none of these
modes of instability at full Reynolds numbers resulted in a practical solution on the
is even more fundamental. affect of the wake on a following aircraft.
The nature of the vortex instabilities depends, For example, Corsiglia et al. [51, 52]
primarily, on the vortex separation, and, describe a set of experiments followed
secondarily, on vortex structure, including by flight tests where a vortex dissipater
vorticity distribution and axial flow relative to mounted near the wing tip of a leading
homogeneous quiescent medium. A typical aircraft resulted in a somewhat benign
vortex separation for commercial air transport vortex, even though its useful effects on
is b/σ  10, where b is wing span and  is a following aircraft remained unclear.
vortex core size. For the Crow instability this Despite a lack of success, one must not
leads to the mechanism that alters the wake ignore these ideas, for it is quite possible
from filamental structure to ring structure. This that explored parameter spaces may
mode requires relatively long times to mature. have been just too small to reach any
If it is desired to make the wake harmless meaningful conclusions (Rossow [19]),
quicker, either by accelerating its natural since at that time the researchers did not
demise or by destroying its internal structure have access to novel theoretical and
to mitigate its undesirable effects, one may experimental tools that are now
accelerate the evolution of the Crow available. It is well known that
775
__________________________________________________________________________________________
experiments are made under carefully presence to upset the coherence of the
controlled environments, mostly quiescent wake. The second advantage of this
and unstratified conditions, while tests are concept is that the instability between
carried out not similar to these conditions. It is the flap and tip vortices develops very
also well known that turbulence, stratification, rapidly when compared to the Crow
and wind shear have profound effects on the instability, which requires a few hundred
behavior of vortex filaments, both individually spans to develop. The primary reason
and in groups. Further, the laboratory for this slow growth rate is that the large
experiments are conducted at Reynolds spacing between the tip vortices
numbers two orders of magnitude lower than decreases the rate of strain that they
flight tests. Therefore, it is imperative to induce on each other. By decreasing the
extend lower ReΓ laboratory results to higher distance between oppositely signed
ReΓ flight test conditions. Comparison of vortices, the instability can develop more
experiment and test with numerical rapidly. Once the instability is excited,
calculations are also mandatory. On one the nonlinear effects overpower the flow,
hand, the Reynolds number for exact which changes the wake into a three-
computations are usually very low for practical dimensional one within 20–50 wing
usefulness. The modeling used to simulate spans.
high Reynolds numbers, on the other hand, is
still developing. The third advantage of this vortex wake
alleviation concept is that, although it is
Passive wake alleviation concept has also passive, its design does permit the
been proposed by Savas, [24], with structural control of the nonlinear evolution of the
modifications. In its present form this wake vortex wake. By varying the relative
alleviation concept is carried out by increasing circulation strength of the flap vortices γ
the outboard loading on the wing, which from −0.4 to −0.7 in quiescent
generates a larger bending moment in the background in the towing-tank, it has
wing and has to be compensated by been observed that the behavior of the
strengthening the wing. In this conjunction, vortex wake can be widely changed. For
the use of outboard flaps should be best smaller values of |γ|, a large exchange
employed on a new aircraft design and not an of vorticity takes place across the wing
existing one. To circumvent this shortcoming, centerline in the form of vortex rings. For
other designs, such as vertically oriented larger values of |γ|, the vortices are
flaps, or the horizontal stabilizer, should be restrained to each side of the wake, and
used to generate oppositely signed control the instability causes an upward ejection
vortices. This wake alleviation concept, of vorticity. Therefore, the strength of the
however, does have several advantages. flap vortices can be individually changed
to direct the vortical activity in the wake,
The first is that it is entirely passive. It relies depending on the type of behavior
on the augmentation of the most unstable desired in the vortex wake and the
modes of inherently present perturbations in a background flow conditions, such as
real vortex system. Since the system require wind shear, stratification, crosswinds,
no oscillating flaps or pulsed jets, the and turbulence. In order to have such
triangular-flapped wing design functions by freedom in controllability, the behavior of
simply placing oppositely signed vortices this instability under varying background
inboard of the tip vortices and using their conditions must be defined.
776
__________________________________________________________________________________________
The active modulation of the wing loading to There have been some suggestions on
speed up the destruction of the vortex wake the use of pulsed jets or shape memory
should address several issues before alloys, or oscillating auxiliary control
implementation. A criterion of acceptability surfaces for wake vortices alleviation,
should be established when wake system is which has produced new inventions.
considered benign, which is of global concern However, reasonably complete
and the domain of regulatory organizations. laboratory demonstrations on complete
The control scheme depends on the global wakes are felt to be lacking. A significant
contribution of the vortex system. Ambient effort was carried out by Breitsamter [28]
atmospheric conditions such as shear, wind, to test winglet with active devices for
stratification, even the ground effect, etc. wake vortex alleviation, as illustrated in
influence the symmetry of the system and the Figure (22). With winglet being a fairly
excitations needed to alleviate the wake recent innovation to enhance lift and
vortex system (Savas [26]). Therefore it is reduce induced drag, Breitsamter
necessary to establish the sensitivity of the considered the winglet to be located in
scheme to asymmetric background and the most favorable position for trailing
ascertain if either side of the vortex wake can vortices control and alleviation. It was
be separately controlled. This consideration found that the oscillation of the winglet
should also include environmental effects and flaps leads to a concentration of
ground effects. turbulent kinetic energy in the dominant
frequency range that influences inherent
instabilities for symmetrical as well as
asymmetrical flap deflections, and are
favorable to the overall lift, side force
and the pitching moment which can be
maintained to be fairly constant over the
oscillation period.
Cottet et al [20] apply evolution

strategies to optimize the instability
growth of several pairs of vortices which
model the wake of aircrafts in landing
configuration.
For the case of two pairs, the evolution
strategy finds a set of optimal
parameters strikingly similar to those
found in the linear stability analysis of
Figure (22). Winglet with active devices for Crouch [56]. The case of four pairs is
wake vortex alleviation tested on a large also considered and leads to a larger
transport aircraft configuration: (a) winglet with distortion of the tip vortex. Based on the
actively controlled lower and upper flap analysis of Crouch [53], Crouch and
elements; fA, max¼100 Hz and (b) half model Spalart [60] propose a strategy for
of a four-engine large transport aircraft fitted breaking up the vortices that relies on
with large winglet, featuring trailing-edge flaps appropriate cycling of control surfaces.
(reproduced from Breitsamter, [26]) Their experiments and numerical
777
__________________________________________________________________________________________
simulations indicate that this strategy could and identify the wake system which
reduce separation rules. would produce the largest instability
Alternatively, Rennich and Lele [65] have growth. The tools used in Cottet et al
studied the system of vortex pairs with [20] work are evolution strategies and
opposite signs, corresponding to inboard and viscous vortex methods.
outboard flaps. Vortex filament and direct On the one hand, evolution strategies
numerical simulations (DNS) indicate in this have demonstrated that such strategy is
case also large amplification rates for certain a flexible tool for optimization of
values of vortex separation times, which could unsteady flow dynamics when traditional
also loosen the current mandatory gradient-based methods would be very
separations. Although the points of view diffcult to implement.
adopted in these works differ in several One the other hand, vortex methods
respects, in particular in the way the instability have been proven to be suitable for
growth is measured, they have in common the wake simulation as they require the
ability to give us better understanding of the discretization of only the region of
mechanisms by which the cooperative vorticity. Viscous vortex methods offer
instabilities of several pairs can result in the advantage of enabling calculations
enhanced growth rates. Moreover, the all the way to reconnection (Cottet et al
configurations studied in these works are [20]).
investigated with a view to implementing them •
in actual wing designs.
Crouch [60] and Rennich and Lele [65]
reported in their findings the extreme
sensitivity of the overall trailing vorticity
dynamics with respect to the initial state of the
vortex pairs. In Crouch [60], the most
effective transient growth was accomplished
when the outboard pair was not initially
perturbed, while in Rennich and Lele [65],
early reconnection was achieved for a
particular value of the inboard vortices
separation.
Figure (24). Convergence history for the
evolution strategy (Cottet et al [20]).
Cottet et al [20] study addresses the

case of two pairs of co-rotating vortices
studied by Crouch [60]. The parameters
optimized in the evolution strategy
were:
Figure (23) Initial stage (left) and reconnection • the initial perturbation amplitude of
for a configuration of two vortex pairs of vortices at the tip (1) and outboard
opposite sign, according to Rennich & Lele (2)
[59] (1998). Adapted from Cottet et al [20] • the angles of the perturbation planes
1 and 2
This notion motivated Cottet et al [20] to
perform a more systematic parameter search
778
__________________________________________________________________________________________
• the wavelength of the perturbations,  1 2 1 2

• the separation between the two vortices,  Optimal 0.47 0.73 0.098 0.0
the circulation ratio between the outboard and parameters
tip vortices.The convergence history of the Crouch /40.78 /40.78 0.1 0.0
Evolution Strategies (ES) of Cottet et al [20] [53] values
are shown in Figures (23) to (25), while the
values of the parameter finally obtained are The preliminary results obtained by
listed on Table 1 together with the parameters Cottet et al [20] show that evolution
reported in Crouch [60]; these were strategies are a valuable tool to explore
considered as leading to efficient transient realistic configurations in a systematic
growth. way. Their flexibility makes it easy to
alter the number of parameters as
desired without having to reformulate the
optimization problem. However, because
of the relative rotations of the pairs, it is
unclear that the trends observed initially
will persist for long times. Wake vortex
configurations involving more than two
pairs may have to be dealt with in
accordance with current design
constraints. Associated with this, the
relevant time-scale on which
optimization should be performed needs
clarification.
Figure (25). Evolution of the objective
function. : optimal parameters for 2 pairs; : Centrifugal instability
parameters of Crouch [60]; : optimal An individual vortex in a wake may be
parameters for 4 pairs; : case of 2 pairs with triggered to undergo sudden
equal initial perturbations (adapted from enlargement, so that its vorticity is
Cottet et al [20]). dispersed over a larger area, and that
area may even become so large that it
Some striking similarities can be observed starts interacting with its counter part
between these two sets of parameters. In from the other side of the wake to bring
particular, Cottet Evolution Strategies has about mutual destruction (Savas, [26]).
selected perturbations that are mostly located Such vortex sudden enlargements over
on the tip vortex, thus confirming the the entire length of vortices have not
observation of Crouch [60] of efficient been observed in free vortices with
transient growth when the outboard flap single sign of vorticity.
vortex was unperturbed. The wavelengths of
the perturbations are also very close to those However, it is possible to stimulate this
given in Crouch behavior if one can design a vortex by
depositing at its perimeter a sufficient
Table 1. Comparison of the parameters found amount of vorticity of the opposite sense
by evolution strategy of Cottet et al [20] and of rotation. Fjørtoft [74] addresses the
Crouch [60] results instability of a vortex with decreasing as
well as increasing vorticity distribution,
779
__________________________________________________________________________________________
and puts a more stringent requirement on its vortices. The vortex interaction at the
instability than that of Rayleigh. The presence plane of PIV measurements is strong,
of vorticity of opposite sign within a vortex resulting in the growth of the wing tip
offers possibility of destabilization which is vortex.
further extended by Ludwieg [75]. Confirmation of uniformly progressive
growth of the tip vortices to incite cross-
annihilation and eventual quantification
of the wake alleviation characteristics
could establish this as a practical
mechanism.
Active Scheme
Figure (26). Wake alleviation based on In a towing-tank experiment, Crouch et
centrifugal instability of a vortex with radially al. [59] have successfully demonstrated
alternating signs of vorticity (Volmers and an active control system to breakup a
Bao, F., [76]). The flow is generated by towing four-vortex wake consisting of two
a generic aircraft model comprising of a lifting symmetric pairs of co-rotating vortices
wing a pushing trailing tail, hence a vortex with γ = 0.35.
wake of two symmetric counter-rotating vortex The system is representative of the
pairs of γ ≈ −0.5. The numeric labels order the trailing vortices behind an aircraft in a
frames in time. (a) Dye visualization of the flaps-down configuration which created
wake. (b) PIV measurements of half wake. At a wake with symmetric co-rotating vortex
the plane of measurement, the weaker vortex pairs. The scheme is illustrated in Figure
orbits around the wing vortex and rapidly (27). This scheme has been based on
looses its coherence (adapted from Savas, the theoretical studies of Crouch [60]
[26]). and Rennich and Lele [65] that describe
the detailed instability mechanics in
The passive wake vortex alleviation multiple vortex pair systems. The
mechanism utilizes this instability mechanism instability is induced by a symmetric
by wrapping oppositely signed vorticity from a excitation scheme of the control
tail tip around a wing tip vortex. surfaces, preserving total lift and
Figure (26) shows results from recent symmetry. Flow visualization
experiments exploiting Rayleigh–Fjørtoft– experiments employing a generic aircraft
Ludwieg radial instability (Volmers et al, [76]). model in a towing tank have successfully
The sequence of photographs show the demonstrated the rapid formation of
evolution of a four-vortex system produced off vortex rings (Savas, [26]). Noticeably
a generic aircraft model comprising a wing shorter vortex linking times were
and a tail which produced vortices of the observed in these experiments using
opposite sign to those of the wing. Thus, the acceptable forcing amplitudes. The
wake consists of two symmetric pairs of vortices produced by the tail-loading
counter-rotating vortices. The tail vortices are shorten this linking time by increasing
wrapping partially around the tip vortices, and separation between the wing tip and flap
at the same time seem to be undergoing a vortices, offering an additional variable
cooperative instability. The PIV for wake vortex control (Czech et al,
measurements carried out evaluate the [77]).
interaction of a pair of the counter-rotating
780
__________________________________________________________________________________________
Figure (27). Active wake alleviation based on modulated lift distribution and its wake
comprising of two co-rotating vortex pairs. (a) Sample of computational result showing
growth of long wavelength symmetric instability mode. (b) Modulated lift distribution, shifting
between solid and dashed configurations. Note that centroids of the vorticity on either side
of the wind remain fixed. (c) Flow visualization sequence showing the pinching of vortices.
(d) Dimensionless pinch times as a function of the relative strength of the tail vortex.
(adapted from Savas, [27], with some images from Crouch et al [57])
It could be noted that NASA has carried

In closing this section, in the modification, out a series of research activities
control and alleviation of aircraft trailing devoted to trailing vortices alleviation as
vortices one may be challenged by the reflected in Holbrook et al [78],
following remark made by Savas [26]: Jacobsen et al [79] and Kroo and Smith
“Currently, all vortex wakes of transport [80], among others.
aircraft in quiescent conditions are decaying
through a completely passive mechanism: the Brown and Nosenchuck’s Lifting
“Crow instability” Body with Reduced-Strength Trailing
Vortices, US 5492289, 1996
6. RECENT PATENTS ON TRAILING Brown and Nosenchuck [81] have
VORTICES ALLEVIATION patented a device in a US Patent
document US5492289 (1996) for a lifting
The aim of this section is to review selected body with reduced-strength trailing
recent patents on trailing vortices alleviation, vortices. In his invention, the
and discuss how new techniques have been predetermined lift distribution is
devised to take advantage, a well as to accompanied by variations in the chord
enhance, the state of our knowledge and its length of the lifting body along its length
utilization in aircraft trailing vortices alleviation. or by twisting the lifting body to vary its
Subsequent discussion may address how the angle of attack relative to the fluid
recent patents can improve existing state of medium or both.
the art prior to their introduction, following the
claim.
781
__________________________________________________________________________________________
The chord length variation is provided by experiment performed on a modified and

introducing a perturbation in the planform of a baseline wing.
the lifting body proximate to a tip end thereof.
In developing his invention, he took into
considerations various proposals to modify
the trailing vortices, such as the approach
discussed by Donaldson and Bilanin [49].
Brown and Nosenchuck [81] took into account
the weaknesses of some proposed schemes
to modify the trailing vortices, which instead
could introduce penalties such as adding the Figure (28) Optimum planform wing
overall weight of the aircraft and negatively geometry [73].
impact the aerodynamics of the wing by
increasing drag. In addition, it is possible that
even though the vortex sheet may be
disturbed initially, it was not always certain
whether the instability persisted further
downstream of the trailing edge of the wing.
Brown and Nosenchuck’s invention [81] is

based mainly from the relationship between
the sectional lift L of the wing to its sectional
circulation, and the relationship of the lift Figure (29). (a). Simulated baseline
distribution along the wing (lifting body) span planform geometry and two
to the longitudinal vortex field. The invention modifications, and (b). corresponding
addressed a lifting body having a vortex growth,
configuration, such that its lift distribution L(y)
generates a longitudinal vortex field in a way Brown and Nosenchuck pointed out that
that the velocity component in the (y-z) plane the mere presence of spanwise
of the fluid flow is directed outwardly at the fluctuations in chord length near the tip
centroid of the vortex field is enhanced. It end of the wing, as depicted in Figure
capitalizes on the fact that roll-up of the (29), is not sufficient to induce increased
trailing vortices can be slowed down, and vortex growth. As shown on the right-
hence its vorticity dissipated, if the rate of hand side of the figure, Case A depicts
growth of the core in the x-direction is an example of a simulated wing
increased. Brown and Nosenchuck’s invention modification which did not result in the
[81] accomplishes this by enhancing the required growth in comparison to a
velocity component of the fluid flow directed baseline wing.
outwardly from the centroid of the vortex field.
Figure (28) shows a simulated baseline
planform wing geometry and a modified
optimal planform wing geometry (left-hand
side), and the simulated prediction of a tip-
vortex growth for the modified and baseline
wings (right-hand side). Similarly Figure 29
shows the vortices resulting from an
782
__________________________________________________________________________________________
Figure (30). Flowchart describing the logic of

the trailing vortex control as the principal
element of Brown & Nosenchuck’s invention
[81]. Figure (31). Gerhardt’s [79] Wingtip
Vortex Impeller for Drag Reduction and
The expected growth of the vortex core in Vortex Cancellation
Case A is not noticeably different from that of
the baseline model. In comparison, the The spinner is a streamlined body of
inverted modification of the perturbation revolution with radial fins. The wingtip
shown in Case B, which is simply a wave 180 vortex induces spinner whirl, whose
degree out of phase with the perturbation of sense of rotation is opposite to that of
Case A, produces a high growth rate of the the wingtip vortex. Hence the induced
equivalent radius. Further detail of the drag will be reduced, and since the
advantages offered by Brown and device is powered by the wingtip vortex,
Nosenchuck’s invention can be found in the no extra power is required for such
patent document. The careful logic which action. Numbers indicated in Figure (31)
takes into account pertinent information as the are elaborated in the patent [82].
core of the invention is schematically
described in flow chart used for determining Bilanin and Quackenbush’s System
optimal wing parameters as exhibited in and Method of Vortex Wake Control
Figure (30). Using Vortex Leveraging, US Patent
6,042,059, 2000
Gerhardt’s Wingtip Vortex Impeller for The invention of Bilanin and
Drag Reduction-Vortex Cancellation/ US Quackenbusch [83] relates to a system
Patent 5918835, 1999 and method for reducing the primary
In the US Patent US5918835 on Wingtip vortex wake structure generated by a
Vortex Impeller for Drag Reduction-Vortex lifting body mounted on an object
Cancellation, Gerhardt [82] invented a wingtip moving through a fluid utilizing vortex
vortex device to be installed at the wingtips of leveraging system. The vortex
an aircraft for induced drag reduction and leveraging system is intended to
vortex cancellation. overcome the limitations of earlier
The wingtip vortex device is self-contained methods for more rapidly breaking up
and is energized by the wingtip vortex itself, the trailing vortex pair or pairs generated
and consists of a shaft and a spinner, as by primary wing.
exhibited in Figure (33).
783
__________________________________________________________________________________________
It is implemented by firstly setting up a vortex frequencies to start rapid vortex breakup

wake structure consisting of two or more pairs process.
that would be susceptible to rapid breakup, by
altering the vortex wake of primary wing
through redistribution of spanwise
aerodynamic load or incorporating the vortex
wake of horizontal tail.
The breakup is enhanced by introducing time-
varying disturbances from small aerodynamic
Figure (32). A rear elevation view of one
surfaces to excite instabilities of the multiple
possible installation of vortex leveraging
pair of vortices wake system. The aim is to
tabs on primary aircraft wing
produce time varying motion of the centroids
of vorticity of one or more pairs at particular
Figure (33) (a). Plan view of: a. one possible installation of vortex leveraging tabs on the
primary aircraft wing; (b). an alternative wing geometry with inboard vortex generated at
chord discontinuity, (c). an alternative wing geometry with inboard vortex generated by
geometric angle of attack discontinuity
The excitation involves the introduction

of weak secondary vortices generated
by special control surfaces called vortex
leveraging tabs (or VLTs). These are
small wings that generate their own tip
vortices, mounted on or near the main
wing or on the horizontal tail.
The frequencies of excitation are chosen
to maximize the systems effect on rapid
build-up of instabilities of the aircraft
multiple pair vortex wake system, and
Figure (34). Schematic depiction of the
hence breaking up the entire wake
introduction of disturbances onto an inboard
structure. Some highlights illustrating the
vortex of the two-pair vortex wake
784
__________________________________________________________________________________________
principles and mechanism stipulated in the vortex pairs. Among its claims, the
invention are depicted in Figures (32) to (35). method incorporates the actuation of the
Numbers indicated in these figures are control surfaces in a manner leading to
elaborated in the patent [83]. the direct excitation of one or more of
the Transient Growth Mechanism, the
Short Wavelength Instability, the Long
Wavelength Instability, and the Crow
Instability discussed in previous section
to produce accelerated breakup of the
trailing vortices. The patent includes a
method of selecting control parameters
in an active control system, which further
implies the identification of the near-field
Figur vorticity distribution of the aircraft,
e (35). Schematic of rear view of inboard selection of at least one amplification
vortex perturbed by the introduction of weaker mechanism for distorting the trailing
vortices above ( u ) and below ( l ) and the vortices, the determination of the
resulting displacement of the centroid of the amplitudes and wavelengths for
multivortex system; in this example imposed vortex perturbations,
0 == 2 ; u = 4l simulation of trailing vortex evolutions,
determination of the effectiveness of
It is of interest to note that Quackenbush et al. perturbations and amplification
[84, 85] have worked on a Shape Memory mechanisms, determination of vortex
Alloy (SMA)-actuated deformable foil positions as a function of control surface
prototype associated with a vortex wake deflections, and determination of control
control scheme for lifting surfaces in the parameters to govern the movement of
vortex leveraging system. This concept works the wing control surfaces.
by placing shape memory alloy control
surfaces on the submarine’s sailplanes and
periodically oscillating them. Actuation is
achieved by energizing SMA wires embedded
in the skin of the foil to deform it, and
consequently altering the aerodynamic
characteristics of the lifting surface
dynamically.
Crouch and Spalart’s Active Control

Method And Apparatus For Encouraging
The Early Destruction Of Trailing Vortices,
US Patent 6082679, 2000
Crouch and Spalart, inventors of US Patent
6082679 [32] introduced an active control
method and apparatus for encouraging the Figure (36). (a). Spanwise lift variation
early destruction of trailing vortices formed by resulting from Crouch & Spalart active
a lifting body having at least two control control scheme; (b). Diagram of vortex
surfaces on each side and creating multiple positions (circles) and vorticity centroid
785
__________________________________________________________________________________________
positions (straight lines, underneath) resulting scheme, indicating the breaking up of

from the lift variations [32]. the trailing vortex system
In the invention, early destruction of the For this purpose, microprocessors are
trailing vortices formed by the original aircraft utilized to actuate appropriate control
or lifting body is encouraged by introducing surface movements. The control
left and right lifting surfaces which produce at surfaces are the aileron and spoiler
least two trailing vortex pairs, so that the lifting located on each wing. The control
body will have at least two sets of control surfaces are actuated such that it may
surfaces. lead to the indirect excitation of the Crow
Instability. The actuation is performed
The method then comprise the actuation of during approach and departure, as
the control surfaces in a manner leading to appropriate. Some details exhibiting key
the direct excitation of at least one of the features of the invention are exhibited in
Transient Growth Mechanism, the Short Figures (36) and (37).
Wavelength Instability, and the Long The invention stipulates that actuating
Wavelength Instability. The latter in turn will the control surfaces does not
result in the accelerated breakup of the trailing significantly alter the lifting body total lift
vortices in a prescribed distance, without or pitching moment. Further details are
imposing movement to the centroids of given in the patent [32]. This patent has
vorticity on the left and right lifting surfaces to been well founded on up-to-date
achieve breakup in the prescribed distance research efforts devoted to trailing
occurring from direct excitation of Crow vortex hazardous effect alleviation since
Instability. the authors are leading aerodynamicists
The actuation is accomplished by a controller in this field, and the patent maintains
in electronic communication with at least two that the invention does not significantly
sets of control surfaces. alter the lifting body total lift or pitching
moment.
Greenblatt’s Trailing Vortex

Management via Boundary Layer
Separation Control, US Patent
2005/0103944A, 2005.
Greenblatt [86] patented a method and
device that utilizes boundary layer
separation control for wake vortex
alleviation.
Figure (37). Perspective views of the

intermediate field effects as a result of using
Crouch & Spalart active control system &
786
__________________________________________________________________________________________
Figure (38). Details of the placement of generate wake signatures that are
separation control devices and zones where unstable, and hence resulting in
separation is controlled [86] complex three-dimensional interaction
For this purpose, the spanwise trailing vortex- and rapid destruction of vortex
sheet strength is manipulated by either coherence in the wake. Separation
passive or active boundary layer separation control can be obtained in either a time-
control. By diminishing or promoting boundary dependent or a time-invariant mode.
layer separation, vortex properties, such as
locations and strengths, can be varied to
Figure (39). (a) Schematic of lift coefficient CL as a function of angle of attack ,

corresponding to the location identified as section A-A in Figure (32)(b), illustrating the effect
of separation control devices [86].
787
__________________________________________________________________________________________
Figure (40). Schematics of: (a) a lift coefficient variation along starboard wing span during
approach and landing, illustrating the effect of separation control devices; partial lift
coefficient distribution corresponding to (b) inboard section of outboard flap, (c) outboard
section of outboard flap and (d) outboard flap inboard vortex location movement, (e)
outboard flap outboard vortex location movement, due to deployment of separation control
devices [86]
Loth’s Vorticity Cancellation at

Trailing Edge For Induced Drag
Elimination, US Patent 7134631, 2006
Greenblatt invention uses static or dynamic Different methods are introduced in
devices to control boundary layer separation, Loth’s Vorticity Cancellation at Trailing
leading to (a) modified wing loading, and in Edge for induced drag elimination
turn, producing highly unstable wake patented as US7134631 in 2006 [87].
structure, that leads to (b) rapid destruction of Different methods are patented for upper
the wake vortices. Thus Greenblatt’s [83] and lower surface boundary layers to
invention comprises a surface, over which a cancel their opposing vorticity upon
boundary layer develops between the flow shedding from the trailing edge. This
and the surface, a device for separation method will eliminate wake vorticity,
control which is mounted on the surface, and induced drag and associated noise, and
a device for managing wake vortices. made possible by the use of wing-rotor-
propeller or fan blades with a platform
The invention can be implemented in either designed for uniform bound circulation
time-invariant or time-dependent mode; in the and with boundary layer control near the
first mode, separation control devices are tip. In addition, this method requires
directly retrofitted to the aircraft with minimal special techniques to counter spanwise
coast. No power is required since the pressure gradients, such as tip
separated flows that prevail over the wing circulation control blowing or an upwind
elements are directly utilized by the method. small propeller or wind-turbine on each
Aircraft aerodynamics is not affected during tip.
cruise, since the vortex generators can be
stowed in the cove of the wing structure.
The devices are activated during take-off and
landing, increasing aerodynamic lift and
improving aerodynamic quality, and can be
applied to high-lift systems.
The separation control devices introduce

small perturbations on the span loading,
which is less than that produced by deflecting Figure (41). Some of the devices
control surfaces. The invention manipulates invented by Loth [87] for Vorticity
trailing vortices by modifying the spanwise Cancellation at Trailing Edge for induced
wing circulation via either passive or active drag elimination
boundary layer separation control, as
exemplified by Figure (40). These technique can eliminate wake
vorticity with its induced drag, noise,
flying at the backside of the power curve
788
__________________________________________________________________________________________
and the option for asymmetric loading by circulation along the span. Some of the
pneumatic means to eliminate need for cyclic devices invented by Loth [87] for
pitch control or conventional ailerons. Vorticity Cancellation at Trailing Edge for
Loth [87] considers the aircraft wings to be induced drag elimination are illustrated
designed with maximum span, taking into in Figure (41).
account their allowable wing root bending
moment and the typical 80 meter gate Eaton and Matalanis’s Active Gurney
footprint at most large airports. Flap to Alleviate Aircraft Wake Vortex
Out of various induced drag-reducing devices, Hazard, US Patent 7,740,206 B2, 2010
as also observed in may aircrafts produced in In his patent, Eaton et al [88] proposes a
the last decades, only winglets have wake vortex alleviator, and produces
demonstrated sufficient benefits to find rapid variations in the position of vortices
application on modern airliners. The winglets emanating from aerodynamic surfaces
are able to reduce aircraft drag in the order of by using an active flap that moves
less than 10%. spanwise back and forth along the
In the patent, Loth [87] presents different outboard section of the surface.
approach in eliminating induced drag.
Following his claims:
1. The wing design and the use of boundary
layer control are modified by suction to
prevent boundary layer generated vorticity
from entering the wake,
2. Wing tip vorticity countering device is
provided to prevent the formation of a wing
tip spanwise pressure gradient; the device Figure (42). An active translating flap
draws only a small fraction of the thrust integrated to a slot of a wing / airfoil
power saved. implied by the invention [88]
Loth [87] invention cancels the upper and
lower boundary layer vorticity at the trailing Rapidly moving the flap back and forth in
edge. Loth’s invention [84] was based on the a slot at an appropriate frequency will
notion that a uniform finite 3-D wing can only cause the vortex to oscillate, resulting in
have uniformly distributed spanwise loading if interaction between other vortices and
the wing is equipped with a wing tip vortex subsequent destruction much earlier
countering device capable of eliminating all than it would occur naturally. The slot is
spanwise pressure gradient so that the bound placed near the aerodynamic surface
circulation vector will align with wing span all trailing edge and transverse to an
the way down to the wing tip. This is made aerodynamic surface chord line, as
possible by cancellation of the boundary layer depicted in Figure (42). The flap can be
vorticity of the upper and lower surface in the moved using a various actuators to
vicinity of the wing tip by using a short suction position, translate and stow the flap.
slot at the trailing edge adjacent to the wing The oscillation frequency and position
tip. Loth [87] stipulates that in order to achieve are guided by information feed-back
such induced drag reduction with less than according to the variations in lift in the
10% of thrust power that provide net gain in aerodynamic surface, such as wind
aerodynamic efficiency, the wing planform has gusts. The flaps can control the
to be configured to have fairly constant bound aerodynamic surface yaw, roll and pitch.
The flap may be located at the lower or
789
__________________________________________________________________________________________
high pressure side of the aerodynamic

surface, wing or others. The flap is a Gurney
flap, which may have a length of ½ the wing
half-span. The flap has an effective height that
varies along the slot to be installed in the wing
following the patent. The effective height may
be up to 5% of the chord length. The slot may
be at least two times the length of the flap.
Holes, slices or other features may be cut in
the flaps, as illustrated in Figure (43).
Figure (45). Schematic of the Method
and Device for Reducing The Wake
Vortices of an Aircraft in the Approach
and Landing patented by Delaplace et
al[89].
Figure (43). Planar view of a translating flap
with holes and cuts utilized in Eaton & Spoilers are automatically ordered to
Matalanis invention [88]. deploy when lift-augmenting
aerodynamic surfaces are ordered to
deploy, and are automatically ordered to
retract when at least one of the following
three conditions holds: the angle of
incidence α is equal to or greater than a
certain threshold; the speed Vc, and the
aircraft is instigating a go-around
maneuver.The core of their invention lies
Figure (44). Different wake vortex alleviators in the control system depicted in Figures
configured to different aerodynamic surfaces (45) that assist the pilot to deploy or
in Eaton & Matalanis invention [88]. retract the aircraft spoilers during
approach and landing phase so that the
The additional lifting surface may be a Fowler approach and landing maneuverability of
flap. The actuator and flap are placed in the the aircraft is still insured to maintain
aerodynamic surface and hence will not safety and landing distance while the
disturb the air flow when the flap is not in deployment and / or retraction of the
operation or stowed. Different wake vortex spoilers will alter the aircraft wing lift to
alleviators are depicted in Figure (44). reduce detrimental effect of the trailing
vortices. The invention is applicable for
Delaplace’s Method and Device for aircraft with control surfaces depicted in
Reducing The Wake Vortices of an Aircraft Figure (46), where the numbers are
in the Approach and Landing Phase, US elaborated in the patent [89].
Patent 7,850,125 B2, 2010
Delaplace et al [89] invention relates to a
method and device for reducing the wake
vortices of an aircraft during the approach /
landing phase.
790
__________________________________________________________________________________________
aircraft during a Flight stipulated in the

patent [90].
The patent is based on the consideration

that the aerodynamic configuration of an
aircraft is usually optimized for its lift to
drag ratio during takeoff, and lift
maximized during approach. The
desired optimisation parameters may be
Figure (46). Aircraft equipped with control selected a priori, so that the optimum
surfaces required (indicated by numbers operation is not ensured in all flight
related to Figure (45) for the application of the phases and the optimized aerodynamic
control system and method stipulated in the configuration is not the same for each
patent [89]. flight conditions. The method and device
implied by the invention, as depicted in
Sauvinet’s Method and Device for Figure (48), will address the requirement
Generating an Optimum Aerodynamic for a high maximum lift for near stalled
configuration of an aircraft during a Flight, conditions, i.e. at high angle of
US Patent 2010/0219298 A1 Sep 2, 2010 incidence, a minimized noise in rated
Sauvinet [90] invented a process and device operational conditions and a high lift-to-
for the automatic flight optimization of the drag ratio outside the near stalled
aerodynamic configuration of an aircraft. The phases. Numbers appearing in Figure
device includes means for determining and (48) refer to aircraft control surfaces
applying the spoilers of the aircraft commands depicted in Figure (47) and control
for providing the aircraft with an optimum procedure elaborated in the patent.
aerodynamic configuration.
As depicted in Figure (47), the aircraft wings
should be equipped with spoilers, which many
aircrafts comply. These spoilers can be
deflected downwards when flaps of the
aircraft are in deflected position.
Figure (47). Aircraft equipped with control

surfaces required (indicated by numbers
related to Figure (48)) for the application of
the Method and Device for Generating an
Optimum Aerodynamic configuration of an
791
__________________________________________________________________________________________
Figure (48). Schematic of the Method and Device for Generating an Optimum Aerodynamic
configuration of an aircraft during a Flight. The control logic in each of the boxes in the
schematic above, which reflects the philosophy outlined, is elaborated in the patent [90].
include directing a tracer from an aircraft
The invention has further objective to into a vortical flow generated by the
overcome some drawback in the optimization aircraft. The method can further detect a
process by automatically optimising aircraft characteristic corresponding to the
aerodynamic configuration in any flight phase, presence of the tracer directed into the
while flying for aircraft with wings provided vertical flow. Based on the detected
with spoilers. The control logic algorithm in the characteristic, the method can direct the
process and device stipulated by the patent flight of the aircraft, or the following
introduces automatic flight optimization of the aircraft, or both.
aerodynamic configuration of an aircraft by
monitoring and determining the ongoing flight Wing tip vortices generally cannot be
phase, and depending on particular directly visualized at low altitudes. In
predetermined flight phase, allowing provision research experiments, wake turbulence
for the deflection of spoilers to optimize has been measured with sophisticated
aircraft aerodynamic configuration subject to and costly Laser-Doppler devices
fineness, lift or noise considerations as it may positioned along the flight path. The
apply. tracer implied by the patent can include
Reports on the application of patents [89] and a gas or other technique described in
[90] to modern aircraft would be significant the patent which tends to move to the
assessment of their adaptability. Of interest is center of the vortex. The tracer is
their ramification and robustness in the aircraft visually indistinguishable from its
dynamics and stability characteristics surroundings to an unaided observer on
following a fail-safe design paradigm. the ground or in a following aircraft.
Lewis et al, Systems and method for

tracing aircraft vortices, US Patent
2010/01133384 A1 Jun 3, 2010
Lewis’ [91] patent describes systems and
methods for tracing aircraft vortices, which
792
__________________________________________________________________________________________
5918835
altering the generated
initial vortex wake to
System and
make it vulnerable to
Bilanin, Alan Method of Vortex
rapid breakup;
J. and Wake Control
3 [80] 2000 producing active
Quackenbush, Using Vortex
disturbances to this
Todd R. Leveraging - US
wake with secondary
Patent 6,042,059
vortices using vortex
leveraging tabs
Active Control
Method And
Crouch, Apparatus For actuating aileron and
Jeffrey D. and Encouraging The spoiler following
4 [30] 2000 active
Spalart, Early Destruction active control system
Philippe R. Of Trailing and scheme
Vortices - US
Patent 6082679.
Trailing Vortex
Management via
varying the spanwise
Boundary Layer
vortex-sheet strength
Greenblatt, Separation Active &
5 [83] 2005 via either passive or
David Control - passive
active boundary layer
Greenblatt, US
separation control
Figure (49). The logical sequence and Patent
2005/0103944 A
relationships implied by the systems and Vorticity
Cancellation At
upper and lower
surface boundary
Trailing Edge layers control by
method for tracing aircraft vortices embodied 6 Loth , John L. For Induced [84] 2006 suction to cancel active
Drag Elimination opposing vorticity; and
by the patent [91] - US Patent wing tip vorticity
US7134631 countering device
Translating
Active Gurney active flap that moves
Eaton, John
The method stipulated in the invention can 7
K. and
Flap to Alleviate
Aircraft Wake [85]
spanwise back and
2010 forth along the active
Matalanis,
include controlling a separation distance Claude
Vortex Hazard–
US Patent
outboard section of
the surface.
between the aircraft and the following one, or 7,740,206 B2
Method and
method and device for
directing the following one away from the devices for
reducing the
reducing the wake
Delaplace, vortices of an aircraft
wake vortices of
vertical flow generated by the aircraft. The 8 Franck
an aircraft in the
[86] 2010 during the approach/
landing phase by
active
approach/landin
logical sequence and relationships implied by g phase.
automatically
controlling spoilers
US7850125 B2
the systems and method for tracing aircraft Method and process and device
Device for for automatic flight
vortices embodied by the patent [91] are Generating an optimization of aircraft
Optimum aerodynamic
illustrated in Figure (49). In this figure, the 9
Sauvinet,
Frederic
Aerodynamic
configuration of
[87] 2010
configuration by
determining and
active
flow-chart on the left describes the process for an aircraft during

a Flight,
applying spoilers
commands for
directing tracers from an aircraft into vortical US2010/021929
8 A1
optimum aerodynamic
configuration.
systems and methods
flow generated by aircraft, while the one on Lewis, Systems and for directing and
Michael S.; method for tracing aircraft
the right describes the process for detecting eseroke, Jere tracing aircraft vortices, which
10 S., Dunn, vortices, US [88] 2010 include directing a active
the characteristics associated with the Michael J., & Patent tracer from an aircraft
Tillotson, 2010/01133384 into a vortical flow
presence of tracers directed from an aircraft Brian J. A1 generated by the
aircraft flow.
into the vortical flow of interest. disturbance to reduce the induced drag,
and required power activation.
Summary Some of the devices need additional
Some of the patents reviewed in this section power on top of the power already
utilize propellers or jets to introduce flow utilized by the aircraft to produce lift, and
hence induced drag, and some need no
Table 2 – Summary of Selected Inventions on additional power from the aircraft power
Trailing Vortex Alleviation system.
Methods or Wake vortices
No. Inventors
Innovation
Ref. # Yr
alleviation technique
Passive/ active All of these patents did not disclose how
Brown; Garry
Lifting Body With
Reduced-
chord length variation
specifying the lifting
much percentage of induced drag
L. and
1 Strength Trailing [78] 1990 body with reduced passive
Nosenchuck,
Daniel M.
Vortices- US trailing vortices reduction and propulsion energy savings
Patent 5492289 strength
Wingtip Vortex could be gained. It could be noted,
Impeller for Drag
2
Gerhardt, Reduction-
[79]
Vortex Impeller for
1999 Drag Reduction- active
however, that a large host of research
Heinz Adolf Vortex
Cancellation -
Vortex Cancellation
efforts at various centers which are
US Patent
793
__________________________________________________________________________________________
discussed in earlier sections have contributed will reduce the noise footprint by 6.5%
much on the structure, dynamics and stability and NOx emissions by 5%.
of the trailing vortices and how these could be
intervened to produce desired effects, which
may have been developed further in the
patented work. The test that has been carried
out by Breitsamter [28] serves to exemplify
how certain claims of a particular patents can
be verified. The selected patents reviewed are
summarized in Table 2.
5. RECENT PATENTS ON WINGLETS,

