SYSTEMS ENGINEERING METHODS, DEVELOPMENTS

AND TECHNOLOGY

SYSTEMS ENGINEERING
CONCEPTS, TOOLS
AND APPLICATIONS

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SYSTEMS ENGINEERING METHODS,
DEVELOPMENTS AND TECHNOLOGY

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SYSTEMS ENGINEERING METHODS, DEVELOPMENTS
AND TECHNOLOGY

SYSTEMS ENGINEERING
CONCEPTS, TOOLS
AND APPLICATIONS

MARLENE HOPKINS
EDITOR

New York
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Library of Congress Cataloging-in-Publication Data

Names: Hopkins, Marlene, editor.
Title: Systems engineering : concepts, tools and applications / editors, Marlene Hopkins.
Other titles: Systems engineering (Hopkins)
Description: Hauppauge, New York : Nova Science Publishers, Inc., [2016] |
Series: Systems engineering methods, developments and technology | Includes bibliographical
references and index.
Identifiers: LCCN 2016029798 (print) | LCCN 2016034266 (ebook) | ISBN
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Subjects: LCSH: System analysis. | System design. | Systems engineering.
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Published by Nova Science Publishers, Inc. † New York

 CONTENTS

Preface vii
Chapter 1 Design and Development of Chromatic Dispersion
Characterization System 1
I. S. Amiri, M. Ghasemi and H. Ahmad
Chapter 2 Analysis of the Results of the Modulation Phase
Shift Method to Measure Chromatic Dispersion 17
I. S. Amiri, M. Ghasemi and H. Ahmad
Chapter 3 A Review of Optical Waveguide Sensors Using
Ion-Exchange Technology 33
I. S. Amiri, M. M. Ariannejad and H. Ahmad
Chapter 4 Silver Nano Particle Ion-Exchanged Glass
Waveguide Technology 51
I. S. Amiri, M. M. Ariannejad and H. Ahmad
Chapter 5 SysML: The Dialect for Model-Based
Systems Engineering 63
Ana Luísa Ramos and José Vasconcelos Ferreira
Chapter 6 Complex System Analysis for Engineering
of Systemic Failures 105
Polinpapilinho F. Katina and Behnido Y. Calida
Index 133
 PREFACE

This book discusses the concepts, tools and applications of systems

engineering. Chapter One presents the implementation of automated
measuring system for measuring chromatic dispersion (CD). Chapter Two
discusses the results regarding the optimization of phase based EOM (electro
optical modulator) as the most important component in CD measurement
setup, then investigates the results of CD measurement characterizations based
on different lengths of fiber, different wavelengths and different RF
frequencies. Chapter Three provides a review on optical waveguide sensor
using ion-exchange technology. Chapter Four examines silver nano particle
ion-exchanged glass waveguide technology. Chapter Five highlights the major
advantages of using graphical modelling languages in a Model-Based Systems
Engineering (MBSE) context and describes the main features of SysML, the
modeling language that the authors believe to be “the dialect” for MBSE.
Chapter Six provides a complex system analysis for engineering of systemic
failures.
Chapter 1 – This work presents the implementation of automated
measuring system for measuring CD by using modulation phase shift method
over long haul of optical single mode fibre. All forms of dispersion degenerate
the modulation-phase relationships of light wave signals, decreasing
information-carrying capacity through pulse-broadening in digital networks
and distortion in analog system. Hence, designing system for measuring
chromatic dispersion (CD) might be essential for estimation the performance
of optical transceiver systems. Thus, the modulation phase shift (MPS) as one
popular technique implemented for automatic measuring CD with the help of
LabVIEW software, and in conjunction with programmable tunable laser
(TLS) to provide the continuous optical wave at required wavelength, an
viii Marlene Hopkins

electro optical modulator (EOM) for modulation of (radio frequency) RF

signal on optical carrier and programmable digital oscilloscope (DOSC) for
measuring phase difference between transmitted RF signal over long haul fiber
and received RF signal at receiver. The working principles of the systems are
comprehensively elucidated in this work. Additionally, the system components
of the designs are identified and the systems are thoroughly characterized.
Chapter 2 - This chapter follows the proposed optical setup for measuring
the chromatic dispersion (CD) of the long haul fiber through phase modulation
difference method and will present the experimental results. This chapter,
firstly discuss the results regarding the optimization of phase based EOM
(electro optical modulator) as the most important component in CD
measurement setup, then investigates the results of CD measurement
characterizations based on different lengths of fiber, different wavelengths and
different RF frequencies.
Chapter 3 - Optical interconnects are expected to complement or even
replace electrical interconnects for shorter and shorter distances, as they allow
for large data transmission rates as well as very high link densities. An
attractive way to implement optical interconnects in modern multiprocessor
systems is to integrate an optical waveguide layer into conventional printed
circuit boards. A technology based on ion-exchange in commercially available
glass substrates developed, as a fabrication technology for optical waveguides
in the context of optical interconnects. Glass has unprecedented properties that
make it the material of choice for many optical applications. Silver ion-
exchange in glass reveals to be a highly promising method for the fabrication
of low loss optical waveguides, especially also in the context of optical
interconnects, because it is a scalable, industrially compatible and low-cost
technology.
Chapter 4 - Ion exchange in glass and key developments in the first years
of research are briefly described. Ion exchange in glass is a well-established
method for fabrication of passive and active integrated photonic devices. An
overview of fabrication, characterization and modeling of waveguides is given
and the most important waveguide devices and their applications are
discussed. Ion exchanged waveguide technology has served as an available
platform for studies of general waveguide properties, integrated optics
structures and devices, as well as applications. It is also a commercial
fabrication technology for both passive and active waveguide components.
The generation of nano sized metal particles in amorphous matrix, the
changes of the optical properties and the intensity of the reflective index were
analyzed based on Surface Plasmon Resonance (SPR). Surface plasmons,
 Preface ix

particularly localized surface plasmons in the case of metal nanoparticles,

explain the properties from the viewpoint of physical phenomenon and present
the changes of the electromagnetic field due to the presence of metal particles.
Chapter 5 - A successful Model-Based Systems Engineering (MBSE)
environment aims to construct a model of a system that can be transformed
into the “real thing” through a given MBSE methodology. Modelling is critical
to achieve the overall “maximum” performance of the system through a
cooperative, integrative, adaptable and interoperable environment. So, the
main artifact of a MBSE methodology is the System Model.
Model the system (or Design the system) is a central piece of the Systems
Engineering’ process and results in a complete low-level description of the
system-of-interest that will guide the successful development and deployment
of that system. This success is measured by the fulfilment of the stakeholders’
expectations and, consequently, by their satisfaction.
The effective utilization of graphical modelling languages able to support
collaborative development environments and successful stakeholders’
communication and interactions constitutes a major issue when developing the
System Model. SysML (Systems Modeling Language) is a UML profile or
dialect for Systems Engineering and is currently the state-of-the-art modeling
language for MBSE enhancing the development of successful systems in
collaborative environments.
The chapter highlights the major advantages of using graphical modelling
languages in a MBSE context and describes the main features of SysML, the
modeling language that the authors believe to be “the dialect” for MBSE. This
description is illustrated with original SysML diagrams related to the human
body (probably, one of the most complex systems in our world).
Chapter 6 - At the very fundamental level, the utility of engineering
approaches is to offer greater understanding of a given phenomenon so as to
enable problem solving in real world situations. However, all engineering
approaches are not of equivalent value – there are different benefits and
limitations associated with each methodological approach for engineering.
This chapter examines the nature of differences. First, a high level
classification of methodology approaches is provided. The aim is this section
to ‘bin’ different engineering methods based on how one obtains and
communicates knowledge (i.e., underlying philosophy). Second, the type of
failures that must be addressed by systems-based approaches are examined.
This section seeks to provide a context-independent set of system failure
paradigms that can be used to deal with different failures in complex systems.
A context-independent conceptualization of systemic failures would include
x Marlene Hopkins

formulating an acceptable level of abstraction of the system. This ensures that

underlying worldviews are made explicit and appropriately represented to
reveal system pathologies. To help address this, a systems theory-based
approach using system pathologies and the M-Path Method™ is introduced.
This provides a framework through which perceived systems of interests can
be analyzed to identify systemic failures. The chapter concludes with practical
insights for how to effectively deal with complex system failures – including
recent tools.
In: Systems Engineering ISBN: 978-1-63485-752-9
Editor: Marlene Hopkins © 2017 Nova Science Publishers, Inc.

Chapter 1

DESIGN AND DEVELOPMENT

OF CHROMATIC DISPERSION
CHARACTERIZATION SYSTEM

I. S. Amiri, M. Ghasemi and H. Ahmad

Photonics Research Centre,
University of Malaya, Kuala Lumpur, Malaysia

ABSTRACT
This work presents the implementation of automated measuring
system for measuring CD by using modulation phase shift method over
long haul of optical single mode fibre. All forms of dispersion degenerate
the modulation-phase relationships of light wave signals, decreasing
information-carrying capacity through pulse-broadening in digital
networks and distortion in analog system. Hence, designing system for
measuring chromatic dispersion (CD) might be essential for estimation
the performance of optical transceiver systems. Thus, the modulation
phase shift (MPS) as one popular technique implemented for automatic
measuring CD with the help of LabVIEW software, and in conjunction
with programmable tunable laser (TLS) to provide the continuous optical
wave at required wavelength, an electro optical modulator (EOM) for
modulation of (radio frequency) RF signal on optical carrier and
programmable digital oscilloscope (DOSC) for measuring phase
difference between transmitted RF signal over long haul fiber and
received RF signal at receiver. The working principles of the systems are
comprehensively elucidated in this work. Additionally, the system
2 I. S. Amiri, M. Ghasemi and H. Ahmad

components of the designs are identified and the systems are thoroughly
characterized.

Keywords: chromatic dispersion (CD), modulation phase shift, tunable laser

(TLS), RF signal, programmable digital oscilloscope (DOSC)

1. INTRODUCTION
The broadening of light pulses, also known as dispersion, is an important
factor degenerating the quality of signal transmission over optical fibers. This
phenomenon is an outcome of the physical properties of the transmission
medium. Single-mode fibers which are used abundantly in high-speed optical
networks, are encounter the different scale of pulse broadening due to CD at
certain wavelength as well as Polarization Mode Dispersion (PMD) which led
to pulse broadening as a result of polarization [1-2]. The distorted pulse as
result of broadening will cause bits exceed their intended time slots and
overlap with their adjacent bits (Figure 1.1) [3]. This problem at receiver end
may then create the problem of correct detection of interpreting adjacent bits,
as a consequence increasing the Bit Error Rate. In any communication system
keeping the transmission quality at standard level can be achieved by
minimizing the dispersion [4]. The maximum amount of time dispersion must
be limited to a small proportion of the signal bit rate, typically 10% of the bit
time [5]. Before expansion the debate about dispersion, understanding the
concept of refractive index is fundamentally important. This concept can be
explained simply by measuring the speed of light at different medium.
Basically, light travels at slower speed than in vacuum [6]. Light’s speed
become lesser within a medium than in vacuum. This speed usually determines
by the refractive index of the medium and this is expected to be constant in
response to different light’s wavelength [7]. However, in real situation, the
nature of the refractive index varies with variation of the wavelength and as
one important contribution of this fact, light within the fiber travels at different
speed when variation of wavelength is considered [8]. Basically, in an ideal
case, the source of light must provide light with a unique wavelength, also the
fully standardized laser sources are spectrally thin, but not enough thin to be
defined as monochromatic. This clears that under the situation of quite narrow
laser pulse, it contains at least several wavelength components which travels at
different speeds, and finally the pulse would be broaden after travelling over
the certain distance of the fiber [9-10]. The disadvantageous effect of CD
 Design and Development of Chromatic Dispersion … 3

result in slowing the speed of light component with property of slow

wavelengths relevant in one pulse, and simultaneously allow them to travel
with the faster spectral components of an adjacent pulse. This finally lead to
different degree of intermixing between two very closed symbols which
known as interference. This phenomenon is clearly shown in Figure 1.1. The
CD of a fiber is usually defined in the form of ps/(nm*km), and is a factor to
measure the imposed delay by this type of dispersion. Fundamentally, the
chromatic dispersion means time spreading (in ps), for a source with a spectral
width of 1 nm traveling on 1 km of the fiber. The quantity of CD depends on
the fiber type, and based on this restricts the bit rate or the transmission
distance for a good quality of service [10-14].

Figure 1.1. Broadening, attenuation and overlapping of two pulses while they pass
through a fibre.