BLENDED WINGLETS AND WING-
GRIDS Figure (50). Variation in induced drag for
wings and wings with winglets having
The aim of this section is to review selected fixed integrated bending moment, Kroo
recent patents on winglets and blended [9, 94]
winglets for their design objectives, in
particular lift enhancement and trailing This could give savings on airport noise
vortices alleviation, to enhance the state of quotas or fines. Reduced cruise thrust,
our knowledge on these and to take hence reduced cruise fuel flow may be
advantage of their utilization in alleviating gained up to 6%, providing savings in
aircraft trailing vortices. Subsequent fuel costs and increasing range.
discussion may address how the recent Improved cruise performance may be
patents can improve existing state of the art gained since winglets allow aircraft to
prior to their introduction. It should also be reach higher levels in shorter period.
noted that introduction of recent Figure (50), reproduced from Kroo [80,
developments and patents in various designs 94], illustrates the advantage of installing
of winglets have at least two fold benefits: lift winglets on aircrafts which should be
enhancement and passive wake vortices accompanied by due considerations to
alleviation. other factors in order to reduce the
Winglets have found wide applications in induced drag. Figure (51) illustrates the
modern jet transporters such as those effect of winglets on aircraft takeoff field
manufactured by Boeing and Airbus, as well length for the case of Boeing 737-800
as other smaller ones like business jets. [31, 92, 93]. In the discussion that
Winglets have the potential to give many follows, attention will be given to other
benefits, among others [31, 92, 93]: (a) related concepts in enhancing lift while
Improved climb gradient; this will enable a at the same time reducing the induced
higher regulatory take-off weight (RTOW) drag.
from climb limited airports (hot, high or noise
abatement) or obstacle limited runways. (b)
Reduced climb thrust; a winglet equipped
aircraft can typically take a 3% derate over the
non-winglet equivalent aircraft, which can
extend engine life and reduce maintenance
costs. (c) Environmentally friendly; the derate
794
__________________________________________________________________________________________
Figure (52). Illustration of Spiroid-tipped

wing concept [91]
Figure (51). Effect of winglets on takeoff field
length
The size of the spiroid with respect to
of the Boeing 737-800 (Source: Boeing Aero
the overall span of the lifting surface is
Magazine)[31, 92].
increased to further reduce drag and
noise. Depending on design
Gratzer’s spiroid-tipped wing, US Patent
requirements and operational limitation,
5,102,068-1992
more than one spiroid on each wing tip
In its basic form, Gratzer’s spiroid-tipped wing
may be used.
[95] comprises a wing-like lifting surface and a
The basic function of the spiroid-tipped
spiroidal tip device, which is integrated to
wing can be illustrated using Figure (53).
minimize the induced drag of the wing-spiroid
Figure (53) (a) shows a typical wing in a
combination, and/or to reduce noise effects
free stream velocity V and angle of
associated with concentrated vorticity wakes
attack  at a reference airfoil section A.
that trail from lifting surfaces The spiroid is
The lift distribution along the span is
attached at its ends to the wing tip at
approximately elliptic, designated here
appropriate sweep and included angles to
as curve E. Element T is typical in the
form a continuous and closed form extension
vorticity wake W, which leaves the wing
of the wing surface. An example is illustrated
off the wing trailing edge at
in Figure (52).
corresponding span section
For a fixed wing aircraft, the right side of the
spiroid configuration is of opposite sense
compared to that of the left side. The spiroid
geometry incorporates airfoil cross sections
with special thickness, camber and twist. The
airfoil thickness varies with respect to the local
sweep angle and is minimum at an
intermediate position where the sweep angle
is zero. The camber and twist vary
approximately linearly and changes sign at
some intermediate position between the
spiroid ends to produce the optimum spiroid
loading.
795
__________________________________________________________________________________________
Figure (53). Spiroid-tipped wing concept [95] illustrated in Figure (60), and results in a
substantially increased lift to drag ratio.
.
A high concentration of vorticity exists near
the wing tip is anticipated. At some distance
downstream, the vorticity sheet rolls up at
section S, which finally leads to the formation
of two concentrated vortices far downstream.
Figure (53) (b) shows an oblique view of a
typical wing equipped with spiroid devices.
The trailing vorticity sheet W is then
distributed more uniformly over a larger
distances down-stream, and consequently Figure (54). La Roche’s invention of
large concentration of vorticity associated with Wing with Wing-Grid [96]
planar wing tip is avoided.
The intensity of the roll-up process is thus The wing-grid takes over the intended
drastically reduced. Spiroid tipped wing profile circulation at the attachment point
technology has the potential to save to the main part of the wing and
significant amount of fuel for airlines. Spiroid- subdivides that circulation approximately
tipped wing thus offers an alternative to uniformly over the winglets, hence also
blended winglet, which has been utilized in their individual lift. With the addition of
modern airliners. wing-grid as described, the wing
Closed surfaces at the end of the winglets are a spanwise lift distribution is more regular
possible way to eliminate the wake vortices and hence the induced drag decreased
induced at the tips of a wing. As an example as compared with a conventional wing
of a closed-surface winglet, a spiroid winglet without a wing grid for the same aspect
design is currently under development by ratio.
Aviation Partners. Initial testing using a Gulfstream
II test aircraft has shown that the winglet
design reduce fuel consumption in the cruise
phase by over 10% [95].
La Roche’s Wing Grid, US Patent 5823480,

1998
La Roche [96] patented his invention on Wing
with a Wing Grid as the End Section. The
Wing-Grid configuration is obtained by adding
to the wing with a wing-span b, which has a
substantially closed surface with respect to
the flow, an end section at its free end in the
form of a wing-grid. The wing grid has at least
two parallel-staggered winglets, illustrated in
Figure (54) as (2). As with the invention of
winglet, the invention of the wing-grid mimics Figure (55). Illustration of wing
the wingtip of extended wing during flight of topography and extension during flight of
many birds, more obviously eagles, as an eagle, focusing on “grid—like” bird’s
wing tip [97]
796
__________________________________________________________________________________________
The construction of the wings is always a

trade-off between strength, for which small
aspect ratio is best, and the induced drag,
which requires large aspect ratio. It would be
desirable to recover part of the energy given
off to the flow in the form of lateral vorticity at
the free wing tip.
Therefore the objective of the invention is to

modify the wing tip of a deep, short wing with Figure (57). A plot of wing grid
a small aspect ratio to obtain lift-to-drag ratios performance below the Reynolds
which would otherwise only be achievable number critical for induced drag
with much more slender wings having a large reduction. This served as a model for
aspect ratio, or to increase the lift-to-drag lower-speed operation (<100mph) (La
ratios of an existing wing by reducing the Roche, [96, 100])
induced drag.
Figure (58). A four-winglet wing grid,

Figure (56). The drag reducing effect of a used for flight testing (La Roche, [96])
wing with wing grid compared other induced-
drag reducing devices (La Roche, [92])
Following Spreiter and Sachs analysis [98], La

Roche shows that by increasing b’, distance
between the trailing vortices, and/or by
increasing rk , the radius of the vortex core
measured in the Trefftz’s plane downstream
of the wing-wingtip configuration, the induced
drag can be decreased. The grid of the
proposed winglets forming the inventive wing
leads to an increase in b’, since the winglets
are designed to have the same lift per unit
span as the distal end (away from point of
attachment) of the main wing part; the whole
circulation is taken over by the winglets and
continues out to the tip area of the winglets
due to the grid interference of the grid
arrangement.
797
__________________________________________________________________________________________
Although the present concept is not

patented, the idea incorporated by
Heller, Kreuzer and Dirmeier [101] is
considered to be visionary for the
development of future aircrafts, as
illustrated in Figures (60) and (61).
Figure (60) Front view of the devices

under consideration including a true size
comparison [101]
A significant improvement in overall

Figure (59). Two Aircrafts equipped with wing aerodynamic performance is necessary
grid [90-91] to fulfill the mission requirements of a
business jet that is derived from the
The performance of the wing grids relative to basis of a regional transport aircraft.
the control and to each other was investigated This can be achieved using add-on high
by Bennet [99]. His experiment showed that at performance wing tip extensions to
low speeds, the wing grid does not reduce reduce drag. The actual design of the
drag, but suggested that it might do so at wingtip devices has to provide the
higher speeds, as La Roche predicts. La required performance gain with minimal
Roche [96] prediction of the drag reducing integration effects.
effect of a wing with wing grid compared other
induced-drag reducing devices is exhibited in
Figure (57).
A plot of wing grid performance below the
Reynolds number critical for induced drag
reduction is shown in Figure (57) (La Roche,
[92, 96]). Figure (58) illustrates a four-winglet
wing-grid, while Figure (59) illustrates two
aircrafts equipped with wing-grid.
Heller, Kreuzer and Dirmeier’s Figure (61) Corporate jet including a

Development and Integration of a New wingtip extension out of the proposed
High Performance Wingtip Device for new family; the windtunnel test model
Transonic Aircraft and sample results are indicated in (b)
and (c), respectively [101].
798
__________________________________________________________________________________________
A comparative study of various variants of

wingtip devices has shown that a new wingtip
topology offers the best compromise to satisfy
the complex requirements. The design
concept of this new wingtip family is
elaborated in [101].
Its aerodynamic performance improvement
potential is detailed in results of numerical and
experimental studies. Integration effects in Figure (62). A schematic sectional view
particular structural design considerations and of a complete advanced trailing edge
aspects of aircraft controllability are discussed control surface (ATECS); 1 – wing; 2
showing the benefits of this winglet/ wingtip and 3 – actuator components; 4 – flap;
family, introduced as “Shark” (or “Sharklet”) 14 – hinge / pivotal joint; 14, 15, 46 and
family. Further detail can be found in Heller et 56 – simple hinges; 23 - linear prismatic
al [101]. joint [98].
Reckzeh et al, Advanced trailing edge The ventilation flap releases flow from
control surface on the wing of an aircraft, the wing underside to the upper side of
US Patent 2010/0006707 A1 Jan 14, 2010 the flap and the sealing flap is retracted
The invention of Reckzeh et al [102] is a novel to release an outflow of air from the
advanced trailing edge control surface upper side of the flap when the flap is
(ATECS). It has a significantly broader used for increasing lift and the flap is
spectrum of applications than the basic adjusted between low and high positive
mechanical principle of a simple slotted flap positions.
due to its kinematics and multi-functional The invention implies primary and
control surfaces. It includes a trailing edge secondary control surfaces with a less
flap adjustable to different positions, a sealing mechanical expenditure and weight. The
flap on the upper side between the wing and advanced trailing edge control surface
the flap, and a ventilation flap on the may serve as an adaptive wing
underside between the wing and the flap. The component, and is claimed to be
flap is adjustable downward through positive suitable for the trailing wing edge of
positions and upward through negative modern commercial aircraft and
positions. The wing profile is closed on the transport aircraft with high take-off
upper side by the sealing flap and the weight.
underside by the ventilation flap when the flap
is used as a control flap and adjusted Alford, Clayman and Gary’s Blended
between negative and low positive positions. Winglet - US Patent 7644892 - 2010
Alford, Clayman, and Gary [103]
invented Blended Winglet or a capped
winglet comprising a helical portion
having a smooth vertical curvature of
180° ± approximately 20° from the plane
of the unbounded end of a wing, and a
generally planar cap contiguous with the
helical portion of the winglet at the end
799
__________________________________________________________________________________________
of its curvature away from the wing, the cap between the section 12 and the tip 14.
having a free inboard end and a chord the outboard angle of the winglet relative
tapered toward the free end. to the reference plane 16 of the wing
decreases through the transition 15
The present invention provides a blended between the upwardly angled section
winglet comprising a vertically curved portion and the tip which an outboard cant angle
having smooth vertical curvature of 180o  20o of the winglet decrease relative to a
from the plane of the unbounded end of the reference plane of the wing. The winglet
wing. One version of the invention further is continuously curved and has a point of
comprises a generally planar cap contiguous inflection at which the span-wise
with the curved portion of the winglet at the curvature of the winglet changes sign.
end of the curvature; the cap has a free The upwardly angled section is planar.
inboard end. The winglet generates vortex 22 when in
In another version, a curved winglet is flight. The tip vortex is displaced
attached on one end to the end of the wing outboard from the winglet due to the
and has a free second end. The winglet also decrease in outboard cant angle at the
has a helical portion extending 180o  20o transition.
about an axis parallel to the direction of
normal airflow. The invention provides The S-shape of the winglet 10 enables a
improved methods and devices for reducing much longer trailing edge length to be
lift-induced drag. fitted into a given span limit. Also, within
One such method is to provide a vortex- a given span limit, the S-shape of the
shaped wingtip, or other wing-like structure winglet provides a large curvilinear
used to produce a normal lift, that directs the length projected in the yz-plane, and
vortex flow in such a way that the vortex is thus allowing low induced drag within a
dissipated and the energy of the vortex is given set of constraints.
used to increase lift production. The invention
claims that the maximum lift production in the 6. CURRENT AND FUTURE
context of airfoils is greater than that of an DEVELOPMENTS
infinite airfoil with zero induced drag. The Starting with Helmholtz’s great paper in
invention is applied to a glider which has 1858 (Saffman[105]), and continued by
accordingly been modified to demonstrate the brilliant work of Lord Kelvin and
thee claim of the invention. Prandtl as pioneers, the study of vortices
In retrospect, the configuration described in and vortex motion has given impetus to
the invention as illustrated in Figure (63) is the in-depth study of problems arising in
configuration discussed by Kroo [9, 22], for its physics, engineering and mathematics.
prospective enhanced lift. These profoundly fascinating problems
have motivated leading investigators to
pursue the subject and leading
Garang, Winglet, US Patent 2010/0155541 institutions, including universities and
A1 Jun 24, 2010 research institutions, aircraft companies
Garang [104] invented a winglet whose main and civil transportation agencies, among
feature is illustrated in Figure (69). It others, to devote efforts and seek cost
comprises a root 11 connected to a distal end effective solutions, and inventors to
of a wing 13; a tip 14; an upwardly angled patent their creativity and innovations. It
section 12; and a gradual transition 15 goes without saying that the
800
__________________________________________________________________________________________
understanding of the core problem itself The structure, distribution and

transcends multiple disciplines, such as sea development of vortices originating from
transportation, meteorology and planetary formation process generated by viscous
science. fluid and structure (e.g. wing surface)
interaction and successive development
Our complete understanding of the structure into the trailing vortices and their
and dynamics of vortices needs be structure and dynamics still merit further
complemented with observations and understanding by further observation
modeling for a relatively complete spectrum of and analysis.
Reynolds number, configuration and
disturbing factors.
801
__________________________________________________________________________________________
Figure (63). Blended or Capped Winglet [99]
Figure (64). Left-hand side: Front elevational view of the winglet, viewed perpendicular
to the span-wise direction of the winglet; Right-hand side: Plan view of the winglet [104].
The interaction between individual by air-transportation and weather

factors identified is currently under imperatives, and fundamental issues as
scrutiny. Various findings thus far have well as laboratory practicality. Thus
to be viewed (and classified) critically to various issues have arisen such as
reveal the nature, structure and single versus a pair or multiple pairs of
dynamics of vortices that have been vortices, straight or ring vortices, various
disclosed by various investigators, and generic types of vortices: Rankine,
their differences should be sorted out in Lamb-Oseen, Burgers, etc, as they
further work. In particular, research relate to fundamental principles of fluid-
carried out thus far leads to the further dynamics.
understanding of stability (and instability)
of vortices and disturbances that can The discovery of Crow’s longwave and
modify the dynamics of the vortices. Widnall’s shortwave instability about the
Generic cases studied have been same time in 1970 marks new impetus
selected based on the spectrum of in the understanding of aircraft trailing
phenomena occurring in nature, driven vortices and their alleviation, and open
802
__________________________________________________________________________________________
up fascinating aspects that require The past and present research and
further in-depth analysis, development efforts have focused on the
experimentation, numerical modeling structure, dynamics, stability (as well as
and detailed observation. Critical review instability) of vortices with various
and analysis of a large host of studies configurations of interest, and their
dated from and including earlier or exploitation for aircraft and other
classical results dating from the seminal engineering designs, and their control
work of Kelvin has enhanced further for alleviating hazards as well as
understanding of the origin, nature, environmental impacts. It is therefore
production, structure, development and inspirational that many analytical (and
dynamic of vortices, which is further followed by numerical and computation)
driven by practical demand for lift endeavour based on logical simple
enhancement and trailing vortex models can reflect the phenomena
alleviation demanded by aircraft exhibited by these vortices in nature to a
industry, air traffic safety and growth, significant degree, although to date a
and global change, among others. large host of assumptions and models
Differing findings have further enhanced have been produced. An impressively
such understanding and point to a large number of research work have
myriad of aspects for further been devoted to the fundamental
investigation. The comprehensive and problems, and another large number of
excellent account on the progress on the efforts been devoted to applied
state of the art in vortex dynamics up to problems, such as investigating large
1992 given by Saffman [105] has been transport aircraft through windtunnel
valuable for pursuing further work. model and flight testing, although a
combination of both have been carried
Whether all of the investigators’ out. The research efforts carried out by
laboratory experiments by various Meteorological Research Institutions
techniques and processes are (such as those affiliated with NASA in
addressing the same flow is not USA and DLR in Germany) also
automatically clear. Investigators have contribute to the understanding of as
focused efforts on vortex filament and/ well as practical awareness related to
or vortex rings under axial flows or vortex phenomena.
otherwise for their generic study. The
effects of these flows on the stability of The wake vortex development is
the vortices are still elusive although significantly influenced by inherent
much understanding has been gained. instability mechanisms in the form of
For example, laboratory experiments centrifugal and cooperative instabilities
may cluster on experimental (Breitsamter [28], Breitsamter,
configurations that can be relatively set Bellastrada and Laschka, [29] and Allen
up with ease, and thus addressing only and Breitsamter [30]), for which the
a certain class of vortex stability problem instabilities in each vortex evolve in a
that may not reflect real flight situations. coupled, or `cooperative', manner
(Leweke and Williamson [106].
803
__________________________________________________________________________________________
Cooperative elliptic instability which instability and the elliptical instability to

forms by the mutual co-existence of a be linked.
counter-rotating vortex pair has
produced short-wave Kelvin-type Various modes of instabilities may be
instabilities that may prematurely displayed by a single vortex filament or
destroy the vortex pair (Ryan et al collection of filaments, which are driven
[107]). The Rayleigh criterion states that by either the internal distribution of
stability is obtained for a rotating, vorticity in a filament, mutual interactions
inviscid fluid if the circulation increases among filaments, or combinations of
monotonically with the radius (Saffman both. A single vortex may reveal internal
[105). The development of instability modes of instabilities, such as sinus,
requires temporal and spatial varicose, helical, or centrifugal
disturbances, superimposed on the instabilities (Saffman [105], Moore &
mean (steady) flow field of a single Saffman [108]). Multiple vortex systems
vortex or a vortex system. The analytical exhibit many instabilities; the Crow long
description introduces Kelvin waves wave and Widnall short wave
propagating along the vortex. Based on instabilities between equal-strength
wavelength, the instability mechanisms counter rotating pair [59, 64] and its
which include both long and short wave generalization to unequal strength
phenomena have been classified by counter rotating vortex pairs (Bristol et al
Breitsamter [28] following its ranges as [110]), multiple modes of instability in
long range instability (LW or Crow symmetric co-rotating pairs (Crouch,
instability),   2 ; medium-wave [25], Rennich & Lele, [62]), and multiple
b
0
modes of instability in symmetric
instability (MW or Crouch instability), counter-rotating pairs (Bristol et al [110],
2     ; short wave instability (SW Fabre & Jacquin [111]). Any laboratory
b
0 2
or field vortex system is likely to have
or Widnall instability),  2   b   4 ; and
0 embedded perturbations that may be in
ultra-short wave instability (USW, vortex tune with one or many of these modes.
merging),  b   4 . Elliptical instability has now been
0
identified as fundamental, and could
Leweke and Williamson [107] found
clarify the three-dimensional transition of
some instances where short wave
numerous flows such as wakes and
(referred to as TWMS rather than
vortex pairs (Leweke & Williamson
Widnall) instability and elliptic instability
[106]).
corresponds to each other. Moore and
Saffman [108] interpreted helical waves
From a superposition of most unstable
instability as a resonance phenomenon
inertial waves, the resonant helical
and gave a formal extension of Tsai &
modes of Tsai & Widnall [68, 112] in the
Widnall's analysis to a large class of
Rankine vortex core can be formed
non-viscous two-dimensional vortices.
(Eloy & Le Dizes [113]). The maximum
Although Waleffe [109] did not point out
growth rate of the inertial waves yields a
the connection, his analysis permits the
value comparable to that of Tsai &
Tsai-Widnall-Moore-Saffman (TWMS)
804
__________________________________________________________________________________________
Widnall [68] for the resonant helical results on the global deformation of the
waves. This elucidates why the primary perturbation in the early phases
combination of helical waves m = −1 and of the nonlinear regime, and analysis of
m = +1 is the most unstable mode for the merging regions , such as the
the elliptically perturbed Rankine vortex. development of the instability in a
For more realistic vortices, the system similar to that obtained with a
connection between both instabilities is vortex filament method forced with a
not as simple. The application of more weak broadband noise. New generic
sophisticated techniques may be mechanisms could be discovered.
necessary (Eloy & Le Dizes [113], Bayly
et al. [114]) to analyze the elliptical With regards to wake vortex alleviation,
instability for a non-uniform vorticity Savas [26] noted that vortices may be
profile. Secondary instabilities could be forced individually to alter the behavior
possible, but no evidence exists in the of the vortices, individually or as a
framework of unbounded vortices. system. Continuous or pulsing jets in
Clearly, more work needs to be carried vortex cores may be utilized. Another
out to understand the nonlinear alternative could be modulating the
dynamics resulting from the elliptic strength of a vortex by modifying the
instability. force on its originator, such as by either
oscillating or deforming it. It has been
Various classes of instabilities may observed (Jacob et al. [116]) that such
affect a single vortex. The violation of forcing can modify both the counter
the centrifugal Rayleigh stability criteria rotating vortex pair separation and their
leads to the occurrence of the vortex core growth rate. To control the
associated instabilities. Very recently a behavior of the vortex wake, as
new class of long-wave instability has suggested by Savas [26], some
been discovered for arbitrarily small important parameters may be explored.
axial flows, characterized by its viscous Despite a large host of research and
nature and a spatial structure development efforts as well as various
concentrated in the very inner core of inventions and innovations introduced,
the vortex (centre modes, Fabre & all vortex wakes of transport aircraft in
Jacquin [111]). Long-wave cooperative quiescent conditions are decaying
instabilities are now well understood. through a completely passive
However, further theoretical mechanism: the Crow instability (Savas
investigations need to be carried out (Le [26]), although during aircraft take-off
Dizes [115]), i.e.: non-parallel aspects of and landing, the corresponding
the instability which could intervene distances may not comply with
when the wavelength of the perturbation requirements.
is of the same order than the helical
deformation length of the secondary In the light of increased utilization of
vortex around the primary one, weakly winglets as means of both lift
nonlinear and secondary instability enhancement and induced drag
analyses which could provide general alleviation, the oscillations of the winglet
805
__________________________________________________________________________________________
flaps, which are located in the most optimized lift, induced drag and trailing
favorable positions for trailing vortex vortices alleviation.
interference, have been given
considerations in current years. The 7. CONCLUDING REMARKS
oscillations of the winglet flaps lead to a
concentration of turbulent kinetic energy Research associated with the dynamics
in the frequency range of dominant and structure of vortices and particularly
inherent instabilities for both symmetrical those associated with aircraft wake
and asymmetrical flap deflections. vortices, addressing wake vortex
Although the oscillations with stability and other unsteady properties of
asymmetrically deflected flaps show aircraft wakes systems, have developed
lower amplifications in comparison to the remarkably in the past fifty years spurred
symmetrical case, their effects are still by ever impressive aircraft technology
favorable as the overall lift and side progress, and has motivated inventors to
force as well as the pitching moment is patent devices and methods for solving
fairly constant over the oscillation period. problems associated with wake vortex
hazard alleviation. Research outcome
With regards to patents, new inventions will significantly benefit public at large in
have benefited from a host of preceding the sense of air traffic control, flight
ones and research work (known as prior frequency and flight safety of subsonic
art). These patents have evolved from transport aircraft, as well as airport
methods and systems capitalizing on the safety, among others.
direct destruction of vortices, to Furthermore, research in the laboratory
manipulating vortices through has benefited considerably from
intervention on the production of lift / lift concurrent analytical and numerical
distribution, but keeping the total lift research on the instability of vortex
constant as demanded by flight systems. Passive and active wake
mechanics and control. Their favorable alleviation schemes have been
effects are based on controlling the successfully demonstrated in the
movements of flaps and the utilization of laboratory. The passive alleviation
wing-tip attached devices, and to systems exploit the natural evolution of
updating these techniques with the vortex instabilities while the active
advances in novel high lift-drag systems rely on speeding up selected
reduction devices. Recent ones instabilities by forcing the vortices
introduced smart material technology individually or as a system.
utilization. One may conjecture that In the discussion that have been
other bio-inspired and smart type presented, some derivation and use of
devices may be introduced for trailing relatively compact theoretical
vortex alleviation, such as compliant formulations and concepts are included.
surfaces. The introduction of high lift Experience with lift-generated wakes
devices could be integrated with such has shown that they are so complex that
wake alleviation objectives: higher/ requires application of a combined
theoretical and experimental research
806
__________________________________________________________________________________________
results evaluation, because either alone conjunction, several patents have been
often leads to incorrect conclusions. The selected and elaborated to certain
primary purpose of most research fundamental and practical extent, and
described has been to find a way to have been discussed in the light of the
reduce the hazard potential of lift- state of knowledge contributed by
generated vortices shed by subsonic various research discussed.
transport aircraft in the vicinity of airports Winglets are well known and applied for
during landing and takeoff operations. reducing wingtip vortices introduced by
The information presented points out to the swirling airflows formed by the
the fact that the characteristics of lift- difference between the pressure on the
generated vortices are related to the upper surface of an aircraft's wing and
aerodynamic shapes that produce them that on the lower surface. Further
and that various arrangements of inventions such as blended or capped
surfaces can be used to produce quite winglet and spiroid-tipped wing have
different vortex structures. been described following the inventors
Some detailed results of the properties claims, and discussed in the light of
of the wake near field and extended enhanced lift prospects as well as their
near field are discussed addressing forthcoming applications.
typical length and time scales and Wake alleviation devices have been
especially turbulence quantities. patented, some capitalize on the
Characteristic quantities are given for destruction of the trailing vortex structure
the short and long wave instabilities in reasonable distances downstream the
associated with vortex merging and aircraft wake system, some have
wakes consisting of two and four trailing addressed the utilization of vortex
vortices. A non-dimensional frequency energy, and some others have taken
parameter is introduced to classify the advantage of the instability properties of
main instability types. Means for wake the aircraft trailing vortices using passive
vortex alleviation are described aimed at and active means. Assessments of
influencing the wake vortex turbulence some of these patents by third party, not
field or triggering and amplifying the only to verify the inventors’ claim, but
inherent instabilities. The methods more significantly, to further our state of
discussed include passive means such knowledge, seems to be not only useful,
as the effects of spoilers, differential flap but mandatory.
setting and active means using
oscillating flaps or auxiliary devices. ACKNOWLEDGEMENTS
Associated with the progress in research
and our knowledge of vortex systems, The present work is carried out under
various systems, methods and devices Universiti Putra Malaysia RUGS
have been invented and patented taking Research scheme No. 91933, which is
into considerations the state of gratefully acknowledged. The author
knowledge and ingeniously offer would also like to thank Universitas Al-
solutions for aircraft wake alleviation and Azhar Indonesia for leave of absence to
other related subjects. In this carry out research work at Universiti
807
__________________________________________________________________________________________
Putra Malaysia. The author [8]. Djojodihardjo, R.H, Combined Scalar

acknowledged the assistance of and Vector Velocity Potential for
Mr.M.F.Abdul Hamid of Universiti Putra Unsteady Aerodynamics in Acousto-
Aeroelasticity, 27th International
Malaysia for preparing some figures. Congress of the Aeronautical Sciences,
Nice, 2009.
CONFLICT OF INTEREST [9]. Kroo, I., Nonplanar Wing Concepts, For
Increased Aircraft Efficiency, VKI
No conflict of interest can be reported. Lecture Series On Innovative
Configurations And Advanced Concepts
For Future Civil Aircraft, June 6-10,
REFERENCES 2005
[10]. Liebeck, R.H., Design Of The Blended-
[1]. Batchelor, G.K., Introduction to Fluid Wing-Body Subsonic Transport, Wright
Dynamics, Cambridge University Press, Brothers Lecture, ICAS Award For
paperback edition, Cambridge 2000 Innovation In Aeronautics, ICAS-2006-
[2]. Anderson, Jr., J.D., .Fundamentals of 0.7, Hamburg, 2006
Aerodynamics, 3rd Ed., McGraw-Hill [11]. http://www.nasa.gov/centers/dryden/new
Higher Education, New York 2001 s/FactSheets/FS-090-DFRC.html, accessed
[3]. Lanchester, F.W. Aerodynamics. 23 April 2011.
Constable & Co., London 1907; also, [12]. http://web.mit.edu/aeroastro/news/magaz
Anderson, Jr., J.D., A history of ine/aeroastro-no4/silentaircraft.html,
aerodynamics and its impact on flying accessed 23 April 2011.
machines, Cambridge University Press, [13]. Whitcomb, R.T., A Design Approach
Cambridge 1997, ISBN 0521 And Selected Wind-Tunnel Results At
669553; von Karman, Theodore, High Subsonic Mounted Speeds For
Aerodynamics: Selected Topics in the Winglets Wing-Tip, NASA-Report- TN
Light of Their Historical Development. D-8260, 1976,
McGraw-Hill Dover Publications. [14]. Szodruch, C., Climate Research and
ISBN 0486434850. OCLC 53900531, New Aircraft Technologies-ICAS PC
York 2004 Workshop Presentation 009,
[4]. Prandtl, L, and Tietjens, Amsterdam, 1999.
O,K,G.,(L.Rosenhead, translator), [15]. Vicroy D, Brandon J, Greene G, Rivers
Fundamentals of Hydro- and R, Shah G, et al., Characterizing the
Aeromechanics, Mc-Graw-Hill Book hazard of a wake vortex encounter.
Co., New York 1938. AIAA Paper 97–0055, 1997.
[5]. Talay, TA. Introduction to the [16]. Widnall, S.E., The Structure And
aerodynamics of flight, NASA SP-367, Dynamics Of Vortex Filaments, Annu.
Langley Research Center, National Rev. Fluid Mech., 7; 141-165, 1975.
Aeronautics and Space Administration, [17]. Jacob, J.D., Experimental Investigation
Washington 1975 of the Trailing Vortex Wake of
[6]. Shafer, D., Pembridge, J. and Reilly, Rectangular Airfoils, PhD Thesis,
M., Winglet, ppt presentation, 17 University of California at Berkeley,
February 2009, www.aoe.vt.edu/ May 1995
~mason/Mason, accessed 11 January [18]. Spalart, P.R., Aircraft Trailing Vortices,
2011. Annu. Rev. Fluid Mech. 30:107–38,
[7]. Djojodihardjo, R.H. and Widnall, S.E. 1998.
A Numerical Method for the Calculation [19]. Rossow, V.J., Lift-generated vortex
of Nonlinear Unsteady Potential Flow wakes of subsonic transport aircraft,
Problems, AIAA J. 7 No.10, October Prgr.Aero.Sci. 35, pp 507-660, 1999.
1969
808
__________________________________________________________________________________________
[20]. Cottet, G.-H., Sbalarini, I., Mueller, S. 757_tech/

and Koumoutsakos, P., Optimization of boeing/aero_14_vortices.htm, accessed
Trailing vortex destruction by evolution 25 January 2011.
strategies, Center for Turbulence [32]. Crouch, Jeffrey D. and Spalart, Philippe
Research Proceedings of the Summer R., Active system for early destruction
Program, 2000. of trailing vortices, US 6082679, (2000).
[21]. Jacquin, L., Fabre, D., Geoffrey, P. and [33]. Huenecke K.., Structure of a transport
Coustols, E., The properties of a aircraft- type near field wake, .In:
transport aircraft wake in the extended Proceedings of the characterization
near-field, AIAA paper No. 2001-1038, and modification of wakes from lifting
2001. vehicles in fluids, AGARD-CP-584; p.5-
[22]. Kroo,I, Drag Due To Lift- Concepts for 1–5-9, 1996.
Prediction and Reduction-Annu.Rev [34]. Kraft Jr., C.C., Flight measurements of
Fluid Mech., 33, 587-617, 2001. the velocity distribution and persistence
[23]. Steijl, R. and. Hoeijmakers, H.W.M , of the trailing vortices of an aircraft.
High-resolution simulations of Crow and NACA TN 3377, March 1955.
Widnall instabilities in a vortex pair, [35]. Rose R, Dee, F.W., Aircraft vortex
AIAA-20Q1-1033, 2001 wakes and their effects on aircraft.
[24]. Jacquin, L., Fabre, D., Sipp, D., Tech. Note No. Aero. 2934, British
Theofilis, V and Vollmers, H., Instability Royal Aircraft Establishment, December
and Unsteadiness of aircraft wake 1963.
vortices, Aerospace Science and [36]. Robinson, G.H.and Larson, R.R., A
Technology 7, pp 77-93, 2003. flight evaluation of methods for
[25]. Jacquin, L., Aircraft trailing vortices: an predicting vortex wake effects on trailing
introduction /Tourbillons de sillages aircraft. NASA TN D-6904, November
d’avions, C. R. Physique 6 (2005) 395– 1972.
398, [37]. Westmore J.W. and Reeder, J.P.,
http://france.elsevier.com/direct/COMREN Aircraft vortex wakes in relation to
/, accessed 11 January 2011. terminal operations. NASA TN D-1777,
[26]. Savas, O., Experimental investigations April 1963.
on wake vortices and their alleviation, [38]. Zwieback, E.L., Trailing vortices of jet
C.R.Physique, 2005. transport aircraft during takeoff and
[27]. Crouch, J., Aircraft trailing vortices and landing. AIAA J Aircraft;1(5):308-10,
their control, C. R. Physique 6, 487– 1964.
499, 2005. [39]. Andrews, W.H., Robinson GH, Larson
[28]. Breitsamter, C., Wake vortex RR. Aircraft Response to the Wing
characteristics of transport aircraft, in Trailing Vortices Generated by Large
press, Prog.Aro.Sci., 2010. Jet Transports. NASA Aircraft Safety
[29]. Breitsamter, C., Bellastrada, C. and and Operating Problems, vol. I, NASA
Laschka, B., Investigations on the SP-270, p. 115-26, May 1971.
turbulent wake vortex flow of large [40]. Wood, W.D., editor. FAA/NASA
transport aircraft, Paper ICAS 382, Proceedings Workshop on Wake Vortex
ICAS Congress, Toronto, 2002 Alleviation and Avoidance, Report No.
[30]. Allen, A, and Breitsamter, C., FAA-RD-79-105, U.S. Dept. of
Experimental investigation of counter- Transportation, November 28-29p. 1-1
rotating four vortex aircraft wake, to 1-42, 1978.
Aerospace Science and Technology 13 [41]. Gessow, A., editor. NASA Symposium
, 2009, pp 114–129. on Wake Vortex Minimization. NASA
[31]. Boeing 757 Boeing Aero Magazine, SP-409, 1976.
Airplane Trailing Vortices, APRIL 2001, [42]. Hallock, J.N., editor. Proceedings of the
http://biggles-software.com/ software/ Aircraft Wake Vortices Conference.
809
__________________________________________________________________________________________
Report No. FAA-RD-77-68, U.S. Dept. Goldburg, M. Rogers (Eds.), Aircraft

of Transportation, March 15}17, 1977. Wake Turbulence and Its Detection,
[43]. Hallock, J.N., editor. Proceedings of the 1976.
Aircraft Wake Vortices Conference } vol. [53]. Lamb, Sir Horace. Hydrodynamics, 6th
1 and 2, U.S. Dept. of Transportation, ed. Dover, New York 1945.
Federal Aviation Admin., DOT/FAA/SD- [54]. Squire HB. The growth of a vortex in
92/1.1, DOT-VNTSC-FAA-92-7.1, turbulent flow. Aeronaut Quart 1965;XVI
Washington, DC, October 29}31, 1991. (Part 3):302}6.
[44]. Meier, G.E.A.. Chairman, AGARD 78th [55]. Hoffman, E.R. and Joubert, P.N.,
Fluid Dynamics Panel Symposium on Turbulent line vortices. J Fluid Mech.;16
The Characterization and Modification (Part 3):395-411, 1963.
of Wakes From Lifting Vehicles in [56]. Vatistas, G.H, Lin, S, Kwok, C.K.
Fluids, Conference Proceedings 584, Theoretical and experimental studies on
Trondheim, Norway, 20}23 May 1996. vortex chamber flows. AIAA J;
[45]. Elsayed, Omer A., Asrar, Waqar, Omar, 24(4):635-642, 1986.
Ashraf and Kwon, Kijung, Span Load [57]. Dacles-Mariani, Jennifer; Rogers,
Modification Via Differential Spoiler Stuart; Kwak, Dochan; Zilliac, Greg;
Setting, American Institute of Chow, Jim , A computational study of
Aeronautical and Astronautic, Journal of wingtip vortex flowfield, AIAA PAPER
Aircraft, Vol. 47, No. 5, pp 1728-1738, 93-3010, AIAA, Fluid Dynamics
Oct. 2010 Conference, 24th, Orlando, FL, United
[46]. John A. Volpe National Transportation States July 6-9, 1993.
System Center, [58]. Crow, S.C., "Stability Theory for a Pair
http://www.volpe.dot.gov/, accessed 16 of Trailing Vortices," AIAA Journal, vol.
April 2011. 8, No. 12, pp. 2172-2179. Dec. 1970
[47]. NASA Flight Research Center 1974, [59]. Widnall, S.E., Bliss, D. and Zalay, A.,
http://www.thelivingmoon.com/ Theoretical and experimental study of
45jack_files /03files the stability of a vortex pair. In J.H.
/Chemtrails_001.html, accessed 29 Olsen, A. Goldburg and M. Rogers,
January 2011. editors, Aircraft wake turbulence and its
[48]. Bristol, R.L., Ortega, J.M., Marcus, P.S., detection. Symposium on Aircraft Wake
Savas, Ö., On cooperative instabilities Turbulence, Seattle, WA, September 1-
of parallel vortex pairs J. Fluid Mech. 3, 1970
517, 331–358, 2004. [60]. Crouch, J. D., Instability and transient
[49]. Donaldson, C.duP. and Bilanin, A. J., growth for two trailing-vortex pairs. J.
"Vortex Wakes of Conventional Fluid Mech. 350, 311-330, 1997.
Aircraft," AGARDograph No. 204, [61]. Crouch, J.D., "Instability and Transient
NATO Advisory Group for Aerospace Growth for Two Trailing-Vortex, 35th
Research and Development, Technical Aerospace Sciences Meeting & Exhibit,
Editing and Reproduction Ltd., London, Reno, Nevada, 6-10. Jan. 1999
1975. [62]. Crouch, J.D., Miller, G.D., Spalart, P.R.,
[50]. Zeman O. Persistence of trailing An Active-Control System for Breakup
vortices: a modeling study, Phys Fluids; of Air- plane Trailing Vortices, AIAA
7(1):135-43, 1995. Journal, Vol. 39, No. 12, pp 2374 ff,
[51]. Corsiglia V.R, Dunham RE. Aircraft 2001.
wake-vortex minimization by use of [63]. Crow, S. C. and Bate, E. R., "Lifespan
flaps. NASA Symposium on Wake of Trailing Vortices in a Turbulent
Vortex Minimization, NASA SP-409, p. Atmosphere," J. Aircraft, vol. 13, No. 7,
305-338, 1976. pp. 476-482. Jul. 1976
[52]. Corsiglia, V.R., Jacobsen, R.A. and [64]. Bilanin, A. J. & Widnall, S. E., Aircraft
Chigier, N.A. in: J.H. Olsen, A. Wake Dissipation By Sinusoidal
810
__________________________________________________________________________________________
Instability and Vortex Breakdown, AIAA end-effect, :, “Principles of Wake Vortex

Paper No. 73-107, 1973. Alleviation Devices”, DLR, Goetingen,
[65]. Rennich, S. C. & Lele S. K., A method Germany, WakeNet2-Europe WG7
for accelerating the destruction of Workshop Workshop held at ONERA,
aircraft wake vortices. AIAA Paper 98- Toulouse, France, February 9-10, 2005
0667, 1998. [77]. Czech, M.J., Miller, G.D., Crouch, J.D.
[66]. Lessen M, Singh PJ, Paillet, F., The and Strelets, M., Predicting the near-
stability of a trailing line vortex. Part 1. field evolution of aircraft trailing vortices,
Inviscid theory. Journal of Fluid AIAA Paper No. 2004-2149, 2004.
Mechanics; 63(4):753–63, 1974. [78]. Holbrook, G. T.; Dunham, D. M.;
[67]. Lessen M, Paillet F. The stability of a Greene, G. C, Vortex wake alleviation
trailing line vortex. Part 2. Viscous studies with a variable twist wing, NASA
theory. Journal of Fluid Mechanics; NASA-TP-2442, 1985.
65(4):769–79, 1974. [79]. Jacobsen, R. A.; Short, B. J., A flight
[68]. Tsai, C. Y. & Widnall, S. E., The stability investigation of the wake turbulence
of short waves on a straight vortex alleviation resulting from a flap
filament in a weak externally imposed configuration change on a B-747 aircraft,
strain field. J. Fluid Mech. 73, 721-733, NASA-TM-73263, 1977
I976. [80]. Kroo, Ilan; Smith, Stephen , The
[69]. Crouch, J., Aircraft trailing vortices and
computation of induced drag with
their control, C. R. Physique 6, 487–
nonplanar and deformed wakes, Stanford
499, 2005.
Univ., Nonlinear Aerodynamics and the
[70]. Fabre, D., Jacquin, L. and Loof, A.,
Design of Wing Tips 9 p , SEE N91-
Optimal perturbations in a four-vortex
24105 16-02, 1991.
aircraft wake in counter-rotating
[81]. Brown, Garry L. and Nosenchuck,
configuration, J. Fluid Mech. 451, 319–
Daniel M., Lifting body with reduced-
328, 2002.
strength trailing vortices, US5492289
[71]. Ragab, S. and Sreedhar, M, Numerical
(1996).
simulation of vortices with axial velocity
deficits, Phys. Fluids 7, 549–558, 1995. [82]. Gerhardt, H.A., Wingtip vortex impeller
[72]. Ortega, J., Ö. Savas, Rapidly growing device for reducing drag and vortex
instability mode in trailing multiple- cancellation, US Patent 591883 (1999).
vortex wakes, AIAA J. 39, 750–754, [83]. Bilanin, A.J. & Quackenbush, T.R.,
2001. System and method of vortex wake
[73]. Durston, D.A., S.M. Walker, D.M. control using vortex leveraging,
Driver, S.C. Smith, and Ö. Savas, Wake US6042059 (2000).
vortex alleviation flow field studies, [84]. Quackenbush, T.R., A.J. Bilanin, P.F.
AIAA Paper No. 2004-1073, 2004. Batcho, R.M. McKillip Jr., B.F.
[74]. Fjørtoft, R., On the Frontogenesis and Carpenter, in: J.M. Sater (Ed.),
Cyclogenesis in the Atmosphere. P.1. Proceedings of the SPIE, vol. 3044, The
On the Stability of the Stationary International Society for Optical
Circular Vortex, Geofysiske Engineering, pp. 134–146, 1997.
Publikasjoner 17 (6) 2–52, 1950. [85]. Quackenbush, T.R., P.F. Batcho, A.J.
[75]. Ludwieg, H., Stability of fluid flow in a Bilanin, B.F. and Carpenter, in: J.M.
cylindrical annulus Transl. into Sater (Ed.), Proceedings of the SPIE,
ENGLISH from Z. fuer Flugwiss. (West vol. 3326, The International Society for
Germany), v. 8, no. 5, May 1960 p 135- Optical Engineering, pp. 1259–1271,
140 1998.
[76]. Vollmers, H and Bao, F., Investigation [86]. Greenblatt, D., Trailing Vortex
on 4 Vortex system with respect to Management via Boundary Layer
vortex alleviation and consideration of
811
__________________________________________________________________________________________
Separation Control, US Patent Wings,” Journal of the Aeronautical

2005/0103944A (2005). Sciences, pp. 21-32, January 1951.
[87]. Loth, John L., Vorticity Cancellation at [99]. Bennett, D., The Wing Grid: A New
Trailing Edge for Induced Drag Approach to Reducing Induced Drag,
Elimination, US7134631 (2006). Final Report, MIT Course 16.622 Fall
[88]. Eaton, J.K. and Matalanis, C., 2001, Advisers: Eugene Covert Partner:
Translating Active Gurney Flap to Todd Oliver, December 2001
Alleviate Aircraft Wake Vortex Hazard, [100]. La Roche, Ulrich, WING-GRID, a Novel
US Patent 7,740,206 B2 (2010). Device for Reduction of Induced Drag
[89]. Delaplace, F. Method and devices for on Wings, Fluid Mechanics Laboratory
reducing the wake vortices of an aircraft HTL Brugg-Windisch, CH-5200,
in the approach/landing phase. Switzerland, 1996.
US7850125 B2 (2010). [101]. Heller, G., Kreuzer, P. and Dirmeier, S.,
[90]. Sauvinet, F. Method and device for Development and Integration of A New
generating an optimum aerodynamic High Performance Wingtip Device for
configuration of an aircraft during a Transonic Aircraft, Paper ICAS 122.1,
flight. US2010/0219298 A1 (2010) ICAS Congress, Toronto, 2002.
[91]. Lewis, Michael S.; Meseroke, Jere S., [102]. Reckzeh, D., Schlipf, B., Andreani, L.
Dunn, Michael J., Tillotson, Brian J., and Sutelife, M. Advanced trailing edge
Systems and methods for tracing control surface on the wing of an
aircraft vortices. US2010/0133384 A1 aircraft. US2010/0006707 A1 (2010)
(2010) [103]. Alford, Jr., Lionel D. and Clayman, Jr.,
[92]. de Mattos, B.S., Macedo, A.P, da Silva. Gary J., Blended winglet - US Patent
Filho, , D.H, Considerations about 7644892, Issued on January 12, 2010,
Winglet Design, AIAA 2003-3502, 21st [104]. Garang, Philippe. Winglet.
Applied Aerodynamics Conference, US2010/0155541 A1 ( 2010)
Orlando, Florida, 23-26 June 2003. [105]. Saffman-Vortex Dynamics, Cambridge
[93]. Anonymous, Blended Winglets and Spiroid University Press, 1992.
Technology, [106]. Leweke, T., and Williamson, C.H.K.,
http://www.aviationpartners.com. Cooperative elliptic instability of a vortex
Retrieved September 25, 2009. pair, J.Fluid Mech., vol. 360, pp. 85-
[94]. Kroo, Ilan ; McMasters, John and Smith, 119, 1998.
Stephen C., Highly Nonplanar Lifting [107]. Ryan, K., S.V. and Thompson, M.C.,
Systems, Transportation Beyond 2000: Short Wave Instabilities Of Counter-
Technologies Needed for Engineering Rotating Batchelor Vortex Pairs, Fifth
Design, September 26-28, 1995, International Conference on CFD in the
http://ntrs.nasa.gov/ Process Industries, CSIRO, Melbourne,
archive/nasa/casi.ntrs.nasa.gov/ Australia, 13-15 December 2006
19960023622_1996039477.pdf, accessed [108]. Moore, D. W. and Saffman, P. G. , The
3 January 2011 Instability of a Straight Vortex Filament

[95]. Gratzer, L.B., Spiroid-tipped wing, in a Strain Field, Proceedings of the
US5102068 (1992). Royal Society of London. Series A,
[96]. La Roche, U., Wing with a Wing Grid as Mathematical and Physical Sciences,
the End Section, US5823480 (1998). Vol. 346, No. 1646, 1975.
[97]. Wikipedia Flight Feather, [109]. Waleffe, F., The 3D Instability of
http://en.wikipedia.org Strained Vortex and its Relation to

/wiki/Flight_feather, assessed 16 April Turbulence, PhD Thesis,
2011 Massachusetts Institute of Technology,
[98]. Spreiter, J. R. and Sacks, A. H., “The Cambridge, Massachusetts, July 1989.
Rolling Up of the Trailing Vortex Sheet [110]. Bristol, R.L. , Ortega, J.M. , Marcus,
and Its Effect on the Downwash Behind P.S. and Savas, Ö. , On cooperative
812
__________________________________________________________________________________________
instabilities of parallel vortex pairs, J.