2. CD MEASUREMENT METHODS
Following the debate in previous section, it has been found three useful
methods for measuring the CD of an optical fiber in industry. These are
described by three TIA/EIA industry standards: the pulse-delay method
4 I. S. Amiri, M. Ghasemi and H. Ahmad

(FOTP-168 standard), the modulated phase-shift method (FOTP-169

standard), and the differential phase shift method (FOTP-175 standard). In all
aforesaid methods, they firstly measure the time delay, in ps, respecting with
the relevant wavelength then extract the approximate CD coefficient, in
ps/(nm*km), from the slope of the achieved delay curve when the length of the
link is enough long to observe and determine the slope. It must be noted,
extraction of delay curve by the use each of aforementioned methods finally
required to be fitted with a trace line since the acquired data of time delays is
measured from discrete wavelength points. As such, the accuracy of the curve
and CD coefficient relay on the quality and quantity of the measured data
[3- 15].
In Figure 2.1 and 2.2, the schematic of phase-shift and methods are
showing that these two methods are quite similar in concept. In both phase-
shift methods, a sinusoidal modulated signal by optical carrier is sent to the
input end of the fiber under test. The phase of received sinusoidal signal after
de-multiplexer is measured at the output of the fiber and compared to the
phase of transmitted signal which is known as reference signal. The
comparison of transmitted and received signal must be conducted when both
measured at the same frequency. In phase-shift method, we exploit the
variation of wavelength of optical source rather than modulation of signal.
Here, one optical source provides the reference signal which has a fixed
wavelength, while the other modulated signal is tuned in wavelengths. In the
differential phase-shift method, both signals are assumed to be tuned in
wavelengths with equal span intervals. The received modulated signals then
compared to a close reference signal which is tuned in a certain wavelength. It
is important to make sure the gap between two wavelengths being constant in
tuning process. Finally, the time delay of the long haul fiber is obtained from
the phase-shift measurement, using the relationship between the delay (t), the
phase (φ), and the modulation frequency (f) [16]:

∆𝜙
∆𝑡 =
2𝜋𝑓

The problem of phase-shift methods may explain by requirement of a link

between transmitter and receiver stations for the fiber under the test. This link
provides the phase of the reference signal for the receiver. Also, the process of
tuning wavelength in differential phase shift method can be done either at the
transmitter station by adjusting the tuneable laser, or at the receiver station by
using broadband source and a wavelength tuneable filter. The differential
 Design and Development of Chromatic Dispersion … 5

method is known to be costly since the filter at the receiver must be spectrally
enough thin (FWHM < 1 nm) to deliver the high measurement accuracy. One
more disadvantage of this method is that the phase- shift need to use two
signals with low interval wavelengths. Increasing the span of two adjacent
wavelengths corresponding to two modulated signals will enhance the
accuracy of the delay at selected wavelength point, but will reduce the number
data points needed be traced for plotting the delay curve, hence, it decreases
the accuracy of the measured CD coefficient. A trade-off must be agreed
between the wavelength interval for the differential phase-shift calculation and
number of points must be obtained for getting a fit the delay curve.

Figure 2.1. Fundamental setup for measuring phase shift.

Figure 2.2. Fundamental setup for differential phase shift measuring using wavelength
tuneable laser filter at the receiver.

The above discussion clearly shown that phase-shift methods are two-end
of long haul fiber for CD measurement. However, the optical amplifier is also
required when very long haul fiber (>100 km) is considered between
transmitter and receiver. This method is trustable, since all the information
required for the measurement are obtained by participating of two ends. Also,
the wavelengths of modulated signals are also known, this enhance the
efficiency of measurements by increasing the points of measurements and a
6 I. S. Amiri, M. Ghasemi and H. Ahmad

better fit of the delay curve. Practically, the implementation of these setups are
expensive and thus may not be suitable for commercialized applications. Thus
in the next section the setup has been reconfigured in order to reduce the cost
and the complexity of tuning wavelength at the receiver or transmitter by
employing only one tuneable laser source combined with electro-optical
modulator at transmitter end and only one light to RF wave convertor at the
receiver end [17, 23].

3. EXPERIMENTAL SETUP FOR MEASURING DISPERSION

USING PHASE SHIFT METHOD OVER LONG HAUL
OF FIBRE

The specification of the electrical and optical components used in the CD

measurement setup presented in Figure1 will be discussed in this section. This
part is important step before configuring the setup and running it. As it is
evident from Figure 1, the setup comprises of tuneable laser, digital
oscilloscope, external modulator, single mode fibre, polarization controller,
laser diode, power supplier and function generator. From the schematic of the
setup shown in Figure 3.1, it can be seen the phase shift of RF signal
performed as optical signal, simply by replacement of wavelength tuneable
laser filter at the receiver with a light wave converter. Thus the role of
tuneable is providing an optical carrier for electro optical modulator. The
phase shift can be measured by a simple digital oscilloscope at the receiver
end as well. Whole the progress of CD measurement either at transmitter/
receiver can control by the controller defined in LabVIEW software. Figure
3.1 illustrates that the LabVIEW controller starts the process of measurement
by tuning the laser source at transmission end. The laser beam at selected
wavelength inject to electro optical modulator which adjusted to operate at
high efficient point by applying a suitable DC voltage. Meanwhile, the
frequency of the RF is monitored by LabVIEW controller in channel 1. After
receiving signal and demodulation back into RF signal at the receiver end,
LabVIEW controller retrieve the phase of received RF signal from channel 2
and compute the phase difference between these two channels. The modulated
RF signal on optical carrier inject again to long haul fiber. The next
subsections will mainly focus on the important features of the electric and
optical components which taken from their data sheets. The extraction of
phase difference between two channels continues on till whole the selected
wavelength range provide enough data for creation of dispersion curve.
 Design and Development of Chromatic Dispersion … 7

Figure 3.1. Schematic setup for measuring CD of long length fibre (several kilometres
distance) using phase shift method.

3.1. Tuneable Laser Source (TLS)

The tuneable laser model AQ8201-13 has been selected for producing and
process of sweeping laser within the range of 1300 nm to 1500 nm. The block
diagram of this device as to the manufacturer data sheet is shown in Figure
3.2.
As it is evident from Figure 3.2, the system initially starts by controller
which has the task of observation the situation of the driver and temperature of
the optical module when the key enter trigged by the user or software. Next,
the controller with respect of the demanded wavelength and power by the user/
software through the signals received from the frame activate the module
interface for driving the optical module. Meanwhile, the temperature is the key
factor for both controller unit and optical module during engaging the driver
running the pulse motor. It must be noticed the wavelength can be set by
variation of the pulse motor. After setting the power as to selected wavelength
then it will launch from optical module unit to optical connector which is a
simple interface to convey the light to outside the tuneable laser. The main
features of this device is listed in Table 3.1. In this table, RIN is the ratio of the
carrier power and noise power per unit of bandwidth. The optical connector is
selected as FC/PC which is a typical ultra-polished FC (fiber optic connector)
with very low insertion loss.
8 I. S. Amiri, M. Ghasemi and H. Ahmad

Table 3.1. AQ8201-13 tuneable laser main features

Wavelength range 1460-1580nm

Wavelength resolution 10pm
Optical output level in the range 1520-1580 +10dBm
Operating temperature 23±5°
RIN -145 dB/Hz
Optical connector FC/PC

Figure 3.2. Shows the connectivity and functionality of each part in tuneable laser
module AQ8201-13.

3.2. Polarization Controller (PC)

The main purpose of using PC for this experiment is related with

involving electro optical modulator within the setup. It is required to adjust the
polarization state of laser in the fibre before it enters to the external modulator.
The birefringence phenomenon in this case helps for controlling polarization
and can be applied by coiling fibre. The induced retardation is corresponding
with two factors, first the length of fibre and the second inverse of bending
radius. The FPC 560 is one of the popular polarization controllers and
classified as “BAT EAR” controllers because it uses some holders at specific
diameters and adjustable for certain number of fibre turns in order to induce
the retardation.
 Design and Development of Chromatic Dispersion … 9

Figure 3.3. “BAT EAR” polarization controller.

Figure 3.4. Retardation vs. Wavelength for 1, 3, and 6 Fiber Loops Per Paddle. The
Fiber Clad Diameter is 80µm.

Each paddle in Figure3.3 can make effective retardation corresponding to

the number of fibre turns at specific diameter (if the paddle diameter is too
small the bending loss could be happened). For FPC560 the first and the
second and the third paddles make 𝜆/4, 𝜆/2 and 𝜆/4retardation, respectively.
By changing the angle of first paddle the input state polarization state converts
into linear polarization state and the third state would convert it into the
arbitrary output polarization state at a fixed wavelength. Since the polarization
state is function of wavelength, the high peak power can be achieved due to
polarization rotation. Figure3.4 depicts how at lower wavelengths and higher
number of loops retardation takes the greater values compare with higher
wavelengths.
10 I. S. Amiri, M. Ghasemi and H. Ahmad

3.3. Lithium Niobate (LiNbO3) Electro-Optic Modulator (EOM)

The ferroelectric material lithium niobate (LiNbO3) is one of the most

well-known optical modulator which is used extensively in optical devices.
This modulator found quite suitable for its electro-optic and optical properties
[18]. The two distinguished features of this device are large electro-optic effect
and capability of high-speed response. One of the important optical property of
this modulator is its transparency in infrared frequency regime; It also can
fabricate into low-loss channel waveguide at very low cost fabricate through
mechanism of diffusing the titanium. The different optical waveguide based on
LiNbO3 with excellent degree of performance have been designed for the
applications of terminal functions of external intensity modulators, phase
modulators, and multi/de-multiplexers, as well as switch arrays for optical
fiber network systems. In a special application of optical communication, the
transparency of LiNbO3 devices are found very suitable for WDM systems
since they can operating efficiently in the range of wide-wavelength infrared
light as a single device [19]. It must be emphasized that the LiNbO3 external
modulators have been designed in order to operate in high speed and long-
distance optical fiber transmission systems. One of the reason to use this type
of electro-optical modulator is because they can provide the data rate
modulation exceeding 10 Gbits/sec combined with very low driving voltage.
One advantage point which is consider in designating this type of external
modulators is they have the property to reduce the dynamic laser wavelength
chirping as factor restricting the span-rate system product completely. This
feature mainly supported by the anti- dispersion characteristics of the use fiber
in the structure of the modulator. Besides, LiNbO3 external modulators play as
an important role in optical signal processors due to the ability of pure phase
modulation in coherent systems. With the increasing in the bit rate of optical
network systems [20], it found more difficult to increase the driving voltage
after reaching saturation point as a result of the restriction caused by electrical
instruments, in particular, electrical driving amplifiers. Therefore, keeping the
driving voltage of an LiNbO3 modulator at minimum level in the
communication systems with a broadband characteristic is an extremely
important issue for realizing future high-speed optical transmission systems
[21].
 Design and Development of Chromatic Dispersion … 11

Figure 3.5. Z-view of typical LiNbO3 devices. (a) phase modulator, (b) intensity
modulator using Mach-Zehnder interferometer, and (c) intensity modulator using
directional coupler.

3.3.1. Different Modulation Schemes of LiNbO3 Electro-optic Modulator

Devices
In all schemes presented in Figure 3.5 the channel of the waveguide is
considered to be single-mode channel device. The z-view of the devices shows
that the LiNbO3 crystals is used as a substrate, and a low-refractive-index
buffer layer of SiO2 film is designed between the electrode and the LiNbO3
substrate to prevent the further absorption of the light by the metal. The
external modulators which is used in the setup presented in Figure 3.1a, is a
phase modulator device based on LiNbO3 material. It is evident, the phase
modulated optical guide between electrodes and LiNbO3 is not purely made
from SiO2 layer and titanium has been diffused in the body of the channel to
enhance performance of the optical channel. In Figure 3.2b and 3.2c, the
absence of optical wavelength chirping in modulated signals is essential in
high-speed and long-distance optical transmission systems [22].
12 I. S. Amiri, M. Ghasemi and H. Ahmad

Table 3.2. Importance operating conditions of LiNbO3 phase modulator

Operating Wavelength 1525nm to 1605nm

Optical Insertion Loss (2) 5 dB
RF V𝜋 Voltage 3.8-5 Volts@1kHz
Bias V𝜋 Voltage 5.5-6Volts@1kHz
Optical Return Loss 45dB
DC Optical Extinction Ratio 20-24dB
Chirp, Alpha parameter -0.1 to 0.1

3.4. Programmable Signal Generator

The RF source for the external modulator is produced by PM5191function

generator. It has capability to produce different waves like sine and square
form. It also work within the frequency range between 0.1 mHz to 2 MHz.
Accuracy and stability are the essential factors for produced sine wave that
fulfils with this synthesizer/function generator. Other important feature of
PM5191 is being remote programmability using GPIB port. All front panel
functions can be programmed remotely and all settings and status data can be
called and controlled through the remote controller. Some major features about
the function generator are as follow:

 Sine wave 0.1mHz-2.147MHz

 Square wave 0.1mHz-2.147MHz
 Phase noise < -80 dBc/Hz
 Signal to noise ratio (SNR) ≥ 55dBc
 Long term drift < 0.3ppm with in 7 hours
 Max resolution 0.1 mHz
 Voltage peak to peak open circuit (for both sine wave and square
wave) 0-30 Volts
 Rise and fall time for square wave <35ns
 Duty cycle 50%

3.5. Optical-to Electrical Converter (O/E)

In many optical application sometimes it is required to convert the optical

signal into very low frequency signal (RF). For this purpose, Agilent 11982A
 Design and Development of Chromatic Dispersion … 13

is utilized by the mean of PIN photo detector to convert optic signal to electric
form. For optical application the PIN photo detector can support bandwidths of
the order of tens of gigahertz. After conversion process, the produced
electrical signal needs to be amplified by a very low noise amplifier due to
highly attenuation during conversion. The amplified electrical signal is
suitable to use with measuring instrument such as digital oscilloscope or
spectrum analyser. In frequency domain optical characteristics of laser beam
such as Intensity modulation, distortion, and laser intensity noise can be
displayed by spectrum analyser and the effect of laser modulation is
measurable. Other important capability of the 11982A is changing display
oscilloscope unit to watts unit in order to measure optical power. For this
purpose it is enough to enter the reciprocal of the responsivity in
oscilloscope’s probe attenuation field. Considerable features of the O/E
11982A are as follow:

 Wavelength Range 1200 nm to 1600 nm

 Bandwidth optical dc to 15 GHz
 Bandwidth electrical dc to 11 GHz
 Input return loss 23dB
 Conversion gain(accuracy of provided value) ±20%
 Maximum safe optical input power(average) 10mW
 Temperature range 0°C to +55°C

3.6. Programmable Digital Signal Oscilloscope

The “DSO1022a,” from Agilent.co has been used to analyse the RF signal
after conversion by O/E at receiver end (Figure 3.1). This device supports two
input RF channels. Automatic measurement function in this model of
oscilloscope provides many facilities for measuring amplitude and time
components of the received signal. LabVIEW controller in Figure 3.1, has sent
a request continually to DSO1022a through GPIB cable link at equal interval
of time to accurately measure phase difference of received and transmitted RF
signals.
14 I. S. Amiri, M. Ghasemi and H. Ahmad

Figure 3.6. Measurable parameters of voltage (a) and time (b) components of the RF
signal.