Fluid Mech. 517, 331–358, 2004.
[111]. Fabre, D. and Jacquin, L., Viscous
instabilities in trailing vortices at large
swirl numbers, J. Fluid Mech., vol. 500,
pp. 239-162, 2004
[112]. Widnall, S.E. and Tsai, C-Y., The
Instability of the Thin Vortex Ring of
Constant Vorticity, Philosophical
Transactions of the Royal Society of
London. Series A, Mathematical and
Physical Sciences, Vol. 287, No. 1344,
pp. 273-305, 1977.
[113]. Eloy, C. and Le Dizes, S., Three-
dimensional instability of Burgers and
Lamb-Oseen vortices in a strain field, J.
Fluid Mech., vol. 378, pp. 145-166,
1999.
[114]. Bayly, B. J., Holm, D. D. & Lifschitz, A.,
Three-dimensional stability of elliptical
vortex columns in external strain flows.
Phil. Trans. R. Soc. Lond. A 354, 895-
926, 1996.
[115]. Le Dizes, S., Brancher, P. , Coustols, E.
, Nybelen, L. and L. Jacquin, L.,
Previous work and present knowledge
on vortex instabilities and decay, AST4-
CT-2005-012238, FAR-Wake,
Fundamental Research on Aircraft
Wake Phenomena, 2005.
[116]. Jacob, J.D., Liepmann, D. and Ö.
Savas, in: Characterization and
Modification of Wakes from Lift:
Vehicles in Fluids, AGARD, CP-584, pp.
27:1–12, 1996.
813
__________________________________________________________________________________________
814
__________________________________________________________________________________________
XXV
RESEARCH, DEVELOPMENT AND RECENT PATENTS ON

AERODYNAMIC SURFACE CIRCULATION CONTROL – A CRITICAL
REVIEW6047
SHORT RUNNING TITLE:
AERODYNAMIC SURFACE CIRCULATION CONTROL
Authors
Harijono Djojodihardjo*1 and Naveeyindren Thangarajah2
* Corresponding Author; 1Professor; 2Faculty Member
Address for Correspondence:
Department of Aerospace Engineering, Universiti Putra Malaysia, 43400 UPM Serdang,
Selangor Darul Ehsan, Malaysia, Tel: +603-8946 6397; Fax: +603-8656 7125; E-mail:
ABSTRACT: The ever increasing demand for better performance of aircraft

aerodynamic performance, from the fundamental understanding of flight, requires
enhanced circulation. Circulation Control and hence its enhancement can be achieved
by surface blowing in the form of Coandă jet and has always been referred to in the
consideration of various flow control methods to enhance aerodynamic performance,
along with continuous, synthetic and pulsed jets, compliant surface, vortex-cell, and the
like. Coandă jet has also been applied in the development of novel aircrafts for short
take off, while another circulation enhancement technique known as Trapped Vortex
Cavity (TVC) is currently being given significant considerations. It is with such
motivation that salient features, progress and development of various techniques in
circulation control is here identified, including some of the recent inventions that have
been registered as patents in this area. The present work reviews the influence,
effectiveness and configuration of airfoil surface blowing of Circulation Enhancement
and Control of aerodynamic surfaces. The crux of the TVC active research is their
4760
Reproduced from Recnt Patents on Mechanical Engineering 2014, 7, 1-37, March 2014
DOI: 10.2174/2212797607666140204004542
815
__________________________________________________________________________________________
stabilization, while Coandă enhanced lift enhancement technique has, to a certain

extent reached a stage that it can be easily implemented with advantage.
Keywords: Aerodynamic Surface Blowing, Coandă Effect, Circulation Control, Drag
Reduction, Lift Augmentation, Trapped Vortex Cell, Wall Blowing
I. INTRODUCTION
Circulation control (CC) as a lift augmentation device is traditionally used on the main
wing of an aircraft (Kweder et al, [1]). A possible practical solution the generation and
control of very high lift coefficients emerged with the discovery of the jet flap, which is
one of the first Circulation Control technology in the aerodynamic resynthesis of the
lifting and propulsive means; the entire propulsive means was introduced as a jet being
ejected in the form of a thin, full span sheet from the trailing edge of the wing.
Independent discoveries were made in various countries like Germany, USA, Great
Britain and France. The first published information was that contained in a paper written
by Hagedorn and Ruden at Hanover in 1938 [2], who noticed an unaccountable
increase in lift at high blowing rates during investigations into boundary layer control on
a flap [3], and could be considered as the first who introduced Circulation Control
technology for early models of fixed wing aircraft which was referred to as “blown flaps”
[1]. Interest in active blowing systems increased with the advent of the turbojet engine,
initially in Great Britain and France with a jet flap configuration. While the addition of
energy near the surface of a lifting body can be used to increase lift, and thus
circulation, by retarding boundary layer separation, most of the high lift applications are
performed on specially designed wings where the addition of high velocity air can be
used to control the boundary layer and to virtually extent the camber and the chord. The
definition of “Circulation Control” is strictly related to the circulation characteristics
around any aerodynamic body and can be controlled or managed with many different
control schemes including airfoil shape and shape change, flaps, ailerons, blowing,
suction, etc. (Jones et al, [4]). Gad-el Haq [5][6] stipulated that the science of flow
control can be traced back to Prandtl [7], who made a breakthrough in the science of
fluid mechanics by introducing the boundary-layer theory and elucidated the physics of
the separation phenomena and the control of the boundary layers. Gad-el Haq [5]
utilization of this scientific method for flow tailoring can be regarded as marking the birth
of the second era of flow control. The utilization of flow control has noticeably increased
in the last decades due to the growth of aircraft and propulsion technologies [Gad-el-
Hak [6]; Englar et al, [8] [9]; Jones and Englar [10]; Lan and Campbell, [11]; Liu, [12] ;
Mamou and Khalid, [13]; Radespiel et al, [14]; Shojaefard et al, [15]; Min et al, [16]. These active
control techniques can appreciably improve the performance of many aerodynamic
components such as airfoils, wings, and bodies. Since the wing areas are sized by the
takeoff and landing conditions, the wing may have approximately twice as large as
required for efficient cruise (Moore, [17]), as well as lower wing loading which is much
more susceptible to turbulence, thus reducing the cruise efficiencies of Transport
Aircrafts
816
__________________________________________________________________________________________
Figure 1: Various types of active and passive method for controlling aerodynamic surface circulation (extended from
C. Werner-Spatz et. al. [18])
. Various methods for enhancing aerodynamic surface control and wing circulation
enhancement have consequently been introduced. These circulation enhancement
methods can be classified as summarized in Figure 1, adapted from R. Radespiel et al
[14] and Werner-Spatz et al [18].
Kweder et al [1] noted that four main benefits have been achieved by using an active
circulation control method on fixed wing aircraft for aerodynamic moment enhancement.
Circulation control requires very small movement, or even non-moving, control surfaces.
Lift augmentation can be achieved independent of the airfoil angle-of-attack, and the jet
turning angle is not limited by physical jet exit angle nor flap deflection angle. In
addition, the jet blowing momentum is very effective in producing high aerodynamic
force augmentation. These benefits make circulation control by surface blowing more
widely potential. Circulation control is a viable active flow control approach that has
been considered to meet the NASA Subsonic Fixed Wing project’s Cruise Efficient
Short Takeoff and Landing goals (Jones et al, [4]). Recent interest in circulation control
(CC) technology has been prompted by the National Aeronautic and Space
Administration (NASA) Cruise Efficient Short Takeoff and Landing (CESTOL) initiative
and the Air Force Research Laboratory (AFRL) Advanced Joint Air Combat System
program. Circulation control (CC) technology initiatives highlight the necessity for
enhanced high-lift systems to meet takeoff and landing objectives that are incorporated
into transonic cruise configurations. Consequently there is a need to optimize the entire
817
__________________________________________________________________________________________
wing and propulsion system with particular attention on aerodynamic system efficiency,
engine out condition safety, and large aerodynamic moments control issues.
With the imperative of green and environmental friendly technologies, as well as
reducing airport noise and pollution from aircraft, there is an increasing interest in
reducing the noise emitted during takeoff and landing. The conventional high-lift
systems, consisting of slats and slotted flaps, are a major contributor of airframe noise.
Active flow control, like trailing edge blowing, produces a gapless high-lift device
capable of generating the high lift coefficients needed for takeoff and landing. Energy
saving can be afforded by utilizing a small fraction of the cold engine flow (about 5%) for
circulation control (CC) blowing. The bleed air is pipelined from the engine to a slot
directly upstream of the flap and thus the flow over the flap can bear large adverse
pressure gradients without separation. Thus a
gapless high-lift device with CC is able to
generate the required lift [19] [20]. The low drag
coefficients during climbing, achievable with
these powered high-lift system, could also allow
the use of new low-noise trajectories, which
would further reduce the noise exposure at
ground level. The absence of slats might allow
laminar flow in cruise flight, thereby reducing the
drag in this flight segment. Even with taking into
account the additional system weight associated
with the bleed air distribution for a gapless high-
lift system, there is a chance of reducing the
total weight of the aircraft and possibly the cost,
hence rendering slats and fowler flaps
redundant.
The flow of a fluid over curved surfaces has

long been studied for a variety of applications [1]. The most prevalent application of
circulation control works by increasing the near surface velocity of the airflow over the
leading edge (LE) and/or trailing edge (TE) of a specially designed aircraft wing using a
series of blowing slots that eject high velocity jets of air [21]. These augmented wings
normally have a rounded trailing edge, and eject the air tangentially, through these slots
inducing the Coandă effect [22]. This phenomenon prolongs boundary layer separation
while increasing circulation around the airfoil and thus increases the lift generated by
the wing surface due to the relaxation of the Kutta condition. Initially, at very low blowing
values, the jet entrains the boundary layer to prevent aft flow separation, and thus is a
very effective form of boundary layer control (BLC) [23]. As blowing levels are
increased, the jet continues to wrap around the Coandă surface causing a rise in the
local static pressure.
This pressure increase, along with viscous shear stress, and centrifugal forces, lead to
jet separation from the rounded TE resulting in a new stagnation point on the lower
surface of the airfoil. The direct effect of altering streamlines and stagnation points
around an airfoil is lift augmentation. In comparison, flaps and slats are effective in
818
__________________________________________________________________________________________
increasing lift, but accompanied with a penalty of increased drag and added hardware.
In this conjunction, a critical performance measure of circulation control by blowing is
the overall aerodynamic performance gain associated with the required added energy.
In this conjunction, the benefit of the CC wing is that no extra drag is created from the
movement of surfaces into the airflow around the wing and the CL is greatly increased.
Rogers [24] elaborates the technical challenges in enhancing the performance of

Subsonic Transport Aircraft, which implies the reduction of drag in addition to enhanced
lift. Experiments on 2D Coandă-fitted airfoil at Georgia Tech are focused on
performance, while NASA experimental data are focused on CFD validation. Of
particular interest are conditions at the jet exit, which will define the boundary conditions
for CFD) and the boundary layer state. The 2D Englar Circulation Control (CC) Airfoil
has been used for benchmarking for Large Eddy Simulation (LES) at NASA with the
objective to investigate improved turbulence models that are capable to correctly predict
separation and lift, and to obtain reliable prediction of the separation location on CC
airfoils. Large Eddy Simulation is utilized to create a database to guide turbulence
model development. This Large Eddy Simulation should be validated against
experimental data acquired for the same configuration. Typical problems and results are
illustrated in Figure 2.
With such background, the objectives of the present paper are four-fold:
1. To elaborate principles and key features of circulation control technology
2. To elaborate salient application principles and key features of circulation control
technology as appropriate for particular geometrical and other physical
characteristics of application
3. To identify research and development progress in circulation control technology in
academics and industries
4. To identify new directions and applications.
Following the work of the author and colleagues (Hamid et al, [25]; Djojodihardjo et al,
[26]; Djojodihardjo et al, [27];
Djojodihardjo et al, [28], the
present work reviews the
applications of Coandă jet
within the framework of
aerodynamic surface
circulation control, and to
identify key principles and
various techniques that have
been applied to take
advantage of Coandă-jet for
aerodynamic performance
enhancement for aircrafts.
With due considerations to
other flow control methods,
the advances in trapped
vortex cavity technologies are
discussed in analyzing the
Figure 3: Schematic of a Body or Airfoil with blown section and control
surfaces
819
__________________________________________________________________________________________
benefits of these two technologies for various applications.

In this conjunction the paper will start with the basic theoretical foundation of circulation
control which facilitates our understanding and interpretation of the principle, CFD
simulation and experimental work associated with it, and followed by research and
development work. Selected recent patents are reviewed and a critical assessment
concludes the paper.
It should be noted, however, that another perspective can be considered from the
point of view of synthetic jets, which has been comprehensively discussed by Glezer
[29]. In addition, with the progress of modern airplanes of larger dimensions and
innovative configurations such as Blended-Wing-Body (BWB) airplanes, and modern
fighters with higher maneuverability and agility, the utilization of thick wings and trapped
vortex cell came into view, and conceived to be beneficial. To overcome the drawback
of thick airfoils due to the high value of their drag coefficient and early flow separation
phenomenon, even for small incidence angles, the use of intense trapped vortex cavity
to force the potentially separated flow to remain attached has been given serious
considerations, such as in the “Vortex Cell 2050” [30], a European funded research
project launched at the end of 2005. The effort is focused on the possibility to control
the flow separation using trapped vortex cavities equipped with a suction system aimed
to stabilize the vortex.
II. BASIC PRINCIPLES AND ANALYSIS OF SURFACE BLOWING
As a basis for airfoil surface blowing, one may start with trailing edge blowing. A high
velocity, tangentially blown air jet remains attached to a convex surface due to the
balance between centrifugal forces and the sub-ambient pressure in the jet sheet. The
trailing edge jet can be directed downward as a “jet-flap” which has been the subject of
a great deal of analysis. For further references, the well known Kutta-Joukowski is re-
derived to apply to these cases. Consider the situation of a self-propelled, 2-D wing in a
uniform, steady flow as depicted in Figure , which has been adapted from Keen [31] and
Jones et al [4], ignoring body forces. Using first principles, the force on this body is
given by (Karamcheti [32]):
F = −  pndc − m j ( u j − U  ) i (1)
C
where p is the pressure, dc is a differential length along a control surface, and m p is the
mass flow rate per unit span.
Knowing the value on the integral over the far-field control surface, the value of the
integral over any surface enclosing the body will also be known, including one which is
right on the body surface. The force expression can be written as (Djojodihardjo et al,
[28]):
F = −  U    ( n  q ) dc − m j ( u j − U  ) i (2)
C
where q is the difference between the total fluid velocity at a point and the freestream
value, n the normal vector to a surface element dc (two-dimensional equivalence), and
 encloses the aerodynamic body. It can be shown (Keen, [31]; Djojodihardjo et al
C
[26]) that the total force on the body can then be written as:
820
__________________________________________________________________________________________
( ) (
F = U   without − jet k + U  u j y sin  k − m j u j − U  i ) (3)
Here i and k are the unit vectors in the direction of and perpendicular to U,
respectively. Lanchester, Kutta, and Joukowski laid the foundation for a quantitative
theory relating the lift to an infinite wing through the integration of the velocity field along
a streamline.
 =  V dL (4)
where lift is
Lift = L = U  (5)
Equation (3) is the modified Kutta-Joukowski theorem for an airfoil with additional
blowing. The addition of surface blowing at the trailing edge modifies the original (or
baseline) circulation, and due to the nature of the resulting jet, produces a net thrust. To
justify the results of Coandă-jet study and to give a physical explanation of the effect of
Coandă-jet, one may attempt to carry out simple calculation using similar first principle
and Kutta-Joukowski law for potential flow. Using Kutta-Joukowski law and considering
Coandă-jet contribution to the lift, Djojodihardjo et al [26, 27, 28] arrive at the formula:
F =  U  original + VCoanda − jet (VCoanda − jet hCoanda − jet ) k (6)
 
where hCoanda − jet is the moment arm of the Coandă-jet with respect to the airfoil
aerodynamic center. Γ is now the total modified circulation of the wing-surface blowing
system, and the second term describes the reaction lift due to the jet. In the above
equation, δ denotes the width of the jet. A derivation carried out by Siestrunck [33]
comes to an analogous expression:
F = U  total k +  pCoanda − jet + VCoanda
2 
− jet  i
 (7)
where Γ is now the total modified circulation of the wing-surface blowing system, and
the second term describes the reaction lift due to the jet. In the above equation, δ
denotes the width of the jet.
Circulation control wing (CCW) technology is known to be beneficial in increasing the
bound circulation and hence the sectional lift coefficient of airfoil. Circulation control is
implemented by tangentially blowing a small high-velocity jet over a highly curved
surface, such as a rounded trailing edge. This causes the boundary layer and the jet
sheet to remain attached along the curved surface due to the Coandă effect (a balance
of the pressure and centrifugal forces) and causing the jet to turn without separation.
The rear stagnation point location moves toward the lower airfoil surface, producing
additional increase in circulation around the entire airfoil. The outer irrotational flow is
also turned substantially, leading to high value of lift coefficient comparable to that
achievable from conventional high lift systems. These techniques are depicted in
Figures 4 and 5, illustrating trailing edge and leading edge blowing, respectively. The
ability of circulation control technology to produce large values of lift is also
advantageous for wind turbine design since any increase in the magnitude of the lift
force (while keeping drag small, and L/D high) will immediately contribute to a
corresponding increase in induced thrust and torque. Harris [34] also proved that the 96
degrees arc corner at the trailing edge produces more deflection than corners with the
821
__________________________________________________________________________________________
same radius and with a greater arc length at higher jet thrusts at the same Coandă jet
momentum.
The Coandă-effect works best when the slot height is about 1% to 5% of the curved
surface radius and the slot height is between 1 and 2 per mil of the chord length
[20][39]. Profiles with trailing edge blowing using Coandă principle can generate high lift
coefficients. A high velocity, tangentially blown air jet remains attached to a convex
surface due to the balance between centrifugal forces and the sub-ambient pressure in
the jet sheet.
Figure 4: Coandă-jet configuration (adaptation from Figure 5: Dual Radius Circulation Controlled Wing (CCW) Airfoil
[9] and [38]) with LE Blowing (Englar [35-38])
The driving and critical parameter parameter for the Coandă-effect is the dimensionless
momentum coefficient Cμ of the jet, associated with the second term of equation (3),
which can be defined as follows:
C =
(
VCoanda − jet VCoanda − jet hCoanda − jet ) V
Coanda − jet mCoanda − jet
(8)
1 1
V2 S V2 S
2 2
It is important to notice that the increase of the lift coefficient is much higher than the
dimensionless momentum coefficient used. The augmentation can be as large as eighty
times the applied Cμ [39] [40] [41]. So the lift gain is due to flow separation control and
supercirculation and does not arise because the momentum of the jet is directed
downwards [41].
III. HISTORICAL DEVELOPMENT OF COANDĂ TECHNIQUE
In the early 1900’s, Coandă [42] and Coandă and France [43] conducted experiments
with unusual mounted engine in front of an aircraft, and discovered a strange
phenomenon that the hot airflow from the engine nozzle was attracted to nearby
surfaces (aircraft fuselage). This Coandă engine was an experimental plane powered by
a ducted fan. For this discovery and patent, Coandă referred it as “Method and
apparatus for the deviation of a fluid into another fluid”. This invention was further
discussed by the leading aerodynamicist during that time, Theodore von Karman named
it as Coandă effect. Sometimes in 1920’s, another inventor, Willard Custer, took shelter
in a barn during a hurricane, when suddenly, the roof of the barn was blown away
(“lifted-off”) and soared through the air. This event led him to realize, that what
happened was due to the notion that the pressure forces acting on the upper surface of
822
__________________________________________________________________________________________
the barn roof was much lower than the lower surface, just like an aircraft wing.
(a) (b)
(c)
Figure 6: (a) and (b) Custer Channel-Wing Anonymous, aircraft (Liska, [44] [45] ;
Englar and Campbell, [46]); (c) Antonov Izdeliye 181, experimental channel wing
aircraft, at the State Aviation Museum, Zhuliany Airport, Kiev, Ukraine 61.
He construed that the lift is “due to the speed of air, not the airspeed” (Liska, [44][45]).
Custer’s novel design of the aircraft features a half circular wing aircraft to place the
propeller so that the upper surface of that part of the wing can take advantage of the
speed of air from the propeller, as shown in Figure 6, exhibiting such principle.
Although the design failed to be commercialized due to prevailing circumstances,
Custer channel-wing concept proved that the Coandă effect takes place since the flow
entrained to the top of the wing surface increases the overall circulation as well as the
lift forces (Englar [35]; Englar and Campbell, [46]). As exhibited in Figure 6 (c), a new
initiative has taken place in Ukraine to experiment on the channel wing aircraft. In 1952,
another attempt to design a Coandă effect aircraft was proposed by John Carver
Meadows Frost, a British aircraft designer, who was given an initial funding by Avro
Canada and the Canadian government to start on a project to design a vertical takeoff
landing (VTOL) aircraft, called “Avrocar”. Frost believed that the Coandă effect is able to
provide a powerful ground cushion that could have both the VTOL and high
performance aircraft capabilities. After a remarkable breakthrough, in 1954 the United
States Air Force and later the United States Army agreed to continue funding the project
(Pugliese and Englar, [47]; Englar et al [48]; Englar and Huson [49]; Englar [50]; Englar
[51]; Rose and Butler, [52]). However, the project was officially stopped in 1961 due to
financial problem and other technical factors [52]. The noteworthy capabilities of the
Coandă effect were also implemented on many other aircraft such as Boeing YC-14 and
C-17 Globemaster III, Antonov An-72 Coaler, McDonnel Douglas YC-15, and the No-
Tail-Rotor (NOTAR) helicopter (with a Coandă effect tail). In addition, the applications
were further used in other areas such as in marine technology, automotive industry, air
conditioning system, medicine (as a ventilator), and meteorology.
The Coandă effect takes part when there are jet flows over a rounding or curved
surface. The jet flow will be entrained to the nearby surface due to the balance of the
radial pressure gradient and centrifugal forces. The flow direction will change without
separation, and in case of airfoil, producing an additional increase in circulation, which
61
http://www.geolocation.ws/v/W/File%3AAntonov%20Izdeliye%20181.jpg/-/en, accessed 25 December 2013.
823
__________________________________________________________________________________________
will then substantially turned the outer irrotational flow, giving extra lift comparable to
that of conventional system. In 1979, the US Navy sponsored a full-scale flight test
program on an A-6/CCW STOL demonstrator to improve the fixed wing aircraft
operation on carriers [49]. However, the full application of the CC or Coandă configured
airfoil design has some disadvantage, particularly in the drag penalty. Englar et al [50]
has carried out some research to reduce the drag associated with the CC or Coandă
configured airfoil using a smaller cylinder TE and hinged flap. The result shows that, the
CL values could increase around 120% higher than a conventional Fowler flap, or a
140% increase in the usable lift coefficient at take-off/approach angles of attack, by only
using available bleed air from the engines (Englar et al, [48]; Englar and Huson, [49];
Englar, [51]). New approach on circulation control by Zha and Paxton [53] has shown
that another Coandă-jet related configuration, i.e. the co-flow jet airfoil configurations, is
able to enhance the lift and reduce the drag not only at certain flight condition but for the
whole flight mission. Coandă-jet has also been utilized for improving the aerodynamic
characteristics, performance, economics, handling and safety of heavy vehicles (Englar,
[50][51][54]). In their drag reduction study on a motor vehicle (car – 2D study), Geropp
and Odenthal [55] show that activation of the Coandă effect flow control has a great
potential to overcome the separation from the turbulent vortex structures (drag)
downstream of the vehicle. Circulation control has been implemented in various
applications since its inception. Among these applications that have been studied in the
past are high lift fixed wing aircraft, vertical/short takeoff and landing aircraft (V/STOL),
and anti-torque systems for rotorcraft. West Virginia University (WVU), was among
those who conducted a study on two circulation controlled cambered airfoils, for fixed
wing aircraft applications.
Two models were developed to prove that the addition of a high velocity jet of air
ejected tangentially around the airfoil would produce a greater lifting force on the airfoil
[1] due to the Kutta-Joukowski theorem, as modified in Equation (4). Their work allowed
for the creation of a non-dimensional relationship to be established between ejection
slot height, airfoil chord, and trailing edge radius. This information became important in
choosing an airfoil profile for CC applications, as there was a region where the Coandă
operation was most effective, as postulated by Englar and illustrated in Figure 7 [1]. The
airfoils which were designed to fall within the shaded region would be able to take more
advantage of the benefits of the CC technology than ones which fell outside of this
region. In 1976, the inaugural CC flight demonstrator was built and flown at WVU. The
pioneer plane was equipped with a retractable Coandă surface on the TE of the aircraft,
as shown in Figure 8 [56]. It was found that CC flap deployment increases the wing
chord by 20% for increased performance with blowing. The flap is articulated with a bell
crank but is not rigidly connected to the piano hinge at the sharp TE. Its sliding
connection allows the rounded TE to thermally expand up to ½” when the hot gas bleed
air is routed from the auxiliary turbine situated in the rear seat of the aircraft. The flight
test of this aircraft produced lift augmentation increases of the local CL value from 2.1 to
5.3 with a Cμ of 0.12.
With regards to the large rounded trailing edge (TE) on the early Circulation Control
Wing (CCW) designs, high drag penalty in case the jet is turned off may result.
Tongchitpakdee [57] countered that issue by designing the airfoil TE lower surface as a
flat surface, while keeping the upper surface highly curved to produce a large jet turning
824
__________________________________________________________________________________________
angle, leading to high lift. The forward rotation of the lift vector contributes to the
generation of power from wind turbines, and any increase in the magnitude of the lift
force (while keeping drag small, and L/D high) will immediately contribute to a
corresponding increase in induced thrust and torque (Tongchitpakdee et al, [58]).
If there is some power consumed in the generation of the jet, there should be a net
positive increase in power generated for this concept to be attractive and potential for
increasing wind turbines power generation. Although a crude estimate can readily be
made to take into account the power consumed in generating the Coandă-jet, the
present study only addresses the aerodynamic aspects of this problem
Figure 7: Englar's Original Hypothesis of the Region of Most Effective Coandă

Operation [1] [11].
Figure 8 : Trailing Edge Coandă Surface Extended Figure 9: Schematic of Trailing Edge Coandă Configuration
From WVU Flight Demonstrator [56]. of WVU Flight Demonstrator [56].
. Circulation Control Wing (CCW) technology for increasing the bound circulation and
hence the sectional lift coefficient of the airfoil has been extensively investigated both
825
__________________________________________________________________________________________
experimentally and numerically over many years. One of the well-known techniques in
implementing circulation control is by tangentially blowing a small high velocity jet over a
highly curved surface, in particular over a rounded TE, which will produce early flow
separation otherwise. Using such technique, the boundary layer and the jet sheet will
remain attached along the curved surface due to what is known as the Coandă effect
thus causing the jet to turn without separation. Consequently, the rear stagnation point
will move rearward toward the lower airfoil surface. This flow change will then produce
an additional increase in circulation around the entire airfoil. Looking into the outer
irrotational flow, through the action of the boundary layer, the outer flow will also turned
accordingly, producing higher value of lift coefficient comparable to that achieved from
conventional high lift systems. Tongchitpakdee et al [57] and Tongchitpakdee [58]
observed that early Circulation Controlled Wing designs typically had a large-radius
rounded TE to maximize the lift benefit. However, such favorable effect will be
accompanied by higher drag penalty when the Coandă jet is not activated.
Tongchitpakdee [58] also pointed out that to reduce such penalty one can make the
lower surface of the airfoil TE a flat surface, while maintaining the upper surface in the
vicinity of the TE highly curved, since such geometry will produce a large Coandă jet
turning angle, hence higher lift. Circulation control technology to produce large values of
lift advantageous for wind turbine design while keeping drag small (and L/D high) will
immediately contribute to a corresponding increase in induced thrust and torque.
Numerical simulation carried out by Tongchitpakdee [58] looked into two approaches of
introducing Coandă-jet, i.e., at the leading edge and at the trailing edge, both at the
appropriately chosen locations. A leading edge blowing jet was found to be helpful in
increasing power generation at leading edge separation cases, while a TE blowing jet
otherwise.
The effects of pulsed vortex generator jets on a naturally separating low-pressure
turbine boundary layer were studied in 2002 at the Advanced Flight Systems
Department of Lockheed Aeronautical Systems Company. These vortex generator jets
were pulsed over a wide range of frequencies at constant amplitude. The resulting wake
loss coefficient versus pulsing frequency data documented a minimal dependency on
amplitude. Vortex generator jets were shown to be highly effective in controlling the
location of laminar boundary layer separation. This behavior suggested that some
economy of jet flow may be possible by optimizing the pulse frequency for a particular
application. At higher pulsing frequencies, when the flow is fully dynamic, the boundary
layer was dominated by periodic shedding and separation bubble migration [4]. This
study opened the door to research into pulsing flow circulation control applications as
well as conservation of onboard CC pressurization.
Pneumatic control and distributed engine technologies were explored by NASA
Langley Research Center in 2003 as a means to maximize performance of a new civil
aircraft concept called the Personal Air Vehicle [4]. A morphing nacelle was designed
capable of enhancing propulsive efficiency throughout the flight envelope [59][60]. The
application of Circulation Control to the nacelle of a shrouded fan has been carried out
in a Morphing Nacelle design [59][60] to enhance off-design performance of the
shrouded fan. Typically, a fixed geometry shroud is efficient at a single operating
condition. Modification of the circulation about the fixed geometry is intended to provide
a means to virtually morph the shroud without moving surfaces, which could enhance
826
__________________________________________________________________________________________
off-design-point performance with efficiently. Such concept could be an attractive

propulsion option for Vertical Takeoff and Landing (VTOL) aircraft, such conceptual
Personal Air Vehicle (PAV) configurations proposed by NASA. Experimental results
showed that off-design static thrust performance of the model was improved when the
CC devices were employed under certain conditions, within certain trade-off conditions,
as elaborated in [61][62].
A rapid predictive method was studied for the implementation of circulation control
techniques at the GTRI [63]. In this study, two-dimensional circulation control
performance calculations were made using the Navier-Stokes Equations for fluid flow.
Coupled with a computer code to compute and predict circulation control airfoil
characteristics, this method set out to predict the interaction between variables involved
with circulation control systems. Using flow visualization, quantitative, and qualitative
methods, it was possible to compare the aerodynamic forces achievable by adding
circulation control. Although the particular experiment is only useful for selected ranges
of variables such as pressure and density, the overall Modelling can be used to predict
the effect of adding circulation control to a model operating at any range of variables, so
long as the variable are all called out at the beginning of the simulation. Kweder et al [1]
stipulates that through the study of the applications of circulation control and previous
experimentation, it was possible to add further specific airfoils to Englar’s original three
dimensional airfoil comparison study in 1971 to see exactly where all the models and
applications fall in comparison to the “region of most effectiveness,” as exhibited in
Figure 10 (a). In this figure, the previous noted work has been added to show how each
compares to the most effective circulation control region. This figure can be very
powerful in selecting future airfoils for circulation control applications, as the most
important airfoil dimensions (hj, c, and r) are related to one another. This reduces the
need to research an airfoil profile in a wind tunnel environment before selecting the
appropriate model for the application.
A recent focus on revolutionary aerodynamic concepts has highlighted the technology
needs of general aviation and personal aircraft [4] New and stringent restrictions on
these types of aircraft have placed high demands on aerodynamic performance, noise,
and environmental issues. Improved high lift performance of these aircraft can lead to
slower takeoff and landing speeds that can be related to reduced noise and crash
survivability issues. Circulation Control technologies have been around for 65 years, yet
have been avoided due to trade offs of mass flow, pitching moment, perceived noise
etc.
827
__________________________________________________________________________________________
◼ Kind / Maull (1967): 20% t/c CC-Ellipse [62] Englar (1979): NACA 64A008.4 / CCW [67]
Williams (1969): 20% t/c CC-Ellipse [63] ◼Wood (1981): 20% t/c CC-Ellipse [68]
Englar (1971): 15% t/c CC-Ellipse [64] ◼Novak et al., (1987): 20% t/c CC-Ellipse [69]
Englar / Williams (1971): 20% t/c CC-Ellipse [65] ◼Franke / Harvell, (1994): 20% t/c; 1.5% camber CC-Ellipse [70]
Ottensoser (1974): 20% t/c CC-Ellipse [66] WVU Model B (1970): 20% t/c; 5% camber CC-Ellipse [72]
Design point of Rory and Golden
Figure 10: (a) Notable Airfoils used in Past Research and their Comparison to “The
Region of Most Effectiveness” (adapted from [1] [38] [40][71] [73])
The need to improve the circulation control
technology for general aviation and personal air-
vehicle applications is the focus of this paper.
This report will describe the development of a 2-D
General Aviation Circulation Control (GACC) wing
concept that utilizes a pulsed pneumatic flap.
In recent years, there has been an increasing
interest in revolutionary concepts applied to
general aviation and personal aircraft shown in
Figure 11 [4]. New and stringent requirements on
Figure 11: Artist Concept of Personal Air these types of aircraft include aerodynamic
Vehicle [4] performance, noise, and environmental issues.
The use of Pulsed Pneumatic High Lift
Technology has the potential to revolutionize aircraft systems by reducing wing area,
reducing part count, lowering weight, and reducing potential runway takeoff and landing
requirements. This paper will give a brief background and review of circulation control
physics then describe the development of a 2-D General Aviation Circulation Control
(GACC) pulsed wing concept that utilized CFD and wind tunnel experiments.
Traditionally Circulation Control Wings (CCW) are restricted to a pneumatic
modification of the flow field through a Coandă effect. This Coandă effect shown in
Figures 12 and 13 can be described by a 2-D wall bounded jet that exits from a slot
tangential to a convex curved surface. The wall bounded jet flows along the surface and
has the nature of a boundary layer near the wall but becomes that of a free jet at a
larger distance from the wall. The degree of jet turning can be related to the slot height,
828
__________________________________________________________________________________________
surface radius, jet velocity, and the Coandă surface geometry. The jet turning angle can
approach and in some cases exceed 180o. The jet will remain attached to the curved
surface because of a balance between the sub-ambient pressure in the jet sheet and
the centrifugal force around the curvature of the surface.
Figure 12: Trailing edge example of Coandă effect [4]
Figure 13: Coandă influence on streamlines [4]
Although the Coandă effect is very effective for boundary layer control (BLC), the
interest in this technology comes from its ability to further augment the circulation and
lift with flow turning and control of leading edge streamlines, and thus the name
Circulation Control (CC). Lanchester, Kutta, and Joukowski laid the foundation for a
quantitative theory relating the lift to an infinite wing through the integration of the
velocity field along a streamline [4].
IV. RECENT DEVELOPMENT
De la Montanya et al. [74] carried out research using the Coandă effect to shorten
Landing and Takeoff of airplanes, in the framework of NASA Ames research Center
search for Extreme Short Takeoff and Landing (ESTOL) vehicles to reduce the
airplanes takeoff and landing length. In this regards, a jet is tangentially blown from a
slot near the airfoil trailing edge. In the initial stage, de la Montanya et al. [74] examined
two dimensional flows to better understand the blowing effect. In this regard, they obtain
larger overall lift when the blowing coefficient is increased. In next the step, they
collected lift and drag data in three dimensional flow. Four flap deflections (0, 30, 60,
829
__________________________________________________________________________________________
and 90) and different blowing coefficients were tested. Their research arrived at some
favorable configurations to meet their objectives.
Figure 14: Lift coefficient CL versus Coandă–jet momentum coefficient Cµ ; comparison

between de la Montanya et al.’s and Harvell et al’s [75] data.
For an angle of flap deflection of 30o and blowing coefficient of 0.35 the shortest takeoff
distance of 2400ft was achieved. The shortest landing distance was 2000 at an angle of
flap deflection of 90o and blowing coefficient of 0.34. Also the lift coefficient gained was
up to 3.5. De la Montanya et al. [74] compare lift coefficient CL versus Coandă -jet
momentum coefficient Cµ with earlier Harvell et al. [75] CFD studies; the comparison,
as exhibited in Figure 14, showed excellent agreement, although there was a little
difference in the jet slot place and shape of the airfoils. De la Montanya et al. [74]
utilizes various values of airfoil x/c and h/c, namely 89.86% and 0.0016 and for GTRI
case the corresponding values were x/c = 88.75% and h/c = 0.0019, respectively.
Nishino, Hahn and Shariff [76] and Rumsey and Nishino [77] carried out a numerical
study over a nominally two-dimensional circulation control airfoil using a large eddy
simulation (LES) code and two Reynolds-averaged Navier-Stokes (RANS) codes,
comparing both approaches on a circulation control airfoil. Different Coandă jet blowing
conditions are investigated, as well as the influence of grid density, and using
incompressible and compressible flow solvers. The incompressible equations are found
to yield negligible differences from the compressible equations up to at least a jet exit
Mach number of 0.64. The effects of different turbulence models are also studied.
Models that do not account for streamline curvature effects tend to produce jet
separation from the Coandă surface too late.
Naqvi [59] performed computational approach using Navier Stokes Equations
(Computational Fluid Dynamics) DSS2, a two dimensional RANS code developed by
Professor Lakshmi Sankar of Georgia Institute of Technology for analysing circulation
control airfoil characteristics associated with NASA proposed Super Short Takeo® and
Landing and Extremely Short Takeoff and Landing (ESTOL) Aircraft. The prediction
capability produced this research effort can be integrated with the current conceptual
aircraft Modelling and simulation framework.
830
__________________________________________________________________________________________
The Circulation Control relies on the tendency of an emanating wall jet to independently
control the circulation and lift on an airfoil. Since circulation control airfoils utilizes a
round trailing edge, the rear stagnation point is free to move, and the location of rear
stagnation point is controlled by the blown jet momentum. This provides a secondary
control in the form of jet momentum with which the lift generated can be controlled.
Trade-off analysis has been performed for baseline Super STOL configurations, and a
thick supercritical airfoil modified for circulation control has been suggested performs
adequately in extracting the benefits of circulation control during takeoff and landing and
at the same time producing reasonable values of L/D during cruise.
Three-dimensional CC blowing simulations have been carried out by Liu [78] by
investigating two cases. The first is a stream-wise tangential blowing on a wing-flap
configuration, which demonstrated that a gradually varied CC blowing can totally
eliminate the flap-edge vortex, thus reducing the flap-edge noise. The second case
involves span-wise tangential blowing over a rectangular wing with a rounded wing tip.
Although CC blowing can not totally cancel or eliminate the tip vortex, it can control and
modify the location of the tip vortex, and increase the vertical clearance between the
wing and the tip vortex, thus reducing the blade vortex interaction and the resulting
noise.
In line with the general concern for the need of further experimental results to validate
CFD simulation in the study of circulation control, many recent investigations contribute
to such venture, such as those by Burnazzi and Radespiel [9] and Economon and
Milholen [8]. Burnazzi and Radespiel [79] work represents an advanced step in the
multidisciplinary design of an active high-lift system for commercial aircraft. The airfoil
configuration developed within the framework of the Collaborative Research Centre
SFB880 is composed of an active Coandă flap and a droopnose device. The power
required to implement circulation control is provided by electrically-driven compact
compressors, positioned along the wing behind the wingbox. This solution could reduce
the additional engine power needed for the active highlift system. Air is provided to the
compact compressors by means of a suction slot located on the suction side of the
airfoil, which represents an opportunity to increase the aerodynamic performance of the
airfoil. The present work investigates the aerodynamic sensitivities of shape and
location of the suction slot, in relation to the high-lift performance of the airfoil and to the
total pressure recovery achieved at the end of the suction duct. A significant benefit is
achieved by suction and the presented analysis yields physical insight into the flow
dynamics around the airfoil. Burnazzi and Radspiel [79] study is conducted as
subproject of the Collaborative Research Centre SFB880 in Braunschweig. The
motivation of the Centre is rooted in the realization that European airports used by
commercial airliners are currently operating at rather high capacity. There are two ways
to cope with future increases in air traffic: a) to build new major airports and b) to
develop technologies for new classes of commercial airplanes that can operate from
existing European airports not in use for commercial purposes because of short
runways or their proximity to populated areas. This class of airplane will have to be quiet
and use very short runways for takeoff and landing, while offering high cruise efficiency
as well. Special attention is therefore given to high-lift systems, devices that promise
significant flight speed reductions at takeoff and landing. Preliminary design of cruise
efficient aircraft states that substantial reductions of runway length are only possible by
831
__________________________________________________________________________________________
increasing the maximum lift coefficient by significant factors accompanied by a