REFERENCES
[1] Alwayn, Vivek. Optical network design and implementation. Cisco
Press, 2004.
[2] Gumaste, Ashwin, and Tony Antony. DWDM network designs and
engineering solutions. Cisco Press, 2003.
[3] Keiser, Gerd. “Optical fiber communication.” NY: McGraw-Hill (2000).
[4] Rosenfeldt, Harald. Measurement and Compensation of Polarization
Mode Dispersion in Optical Communication Systems. Cuvillier Verlag,
2006.
[5] Lecoy, Pierre. Fibre-Optic Communications. John Wiley & Sons, 2013.
[6] Band, Yehuda B. Light and matter: electromagnetism, optics,
spectroscopy and lasers. Vol. 1. John Wiley & Sons, 2006.
[7] SINGH, LAKHMIR, and MANJIT KAUR. Science for Ninth Class
(Part-1) Physics. RSM Press.
[8] Oliviero, Andrew, and Bill Woodward. Cabling: the complete guide to
copper and fiber-optic networking. John Wiley & Sons, 2014.
[9] Hecht, Jeff. Understanding fiber optics. Jeff Hecht, 2015.
[10] Yao, Jianquan, and Yuyue Wang. Nonlinear Optics and Solid-State
Lasers: Advanced Concepts, Tuning-Fundamentals and Applications.
Vol. 164. Springer Science & Business Media, 2012.
 Design and Development of Chromatic Dispersion … 15

[11] Buck, John A. Fundamentals of optical fibers. John Wiley & Sons, 2004.
[12] Ghatak, Ajoy, and K. Thyagarajan. An introduction to fiber optics.
Cambridge university press, 1998.
[13] Barnoski, Michael, ed. Fundamentals of optical fiber communications.
Elsevier, 2012.
[14] Agrawal, Govind P. Nonlinear fiber optics. Academic press, 2007.
[15] Laferrière, J., G. Lietaert, R. Taws, and S. Wolszczok. Reference guide
to fiber optic testing. JDS Uniphase Corporation, 2007.
[16] Chan, Calvin CK, ed. Optical performance monitoring: advanced
techniques for next-generation photonic networks. Academic Press,
2010.
[17] Forestieri, Enrico, ed. Optical Communication Theory and Techniques.
Springer Science & Business Media, 2004.
[18] Sugiyama, Masaki, Masaharu Doi, Shinji Taniguchi, Tadao Nakazawa,
and Hiroshi Onaka. “Driver-less 40 Gb/s LiNbO3 modulator with sub-1
V drive voltage.” In Optical Fiber Communication Conference, p. FB6.
Optical Society of America, 2002.
[19] Mohammed, Abd El-Naser A., and A. Mohammed. “Metawe'e, Ahmed
Nabih Zaki Rashed, and Mahmoud M.” Eid,”Important Role of Optical
Add Drop Multiplexers (OADMs) With Different Multiplexing
Techniques in Optical Communication Networks,” IJCIIS International
Journal of Computational Intelligence and Information Security 1, no. 1
(2010): 72-85.
[20] Courjal, N., A. Martinez, and H. Porte. “LiNbO3 Mach–Zehnder
Modulator with chirp adjusted by domain inversion.” Proceeding
Integrated Photonic Research (2002): p-IFA4.
[21] Shimotsu, S., S. Oikawa, T. Saitou, N. Mitsugi, K. Kubodera, T.
Kawanishi, and M. Izutsu. “Single side-band modulation performance of
a LiNbO 3 integrated modulator consisting of four-phase modulator
waveguides.”Photonics Technology Letters, IEEE 13, no. 4 (2001): 364-
366.
[22] Mohammed, Abd El-Naser A., Mohamed Metwae'e, Ahmed Nabih Zaki
Rashed, and Amira IM Bendary. “Recent progress of LiNbO3 based
electrooptic modulators with non return to zero (NRZ) coding in high
speed photonic networks.” International Journal (2011).
[23] Hui, Rongqing, and Maurice O'Sullivan. Fiber optic measurement
techniques. Academic Press, 2009.
In: Systems Engineering ISBN: 978-1-63485-752-9
Editor: Marlene Hopkins © 2017 Nova Science Publishers, Inc.

Chapter 2

ANALYSIS OF THE RESULTS OF THE

MODULATION PHASE SHIFT METHOD TO
MEASURE CHROMATIC DISPERSION

I. S. Amiri, M. Ghasemi and H. Ahmad

Photonics Research Centre, University of Malaya,
Kuala Lumpur, Malaysia

ABSTRACT
This chapter follows the proposed optical setup for measuring the
chromatic dispersion (CD) of the long haul fiber through phase
modulation difference method and will present the experimental results.
This chapter, firstly discuss the results regarding the optimization of
phase based EOM (electro optical modulator) as the most important
component in CD measurement setup, then investigates the results of CD
measurement characterizations based on different lengths of fiber,
different wavelengths and different RF frequencies.

Keywords: chromatic dispersion, electro optical modulator, RF frequencies

18 I. S. Amiri, M. Ghasemi and H. Ahmad

1. CHARACTERIZATION OF EOM MODULATOR TO FIND

THE BEST OPERATING POINT

EOM modulator requires the biasing conditions before perform as a

modulator in any optical setup. Since the phase modulator supposed to
modulate the RF signal over an optical carrier, it must be first set in normal
operating point electrically, then the RF signal applied for the purpose of
modulation [1-9]. It must be noted at the right operating point, the external
modulator works ideally and the non-distorted electrical signal would
modulate on optical beam. DC biasing of the EOM is comprising the applying
DC voltage to the electrodes of EOM and simultaneously measuring the
variation optical power coming out from the modulator. It is expected the
following sinusoidal figure is observed after variation of DC voltage from 0 to
10 volt.
In Figure 1, the recommended region for normal modulation of a complete
peak to peak RF signal (Vp-p) highlighted with closed black solid-line loop,
and beyond this region the signal most likely encounters the nonlinearity effect
of EOM modulator. The symbol 𝑉𝜋 in Figure 1allows the RF signal to vary
with in the boundary highlighted with orange solid line and above of these line
the phase of RF signal become negative [10-16]. The characterization of
different EOM phase modulators as shown in Table 1 indicates that they can
successfully modulate a RF signal at different condition of DC bias voltage.
Also the results at each time measurement explains the results would not be
consistent essentially.
The results of characterization also emphasized on the importance of
𝑉𝑏 parameter. The RF signal offer 180° shifts before and after the minimum
point of the transmission transfer curve.

Figure 2.1. EOM transmission transfer curves versus DC bias voltage.

 Analysis of the Results of the Modulation Phase Shift Method … 19

Table 2.1. Characterization of EOM modulators

Negative phase area

Model No. Test number 𝑉𝑏 (volt) 𝑉𝜋 (volt) 𝑉𝑝 (volt)
EOM-7F6E1900 1 2-4 1.5-5.5 2
EOM-7F6E1900 2 2-4 1-5.5 2
EOM-7F6E1900 3 2-4 1.5-5.5 2
EOM-7F6E1900 4 2.5-4 1.25-5.5 1.5
Positive phase area
Model No. Test number 𝑉𝑏 (volt) 𝑉𝜋 (volt) 𝑉𝑝 (volt)
EOM-7F6E1900 1 6.5-8.5 5.5-9 2
EOM-7F6E1900 2 6.5-8.5 5.5-9 2
EOM-7F6E1900 3 7-9 5.5-9.5 2
EOM-7F6E1900 4 7-9 5.5-9.5 2
Negative phase area
Model No. Test number 𝑉𝑏 (volt) 𝑉𝜋 (volt) 𝑉𝑝 (vol)
EOM-7F6E1A00 1 3-4.5 2-6 1.5
EOM-7F6E1A00 2 3-4.5 1.5-6 1.5
EOM-7F6E1A00 3 2.5-4.5 1.5-5.5 2
EOM-7F6E1A00 4 2.5-4.5 1-6 2
Positive phase area
Model No. Test number 𝑉𝑏 (volt) 𝑉𝜋 (volt) 𝑉𝑝 (volt)
EOM-7F6E1A00 1 7-8.5 6-10 1.5
EOM-7F6E1A00 2 7-8.5 6-9.5 1.5
EOM-7F6E1A00 3 7-8.5 6-9.5 1.5
EOM-7F6E1A00 4 7-8.5 6-9.5 1.5

In general, the EOM response is linear for small fluctuation of RF signal

within the recommended regions. The transmission light power I(t) might be
written in the form of Equation 1.1. From this equation it is evident that sin
shape of transmission transfer curves which experimentally measured is
compatible with the theory of power in electro optical modulator. Further,
three basic components 𝑉𝑏 , 𝑉𝜋 and 𝑉𝑝−𝑝 must selected wisely as to their
influence on output power of EOM device. In Equation 1, 𝐼0 is the maximum
transmitted light power and the 𝐸(𝑤) represents the frequency dependency
modulation efficiency.
20 I. S. Amiri, M. Ghasemi and H. Ahmad

𝐼0 𝑉𝑏 +𝐸(𝑤)𝑉𝑝 cos(𝑤𝑡)
𝐼(𝑡) = 2
[1 + cos (𝜋 𝑉𝜋
) (1)

The dc bias variable 𝑉𝑏 (Equation 2) is adjustable parameters and controls

the operating point of the EOM. This parameter also is the key point
subjecting to the shifting of transmission transfer curve when a DC bias
voltage out of the permitted range applied to EOM device. In this situation,
multiple operating point might be observed from transmission transfer curves
(Figure 2).
The shifting phenomenon in transmission transfer curves of EOM causes
the linear operation area become smaller and consequently the 𝑉𝑝−𝑝 fluctuates
in a very small region of recommended regions or normal operating point. The
detection of high attenuated RF signal after travelling along a long haul fiber is
difficult by the measurement device at receiver end. The characterization of
EOM model No. 7F6E1900, in figures 2.4-2.13 Explains how the quality of
the received RF signal after travelling along several meters fiber can vary as to
increasing of 𝑉𝑏 .

Figure 2.3. Shifting in transmission transfer curve as result of applying high amount
of 𝑉𝑏 .
 Analysis of the Results of the Modulation Phase Shift Method … 21

Figure 2.4. Measured RF signal at the receiver at Vb = 2.5 volt.

Figure 2.5. Measured RF signal at the receiver at Vb = 3 volt.

Figure 2.6. Measured RF signal at the receiver at Vb = 3.5 volt.

22 I. S. Amiri, M. Ghasemi and H. Ahmad

Figure 2.7. Measured RF signal at the receiver at Vb= 4 volt.

Figure 2.8. Measured RF signal at the receiver at Vb= 4.5 volt.

Figure 2.9. Measured RF signal at the receiver at Vb= 5 volt.

 Analysis of the Results of the Modulation Phase Shift Method … 23

Figure 2.10. Measured RF signal at the receiver at Vb= 5.5 volt.

Figure 2.11. Measured RF signal at the receiver at Vb= 6 volt.

Figure 2.12. Measured RF signal at the receiver at Vb= 6.5 volt.

24 I. S. Amiri, M. Ghasemi and H. Ahmad

Figure 2.13. Measured RF signal at the receiver at Vb= 7 volt.

Figure 2.14. Measured RF signal at the receiver at Vb= 7 volt and Vp = 1.96 volt.

The shape of the measured RF signals in figures 4-13 clearly illustrates the
response of EOM to different values of 𝑉𝑏 . Since the boundary of linear
operation is not just limited to a specific amount of 𝑉𝑏 , the highest similarity
between the reference and measured RF wave can be used to select proper
operation point. Besides the limitation posed by 𝑉𝑏 , 𝑉𝑝−𝑝 is limited to a certain
range of fluctuate. Considering the bets operating point (𝑉𝑏 ) from the Figure 4-
13 is selected as 7 volt. The EOM model No. 7F6E1900 under the selected
operation need to be characterized again to identify the best value of 𝑉𝑝−𝑝 and
before final evaluation of the setup for measuring the dispersion under long
haul fiber.
 Analysis of the Results of the Modulation Phase Shift Method … 25

Figure 2.15. Measured RF signal at the receiver at Vb= 7 volt and Vp = 2.64 volt.

Figure 2.16. Measured RF signal at the receiver at Vb= 7 volt and Vp = 4.16 volt.

Figure 2.17. Measured RF signal at the receiver at Vb= 7 volt and Vp = 5.28 volt.
26 I. S. Amiri, M. Ghasemi and H. Ahmad

Figure 2.18. Measured RF signal at the receiver at Vb= 7 volt and Vp = 6.4 volt.

Figure 2.19. Measured RF signal at the receiver at Vb= 7 volt and Vp = 7.52 volt.

Figure 2.20. Measured RF signal at the receiver at Vb= 7 volt and Vp = 8.64 volt.
 Analysis of the Results of the Modulation Phase Shift Method … 27

Figure 2.21. Measured RF signal at the receiver at Vb= 7 volt and Vp = 9.36 volt.

The normal shape of signals from Figure 2.14 and 2.15 can also use to
determine that the optimum operation point for EOM model No. 7F6E1900.
Thereby, it can be selected as 1.96 < Vp < 2.64 at Vb= 7. Besides, these two
important points, 𝑉𝜋 or driving voltage of the EOM as shown in Equation 2 is
under affection of more parameters such as wavelength and refractive index of
LiNbO3[2].

𝜆𝐺 𝜆.𝑉
𝑉𝜋 = 2𝑛3 𝑟 = 4.𝑛(𝑉).𝐿 (2)
𝑒 33 Г𝐿

where 𝜆 is the wavelength of applied laser beam, 𝑛𝑒 is refractive index of

LiNbO3 and 𝑟33 is the electro optic coefficient constant (3 × 10−12 𝑚/𝑉) .The
parameter V similar to Vb is DC biasing voltage of the EOM. Parameter Г is
the overlap integral between optical and electrical (RF) fields. Furthermore, G
is the free space gap between electrodes and L is the electrode length (Figure
3.5 in Chapter I).
The 𝑉𝜋 equation also relates the frequency of RF signal and wavelength of
the laser source to optical power of the EOM in Equation 1. Thus for study the
frequency characterization of the EOM, this time the phase difference between
RF signals at source and receiver is evaluated when the frequency of RF signal
increase from 50 Hz to 2 MHz.
The frequency characterization of the CD setup is showing that under
constant wavelength (1540 nm) of laser source, the phase difference between
transmitter and receiver is quite sensitive to length of fiber.
28 I. S. Amiri, M. Ghasemi and H. Ahmad

Figure 2.22. Characterization of CD measurement setup by measuring phase variation

of RF signal at different RF frequency.

At distance of less than 1 km, the response of the setup to the frequency of
the RF signal below than 1 MHz is almost insignificant, but Increasing of
frequency to 2 GHz with in the short distance slight increase of the phase
difference can be observed. At higher frequency and at longer distance the
system becomes enormously sensitive to the small variation of RF signal. In
fact, it has been expected that the system being insensitive to the variation of
RF signal at any long haul distance, while at the longest fiber length the
measurements reveals a remarkable variation of the phase at the frequency of
less than 2 MHz. From Figure 22, it can conclude that the optimal frequency
point for normal operation of EOM device and accurate dispersion
measurement is 50 Hz or below than of it.

2. ANALYSIS OF THE DISPERSION

MEASUREMENT RESULTS
The results of CD measurement using phase difference method are
obtained after complete characterization of EOM modulator. The final
characterization of the setup is presented in Table 2.2. The dispersion and
group delay measurements are evaluated for 10 km and 25 km of the fiber
length. In computation of group delay and dispersion parameters, the Equation
2.3 and 2.4 has been used.
 Analysis of the Results of the Modulation Phase Shift Method … 29

Table 2.2. Optimal operation point for accurate CD measurement

EOM 792000280
Serial No 7F6e1900
𝑉𝑏 8.5v
𝑉𝑝 1.1v
Frequency 50 Hz

Figure 2.23. relative measured phase vs. wavelength for 10 km fibre.

The final results of CD measurements using phase shift technique is

demonstrated in Figures 2.23-2.26. The shifts in measured phase obviously
presents more difference correspond to fiber length of 25 Km rather than 10
Km (Figure 2.23 and 2.24). The remarkable increase of dispersion and group
delay with increase of wavelength (1460nm-1580nm) can be observed after
implementation of measured phase and wavelength values in Equations 2.3
and 2.4 and plotting them in respective Figures 2.25 and 2.26.

𝜑 ∆𝜆 −𝜑 ∆𝜆
(𝜆+ 2 ) (𝜆− 2 )
∆𝑇𝜆 = − 360𝑓𝑚
× 1012 (2.3)

∆𝜑𝜆𝑖 −∆𝜑′ 𝜆
𝐷𝜆𝑖 = 360𝑓𝑚 𝐿∆𝜆
𝑖
× 1012 (2.4)
30 I. S. Amiri, M. Ghasemi and H. Ahmad

where, 𝜆 is the centre of wavelength interval, 𝑓𝑚 is the modulation frequency in

Hz and 𝜑is the phase of recovered modulation signal and ∆𝜆 wavelength
interval between two adjacent wavelengths. The delay in terms of measured
phase and wavelength is showing by ∆𝑇𝜆 parameter while dispersion as
function of wavelength presents by 𝐷𝜆𝑖 .

Figure 2.24. relative measured phase vs. wavelength for 25 km fibre.

Figure 2.25. Group delay measurement vs. wavelength at different fibre length.
 Analysis of the Results of the Modulation Phase Shift Method … 31

Figure 2.26. Dispersion measurement vs. wavelength at different fibre length.

REFERENCES
[1] I. S. Amiri, S. Alavi, M. Soltanian, R. Penny, A. Supa'at, N. Fisal, and
H. Ahmad, 2×2 MIMO-OFDM-RoF Generation and Transmission of
Double V-Band Signals Using Microring Resonator System, Optical and
Quantum Electronics, 2015.
[2] S. E. Alavi, I. S. Amiri, S. M. Idrus, A. S. M. Supa’at, J. Ali, and P. P.
Yupapin, All Optical OFDM Generation for IEEE802.11a Based on
Soliton Carriers Using MicroRing Resonators IEEE Photonics Journal,
6(1), 2014.
[3] I. S. Amiri, S. E. Alavi, N. Fisal, A. S. M. Supa'at, and H. Ahmad, All-
Optical Generation of Two IEEE802.11n Signals for 2×2 MIMO-RoF
via MRR System, IEEE Photonics Journal, 6(6), 2014.
[4] I. S. Amiri and J. Ali, Data Signal Processing Via a Manchester Coding-
Decoding Method Using Chaotic Signals Generated by a PANDA Ring
Resonator, Chinese Optics Letters, 11(4), 2013, 041901(4).
[5] I. S. Amiri, A. Shahidinejad, A. Nikoukar, M. Ranjbar, J. Ali, and P. P.
Yupapin, Digital Binary Codes Transmission via TDMA Networks
Communication System Using Dark and Bright Optical Soliton, GSTF
Journal on Computing (joc), 2(1), 2012, 12.
[6] I. S. Amiri, S. E. Alavi, and J. Ali, High Capacity Soliton Transmission
for Indoor and Outdoor Communications Using Integrated Ring
32 I. S. Amiri, M. Ghasemi and H. Ahmad

Resonators, International Journal of Communication Systems, 28(1),

2015, 147–160.
[7] I. S. Amiri, S. E. Alavi, Sevia M. Idrus, A. Nikoukar, and J. Ali, IEEE
802.15.3c WPAN Standard Using Millimeter Optical Soliton Pulse
Generated By a Panda Ring Resonator, IEEE Photonics Journal, 5(5),
2013, 7901912.
[8] Iraj Sadegh Amiri, Ali Nikoukar, and Sayed Ehsan Alavi, Soliton and
Radio over Fiber (RoF) Applications. Saarbrücken, Germany: LAP
LAMBERT Academic Publishing, 2014.
[9] Iraj S. Amiri, Soliton-Based Microring Resonators: Generation and
Application in Optical Communication. USA: Amazon, 2015.
[10] Sayed Ehsan Alavi, Iraj Sadegh Amiri, and Abu Sahmah M. Supa’at,
Analysis of VFSO System Integrated With BPLC. Amazon: Lap
Lambert Academic Publishing, 2014.
[11] I. S. Amiri, S. E. Alavi, and H. Ahmad, Analytical Treatment of the
Ring Resonator Passive Systems and Bandwidth Characterization Using
Directional Coupling Coefficients. Journal of Computational and
Theoretical Nanoscience (JCTN), 12(3), 2015, 418-424.
[12] I. Amiri, M. Soltanian, and H. Ahmad, Application of Microring
Resonators (MRRs) in Optical Soliton Communications, in Optical
Communication Systems: Fundamentals, Techniques and Applications,
ed: Novascience Publisher, 2015, pp. 25 - 44.
[13] C. Tanaram, C. Teeka, R. Jomtarak, P. P. Yupapin, M. A. Jalil, I. S.
Amiri, and J. Ali, ASK-to-PSK generation based on nonlinear microring
resonators coupled to one MZI arm, Procedia Engineering, 8, 2011,
432-435.
[14] I. S. Amiri, Attenuation Measurement of Transparent Materials and
LIDAR Using NIR Laser. USA: Amazon, 2015.
[15] H Ahmad, M. R. K. Soltanian, I. S. Amiri, S. E. Alavi, A. R. Othman,
and A. S. M. Supa’at, Carriers Generated by Mode-locked Laser to
Increase Serviceable Channels in Radio over Free Space Optical
Systems, IEEE Photonics Journal, 7(5), 2015.
[16] I. S. Amiri, S. Ghorbani, P. Naraei, and H. Ahmad, Chaotic Carrier
Signal Generation and Quantum Transmission Along Fiber Optics
Communication Using Integrated Ring Resonators, Quantum Matter,
4(2), 2015, 151-155.
In: Systems Engineering ISBN: 978-1-63485-752-9
Editor: Marlene Hopkins © 2017 Nova Science Publishers, Inc.

Chapter 3

A REVIEW OF OPTICAL WAVEGUIDE

SENSORS USING ION-EXCHANGE
TECHNOLOGY

I. S. Amiri, M. M. Ariannejad and H. Ahmad

Photonics Research Centre, University of Malaya,
Kuala Lumpur, Malaysia

ABSTRACT
Optical interconnects are expected to complement or even replace
electrical interconnects for shorter and shorter distances, as they allow for
large data transmission rates as well as very high link densities. An
attractive way to implement optical interconnects in modern
multiprocessor systems is to integrate an optical waveguide layer into
conventional printed circuit boards. A technology based on ion-exchange
in commercially available glass substrates developed, as a fabrication
technology for optical waveguides in the context of optical interconnects.
Glass has unprecedented properties that make it the material of choice for
many optical applications. Silver ion-exchange in glass reveals to be a
highly promising method for the fabrication of low loss optical
waveguides, especially also in the context of optical interconnects,
because it is a scalable, industrially compatible and low-cost technology.

Keywords: ion-exchange, optical sensors, propagation loss, refractive index,

optical waveguide, glass
34 I. S. Amiri, M. M. Ariannejad and H. Ahmad

1. INTRODUCTION
The term ‘integrated optics’ created more than 30 years ago and describes
a family of technologies where light guiding structures are integrated on planar
substrates [1-12]. The concept corresponds to electronic integration, where
lithographical tools are used to create structures in the micron range with
submicron precision. One of the first reliable production processes for
integrated optical waveguides was ion exchange in glass. The ion-exchange
technique has been used for centuries to modify optical absorption properties
of glasses for purposes of decoration and coloring [13]. However, only in the
late 70’s with the pioneering work of Izawa and Nakagome [14] and
Gialorenzzi et al. [15]. It was showed that the technique is suitable to produce
optical waveguides [16]. Since then, this fabrication process has been used in
several applications of integrated optics: optical communications, signal
processing and optical sensing [15, 17]. The advantages of the technique are
low material and processing costs, low optical losses produced in the
waveguide and compatibility with the optical fiber assembly. Typically, in this
procedure, Na+ ions present in the glass are exchanged with other ions from a
melt salt. These ions have different ionic radius and polarizability from those
of Na+, inducing stress in the glass matrix, accompanied by modification of its
refractive index [13]. The most common ion used is silver (Ag+) due to its
great variation in the refractive index compared to other ions, such as
potassium (K+) and thallium (Tl+) [18]. In order to reduce the fabrication effort
for integrated optic components, which become more and more complex at
present, modelling procedures attain an increasing interest. The effective index
method and beam propagation (BPM) calculations are commonly used tools
for the prediction of waveguide properties and component parameters,
respectively.
Glasses do not have fundamental material birefringence and they are
amorphous, altered from semiconductors that is in crystalline form. Equally
the shape of the waveguide and the stresses that rise during fabrication
contribute to birefringence, nevertheless with suitable design, these can be
well-adjusted together with each other to yield the single-mode devices that
has little polarization dependence [19]. Furthermore, ion exchange has other
methods that exist concluded to glass waveguides fabricated. Most include the
deposition of thin glass films (e.g., sol-gel coating, flame hydrolysis
deposition, chemical vapor deposition), by using reactive ion etching to define
the device geometry, and subsequent deposition of the over cladding. Several
deposition steps and etching can be variety of these procedures time
 A Review of Optical Waveguide Sensors … 35

consuming costly. Ion exchanged waveguides possess may have the required
characteristics which is stated in Table 1.
The highest inspirations of the usage in ion exchange with glass was
optical waveguide sensors, which are the resulting to: glass has insignificant is
rough against a diversity and optical attenuation, thermal strains and
mechanical and.