moderate increase of the installed engine thrust [1]. Another problem is that currently
used high-lift systems employ gaps, which are major sources of aerodynamic noise
during landing. Both these aspects should be improved by the new technologies that
are being developed. In particular, the high lift coefficient needed to allow low flight
speeds is obtained by active circulation control. This will also lead to a significant noise
reduction if gap-less devices at both the trailing edge and the leading edge of the wing
are used. Introducing such new devices in commercial aircraft raises many
technological issues. The Collaborative Research Center SFB880 addresses these
issues with multidisciplinary research efforts, which allow to simultaneously deal with
different aspects of the development of the system and its integration into the aircraft.
Figure 15: High-lift configuration developed by the Collaborative Research Center [79]
The means adopted to provide compressed air to the high-lift device is a set of electric
compact compressors integrated into the wing near the flap, as shown in Figure 15.
Here aerodynamics plays an important role, as it is responsible for the aerodynamic
efficiency of the high-lift system, as well as for providing air to the compact compressors
by means of a suction slot located on the suction side at a suited position on the wing.
The present work focuses on the design aspects of the suction, based on the following
the design objectives to achieve high lift coefficients and high angles of attack at
maximum lift and high total pressure recovery at the end of the suction duct.
In order to take into account both objectives, a method is proposed to compare and
evaluate the overall performance of the tested geometries. The high-lift configuration
analyzed in [79] is equipped with Coandă trailing edge flap, droopnose leading edge
and suction slot, as depicted schematically in Figure 16 (a). The improvement of the lift
is obtained by careful adjustments of the design parameters of the trailing edge device
while the leading edge was geometrically fixed. Steady blowing is carried out to produce
suited turbulent wall jets that exploit the Coandă effect for effective flow turning. The
most important design parameters are flap deflection angle, momentum coefficient of
blowing and blowing slot height [4].
832
__________________________________________________________________________________________
Figure 16: (a) Analyzed high-lift configuration; (b) DLR F15 airfoil with active Coandă
Flap [79]
Figure 17: (a) The effect of the suction at 85%c on the flow over the flap, Cμ=0.016,
α=10°, left without suction, right with suction; (b) The effect of the suction at 85%c on
the flow over the flap at stall condition (without suction at 17°, left, and with suction at
15.25°, right), Cμ=0.016 [79]
While flap angle and blowing momentum coefficient should increase for increased lift
targets, optimal slot heights are rather small, with values of around 0.0006 times the
airfoil chord length. It was found that the optimum slot height is independent of the flap
angle. Figure 16 (b) display a typical design result, where the transonic airfoil DLR F15
is equipped with an internally blown flap set at 65° deflection angle.
Burnazzi and Radespiel study deals with the implementation of the suction slot on the
previously designed configuration. Figure 17 displays the influence of installing Coandă
-Jet on such airfoil as results of the study. The detailed curvature distribution of the
Coandă surface used as flap knuckle shape was found to be less important. Values of
the radius of curvature of around 0.07 times the chord length are a reasonable design
choice. Also the flap length suited to achieve high lift gains could be identified. Best lift
gain factors were obtained with flap lengths of 0.25-0.30 times the airfoil chord [3]. With
these design choices typical lift gains over blowing momentum (lift gain factor) of 80 are
obtained at a lift coefficient around 4 whereas this value is reduced to 55 at a lift
coefficient around 6. In order to control the pressure distribution, the shape of the clean
nose was morphed. As one can see in Figure 19, that the camber-line and the thickness
are increased, resulting in a reduction of the suction peak over the nose. The morphed
shape allows to distribute the low pressure area on a wider surface, reducing the
minimum values. In Figure 19 one can see a comparison between the clean nose and
the droopnose configuration. The Cp distributions refer to stall conditions, and result in
the coefficients shown in Table 1. An approach has been proposed to compare and
evaluate slot geometries and locations taking into account both the aerodynamic
performance of the airfoil and the total pressure recovery inside the duct. Furthermore
wall suction is found to be about twice as effective when applied in presence of a
droopnose leading-edge device, rather than the clean nose configuration.
833
__________________________________________________________________________________________
Figure 18: Effect of blowing momentum on Figure 19: Cp distributions at stall

the angle of maximum lift for the DLR F15 conditions, Cμ=0.06 [79]
airfoil with 65° flap angle, computed for M
=0.15, Re=1.7 x 106 [79]
Circulation control is an active flow control method with the potential to generate more
lift than that obtained from a conventional airfoil or finite wing geometry. In general,
circulation control consists of an air jet blown tangentially from a thin slot along the
trailing edge of an airfoil or wing, which through the Coandă effect can be utilized for
separation control or super-circulation control. The net results are a change in the
circulation strength around the airfoil and, consequently, lift augmentation (Economon
and Milholen, [80]). NASA considers circulation control to be a viable flow control
method for lift augmentation, and subsequently has incorporated it into achieving the
NASA Subsonic Fixed Wing program's Cruise Efficient Short Takeoff and Landing
(CESTOL) goals. The
Table 1: Effects due to the droopnose, Cμ=0.06 [78]
CESTOL goals have been prompted by recent airport congestion and a need for noise
abatement. In this conjunction, noting that for planning purposes one could utilize
computational fluid dynamics (CFD) studies, 2004 NASA/ONR workshop revealed that
CFD studies on circulation control geometries has been widely unreliable. Therefore,
the NASA Langley Research Center has undertaken a research program to provide
CFD validation data for circulation control geometries. These validation data could
provide better understanding of the complex flow physics involved and to build a
database for CFD validation of circulation control cases. Through better understanding
and validation, CFD would be able to provide reliable predictions and aid in the eventual
implementation of full-scale circulation control.
834
__________________________________________________________________________________________
Economon and Milholen [80] performed a parametric CFD study using NASA's
TetrUSS software in order to create a database for 2-D circulation control CFD
validation. Several important parameters were varied and investigated such as the
amount of blowing, or momentum coefficient (Cμ), the size and shape of the
computational grid, and the turbulence models employed in the computations. Their
investigation yielded a set of results offering better physical understanding of the 2-D
circulation control phenomenon including the effects of varying key parameters. Further,
the results will act as part of a database for circulation control CFD validation and will
aid in progressing the present program to more complex circulation control geometries
and, ultimately, full-scale implementation. Lift and drag are of primary importance due to
the high-lift goals of CC. Substantially large lift values and relatively low drag are
required in order for the technology to become advantageous.
In the CFD parametric study Economon and Milholen [80] investigated the influence of
the momentum coefficient, or blowing intensity using a baseline grid and the k -
turbulence model. The blowing condition was varied from an Nozzle Pressure Ration
(NPR) of 1.05 up to 1.60 while all other boundary conditions and variables were kept
constant. These values correspond to Cμ values between approximately 0.03 and 0.30.
The lift and drag results are presented in Figure 20. Figure 20 (a) shows that C L values
obtained from CFD computations increased to a maximum of approximately 5.7
following a parabola-like curve. Cd values varied almost linearly with NPR to a maximum
of 1. If the blowing intensity was increased, both lift and drag rose markedly. Within the
investigated range, a 52% increase in NPR resulted in lift and drag coefficients growing
by factors of 4.7 and 9, respectively.
(a)
835
__________________________________________________________________________________________
(b)
Figure 20: (a) Effect of NPR (Nozzle Pressure Ratio) on CL (left) and Cd (right). (M =
0.1, Re = 5.74 x 104); (b) Cp comparisons for NPR = 1.1 (left) and NPR = 1.4 (right). (M
= 0.1, Re = 5.74 x 104) [80]
In general, the computational results followed the expected trend of increased lift and
drag with increased blowing. However, comparing the CFD computations to the
experimental data obtained, large discrepancies were observed. Wind tunnel
measurements data indicated that the maximum lift and drag coefficient values for the
investigated geometry were 4.77 and 0.24, respectively. Further, the slopes of increase
with NPR were lower. These are clearly exhibited in Figure 20 (a).
However, although the CFD and experimental results for drag do not agree at any
location, the lift data agree at NPR values lower than 1.10, or for C μ values between
approximately 0.03 and 0.07.
To gain insight into the disparity in lift, surface Cp distributions around the airfoil
geometry were examined at a low and high NPR value as shown in Figure 20 (b). The
peaks seen in the CFD predictions near the trailing edge of the jet pressure at the slot
exit are method dependent results. For NPR = 1.1, experimental and the CFD Cp data
agree well, including excellent agreement along the lower, trailing edge near the
separation point. A minor disagreement occurs along the upper, trailing edge surface
where the experimental data exhibit slightly more suction. However, at an NPR value of
1.4, poor agreement was observed. The computational results largely over-predict the
experimental Cp values along the upper surface, and very poor agreement can be
observed on the lower surface near the trailing edge. Economon and Milholen [80]
contended that the large over-prediction of Cp values in suction surface side as well as
the large amount of suction near the trailing edge offered partial explanations for the
variance between the CFD and experimental lift and drag results, respectively, at higher
NPR values.
Of particular note is the discrepancy between the Cp distributions on the lower, trailing
edge near the separation point. Each of the three turbulence models provide a distinct
shape in their pressure distributions, which suggested that they each modelled the
836
__________________________________________________________________________________________
separation location differently. Figure 21 (b) to (d) depicts the separation points and
streamline turning at the trailing edge of the geometry for each turbulence model. As
expected, each model predicted a unique separation location, which certainly aids in
explaining the differing lift and drag values between the models.
(a) (b) (c) (d)

Figure 21: Separation locations for the k - (left), SA (center), and SST (right)
turbulence models. (M = 0.1, Re = 5.74 x104, NPR = 1.4)[80]
By comparing the separation points in Figure 21 (b) to (d) to the distributions in Figure
21 (a), the SST model over-predicts the flow turning angle and results in more suction
on the lower, trailing edge surface. The k- model behaves similarly, although to a
lesser extent. The SA model most closely resembles the experimental Cp data in the
separation region, and thus is likely to have most accurately located the separation
point. All these experimental observation shows that the separation point occurs slightly
higher on the trailing edge than even the SA model predicts.A particular remark is in
order regarding turbulence modelling utilization. Turbulence Modelling in CFD is very
essential in the choice of grid fineness and obtaining the correct simulation of particular
flow field. For this purpose, one has to choose a particular model out of a host of
available turbulence models developed to date. One of and user friendly is the k-𝜀
turbulence model, without disregarding other models that may be suitable for the
purpose of the work carried out by the author in [26-28]. The k- turbulence model was
first proposed by Harlow and Nakayama [81] and further developed by Jones and
Launder [82]. Continuing extensive research has been carried out to understand the
nature of turbulence, and this theory has been further elaborated and many other
theories have also been introduced such as elaborated in [83], which seem to be
satisfactory for only certain classes of cases.
The turbulent viscosity models based on Reynolds-averaged Navier-Stokes (RANS)
equations (1) are commonly employed in CFD codes due to their relative affordability
[84]. However, since the choice of turbulence model and associated physical
phenomena addressed are relevant in Modelling and computer simulation of the flow
situation near the airfoil surface considered here, a closer look at turbulence models
utilized by the CFD code chosen will be made. Although the practical implementation of
turbulence model, especially, for the near wall treatment, has been some somewhat of a
mystery [83], the numerical implementation of turbulence models has a decisive
influence on the quality of simulation results. In particular, a positivity-preserving
discretization of the troublesome convective terms is an important prerequisite for the
robustness of the numerical algorithm [85]. The k-𝜀 model introduces two additional
transport equations and two dependent variables: the turbulent kinetic energy, 𝑘, and
837
__________________________________________________________________________________________
the dissipation rate of turbulence energy, 𝜀. Turbulent viscosity is modelled by using the
Komolgorov-Prandtl expression for turbulent viscosity
k2 k2
  = C or   = C (9)
 
where C𝜇 is a model constant. In expression (9) 𝜇𝜏 was based on the eddy viscosity
assumption introduced for convenience of further analysis by Boussinesq [86] to draw
analogy between the momentum transfer caused by turbulent eddies and the viscosity
in laminar flow. The dimensionless distance in the boundary layer, sublayer scaled,
representing the viscous sublayer length scale, plays significant role in capturing
relevant physical turbulence
phenomena near the airfoil surface commensurate with the grids utilized in the
numerical computation. In this regards, the flow field in the vicinity of the airfoil surface
is usually characterized by the law of the wall, which attempts to identify intricate
relationships between various turbulence model scaling in various sublayers.
For example, the wall functions approach (wall functions were applied at the first node
from the wall) utilized by k-𝜀 turbulence model uses empirical laws to model the near-
wall region (Kuzmin et al, [84]) to circumvent the inability of the k-𝜀 model to predict a
logarithmic velocity profile near a wall. The law of the wall is characterized by a
dimensionless distance from the wall defined as
u y
y+ =  (10)

Figure 22: Effect of turbulence models on the upper surface, mid-chord boundary layer.
Typical 𝑦+ values in the turbulent boundary layer and velocity profiles in wall units for
subsonic flow over flat plate, M = 0.2, Re = 1 × 106, medium grid; nozzle pressure ratio
= 1.4. (Source: Menter [87], Salim and Cheah [88], and Economon and Milholen II [80]).
Subject to local Reynolds number considerations, the wall 𝑦+ is often used in CFD to
choose the mesh fineness requirements in the numerical computation of a particular
838
__________________________________________________________________________________________
flow. The CFD code utilized using 𝑦+ value of 11 and as suggested in [83] was found to
yield satisfactory results as indicated there. Figure 22 below shows the influence of 𝑦+
in representing the boundary layer near the wall.
A study has been performed by Hall et al [89], to investigate the effect of Coandă-jet
blowing on the upper or lower duct surface of a natural blockage turbofan thrust
reverser. The Coandă-jet blowing on the lower duct surface (blocker) increases axial
reverse thrust force and prevents separation. While, Coandă-jet blowing on the inlet
ramp has a detrimental effect on the reverse thrust force generated. Sellars et al. [90],
has successfully carried out a joint experimental and a CFD investigation of circulation
control, on a sharp leading edge delta wing configuration with two leading edge sweeps
using Coandă blows over a semi-circular TE and shows that Coandă blowing circulation
control on a delta wing can produce a significant lift increment. Later, Frith and Wood
[91] performed an experimental investigation on a full span delta wing test configuration
in a closed-loop wind tunnel at 25m/s to investigate the concept of applying Circulation
Control (CC) as a means of trimming an aircraft. It was found that only low values of
momentum jet coefficient, Cμ up to 0.002, would be required to trim the aircraft at the
range of angle of attack investigated. The variation of pitching moment about the
quarter-chord indicates that circulation control could be used to trim an aircraft, as well
as providing high lift. Moreover, the differential blowing could provide roll control, as the
roll increment seemed to vary reasonably linearly with momentum jet.
Golden and Marshall [73] recently analyzed and design multiple circulation control
(CC) dual radius flap configurations with varying specific flap parameters.
Considerations are given to Supercritical airfoil most commonly used for CC purposes,
with large leading edge radius, in anticipation of NASA N+2 Cruise Efficient Short
Takeoff and Land (CESTOL) for 100 passenger airliner. It is desired that CCW
configuration will prevent stall during supercirculation, and there should be sufficient
space for leading edge plenum as well as trailing edge plenum and slot, and it
accommodates a radial surface favorable cruise performance by delaying shock-
induced drag. To this end the design features dual-radius CCW flap configuration for
lower cruise configuration pressure drag, increased jet thrust recovery, smaller radius
turns flow and larger radius keeps jet flow attached. Figure 23 depicts the Dual-Radius
Geometry conceived.
In the Dual-Radius Geometry Design [73], the flap was designed to r1, because it is the
first radius the flow encounters. The following configuration was adopted for setting the
CCW dual-radius parameters:
∎ Trailing Edge
 h slot,TE   h slot,TE   r1 
  = 0.00238;   = 0.04857;   = 0.04900
 c   r1  c
∎ Leading Edge
 h slot,LE   h slot,TE 
 =   0.60 = 0.001428
 c   r1 
Parametric studies carried out by varying the dual radius ratio and the chord length with
flap, among others, lead to some agreeable configurations, whose details are
839
__________________________________________________________________________________________
elaborated in [73]. How Golden and Marshall design fare in comparison to the “region of
most effectiveness” is exhibited in Figure 10 (b).
Numerical simulation carried out by Tongchitpakdee [58] looked into two approaches of
introducing Coandă jet, i.e., at the appropriately chosen point in the vicinity of the trailing
as well as leading edge.
A leading edge blowing jet was found to be helpful in increasing power generation at
high wind speeds. The progress of high speed computers exemplified by the availability
of new generations of notebooks has made possible the use of first-principles-based
computational approaches for the aerodynamic modelling of wind turbine blades, to
name an example.
Figure 23: Sketch of CCW Dual-Radius Geometry (adapted from Golden and Marshall
[91]); Leading edge slot is intended to prevent upper surface separation during
circulation control [73]
These approaches are comprehensively based on the fundamental laws of conservation

of mass, momentum, and energy, and hence they should be able to capture much of
the physics in great detail. Such approaches should also be particularly helpful at high
wind speeds, where appreciable regions of separation are present and the flow is
unsteady. With such background Djojodihardjo and Hamid work (Hamid,[25],
Djojodihardjo et al, [26][28]] searches for favorable Coandă -jet lift enhanced
configuration for wind turbine designs. For this purpose, after a rigorous review of
Coandă-jet circulation control airfoil, a generic proof of concept approach in two-
dimensional subsonic flow is performed. Numerical simulation using commercially
available Navier-Stokes CFD method is carried out and a critical scrutiny of the
computational procedure and grid generation is performed. Tongchitpakdee [58] found
that best lift enhancing effect could be facilitated by designing the lower part of the
trailing edge surface to be flat and this finding is also incorporated in the present
numerical investigation. Harris [34] also proved that the 96 degrees arc corner at the
trailing edge produces more deflection than corners with the same radius a greater arc
length at higher jet thrusts with the same Coandă jet momentum.
The case studies performed here use normalized dimension: airfoil chord length of 1m
and free-stream velocity of 10 m/sec. These correspond to Reynolds number in the
order of 106, which is considered to be a typical situation. A simple two-dimensional
CFD Modelling using k- turbulence model is utilized to reveal the key elements that
840
__________________________________________________________________________________________
could exhibit the desired performance criteria for a comprehensive series of

configurations. Parametric study performed indicates that Coandă configured airfoil can
only be effective in certain range of trailing edge radius, Coandă-jet thickness and
momentum jet size; the location of the Coandă-jet was found to be effective when it is
placed close to the trailing edge. The results are compared with existing experimental
data for benchmarking. Three dimensional configurations are synthesized using certain
acceptable assumptions.
A trade-off study on the S809 Coandă configured airfoil is needed to judge the
optimum configuration of Coandă-jet fitted Wind-Turbine design (Djojodihardjo et
al,[28]). CFD numerical computations for the flow-field around two-dimensional airfoil
S809 has been carried out with the objective to study the extent to which the
introduction of Coandă-jet enhance the aerodynamic performance of the airfoil, here
represented by the L/D value, and lead to the following observations. The flow field in
the vicinity of the TE for both configurations is shown in Figures 24(a) and 24(b).
a b c
Figure 24: Velocity fields of S809 airfoil (a) with and (b) without Coandă-jet
[Djojodihardjo et al[27][28]] (c) observation of Nishino et al [76]
Figure 24(c), reproduced from Nishino et al [76] is also shown for verification purposes.
Careful inspection of these figures may lead to the identification of the geometry of the
flow that could contribute to increased lift, in similar fashion as that contributed by flap,
jet flap, or Gurney flap. Figure 24(b) typifies the flow field around Coandă configured
S809 airfoil without Coandă-jet (only with its back-step configuration), which is used
here to get insight to the action of the Coandă-jet.
Figure 25: (a) The effect of jet thickness on the L/D and lift augmentation (Re = 1 x 10 6, RTE = 30 mm); (b) Flow
To a certain extent, smaller
separation with TE (c)
t = 0.5 mm; radius produced
Flow separation with tbetter
= 3.0 mmL/D than larger
also
(Djojodihardjo ones. It is
et al,[ 28])
noted that after certain value, further increase in TE radius does not give significant lift
841
__________________________________________________________________________________________
augmentation, as indicated by Figure 25. Their results also exhibit the effect of Coandă-
jet location on the L/D and lift augmentation for various values of Momentum coefficient
C. , as exhibited in Figure 26. There is a range of effective Coandă-jet size designs,
depending on their thickness.
Within the limits of local boundary layer thickness, there is a certain range of effective
Coandă-jet thickness. The present study indicates that the optimum jet thickness is
commensurate with the airfoil dimension. Care should be exercised to avoid flow
separation at larger Coandă-jet thickness. With specific design specifications related to
the Coandă-jet thickness and TE rounding-off size, the Coandă-jet momentum needed
to improve the performance (lift augmentation due to jet) should not be excessive but
sufficient to delay separation until the tip of the TE (where the upper surface meets the
lower one). In addition, the Coandă-jet should be placed sufficiently close to the TE to
avoid premature separation. With due considerations of prevailing three-dimensional
effects, the two-dimensional numerical study can be used to direct further utilization of
the CFD computational procedure for Wind-Turbine blade studies and their design
optimization. Numerical results presented have been confined to zero angle-of-attack
case, which has been considered to be very strategic in exhibiting the merit of Coandă-
jet as lift enhancer.
C  = 0.010
C  = 0.005
Coandă- jet location Coandă- jet location
Figure 26:The effect of Coandă-jet location on the L/D and lift augmentation (Re = 1 × 106, RTE = 10 mm, tjet =
The numerical studies
1 mm); (a) could
Cμ=0.005;be(b) extended to higher
Cμ=0.010; (reproduced angle-of-attack
from Djojodihardjo et al [28]) to obtain more
comprehensive information, for which the choice of turbulence model will be more
crucial. The study also shows that the maximum total energy output of Coandă
configured airfoil may exceed that predicted by Betz limit [Djojodihardjo et al, [26-28]].
With all the results obtained thus far, it is felt that the present work is by no means
exhaustive. Other issues may still be explored, such as how could the ambient air
energy input that can be drawn by the Coandă-jet configured Wind-turbine either from
the nacelle or elsewhere be utilized to energize the Coandă-jet, and for that matter, to
lower the cut-in speed of Horizontal Axis Wind Turbine (HAWT) or the starting speed of
Vertical Axis Wind Turbine (VAWT).
The Coandă propulsion concept is intended to fill the efficiency gap between the
rotary wing and fixed wing micro aerial vehicles (MAV), studied by Schroijen and van
Tooren [92]. It should have the capability to hover efficiently as well as cruise efficiently.
This puts the concept in direct competition with the flapping wing MAVs, however the
842
__________________________________________________________________________________________
Coandă propulsion concept could benefit from the reduced number of moving parts.
The preliminary wind tunnel test and Euler computation showed a difference in the
pressure coefficient of a factor of 2, which is probably caused by viscous effects, like
boundary layer formation and separation (Schroijen and van Tooren, [92]). Schroijen
and van Tooren design was based upon an annular wing wrapped around a centrifugal
flow generator, potentially creating a vehicle with no external moving parts, reduced
vehicle aerodynamic losses compared to previous V/STOL technologies and
substantially eliminating induced drag. It appears to offer greater potential at a micro-
aerial vehicle scale with regard to fundamental “lift to weight ratio” performance
parameter and shows that such a wing works best with a thick airfoil section. He also
experienced efficiency losses on his design, mainly occurring from annular flow
expansion and the problem on choosing the best blower slot heights. The modified
approach was further explored and proved viable with the used of pure upper surface
blowing with Coandă effect. Saeed and Gratton [93] has conducted a research program
in exploring a new lift system for Vertical/Short Takeoff and Landing (V/STOL) aircraft to
set a path for further research in the design of future V/STOL aircraft. Using a Coandă
surface at the duct trailing edge, in his study on Ducted Fan Aerodynamics and
Modelling, Ohanian [94] demonstrated that by turning of the stream-tube exiting the
duct, a normal force is created and a decrease in pitching moment results. At the
leading edge, steady and synthetic jet blowing caused separation on the duct lip at high
angles of attack. This separation reduced thrust and also decreases the nose-up
pitching moment.
At this point, one could mention new initiatives to utilize Coandă effect for propulsion,
in addition to those carried out in [60][61], among others. In this conjunction the work of
Ragab et al [95] is of great interest. In their work, a numerical study of 3D circulation
control (CC) using Coandă effect was carried out on a low aspect ratio wing of circular
planform. The Reynolds-Averaged Navier-Stokes (RANS) equations and a second-
order closure model for the Reynolds stresses are solved using commercial software
(FLUENT6.3 TM). The flow field around the wing is analyzed for the case of
omnidirectional blowing where a jet is injected tangentially all around the wing
perimeter. The wake structure of the CC wing is compared to that of a wing without CC
but at the same lift coefficient. For the CC wing, the streamwise roll up of the trailing
vortex wake is delayed relative to that of a wing without CC. Turbulence Modelling was
found to be a critical factor in circulation control simulations. The wake structure
(velocity and vorticity) of the CC wing is then compared to that of the same wing at
equal lift coefficient but without CC. The lift for the case without CC is generated by
placing the wing at the proper angle of attack. Using commercial software FLUENT6.3 TM
the aerodynamic phenomena and performance characteristics associated with the disc
were determined by exercising care on the turbulence model, the computational mesh
commensurate with the regions of high momentum exchange between wall jet and free
shear layers.
V. BRIEF REVIEW OF TRAPPED VORTEX CAVITY TECHNIQUE
Trapping vortices is a technology for vortex shedding prevention and drag reduction in
flows past bluff bodies, as well as maintenance of lift for flows past streamlined bodies
843
__________________________________________________________________________________________
at high angles of attack. The European VortexCell2050 program, for example, has the
objective of delivering a new technological platform by combining two cutting-edge
technologies, the trapped-vortex cell (TVC) and the active flow control for the
prevention of vortex shedding and reduction of drag, and is envisioned for applications
to the next-generation thick-wing aircraft (Vortex Cell 2050, [30]).
The interest of such new flow control and aerodynamic surface performance
enhancement is illustrated by a series of continuing and recent research efforts, such as
the pioneering work of Rossiter [76] and Gharib and Roshko [77], to mention only a few
examples. Large vortices created in high-speed flows past bluff bodies are shed
downstream, and produce an unsteady wake. These vortices and associated unsteady
wake give rise to an increase in drag and unsteady loads on the body. Figure 27, which
is reproduced from De Gregorio and Fraioli [96], could give some insight into the
potential of trapped vortex cavity in aerodynamic performance enhancement and its
application for flow control on a high thickness airfoil. The influence of the TVC on the
model without mass transfer has been investigated for different Wind-Tunnel speed
(from 15 to 30 m/s) and different angle of attack.
Figure 27: Flow field without suction in front the model (left) and with suction (right)(De
Gregorio and Fraioli [96]).
The flow field and pressure coefficient for all these cases indicated that the flow
separates from the cavity tip and do not reattach downstream the cavity. This effect is
more noticeable as the wind speed or the angle of attack is increased. Therefore lower
velocities (such as 15 m/s) has been given more attention.
Looking from another perspective, synthetic jets can be introduced by the advection and
interactions of trains of discrete vortical structures and have zero net mass flux. A
distinctive feature of synthetic jets is that they are formed by intermittent suction
between successive ejections through an orifice in the flow boundary, therefore
introducing trains of discrete vortical structures that originate entirely from the fluid of
the surrounding flow system, and thus transfer momentum to the cross flow without net
mass injection across the flow boundary.
Such jet can be produced by actuators integrated in the boundary of a cross flow, such
as by the motion of a diaphragm that is built into one of the walls of an otherwise sealed
cavity below the surface. However, when the actuation frequency is sufficiently high to
be decoupled from global instabilities of the base flow, changes in the aerodynamic
844
__________________________________________________________________________________________
forces are attained by controlling the generation and regulation of ‘trapped’ vorticity
concentrations close to the surface to modify its aerodynamic shape (Glezer, [29]).
A trapped vortex can manifest itself as a steady separation eddy above an aerofoil at
high angle of attack. However, with the use of an appropriate cavity, a trapped vortex
cell (TVC) will be produced and a dramatic change in aerodynamic performance will
take place. Practical utilization of the trapped-vortex idea poses a challenge, since the
trapped vortex should be almost steady and remain in the close vicinity of the body.
Therefore, the stabilisation of a trapped vortex has been considered as a major
challenge in the European Vortex Cell 2050 project [30]. The influence of the TVC on
the model without mass transfer has been investigated by many researchers, such as
by Gregorio and Fraioli [96] and Donelli et al [97] [98] [99]. For the flow field and the
pressure coefficient considered in the Wind-Tunnel investigation by De Gregorio and
Fraioli [96], the flow separates from the cavity tip and does not reattach downstream the
cavity. This effect is more noticeable as the wind speed and/ or the angle of attack of
the airfoil is increased. Figure 28, reproduced from De Gregorio and Fraioli [96], shows
the prevailing flow field pattern inside the cavity and immediately downstream the airfoil
surface for a windspeed of 15 m/s and for six different values of angles of attack  (A,
=5.66° and F, =12.66°). Figure 28 reveals the magnitude of the flow stream lines and
shows that for the smaller angle (=5.66°) a weak vortical structure inside the cavity
results, with its center located far from the geometrical center of the cavity and moved
toward the shear layer region. Furthermore, the vortex is elongated toward the exit of
the cavity. The vortex strength is not sufficiently large to force a flow reattachment. As
the angle of attack  increases, the center of the vortex moves in the direction of the
shear layer region and it is drawn outside the cavity, which in turn inducing further
vortex shedding. At the same time, the fluid at the separated region downstream from
the cavity is drawn inside the cavity.
Figure 28: Flow field velocity inside the cavity without suction/blowing mass flow (left) and with (right) (De
Gregorio and Fraioli [96])
De Gregorio and Fraioli [96] placed the pressure taps in the cavity between 54% and
66% of the model chord. The Cp values show that the typical pressure exhibits a clear
845
__________________________________________________________________________________________
expansion on the upper leading edge region up to a maximum value until the cavity
region. At this point, i.e. in the cavity, the CP value forms a plateau, and the flow is
separated and unsteady. Further downstream from the cavity, the pressure continues
to remain constant; this indicates that the flow is fully separated. At this relatively low
velocity and low angle of attack of 5.66° and 6.66°, it is possible to characterize the
typical pattern of the trapped vortex inside the cavity. Passive control has been
investigated by Donelli et al [99] to examine the behavior of the TVC without any mass
flow suction.
The results showed that without any mass flow suction the TVC did not induce flow
reattachment due to vortex shedding. Massive steady suction, however, induces flow
reattachment due to the stabilization of an intense vortex in the cavity. Donelli et al [99]
[100] [101] observed that by increasing the mass flow rate, the recovery-pressure
increases and when a mass flow suction rate of 25.8 m3/h is applied, the flow is
attached up to a 95% of the chord.
The vortex is steadily located in the center of the cavity and the resulting flow is fully
attached. From their research, De Gregorio and Fraioli, [96] concluded that passive
TVC flow regulation is not able to control the flow separation. The vortex will not be
restricted in the cavity and in addition there occurs vortex shedding which decreases the
aerodynamic performance of the airfoil without TVC. However, active TVC flow control
is able to govern the flow separation; full reattachment has been achieved for limited
values of the blowing coefficient.
Table 2: Summary of some Coandă Effect and Trapped Vortex Cavity

Technique Development and Application (Djojodihardjo [102])
Some Coandă Effect Development and Example / Remark

Application
1 Invention by Coandă
Examples / Applications
2 Willard Custer, Englar Channel Wing Aircraft; The

and Campbell, lift is “due to the speed of
Coandă Effect Aircraft air, not the airspeed”
3 Coandă effect aircraft Avrocar
4 Enhanced lift by Boeing YC-14 and C-17

Coandă effect Globemaster III, Antonov
Circulation An-72 Coaler, McDonnel
enhancement Douglas YC-15, and the
NOTAR helicopter
846
__________________________________________________________________________________________
5 Coandă effect CCW Wake Vortex Wingtip-

STOL Demonstrator Turbine Powered CC High-
Lift System
6 Co-Flow Jet Co-Flow Jet
7 California Combined Blowing

Polytechnique Group, Circulation Control
Marshall, de la Application to Extreme
Montanya, Lichtwardt, short takeoff and landing
etc.
8 Automotive Utilization in Formula-1

Applications [GG] cars; Increase of base
pressure, Coandă effect
through exhaust gas for
better traction
Trapped Vortex Cell Examples / Applications

1 Pioneers and active Without any mass flow
contributors, among suction the TVC did not
others: Roshko, induce flow reattachment
Rossiter, Gharib and produced by vortex
Roshko; TVC2050 shedding
Research Group; De
Gregorio, Fraioli,
Donelli
2 Kasper Wing and the The Kasper Wing (US
EKIP Aircraft Patent: No. 3831885) and
the EKIP aircraft (US
Patent: No. 5417391)
3 European TVC2050 Prevention of vortex
Initiative shedding and reduction of
drag for next generation
thick-wing aircraft
The above brief review serves to illustrate the major challenge in developing trapped
vortex cavity by a combination of trapped-vortex technology with active flow control.
Associated with such concern, the European Vortex Cell 2050 [30] project has
formulated specific major objectives, among others, to develop a software tool for
847
__________________________________________________________________________________________
designing a thick airfoil with a trapped vortex assuming that the flow is stable, apart from
small-scale turbulence, and to develop a methodology and software tools for designing
a system of stabilization of such a flow. Some of the development and applications of
Coandă-jet as elaborated in the paper is summarized in Table 1, as an extension of that
presented by Djojodihardjo [102].
VI. PATENTS ON CIRCULATION ENHANCEMENT TECHNOLOGY

Ongoing research in the field circulation control has led to the introduction of new
concepts and technologies that improve aircraft efficiency by means of lift
enhancement, drag reduction and delaying flow separation. For the purpose of this
review, the present technologies on circulation control are divided into three main
groups, namely, passive flow controls which are typically design and surface blowing
oriented, active control which generally incorporates flow actuators or jets and also flow
enhancement control patents related to helicopters.
7.1 Passive flow controls

Vortex generators (VGs) are used to generate more circulation of the airflow in the
boundary layer as a means to delay or eliminate flow separation. Common vortex
generators have a height that is similar to the boundary layer thickness and this
produces parasitic drag. At supersonic speeds, shock wave interaction with turbulent
boundary layer diminishes aerodynamic performance of the inlets due to shock-induced
flow separation, stagnation pressure loss and increase in boundary layer thickness. By
bleeding the flow at the shock impingement, separations can be suppressed and this
leads to increase in pressure recovery as well as thinning the boundary layer.
However, bleeding the flow involves removing a portion of the incoming mass flow,
requiring larger inlets to compensate for the lost mass flow. This leads to weight and
drag increase. Hence, improved flow control devices that can reduce or eliminate
bleeding are sought after.
Figure 29: Plan view of the split-ramp vortex generators having parallel and non parallel
centrelines [103]
An invention by Babinsky et al., US patents US20120018021 in 2012 [103] provides a

device which generates streamwise vorticity in a boundary layer. This device is capable
848
__________________________________________________________________________________________
of ensuring delayed flow separation and make way for an airfoil to operate at higher
angles of attack. A split-ramp vortex generator (see Figure 29) is comprised of two ramp
elements with front and back ends, and ramp surfaces extending between both ends.
Vertical surfaces extend between the front ends and the back ends adjacent to the ramp
surfaces. A flow channel is between both ramps. The back ends of the ramps have a
height greater than the front ends while the width of the front ends is greater than the
back ends.
Vorticity is created by the flow spill over the peak edges of the ramp pair, which are at
an angle to the freestream flow. This split-ramp vortex generator channels the flow
between the ramp elements to the centre of the split-ramp vortex generator, improving
boundary layer characteristics downstream. This reduction of flow separation enables
the split-ramp vortex generator to reduce drag, improving the aerodynamic capability of
external surfaces.
Parallel to the aforementioned invention, Corke et al., 2011 (US patents
US20110120980) [104] have incorporated streamwise vortex generators (SVGs) in their
design. Streamwise vortex generators (SVGs) are capable of generating longitudinal
vortices that are effective in maintaining attached flow over a surface. However, passive
devices like these are always deployed, regardless of need and they lower the
efficiency of vehicles by adding drag to it. invention consists of a number of plasma
streamwise vortex generators (PSVGs) (11062) (see Figure 30(a)), which comprises two
electrodes sandwiched between a dielectric layer. The longitudinal axis of the first
electrodes is placed in the mean flow direction. This produces body forces in the cross-
flow direction. As the PSCGs are located on the surface where flow passes, the cross-
flow oriented body forces cause the downstream flow to roll up, transforming into either
a single co-rotating or pairs of counter-rotating streamwise-oriented vortices (see Figure
30(b)).
Figure 30: (a) shows the front view of a vortex generator system. (b) is an enlarged
view of Figure (a) when the vortex generator system is activated [104]
The vortices (v), while being similar to those of produced by passive SVGs are
manipulable as the PSVGs can be operated only when needed. Selective activation of
AC voltage to both sets of electrodes triggers the PSVGs to generate the vortices.
Parasitic drag could be alleviated as the PSVGs can be made flush with the surface.
Wake vortices are created by aircraft flying in low speeds (takeoff and landing) and this
creates potential hazards for the subsequent flights in an airport. Vortices which are too
strong could cause physical damage and loss of control to following aircraft. To alleviate
this predicament, large longitudinal spacing between aircrafts and large spacing
between parallel runways are needed. This is to eliminate any possibility of a wake
62
Numbers in bold characters here refer to similar number appearing in the original patents quoted
849
__________________________________________________________________________________________
vortex to interact with a trailing aircraft. However, this measure greatly reduces an
airport’s capacity.
A Karman vortex occurs when a flow passes a bluff body at high Reynolds number.
Alternating sign vortices will be shed by bluff bodies and the shedding of these vortices
creates an unsymmetrical flow pattern around the wing, thus changing the pressure
distribution. This generates a periodic force which causes vibration along the wing.
Several ways to cause perturbations to the tip vortex in order to excite natural
destruction for early destruction were studied. They include mounting fixed-position
passive vortex shedding perturbators in the form of transverse jet or a bluff body near
the wings’ trailing edge. However having these perturbators increases the wing drag
and induces unwanted resonance of the wing due to vibration. Therefore, a need to
produce rapid variations in the position of vortex arises. These rapid variations causes
vortex generated from each wing to oscillate. Two vortices would interact and the
destruction would occur much earlier relative to natural circumstances.
The proposed invention by Eaton et al., 2010 (US Patent US7740206) [105] provides
a wake vortex alleviator on aerodynamic surfaces which perturbs the wake vortex in
real-time. The challenge in achieving an active wake alleviation strategy is finding the
appropriate and practical way to perturb the trailing vortices. The perturbation has to be
in real-time at suitable frequency where the total lift experienced by the wing will not be
drastically changed. The invention incorporates a translating flap integrated to an
aerodynamic surface. An example is shown in Figure 30, where a blunt Gurney flap
(200) vertical actuator is fixed at the trailing edge of an aerodynamic surface. Gurney
flaps are able to enlarge the section lift of an airfoil without suffering a large drag
increase as they effectively change the chamber of the airfoil and this increase
circulation about it. The small size of Gurney flaps enables them to achieve this while
remaining inside the airfoil boundary layer. The active translation of the flap along a slot
in the aerodynamic surface to induce early destruction of the wake vortex created. An
actuator is used to position the flap in air to enable positioning, translating and stowing
the flap. The flap – aerodynamic surface pair could be configured to one of several pairs
that are suited for specific applications, i.e., having additional lifting surfaces, better
yaw, pitch and roll control and to extend flutter boundary.
Supersonic aircrafts typically employ delta wings as the wings experience low drag at
supersonic lifts. However, these wings lead to a sudden formation of leading edge
vortices at off-design conditions due to the separation of boundary layer as it travels to
the leading edge from the lower surface of the wing, forming a shear layer which curves
and rolls into a region of high vorticity. Additionally, a spanwise outflow is generated on
the upper surface, causing another flow separation as it approaches leading edge, thus
forming secondary vortex.
Vortex lift control is related to the stabilisation of the vortex shed from the leading edge
of the wing, essentially locking the leading edge vorticity along the spanwise direction of
the wing. An effective increase of the wing camber and lift results from the reattachment
of streamline airflow passing over the upper surface of the wing and over the locked
vortex. Passive vortex lift control is a means to control unstable vortex upon reaching
850
__________________________________________________________________________________________
critical limits, also known as vortex burst, where wing lift is drastically reduced. Thus, it
is crucial to delay vortex burst and increase wing lift by controlling vortex stability.
Figure 31: Attachment of a Gurney flap at the trailing edge of an aerodynamic surface
[105]
Dixon, 1987 (US patent US4705240) [106] proposed an invention that has an apparatus
to establish vortex lift along the span of the planform of a high-lift airfoil. This can be
employed as a wing, side force generator or control surface.
The separated flow is combined into a leading edge vortex adjacent to the leading
edge. This organised vortex extends along the span of the upper surface and remains
locked. This locked vortex rotates and leads to a main chordwise air flow over the airfoil,
above the locked vortex and then deflected to be reattached to the surface aft of the
vortex. The airfoil is provided with a leading edge extension or strake (25) (see Figure
31(b))to aid in organising the separate flow into the vortex.
Figure 32: (a) A conventional swept aft airfoil at a positive angle of attack, illustrating
the formation of a leading edge vortex [106]. (b) A conventional swept aft airfoil having a
strake for organising and stabilising leading edge flow separation. [106]
The strake forms a stable vortex at a given angle of attack and then organises the
vortices shed from the leading edge into the vortex stabilised by the spanwise flow
which results from the strake vortex. This conversion of the separated flow to an
organised vortex increases lift, according to the increase in angle of attack until vortex
burst is achieved thus reducing lift. Several other possible configurations of this
invention include appropriately placed panels together with small leading edge to delay
separation as much as possible. The design of this invention thus provides passive
vortex lift control, delay vortex bursting and improve lift to drag ratios. These are
achieved by having a favorable pressure distributio
n which enhances aerodynamic performance, stability characteristics and structural
design loads.
851
__________________________________________________________________________________________
As for Short Takeoff and Landing (STOL) aircrafts, the need for short and narrow,
austere landing fields requires glide paths which are accurate and proper directional
control. During a STOL landing, the controllability of a STOL aircraft diminishes
drastically. Under certain conditions, the airflow across the upper surface of the wing
can suffer from partial or substantial separation from the upper surface, leading to a loss
of control. This stall condition generally occurs at low flying speeds and when the wing
is at a relatively high angle of attack and maximum lift is substantial. This condition is
also common in other aerodynamic members such as ailerons, rudders and elevators.
Large control surfaces are needed for STOL aircrafts due to the large pitching, yawing
and rolling moments associated with powered lift arrangements. Thus, a high drag
situation is encountered at cruise. For greater lateral response for a given control input
at STOL operation, sideforce controls are to be enhanced by including thrust deflection
vanes in the slipstream and also having large control surfaces, aforementioned.
However, movable vane configuration gives rise to large thrust losses and they need
complex actuators which are difficult to maintain, leading to reduced reliability of
performance. As a solution, the invention by Thomas, 1987 (US Patent US4682746)
[107] provides a control force generator which can eliminate the common yaw and roll
that are normally associated with using conventional control surfaces. The control force
generator reduces drag and alleviates thrust losses by maximising its aspect ratio while
providing lateral force which is independent of other control forces. Besides, as
previously mentioned, the need for large control surfaces is removed. A feature of this
invention is the use of circulation control in a single Coandă surface, with double slot to
selectively generate lift on otherwise non-lifting surface.
From Figure 33, a fluid jet is discharged from a control port (43B) and this jet, upon
flowing in a body of relatively stagnant fluid, entrains some of the surrounding fluid and
starts it in motion. As the surrounding fluid is brought along the sides of the jet, fluid
which has been replenished continuosly moves into this region. Along the open air, the
average pressure equals to ambient pressure and the average pressure on the Coandă
surface (45) is below ambient as the replenishing fluid has to flow down an opening
between the jet boundary and the Coandă surface. The pressure gradient forces the jet
to move closer and attach to the Coandă surface. This attachment causes the jet to be
deflected tangentially to the surface and results in an entrainment of the fluid flow
stream next to the control port. This, in turn leads to the imparting of flow velocity to
stream in the direction of the Coandă surface. An apparent increase in angle of attack
of the fluid flow over the leading edge can be observed due to the downstream
deflection of the fluid flow stream.
This generates a lift perpendicular and away from the surface. The force generator can
also be mounted to the bottom surface of the wing, to produce sideforce on the aircraft.
Placing the generator on the wing results in deflection of propeller or jet thrust and the
versatility of the generator placement is highly praised.
852
__________________________________________________________________________________________
Figure 33: A representation of the operation of a control force generator [107]
A simple mechanism was developed by Evans, 2013 (US Patent US20130228236)

[108] as a provision to control fluid flow in order to minimise drag around a moving
vehicle. As vehicles move through fluid, a layer of turbulent fluid flow is created which
circulates along the vehicle, which is slow moving relative to the fluid flow that is not in
contact with the vehicle’s surface area.
The fluid layers of different speeds meet at the back of the vehicle and form a low
pressure region or a vacuum. The vortices and turbulent layer create a drag force which
impairs the speed and the efficiency of the moving vehicle. Evans came up with a
solution to control fluid flow, alleviating the creation of vortices which create drag
against the vehicle is needed.
Figure 34: A close-up of the flow enhancement devices (100) on a vehicle surface (510)
[108]
The solution is a device which has easy attachment / detachment to vehicles (see
Figure 34). The invention comprised of two portions: an aerodynamic part and a
fastening part. The aerodynamic portion deflects incident air toward it while the second
portion which has a first side and a flat second side. The second part secures both
portions. A gripping pad with an adhesive side is attached to the flat second side of the
second portion. The surface flow enhancement devices can be placed on the vehicle
surfaces to divert the fluid flow around the surface of the device. These increase the
circulation of the fluid around the vehicle and hinder friction resistance which increases
drag.
An invention by Pitt, 2012 (US Patent US8251317) [109] focuses on the benefits of
varying the porosity of an aerodynamic surface. Incorporation of variable porosity
system could lead to enhancement of performance and environmental impact of an
aircraft. This design incorporates two layers of pores and an actuator mechanism
whereby the layers are slide-able relative to one another. The actuator is devised from a
shape memory material which changes its length according to ambient temperature.
853
__________________________________________________________________________________________
Figure 35: Cross sectional view of an aerodynamic surface having a variable porosity
system at with pores of both layers in alignment with each other [109]
The variable porosity system can be applied to any lifting surfaces, control surfaces and
propulsion system of an aircraft. Having the variable porosity system in wings alleviates
transonic shock and energises certain regions of the boundary layer, especially at
points where separation of flow is most likely to occur. This will delay stall at increasing
angles of attack. The variable porosity system also eases the airflow from high pressure
region to low pressure region, and promotes airflow into the engine inlet. An added
benefit to this is that the proper configuration of the variable porosity system could
alleviate noise from aircraft, particularly due to the interaction of vortices with the trailing
edge flap during landing.
Figure 35 indicates that a sliding mechanism is vital for the system. The system
utilises materials of low sliding coefficient and a reliable actuator mechanism, made
from shape memory alloy which is able to contract upon application of heat and thus
moving the second layer in relation to the first. The shape memory wires could also be
trained via appropriate heat treatments to stretch when the aircraft is on the ground at
relatively high ambient temperature and contract as the external temperature
decreases, as the aircraft gains altitude. An antagonistic configuration of the shape
memory wire pair is preferred as they provide a platform for a minimum-power active
control arrangement for this system. Inclusion of a plenum in the system enables it to
act as a recirculation chamber which re-energises the flow in low pressure region, thus
reducing boundary layer thickness and weakening shock waves, both which leads to
enhanced aerodynamic performance.
7.2. Active flow control
Active flow control systems used in various situations as a means to modify shear
layers, control flow separation by energising the boundary layer as well as produce
thrust vectoring by generating jet deflections. A crucial part of active flow control
technology is the usage of flow actuators. These actuators produce a steady, oscillating
or pulsating acoustic, momentum or mass flow field over a range of frequencies,
affecting the flow that is being controlled.
Boespflug et al, 2013 (US patent US20130284273) [110] presented a method to

manipulate a primary fluid flow over a surface by means of an active flow control
system. The system includes an active fluid flow device which is capable of providing lift
enhancement and lift destruction. The active fluid flow device can also be triggered to
854
__________________________________________________________________________________________
produce a secondary fluid flow which can be steady blowing, pulsed or oscillating. While
a primary flow field is created over the surface, a secondary fluid flow is injected in
upstream direction where it opposes the inflow of the primary fluid. This influences the
primary flow as momentum of the secondary fluid flow interacts with it. Lift destruction
occurs when a large component of momentum of the secondary fluid flow disrupts the
incoming primary fluid flow. Lift enhancement and stall extension is achieved when the
small component of momentum of the secondary fluid flow mixes substantially with the
incoming primary fluid flow.
The active flow control device could be a synthetic jet flow control device such as a dual
bimorph synthetic jet actuator (DBSJ) and an oscillatory jet. The device may include
other pressurised fluid sources such as a blowing source which is centralised and
conducts the fluid through ducts in the blade.
Figure 36: An active flow control system integrated in an aerodynamic structure [110]
Figure 36(b) shows an enlarged view of active flow control section of Figure 36(a).
Having injected at least one of a steady, pulsed or oscillatory air flow of a chosen
strength in the upstream direction toward the primary incoming air flow, an
enhancement or destruction of lift could be obtained, depending on the operation
settings. The momentum addition together with vorticity production provides an
instantaneous lift when combined with the injected secondary fluid flow’s acceleration
(similar to the Coandă effect with a steady jet) and acts as a flow blockage when the
momentum is sufficiently high, leading to lift destruction.
Despite having great flow control in laboratory experiments, the integration of such
flow actuators into hardware of aerospace vehicles remains a challenge. These devices
are to withstand harsh environments and shock loads during their operation. Thus, they
have to be robust, reliable and have a long life cycle.
Figure 37: Placement of flow actuators on a aerodynamic structure [111]
855
__________________________________________________________________________________________
An invention by Raghu, 2013 (US Patent US8382043) [111] incorporates an

aerodynamic flow control device which has a compact array of a multiple discrete fluidic
actuator oscillators in a planar or linear fashion (refer to Figure 37), or a circular or non-
planar structure. The actuators are capable of producing high frequency oscillating or
sweeping jets which interact with the incoming flow and controls flow separation by
energising the boundary layer with appropriate mixing. Integration of the present
invention into the wing section of an airfoil at various locations along the chord or the
flap of a wing leads to an increase in lift force, decrease in drag and a reduction of
download during vertical takeoff and landings. Having the flow control devices in the
rudder or tail wing would result in an increase of control forces required to steer the
plane. This leads to a reduction of the tail wing size, thus saving weight and fuel.
Application of present invention in wind turbine blades generates increased power for a
given size of turbine blade and can operate at lower wind speed. The compact fluidic
actuators also help in noise reduction in jet and rocket engines. This is done by injection
of small amounts of momentum in the edge of the jet from random oscillating jets, which
creates axisymmetric vertical structures which are able to weaken the source of
aerodynamic noise.
Currently the arrays are made of both metals such as aluminum and stainless steel
and various types of engineering plastics depending on the application. The
development in materials technology in creating new lightweight and high strength
materials would benefit the fabrication of these arrays in terms of manufacturing cost
and also increased strength of the arrays.
7.3. Helicopters
Circulation enhancement technology has given a fair share to the improvement of

helicopters. The patents discussed will include redesigning the tail boom to be of airfoil
shape and also having circulation control in rotors and yaw control.
The torque from the main rotor of conventional helicopters during operation causes the
fuselage to rotate in a direction opposite to that of the main rotor. At low forward
speeds, the downwash force is at maximum, requiring greater torque control to oppose
the fuselage torque. A means of controlling the fuselage torque during takeoff, landing
and low forward speed flight is by utilising tail rotors. A tail rotor for a conventional
helicopter is attached to the aft section of the fuselage through a tail boom.
Brand et al, 2013 (US Patent US20130087653) [112] have designed a tail boom with
the shape of an airfoil (see Figure 38). The tail boom is manufactured as a single airfoil
shaped member where the side surface (309) acts as the pressure surface of an airfoil
and the side surface (311) acts as the suction surface. Both surfaces are tapered
towards each other to form the leading and trailing edges respectively. A high pressure
region is created near the side surface and a low pressure region is generated near the
suction surface of the airfoil. This pressure difference results in the movement of the tail
boom towards the low pressure region and this motion rotates the tail boom in a lateral
direction, opposing the fuselage torque. An effective and lightweight solution is therefore
presented for the purpose of an anti-torque device for a conventional helicopter.
856
__________________________________________________________________________________________
Figure 38: Top view of a tail boom detached from the aft section of the fuselage [112]
VanHorn, 1990 (US Patent US4948068) [113] has incorporated a solution for NOTAR
(No Tail Rotor) system where the tail rotor for a conventional helicopter is replaced with
vortex generators in the longitudinal slots or nozzles which generates the circulation
control of the system and combined with a jet thrusters and fluid resource. The thruster
directs air to either side of the tail boom in various amounts, providing variable side
force on the boom. Figure 39 shows a pictorial representation of the NOTAR system. A
variable-pitch, axial flow fan taken in air and feeds the longitudinal nozzles (11).
Figure 39: (a) shows a helicopter in a NOTAR system. (b) shows the longitudinal
nozzles with integrated vortex generators [113]
Low pressure air is ejected from two thin horizontal nozzles which then generates a thin
stream of air which follows the contour of tail boom and induces wake at the main rotor.
This attachment produces lift on the tail boom which counteracts the torque of the main
rotor. Addition of vortex generators (20) gives rise to production of a pair of trailing
vortex filaments. These interact with the boundary layer to induce free stream, formed
by the main rotor. The interaction delays the boundary layer separation from the tail
boom’s surface, thus creating lift as well as enhancing circulation control about the tail
boom.
Schmidt, 1978 (US Patent US4131390) [114] invented a circulation controlled rotor
blade, which eliminates flutter and provides lift by means of Coandă effect. The system
works by introducing a laminar flow over the trailing edge of the blade, which has a
deformable tube to control a spanwise slot. This slot is created by the combination of an
upper trailing edge lip with the deformable tube. The laminar flow is a result of
compressed fluid directed through the rotor blade and through the slot. Having an
adjustable slot provides a uniform slot width without interfering with the laminar flow
over the Coandă edge or without generating turbulence. From Figure 39(a), a helicopter
rotor blade is shown having comprised of a skin, a thin sandwich of epoxy / graphite
core between metal, forming the leading edge at the fold. Spanners run along the
longitudinal length of the blade forming ducts in the blade’s interior, to facilitate flow of
air from rotor hub to the position where the blade is attached. These ducts present a
857
__________________________________________________________________________________________
uniform flow of the compressed fluid which is directed to the trailing edge assembly
along the blade span.
Figure 40: (a) shows the top plan view of a helicopter rotor blade. (b) is a perspective
view of a section of a rotor blade without trailing edge assembly [114]
Figure 40 shows the components of the trailing edge assembly – a lip, a fluted core or
vanes and a Coandă edge (34). A detailed cross-sectional view is exhibited in Figure
41.
Combination of the lip and the Coandă edge gives rise to a slot which is responsible in
introducing fluid flow over the trailing edge and entraining the fluid medium in which the
blade is operating to follow the blade’s surface. This creates additional lift, due to
Coandă effect. Having a suitable valving at the hub modulates the compressed fluid
flow, thus controlling the lift amount. This design proposes a critical slot width of
approximately 0.002 times the blade’s chord – currently unachievable due to
manufacturing constrains. Thus, some means for adjusting the slot width is crucial
without having any mechanical means at the slot which would disturb laminar flow by
creating turbulence.
Table 3: An overview of Selected Recent Patents on Circulation Control
No Patent Inventor Ref Key Type

Features
1 US20120018021: Vortex Generators To Babinsky H, [103] Split-Ramp Passive
Control Boundary Layer Interactions (2012) Loth E, Lee S Vortex
Generator
2 US20110120980: System and Method for Corke T, [104] Streamwise Passive
Aerodynamic Flow Control (2011) Thomas F, Vortex
Shatzman D, Generators
Wood T
3 US7740206: Translating Active Gurney Flap Eaton J, [105] Flap Actuators Passive
to Alleviate Wake Vortex (2010) Matalanis C Wake Vortex
Alleviators
4 US4705240: Passive vortex lift control Dixon C [106] Delay vortex Passive
(1987) burst with
leading edge
extension /
strake
5 US4682746: Control force generator (1987) Thomas A [107] Single Lifting Passive
Coandă
858
__________________________________________________________________________________________
Surface
6 US20130228236: Surface Flow Evans R [108] Increased Passive
Enhancement Device Having a Gripping Circulation
Pad (2013) Easy
attachment
and
detachment of
device
7 US8251317: System and Method for Pitt D [109] Variable Passive
Varying the Porosity of an Aerodynamic Porosity
Surface (2012) System
Shape
Memory Wire
Actuator
8 US20130284273: Method of Using an Boespflug M, [110] Active Flow Active
Active Flow Control System for Lift Saddoughi S, Control
enhancement or Destruction (2013) Bennet JR G, System
Opaits D DBSJ
9 US8382043: Method and apparatus for Raghu S [111] Fluidic Active
aerodynamic flow control using compact actuators
high-frequency fluidic actuator arrays (2013)
10 US20130087653: Airfoil Shaped Tail Boom Brand A, [112] Airfoil shaped Helicopter
(2013) Narramore J, tail boom
Harse J, Anti-torque
Lanigan B. Device
11 US4948068: Circulation Control Slots in VanHorn J [113] No Tail Rotor Helicopter
Helicopter Yaw Control System (1990) (NOTAR)
12 US4131390: Circulation controlled rotor Schmidt J [114] Coandă Effect Helicopter
blade (1978)
Figure 41: Cross-sectional view of the blade in Figure 40 (a), taken along line 4-4 [114]
The invention presents a circulation controlled rotor blade having an adjustable trailing
edge spanwise slot. Non-turbulent compressed fluid is conducted through the slot and
the slot gap is controlled by the aforementioned deforming tube of the trailing edge
assembly. A fluted core aids in reduction of turbulence in the compressed fluid stream
and also supports the upper trailing edge lip. This invention claims to have provided a
mechanism for the adjustment of helicopter rotor blade slot without invoking turbulence
or disturbing the lift of the blade.
All these patents are tabulated in Table 3, which highlights major features of the
selected patents.
859
__________________________________________________________________________________________
VII. FURTHER DIRECTIONS, APPLICATIONS AND TECHNICAL CHALLENGES

FOR AERODYNAMIC PERFORMANCE ENHANCEMENT
Circulation control is a viable active flow control approach that can be used to meet the
NASA Subsonic Fixed Wing project’s Cruise Efficient Short Take Off and Landing goals.
Currently, circulation control systems are primarily designed using empirical methods.
However, large uncertainty in our ability to predict circulation control performance has
led to the development of advanced CFD methods. This paper provides an overview of
a systematic approach to developing CFD tools for basic and advanced circulation
control applications. This four-step approach includes “Unit”, “Benchmark”,
“Subsystem”, and “Complete System” experiments. The paper emphasizes
the ongoing and planned 2-D and 3-D physics orientated experiments with
corresponding CFD efforts. Sample data are used to highlight the challenges involved in
conducting circulation control computations and experiments [117].
The development outlined in previous sections lead to an impression that the recent
focus on revolutionary aerodynamic concepts has highlighted the technology needs of
green transport aircraft, general aviation and personal aircraft. New and stringent
restrictions on these types of aircraft have placed high demands on aerodynamic
performance, noise, and environmental issues. Improved high lift performance of these
aircraft can lead to slower takeoff and landing speeds that can be related to reduced
noise and crash survivability issues. Circulation Control technologies have been around
for 65 years, yet have been avoided due to trade offs of mass flow, pitching moment,
perceived noise etc. [4]. NASA (NASA-Green Aviation [115]) has a set of “Green
Aviation” research goals which are related to mitigating environmental impacts of
aviation. NASA’s goals represent world’s serious effort to achieve environmentally
friendly aviation and aircrafts technology, such as to reduce aircraft fuel consumption,
emissions and noise simultaneously, which is a much more difficult challenge than
working to reduce them individually. Such effort has been envisioned in Europe as Joint
Technology “Clean Sky Initiative” [116]. As pointed out by Rogers [24], the trend and
vision of future air-transportation system will address the following issues:
a) Discover, explore, and develop technology concepts to improve aerodynamic
efficiency for overall system-level benefit to energy efficiency and environmental
compatibility.
b) Meet energy efficiency challenge by reducing drag.
Such requirements could be met by the following technology approaches [24]:
(i) Novel configurations enabling laminar flow, reduced wetted areas, higher aspect
ratio wings, and synergistic propulsion/airframe integration
(ii) Revolutionary enabling technologies including boundary layer ingestion, active
flow control, and concept-enabling flight control strategies
(iii) Improved physical understanding and physics-based high-fidelity computational
design tools with broad applicability
In particular, associated with the aerodynamic development of fuselage and wings,
Tailored Fuselage Initiative is focused on exploring and developing technologies
enabling direct skin friction reduction, with a goal of reducing the fuselage turbulent
boundary layer drag by 10%. Associated with N+3 aircraft design, the ultimate goal is to
860
__________________________________________________________________________________________
develop wing shaping control technology, which may incorporate Active Flow Control for
mechanically simple high-lift systems and improved understanding of flow control
physics, which is focused on exploring and developing technologies enabling highly
coupled, synergistic aero-propulsive-control integration. Novel aerodynamic
configurations and installation approaches may incorporate boundary layer ingestion
and distributed propulsion. Associated with these technology approaches, Circulation
Control technology has been considered to be promising. Departing from the present
state of the art, however, various research and development efforts still need to be
carried out. With the progress and availability of various CFD computational codes,
validation by Circulation Control Airfoil Experiments still need to be continued, among
others to establish database for Turbulence Modelling assessment and development. Of
particular interest are conditions at the jet exit (these will define the boundary conditions
for CFD) and the boundary layer state.
Several ideas raised in early 1970's may have to be revisited. The optimization of high
lift and cruise performance with one airfoil shape gives rise to the pneumatic flap
concept. [4] [118] [119]. The concept was based on the ability to switch from a high lift
configuration to a cruise configuration without utilizing any mechanical systems. Two
independent blowing systems allows a multi-function system that can be used for high
lift systems and flight control systems such as ailerons and air brakes. The transition
from a high lift to a cruise configuration is dependent on the upper and lower blowing
ratios and the free stream velocity. Further research could be addressed to alleviate
Coandă effects in modifying the flow at the trailing edge and the leading edge
stagnation simultaneously that may produce a large pressure gradient at the leading
edge, which can lead to premature boundary layer separation and airfoil stall. To avoid
conventional leading edge slats or other flow control techniques a blunt leading edge is
desired.
The two most popular Coandă shapes typically used for CCW applications are based
on circular and elliptic profiles. For low speed applications such as high lift, the circular
profile is more effective than the elliptic shape. However the elliptic shape is more
effective at high-speed cruise conditions than the circular shape. Current research have
also been addressed to the trade-off between the high lift system and the dual blowing
to optimize the cruise drag.
The momentum coefficient Cμ is a critical parameter in understanding the efficiencies

of blown systems such as the GACC. The non-linearity of the momentum coefficient
due to the density ratio has also been given considerations. The momentum coefficient
Cμ characterizes the physics related to airfoil performance for different slot heights.
Nominally smaller slot heights yield a larger return in lift coefficient at constant C μ than
do larger slot heights. An empirical technique often used to collapse the performance
data utilized in [4] is given by
  U  
CBLC = C 1 − CpJet      (7)
   U jet 
   
Empirical methods derived from experiments have been traditionally used in the design
process. However, the complexities of many flow control techniques in use today,
including circulation control, far exceed the experimental databases used to develop the
861
__________________________________________________________________________________________
empirical methods. By coupling physics-based CFD tools with validation experiments

parametric studies that characterize the sensitivities of wing geometries and blowing
systems can be developed to advance empirical techniques necessary to design a
CESTOL type aircraft. However, the notion that CFD simulations were unable to
consistently and accurately predict the performance of a CC airfoil prompted renewed
experimental initiatives to validate CFD simulations for the advancement of Circulation
Control technology.
Jones et al [117] describes a systematic approach to developing experimental and

computational databases for improving CC prediction capability. In general, CFD
validation is defined by determining how well the CFD model predicts the performance
and flow physics when used for its intended purposes. The level of CFD validation can
be defined by the complexity of the code and the experiment being used for validation,
as described in Figure 43. These levels of validation are being pursued using NASA’s
airfoil, semi-span wing, and full-span Hybrid Wing Body geometries have been the focus
of many current research.
One of the parameters that CC performance is typically characterized by and that must
be carefully documented is the thrust or momentum coefficient, Cμ. The sensitivity of
the airfoil performance to Cμ is dependent on the jet characteristics and the airfoil
geometry, particularly on the surface near the jet exit. There are two physical regimes
that define circulation control as a function of blowing. These regimes are commonly
referred to as separation control and super-circulation control and exhibit different global
efficiencies as determined by the change in unit lift due to the change in unit blowing
[117]. The transition from one regime to another is not always clearly identified and is
dependent on the sharpness of the trailing edge. The systematic study of this
mechanism should include different trailing edge geometries that include a hinged
flapped geometry (i.e. fixed separation located at tip of flap) and a circular geometry (i.e.
separation location free to move up to 180o).
Unit Problems Benchmark Cases Subsystem Cases Complete System
• Simple Geometry • Special Hardware • Subsystem or • Actual System

Hardware Fabricated Component Hardware Hardware
• One Element of • Two Elements of • Moderately Complex • Complete Complex
Complex Flow Physics Complex Flow Physics Flow Physics Flow Physics
• One Relevant Flow • Two Relevant Flow • Multiple Relevant Flow • Multiple Relevant Flow
Feature Features Feature Feature
• Low Experimental • Moderate Experimental • Large Experimental • Limited Experimental
Uncertainty Uncertainty Uncertainty Data
• All Initial Conditions • All Initial Conditions • Some Initial Conditions • Most Initial Conditions
and Boundary and Boundary and Boundary and Boundary
Conditions Measured Conditions Measured Conditions Measured Conditions Unknown
862
__________________________________________________________________________________________
NASA/GTRI 2-D geometry with an elliptic leading edge and a large circular trailing edge
profile, shown in the lower part of Figure 42, was chosen as the benchmark geometry
for NASA’s 2-D effort because it is characteristically simple and has a large trailing-edge
radius for accurate measurements of jet separation [4] [80] [117]. The dual blowing
(both upper and lower surfaces) capability will be used to manage the drag
characteristics, but will have a lower priority in the initial validation database
experiments.
While it has been difficult to compute 2-D circulation control applications reliably, it
has also been difficult to generate 2-D experimental data independent of the influences
from wind tunnel walls. The two dimensionality of the flow and the wall effects are
proportional to the amount of circulation control hence lift generated by the wind tunnel
model. The over-predictions of two-dimensional CFD simulations in comparison to the
wind tunnel measurements are generally related to the walls limiting the streamline
turning, as shown in Figure 43 (a), and the wall and model juncture for 2-D testing
shown in Figure 43 (b) [117].
Figure 42: Four levels of CFD validation used to study circulation control [117]
An example of the Particle Image Velocimetry (PIV) data compared to 2-D RANS
calculations, shown in Figure 44, illustrates how CFD can be used to estimate the AOA
effects of the wind tunnel walls. The leading-edge stagnation location measured with the
PIV data is at x/c value of 4.03%. The comparable CFD calculation in free air (i.e. no
wind tunnel walls) identifies the stagnation to be at an x/c of 7.75%. An AOA adjustment
of -5° for the CFD simulation resulted in a close match to the experimental results for
both the stagnation location and airfoil pressure distribution. The AOA adjustment based
863
__________________________________________________________________________________________
on classic wall corrections to account for tunnel wall interference is of this magnitude.
Further investigation of wall interference using CFD tools is warranted.
(a) (b)
Figure 43: (a) 2-D CFD prediction of the floor and ceiling walls, AR=3.26, Cμ=0.115,
NPR=1.2 Cl=4.87 (no walls, blue), Cl=4.43 (walls present, red), h/c=0.0023, wind tunnel
height to chord=4.88, CCE0020EJ airfoil; (b) 3-D CFD prediction of the wall juncture
flow, AR=3.26, Cμ=0.23, NPR=1.4 Cl=5.09, h/c=0.0023, CC-E0020EJ airfoil
Figure 44: Example of PIV stagnation streamline data compared to CFD computations,
GACC airfoil at αGEOMETRIC = 0o [117]
864
__________________________________________________________________________________________
Another novel project is preently in progress at the German Aerospace Institute DLR.
The recently founded Collaborative Research Centre SFB 880 located in Braunschweig,
Germany, combines the competencies of Technische Universität Baunschweig,
Universität Hannover and the German Aerospace Center, DLR, for fundamental and
applied research in high-lift of future commercial aircraft. Based on the hypothesis that
active high-lift systems with high levels of aerodynamic efficiency will add significant
value to future civil transport, they are working on a SFB 880 Reference Configuration,
as depicted in Figure 45, which represents the state of the art in CO2 reductions, low
noise, and STOL for point-to-point air connections within Europe 120]. The overall
working hypothesis of the Research Centre SFB 880 states that active high-lift systems
with high levels of aerodynamic efficiency will add significant value to future civil
transport. These active systems will provide much higher flexibility in the generation of
high-lift for aircraft families and aircraft upgrades, they will allow significant reductions of
airframe noise emissions, and they provide a viable path towards Short Take Off and
Landing (STOL) capabilities. The latter route of research aims at a new transport aircraft
segment for use on airports with shorter runway length, that are presently not
considered in airline operations [119]. The new class of aircraft would be equipped with
advanced technologies for drastic airframe and engine noise reduction. It would
represent a community friendly aircraft (labelled “Bürgernahes Flugzeug” in German
language) designed for operations much closer to the home of its passengers than
today possible. Coandă-jet configure high-lift airfoil with morphing droop nose at
Cμ=0.035 has been considered in their investigations, as exhibited in Figure 46.
Figure 45: SFB 880 Reference Configuration [119]
Figure 46:
Flow around active high-lift airfoil with morphing droop nose at Cμ =0.035 [119].
865
__________________________________________________________________________________________
The above discussions highlight current research efforts in various research institutions
(NASA, DLR, for example) concerning circulation control that emphasize CFD validation
and the creation of benchmark experimental databases to advance our knowledge base
and prediction capabilities. The systematic CFD validation approach is focussed on
foundational flow physics research for near-term conventional aircraft applications and
longer-term hybrid wing-body configurations. The measurement and validation
challenges for small scale circulation control experiments are being pursued through
various as elaborated.
The circulation control examples shown highlight recent advances in CFD and
experimental methods. These examples set the stage for developing wind tunnel
databases related to supercirculation that will be required for CFD validation. The
outcomes of these efforts are expected to improve both experimental and CFD
capabilities related to powered-lift and circulation control. Provision of a unique data set
that will enable researchers to separate out the effects of the different blowing
parameters will be relevant to better understand the complex physics of advanced
circulation control applications. It could be noted that further research are needed for
the interaction of Coandă-Jet Wake and Trailing Vortices. Applications studies of
Coandă jet for wind-turbine [25-28] [57] [58] [120] and MAV's [92] have been in
progress, but efforts still have to be devoted for establishing a working prototype in a
dedicated program like in aircraft applications.
VIII. CONCLUSION
Progress and development of Circulation Control of Aerodynamic Surfaces, with
particular reference to Coandă Jet and Vortex Cell have been reviewed and assessed,
in view of their features and capabilities addressing requirements and trends of modern
aircraft. In this conjunction, related and selected inventions that have been patented are
also revieed and assessed. The main objectives are to gain an in-depth insight on the
fundamental principles of various Circulation Control Techniques, with particular
attention to Coandă-jet, its feasibility and practicability and to identify salient features
essential for its optimal utilization.
Fundamental analyses and CFD numerical experiments provide insights for

understanding the physics of the problems, and fundamental and applicatory
experiments are essential in observing the detail of the phenomena and understanding
their subtlety. CFD numerical experiments have also been carried out to elaborate and
verify the favorable effects of Coandă configured airfoil for enhanced aerodynamic
performance and obtain some guidelines for their critical features.
The choice of turbulence model and other relevant parameters commensurate with the
grid fineness desired are critical, in particular since the number of grid utilized is
relatively small in view of the desktop computer utilized capabilities. Parametric studies
can be considered to be an essential tool for analysis and may offer some clues on
relevant parameters which may be utilized in a multi-variable optimization (and to a
866
__________________________________________________________________________________________
larger scale, multi-disciplinary optimization). The introduction of Coandă-jet on both

airfoils and aerodynamic surfaces results in enhanced L/D, which depends on the jet
velocity or momentum coefficient. Rounding-off of the TE along with the introduction of
the Coandă-jet seems to be effective in increasing L/D in airfoil specifically designed for
Wind-Turbine, as exemplified by S809. Recent applications of Coandă-jet for STOL,
ESTOL and/or CESTOL also indicate the need for doubly-curved trailing edge or flaps.
The study on Coandă-jet application to wind turbines also shows that the maximum total
energy output of Coandă configured airfoil may exceed that predicted by Betz limit.
In the combined theoretical and numerical analyses, one is lead to come up with logical
cause and effect laws as well as to find ways to carry out optimization schemes for
desired design configurations. In summary, future work may look at various key issues
such as the influence and the effectiveness of the Coandă enhanced lift for a
comprehensive series of configurations, for axial thrust (lift), mass flow rate or torque
producing mode, and the corresponding gain or changes in lift, drag (or L/D ratio),
optimum configuration of the Coandă effect lift enhanced airfoil, the feasibility and
practicability of Coandă configured airfoil for wind-turbine applications and the
unsteadiness effect of Coandă-jet applications that may determine the success of
Coandă-jet applications.
A brief review of Trapped Vortex Cavity (TVC) research shows that TVC is a
promising technology, and active research is in progress for trapped vortex stabilization
that constitutes the crux of the technique. Various parameters are relevant for Coandă-
jet and Trapped Vortex Cavity, among others the momentum or blowing coefficient
introduced to the original flow. In retrospect, Coandă enhanced lift enhancement
technique has to a certain extent reached a stage for its practicability and application
advantages.
IX. ACKNOWLEDGEMENT
The author would like to thank Universiti Putra Malaysia (UPM) for granting Research
University Grant Scheme (RUGS) No. 9378200; CC-91933, under which the present
research has been initiated, and the Ministry of Higher Education Exploratory Research
Grant Scheme Project Code No. 5527088, under which the present research is carried
out.
ABBREVIATION
AR Aspect Ratio LE Leading Edge
ATC Air Traffic Control MAV Micro-Air-Vehicle
AUV Autonomous Underwater Vehicle N+2 aircraft Aircraft design associated with two
design generations beyond the present flying
generation (2020 time frame)
BWB Blended-Wing-Body N+3 aircraft Aircraft design associated with three
design generations beyond the present flying
generation (2030 time frame)
CC Circulation Control NASA National Aeronautics and Space
Administration
867
__________________________________________________________________________________________
CC Coandă Configured NPR Nozzle Pressure Ratio

CCR Circulation Control Rotor / Rudder NOTAR No-Tail-Rotor
CCW Circulation Control Wing NREL National Renewable Energy Laboratory
CESTOL Cruise Efficient Short Takeoff and Landing NSWC Naval Surface Warfare Centre
CFD Computational Fluid Dynamics NSRDC Naval Ship Research and Development
Centre
D Drag RANS Reynolds-averaged Navier-Stokes
ESTOL Extreme Short Takeoff and Landing S/VTOL Short/Vertical Takeoff and Landing
GACC General Aviation Circulation Control TE Trailing Edge
HAWT Horizontal Axis Wind Turbine TVC Trapped Vortex Cavity
L Lift VTOL Vertical Takeoff and Landing
VAWT Vertical Axis Wind Turbine
NOMENCLATURE
c Chord length k turbulence kinetic energy