Table 1. Comparison of silica-on-silicon, polymer and ion-exchange

(from salt melts) Waveguide technologies for optical
waveguide fabrication

Properties Silica-on-Silicon Polymer Ion-exchange

Coupling to optical fiber Fair poor excellent
Elimination of lenses poor Poor Good
Propagation loss excellent Fair Good
Polarization sensitivity Fair Fair excellent
Thermal stability Good poor Good
Tapering (coupling to laser) Fair - excellent
Miniaturization of optical devices excellent Good Fair
Cost saving - materials Fair Good excellent
Cost saving - process poor Fair excellent
Production yield fair/poor - excellent
Number of fabrication steps poor Poor/fair excellent
Packaging ease fair/poor fair excellent

2. EXPERIMENTAL
The ion-exchange technique is a very old technique that used by the
Egyptians in the 6th century to decorate dishes and pots. In the Middle Ages
and later during the Renaissance, glass staining was a widely used method to
fabricate colored church windows. Probably the best known are the yellow
(“Jaune d’Argent”) and amber silver stains, the red copper (copper-ruby) and
red gold (gold-ruby) or purple gold (“Purpleof Cassius”) stains. First industrial
applications, however, emerged only in the beginning of the 20th century, with
chemical surface tempering of glass (also referred to as ion-stuffing or glass-
strengthening), i.e., a large ion from an alkali salt melt (e.g., K+) is exchanged
with a smaller ion in the glass (e.g., Na+), thus creating a compressive stress
state at the glass surface. Initial studies of ion-exchange processes and ion
36 I. S. Amiri, M. M. Ariannejad and H. Ahmad

conduction processes in glass are presented. In 1918, Schott researchers

observed that ion-exchange also produces a change in the refractive index of
such a diffused layer. After the beginning of the integrated optics era, in the
late 1960s, research was focused on the development of thin-film optical
components like power splitter, couplers, modulators and soon, interconnected
on a single chip. Pioneering work was done, in the early 1970s, by Izawa et al.
[20]. They opened the way to extended activities in the research and
development of the ion-exchange technique in glass [16]. A comprehensive
range of optical waveguide properties can be done by using ion-exchange
method. Equally, weakly and strongly guiding single mode waveguides, but
also large multimode waveguides can be expected. Surface guides in addition
to buried waveguides have been processed. In the last years, considerable
effort has been put into the fabrication of waveguides in rare-earth (e.g., Er3+,
Yb3+) doped silicate as well as non-silicate glass substrates to achieve optical
amplification and hence active optical devices [21-23].

3. THERMAL ION-EXCHANGE
In a certain temperatures and concentration gradient of similar ions at the
glass surface could generate the movement of ions. The exchange of mobile
charged kind happens on a one basis to reserve the glass to be neutral. The
amount of ion exchange controlled with slower mobile ions [24].
The glass substrate that modify ion like A+ that could be dipped in salt that
is molten with the present of the cation B+ like Ag+, K+, Tl+ as shown in Figure
1. The interface of the glass melt, both ions shortly could decrease to zero. The
thermal will cause the interface for B+ ions to exchange with the A+ ions and
similarly opposite. Moreover, the cations that diffuse can be away from
interface. The freedom of movement, A+ cations in the molten salt existence is
higher, they move fast vanished from the interface, while the B+ cations
gradually exchange into the glass, generating a layer near the glass surface that
is thin. At glass surface, the concentration of exchanged B+ cations is
reductions monotonically and highest inside the glass. The procedure could be
fast within the high temperatures, since the rise of ion mobility through
considering the temperature, however the glass structure relaxes with the rise
of temperature.
 A Review of Optical Waveguide Sensors … 37

Figure 1. Illustration of the melt-glass interface (here A+ = Na+). B+ is the cation of the
melt (e.g., Ag+, K+, Tl+,…) which will be exchanged with the cation in the glass. The
melts usually consist of nitrates, chlorides or sulphates.

Table 3 the suitable factors in case of generally used ions for ion-exchange
procedures: ionic radius, electronic polarizability, corresponding melting and
normally with the usage of salts or the induced refractive index change and
also decomposition point, birefringence and propagation loss after ion-
exchange [25].
Silver ion-exchange is an appropriate method for Ag+-ions from the
AgNO3 melt exchanged with mixed ions Na+ in the glass, though not high
temperature (usually between 220 till 300°C). Δn is the refractive index that
can change around 0.1, soda-lime glasses that can achieve to 0.22 for TiF6
phosphate-glass (Schott Glaswerke, Mainz) with the usage of thermal in ion-
exchange with 410°C temperature [26].
Refractive index would Decreasing by increasing the usage of diluted salt
melts. Najafi et al. [27] discussed a method in that concluded electrolytic
issued of silver ions from a silver rod, particular control in case of silver
concentration in the Ag+ and Na+ which is melt above the method that
described, consequently with considering the waveguides fabrication and
reproducibility (the reproducibility can be approximately ~ 10-4 in case of
continuous propagation). The significant consideration in silver exchange as
point out before, is the decrease of silver, that happened at higher temperatures
and is maintained by decreasing the ions like Fe2+, As3+, S b3+ and (acting as
electron donors) present in the glass as the layers [28].
 Table 3. Parameters for ion-exchange in glass

Ion Ionic Electronic Salt Melting Refractive Birefringence Propagation Comments

radius polarizability (decomp.) index change δn × 104 loss [dB/cm]
[𝐴]̇ α [𝐴̇3 ] [104] point [℃] Δn
([105])
Li+ 0.65 0.03 (0.029) LiNO3 264 (600) 0.012 2 >1 Tensile stresses
and surface
crystallization
Na+ 0.95 0.41 (0.24) NaNO3 307 (380) -0.02-0.002 - - -
K+ 1.33 1.33 (0.9) KNO3 334 (400) 0.009 2-20 <0.2 Compressive
stresses
Rb+ 1.49 1.98 (1.4) RbNO3 310 (-) 0.015-0.02 2-10 >1 Expensive
Cs+ 1.65 3.34 (2.44) CsNO3 414 (-) 0.04 2 0.1 Slow diffusion
Ag+ 1.26 2.4 (1.89) AgNO3 212 (444) 0.1- 0.22 0-10 <0.2 Low thermal
stability and
photo-stability
Ti+ 1.49 5.2 (3.88) TiNO3 206 (430) 0.1-0.2 0-50 <0.1 High toxcity
Cu+ 0.96 1.73 (1.22) CuCl 430 (-) 0.015-0.06 - - Risk of coloration
(Cu2+)
 A Review on Optical Waveguide Sensor … 39

Table 4. Several loss data for silver ion-exchanged or potassium and silver
double exchanged waveguides (from melts) partly post-treated

Fabrication method and/or Propagation Wavelength Glass Reference

post-treatent loss [dB/cm] [nm] type
Ag-Na exchange K-Na/ 1.3 1296 Corning [32]
Ag-Na double exchange ~0.25 0211
(ion-masking)
K-Na/Ag-Na double 0.3 1550 Schott [33]
exchange and 24 h annealing Bk7
Ag-Na (buried waveguide) ~0.15 1550 Schott [34]
BGG 31

The losses depend significantly on the wavelength that is used and have a
maximum above 400 nm that resonance for the precipitated small silver
particles happens. The loss surge regarding to colloidal of silver much smaller
at wavelengths >800 nm [29]. The absorption losses are different from less
than 0.1 dB/cm for BK7 glass (waveguides annealed at 500°C in air after the
ion-exchange [30]) to a few dB/cm for soda-lime glasses in addition to Pyrex
glass (the borosilicate glass not improved with admiration to impurities). Table
4 shows a few loss data of silver ion-exchanged waveguides. It is very tough
to compare the altered available loss values, since it has altered processing
conditions, ion-exchange, glass substrates, material systems and methods used,
the various waveguide dimensions produced and also the optical
characterization methods that are engaged. Potassium and silver double
exchanged waveguides, which declared as an ionic masking procedure to have
improved loss figures at the outflow of a more complex procedure (improved
number of process-steps). Furthermore, the annealing in addition to the
burying waveguides characteristically declines the propagation losses
considerably.
The structure of the sensor, that the operation can be defined in terms of
coupled modes, is illustrated in Figure 1. A single TM mode is excited in the
input waveguide and divided into two paths with a 3 dB y-junction splitter.
The mode propagating under the gold film then couples to the surface plasmon
mode, guided by the interface between the metal film and the superstrate, if
the two modes are closely phase matched. If a thin film is adsorbed to the
metal surface then the coupling condition between the two modes is altered
causing a change in the output intensity of the sensor. The other arm of the y-
junction acts as a reference to minimize the effects of input power drifts.
40 I. S. Amiri, M. M. Ariannejad and H. Ahmad

Extensive design work [31] has led to optimized sensor designs for the
aqueous environment.
Lesser process temperature could reduce the silver to decrease the
properties, eutectic melts that can be used [35, 36] in burying Waveguides,
which significantly decreases optical losses (creating primarily from surface
scattering) in addition to polarization requirement of the waveguides, to obtain
by a second ion-exchange in a NaNO3 melt along with usage of eutectic melt
of NaNO3 and KNO3. Reduce the melting point of the eutectic melts can cause
the profile rise of the waveguides because the decreasing of thermal diffusion.
Lastly, it has also to be declared that the refractive index at the glass surface
induced by silver ion-exchange from melts shows a dependence on the melt
concentration, also varies for altered glasses (e.g., [37] and Table 2). Also, a
robust procedure temperature as well as period requirement was observed in
[38]. Currently Capek et al. [39] and Salavcova et al. [85] evaluated the ion-
exchange (Ag+ and K+) from a glass compositional point of view by altering
the absorption of the intermediary oxides (CaO, MgO and ZnO). The ion-
exchange depth is improved when the transitional oxide advances from ionic
to more covalent bonding; that is from compositions containing CaO and MgO
to compositions containing only ZnO as the intermediate oxide. Therefore, the
more covalent character of the glass sorts its structure additional open for the
powerful particles (i.e., the exchanging ions). The ionic character of the
modifiers (Ca2+ and Mg2+) means quite strong electrostatic services among the
non-bridging oxygen (NBO) and the neighboring Na+ that impede the measure
of the sodium ion through the glass matrix, therefore slowing down the
exchange of the Na+ for additional ion. Consequently, for the choice of a
tolerable substrate for ion-exchange, a glass will be chosen, which preferably
is free of MgO and CaO. Correspondingly, the number of non-bridging
oxygens (NBO) shall be as low as possible. Ion-exchange from silver has been
studied by numerous researchers [40-42]. To summarize, the benefits of such a
solid-state procedure within the molten salt and using in ion-exchange are,

 Pure materials deposited by sputtering, evaporation,

 The variety of exchange temperatures like assisted field process that
permits ion exchange at not high temperatures
 Ion-exchange would happened with electric field, not ion-exchange
complete with heating up (minor thermal dispersion from the source)
 Constant ion concentration profile relevant to ion source
 Dry procedure can be appropriate in case of mass manufacture and not
exactly electrically insulated and sample holders essential permitting
 A Review on Optical Waveguide Sensor … 41

with the usage of high temperature in the process (in the occasion for
ion-exchange from melts)
 Charge controlled procedure - existing monitoring permits for
intrinsic procedure control
 Within a lot variety change in temperatures like field assisted
procedure it permits to ion exchange to be happened in low
temperatures (inadequate by melting and/or decomposition
temperatures of salts)

To determine refractive index alteration Δn was comparable to molten salt

in ion exchange since alike ions exchanged. Though, requirement of the
surface refractive index on the functional electric field [43]. It can be
promising to fabricate the waveguides in multimode and using relatively small
fields and short distribution times. In multimode silver-film ion-exchanged
waveguides, losses below 0.1 dB/cm for slab and 0.2 dB/cm for channel
waveguides have been described [44]. Multimode waveguides (10 guided
modes) have been established by Najafi et al. [43] in soda-lime glass (Fisher
Premium with 14.31 wt% of Na2O), with T = 275°C, E = 15 V/mm and t = 30
min. These multimode guides presented 0.5 dB/cm although singlemode
waveguides presented 1 dB/cm absorption losses. Honkanen et al. [140]
established multimode waveguides in Corning 0211 borosilicate glass for
numerous ion streams, temperatures and development times. In case of
fabrication in multimode waveguides it can drive the ions rapidly into the glass
(this first step defines the refractive index alteration and the depth of the
waveguide as shown in Figure 2) and achieve a following thermal or field-
assisted step to variation the shape of the refractive index profile. All ion
exchange processes are described here as they pertain to the silver-sodium
(Ag+–Na+) system of ions. Figure 2 illustrates the thermal exchange from a
molten salt source through a metal-oxide mask. The mask is used to define the
device geometry for the exchanges from molten salt. Ag+ ions are driven into
the substrate from the melt by a chemical potential gradient, and in order to
preserve charge neutrality, Na+ ions are released into the melt [45]. Once in the
glass phase, Ag+ ions are-redistributed by thermal diffusion. The dielectric
mask serves to reduce the occurrence of metallic silver clusters which would
otherwise form due to electrolytic deposition at the glass/mask interface [40].
Such clusters produce a spectral attenuation in the waveguides. Thermal
exchange may also be assisted by an applied electric field.
42 I. S. Amiri, M. M. Ariannejad and H. Ahmad

Figure 2. The four most common processing configurations for ion exchange.
(a) thermal exchange from a molten salt.