CL Lift Coefficient turbulent dissipation
CD Drag Coefficient y+ wall parameter
Cp Centre-of-Pressure Vmax maximum tangential velocity (of a
vortex)
C Momentum / Blowing Coefficient x, y, z coordinates in x-, y- and z-direction
Cm Moment Coefficient yC, zC coordinates of the vorticity centroid
in half a plane in y- and z-direction
L/D Lift to Drag Ratio α angle of attack
R Radius ηHTP horizontal tail plane setting
Re Reynolds number based on the wing chord length Γ Circulation
t time Γ0 initial value of circulation
t Airfoil Thickness departure angle
V Freestream Velocity 𝜌 Density
Lift Augmentation Factor τ non-dimensional time
u, v, w axial, lateral and vertical velocities ξ non-dimensional axial vorticity
u, v, w mean axial, lateral and vertical velocities  angular velocity of a vortex
u’, v’, w’ fluctuation part of u, v and w  vorticity
U∞ free stream velocity  kinematic viscosity
V tangential velocity (of a vortex) jet width
p pressure
n normal vector Subscripts
j mass flow of jet dom dominant
S wing area HTP horizontal tail plane
h slot height W wing
x distance
M Mach Number
X. REFERENCES
[1] Kweder J, Panther CC, Smith JE. Applications of circulation control, yesterday and
today. International Journal of Engineering, (IJE) 2011-195;4(5):411-429
[2] Davidson IM. Jet flap development. Reporting on a lecture from the National Gas
Turbine Establishment before the Royal Aeronautical Society. Available at:
http://www.flightglobal.com/FlightPDFArchive/1955/1955%20-%201539.PDF/ (Accessed
on: December 15, 2013.
[3] Maskell EC, Spence DA. A Theory of the jet flap in three dimensions. Proceedings of the
Royal Society of London, Mathematical and Physical Sciences Series. London, UK,
June 1959.
[4] Jones GS, Viken SA, Washburn AE, Jenkins LN and Cagle CM. An Active flow
circulation controlled flap concept for general aviation applications. AIAA 2002-3157,
2002.
[5] Gad-el-Hak M. Flow control: passive, active, and reactive flow management. Cambridge
University Press, 2007.
[6] Gad-el-Hak M. Modern developments in flow control. Appl.Mech.Review1996;49:365-
868
__________________________________________________________________________________________
379.
[7] Prandtl L. Über Flüssigkeitsbewegung bei sehr kleiner Reibung. Int Math Kongr.
Heidelberg, Leipzig, 1904.
[8] Englar RJ, Smith MJ, Kelley SM, Rover III RC, Development of circulation control
technology for application to advanced subsonic transport aircraft. part I: airfoil
development, AIAA Paper 1994; 1160-1168.
[9] Englar RJ, Kelley SM, Rover III RC, Smith MJ. Application of circulation control to
advanced subsonic transport aircraft. part II-transport application, Journal of Aircraft
2012; 31.
[10] Harris MJ. Investigation of the circulation control wing/upper surface blowing high-lift
system on a low aspect ratio semispan model. DTIC Document 1981.
[11] Lan CE, Campbell JF. Theoretical aerodynamics of upper-surface-blowing jet-wing
interaction, National Aeronautics and Space Administration 1975.
[12] Liu Y. Numerical simulations of the aerodynamic characteristics of circulation control
wing sections. Georgia Institute of Technology 2003.
[13] Mamou M, Khalid M. Steady and unsteady flow simulation of a combined jet flap and
Coandă jet effects on a 2D airfoil aerodynamic performance. Revue des Energies
Renouvelables CER 2007; 7: 55-60.
[14] Radespiel R, Pfingsten K, Jensch C. Flow analysis of augmented high-lift systems.
Hermann Schlichting –100 Years 2009; 168-189.
[15] Shojaefard M, Noorpoor A, Avanesians A, Ghaffarpour M. Numerical investigation of
flow control by suction and injection on a subsonic airfoil. American Journal of Applied
Sciences 2005; 2:1474-1480.
[16] Min BY, Lee WJ, Englar RJ, Sankar LN. Numerical investigation of circulation control
th
airfoils. 46 AIAA Aerospace Sciences Meeting and Exhibit, Reno, NV (2008).
[17] Moore D. Wake vortex wingtip-turbine powered circulation control high-lift system. NASA
Langley Research Center 2005.
[18] Werner-Spatz C, Heinze W, Horst P, Radespiel R. Multidisciplinary conceptual design
for aircraft with circulation control high-lift systems. Journal CEAS Aeronautical 2012;
3:145-164.
[19] Pfingsten KC, Radespiel R. Numerical simulation of a wing with a gapless high-lift
system using circulation control. Available at: http://www.researchgate.net/ (accessed
on: October 15, 2012).
[20] Pfingsten KC. Radespiel R. Experimental and numerical investigation of a circulation
th
control airfoil. 47 AIAA Aerospace Sciences Meeting and Exhibit, Orlando, FL (2009).
[21] Holt DJ. Circulation controlled airfoil with pulsed flow. MSc Dissertation, Department of
Mechanical and Aerospace Engineering, West Virginia University, Morgantown, WV,
May 1972.
[22] Newman BG. The deflexion of plane jets by adjacent boundaries – coandă effect.
Boundary Layer Flow Control, Pergamon Press1961;1.
[23] Englar RJ. Overview of circulation control pneumatic aerodynamics: blown force and
moment augmentation and modification as applied primarily to fixed wing aircraft.
Proceedings of the 2004 NASA/ONR Circulation Control Workshop. NACA CP-2005-
213509, Washington DC, United State, page 23-66, 2005.
[24] Rogers MM. Technical challenges to reducing subsonic transport drag. AIAA Aerospace
Sciences Meeting, Reno, Nevada, United State (2012).
[25] Hamid MFA, Djojodihardjo H, Suzuki S, Mustapha F. Numerical assessment of coandă
effect as airfoil lift enhancer in wind-turbine configuration. In paper RCMEAE-131,
Proceedings of the Regional Conference on Mechanical and Aerospace Technology.
Bali, Indonesia, February 2010.
869
__________________________________________________________________________________________
[26] Djojodihardjo H, Hamid MFA. Review and numerical analysis of coandă effect circulation
control for wind turbine application considerations. Proceedings of the Conference on
Aerospace and Mechanical Engineering, World Engineering Congress, Kuching,
Sarawak, Malaysia, August, 2010.
[27] Djojodihardjo H, Hamid MFA, Basri S, Romli FI, Abdul Majid DLA. Numerical simulation
and analysis of coandă effect circulation control for wind-turbine application
considerations. Journal IIUM Engineering 2011; 12: 17 Pages.
[28] Djojodihardjo H, Hamid MFA, Jaafar AA, Basri S, Romli FI, Mustapha F, et al.
Computational study on the aerodynamic performance of wind turbine airfoil fitted with
coandă jet. Journal of Renewable Energy 2013; 17 pages.
[29] Glezer A. Some aspects of aerodynamic flow control using synthetic-jet actuation. J The
Royal Society A Mathematical, Physical and Engineering 2011; 369:1476-1494.
[30] Vortex Cell 2050. 6th EU Framework Programme for Research and Technological
Development (2005).
[31] Keen EB. A Conceptual design methodology for predicting the aerodynamics of upper
surface blowing on airfoils and wings. MSc Dissertation, Virginia Polytechnic and State
University, Virginia, United State, June 2004.
[32] Karamcheti K. Principles of Ideal-Fluid Aerodynamics. Wiley: New York 1981.
[33] Siestrunck R. General theory of the jet flap in two-dimensional flow. J Boundary Layer
and Flow Control1961; 2: 342-364.
[34] Harris MJ. Investigation of the circulation control wing/upper surface blowing high-lift
system on a low aspect ratio semi-span model. DTIC Document (1981).
[35] Englar RJ. Development of the A-6/circulation control wing flight demonstrator
Configuration. DTNSRDC Report ASED-79/01, January, 1979.
[36] Englar R J, Hemmerly RA, Taylor DW, Moore WH, Seredinsky V, Walter. Design of the
circulation control wing STOL demonstrator aircraft. Journal of Aircraft 1981; 18:51-58.
[37] Englar RJ, Hemmerly RA. Design of the circulation control wing STOL demonstrator
aircraft. J of Aircraft, AIAA 1981; 18(1):51-58.
[38] Englar RJ, Huson GC. Development of advanced circulation control wing high lift airfoils.
DTIC Document 1983.
[39] Pfingsten KC, Cecora RD, Radespiel R. An experimental investigation of a gapless high-
lift system using circulation control. Proceedings of the CEAS/ KATnet II Conference on
Key Aerodynamic Technologies, Bremen , Germany, October, 2009.
[40] Englar RJ, Smith MJ, Niebur CS, Gregory SD. Development of pneumatic aerodynamic
concepts for control of lift, drag and moment plus lateral/directional stability of
automotive Vehicles. Journal of Technology Atlanta, GA, 1996.
[41] Gibbs EH. Analysis of circulation controlled airfoils. PhD Dissertation, Department of
Mechanical and Aerospace Engineering, West Virginia University, Morgantown, WV,
June 1975.
[42] Coandă H. Procédé et dispositif pour faire dévier une veine de fluide pénétrant dans un
autre fluide. ed. ; Brevet d’invention France, 1934.
[43] Coandă H, France C. Device for deflecting a stream of elastic fluid projected into an
elastic fluid. US Patent Office, ed.; Google Patents, 2,052,869, 1936.
[44] Liska RH. H LISKA US Patent. Google Patents, 2,788,534, 1957.
[45] Liska D. Channel wing aircraft. J The Wisconsin Engineer 1957; 57(6):16 -19.
[46] Englar RJ, Campbell BA. Development of pneumatic channel wing powered-lift
advanced super stol aircraft. Proceedings of the AIAA Applied Aerodynamics
Conference. St. Louis, Missouri, USA, June, 2002.
[47] Pugliese A, Englar RJ. Flight testing the circulation control wing. Proceedings of the
American Institute of Aeronautics and Astronautics- Aircraft Systems and Technology
Meeting, New York, USA 1979.
870
__________________________________________________________________________________________
[48] Englar RJ, Hemmerly RA, Taylor DW, Moore WH, Seredinsky V, Walter W. Design of
the circulation control wing STOL demonstrator aircraft. Journal of Aircraft 1981; 18: 51-
58.
[49] Englar RJ, Huson GC. Development of advanced circulation control wing high-lift airfoils.
AIAA Journal of Aircraft 1984; 21(7): 476–483.
[50] Englar RJ. Pneumatic aerodynamic control and drag-reduction system for ground
vehicles. ed: Google Patents, 1999.
[51] Englar RJ. Development of pneumatic aerodynamic devices to improve the
performance, economics, and safety of heavy vehicles. Georgia Tech Research
Institute. Atlanta, GA, USA (2000).
[52] Rose B, Buttler T. Flying Saucer Aircraft (Secret Projects). Midland Publishing:
Leicester, UK: 2006.
[53] Zha GC, Paxton C. A novel airfoil circulation augment flow control method using co-flow
jet. Proceedings of NASA/ONR, Circulation Control Workshop. Washington, USA, May,
2004.
[54] Englar RJ. Advanced aerodynamic devices to improve the performance, economics,
handling, and safety of heavy vehicles. Georgia Tech Research Institute Aerospace,
Georgia, US, 2001.
[55] Geropp D, Odenthal HJ. Drag reduction of motor vehicles by active flow control using
the Coandă effect. Experiments in fluids2000;28: 74-85.
[56] Loth JL, Fanucci JB, Roberts SC. Flight performance of a circulation controlled STOL
aircraft. Journal of Aircraft, American Institute of Aeronautics and Astronautics 1976;
13(3).
[57] Tongchitpakdee C, Benjanirat S. Sankar LN. Numerical studies of the effects of active
and passive circulation enhancement concepts on wind turbine performance. Journal of
Solar Energy Engineering 2006; 128: 432.
[58] Tongchitpakdee C. Computational studies of the effects of active and passive circulation
enhancement concepts on wind turbine performance. Georgia Tech Research Institute.
Atlanta, GA, USA (2007).
[59] Naqvi MA. Prediction of circulation control performance characteristics for super STOL
and STOL Applications. PhD Dissertation, Georgia Institute of Technology, Georgia,
united states, December 2006.
[60] Kondor S, Englar RJ, Moore M. Experimental investigation of circulation control on a
shrouded Fan. Proceedings of the American Institute of Aeronautics and Astronautics,
21st Applied Aerodynamics Conference, Orlando, FL, USA, June, 2003.
[61] Kondor SA, Moore M. Experimental investigation of a morphing nacelle ducted fan.
Available at: http://www.ntrs.nasa.gov/ (Accessed on: January 4, 2014).
[62] Kind RJ, Maul DJ. An Experimental investigation of a low-speed circulation controlled
aerofoil. The Aeronautical Quarterly -Vol. XIX, May, London, UK (1968).
[63] Williams RM. Some aspects on rotor circulation control. CAL/AVLABS 3rd Symposium of
Rotary Wing and V/STOL Aircraft, Buffalo, NY (1969).
[64] Englar RJ. Two-Dimensional subsonic wind tunnel tests of two 15-percent thick
circulation control airfoils. David W Taylor Naval Ship Research and Development
Center Technical Note AL-211, Washington, DC (1971).
[65] Englar RJ, Williams RM. Design of a circulation control stern plane for submarine
applications. David W Taylor Naval ship Research and Development Center, Bethesda,
MD (1971).
[66] Ottensoser J. Two-Dimensional subsonic evaluation of a 15-percent thick circulation
control airfoil with slots at leading and trailing edges. David W Taylor Naval Ship
Research and Development Center, Bethesda, MD (1974).
871
__________________________________________________________________________________________
[67] Englar RJ. Experimental investigation of the high velocity coandă wall jet applied to bluff
trailing edge circulation control airfoils. David W Taylor Naval Research and
Development Center Report 4708, , Bethesda, MD (1975).
[68] Wood NJ. The aerodynamics of circulation control aerofoils. Stanford University
Technical Report (SU-JIAA TR-41), Stanford, CA (1981).
[69] Novak CJ, Cornelius KC, Roads RK. Experimental investigations of the circular wall jet
on a circulation control airfoil. American Institute for Aeronautics and Astronautics, 25th
Aerospace Sciences Meeting, Reno, NV (1987).
[70] Franke ME, Harvell JK. Wind tunnel studies of circulation control elliptical airfoils. Air
Force Institute of Technology, Wright-Patterson Air Force Base, Dayton, OH, 1987; 88:
17598.
[71] Wetzel DA, Griffin J, Cattafesta III LN. Experiment on an elliptic circulation control
aerofoil. J fluid Mech 2013;730: 99-144.
[72] Harness GS. An Experimental Investigation of a Circulation Controlled Cambered
Elliptical Airfoil.
[73] Golden, Marshall. Design and performance of circulation control flap systems.
Presentation Cal Poly, AIAA 2010; 1053
[74] Montanya de la, Julianna B, Marshall DD. Circulation control and Its application to
extreme short takeoff and landing vehicles. 45th AIAA 2007;1404, Aerospace Sciences
Meeting and Exhibit, Reno, Nevada, USD (2007).
[75] Harvell J, Franke M. Aerodynamic characteristics of a circulation control elliptical airfoil
with two blown jets. Journal of aircraft 1985; 22: 737-742.
[76] Nishino T, Hahn S, Shariff K. Large-eddy simulations of a turbulent Coandă jet on a
circulation control airfoil. Phys. Fluids 2010; 22:125105.
[77] Rumsey CL, Nishino T. Numerical study comparing RANS and LES approaches on a
circulation control airfoil. International Journal of Heat and Fluid Flow 2011; 32: 847-
864.
[78] Liu Y. Numerical simulations of the aerodynamic characteristics of circulation control
wing sections. PhD Dissertation, Georgia Institute of Technology, Georgia, United State,
May 2003.
[79] Burnazzi M, Radespiel R. Synergies of suction and blowing for active high-lift flaps.
DLRK, German Aerospace Congress, Stuttgart, 2013.
[80] Economon T, Milholen WE. Parametric investigation of a 2-D circulation control
geometry. Stanford University Report, 2008.
[81] Harlow FH, Nakayama P. Transport of turbulence energy decay rate. Report LA-3854,
Los Alamos Science Laboratory, University of California, 1968.
[82] Launder BE, Morse A, Rodi W, Spalding DB. The prediction of free shear flows- a
comparison of the performance of six turbulence models. Proceedings of NASA
Conference on Free Shear Flows, Langley, VA, USA, 1972.
[83] Wilcox DC. Turbulence Modeling for CFD. 3rd ed. DCW Industries, 2006.
[84] Kuzmin D, Mierka O, Turek S. On the implementation of the k-e turbulence model in
incompressible flow solvers based on a finite element discretization. International
Journal of Computing Science and Mathematics 2007; 1(2–4): 193–206.
[85] Benjanirat S. Computational studies of horizontal axis wind turbines in high wind speed
condition using advanced turbulence models. PhD Dissertation, Georgia Institute of
Technology, Georgia, United State, May 2006.
[86] Boussinesq J, Essai sur la théorie des eaux courantes. Mémoires Présentés par
Divers Savants à l’Académie des Sciences 1877; 23(1):1–680.
[87] Menter FR. Advances in turbulence modeling of unsteady flows. Menter Shear Stress
Transport Model, ANSYS, Germany. Available at:
http://turbmodels.larc.nasa.gov/sst.html (Accessed on: December 10, 2009.
872
__________________________________________________________________________________________
[88] Salim SM, Cheah SC. Wall y+ strategy for dealing with wall-bounded turbulent flows.
Proceedings of the International Multi-Conference of Engineers and Computer Scientists
(IMECS ’09), Hong Kong, May, 2009.
[89] Hall S, Cooper R, Raghunathan S. Fluidic flow control in a natural blockage thrust
reverser. AIAA 2006; 3513.
[90] Sellars ND, Wood NJ, Kennaugh A. Delta wing circulation control using the coandă
effect. AIAA 2002; 3269.
[91] Frith SP, Wood NJ. Investigation of dual circulation control surfaces for flight control.
AIAA 2004; 2211.
[92] Schroijen M, Van Tooren M. MAV propulsion system using the Coandă effect. American
Institute of Aeronautics and Astronautics. AIAA/ASAME/SAE/ASEE. Exhibit. USA:
Denver Colorado, Joint Propulsion Conference 2009; 45th: 1-10.
[93] Saeed B, Gratton G. An evaluation of the historical issues associated with achieving
non-helicopter V/STOL capability and the search for the flying car. The Aeronautical
Journal 2010; 14(1152): 91-102.
[94] Ohanian III OJ. Ducted fan aerodynamics and modelling with applications of steady and
synthetic jet flow control. PhD Dissertation, Virginia Polytechnic Institute and State
University, United State, July 2011.
[95] Ragab SA, Salem S, A HS. A Numerical study of the effects of circulation control on the
wake of a circular wing. Proceedings of the Fluid Dynamics and Propulsion. Alexandria,
Egypt, December, 2008
[96] Gregorio FD, Fraioli G. Flow control on a high thickness airfoil by a trapped vortex
cavity. 14th Symp. Appllied Laser Technique to Fluid Mechanic. Lisbon, July, 2008.
[97] Rossiter JE. Wind tunnel experiments on the flow over rectangular cavities at subsonic
and transonic speeds. ARC 1966; R&M 3438.
[98] Gharib M, Roshko A. The effect of flow oscillations on cavity drag. JFM 1987; 177, 501-
530.
[99] Donelli RS, Gregorio FD, Buffoni M, Tutty O. Control of a trapped vortex in a thick airfoil
by steady-unsteady mass flow suction. 7th IUTAM Symposium on Laminar-Turbulent
Transition, Southampton, UK, 2008.
[100] Donelli RS, de Gregorio FD, Ianelli P. Flow separation control by a trapped vortex cavity.
7th ERCOFTAC SIG 33. Fluibio workshop, Santa Margherita, Ligure, Italy, 2008.
[101] Donelli RS, Iannelli P, Iuliano E, De Rosa D. Suction optimization on thick airfoil to trap
vortices. Physics and Fluids Unit, Centro Italiano Ricerche Aerospaziali, Capua, Italy
(2010).
[102] Djojodihardjo H. Progress and development of coandă jet and vortex cell for
aerodynamic surface circulation control – an overview. The SIJ Transactions on
Advances in Space Research and Earth Exploration (ASREE) 2013;1(1):32-42.
[103] Babinsky H, Loth E, Lee S. Vortex Generators to Control Boundary Layer Interactions.
Available at: http://www.google.com/patents/US20120018021/ (Accessed on: December
24, 2013).
[104] Corke T, Thomas F, Shatzman D, Wood T. System and Method for Aerodynamic Flow
Control. Available at: http://www.google.com/patents/US20110120980/ (Accessed on:
December 24, 2013.
[105] Eaton J. And Matalanis C. Translating Active Gurney Flap to Alleviate Aircraft Wake
Vortex Hazard. Available at: http://www.google.com.tr/patents/US7740206/ (Accessed
on: December 22, 2013).
873
__________________________________________________________________________________________
874
__________________________________________________________________________________________
XXVI
ACTIVE VIBRATION SUPPRESSION OF AN ELASTIC PIEZOELECTRIC

SENSORAND ACTUATOR FITTED CANTILEVERED BEAM
CONFIGURATIONS AS A GENERICSMART COMPOSITE
STRUCTURE4963
Harijono Djojodihardjo ⇑,1, Mohammad Jafari 2, Surjatin Wiriadidjaja 3,

Kamarul Arifin Ahmad 3
Universiti Putra Malaysia, 34400 UPM Serdang, Selangor Darul Ehsan, Malaysia
An efficient analytical method for vibration analysis of a Euler-Bernoulli beam with Spring
Loading at the Tip has been developed as a baseline for treating flexible beam attached to
central-body space structure, followed by the development of MATLAB© finite element
method computational routine. Extension of this work is carried out for the generic problem of
Active Vibration Suppressionof a cantilevered Euler-Bernoulli beam with piezoelectric sensor
and actuator attached as appropriate along the beam. Such generic example can be further
extended for tackling light-weight structures in space applications, such as antennas, robot’s
arms and solar panels. For comparative study, three generic configurations of the combined
beam and piezoelectric elements are solved. The equation of motion of the beam is
expressed using Hamilton’s principle, and the baseline problem is solved using Galerkin
based finite element method. The robustness of the approach is assessed.
Keywords: Euler-Bernoulli theory, Finite Element Method, Hamiltonian Mechanics, Piezoelectric Material, Active
Vibration Control, Structural Dynamics.
Introduction
4063 Reprinted from: Composite Structures 132 (2015) 848–863
⇑ Corresponding author.
E-mail addresses: harijono@djojodihardjo.com (H. Djojodihardjo), al.m.jafari@
gmail.com (M. Jafari), surjatin@hotmail.com (S. Wiriadidjaja), aekamarul@eng.upm. edu.my (K.A. Ahmad).
1 Professor, Department of Aerospace Engineering.
2 Graduate Student, Department of Mechanical and Manufacturing Engineering.
3 Associate Professor, Department of Aerospace Engineering.
875
__________________________________________________________________________________________
Vibration control of light-weight structures is of great interest of many studies and

investigations1-3. The high cost of sending heavy masses and large volumes into space
has prompted the wide utilization of light-weight structures in space applications, such
as antennas, robot’s arms, solar panels. A model of such set-up is exemplified in Fig.12.
These kinds of structures are largely flexible, which results in lightly damped vibration,
instability and fatigue. To suppress the adverse effect of vibration, sophisticated
controller is needed.
Fig. 1: Solar Panel on a typical satellite (left) and an experimental model of Free-
Floating Platform with two flexible appendages designed by Gasbarri et al2 (right)
Active control approaches are widely reported in the literatures for the vibration control
of structures4-10. The active control approach makes use of actuators and sensors to
find out some essential variables of the structure and suppress its vibration through
minimizing the settling time and the maximum amplitude of the undesirable oscillation.
This method requires a specific level of understanding about the dynamic behaviour of
continuous structures via mathematical modelling4,5. Selecting adequate sensor and
actuator is essential in active vibration control11, 12. The conventional form of sensor and
actuator, such as electro-hydraulic or electro-magnetic actuator, are not applicable to
implement on the light-weight space structures. Thus, in recent years, a new form of
sensor and actuator has been studied using smart materials, such as shape memory
alloys and piezoelectric materials. The definition of smart material may be expressed as
a material which adapts itself in response to environmental changes. Among smart
materials, piezoelectric materials are widely studied in literatures, since they have many
advantageous such as adequate accuracy in sensing and actuating, applicable in the
wide frequency range of operations, applicable in distributed or discrete manner and
available in different size, shape and arrangement.
Space structures can be simplified using beam and plate. The present investigation is
based on the vibration analysis of simple beam as a generic structure. Without loss of
generalities, the theoretical development utilizes Euler-Bernoulli beam approximation,
which can readily be extended to other refined models. Euler-Bernoulli beam theory is
applicable to thin and long span, for which plane sections can be assumed to remain
plane and perpendicular to the beam axis, and shear stress and rotational inertia of the
cross section can be neglected. Solar panel and antenna are very flexible and slender,
so that Euler-Bernoulli beam theory can be considered.
876
__________________________________________________________________________________________
The equation of motion of the beam will be developed using Hamilton’s method and
Lagrange method13-14. Hamiltonian mechanics is an elegant and convenient approach,
since scalar equation of motion of the beam and boundary conditions are obtained
simultaneously. The partial differential equation of motion of the beam can be solved by
analytical methods such as separation of variables, or numerical methods such as finite
element method.
Since these structures are flexible, there is a need for Vibration control in these
structures is required order not to disturb the functionality of the space structure as a
whole as well as to facilitate manoeuvring and attitude control for well-behaved space
structural dynamics. There are several ways to control the vibration15, 16. Then the effort
is aimed for devising a simple and effective controller to manipulate the vibration of a
flexible structure. One of the adequate and simple controllers is Proportional-Integral-
Derivative (PID) controller, which is classified as classic and linear controller16. PID
controller minimizes the steady state error of the system. Linear Quadratic Regulator
(LQR) controller is another convenient method. LQR is expressed as optimal and
modern controller, which is based on minimizing the cost function of a dynamic
system16. To develop a successful operation, most controllers have been developed for
a finite number of natural modes where the controllability and observability conditions
are met. It is also noted that various recent literature addresses similar issues which are
utilized for comparative purposes.
Formulation of Generic Problems

Following a series of previous investigation on the analysis of impact resilient
structure17-20, and vibration analysis of an elasticallyclamped cantilever beam21, 22. The
main aim of this investigation is to design a straightforward and convenient controller for
suppressing the transverse vibration in a cantilever aluminium flexible beam through the
use of sensing and actuating transducers. The Euler-Bernoulli beam theory is utilized to
model the flexible beam with piezoelectric patches. The equation of motion and
boundary conditions of the beam are derived by using Hamilton’s principle. To validate
and assess the analytical as well
as the finite element computational
schemes, the solution for a
cantilevered beam with spring
loading at the tip as illustrated in
Fig. 2, which has the potential to be
expanded in many variations, will
be demonstrated. Next,
considerations will be given for the
Fig. 2: Assumed model for the beam active vibration control for
Cantilevered Bernoulli Beam.
Three different piezoelectric
877
__________________________________________________________________________________________
material configurations on the aluminium beam are considered for comparative study.
Finite element method is utilized to achieve the natural frequencies and natural modes.
Case study one is validated by analytical solution. Previous experimental result is used
for validation of case study two.
Fig.3: Systematics of Problem Formulation
To design the controller, two first major natural modes of the beam vibration are
considered, since other natural modes has insignificant effect4,12,23,24.The dynamic
equation of the beam is transferred to state space form in order to design controllers.
Two controllers are designed for each case study: PID controller and LQR controller
with observer. These controllers are easy to perform and effective to suppress the
vibration of the beam. The systematic of the problem formulation and the methods of
approach including the objective of this study is summarized in Fig. 3.
878
__________________________________________________________________________________________
Equation of Motion of the Euler-Bernoulli Beam using Hamilton's Principle
Fig.4 depicts the cantilevered Euler-Bernoulli beam with spring-loading at the free end.
Following Euler-Bernoulli beam model, the shear displacement and the rotation of cross
sections are neglected in comparison to thetranslation, hence the cross sections remain
constant after deformation 14, 25. From Fig. 4
w( x, t ) u 2w
u = −z ,  xx = = −z 2 (1)
x x x
where the deflection w is a function of space and time, w=w(x,t).The strain energy
(potential energy) of the beam due to the linear spring can be expressed as 14,25,26,27
2
1  1 l  w 1 
2
1
 =   xx xx dV +  kw2 (l , t )  =  EI  2  dx +  kw2 (l , t )  (2)
2 V 2  2 0
 x  2 
whereI and E are the area of the moment of inertia and elasticity modulus, respectively.
k is the stiffness of linear spring. T is the kinetic energy of the system, which is given by
Fig. 4: Beam bending25
 w   w 
2 2
1 l 1 l
T=      dAdx =   A   dx
2 0 A  t  2 0  t 
(3)
The work is done by the force on beam is given by
W =  fwdx
l
(4)
0
Following Hamilton general principle14,25,26,27, the equation of motion of the system can
be obtained as12,13,14
  L( x(t ), x(t ), t )dt = 0, where L =  − T − W

t2
(5)
t1
and where L is the Lagrangian. П, T and W are potential energy, kinetic energy and
work, respectively. Substitution of Eq.2 to Eq.4 into Eq.1 yields
879
__________________________________________________________________________________________
 1 l   2 w 2 1 2  1 l  w 
2 
    EI  2  dx +  kw (l , t )  −   A   dx −  fwdx dt = 0
t2 l
(6)
t1
 2
0
 x  2  2 0  t  0

Integrating Eq. 6 by parts, dynamic equation of the Euler-Bernoulli beam can be written
as
2  2w  2w
 EI  +  A = f ( x, t ) (7)
x 2  x 2  t 2
For the transverse vibration of the beam, the boundary conditions for x=0, l, are given
by
  2 w  w  
 −   =0 (8)
x 2  x   x =0
EI

  2 w  w  
 EI x 2   x   = 0 (9)
    x =l
   2w  
  EI 2   w = 0 (10)
 x  x   x =0
    2 w   
 −  EI 2  + kw   w = 0 (11)
 x  x    x =l
For convenience, define
EI
c= (12)
A
Then Eq. (7) can be written as
4w 2w
c 2 4 ( x, t ) + 2 ( x, t ) = 0 (13)
x t
Using the methods of separation of variables28,
w ( x, t ) = W ( x ) T ( t ) (14)
Substituting Eq.14 into Eq. (13) can be split into two equations
 4W ( x ) T ( t )
−  2W ( x ) = 0 (15)
x 4
and
 2T ( t )
+  2T ( t ) = 0 (16)
t 2
Their solutions are given by:

W ( x) = A(cos  x + cosh  x) + B(cos  x − cosh  x)
(17)
+C (sin  x + sinh  x) + D(sin  x − sinh  x)
and
880
__________________________________________________________________________________________
EI
 =2 (18)
A
where
2  A 2
4 = = (19)
c2 EI
Applying boundary conditions Eq. 8 to 11 for a cantilever beam with spring loading at
the free end as appropriate21, 22, the natural frequencies and vibration modes of the
system may be obtained.
Finite Element Approach

The fourth order differential equation (7) can be solved using the weighted residual
method. Among the numerous techniques for applying the weighted residual method,
the Galerkin approach will be applied26, 29. After separating the differential equation Eq.
7, the technique is applied to Eq. (14). For this purpose, this equation can then be
multiplied by a trial function ϕ(x), and the approximate solution is a linear combination of
trial functions. The product of the trial function and the differential equation is integrated
over the domain, and set to zero. Following the procedure, one obtains
 d 4W ( x) 
  ( x)  EI
 dx 4
−  A 2W ( x) dx = 0

(20)
l  d  ( x)   d W ( x) 
2 2
EI   dx −  A 2   ( x)W ( x)dx = 0
l
2   2  (21)
0
 dx   dx  0
W(x) is assumed as
1 j −1 + L2 j −1 + L3W j + L4 j , ( j − 1)h  x  h

W ( x) = LW (22)
whereW is displacement and θ is the rotation of the nodes. A non-dimensional
coordinate ξis now introduced, as depicted in Fig. 5. The essence of the Galerkin
method is that the trial function is chosen to be14, 25-27,and 29
 ( x) = W ( x) (23)
For a system of n elements, the local stiffness matrix can be written as
K j −  2 M j = 0 , j = 1, 2,..., n (24)
where
 12 6h −12 6h 
 6h 4h 2 −6h 2h 2 
EI  (
Kj = 25)
h3  −12 −6h 12 −6h 
 2
 6h 2h −6h 4h 
2
881
__________________________________________________________________________________________
 156 22h 54 −13h 

 13h −3h 2 
h A  22h 4h
2
Mj = (26)
420  54 13h 156 −22h 
 
 −13h −3h −22h 4h 2 
2
Fig. 5. Local coordinate system
The natural frequencies of the beam can be obtained by determining the eigen-value of
Eq.24. The eigen-vector corresponds to the natural mode of the system 14.
Results and Discussions of the Baseline problem

In the example, the material of the beam is considered to be made of stainless steel.
The properties and dimension of the beam are shown in Table.1.
The analytical solution of Eq.(13)for the eigen-frequencies and eigen-modes for the
beam considered is elaborated in21,22.The natural frequencies of the numerical
approach are determined by Eq. 24. The first three natural frequencies determined by
both analytical and finite element approaches are shown in Table.2 and illustrated in
Fig. 6. These results indicate that both the analytical and finite element approaches are
agreeable in that the errors of numerical results are significantly small in comparison to
the analytical ones.
882
__________________________________________________________________________________________
Table 1. Properties of the System
The first natural mode of the numerical result has an excellent agreement with exact
answer and its error is almost zero. Similarly, the next two modes exhibit similar
accuracy. The result thus obtained agrees with the work of Maurizi, Rossi and Reyes 30
for a degenerate case, as elaborated in references 21, 22.
Table 1. Natural Frequencies of Exact and Numerical Solution
Fig. 6: (A) First Natural Mode (B) Second Natural Mode (C) Third Mode; 1. Green Line:
Analytical Approach 2. Blue Line: Numerical Approach
The Utilization of Piezoelectric Sensors and Actuators

Two common piezoelectric materialsare widely used in many recent studies 31-36, which
are piezo-ceramics, PZT (Lead Zirconium Titanate) and piezo-polymer, PVDF
(Polyvinylidene Fluoride)11,37,38. Piezo-ceramic PZTs can be utilized both as sensor and
actuator because they are applicable in the wide range of frequency and required lower
actuating voltage;Piezo-polymer PVDFs are usually used as sensor23,24.These materials
may be analysed for the configuration in which the piezo-sensor and/or piezo-actuator is
attached to a base structure and then the dynamic behaviour of the total composite
structure is modelled accordingly24. Fig. 7 illustrates a beam bonded with piezoelectric
material. The constitutive equation of piezoelectric material can be linearly described as
Eq.(27) and Eq.(28) 11,12,37,38.
883
__________________________________________________________________________________________
Fig.7: Beam bonded with piezoelectric material
 p = S pq
E
 q + d pi Eie (27)
where indices i,j = 1,2,3 are directions of the polarization of the piezoelectric material
and indices p,q =1,...,6 indicate stress or strain direction on the perpendicular planes,
which are illustrated in Fig. 8. Spq (m2/N) is the elastic compliance, which presents the
inverse of the elastic modulus. dpi(m/volt) is the piezoelectric strain constant, which is
the strain developed along p direction over electrical field applied along i direction.
Eq.(27) is applicable for the actuator. The dynamic equation of sensor, Eq.(28), is given
by.
Di = dip p + ij E ej (28)
whereξ is the dielectric permittivity of the material in the units of Farads per meter (F/m).
Di is electrical displacement, which is described as charge per unit area (Coulomb/m2).
Fig. 8: The conventional notation adopted for stress tensor and piezoelectric constants
(on the left) and the direction of polarization (on the right)23,24
Actuator
To determine the piezoelectric actuator moment for one dimensional motion, the
piezoelectric layer is assumed to be very thin and perfectly attached to the beam. The
strains only arise in x-direction. Fig. 9 illustrates the one-dimensional beam with
actuator system. If the piezoelectric layer is assumed to be free and not bonded with
the beam, Eq. (27) can be reduced to:
884
__________________________________________________________________________________________
V
 p = d31 (29)
hac
whereV is the applied control voltage (Volt) and hac (m) is the thickness of the
piezoelectric actuator. The laminated beam is assumed to be uniform along its length.
Since the piezoelectric layer is bonded to the beam, it is not free to move and the effect
of the voltage is to induce a negative pre-strain in the piezoelectric layer. The pre-strain
can be assumed to be negative, since it is in the opposite direction of the strain of the
free piezoelectric layer. If the free piezoelectric layer strain is εp, a pre-strain of ˗εp is
needed to bring the piezoelectric layer back into position to be bonded to the beam38.
Fig. 9: Schematic of piezoelectric actuator
The moment, M, is produced because the pre-strain, εp results in a force in the beam
which acts through the moment arm to the neutral axis. The moment can be calculated
by taking the integral of the longitudinal force multiplied by the moment arm to the
neutral axis, and integrated over the cross-section of the beam.
b
 − hbm2 hbm hbm
+ hac 
M ( x, t ) = 2
b  − ( hbm + h ) Eac ( l +  p ) zdz + − hbm Ebm l zdz + hbm2
2
Eac ( l −  p ) zdz  dy (30)
−
2  2 ac 2 2 
Since εp at the bottom of the beam has an opposite polarization with upper one, it has
an opposite sign. By considering a symmetric beam and the same properties for
actuators, Eq. (30) reduces to
h +h 
M ( x, t ) = −2bEac hac  bm ac   p (31)
 2 
Substituting Eq. (29) into Eq. (31) results in
h +h 
M ( x, t ) = −2bEac  bm ac  d31V ( x, t ) (32)
 2 
It follows that for a symmetric beam bonded with piezoelectric material, the moment
produced on the beam is equal to
885
__________________________________________________________________________________________
h +h 
M ( x, t ) = −bEac  bm ac  d31V ( x, t )  Cac V ( x, t ) (33)
 2 
where Cac is a constant that expresses the moment produced per unit control voltage. In
the anti-symmetric cases, the moment induced by piezo-actuator around neutral axis
can be determined by the integral of Eq. (34)23:
b
hbm + hac − hNA
M ( x, t ) =  2
b Eac p zdz (34)
− hbm − hNA
2
where hNA is the location of neutral axis.By solving the integral, Eq. (34), the governing
equation of piezo-actuator with anti-symmetric configuration can be obtained.
 h 
M ( x, t ) = bEac  hbm + ac − hNA  d31V ( x, t ) (35)
 2 
Sensor
When the moment is applied to the beam, the stress is produced in the piezoelectric
material layer as expressed schematically in Fig. 10. If no electrical fields are applied to
the beam, Eq. (28) is reduced to Eq. (36).
Fig. 10: Piezoelectric sensor scheme
Di = dip p + ij E ej
(36)
D3 = d31 1
whereD3 is electrical displacement in z-direction. Hereσ1is the stress in the piezoelectric

material in x-direction, which is expressed as
886
__________________________________________________________________________________________
 1 = E sn  sn
 h + h   2w (37)
 sn = −  bm sn  2
 2  x
where εs is the strain in the mid-plane of piezoelectric material in x-direction, and Esn is
the Young’s modulus of the sensor. Substitution of Eq. (37) into Eq. (36), results in
 h + hsn   2w
D 3 = −d 31E sn  bm  x 2 (38)
 2 
By integrating Eq. (38) over the area of the piezoelectric patches, the generating
charge, q, can be obtained as
q =  D3dxdy (39)
As
Substituting Eq. (38) into Eq. (39), gives
 hbm + hsn  2 xs 2  w
b 2
q = −d31 Esn   − b xs1 x 2 dxdy
 2  2
(40)
h +h   w 
xsn ,2
q = −d31 Esnb  bm sn   
 2   x xsn ,1 

The generating voltage of sensor can be obtained from the generating charge divided
by capacitance, C;
q
Vsn = (41)
C
wherethe capacitance can be expressed as
 33T Asn  33T b( xsn,2 − xsn,1 )

C= = (42)
hsn hsn
and where εT33 is the permittivity constant of piezoelectric material in the z-direction.
Fig. 11 summarizes the sensing and actuating procedure.
887
__________________________________________________________________________________________
Fig. 11: Basic mechanism of sensor and actuator
Equation of Motion of Euler-Bernoulli Beam with Piezoelectric Patches

A symmetric beam with piezoelectric patches on the top and bottom will be considered
for the vibration controlled Euler-Bernoulli beam. Displacements of the beam under the
bending around y-axis are considered14,25,26asillustrated in Fig. 12.
Fig. 12: Beam bending scheme, adaptedfrom 25
w( x, t )
u = −z , v = 0 , w = w( x, t ) (43)
x
Here u, v and w are displacements in x, y and z direction, respectively. Strain, εb,xx, and
stress, σb,xx, result from beam bending in the x-direction are described as
888
__________________________________________________________________________________________
u 2w
 b , xx = = − z 2 ,
x x (44)
 yy =  zz =  xy =  yz =  zx = 0
2w
 b, xx = En b , xx = − zEn ,
x 2 (45)
 yy =  zz =  xy =  yz =  zx = 0
where n = bm , ac , sn , which defines original beam, piezo-actuator layer and piezo-sensor

layer, respectively. The Euler-Bernoulli beam theory is utilized to derive the equation of
motion via Hamilton’s principle. The Hamilton’s principle is described as13
  ( L)dt = 0
t2
t1 (46)
L =T −
Where П and T are potential energy (strain energy) and kinetic energy, respectively.
Here a linear stress distribution is assumed in the beam with symmetric piezoelectric
material patches. The stress in x-direction can be represent as summation of bending
and longitudinal stress,  xx =  b, xx +  l . In the actuator layer, the stress induced by the
pre-strain is added to the total stress,  xx =  b, xx +  l +  p .The expression for the
potential energy of the original beam is given by
1
2 
= ( xx xx +  yy yy +  zz zz +  xy xy +  yz yz +  zx zx )dV (47)
V
The potential energy of the system is obtained by the summation of the sensor, the
original beam and the actuator potential energy. The potential energy of the
piezoelectric layer can be written as
1 l b  − bm2
h hbm
=    − ( hbm + h ) sn sn  +  +  hbm Ebm ( b +  l ) dz
2 2 2
E K ( x )( b l ) dz
−
2  2 sn
0 0
2
(48)
hbm
+ hac 
+ hbm
2
Eac K ac ( x)( b +  l −  p ) dz  dydx
2
2 
whereK(x) represents the location of the piezoelectric material on the beam11.
By considering similar properties and thickness for upper and lower layer and symmetric
beam segment element, and substituting Eq. (43) into Eq. (48), and integrating, there is
obtained.
889
__________________________________________________________________________________________

1  2w 
2
 =    Esn I sn K sn ( x) + Ebm I bm + Eac I ac K ac ( x)   2 

l
0 2

  x 
+ b  Esn K sn ( x) l2 hsn + Ebm l2 hbm + Eac K ac ( x )hac (  l −  p ) 

1 2
(49)
2 
  h + h   w 
2
−b  Eac K ac ( x) p hac  bm ac   2  dx
  2   x 
The first expression in brackets is the strain energy due to bending. The second
expression represents the strain energy due to longitudinal strain, and the last one
illustrates the work done by the moment. Taking the variations of the potential energy
with respect to transverse displacement, w, maintaining the first and thethird
expression, and noting that the second expression is eliminated due to variation, since it
does not contain wterm, then the variation with respect to w from Eq. (49) results in
l 2w  2w    2 w  

 =   I ( x) 2   2  − M ( x, t )  2   dx (50)
0
 x  x   x  
where I ( x) = Ebm I bm + Esn I sn K sn ( x) + Eac I ac K ac ( x) .The kinetic energy, T, of the system can
be shown as25,26
 w 
2
1
T =  (  sn Asn K sn ( x) + bm Abm +  ac Aac K ac ( x))   dx
l
(51)
0 2
 t 
The variation of kinetic energy with respect to transverse displacement, w(x,t), is

w  w 
T = 
l
   dx
0 t  t  (52)
 ( x) = bm Abm +  sn Asn K sn ( x) +  ac Aac K ac ( x)
Substituting Eq. (50) and Eq. (52) into Eq. (46), one obtains
 l 
 w  w    l  2w  2w   2w   
  0     0 
t2
 ( x )   dx − I ( x )  −
 2  M ( x , t ) 2 
dx   dt = 0 (53)
t1
 
 t  t     x  x  
2
x    
Integrating the first expression in brackets of Eq. (53) with respect to time and the
second expression with respect to xby parts, there is obtained
890
__________________________________________________________________________________________
  2w   w     
l
  M ( x, t ) 
l

 
2
w 

t2
  I ( x ) − M ( x , t ) 
    −   I ( x ) 2 
−   w
   2
           
 
t1
  x x 0
x x x
0
(54)
 l 2w 2   2 w   2 M ( x, t )   
+     ( x) 2 + 2  I ( x) 2  −   wdx   dt = 0
 
0 t x  x  x 2   
where the first and second expressions in brackets represent the boundary conditions
and the third expression in bracket represents the equation of motion of the beam. By
setting each term equal to zero, the conditions and the equation of motion can be
obtained.
2w 2   2 w   2 M ( x, t )
 ( x) 2 + 2  I ( x) 2  = (55)
t x  x  x 2
The boundary conditions for the clamped end are obtained from the geometry of the
beam, which gives
w(0, t ) = 0 (56)
w(0, t )
=0 (57)
x
For the free end, the boundary conditions are achieved from the first and second term of
Eq. (33) at the point x=l.
 2 w(l , t )
I (l ) − M (l , t ) = 0 (58)
x 2
   2 w(l , t )  M (l , t )
−  I (l ) + =0 (59)
x  x 2  x
Solution of the Free Vibration of Beam with Piezoelectric Patches using Finite
Element Method
The Galerkin finite element method is utilized to obtain natural frequencies and natural
modes of a beam bonded with piezoelectric layer26. Beam and patch element are
combined to acquire finite element model for the beam with piezoelectric layer. Patch
elements are modification of beam elements, in order to account for the added mass
and stiffness of the piezoelectric layer patched on the beam. Standard beam element is
applied on the element without piezoelectric patches. A beam model with six elements
considered is illustrated in Fig. 13. The beam element has two nodes, where each node
has two degrees of freedom. Each node has a displacement, W, and a rotational, θ,
degree of freedom. To implement Galerkin method, a test function ϕ(x) is multiplied by
Eq. (7) and integrated with respect to x over the domain as shown in Eq. (60).
891
__________________________________________________________________________________________
Fig. 13: A finite element model of the beam patched with piezoelectric layer
 d 4W ( x) 
0  ( x) I dx4 −  W ( x) dx = 0 (60)
l
2
After integrating by parts and applying the boundary conditions, there is obtained.
d 2 ( x)  d 2W ( x) 
0 dx2  I dx2  dx − 0  ( x) (  W ( x) ) dx =0
l l
2
(61)
which can be rewritten in following form.

n
 d 2 ( x)   d 2W ( x)  n
 ( j −1)h  dx   dx  
jh
( j −1)h  ( x)W ( x)dx = 0
jh
I  2   2  dx −  2
(62)
j =1 j =1
wherej represents the number of element. Each integral equation can be used for each
element to determine the stiffness and mass matrices. The transverse deflection, W(x)
is assumed as
W ( x) = LT w j ,
d 1
W ( x) = ( )L T w j (63)
dx lelm
d2 1
2
W ( x) = ( ) 2 L T w j
dx lelm
where L and w are the shape function and nodal vector, respectively, and can be
expressed as
L = 3 2 − 2 3 lelm ( 2 −  3 ) 1 − 3 2 + 2 3 lelm ( − + 2 2 −  3 ) 

T
(64)
892
__________________________________________________________________________________________
T
w j = W j −1  j −1 W j  j  (65)
x
( j − 1)lelm  x  jlelm ,  = j − ,
lelm (66)
0   1
By setting the test function equal to W(x) for each element, and using the relationships
Eq.(64) - Eq.(66), Eq.(62) can be written as
n n
w
j =1
T
k j w −  2  wT m j w = 0
j =1
I
 LL
1
kj = T
d (67)
h3 0
m j = h   LLT d 
1
The kj represents the stiffness matrix and mj describes the mass matrix for one beam
element. By determining the integrals of Eq. (67), these matrices reduce to
 12 6lelm −12 6lelm 

6l 2
−6lelm 2 
I  elm 4lelm 2lelm 
kj = 3 (68)
lelm  −12 −6lelm 12 −6lelm 
 2 
2
6lelm 2lelm −6lelm 4lelm 
 156 22lelm 54 −13lelm 

 2 
−3lelm
lelm   22lelm
2
4lelm 13lelm 
mj = (69)
420  54 13lelm 156 −22lelm 
 
 −13lelm −3lelm −22lelm
2 2
4lelm 
where I = Ebm I bm and  = bm Abm are considered for the original the beam element and
I = Ebm I bm + Esn I sn + Eac I ac and  = bm Abm + sn Asn + ac Aac for the patch element. By
considering the number of nodes, the stiffness and the mass matrices for each element
can be assembled together and synthesized into the global stiffness and mass matrices.
Thus, the eigen-value problem of Eq. (67) can be represented by25,26.
Kw =  2 Mw (70)
893
__________________________________________________________________________________________
whereK and M are global stiffness and mass matrices for an arbitrary beam,
respectively.Finite element formulation is utilized to write the in-house MATLAB
program. The actuator distributed moment on the beam element can be obtain through
the virtual work. The virtual work done by moment is expressed as follows
 2w 
W = 
jlelm
M ac (x, t )   2  dx (71)
( j −1) lelm
 x 
By substituting Eq. (35) for actuator moment into Eq. (71), there is obtained
jlelm
h +h   w 
 W = −bEac  bm ac  d31V (t )    (72)
 2   x  ( j −1)lelm
Substituting Eq. (63) into Eq. (72) and changing the integration boundaries
commensurate with the local coordinates Eq. (66), Eq. (72) can be rewritten as
1
h +h 
 W = −bEac  bm ac  d31V (t )  ( w ) L
T
 2  0 (73)
h +h 
 W = − ( wT ) bEac  bm ac  d31V (t )  0 1 0 −1
T
 2 
wherethe first term after the equality sign shows the transverse variation and, thus, the
actuation force as expressed by
hbm + hac 
Pac  = bEac   d31V (t )  0 1 0 −1
T
 2  (74)
Pac  =  f ac V (t )
fac is the force vector of piezo-actuator, which maps the control voltage to the structure.
At this point, some remarks are in order regarding the computational modelling and
computational method adopted in this work, to provide legitimate support to further work
on vibration control optimization. To this end, comparison of the present baseline results
to similar work is elaborated in Appendix I.
System Response
For a Multi-Degree of Freedom (MDOF) system, the time response of the system can
be expressed in matrix form16,25,38 as
[m] (t ) + c  (t ) + [k ] (t ) = Pac  + Pex  (75)
894
__________________________________________________________________________________________
wherem is the mass matrix, k is the stiffness matrix, Pacis the actuation force and Pex is
the external force. c is the damping matrix, which can be expressed as proportional
damping, which istypically mentioned as Rayleigh damping. For damped structure, the
closed forms of the solutions are not generally feasible. However, the idealized solution
of damped motion can be assumed by utilizing classical damping. Classical damping is
usually divided into two category, Rayleigh damping and Cauchy damping. Here,
Rayleigh damping method is utilized to represent a linear combination of mass and
stiffness matrices30
[c] =  [m] +  [k ] (76)
whereα and β are known proportional Rayleigh coefficients respect to mass and
stiffness matrices, respectively. α and β are defined as
 i   j   
 = 2i   ,  = 2i 
1
 (77)
 +  i +  j 
 i j 
ξ is the modal viscous damping coefficient, which correspond to undamped natural

frequency, ωi. The damping coefficient is the dynamic property of material, which
cannot be determined theoretically. In this study, a uniform damping coefficient of 0.5%
is assumed taking into account the results obtained from experimental
investigations4,23,24,38 and dynamic properties of metals 4,23,24,38.
Modal Order Reduction

To facilitate the solution of the dynamical system Eq. (75), which involves very large
matrices, resort is made to order reduction method. The concept is to estimate the high
dimensional state space by using an appropriate low dimensional subspace to obtain a
smaller system with approximately similar properties. To design the linear controller,
first and second natural modes of the beam vibration are considered, since the other
natural modes is expected to exhibit insignificant effect in comparison to the first two
modes. In this regard, modal order reduction technique is utilized to reduce the large
number of order of the system, which is obtained by finite element solution. Accordingly,
first the coordinate of the system is reduced by considering the first two modes.
 (t ) = T n2  g (t )21
 g1  (78)
 g (t ) =  
 g2 
895
__________________________________________________________________________________________
whereT is the reduced matrix of eigen-vectors based on the first two modes, and g is
the reduced coordinates. By substituting Eq. (78) into Eq. (75) and multiplying by [T]T,
the reduced order transfer function of the system can be obtained.
T   mT g (t ) + T  c T g (t )

T T
(79)
+ T   k T  g (t ) = T   f ac  + T   f ex 
T T T
wherethe mass, damping and stiffnessmatrices and the force vectors can be defined as
follows
 m22 = T 2n  mnn T n2 ,

T
c 22 = T 2n c nn T n2 ,

T
 k  = T 2n  k nn T n2 ,

T
  22 (80)
f 
ac
21
= T 2n  f ac n1 ,
T
f 
ex
21
= T 2n  f ex n1 ,
T
Thus, Eq. (75) can be rewritten as
 mg (t ) + c g (t ) + k  g (t ) =  f ac  +  f ex  (81)
State Space Representation

Eq. (81) is transformed to a state space vector dynamic equation for designing the
state feedback control system, using g as the solution vector. Hence
 g (t ) = g (t ) (82)
g (t ) = −  m c g (t ) −  m
−1 −1
k   g (t ) +  m
 
−1
 f  +  m  f 
ac
−1
ex (83)
Then, X vector is introduced in order to reduce the order of Eq. (75) as follows
896
__________________________________________________________________________________________
 g1   X 1 
 g (t ) =   =  ,
 g2   X 2 
 g1   X 1   X 3 
 g (t ) =   =   =  , (85)
 g2   X 2   X 4 
 g1   X 1   X 3 
 g (t ) =  = = 
 g2   X 2   X 4 
hus, Eq. (82) and Eq. (83) can be represented, respectively, as
 X1   X 3 
 =  (86)
X2  X4 
 X3   X3   X1 
  = −  m  c    −  m  k   
−1 −1
X4  X4  X2  (87)

+  m
−1
 f  +  m  f 
ac
−1
ex
which can be rewritten as
 X1   X1 
    0 I 22   X 2 
X2  =  22
 
 X 3   −  m−1  k  −  m −1  c   X 3 
      
(88)
 X 4  X4 
  021    021 
+  −1  +  −1 
 
 m  f ac   m   f ex 
or
 X  =  A X  +  B  +  B  
(89)
whereA, B and B* are termed as the state matrix, the input matrix corresponding to the
actuator and the input matrix corresponding to the external force, respectively. The
output of the system is expressed as Y. In this study, the output of the system is sensor
voltage derived in previous section. Thus, the output can be represented as
Y =  C  X  (90)
897
__________________________________________________________________________________________
Where C is the output matrix, and is given by
C  = Csn 1 ( xs 2 ) − 1 ( xs1 )  2 ( xs 2 ) −  2 ( xs1 ) 0 0  (91)
whereθ is the derivative of the displacement and xs is the location of the piezoelectric
sensor on the beam. The benefits of state space approach are in the formulation of the
appropriate control to obtain the desired output.
Control Strategy Formulation

Two linear control methods are applied in the present investigation to suppress the
vibration of the beam. The state space model consisting of the first two natural modes of
the system is utilized to design the controller. First, PID control method is considered,
which is a well-known classical control method. Then, LQR modern control is utilized to
design an optimal controller in order to compare with PID control.
PID Control
The Proportional-Integral-Derivative (PID) control, which is well-known control tooldue
to its robustness andsimplicity, will be considered for comparative purposes. The
proportional feedback constant, P, controls the natural frequency of the system, and
hence the amplitude of vibration. The integral constant, I, sets the necessary adjustment
for the damping, or energy dissipation of the system. The combination of proportional
and integral control action gives the controller a way to minimize steady state error,
while having the ability to minimize the effects of disturbances to the system.
Proportional and integral constants manipulate past control error and cannot predict the
future control error. Thus the derivative constant, D, is proportional to the change in the
error. In other words, it manipulates the speed or response of the controller. The
convenient selections of the PID constants are a key aspect in the success of executing
the PID controller. The transfer function of the PID controller is given by16:
de(t )
u (t ) = K p e(t ) + K i  e(t )dt + K d (92)
dt
where Kp is the proportional gain, Ki is the integral gain and Kd is the derivative gain.
Fig. 14shows the block diagram of PID control system.
898
__________________________________________________________________________________________
Fig.14: Closed-loop system with Parallel PID control block diagram
LQR Control with Observer

Linear Quadratic Regulator (LQR) is then considered for optimal control, to provide a
symmetric way to determine the state feedback control matrix16. It is noticed that for
controlling the beam vibration, all variables for LQR control are not available. An
observer is then necessary to design an estimator for the unavailable feedback values
for its ability to estimate the unavailable variables. In order to control the system with
observer, it should be controllable and observable. The definition of system
controllability, system observability, observer and LQR are briefly elaborated
subsequently.
A system is called controllable, if a system, with regard to unconstrained input control

vector, can be transferred from any initial value X(t0) at time t0 to the any specified value
in a specific time t0tt1. The controllability matrix is expressed as16
B AB ... An−2B An−1B  (93)

nn
The system is controllable, if and only if the controllability matrix Eq. (93) is a full rank
matrix (rank of n); in other words, each vectors of the matrix Eq. (93) should be linearly
independent. In this regard, MATLAB program can be utilized to determine the
controllability matrix.
One system is called observable, if every state vector X(t0) can be obtained from the
observation output in a specific time, t0tt1. The observability matrix of a system is
given by16
T
C CA ... CA n−2 CA n−1  (94)
899
__________________________________________________________________________________________
One system is observable, if and only if the observability matrix has n linearly
independent vectors, or it is full rank matrix. Same as controllability, MATLAB program
is applicable to determine observability matrix of a system and check its rank.
Observer
Following the requirements of observer, the observer is designed based on pole
placement method. By measuring the output of the system and control variables, it
determines the estimated variables. The notation of X̂ and Yˆ is used to assign the state
vector of the observer and the estimated output of the observer, respectively. The
observer gain, Kob, can be obtained by pole placement method7. Thus, the equation of
full state observer is expressed as
ˆ =  A X
X ˆ +  B  f + K (Y − Yˆ ) (95)
ob
whereA and B are state matrix and actuation matrix, which are same as the state space
Eq. (89). f and Y are input and output of the system, respectively, which are expressed
as
Y = CX
Yˆ = CX
ˆ (96)
ˆ
f = − Klqr X
By substituting Eq. (96) into Eq. (95), they can be rewritten as
ˆ =  A − K CX
X ˆ +  B f + K Y
ob ob
ˆ = A X
X ˆ +  B K   f  (97)
ob ob
Y 
ˆ = A X
X ˆ +  B   f 
ob ob
Y 
Eq. (97) is illustrated in the block diagram form exhibited in Fig. 15.
900
__________________________________________________________________________________________
Fig. 15: Block diagram of the closed-loop system with observer
LQR Gain
LQR control provides an approach to calculate the state feedback gain of the control
system16. The system equation is given as
X =  A X +  B  f (98)
The optimal actuator input (control vector) can be determined as

f (t ) = − Klqr X(t ) (99)
The state feedback gain Klqr is optimized to minimize the following.
( X QX + f Rf ) dt

J = T T
(100)
0
whereQand R are the constant weighting matrices, which are real symmetric and
positive-definite matrices. Qand R can be estimated by experiments or trial and error;
however, assigning Q large with respect to Rmeans that the response attenuation has
more weight than the control effort and conversely. The minimized control gain is
expressed as
Klqr = R −1ΒT P (101)
wherePis the unique and positive solution of the well-known Riccati equation 16.
901
__________________________________________________________________________________________
AT P + PA − PBR −1BT P + Q = 0 (102)
For multi degree of freedom system, the solution of Eq.(103) for P is difficult to achieve;
however, it can be solved numerically. MATLAB software has a built-in command to
solve Riccati Eq. (102) and therefore obtainKLQRand P. LQR controller with observer is
performed in MATLAB/SIMULINK©. Detailed elaboration is given in 39.
Results and Discussions

An aluminium beam with three different configurations is considered.The properties of
aluminium beam can be obtained from established references and experimental
work23,24,38. These are tabulated in Table 3. The natural frequencies and natural modes
for each case study are obtained through the procedure discussed in previous section.
Table 3: Properties of aluminium and piezoelectric materials23,24

Aluminiu PZT5- PVD
m H F
Modulus of 71 61 2
Elasticity (GPa)
Density (Kg/m3) 2710 7500 178
0
Width (m) 0.014 0.014 0.01
4
Thickness (mm) 0.66 0.75 0.11
Length(m) 0.319 ˗ ˗
Strain Constant ˗ ˗171 23
d31 ×10˗12 ×10˗
12
Voltage ˗ 0.0114 0.21

Constant g31 6
The PID controller and LQR controller are utilized to manipulate the vibration of the
beam, where controllers are designed using MATLAB/SIMULINK©. The results are
obtained by assuming 1 Nimpulse for the duration of 0.001 second at the tip of the
beam. If the actuator voltage exceeds the maximum operating voltage of the
piezoelectric material, the latter may lose its polarization and piezoelectricity property. In
this regard, the input control voltage is limited to ± 90 volts, which is much less than
maximum operating voltage of PZT and PVDF. Since the classical method for
determining PID coefficients is not applicable here, these coefficients are obtained from
available experiments4,23, and tabulated in Table 4 for each case study.
In the present work, the LQR controller with observer is designed and simulated to
control the vibration of the system. The controllability and observability of systems were
checked in first step, where state space forms of the assumed beams were all
902
__________________________________________________________________________________________
controllable and observable. The observer control method is based on pole-placement,

thus, new poles should be chosen with respect to the poles of the system16. The most
conventional approach is to obtain new poles based on experience.
Table 4: PID Coefficients that are obtained by experiment for each case study
PID Case Case Case
Coefficients Study I Study Study
II III
Proportional 700 25 15
Kp
Integral KI 675 22.5 13.5
Derivative KD 900 30 18
To determine the LQR optimal gain, first, Q and R should be specified. Q and R are
obtained for the best settling time by experiment or trial and error method. In this study,
R is only a scalar number and Q is a square diagonal matrix in which the entries of the
main diagonal are all one and multiplied by a coefficient, q. R and q for each case study
are presented in Table 5. The results of each case study are given and discussed in the
following paragraphs.
The first configuration is considered as a beam completely bonded with PVDF on the
top and the bottom. The sensor is located at the tip of the beam, which is 15 mm long.
Other PDVF patches are utilized as actuator. The length of PVDF on the upper surface
is same as the length of the beam and the lower one is 304 mm. Case study one is
schematically illustrated in Fig. 15. The free vibration analysis of this case study is
carried out by both analytical and numerical approaches. Properties of PVDF material
is listed in Table 3.
Table 5: LQR parameters that obtained by experiment for each case study
LQR Case Case Case
Parameters Study I Study Study
II III
Q 50×107 106 108

R 10˗4 10-3 10-2
Fig.15: Case Study one: beam with complete boned piezoelectric patch
903
__________________________________________________________________________________________
For analytical approach, the natural frequencies of the beam considered can be
obtained by substituting βusingthe following relation:
I
 = 2 (103)

Similar to Eq. (18), Eq. (70)is utilized to obtain the eigen-value and, consequently, the
natural frequencies, via FEM. The results from the analytical approach and finite
element analysis are given in Table 6.Again, the results of the FEM solution show very
small error in comparison to the analytical solution.
Table 6: Natural Frequencies of case study one

Natural Frequencies Analytical FEM Error%
Hz Hz
1st Mode 4.9501 4.9502 2.02× 10-3
2ndMode 31.0197 31.0222 8.05× 10-3
3rd Mode 86.8618 86.8636 2.07× 10-3
Controlled and uncontrolled responses of the case study one is shown in Fig. 16. Time
response of PID and LQR controller are independently compared with uncontrolled
system. In this case, LQR shows a little better settling time in comparison to PID. Table
9lists the calculated results for settling time of these controllers.
Case Study 1 - 1 N Impulse at the Tip of the Beam

0.03
PID
without Control
0.02
Tip Deflection (m)
0.01
-0.01
-0.02
-0.03
0 5 10 15 20
Time (sec) (a)
904
__________________________________________________________________________________________

0.03
LQR
wihtout Control
0.02
Tip Deflection (m)

0.01
-0.01
-0.02
-0.03
0 5 10 15 20
(b) Time (sec)
Fig.16:Time response of the beam, case study one (a) PID control (b) LQR control
In case study two, two PZT are bonded at the base of the beam, which are 38 mm long.
PZT sensor is located right after the piezo-actuator on the top of the beam. The length
of the sensor is 15 mm, as shown in Fig. 17. The natural frequencies of this case study
are obtained by finite element methods and validated by experimental result23, and
expressed in Table 7.
Fig. 17: Schematic of case study two
Table 7: Natural frequencies of case study two compared with available experimental
study from S. Hong23
Natural Frequencies Experimental Study FEM Error%
Hz Hz
1st Mode 6.3 6.44 2.22
nd
2 Mode 38 39.45 3.81
rd
3 Mode 99 107.65 8.73
The result of PID and LQR controllers are given in Fig. 18, which exhibits significant
performance. Both of them can effectively control the vibration of the system; however,
the results of LQR control are a little bit better than PID.
One PZT actuator and one PVDF sensor are considered in case study three. The length
actuator is 38 mm and laid on the upper surface of the beam. The sensor is located next
to the piezo-actuator with 2 mm distance from it. The length of piezo-sensor is 15 mm.
Fig. 19 shows the location of actuators and sensor on the beam. In this case, natural
905
__________________________________________________________________________________________
frequencies and natural modes are determined by finite element method, which are
shown in Table 8.
Table 8: Natural frequencies of case study three determined by finite element method
Natural Frequencies FEM

Hz
1st Mode 6.22
2nd Mode 37.82
3rd Mode 102.92
Fig. 19: Schematic of case study three

0.03
PID
without Control
0.02
Tip Deflection (m)
0.01
-0.01
-0.02
-0.03
0 5 10 15 20
Time (sec) (a)
906
__________________________________________________________________________________________

0.03
LQR
without Control
0.02
Tip Deflection (m)

0.01
-0.01
-0.02
-0.03
0 5 10 15 20
Time (sec)
(b)
Fig. 18: Time response of the beam, case study two (a) PID control (b) LQR control
The controlled and uncontrolled systems of case study 3 are illustrated in Fig. 20. The
performance of LQR is also shown to be better than that of PID.
Three case studies are considered to evaluate which one has better performance in
controlling the system. Settling time and root-mean-square (RMS) value of all of these
case studies are exhibited in Table 9. The settling time is defined as the time taken for
the response of the system to reach and stay in a range around the desired value,
which is usually considered to be 2 to 5 percent of the final value. The RMS value is the
square root of the arithmetic mean of the squared magnitudes of the waveform, which is
a measure of the wave amplitudes.
907
__________________________________________________________________________________________

0.03
PID
without Control
0.02
Tip Deflection (m)

0.01
-0.01
-0.02
-0.03
0 5 10 15 20
Time (sec) (a)
0.03
LQR
without Control
0.02
Tip Deflection (m)
0.01
-0.01
-0.02
-0.03
0 5 10 15 20
(b)Time (sec)
Fig. 20:Time response of the beam, case study three (a) PID control (b) LQR control
908
__________________________________________________________________________________________
Table 9: Comparison of case studies and controllers
Case study 1 Case study 2 Case Study 3

Settling Time (s) 24.29 17.70 17.13
Without Control -5 -5
RMS 483× 10 400× 10 427× 10-5
Settling Time (s) 9.34 0.88 1.47
PID Control -5 -5
RMS 414× 10 138× 10 192× 10-5
Settling Time (s) 7.87 0.66 1.13
LQR Control -5 -5
RMS 385× 10 134× 10 177× 10-5
Weight (g) of the Beam 9.7 10.2 8.9
As shown in the figures, it is obvious that the beam with PZT actuator has much better
response in comparison to the beam bonded with PVDF. PZT can surpass the vibration
better than PVDF, since it has higher stiffness and strain constant than PVDF. Stiffness
has an effect on passive vibration of the beam, where in uncontrolled beam, the beam
with PZT configuration has less settling time than beam bonded with PVDF, as
exhibited in Table 9. Higher strain constant results in higher moment on the beam due
to Eq. (35). In this regard, the system can be controlled quickly with PZT actuator. The
settling time and RMS of case study two and three are close; however, case study two
can surpass the vibration slightly better than case study three. By utilizing the PVDF
sensor in the case study three, the weight of the system reduces in comparison to case
study two.
Both controllers provide significant vibration suppression. For all of these case studies,
LQR shows a slightly better settling time performance than PID. Case study two with
LQR controller shows the best result in this study. Settling time and RMS value of it is
less than the others and the weight of the beam is acceptable.
Conclusion
In this investigation, Active Vibration Suppression of an Elastic Structure Using
Piezoelectric Sensor and Actuator has been elaborated by solving generic beam
problem and three configurations of the beam-piezoelectric elements composite beams.
The active control of the vibration of an aluminium flexible beam has been studied
through the bonding of the piezo-electric elements onto a beam as a smart material.
The governing equation of piezoelectric sensor and actuator is derived for the beam
structure. The general equation of motion of smart beam structure bonded with
piezoelectric layer is derived through Hamilton’s principle based on Euler-Bernoulli
beam theory. For baseline considerations, a cantilevered Euler-Bernoulli beam with
Spring Loading at the Tip has been solved analytically and numerically using Finite
Element Method.Then three different configurations of cantilevered Euler Bernoulli
Beams with piezoelectric patches are considered as case studies. In the first
configuration, the beam is completely integrated with PVDF on the both sides. The free
vibration of this configuration is solved using analytical method and Galerkin finite
909
__________________________________________________________________________________________
element method. The beam is patched with PZT at the base of the beam in the second
case study. The second case study is solved by finite element and compared to an
available experimental work. The free vibration solution of third one, which is the beam
with PZT actuator and PVDF senor, is determined by finite element only. The state-
space representation of the dynamic equation of the beam is formed in order to design
the controllers and to obtain the response of the beam vibration. Then, the full-order
state observer LQR and PID are presented and designed to control the vibration of the
beam. These controllers are utilized in these case studies for comparative purposes and
to gain insight into the problems addressed. The results thus obtained exhibit the
effectiveness of the various controllers chosen and give a beneficial insight on the
utilization of the stability and control of flexible beam structure, which will be beneficial in
addressing more involved problems in the future.
Acknowledgments
The authors would like to thank Universiti Putra Malaysia (UPM) for granting
Research University Grant Scheme (RUGS) No.9378200, and the ministry of higher
education ERGS: 5527088 ; FRGS:5524250 under which the present research is
carried out.
Conflict of Interests
The authors declare that there is no conflict of interests whatsoever regarding the
publication of this paper.
References
1.
M. Azadi, S. Fazelzadeh, M. Eghtesad, and E. Azadi, "Vibration suppression and adaptive-
robust control of a smart flexible satellite with three axes maneuvering," Acta Astronautica,
vol. 69, pp. 307-322, 2011.
2.
P. Gasbarri, M. Sabatini, N. Leonangeli, and G. B. Palmerini, "Flexibility issues in discrete on–
off actuated spacecraft: Numerical and experimental tests," Acta Astronautica, vol. 101, pp.
81-97, 2014.
3.
M. Sabatini, P. Gasbarri, R. Monti, and G. B. Palmerini, "Vibration control of a flexible space
manipulator during on orbit operations," Acta astronautica, vol. 73, pp. 109-121, 2012.
4.
S. Narayanan and V. Balamurugan, "Finite element modelling of piezolaminated smart
structures for active vibration control with distributed sensors and actuators," Journal of sound
and vibration, vol. 262, pp. 529-562, 2003.
5.
S. Xu and T. Koko, "Finite element analysis and design of actively controlled piezoelectric
smart structures," Finite elements in analysis and design, vol. 40, pp. 241-262, 2004.
6.
V.Pommier-Budinger and M.Budinger, Sizing optimization of piezoelectric smart structures
with meta-modeling techniques for dynamic applications, (2014), International Journal of
Applied Electromagnetics and Mechanics. ISSN 1875-8800
7.
S.Kumar, R.Srivastava and R.K.Srivastava, Active Vibration Control Of Smart Piezo
Cantilever Beam Using PID Controller, IJRET, 2014
8.
C.M.A.Vasques, Modal Piezoelectric Transducers with Shaped Electrodes for Improved
Passive Shunt Vibration Control of Smart Piezo-Elastic Beams, 6th European Workshop
onStructural Health Monitoring - Tu.3.C.4, 2012
9.
I.Basdogan, U.Boz, S.Kulah and M.U.Aridogan, Active Control of Plate-Like Structures for
Vibration and Sound Suppression, Intechopen, 2012.
910
__________________________________________________________________________________________
10.
M.Ö.Yayli, M.Aras, and S.Aksoy, An Efficient Analytical Method for Vibration Analysis of a
Beam on Elastic Foundation with Elastically Restrained Ends, Shock & Vibration, 2014
11.
C. C. Fuller, S. Elliott, and P. A. Nelson, Active control of vibration: Academic Press, 1996.
12.
N. Jalili, "Piezoelectric-based vibration control," From Macro to Micro/Nano Scale Systems
Springer, 2010.
13.
H. Baruh, Analytical dynamics: WCB/McGraw-Hill Boston, 1999.
14.
L. Meirovitch, Principles and Techniques of Vibrations, Prentice Hall, New Jersey, 1997.
15.
R. Alkhatib and M. Golnaraghi, "Active structural vibration control: a review," Shock and
Vibration Digest, vol. 35, p. 367, 2003.
16.
K. Ogata and Y. Yang, "Modern control engineering," 1970.
17.
H. Djojodihardjo, "Computational simulation for analysis and synthesis of impact resilient
structure," Acta Astronautica, vol. 91, pp. 283-301, 2013.
18.
H. Djojodihardjo and A.Shokrani, "Generic Study And Finite Element Analysis Of Impact
Loading On Elastic Panel Structure, Paper IAC-10.C2.6.2," presented at the 61th International
Astronautical Congress, Prague, The Czech Republic, 2010.
19.
H. Djojodihardjo, P.M.Ng, and L.K.Soo, "Analysis And Simulation Of Impact Loading On
Elastic Beam Structure with Case Studies, Paper IAC-09-C2.6.01," presented at the 60th
International Astronautical Congress, Daejeon, Republic Of Korea, 2009.
20.
H. Djojodihardjo and I. Safari, "BEM-FEM Coupling For Acoustic Effects On Aeroelastic
Stability Of Structures," CMES: Computer Modeling in Engineering & Sciences, vol. 91, pp.
205-234, 2013.
21.
M. Jafari, H.Djojodihardjo and K.A.Ahmad, Vibration Analysis of a Cantilevered Beam with
Spring Loading at the Tip as a Generic Elastic Structure, Applied Mechanics and Materials
Vol. 629 (2014) pp 407-413.
22.
M.Jafari and H.Djojodihardjo, Vibration Control of an Elastic Structure using Piezoelectric
Sensor and Actuator with Cantilevered Beam as a Case Study, Scientific Cooperations
International Workshops on Electrical and Computer Engineering Subfields, 22-23 August
2014, Koc University, Istanbul/Turkey
23.
S.-Y. Hong, "Active vibration control of adaptive flexible structures using piezoelectric smart
sensors and actuators," 1992.
24.
A. Yousefi-Koma, "Active vibration control of smart structures using piezoelements," Carleton
University, 1997.
25.
S. S. Rao, Vibration of continuous systems: John Wiley & Sons, 2007.
26.
L. Meirovitch, Computational methods in structural dynamics: Springer, 1980.
27.
A. K. Chopra, Dynamics of structures vol. 3: Prentice Hall New Jersey, 1995.
28.
E. Kreyszig, Advanced engineering mathematics: John Wiley & Sons, 2007.
29.
C.A.Brebbia and J.J.Connor, Fundamentals of Finite Element Techniques for Structural
Engineers, Butterworths, London , 1973
30.
M. J. Maurizi, R. E. Rossi, J. A. Reyes, Vibration frequencies for a uniform beam with one end
spring-hinged and subjected to a translational restraint at the other end, J Sound &Vibr.,
1976.
31.
Deepak Chhabra, Kapil Narwal, Pradeep Singh, Design and Analysis of Piezoelectric Smart
Beam for Active Vibration Control, IJART, 2012
32.
StanisławWrona, Marek Pawełczyk, Controllability-Oriented Placement of Actuators for Active
Noise-Vibration Control of Rectangular Plates Using a Memetic Algorithm, Arch.Acoustic,
2013
33.
M. R. Safizadeh, I. Z. Mat Darus, M. Mailah, Optimal Placement of Piezoelectric Actuator for
Active Vibration Control of Flexible Plate, academia edu.
34.
N.D.Shoushtari, Optimal Active Control of Flexible Structures Applying Piezoelectric
Actuators, PhD, Waterloo, 2013
911
__________________________________________________________________________________________
35.
Padoin, Menuzzi, Perondi, Fonseca, Modeling and LQR/LQG Control of a Cantilever Beam
using Piezoelectric Material, 22nd International Congress of Mechanical Engineering
(COBEM 2013), November 3-7, 2013, Ribeirão Preto, SP, Brazil
36.
Brian P. Baillargeon and Senthil S. Vel, Active Vibration Suppression of Sandwich Beams
using Piezoelectric Shear Actuators: Experiments and Numerical Simulations, Journal of
Intelligent Material Systems and Structures, Vol. 16, June 2005
37.
A. Meitzler, H. Tiersten, A. Warner, D. Berlincourt, G. Couqin, and F. Welsh III, "IEEE
standard on piezoelectricity," ed: Society, 1988.
38.
T. Bailey and J. Ubbard, "Distributed piezoelectric-polymer active vibration control of a
cantilever beam," Journal of Guidance, Control, and Dynamics, vol. 8, pp. 605-611,
39.
1985.
40.
Dixon C. Passive Vortex Lift Control. Available at:
http://www.google.com.br/patents/US4705240/ (Accessed on: December 23, 2013).
41.
Thomas A. Control Force Generator. Available at: http://www.google.nl/patents/US4682746/
(Accessed on: December 24, 2013).
42.
Evans R. Surface Flow Enhancement Device Having a Gripping Pad. Available at:
http://www.google.com/patents/US20130228236/ (Accessed on: December 23, 2013).
43.
Pitt D. System and Method for Varying the Porosity of an Aerodynamic Surface. Available at:
http://www.google.nl/patents/US8251317/ (Accessed on: December 24, 2013).
44.
Boespflug M, Saddoughi S, Bennet JR G, Opaits D. Method of Using an Active Flow Control
System For Lift Enhancement or Destruction. Available at:
http://www.google.com/patents/US20130284273/ (Accessed on: December 24, 2013).
45.
Raghu S. Method And Apparatus For Aerodynamic Flow Control Using Compact High-
Frequency Fluidic Actuator Arrays. Available at:
http://www.google.com.br/patents/US8382043/ (Accessed on: December 24, 2013).
46.
Brand A, Narramore J, Harse J, Lanigan B. Airfoil Shaped Tail Boom. Available at:
47.
Van Horn J. Circulation Control Slots in Helicopter Yaw Control System. Available at:
48.
Schmidt J. Circulation Controlled Rotor Blade. Available at:
49.
NASA. Green Aviation. A Better Way to Treat the Planet. Available at:
http://www.green_aviation_fact_sheet_web/ (Accessed on: December 2, 2012).
50.
European Commission. Clean Sky 2 Initiative. Developing a New Generation of Greener
Aircraft. Available at: http://www.ec.europa.eu/ (Accessed on: December 25, 2013).
51.
Jones GS, Lin JC, Allan BG, Milholen WE, Rumsey CL, Swanson RC. Overview of CFD
Validation Experiments for Circulation Control Applications at NASA. Available at:
http://www.ntrs.nasa.gov/.../nasa/casi.ntrs.nasa.gov/20080031119_2008030041.pdf
(Accessed on: December 18, 2013
52.
Rose RE, Hammer JM, Kizilos AP. Feasibility study of a bi-directional jet flap device for
application to helicopter rotor blades. Honeywell Document. United State, No. 12081-FR1,
July, 1971.
53.
Englar RJ, Williams RM. Design of a circulation control stern plane for submarine
applications. NSRDC Technical Note. New York, United State AL-200, March, 1971.
54.
Radespiel R, Heinze W. SFB 880 - Fundamentals Of High-Lift For Future Commercial
Aircraft. Deutscher Luft- und Raumfahrtkongress, Stuttgart, September 10.-12, 2013
55.
Shires A, Kourkoulis V. Application of circulation controlled Blades for Vertical Axis Wind
Turbines. Energies 2013; 6: 3744-3763. doi:10.3390/en6083744.
56.
H.Djojodihardjo and M.Jafari, Vibration Analysis Of A Cantilevered Beam With Piezoelectric
Actuator As A Controllable Elastic Structure, paper IAC-14,C2,3,8, Proceedings, The
International Astronautical Congress 2014, Toronto.
912
__________________________________________________________________________________________
Appendix I:
Comparative study of the baseline results with other works.
For comparative study, FEM and analytical solution of this study is compared with two other
works; the first is based on Timoshenko beam theory4and the second on theoretical and
experimental study36.Table I.1 compares the results of Narayanan4 Timoshenko beam theory
with the results of the present model, which uses both analytical and Finite Element
computational schemes, and using the same thickness to length to ratio of 0.004.
It can be observed, that both works exhibit excellent agreement, which serve to validate and
indicate the robustness of the present method in obtaining the baseline solution.
Table I.1: Comparison of the present FEM results with Analytical and
Timoshenko beam theory results4
Number FEM Analytical Error between Timoshenko Error between
of Modes Euler-Bernoulli FEM & Analytical Beam Theory4 FEM and
Beam Theory Timoshenko
1st 6.89 6.89 0.0 6.89 0.0
2nd 43.17 43.17 0.0 43.285 2.6×10-3
3rd 120.89 120.89 0.0 121.22 2.7×10-3
4th 236.89 236.90 4.2×10-5 237.72 3.5×10-3
5th 391.57 391.60 7.7×10-5 393.58 4.6×10-3
6th 584.98 585.00 3.4×10-5 589.63 7.9×10-3
Table I.2: Comparison the first natural frequency of the present FEM
results with Experimental result
Number FEM Analytical Error between Experimental Error between
of Modes Euler- FEM & work36 FEM and
Bernoulli Analytical Experimental
Beam Theory
1st 147.4 147.39 0.0 123.06 19.7 %
The second comparison serves to verify that for larger thickness to length ratio, the Euler-
Bernoulli beam theory may fail to show good agreement with experiments. Baillargeon and Vel36
work deals with thick sandwich beam, where the thickness to length ratio of the beam is 0.1.
However, it is interesting to note that the first natural frequency calculated using our method and
Baillargeon and Vel’s ABAQUS based solution and experimental results indicate an error of
913
__________________________________________________________________________________________
19.7 percent for the first mode, as exhibited in Table I.2. Nevertheless, such qualitative
agreement is encouraging.
CONFLICT OF INTEREST
The authors confirm that this article content has no conflicts of interest whatsoever.
Corresponding Author Contact E-mail Address

Email address: harijono@djojodihardjo.com;
914
__________________________________________________________________________________________
EPILOGUE
Closing Remarks and

Lesson Learned
915
__________________________________________________________________________________________
916
__________________________________________________________________________________________
XXVII
EPILOGUE –
CLOSING REMARKS AND
LESSON LEARNED
In the introduction, the author mentioned that elaboration in the book is based on
the authors experience and personal paradigm, and is meant for sharing with others as
part of the “Togetherness” paradigm adopted by the author. In addition, in line with
mankind historical progress, the book can reflect, trigger and accelerate our common
efforts to achieve our noble goal. That implies an objective that all of us can contribute
proactively in the cultural transformation of and enjoy being a member of a nation that is
intelligent and prosperous with high cultural value system.
The writing of this book is motivated by a desire, starting from “a dream”,
conviction and conscience, that are based on “knowledge”, and can be elaborated to be
the utilization and implementation of one’s physical five senses and intelligence
(Rezoning, Conscience and Intuition), to achieve outputs and outcomes that should be
synergistic, constructive, productive and sustainable, that will in turn contribute to the
creativity and cultural development.
The goal of cultural development can start from oneself and from “within”, and
through social interaction will grow into larger and larger social environment. That desire
is here limited to the author’s nation, that possesses specific characteristics and
accepted as the national paradigm.
Then the following questions are imperative64
➢ Is there a coherent elaboration between the book title, introduction and the
entire content of the book?
➢ Is the objective of the writing up of the book achieved?
To respond to these inquiries, three aspects will be elaborated.:

First: To briefly review various definitions and basic understanding of terms and
terminologies used by the author as the basis in formulating various paradigms and
writing systematics, although they may not be elaborate and exhaustive, in order to
arrive at common understanding among the readers and the author, as well as to gain
beneficial learning outcome. Various definitions of basic terminologies and their
relationships to the spirit of the author’s writing is briefly elaborated in the section on
Brief Review of Basic Definitions and Fundamental Terminologies.
64 Gayatri Asmaradewi Joyodiharjo suggested to address this issue.
917
__________________________________________________________________________________________
Second: To elaborate and clarify the author’s basic thought and philosophy, in
particular as related to the meaning and implications of ingenuity (Indonesian: “Akal-
Budi”). Such efforts are carried out by delving further into standard definitions, exploring
the usage of the relevant terms for various applications, and referring to the thoughts
and philosophy of well-known philosophers, local, national as well as international ones,
including reference to local culture. This issue is elaborated in the section on
Significance and Implications of Ingenuity
Third: To verify and assure that various articles that constitute the issues
elaborated in each and every chapters, both is the “Macro” aspects as well as in the
“Micro” aspects, represent the manifestation of the “dream”, “spirit”, and “paradigm”
being consistently followed by the author in utilizing “ingenuity” to contribute to the
“National Culture”, by addressing education, science, technology and industry, that may
eventually shaped the culture of a community, society and eventually by the nation. A
confirmation that such has been the case as consistently elaborated by the author has
been captured beautifully and elegantly by Prof. Saswinadi Sasmojo in his Foreword.
He stipulates that in the framework of culture, a music composer produces musical
composition that can be enjoyed by music lovers, as an engineer and scientist that
takes advantage of his ingenuity, produces scientific articles and engineering products,
that may be beneficial and enjoyed by those that can appreciate them. This issue does
not need further elaboration.
Brief Review of Basic Definitions and Fundamental Terminologies

Cognition: The derived word Cognitive has been used in many parts of the book, and
it implies the beginning of a mental process and effort to gain knowledge and
understanding through the use of the five physical senses, reasoning capability and
experience.65”These process and efforts cover many intellectual function and process
aspects, such as attention, formation of knowledge, memory, consideration and
evaluation, reasoning, calculation, mapping, questioning, decision making,
understanding and expressing through communication media. Cognitive process
utilizes knowledge gained and forms new knowledge. Cognitive process can be
elaborated from various points of view and with different contexts.
Reasoning: The word reasoning has also been used in many parts of this book. In its
positive connotation, reasoning or intellectual capability implies the effort to come up
65
Summarized from many references. It is understood that the learning process consists of cognitive,
affective and psychomotoric elements. See for example: Hoque, Three Domains of Learning-Cognitive
Affective and Psychomotor, 2016, September 2016, www.edrc-jefler.org, ISSN-2520-5897
918
__________________________________________________________________________________________
with ideas or ways to carry out something. Reasoning is a spiritual tool of mankind to
differentiate between wright or wrong, true or false, and to analyse something. Such
capability depends on one’s experience and level of education, both formal and
informal. Therefore, reasoning can be defined as a spiritual; tool for mankind to
remember, to conclude, to analyse and to evaluate whether something, be it abstract or
concrete, is right or wrong, true or false, and useful.
Another understanding of reasoning is the capability to think, in order to
understand or look for something, capability to see, to understand the environment.
Reasoning is another word for thought, thinking and memory. By the use of reasoning,
mankind can see oneself and one’s relation with the surrounding environment, and can
develop various concept about one’s character and conditions, and to be aware and act
with regards to relevant situations and uncertainties facing one’s life.
Significance and Implications of Ingenuity

Sigmund Freud distinguished or model the psyche or personality of mankind or
personality (mental and behavior) of into three major classification66:
1. the id , which is the primitive and instinctual part of the mind that contains
sexual and aggressive drives and hidden memories,
2. the super-ego which operates as a moral conscience, and
3. the ego, which is the realistic part that mediates between the desires of
the id and the super-ego.
Following this definition, Id is the most primitive component of mankind personality, and
is instinctual. However, from the author’s experience, who prefers the term intuition
rather than instinct to represent id, intuition can develop along with one’s experience in
life and to some extent, influenced by one’s reasoning capability an d one’s conscience,
if these are deliberately directed and trained, like human reflex. Intuition also develops
following the cultural values and behaviour of the surrounding society. Id can be
regarded as a “wild animal” in “one’s head”, and is directing one to do something. Such
situation has to be controlled by our reasoning and conscience.
66
Jose, Francisco Moreno. Agama dan Akal Fikiran. Naluri Rasa Takut dan Keadaan Jiwa Manusiawi.
PT. Raja Grafindo Persada. Jakarta. 1994 (Indonesian reference)
919
__________________________________________________________________________________________
Figure 1 Relationships between Id, Ego and Superego of Sigmund Freud, and the author’s
equivalent concept of Intuition, Rezoning, and Conscience (in Indonesian: “Naluri, Nalar, and
Nurani”, with combined interpretation of Intelligence (Indonesian: Akal-Budi). The figure on the
right-hand side represents the conviction and philosophy of the author, although in this Figure
the two concepts are compared.67
Mankind conscience to some extent is influenced by moral values that have
develop within oneself, and is influenced by upbringing, formal and informal education,
as well as moral and cultural values of the societies that have interacted with one. It is
then also influenced by the culture and civilization of a nation and/or the world, in line
with globalization trend and advances in technology.
With that background, the relationship between Id, Ego dan Superego, which
following the author’s conviction and conscience can be represented equivalently as
Reasoning (“Nalar”), Conscience (“Nurani”) and Intuition (“Naluri”), although they may
not be absolutely equivalent. Such equivalence is indeed subjective, due to the author’s
logical reasoning, as well as guided by intrinsic and latent value system embedded by
cultural background.
Following such rationale, Sigmund Freud’s and the author’s model of the psyche
or personality are exhibited in Figure 1. As a case in point, the author would like to point
out, regarding the choice of intuition instead of instinct, that the id or the author’s
intuition, is represented by “a peaceful an friendly dove”, on the right part of Figure 1,
against the image of “devil” (or could be “wild beast”) on the left side of Figure1.
67
After further considerations in the process of finalizing this book, his paradigm is summarized in the
logo at right hand side of the Figure as a symbol of Personality, and can be represented by a motto:
Togetherness: Love, Care, Share, Give and Srve, or in Indonesian: Kebersamaan: Kasih, Berbagi,
Peduli, Memberi, Melayani, and in Javanese (author’s mothers’s tongue): GUYUB – Tresno, Gumati,
Asah-Asih-Asuh, Caos, Laden. The image also appears at the end of the book.
920
__________________________________________________________________________________________
Without further elaboration, the relationships between mankind personality intelligence

and his body, Figure 2 illustrates the interaction between mankind’s mind and body
following mind and body dualism relationships as implied by Descartes68.
Mind (Character, Sensibleness) can be identified as a series of Cognitive capabilities,

that allows mankind awareness, perception, consideration and memory, which to a
certain level could be less in other organism. Various tradition in philosophy, religion,
psychology, and cognitive sciences have attempted to understand Mind and its
properties. Mind has a close relationship with brain and nervous system, which is
usually referred to as body and mind, as reflected in Figure 2. This Figure exhibits the
dualism approach that states that Mind is separate from body. This notion is elaborated
here to demonstrate the distinction between the above understanding, with that derived
from day-to-day experience, that Mind is related to Conscience (in day-to-day parlance,
“heart”). That refers to various daily expressions such as “good-hearted”, “deep in one’s
heart”, and the like. Nevertheless, we will all agree that there is a close relationship
between “mind” and “bodily conditions”.
Figure 2 The interaction between mankind’s mind and body as implied by

Descartes “mind and body dualism” 69
Common-Sense (Indonesian “Akal-Budi”) or Intelligence is here defined by the

author as combined reasoning and conscience, which will further influence intuition.
Intelligence or Intellectual Capability can be defined in various ways. For example, as
the ability (or the capability) of mankind to think rationally or logically, such as by
following the cause and effect paradigm, using valid or well justified and verified
premises and information. Such intelligence or intellectual capability implies
understanding, awareness, emotional knowledge, planning, creativity, critical thinking
and problem solving.
In general, intelligence can be elaborated as the capability to see or refer to information,
conserving it as knowledge that can be applied to adaptive behavior within an
environment or context.
68
https://www.simplypsychology.org/psyche.html
69
René Descartes (1596—1650) is a French philosophist and mathematician and the creator of the
Cartesian Coordinate System and the co-inventor of Algebra. He has been referred to as the Father of
Moidern Philosophy.
921
__________________________________________________________________________________________
Figure 3 Sustainable Mankind Vision on the Earth and the Universe. (a) Left- A vision that has
been guided by Wisdom and Intelligence, and the relationships with the Basic Human Needs
and their sustainability; (b) Right- Cultural Development through Intelligence (Reasoning,
Conscience and Intuition) and the Five (Physical) Senses as a Pyramid depicting the
development of wisdom starting from cognitive observation by mankind senses until achieving
Civilization
Culture; For the time being, the term “culture” and “civilization” can be defined as
follows. “Culture is the set of values that shapes the behaviour of the society at
different levels while civilization is apparent in the physical development in form of
man-made environment. Culture is the mind of society and civilization is the body”
Figures 3 and 4 combine, collect and summarize the goals that would be achieved by
mankind as understood by the author, and relate these to the cognitive process of the
development of the individual behavior and culture70 by employing one’s physical five
senses, reasoning , conscience and intuition to engender societal culture that
progressively transcends to larger communities, eventually contributing to the creation
and maturing of nation noble culture and civilization.
70 Traits of individualistic cultures comprise uniqueness, self sufficiency, independence and autonomy. A
few common characteristics of individualistic cultures include: Individual rights take the center stage,
independence is highly valued, being dependent upon others is often considered shameful or
embarrassing, people tend to be self-reliant, the rights of individuals tend to take a higher precedence
and people often place a greater emphasis on standing out and being unique.
922
__________________________________________________________________________________________
Figure 4 Systematic Graphical Summary of the close relationship between Mankind Basic
Needs and their Environment. This is a detailed elaboration of the Figure exhibited as the left
side of Figure 3.
Figure 5 Logical Pyramid of Reasoning Process71
71At the time of writing this book, the author was informed by Sasmiyarsi Samoyo about an old Javanese
philosophy given to younger generations, that interpreted in English as depicted in Figure 5a. This can be
used as a comparative information and further analysis.
923
__________________________________________________________________________________________
Human thinking processes, following their stages from upstream (observation through
the physical five senses and/ or intuition) up to downstream through the process of
logical reasoning, can be classified, as illustrated and summarized in Figure 5, into
1. Data: symbols that are being sensed
2. Information: processed data that are considered useful, and contain the
answers to questions on “who”, “what”, “where” and “when”
3. Knowledge: the application of data and information to answer questions like
“how” (It may be referred to as " “prescriptive”).
4. Understanding: understanding of the nature and essence of the answer to the
question “why”. It is explanatory in nature; it contains cause and effect
relationships.
5. Wisdom: Comprehension after having and obtaining contextual assessment and
evaluation.
Departing from a platform and frame of thought following the paradigm elaborated
above, then motivation and determination are established in the author’s “heart, mind
Figure 5a: An old Javanese Philosophy
924
__________________________________________________________________________________________
and soul” to direct his life following the path and philosophy that are elaborated in the
Preface and the Introduction, as well as relevant paragraphs elaborated previously, and
packaged into the author’s dubbed “Togetherness” paradigm.
The implementation of some of the ideas conveyed in Part One in Education, Science
and Technology, as well as Industry, to some extent comprise the efforts to achieve and
to realize those dreams. Bismo Joyodiharjo72, expressed his impression that the First
Part contain examples categorized as “Conscience” oriented, while the Second Part
“Reasoning” oriented. The author believes that both parts are the product of
“Intelligence”, comprising and combining the reasoning, conscience and intuition as a
unified driver reflecting mankind personality.
In closing, the author would like to display some sayings that serve to motivate the
author throughout his life. These are:
➢ “The dream of yesterday is the reality to-day, and the dream of to-day will
be the reality of to-morrow”
➢ “Socrates Challenge”: as articulated circa 400 BC:
"Man must rise above the Earth -- to the top of the atmosphere and
beyond -- for only thus will he fully understand the world in which he
lives."
➢ The picture taken by NASA Apollo 8 crews NASA during the Moon Landing
Mission, exhibiting “Earth Rise”.
Figure 6 “Earthrise” Picture taken by NASA Apollo 8 crews on 24 December 1968
➢ Start from oneself and from within (one’s Intelligence”) if you like to
observe and experience changes in the culture of the society.
➢ Paradigm of Life: Togetherness – Love, Care, Share, Give and Serve (In
Indonesian: “Kebersamaan - Kasih Sayang, Peduli, Berbagi, Memberi dan
72
Bismo Jelantik Joyodiharjo; personal communication.
925
__________________________________________________________________________________________
Melayani”; in Javanese: “Guyub – Tresno, Gumati, Asah-Asih-Asuh, Caos,