4. FABRICATION OF THE GLASS CHIP SENSOR

The applications of guided-wave optical biosensors, and their market
possibilities, are well ‘documented.’ Many optical transducer mechanisms are
possible and they are currently generating a great deal of excitement as the
potential of such devices is realized in the laboratory and, increasingly,
commercially. Optical biosensors are generally small, light, and rugged,
offering the portability required for a field monitoring system. Integrated
optical sensors maybe connected by optical fibers and allow for the fabrication
of multiple sensors in a single substrate using photolithographic techniques.
The exploitation of a surface Plasmon resonance (SPR) to form the basic
transduction mechanism of a chemical sensor has been known for some years.
A surface Plasmon is usually a transverse magnetic (TM) electromagnetic
mode guided by the interface between two media whose dielectric constants
have real parts of opposite sign. For visible light this requirement can be
fulfilled by a dielectric and a metal. The formation of a surface Plasmon can
be achieved by using a ‘bulk’ optical component such as a prism, and
equipment employing this approach is now commercially available. Another
option is to employ the distributed coupling between a planar waveguide and a
surface Plasmon in a metal-coated waveguide. The use of SPR transduction in
an optical sensor allows for the use of the metal film as an electrode for
electrochemical control of sensing reactions. The general configuration of the
sensor, whose operation can be described in terms of coupled modes, is
detailed in Figure 3. A single TM mode is excited in the input waveguide and
divided into two paths with a 3 dB Y-junction splitter. The mode propagating
under the gold film then couples to the surface Plasmon mode, guided by the
interface between the metal layer and the dielectric superstrate, if the two
modes are closely phase matched. If a thin dielectric film is adsorbed to the
 A Review on Optical Waveguide Sensor … 43

metal surface then the effective index of the surface Plasmon mode will be
altered, changing the coupling condition between the waveguide and surface
Plasmon modes. This change can then be monitored, for example, as a
function of wavelength or a change in the output intensity of the sensor. The
other output of the Y-junction splitter is used as a reference channel to
minimize the effects of input power drifts [46]. Figure 3 details the process
flow of the glass sensor fabrication. After cleaning the glass wafer, a 100 nm
film of alumina is deposited by sputtering [47]. The waveguide pattern is then
transferred on the mask by photolithography, followed by a wet etching mask
opening of the alumina film.

Figure 3. Process flow of the glass sensor fabrication.

44 I. S. Amiri, M. M. Ariannejad and H. Ahmad

Figure 4. Waveguide-characterization setup.

The characterization of the waveguides was carried out with the Newport
Auto Align Packaging system shown in Figure 4. The light source is a
broadband laser diode module with a wavelength range of 1.53-1.61 µm. Both
the input and the output fibers were attached to a computer-controlled stage
with linear positioning accuracy of 0.05 µm. The input and out-put stages can
be controlled to scan along both the lateral X and the vertical Y directions to
find the optimal coupling positions between the fiber and the waveguide [48].
A microscope at the top was used as a monitor to keep a minimum gap
between the end-faces of the fiber and the waveguide.

CONCLUSION
Ion-exchange is one of the techniques for over 30 years nowadays and
characterizes a matured and it is purposed to use in optical waveguide
fabrication method, mainly for scale down the waveguides, integrated optical
devices that is compacted. The enactments of such optical devices even exceed
the Telcordia (GR 1221) that it can be used in telecommunication [21].
Altered ion-exchange procedures reviewed, the ion-exchange that is film
can be appeared to be a good solution for sensing uses. This is primarily
regarding to significant explanation of the processing setup (electrically
insulated sample holders and no high-temperature leak-proof needed) in
addition to the characteristic control of the origination of the ion-exchange (no
ions produced without relating an electric field) and ion-migration concluded
current monitoring. The silver ion-exchange offerings the properties of an
 A Review on Optical Waveguide Sensor … 45

scientifically well-matched and scalable procedure, appropriate for mass

manufacture. Gold-coated waveguide SPR sensors is fabricated and used to
monitor the attachment of biotin-avidin layers to the surface of the sensors in
the aqueous environment. Subsequently the gold films of the sensors were
chemically modified, and when used in conjunction with appropriate
antibodies, enable the detection of the pesticide simazine. Utilizing the gold
film as an electrode to allow the possibility of performing electrochemical
experiments also remains to be investigated and is a potential advantage over
other, dielectric based, integrated optical biosensors.

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exchanged glass waveguides for C-band applications, Applied optics, 41
(36), 2002, 7620-7626.
In: Systems Engineering ISBN: 978-1-63485-752-9
Editor: Marlene Hopkins © 2017 Nova Science Publishers, Inc.

Chapter 4

SILVER NANO PARTICLE ION-EXCHANGED

GLASS WAVEGUIDE TECHNOLOGY

I. S. Amiri, M. M. Ariannejad and H. Ahmad

Photonics Research Centre, University of Malaya,
Kuala Lumpur, Malaysia

ABSTRACT
Ion exchange in glass and key developments in the first years of
research are briefly described. Ion exchange in glass is a well-established
method for fabrication of passive and active integrated photonic devices.
An overview of fabrication, characterization and modeling of waveguides
is given and the most important waveguide devices and their applications
are discussed. Ion exchanged waveguide technology has served as an
available platform for studies of general waveguide properties, integrated
optics structures and devices, as well as applications. It is also a
commercial fabrication technology for both passive and active waveguide
components.
The generation of nano sized metal particles in amorphous matrix,
the changes of the optical properties and the intensity of the reflective
index were analyzed based on Surface Plasmon Resonance (SPR).
Surface plasmons, particularly localized surface plasmons in the case of
metal nanoparticles, explain the properties from the viewpoint of physical
phenomenon and present the changes of the electromagnetic field due to
the presence of metal particles.
52 I. S. Amiri, M. M. Ariannejad and H. Ahmad

Keywords: ion-exchange, Nano particle, optical sensors, propagation loss,

refractive index, optical waveguide, glass

1. INTRODUCTION
In recent years, plasmonics as a subfield of nano photonics has appeared
and developed rapidly. It primarily focuses on the plasmon coupling effects
within close proximity along metal nanostructures and on the manipulation of
light at the nano scale based on the properties of propagating and localized
surface plasmons [1, 2]. Two promising applications for plasmonics include
[3]:

 plasmonic waveguides to guide electromagnetic energy below the

diffraction limit along for example continuous metal strips or the
chains of closely spaced metal nanoparticles
 plasmonic sensors to realize various types of sensing schemes based
on surface plasmon resonances, such as refractive index plasmon
sensing [4], surface enhanced Raman spectroscopy (SERS), and metal
enhanced fluorescence [5].

Plasmonic biosensing deals with a broad range of applicability of using

surface plasmon waves. The simplest and most popular biosensing application
is refractive-index plasmon sensing, which has been widely used to monitor
the analyte-surface binding interactions. It utilizes the evanescent field of a
special mode of an electromagnetic field-the surface plasmon to measure the
change of refractive index that occurs in response to the analyte binding at or
near a metal surface [6].
Propagating and localized surface plasmon resonances (SPR) are both
utilized in this application the propagating SPR at flat metal/dielectric
boundaries with metal strips and nanowires, and the localized SPR around
metal nanoparticle structures [7-10]. Another important application, which is
utilized as the characterization method in this work, is the surface enhanced
Raman scattering (SERS) [10-12]. Both periodic and random metal
nanostructures are fabricated to enhance local electromagnetic fields near the
surface of the structures and to obtain an intense Raman signal. In addition, the
mechanism in surface enhanced fluorescence is analogous to that in SERS, by
utilizing the enhanced local electromagnetic fields near the surface of the
nanoparticle to increase the final quantum yield [13].
 Silver Nano Particle Ion-Exchanged Glass Waveguide Technology 53

2. MOLTEN SALT ION EXCHANGE

Glass is an interesting substrate material for integrated optics because of
its relatively low cost, excellent transparency, and high threshold to optical
damage. Considering the sensor applications, glass is also a relatively inert
material to the bio-molecules. Ion exchange is a well-known technique
proposed and developed since 1970s, to modify the electrical and optical
properties of glass and to fabricate integrated optical devices such as
waveguides. In the ion exchange process, some of the ions in the glass matrix
(usually Na+) are replaced by the ions of the same valence from the
surrounding medium. Consequently, this replacement can change the
refractive index of the host material.

Figure 1. Step-by-step procedure for the channel waveguide fabrication by ion

exchange [14].
54 I. S. Amiri, M. M. Ariannejad and H. Ahmad

The process to fabricate a channel optical waveguide in a planar substrate

by ion exchange is shown schematically in Figure 1. After cleaning, an
aluminum layer is deposited on the substrate and patterned with
photolithography as the mask. Dielectric masks (usually a thermally oxidized
metal film) can also be used when fabricating passive waveguides. The whole
substrate is immersed into molten salt containing the ions to be introduced in
the glass, in a temperature controlled furnace. After removing the residual salt
and the mask, a bare glass surface with an ion-exchanged channel has been
formed. Molten salt ion exchange is a purely thermal process. There is a
difference of the concentrations of the two exchanged ions between the glass
and the salt melt, and the mobility of ions in glass increases at an elevated
temperature. This drives a balanced diffusion replacing the original ions in the
glass by the ions from the melt. The change in glass composition locally
increases the refractive index of substrate glass. Besides the material, the
temperature and duration of the ion exchange are also important factors to
influence the resulting sample. Diffuse nature of the process results in very
smooth index profiles and extremely low-loss waveguides.
A convenient approach in ion exchange is to use a crucible furnace with a
vertical chamber shown in Figure 2. A substrate holder is employed to control
the insertion and removal of the substrate from the exchange bath while it
reaches the desired temperature. For most purposes the furnace should be able
to maintain and control the temperature with a range from 100 to 600°C,
through utilizing the insulated cover and thermometers. The optional stirring
bar is to make the melt more homogeneous.
Molten salt ion exchange is a purely thermal process. There is a difference
of the concentrations of the two exchanged ions between the glass and the salt
melt, and the mobility of ions in glass increases at an elevated temperature.
This drives a balanced diffusion replacing the original ions in the glass by the
ions from the melt. The change in glass composition locally increases the
refractive index of substrate glass. There are several types of widely available
glass substrates for ion exchange. The first and foremost one is the common
microscope slide with high sodium content which can be easily replaced by
ion exchange. For higher quality waveguides, some of the most commonly
used glasses are borosilicates from Schott (BK7) and Corning (2947) because
of the high sodium and potassium content and also the optical standard
smoothness and flatness. Besides the material, the temperature and duration of
the ion exchange are also important factors to influence the resulting sample.
The typical multi-component glasses have a softening point near 700°C, and
an annealing point in the vicinity of 550°C.
 Silver Nano Particle Ion-Exchanged Glass Waveguide Technology 55

Figure 2. Furnace and an ion exchange apparatus cross section [14].

Based on the experience, the most reliable process temperatures are found
at about 40 to 60°C above the melting point of the salt, to ensure high mobility
of ions in the melt while avoiding problems associated with high temperatures.
At the same time, it should be less than the temperature of salt decomposition.
The duration is another factor influencing the refractive index change. The
longer the duration is, the deeper the diffusion can reach. For fabricating a
suitable waveguide, we should combine these two factors to make a balance.
In the fabrication of optical channel waveguides, Ag+-Na+ ion exchange with
a photolithographically patterned mask is a well-established process. When a
conductive mask such as Al is used, one drawback is the optical absorption
and scattering losses due to the deposited metallic Ag introduced during the
ion exchange process. The initial idea to generate Ag nanoparticles in glass
substrates stems from this observation. This technique with intentionally
enhancing the formation of Ag nanoparticles is named as a masked ion
exchange. When a conductive mask such as Al is used, one drawback is the
optical absorption and scattering losses due to the deposited metallic Ag
56 I. S. Amiri, M. M. Ariannejad and H. Ahmad

introduced during the ion exchange process. The initial idea to generate Ag
nanoparticles in glass substrates stems from this observation. This technique
with intentionally enhancing the formation of Ag nanoparticles is named as a
masked ion exchange.
The masked ion exchange is ion exchange with a mask patterned
photolithographically. The substrate used in this method is Corning 2947
glass. The masked ion exchange in silver-sodium salt melt is a well-
established technique to fabricate optical waveguides [15, 16]. The diffuse
nature of the process results in very smooth index profiles and extremely low-
loss waveguides. However, metallic silver deposition at the edges of metallic
masks is observed due to the existence of an Al mask [17]. The absorption and
scattering losses of metallic silver could be avoided by gently etching the glass
to remove the particles or by using nonmetallic masks such as aluminum
oxide, silicon dioxide or silicon nitride [18], when making high-quality
waveguides [19]. In this work, silver deposition in waveguide fabrication is
used as an advantage, and it is used to fabricate Ag nanoparticles by
intentionally enhancing the particle generation.
As shown in Figure 3, a standard photolithography process is applied to
make the mask pattern. The masked glass wafers are immersed in the molten
salt for 30min. For the characterization, Al mask is removed by phosphoric
acid (H3PO4), and different thicknesses of glass layers are etched to expose
the particles.
The standard photolithography process is shown schematically in Figure
3. by steps 1 and 2. Firstly, a 100-nm-thick Al film is deposited on the pre
cleaned Corning 2947 glass by an electron beam evaporator. Next, the sample
is baked at 120°C for 10 min to drive off the moisture and then primed in the
adhesion promoter chemical hexamethyldisilazane (HDMS) to improve the
adhesion of the photoresist to the wafer.
Secondly, a negative photoresist is coated by a spinner, with the speed of
6000 rpm for 20 s to produce a photoresist layer with a thickness of around 0.6
µm. A soft baking process at 90°C for 20 min is applied to drive off the excess
photoresist solvent.
Thirdly, the sample is exposed under a UV light source through a
prefabricated photomask for 30 s, to make the exposed photoresist soluble in
the developer. After the sample is developed for 50s in the developer, a hard
baking at 120°C for 10 min is done.
The exposure process is done by the mask aligner, and the baking process
is done in an oven. By optical photolithography, different patterns have been
done on the Al film.
 Silver Nano Particle Ion-Exchanged Glass Waveguide Technology 57

Figure 3. Masked ion exchange process to fabricate Ag nanoparticle pattern [20].

3. USING THE TWO-STEP METHOD IN ION EXCHANGE

In the two-step ion exchange, a Ag+-Na+ ion exchange described is
utilized to exchange Ag+ ions into the Corning 2947 glass. After that, a 100-
nm-thick Al film can be evaporated on ion-exchanged glass by using an
electron beam evaporator method. Sample is dipped into a pure potassium salt
(KNO3) at 400°C for 2 hours to promote the formation of Ag nanoparticles.
The effects of Al film and KNO3 salt in the formation of particles can be
study.

4. SETUP
The samples with very small features down to a micrometer and
nanometer size are difficult to measure with a standard commercial
58 I. S. Amiri, M. M. Ariannejad and H. Ahmad

spectrometer such as Perkin Elmer Lambda 950. Extraction of the influence by

the small features from the large background imposes severe requirements on
the instruments. Particularly, it is important to locate the position of the
features. Therefore, a setup combining a microscope and a UV - VIS
spectrometer is built to measure the absorption/transmission of Ag
nanoparticle patterns with the diameter of 10 µm.

5. AG NANOPARTICLE SUBSTRATES FABRICATED

BY TWO-STEP ION EXCHANGE

After the Ag+ ion exchange for 6h at 300°C, if the sample is just annealed
in the air for 2h at 400°C, the annealing will change the Ag+ concentration
profile by lowering the peak of the Ag+ concentration and driving the whole
profile deeper into the glass. However, the situation is different and more
complicated in the two-step ion exchange method. The optical spectra reveal
the important functions of both Al layer and the KNO3 salt in the subsequent
process, and also give insight to the formation mechanism behind these two
contributors. The Al film has an essential role during the galvanic replacement
reaction, in which the Ag+ ions are reduced into metallic Ag. In recent years,
plasmonics as a subfield of nanophotonics has appeared and developed
rapidly. It primarily focuses on the plasmon coupling effects within close
proximity along metal nanostructures and on the influence of light at the
nanoscale based on the properties of propagating and localized surface
plasmons [1, 2]. Two promising applications for plasmonics include [21]: i)
plasmonic waveguides to guide electromagnetic energy below the diffraction
limit along for example continuous metal strips or the chains of closely spaced
metal nanoparticles, and ii) plasmonic sensors to realize various types of
sensing schemes based on surface plasmon resonances, such as refractiveindex
plasmon sensing [4], surface enhanced Raman spectroscopy (SERS) [5], and
metal enhanced fluorescence [22]. In the biosensing field of metal
nanoparticles, one of the most important applications is SERS, because it
significantly increases the practicability of many detection techniques by
greatly enhancing the detected signal [23-26].
 Silver Nano Particle Ion-Exchanged Glass Waveguide Technology 59

CONCLUSION
Formation of the silver nanoparticles in waveguide fabrication with a
masked ion exchange has been observed as a problem because it can increase
attenuation in the waveguides. Here, the silver deposition is taken as an
advantage, and it is used to fabricate Ag nanoparticles by intentionally
enhancing the particle generation. The properties of these particles are studied
and the formation mechanism of electrolytic deposition is discussed. Since the
silver particles are only deposited at the edge of the mask, this method
provides a way to make silver nanoparticle patterns. Ag+ ions are introduced
into glass in an Ag+ as ion exchange, and can be reduced into the metallic
silver in a subsequent K+ ion exchange. Compared to silver particles formed
by the masked ion exchange, the particles formed by the two-step ion
exchange are over a large areas under Al film need to use high magnification.
Moreover, the presented method could also enable the patterning of areas with
the particles when applying a photolithographic mask in either the first step of
Ag+ ion exchange or the second step of K+ ion exchange process.
Ag nanoparticles embedded in glass can be prepared by a two-step method
in with using the ion exchange Process. The particles can be formed by
initialized the galvanic that can be replace by the reaction and the further
enhanced by using the electrolytic deposition method. The mechanism is
distinguishable from the metal particle formation [27, 28]. Potential
differences between the mask, glass and the salt melt within distances can be
in the micron range. The results demonstrate the formation of the particles and
their SERS application.

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[22] J. R. Lakowicz, “Plasmonics in biology and plasmon-controlled
fluorescence,” Plasmonics, vol. 1, pp. 5-33, 2006.
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et al., “In situ fabrication of waveguide-compatible glass-embedded
silver nanoparticle patterns by masked ion-exchange process,” Journal
of Non-Crystalline Solids, vol. 355, pp. 2224-2227, 2009.
[28] Y. Chen, J. J. Jaakola, A. Säynätjoki, A. Tervonen, and S. Honkanen,
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In: Systems Engineering ISBN: 978-1-63485-752-9
Editor: Marlene Hopkins © 2017 Nova Science Publishers, Inc.

Chapter 5

SYSML: THE DIALECT FOR MODEL-BASED

SYSTEMS ENGINEERING

Ana Luísa Ramos* and José Vasconcelos Ferreira†

DEGEIT - Department of Economics, Management,
Industrial Engineering and Tourism,
GOVCOPP Research Unit, University of Aveiro, Aveiro, Portugal
Campo de Santiago, Aveiro, Portugal

ABSTRACT
A successful Model-Based Systems Engineering (MBSE)
environment aims to construct a model of a system that can be
transformed into the “real thing” through a given MBSE methodology.
Modelling is critical to achieve the overall “maximum” performance of
the system through a cooperative, integrative, adaptable and interoperable
environment. So, the main artifact of a MBSE methodology is the System
Model.
Model the system (or Design the system) is a central piece of the
Systems Engineering’ process and results in a complete low-level
description of the system-of-interest that will guide the successful
development and deployment of that system. This success is measured by
the fulfilment of the stakeholders’ expectations and, consequently, by
their satisfaction.

*
Corresponding author e-mail: [email protected].
†
E-mail: [email protected].
64 Ana Luísa Ramos and José Vasconcelos Ferreira

The effective utilization of graphical modelling languages able to

support collaborative development environments and successful
stakeholders’ communication and interactions constitutes a major issue
when developing the System Model. SysML (Systems Modeling
Language) is a UML profile or dialect for Systems Engineering and is
currently the state-of-the-art modeling language for MBSE enhancing the
development of successful systems in collaborative environments.
The chapter highlights the major advantages of using graphical
modelling languages in a MBSE context and describes the main features
of SysML, the modeling language that the authors believe to be “the
dialect” for MBSE. This description is illustrated with original SysML
diagrams related to the human body (probably, one of the most complex
systems in our world).

Keywords: collaborative development, MBSE, system model, SysML,

systems engineering

INTRODUCTION
Systems Engineering (SE) aims to tackle the complex and
interdisciplinary whole of socio-technical systems made of other systems,
personnel, hardware, software, information, processes, and facilities, thereby
providing the means to enable their successful realization. As stated in the
Systems Engineering Body of Knowledge (BKCASE Editorial Board, 2016),
“Systems Engineering focuses on ensuring the pieces work together to achieve
the objectives of the whole”. An integrated holistic approach is crucial to
develop these modern systems and take proper account of their multifaceted
nature and numerous interrelationships. As the system’s complexity and extent
grow, the number of parties involved (i.e., stakeholders and shareholders)
usually also raises, thereby bringing a considerable amount of points of view,
skills, responsibilities, and interests to the interaction. In addition, several
challenges must be addressed: join both technological and social perspectives,
include customized services with complex human-centred aspects (Tien,
2008), incorporating an extensive set of “ ilities” like flexibility, sustainability,
real time capability, adaptability, expandability, reliability, usability, and
delivery of value to society (Rhodes, 2008).
Modelling these systems is critical to achieve their overall “maximum”
performance through cooperative, integrative, adaptable and interoperable
environments. Model-Based Systems Engineering (MBSE) can be described
 SysML 65

as the formalized application of modelling principles, methods, languages and

tools to the entire life cycle of large, complex, interdisciplinary, socio-
technical systems. MBSE approaches have the potential to vastly improve the
systems engineering of modern, complex systems using digital models to
describe and represent all aspects of a system (Bjorkman et al., 2013). This
model-centric approach, which main artefact is a coherent model of the system
being developed, contrasts with the traditional document-based one
(Friedenthal et al., 2008).
The major potential advantages of this emergent paradigm include, for
instance, enhanced communications, shared understanding and knowledge
capture, improved design precision and integrity, better development
traceability, and reduced development risks. In the next decade, it is expected
that MBSE will play an increasing role in the practice of Systems Engineering
and will extend its application domains beyond hardware and software
systems, including social, economic, environmental, and human performance
dimensions.
The Systems Modeling Language (SysML) is a UML profile devoted to
Systems Engineering. This graphical language for modeling systems, which
supports the specification, analysis, design, and verification of complex
systems, is considered as the next de facto modeling language for SE and
MBSE (Ramos et al., 2013). The transition from a document-based paradigm
to a model-based paradigm is incremental and evolves as the methods and
tools mature increasing the promise of MBSE (BKCASE Editorial Board,
2016). As in other fields of knowledge (e.g., software development), this
modeling language needs to become a standard regarding the widespread
adoption of MBSE within organizations. This standardization is crucial to
advance the field and to establish benchmark practices across different
domains.
This chapter highlights some modeling fundamentals and the major
advantages of using graphical modelling languages in a MBSE context. It also
describes the main features of SysML, the modeling language that the authors
believe to be “the dialect” for MBSE, using original SysML diagrams.