Laden”).
These sayings and illustrations73 serve to engender the paradigm of the author,
that is intended to represent a holistic vision the way forward. To allow the
understanding, appreciation, cherish, preserve, and develop our unique Earth that has
given sanctuary and home to mankind (including my-self and my family), we have to be
able to look and observe the Earth from “above”. Physically, we have to be able to
observe the Earth from a point high in the sky or from space, since the higher you fly,
the wider the perspective view, and for that matter more multi-faceted information, that
can be gained. In an abstract sense, we have to observe the Earth, mankind, the
society and the socio-economic-cultural state of affairs on the Earth from “above”, that
means as objective as possible. Hence both views mean that we have to regard the
Earth and the environment it contains holistically as a home and as a vehicle, to
facilitate the cultural transformation of mankind towards ever and better prosperity and
intelligence with noble values.
In addition, my daughter Asmara74 has reminded me that what I have presented,
is in conformity with the following Hadith (quoted from HR. Ahmad, ath-Thabrani, ad-
Daruqutni and endorsed by al-Albani in Shahihul Jami’ no:3289), that Prophet
Muhammad Shallallahu’alaihi Wasallam had said:
ِ ‫الناس أ َ ْنفَعُ ُه ْم ل‬
‫ِلناس‬ ِ ‫َخي ُْر‬
With a meaning “The most glory: honour won by notable achievements of
mankind are those that are beneficial for mankind”
Some final notes seem to be fitting in response to various comments conveyed to

the author during the preparation of this book. At this point, reference to some quotes of
known philosophers may be worth for relating, if not justifying, the author’s paradigm
with prevailing culture and mankind rationale. Reference to many well-known peers and
philosophers have shaped and motivated the authors essays and narration presented in
the First as well as the Second Part. To be frank, all those presented can be said to be
still in the stage of “dream”.
The narration elaborated by the author is based on rational reasoning, and in
addition, accompanied by the conviction and conscience of the author. In this
conjunction, many phrases of the author’s philosophy should be viewed with reference
to the peers and philosophers that may have cultural ties with the Indonesian society. In
that regard, the author may refer to some quotes from Indonesian, Mid-Eastern and
Chinese philosophers based on relevance and linkages. First, without further
73 “Pictures are worth more than thousand words”

74 Gayatri Asmaradewi Joyodihardjo, personal communication.
926
__________________________________________________________________________________________
elaboration, the philosophy implied by the Javanese philosopher Ronggowarsito75 in his

work “Serat Wirid Hidayatjati”, contains eight major aspects that can serve as one
“teacher” in one’s life. As a Javanese, his philosophy reflects the author’s philosophy as
these reflects the spiritual attitude inherent in the cultural background and behaviour of
the author.
Figure 7 Relationship between Kuntoaji’s “Tawheed” and the author “ingenuity Concept”
following the author’s interpretation
In this conjunction, the author would also like to refer to the book written by
Prof.Dr.Kuntowijoyo76, who elaborated the notion of Transcendental Structuralism. This
is reflected in the understanding of “Tawheed” (Believe in God Almighty) as depicted in
Figure 7. To summarize, the relationship between Kuntowijoyo’s concept and the
author’s paradigm associated with the Islamic Tawheed Structures is represented in this
Figure. The illustration depicted in this figure present the Tawheed Structure in one
“plane” and the author’s concept of intelligence in the other plane, with the author’s
“conscience” (“Nurani”) to be identical with Kuntowijoyo’s.
What is illustrated in Figure 7 (and elaborated further in Figure 11) comprises the
author’s interpretation related to the acculturation process from individual to a group and
eventually to a society in a progressive fashion in time, which is in essence
multidimensional. There are other aspects (or dimensions) in cultural development,
75
Ronggowarsito, SERAT WIRID HIDAYATJATI, terjemahan dari “alangalangkumitir”, “…Delapan
perkara utama yang bisa menjadikan guru, Sehat jasmani, tidak ada cacat satupun; Halus tutur kata,
tidak berkata-kata kotor; Bertingkah laku sopan; Berbudi luhur; Menjadi panutan; Bijaksana; Cita-citanya
luhur; tidak banyak keinginan….”
76 Prof.Dr,Kuntowijoyo, Muslim tanpa Masjid, Penerbit IRCiSoD, ISBN 978-602-7696-53-2, 2018
927
__________________________________________________________________________________________
such as the interactions among social groups, or cultural development triggered by

abrupt natural disasters, for example.77
In addition, the elaboration in detail of the author’s paradigm and concept of
personality, as reflected in Figure 1 and Figure 3, can be reinforced by Avicenna (Ibnu
Sina) thinking. For Avicenna, mankind knowledge seeks to find harmony with nature, in
line with the authors basic philosophy that leads to his paradigm. In addition, the
paradigm “felt” by the author, that is “Togetherness” is in line with Khalil Gibran
philosophy, that is “Work is love made visible"78. In delivering Figures 3 and 5, one may
recall the following quote by Confusius “To say you know when you know, and to say you
do not when you do not, that is knowledge and wisdom” 79 as well as Socrates “The only
true wisdom is in knowing you know nothing.”
Figure 8 : The Process of Cultural Transformation and its Participating Elements;

Holistic Implementation of Education, Science and Technology through gthe generation
of ”Condensation Cores”, with an example derived from Academic Environment.
Hence the conclusion that can be drawn from the dreams that may contribute to the
National Culture through Ingenuity, the following can be mentioned
1. A dream starts from oneself, and by using Intelligence80, one can attempt to start
implementing the dream in a structured fashion, by further implementing the
“togetherness” (“Kebersamaan”81; “Guyub”82) paradigm, in the proactive and
77 Author’s discussion with Suyono Djojodihardjo, Senior Lecturer on Social Anthropology at the
University of Indonesia
78 M.Naimy, The Mind and Thought of Khalil Gibran, Journal of Arabic Literature, Vol. 5 (1974), pp. 55-71
79 Peimin Ni, The Philosophy of Confucius, https://www.researchgate.net/publication/316100503
80
ingenuity is the ability to solve difficult problems, often in original, clever, and inventive ways
while intelligence is (uncountable) capacity of mind, especially to understand principles, truths, facts or
meanings, acquire knowledge, and apply it to practice; the ability to learn and comprehend. Hoever, these
two terminologies are used alternatively, depending on the context involved/
81 Indonesian, implying ” “Kasih Sayang, Kepedulian, Berbagi, Memberi dan Melayani”,”
928
__________________________________________________________________________________________
synergistic manner through interaction with the surrounding society as

applicable.
2. The available and relevant surrounding society starts from a small circle, as
depicted in Figure 8. Through social interaction and using trust based social
capital that can be initiated and generated, or already exists, the initiative will
gain momentum and may reach larger community circles. The process is
analogous to rainfall, where water droplets from the sky form condensation cores
and eventually develop into rainfall.
Figure 9 : Illustration of Social Capital, which can be defined as a concept or vision

emphasizing the significance of social contacts and relationships within and amongst
social groups.
3. Intelligence at least has two roles:

a. To generate personality and behaviour, starting from oneself. It has a high
probability to reach larger environment progressively due to social
interaction, based on trust.
82Javanese, implying “Guyub: Tresno, Gumati, Asah-Asih-Asuh, Caos, Laden”; both (30)and (31)
means “Togetherness: Love, Care, Share, Give and Serrve”
929
__________________________________________________________________________________________
Figure 10 The process of Science and Technology oriented acculturulization as part of

the Cultural Transformation process.This is an elaboration of the evolution of Human
Culture through Vision and Social Structural System as an iterative process with time. The
Structural System is a system that governs the entire mankind and their environment,
comprising social, economic, political and cultural subsystems
Figure 11 An illustration of the Cultural Development process through Ingenuity, which

can be rooted within an individual, as a part of the Cultural Transfomation Process. For
the author, the process is focused on Education, Science, Technology and Industry.
b. To generate Social Capital, as represented by Figure 9, based on cultural

development dynamics through the cultural transformation process
illustrated by Figure 10. Such process may take place progressively
930
__________________________________________________________________________________________
through the development of vision, facilitated by prevailing societal culture

and governance.
4. The development of national culture through ingenuity takes place through a
multi-dimensional process, which can be proactively triggered, accelerated or
“softly” stimulated through intellectual initiatives and creativity. A simple depiction
of such process is shown in Figure 11.
With all these elaborated narrations, the author has attempted to answer the questions
posed at the beginning of this chapter:
➢ Coherence of the title, introduction, the entire essays as presented in the

chapters, and the Closing Remarks has been justified. Such coherence has been
elaborated by further elaboration in the terminologies that have been utilized and
form the basis of the narration, through the use of logical process.
➢ Various cases that have been presented in the chapters represent examples to
implement the paradigm followed in addressing various “dreams” turned up
throughout the authors service for Education, Science, Technology and Industry.
The activities implied in each article are proactive manifestations in establishing
problem solving attitude and ethics as part of individual culture creation.
➢ The answer of the question whether the present book can achieve the
expectation as stated in the Introduction will be left to the readers, since this is
part of the “downstream” process.
It is the hope of the author that through the authors service as educator,
researcher, academician, and professional in Science, Technology and Industry, the
author’s contribution through the writing of this book can enrich the noble culture of the
nation, and beneficial for the reader and society at large.
931
__________________________________________________________________________________________
932
__________________________________________________________________________________________
ACKNOWLEDGEMENT
The author would like to thank those that have partially reviewed and provided
comments and criticism during the process of finalizing this book. Certainly, at the first
opportunity, the author turned to his sons and daughter. Therefore the author would like
to thank Airlangga Krishnapriyadi Joyodiharjo (B.Sc.Eng, Ohio State U), Bismo Jelantik
Joyodihardjo (S.Ds, M.Ds, ITB) dan Gayatri Asmaradewi Joyodiharjo (S.T. Environment
Engineering, ITB) for their patience in reviewing the first draft of the book. Asmaradewi
and Airlangga Krishnapriyadi have assisted the author in editing the text for
typographical errors as well as some incompatibility in using the software.
The author would like to thank Prof. Ir. Saswinadi Sasmojo Ph.D., Professor
Emeritus at the Department of Chemical Engineering at the Institute of Technology
Bandung, Prof. Dr.-Ing. Boris Laschka, Professor Emeritus at Technische Universität
München, Prof. Shinji Suzuki, Professor Emeritus at the University of Tokyo, and Prof.
Paolo Gasbarri from the University of Rome La Sapienza, for their forewords of the
book.
The author would also like to thank Dr. ir. Agus Budiyono for contributing one
Chapter in the Indonesian Language Volume of the Book, “AKAL BUDI UNTUK
BUDAYA BANGSA”, which complements the spirit, thought and philosophy of the
author, and to Prof.Dr.-Ing. Ir. Darwin Sebayang, Professor Emeritus at University of
Mercu Buana, Jakarta, for contributing his Testimonial, also in the Indonesian Language
Volume of the Book.
The author would also like to thank the moral support and comments of Mrs.
Sasmiyarsi Katoppo-Sasmoyo, Chair-Person of The Indonesian Cultural Circle (“Ketua
Lingkar Budaya Indonesia”), an entrepreneur and philanthropist, and a very good friend.
The comments and criticism provided by Drs. Sujono Djojodihardjo, a senior faculty
member specializing in Social Anthropology at the University of Indonesia and Trisakti
University, Ir. Endro Utomo Notidisuryo, Past Director General for Electricity and Energy
Development, Ministry of Energy and Mineral Resources, Prof. Dr. ir. Agus Budiyono
(ST, ITB; SM-AA, EAA, MIT; Dr., ITB), Faculty Member at the Institute of Technology
Bandung, Foreign Professor di Konkuk University Korea dan Associate Professor at
RMIT University Melbourne, Cultural Obsrvers Mrs. Susanti Subono-Soedewo dan Mrs.
Toeti Riyanto-Mohamad Salim, Ir. Surjanto Mukajat, an ITB Alumnus and Entrepreneur,
Ir. Sutono Djojosuparto M.S.M.E., a colleague from ITB and an Entrepreneur, Dr.Dri
Arbaningsih Suleiman, a childhood friend, entrepreneur and a specialist in philosophy,
Prof. Dr.Dipl.-Ing. Ir. Bambang Sutjiatmo from the Faculty of Mechanical and Aerospace
933
__________________________________________________________________________________________
Engineering at the Institute of Technology Bandung, Prof.Dr.-Ing. Darwin Sebayang,

Professor Emeritus at the Mercu-Buana University, a former colleague at the
Indonesian Institute for Aeronautics and Space and fellow professor at Malaysian
Universities, Mrs. Hariani Mardjono-Soekanto, Chairperson of Indonesian Heart
Association, Ir. Sonny Soemarsono Wibowo, an entrepreneur, Dra. Halida Nuriah Hatta
MA, an Economic Observer, Ir. Heru Prasetyo, an Entrepreneur, Mrs. Iesje Sri
Wanisihati Leksmono Tjondronegoro, an Educational Observer, and Prof.Ir.Djoko
Suharto Ph.D, Professor at the Faculty of Mechanical and Aerospace Engineering, at
the Institute of Technology Bandung, for their constructive comments and criticism.
All their comments have been positively considered in the book.
934
__________________________________________________________________________________________
THE AUTHOR’S BIOGRAPHY
Raden Harijono Djojodihardjo was born in

Surabaya on 29 April 1940, as the second child (the
first son) from five siblings. His father is Raden Sumarto
Djojodihardjo (Meester in de Rechten, Leiden University
1950) mother is Raden Ayu Suniati Suriodiredjo. He
has three children, the first son Airlangga
Krishnapryadi Joyodihardjo (1972), the second son
Bismo Jelantik Joyodihardjo (1977) and the daughter
Gayatri Asmaradewi Joyodihardjo (1978). After
elementary school in various cities from 1946 t0 1952
due to independence war in 1952, he went for
Secondary (SMP) and Senior High School (SMA) at
Canisius College in Jakarta (1952-1958), and then continued his education in
September 1958 at the Faculty of Engineering, University of Indonesia (1958-1959).
That Faculty was incorporated in the Institute of Technology Bandung (Institut Teknologi
Bandung) which was inaugurated in 1st March 1959 by the late President Sukarno. After
graduating as Sarjana Teknik Mesin in Oktober 1962, he joined the faculty at ITB as a
junior faculty member. He was then assigned by ITB in July 1963 for graduate study in
the USA organized by US-AID with the University of Kentucky as the contractor for the
matriculation program. Was enrolled at the University of Kentucky di Lexington, and
graduated as Master of Science in Mechanical Engineering in September 1964. He then
continued his study at the Massachusetts Institute of Technology in September 1964,
and was granted the degree of Mechanical Engineer (Mech.E.) in September 1965,
Master of Science in Naval Architecture and Marine Engineering (S.M. in Naval
Architecture and Marine Engineering) in June 1966 and completed his Doctor of
Science (Sc.D. in Aerodynamics and Gas Dynamics) program in October 1968. His
education for Doctor of Science at the Massachusetts Institute of Technology was
carried out after the end of the US-AID fellowship and under Research Assistantship
assignment at the Aeroelastic and Structures Laboratory, Department of Aeronautics
and Astronautics MIT for two years from September 1966 until August 1968, under the
supervision of Prof.Holt Ashley. After his transfer to Stanford University, the supervision
was continued by Prof.Sheila Widnall, with thesis Committee members Prof. Rene
H.Miller, and Pof. Norman D.Ham. from the Department of Aeronautics and
Astronautics, and Prof.Justin E.Kerwin from the Department of Naval Architecture and
Marine Engineering. He was employed at the Experimental Astronomy Laboratory/
Measurement System Laboratory at MIT Space Research Canter as Research
Associate from October 1968 until January 1969.
935
__________________________________________________________________________________________
With son Bismo, his wife Aulia (standing), Asmara (right) and her husband Satrio and their son Abid
(sitting) in 2015
Associated with his graduate education in the United States, he feels very much
indebted by his gratifying and friendly association with his former professors, since
through them he feels that he has acquired precious fundamental understanding,
expertise and vision in Science, Technology, Engineering and Industry. Hence this is an
appropriate event for the author to extend his gratitude to his Master Thesis Advisor
Prof.J.F.Thorpe from the University of Kentucky and the University of Cincinnati,
Prof.Holt Ashley, Prof. Sheila E.Widnall, Prof.Rene H.Miller, Prof.Norman Ham and
Prof.Marten T.Landahl from the Department of Aeronautics and Astronautics,
Prof.Justin E.Kerwin from the Department of Naval Architecture and Marine
Engineering, Prof.E.S.Taylor, Prof. Prof.J.P.Den Hartog, Prof.Joseph Keenan,
Prof.Warren Rohsenow, Prof. Ascher Shapiro, Prof.Phillips G.Hill from the Department
of Mechanical Engineering, and Dr.Robert G.Stern, Dr.Steve Madden and Dr.J.P.Vinti
from the Experimental Astronomy Laboratory/ Measurement System Laboratory.
He then returned to Indonesia to resume his assignment at the Institute of
Technology Bandung as a faculty member at the Mechanical Engineering Department
(now the Faculty of Mechanical and Aerospace Engineering), until reaching the
retirement age of 65 on 29 April 2005. His Professorship was conferred in (standing),
936
__________________________________________________________________________________________
and 1989. The Certificate of Insinyur Profesional Utama (IPU, Most Senior Professional
Engineer) has been granted from the Indonesian Society of Engineeers (PII, Persatuan
Insinyur Indonesia) on January 11th 2010, while the Cerifiacte of ASEAN Chartered
Professional Engineer was granted by the ASEAN Chartered Professional Engineer
Coordinating Committee in November 9th 2010.
He has obtained a fellowship from the British Council from January to April 1972
to carry out wind-tunnel studies at the National Physical Laboratory in Teddington,
Middlesex, United Kingdom and at the International Centre for Theoretical Physics,
Trieste, Miramare, Italy, in 1974, to participate in the post graduate course on Control
Theory and Functional Analysis, and in 1976, on the Application of Functional Analysis
to Mechanics, both for three months from September to November.
At the request of Prof.Dr.Zuhal M.Sc.EE., he joined the University of Al-Azhar
Indonesia in 2005, after reaching retirement age at the Institute of Technology Bandung,
until April 29th 2010, again after reaching retirement age of 70 from the Coordinating
Committee of Higher Education of the Special Capital City Administration (Daerah
Khusus Ibukota) Jakarta.
In the meantime, he has obtained opportunities to teach at two Malaysian
Universities on contract basis at Universiti Sains Malaysia from 2004 until 2008 as
Professor of Aerospace Engineering, and AIROD Chair Professor of Aerospace
Engineering at Universiti Putra Malaysia in September 2009. He continues his service at
Universiti Putra Malaysia until 2015, when he reaches the age of 75.
In 2002, he was invited by Prof.Boris Laschka from
the Technische Universität München as DAAD dan DSG Senior
Fellow and Visiting Professor at the Lehrstuhl für
Fluidmechanik, München, Germany, from April up to
September 2002. In 2003, as nominated by the Director of
Higher Education, Ministry of National Education,
Prof.Dr.Sumantri Brodjonegoro and under the invitation of
Prof. Hiromi Homma from Toyohashi University of
Technology, Toyohashi, Aichi,
Japan, to serve as a Visiting
Professor at the International
Center for Engineering
Education Development
(ICEED), from November 2002
until the end of August 2003.
LAPAN EN-D-01- After returning from

Darrius Design graduate study in the United
States, as a faculty member of
the Institute of Technology
Bandung, following the
LAPAN Open-Circuit Subsonic Windtunnel at Rumpin. It was 937

conceived and designed in 1978 and has been operational in
1982. The project was carried out in cooperation with
Prof.Wood from Aerolab and the University of Maryland
__________________________________________________________________________________________
university paradigm of “Higher Education Triple Service” (“Tri Dharma Perguruan

Tinggi”) he has been active in educational, research and public service activities in the
field of Mechanical and Aerospace Engineering, and related fields. He has taught and
produced lecture notes in Fluid Mechanics, Thermodynamics, Heat Transfer,
Aerodynamics, Flight Mechanics, Aero-Elasto-Mechanics, Engineering Mathematics,
Numerical Methods and Computational Aerodynamics. Laboratory Development
activities started with the construction of the first Closed-Circuit Wind-Tunnel at ITB as a
part of the Aero & Hydrodynamics Laboratory, funded by the Department of Defence in
1969, and continued using ITB Research Fund. It was completed in 1972. Cooperation
with the Research and Development Office of the Indonesian Air-Force in Bandung
Husein Sastranegara Air-Force Base (Dislitbang TNI-AU) dealt with the development of
an experimental Hovercraft, while cooperation with the Directorate General of Aircraft
Industry, the Department of Industry dealt with feasibility studies of various Aircraft
Engineering Maintenance Facilities.
From 1972 until 1976, he was assigned as the Director for Research,
Development and Computer Science at the ITB Computer Center, and administered the
Ford Foundation Grant for the development of expertise in Computer Sciences. The
Grant include the fellowship for Prof.Dr.Sahari Besari to complete his Doctoral Study
and Dr.Med. Urip Santosa for his Master Study at the University of Wisconsin. Other
activities include the recruitment and research training for the planned establishment of
the Informatics (Computer Science) Department at ITB, which was also implemented
through the cooperation between ITB (and the Government of Indonesia) and the
University of Montpelier (The Government of France). The Department was officiated on
1986, and now incorporated in the School of Electrical Engineering and Informatics
(STEI) at ITB.
Seconded by ITB, he has also served in various assignment by the Government
of Indonesia, in addition to his commitments at the Institute of Technology Bandung.
These assignments include his appointment as the Director of the Aerospace
Technology Center of the Indonesian National Institute for Aeronautics and Space
LAPAN (Kepala Pusat Teknologi
Dirgantara LAPAN), from 1975 until 1982,
as requested by Vice Air Marshall
J.Salatun. He then was appointed by
Prof.Dr.-Ing. B.J. Habibie on his capacity
as the President Director of the Indonesian
Aircraft Industry PT IPTN as Head of the
Sub-Directorate Dynamics and Load from
1983 to 1989, succeeded by his
appointment as the Vice President,
Development of Methods, Technology and
Production (Pengembangan Metoda
Teknologi dan Produksi - PMTP) in
Welcoming the Queen of the Netherlands

938
H.R.H.Queen Beatrix during her visit to
Indonesia in August 1995
__________________________________________________________________________________________
October 1989. In 1991 he was appointed as the Deputy Chairman for Technology
Development at the Agency for the Assessment and Application of Technology (Badan
Pengkajian dan Penerapan Teknologi - BPPT), a position held until September 1998.
During his term of service at LAPAN from 1975 until 1982, he has been active in
the development of the Wind-Tunnel Facilities at the Aerospace Technology Center of
LAPAN di Rumpin, and serve as the Head of the Team and Chief Conceptor/ Designer
of the Open-Circuit Subsonic Wind-Tunnel there. Originally the wind-tunnel was
designed as a Blowing Open Wind-Tunnel with two test-sections, that means it should
have very long downstream conduits, with the purpose of providing testing facilities for
Aeronautical Purposes (Forward-Test-Section) and Industrial Purposes (Hind-Test
Section) after the author has carried out surveys to wind tunnel facilities in UK, USA and
Canada. However, the supervisory team at that time decided to” downgrade” the design
into a shorter Suction Open Wind-Tunnel that is more conventional.
Also, since the Research and Development as well as Industry in Aerospace
Engineering were practically non-existent when the author returned to Indonesia in
1969, as well as the limited fund available, the author decided to initiate research and
development in Wind Energy. The initiative drew positive response from LAPAN as well
as ITB, so that in 1978 a new project was created at LAPAN to address Wind Energy
Development in Indonesia as one of the Government Five-Yearly Programs (REPELITA
Project). Joint Research and expertise training cooperation program was then
established with Germany and the Netherlands. Those countries were at that time very
active also in developing and introducing novel wind energy systems. During this period,
cooperation was established with Germany DLR (at that time DFVLR) for expertise
exchange program at DLR facilities in Köln (Cologne) and Oberpfaffenhoven, MAN in
München, KFA in Jülich. Cooperation with the Netherlands NLR and NIVR was carried
out by expertise exchange program
with ECN in Petten. Testing program
at LAPAN facilities for their wind-
turbines was carried out. Aeroman 5
KW for the production of ice for fish
chillers was conducted at LAPAN
Cilaut-Eureun premises and the first
Dutch Vertical Axis Wind-Turbine
(Darrieus) was tested in LAPAN
Rumpin premises after being exhibited
in Vollendam, during 1980-1982.
In addition, wind energy
surveys was initiated, in view that at
Aeroelastic Model of N-250 and Experimental Test that time wind data available from the
Set-up at The Laboratory for Aodynamics, Gas
Indonesian Meteorological services
Dynamics and Vibration Wind-Tunnel At PUSPIKTEK
Serpong were only available as speeds, not
energy. Certainly the author was
939
__________________________________________________________________________________________
also active in the Rocketry activities at LAPAN. LAPAN has been developing sounding
rockets at Rumpin facilities and tests at Rumpin (static) and Cilaut-Euteun (Flight).
Rocketry was the “soul” of LAPAN since its founding in 1963, and LAPAN rocketry
program is unstoppable by BAPPENAS nor Government Ad-hoc Policy, which should
be gratifying for all.
Also, when the author was appointed by President B.J. Habibie to Chair LAPAN
in 1999, the author has succeeded to convince him to allow LAPAN to be proactive in
the design and construction of Micro-Satellites, an overall beneficial venture for the
country to develop Holistic Science and Technological Capabilities. Technische
Universität Berlin to develop the first LAPAN-TUBSat Micro-satellites that turned out to be very
fruitful and sustainable. Several generations of that satellite have been produced and launched
into orbit and are operational. Compared to Malaysia and Thailand that established
cooperation with the University of Surrey, the author feels that the LAPN-DLR-TUB
cooperation in microsatellite development is cost-effective and sustainable.
In his assignment at the Indonesian Aircraft Industry (then PT Industri Pesawat
Terbang Nusantara – IPTN, now PT Dirgantara Indonesia), the author has contributed
in producing technical documents to support the type certification of CN-235 aircraft
during his term at the Dynamics, Load dan Balance sub-directorate, as well as
establishing capabilities and facilities for Vibration Test for CN-235. Later on, Flight-
Flutter Test capability was established during his term at the Office for the Development
of Methods, Technology and Production, with the strong support of the President
Director of PT IPTN Prof.B.J. Habibie. The Flight Flutter Test for N-250 was carried out
successfully, with the creativity and ingenuity of the engineers at the Dynamic and
Loads Sub-Directorate. Cooperation with DLR and AIRBUS (at that time MBB I
Ottobrunn, near München) for flight-flutter model development. The flight-flutter model
was later tested at the PUSPIPTEK-LAGG83 Wind-tunnel prior to the successful first
flight and test flight of N-250 in 1996.
N-250 Aircraft,Goldn Masterpiece of BJ Habibie
83
Now BBTA3 – Balai Besar Teknologi Aerodinamika, Aeroelastika dan Aeroakustika
940
__________________________________________________________________________________________
In April 1998 the author was appointed as an Expert Staff for the Vice President
at the Office of the Vice President Prof.Dr.-Ing. B.J.Habibie, and when he assumed the
office of the President of Indonesia in 21 Mei 1998, the author was appointed as the
Inspector General for Technology and Strategic Industries, an office held by him until
his following appointment as the Chairman of LAPAN in January 1999.
His service at BPPT from 1991 until 1998 was also very gratifying, since he is
involved and proactive in many broad-based technology development activities that
enhance the capabilities and vision of Indonesian Science, Technology and Industry.
The activities cover a broad spectrum of technologies, from aircraft and marine ship
technology, new and renewable energy (among other photovoltaic energy programs,
coal liquefaction and gasification), hydrodynamic and towing tank laboratory and coastal
engineering testing facilities development and testing, utilization of CN-235 for Laser
Sea Base Depth Sounding, Utilization of Sipper-Computer, Ocean Biotics Monitoring
through Sea Watch Program (in cooperation with Norway), Coastal Environment
Monitoring in cooperation with the Netherlands, and many others.
During this time, the author has been assigned by the Government to negotiate
with the World Bank office in Washington for the GEF Grant for the Indonesian
proposed “One-million Solar-Home Program” or “50MW-peak Solar Energy Program”.
That grant was approved and program was inaugurated by President Suharto in 1997.
However, due to the Asian Economic Crisis in 1997, the sustainability of that program
was uncertain.
941
__________________________________________________________________________________________
Advance Mission Visit to Australia in 1994 under the invitation of the Australian Defence Science &
Technology Office (DSTO) to explore Indonesia-Australia Cooperation in Science, Technology and
Industry, led by the author. Lieutenant General Sintong Panjaitan and Vice Admiral Abu , Advisers to the
Minister of Research and Technology, and Dr.Parlin Napitupulu, Vice-Chairman of BPPT are seen on the
sixth, second and third from left in the picture.
Cooperation with Australia, the Netherlands and China needs some remarks.
Cooperation between BPPT with the Netherlands was re-established with the conditions
that it will not be involved with the CGI program. Cooperation of BPPT with Australia in
the field of Science, Technology and Industry was explored due to the proactive
approach from the Australian side. In fact, the author has a most memorable
andgratifying opportunity when appointed by the Minister of Research and Technology
Prof.Dr.-Ing B.J Habibie to lead an advance mission to Australia with two Generals from
the Army and Navy and the Vice-Chairman of BPPT. The delegation visited many
aircraft industry and research institutions in Melbourne and Sydney as well as
submarine industry in Adelaide. The author has also been assigned to lead an advance
mission to China under the invitation of Prof.Zhang, the Chairman of AVIC (Aviation
Industry in China) in 1994 to explore possible cooperation and visited relevant aircraft
related industry around Beijing and in Xian.
Awarded the Indonesian Star (Order of Merit) Bintang Mahaputra Utama by the
President of the Republic of Indonesia Prof. Dr.-Ing.B.J. Habibie on 19 August
1999
He was also appointed as the “Personal Representative” of the President of Indonesia

from 1996 to 1998 in the World Solar Commission established by UNESCO The college
of Personal Representatives designated by the members of the World Solar
Commission has the responsibility to draft the Declaration of the World Solar Among
others, the Commission.
942
__________________________________________________________________________________________
His term serving as the Inspector General for Technology and Strategic
Industries has also given him precious and inspiring experience, which is also “Broad
Based”. Among other, the author and the team from the Bina Graha Office of the
President monitored the activities of PT Freeport. Apparently, the company is mining
gold instead of copper, and the product was classified as industrial waste, in the gold
mined were piped in suspension form ton the harbour and shipped outside the
Indonesian territory.
The Indonesian Government to build Coal-fired Power Plant in Paiton, East
Java, along with other independent power producers. Among the three plants being
built there, one was built by the USA. It turned out that the price offered was the highest,
far above the international standard. During the inspection visit there, the author and
team found a strange clause in the contract between this US operated IPP with the
State Electricity Company PLN, which stipulates “take-or-pay” commitments for PLN.
The US has assigned the former Secretary of State to ensure Indonesian commitments,
and the case was later handled by the relevant ministers. The issue of PT Indo Rayon in
the Lake Toba area is the most distressing, since apparently there were no
communications whatsoever between the industry and local community, and the
procedure in establishing the industry was not appropriate in the outset. Due to the
author assignment as the Chairman of LAPAN, the issue was handled by his successor.
Later on the author observed that the company has to be relocated outside Indonesia.
During his term as the Chairman of LAPAN starting from February1999, he
represented Indonesia in the United Nations Committee for Peaceful Uses of Outer
Space (UN-COPUOS). Through some diplomacy, he was elected as the Second Vice-
President and Rapporteur, for the sessions in 2000, 2001 dan 2002.
He is presently serving as a member of the Program Committee of the
International Council for the Aeronautical Sciences - ICAS (since 1998, when he was
invited by Prof. Dr.-Ing Boris Laschka, then the President of ICAS) and endorsed by
Prof.Dr.-Ing. B.J.Habibie on his capacity as the President of the Indonesian Aeronautics
and Astronautics Institute IAAI in 2000 to represent the organization. During the ICAS
Program Committee Meeting in 1991 in Lake Constance (German “ Bodensee“), on
behalf of IAAI, he nominated the Indonesian-Spanish CN-235 Program for the Theodore
von Karman Award. It was then approved . The von Kármán Lecture by Professor B.J.
Habibie of IPTN (Indonesia) and Dr. E. de Guzmán of CASA (Spain) was honoured with
the ICAS von Kármán Medal for the successful example of international collaboration in
designing and marketing of the CN-235 aircraft.
He was also serving as a Technical Committee Member of the International

Astronautical Federation (since 2004) when he was invited by Professor Peter Bainum,
then the President of the American Astronautical Society and the Chairman of the
Material and Structure Committee for the International Astronautical Congress.
943
__________________________________________________________________________________________
He is also invited to be a member of the International Academy of Astronautics,

founded by Theodor von Karman in 1957, as a Corresponding Member in 2004 and Full
Member in 2008.
With Prof. Paolo Gasbarri from the University of Rome La Sapienza and Dr. Joachim Albus from
Germany at one of the Dynamics and Microdynamics Session during the International
Astronautical Congress 2019 in Washington DC
Bersama Prof.Paolo Gasbarri, Univeritas Roma La Sapienza dan Dr.Joachim Albus memimpin sesi
Dinamika dan Mikro-Dinamika pada International Astronautical Congress 2019 di Washington DC
Honours bestowed from the President of the Republic of Indonesia are the
Satyalancana Karya Satya (1997), Satyalancana Pembangunan(1996), Bintang Jasa
Utama (1997) and Bintang Mahaputra Utama (1999). The International Academy of
Astronautics awarded the Engineering Award di Guadalajara, Mexico in 2015. The
Universiti Putra Malaysia also awarded the Publication Award (“ Anugerah Penerbitan
Makalah Jurnal UPM”) in October 2018.
The author has published more than 250 scientific and technical publications and
presentations including books, national and international journal articles, chapters in
books, and keynote addresses.
944
__________________________________________________________________________________________
Receiving the International Academy of Astronautics Engineering Award in

Guadalajara, Mexico in 2015 from Dr.Jean-Michel Content, Secretary General, the
International Academy of Astronautics
Since 2016, the author has reviewed more than 62 scientific journal articles from
Q1-to-Q4 publications, such as Acta Astronautica, AIAA Journal, Journal of Spacecraft
and Rockets, Aerospace Sciences and Technology, Journal of Aerospace Engineering -
Institution of Mechanical Engineers, Journal of Aerospace Engineering – American
Society of Civil Engineers, Aircraft Engineering and Aerospace Technology, Advances
in Aerospace Science and Technology, Earthquake Engineering and Engineering
Vibration, IEEE Transaction on Vehicular Technology, Structural Engineering and
Mechanics, Journal of Mechanical Engineering Science, Recent Patents in Engineering,
Recent Patents on Mechanical Engineering, Journal of Aerospace Engineering, -
Institution of Mechanical Engineers, Aerotecnica Missili & Spazio, Journal of Aerospace
Technology and Management, International Journal of Aerospace Engineering, Journal
of the Brazilian Society of Mechanical Science and Engineering, Advances in Operation
Research, Thin Walled Structures, Wind and Structures – An International Journal,
Computer Methods in Applied Mechanics and Engineering, dan Case Studies in
Thermal Engineering.
He has published the following books: Aerodynamics and Flight Mechanics of
Coandă Effect Micro Air Vehicle, 2019, dan Numerical Modelling of Flapping Wing
Kinematics and Aerodynamics, 2017, both published by Lambert Academic Publishing,
Saarbrucken, English-Indonesian Space Dictionary, under the initiative of the
International Academy of Astronautics for Space Multilingual Dictionary, in the
framework of 50th Anniversary of the International Academy of Astronautics, published
945
__________________________________________________________________________________________
by Penerbit Institut Teknologi Bandung (2010) , Metoda Numerik (Numerical Methods),

P.T. Gramedia, September 2000, Harijono Djojodihardjo and Jens Peter Molly (editors):
Wind Energy Systems, P.T. Alumni, 1984, Dasar-dasar Termodinamika Teknik
(Fundamentals of Thermodynamics), 1987 dan Termodinamika Teknik - Aplikasi dan
Termodinamika Statistik (Engineering Thermodynamics - Applications and Statistical
Thermodynamics), 1987, both published by P.T. Gramedia, and Mekanika Fluida (Fluid
Mechanics), 1983, published by P.T. Erlangga.
After several retirements from several posts, since September 2018 he is
teaching at President University, Jababeka, Jakarta, Indonesisia in the subject of
Calculus and Mathematics for Engineering. He is teaching the subject as the Philosophy
of Life.
The author enjoys outing in nature, fitness, plays guitar, piano, organ and
accordeon, listening to classical musics (with favorite composers Ludwig von
Beethoven, Antonio Vivaldi, Franz List, Pyotr Ilyich Tchaikovsky, Pyotr Ilyich
Tchaikovsky, Igor Stravisky), traditional Javanese gamelan music, watch opera,
Javanese shadow play wayang kulit and Javanese “opera” wayang orang performance,
write poetry, compose music, dancing and enjoying gastronomy.
946
__________________________________________________________________________________________
Guyub: Tresno, Gumati, Asah-Asih-Asuh, Caos, Laden
Togetherness – Love, Care, Share, Give and Serve

PERSONALITY LOGO
947
__________________________________________________________________________________________
948
View publication stats

Ingenuity For National Culture

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Ingenuity For National Culture

Uploaded by

Copyright:

Available Formats

See discussions, stats, and author profiles for this publication at: https://www.researchgate.

INGENUITY FOR NATIONAL CULTURE

Book · September 2020

Applied Mechanics and Smart Materials View project

The user has requested enhancement of the downloaded file.

INGENUITY FOR NATIONAL CULTURE

SCIENCE AND TECHNOLOGY FOR NATIONAL CULTURAL

The Institute for the Advancement of Aerospace Science and Technology 3

“Persada Kriyareka Dirgantara”

INGENUITY FOR NATIONAL CULTURE

SCIENCE AND TECHNOLOGY FOR NATIONAL CULTURAL

“Persada Kriyareka Dirgantara”

INGENUITY FOR NATIONALCULTURE

SCIENCE AND TECHNOLOGY FOR NATIONAL CULTURAL

Prof.Harijono Djojodihardjo, Sc.D, IPU, ACPE

PROF. DR.-ING. DR.HON.(MULT) BACHARUDDIN .JUSUF .HABIBIE

MEESTER IN DE RECHTEN RADEN SUMARTO DJOJODIHARDJO

RADEN AYU SUNIATI SUMARTO DJOJODIHARDJO-

AND DEDICATED TO MY CHILDREN

AIRLANGGA KRISHNAPRIYADI JOJODIHARJO

BISMO JELANTIK JOYODIHARJO

GAYATRI ASMARADEWI JOYODIHARJO

INGENUITY FOR NATIONAL CULTURE

Foreword – Prof.Saswinadi Sasmojo 13

Foreword – Prof. Borias Laschka 15

Foreword – Prof. Shinji Suzuki 17

Foreword – Prof. Vladimir Zhuravlev 19

Foreword – Prof. Paolo Gasbarri 21

Foreword – Dr.-Ing.Ilham A. Habibie MBA 23

Preface by the Author 27

I Prologue – Introspection and Retrospection 29

II Instituting Trust-Based Changes In 39

IV Perspectives of Fifty Mega Watt Peak 69

V Conceptual Design of a Medium-Sized 87

VI Vision, Development and Experience inn 99

VII Space Power System – Motivation, 125

VIII Aerospace and Green Technology - 167

PART B – Micro-Aspects 303

XI Transonic Flow Computation of Slender 305

XXVI - Active Vibration Suppression of an 873

XXVII Epologue - Closing Remarks and 915

PERONALITY LOGO 945

Prof. Saswinadi Sasmojo

The manuscript ‘Contribution to National Culture through

Bandung, June 2020

Prof. Saswinadi Sasmojo

Boris Laschka, em. o. Professor Dr.-Ing.

Some Memories on my Friend Harijono Djojodihardjo on the Occasion of his 80th

aeroelasticity could be published and several Indonesian Dr.-Ing. students were

June 23, 2020

1 Notable figure, character

Prof. Vladimir Zhuravlev

I am pleased to write a few words about my friend and

The field of scientific, engineering and teaching activities of Professor Harijono

It is with great pleasure that I write this foreword not only

Actually, there are many similarities between an artist

God willing. Amen.

Dr.-Ing. Ilham Akbar Habibie, MBA

The present book has evolved from the intention of the

8 Science and technology are key drivers to development,

• Organizing a collection of ideas and thoughts to be shared to offspring and young

MOTIVATION AND OBJECTIVES-TOWARDS HUMAN AND NATIONAL DIGNITY

FOCUS ON EDUCATION, SCIENCE AND TECHNOLOGY