MODELING FUDAMENTALS
Modelling is a typical task of the scientific activity. The generated models
are undoubtedly a main instrument of modern science. A model (the term
“model” derives from the Latin word modulus, which means measure, rule,
66 Ana Luísa Ramos and José Vasconcelos Ferreira

pattern, example to be followed (Ludewig, 2003)) is a representation of a

selected part of the world (with actual existence or projected) which
constitutes the domain-of-interest. That representation is an abstract view of
the thing being modelled in order to capture the important aspects, from a
certain point of view, simplifying or omitting the irrelevant features
(Rumbaugh et al., 1999). Ludewig (2003) describes three criteria that a model
must meet to be elected as a model: mapping criterion (there is an original
object or phenomenon that is mapped to the model), reduction criterion (not all
the properties of the original are mapped onto the model and this one must
mirror at least some properties of the original), and pragmatic criterion (the
model is useful that is, it can replace the original for some purpose).
According to Rumbaugh and colleagues (1999), the models are important
to: i) capture and state requirements and domain knowledge so that all
stakeholders may understand them; ii) think about the design of a system; iii)
produce usable work products; iv) organize, find, examine, filter, manipulate,
and edit information about large systems; v) explore several solutions
operationally, economically, and environmentally; and vi) master complex
systems. Sussman (2000) adds the importance of using models to gain insight
into complex systems, to do experimentation (in a considerable number of
cases is impractical, due to cost, technical or other constraints, to experiment
on the real systems and to get direct measurements), to operate systems in real-
time (real-time modelling), and to negotiate, with conflicting parties, how the
system will be deployed. He synthesizes the models’ functions as following:
“we model to understand, we model to explain, we model to predict, and we
model to improve”. Buede (2009) states that the main purpose of a model is to
answer a set of questions that we could not answer without it and, additionally,
to understand why the answers are what they are that is, to gain insight into
how the world functions.
The underlying shared idea is to comprehend the reality in analysis
through some kind of simplification depending on the purposes of the study
and the model. According to the Stanford Encyclopaedia of Philosophy, the
models are vehicles to explore, to understand, and to learn about the world,
being this cognitive function the basis of the so-called ‘model-based
reasoning’. Learning occurs with denotation (defining a representation relation
between the model and the target), demonstration (investigating the
characteristics of the model in order to demonstrate theoretical conjectures),
and interpretation (converting the findings into claims about the target system)
(Hughes, 1997). These activities require a deep analysis of the system to be
modelled enhancing its understanding.
 SysML 67

The modeller tends to shape his view of the system according to his
favourite(s) modelling approach(es) like, for example, simulation, network
analysis, system dynamics, control theory, cost/benefit analysis. The “art” of
choosing the best approach and representing the model adequately, in order to
answer to the target questions, constitutes the major characteristic of a good
modeller. Frequently, those decisions are closely related with time and budget
constraints, and the availability of data. The creation of a good model involves
the definition of the questions the model should be able to answer, the
development of the model, the verification, the refinement, the validation, and
the corresponding evaluation. The expertise on the selected approach(es) is
crucial to develop the model adequately and to verify it (ensuring that the
model was developed correctly). The validation of the model guarantees that
the right model has been built. This validation can have several dimensions
namely, the conceptual validity which addresses the structure of the model and
the assumptions made, the operational validity which looks into the behaviour
of the model’s outputs ensuring a valid representation of the real target system,
and the data validity that addresses whether the appropriate inputs
(individuals, observations, statistical distributions, etc.) were used in building,
testing, and using the model (Law, 2014; Buede, 2009).
The success of the model is then measured by their users in different ways
and according to their perspective/expectations of/on the model purpose.
Criteria such as reliability, completeness, accuracy, power to convince, ease of
use, compatibility, run time, and extendibility are of frequent utilization.
According to Karcanias (2004) modelling is “the common basis to human
activities and thus its development is also a measure of our ability to
understand nature, society, and related issues.”
There are several model taxonomies provided by philosophers, biologists,
mathematicians, engineers, economists, software developers, etc. Their model-
types are usually related with the nature of the systems under study and with
the questions to answer. The general classification proposed by the Stanford
Encyclopedia of Philosophy includes a categorization in terms of what they
represent. Models can represent phenomena, data, and theory. The first
category includes scale models which are materialized into physical objects
(down-sized or enlarged copies of the target systems; naturalistic replicas such
as model bridges, or wind tunnels), idealized models which are represented by
fictional objects (representations made through the isolation of some
remarkable characteristics of a system and their distortion into an extreme
case, such as the infinite velocities, isolated systems, the planetary system
mechanic’ model, or markets in perfect equilibrium), analogical models which
68 Ana Luísa Ramos and José Vasconcelos Ferreira

are usually represented by descriptions (representations which recur to similar

systems, based on similar structure or properties, such as the billiard model of
a gas, or the computer model of the mind), and phenomenological models
(representations that reflect only the observable properties of their targets,
such as the liquid drop model of the atomic nucleus). The data models usually
entail the reduction of data and curve fitting, requiring sophisticated statistical
techniques (e.g., the model of a trajectory of a planet). The models
representing theory are structures that make all sentences of a theory true (for
example, the finite state machine model representing the theory of finite state
machines).
A simpler taxonomy is presented by Whitten and colleagues (2004),
within the Systems Analysis and Design area, and includes the distinction
between physical and logical models. The first category also known as
implementation or technical models depicts what the system does and how the
system is physically implemented. The logical models also known as essential,
conceptual or business models are pictorial representations of what a system is
or does.
Sommerville (2010) presents several model classifications in his book
Software Engineering. He considers three types of models for describing the
software process namely, workflow models, dataflow or activity models, and
role/action models, which are based on three general development models: the
waterfall, the iterative incremental or evolutionary, and the component-based.
When describing the systems’ models developed during the requirements
engineering process, the author enumerates four major types of models
regarding the representation of the system from different perspectives namely:

i. the external perspective which leads to context models that describe

the context, the boundaries, and the environment of the system to be
modelled;
ii. the behavioural perspective that is represented by behavioural models
that describe the actions of the system;
iii. the structural perspective that is illustrated by data models which
express the architecture of the system and the logical form/structure of
the data to be processed;
iv. the object-oriented perspective, that combines behavioural and
structural modelling and is represented by object models that reflect
the real world entities that are manipulated by the system.
 SysML 69

The explanation of the architecture of the system also includes a

categorization of models: static structural models, dynamic process models,
interface models, relationship models, and distribution models, as well as the
organization of the system: repository models, client-server models, and
layered models. In the requirements engineering tasks and design of user
interfaces the author suggests the utilization of prototype models that can be
throw-away prototypes (for example, paper prototypes, storyboards, ‘wizard of
Oz’ prototypes) or evolutionary prototypes.
Sánchez and colleagues (2009), studying the area of information systems,
propose a main division consisting of models as originals (a reality serving as
example) and models as copies (a representation of a domain according to a
specific point of view). The former category includes the metamodels
(“models as originals to describe the models as copies”), the architectural
styles (“abstractions of types of elements and formal aspects from different
specific architectures”), the patterns (“descriptions of communicating objects
and classes that are customized to solve a general design problem in a
particular context”), and the process models (“abstract representations of a
process from some particular perspective”), whereas the latter category
embraces the schemas (“abstract and organized representations of a domain”),
diagrams (“abstract and organized graphic representations of a domain” or
graphical schemas), ontologies (“explicit specifications of a conceptualization”
that is, the process of creating a concept of something), and architectures (“the
fundamental organization of a system embodied in its components, their
relationships to each other and to the environment, and the principles guiding
its design and evolution”).
As obvious, the presented taxonomies, as well as a considerable additional
number not mentioned in this chapter, are diverse and are intimately related
with the reality to represent. It is also common to found different names
meaning the same type of abstraction.

MODELING IN MBSE
Model-Based Systems Engineering (MBSE) can be formally stated as “the
formalized application of modelling to support systems requirements, design,
analysis, verification, and validation activities beginning in the conceptual
design phase and continuing throughout development and later life cycle
stages” (BKCASE Editorial Board, 2016).
70 Ana Luísa Ramos and José Vasconcelos Ferreira

The main principle underlying this approach relies on the creation of a

coherent model of the system being developed. This model centric approach is
expected to replace, in the next years, the traditional document centric
approach that is based on documents written in text.
Modelling in Systems Engineering/MBSE means primarily to create a
shared vision among the system’s stakeholders, to specify, describe,
communicate, and test that shared vision, to estimate or predict some
quantitative measure of the system, and to select design options (Buede, 2009;
Van Daalen et al., 2009). As Buede (2009) also states “In fact, models are so
pervasive in the engineering of systems that engineers must always remind
themselves not to confuse reality with the models of reality that are being
created, tested, and used.” The referred author proposes a classification, more
related with the field of SE, involving a high-level classification based on four
major categories namely, physical, quantitative, qualitative, and mental
models.
The physical or scale models are three-dimensional representations of the
target system and can be of type: full-scale mock-up (used to enable the
visualization of the physical placement of elements of the system, or to match
the interfaces between systems and components), subscale mock-up (used to
examine a certain issue), electronic mock-up (used to test complex
arrangements of electronic components), and breadboard (a board to build and
test electronic or mechanical prototypes).
The quantitative or mathematical models endow with numerical answers
and are subdivided in analytic, simulation, and judgemental models. These
subcategories can be further divided into deterministic/stochastic,
discrete/continuous, and static/dynamic. The analytic models are based on a
set of equations that can be solved to find a set of solutions, the simulation
models are used when the analytical methods are not realistic and there is a
need to test complex operational scenarios, and the judgemental models
provide representations based on opinions of experts, which are particular
useful when there is lack of information or as support for subsequent
modelling activities.
The qualitative models make available symbolic, textual or graphical
answers. The symbolic models are based on logic or set theory. The textual
models provide verbal descriptions. The graphical models, also referred as
visual models, use elements of mathematical graph theory or simply artistic
graphics to represent structure, flow, behaviour, etc.
The mental models, which can be considered as the basis of all the other
types of models, are individualized mental representations of the problem and
 SysML 71

the solutions. Prior to the development of physical, quantitative, and

qualitative models every engineer or modeller has his own mental model that
needs to be “translated” into unambiguous representations that can be clearly
shared and discussed with other parties.
The present chapter emphasizes the modelling approach as a means to
objectively create, specify, describe, communicate, and test a shared vision
among the stakeholders of the system. In that sense, the category of qualitative
models will be the elected group. In this group, the graphical models have
always had a particular role in the MBSE field. The pictorial representation
and the amount of information that it can handle, as well as the facility to be
stored in our memory, is frequently illustrated by the aphorism “A picture is
worth a thousand words”. It means that long complex verbal descriptions
(processed by the left brain) can be synthesized in a visual representation
(processed by the right brain) that is most effectively in the communication
and understanding of the verbal message. This kind of representation enables
communications and displays information at different levels of abstraction,
helping to manage complexity. As Peter Senge (1990) states “If we want to see
system wide, we need a language of interrelationships [R-mode]”. The
“ultimate” performance can be achieved with the inter-play between the left
and the right brain or the whole-brain thinking, which allows mixing science
and art, premises and creativity, words and pictures.
The modelling techniques used in the field of SE/MBSE, to develop
systems (modelling concepts, properties, attributes, structure, behaviour,
entities, interactions, relations, etc.), have always been predominantly
qualitative and based on a graphical or pictorial representation. These
techniques require a corresponding describing language (graphical modelling
language or visual modelling language), used to represent reality, that involves
semantics (set of symbols or signs which form the basis of representations)
and syntax (the proper ways of combining the symbols and signs to form
thoughts and concepts).
The first representations, with Functional Flow Block Diagrams (FFBD)
for ballistic missile development, date back to the 1950s and have been a
classical modelling approach within the SE community for long decades. In
1975, J. Long had extended these diagrams, adding an input/output element,
and creating a behaviour diagram that depicted the sequential relationship of
the functions (blocks) performed by the system with a “control” flow (Oliver
et al., 2009). By the time it was also published a methodology, the Structured
Analysis and Design Technique (SADT™), borrowed from the work of Long,
which described a system as a hierarchy of functions (Ross, 1977). This
72 Ana Luísa Ramos and José Vasconcelos Ferreira

technique, developed by software engineers at IBM (Oliver et al., 2009), used

a top-down decomposition approach but did not represent the interactions
between the parts and the emergent properties of the whole.
In the 1990s the NIST launched the IDEF0 (Integration DEFinition for
Functional Modeling), a part of the IDEF suite of modelling tools derived
from the SADT. This graphical language is mainly devoted to the
representation of activities or processes illustrating the functional perspective
of the system, as well as the data flow and the system control. The enhanced
FFBD and the IDEF0 have been the main modelling languages used in SE in
the last decades. Other tools include, for example, the N-Squared Charts,
State-Transition Diagrams, and Petri Nets.
The modern object-oriented practices, with its roots in Software
Engineering, are now pervasive in the Systems Engineering/MBSE field.
Oliver and colleagues (2009) trace the origin of the object-oriented paradigm
back to the 1970s, with the development of abstract data types and the
introduction of classes to programming languages, like Simula67, in order to
provide procedure, data, and control abstractions. In the 1990s these principles
have been extended to the analysis and design of software, through the Booch
method, the Object Modelling Technique (OMT) (Rumbaugh et al., 1991) and
then through the de facto Unified Modeling Language (UML) (Booch et al.,
1999). The gurus Booch, Jacobson, and Rumbaugh, are the main authors of
this universal graphical modelling language for software development that is
now under the responsibility of the Object Management Group (OMG). The
characteristics of the software systems are different from those of the systems
of SE (that may also include software components) and consequently, the
UML lacks support from aspects like the whole/part decomposition, the
interconnections provided by physical things (and not by compilers), or the
trade studies. In order to incorporate these and other features, the OMG and
the INCOSE have joined efforts and developed an extension of UML for
Systems Engineering, the Systems Modeling Language (SysML) (Friedenthal
et al., 2008), that has been released in 2007. The OMG SysML Version 1.4
specification has been formally released in 2015. According to Oliver et al.
(2009) SysML has its limitations but has extended some concepts in “useful
ways beyond historic systems engineering practice.”
The Object-Process Methodology (OPM), founded by Dov Dori in 2002,
and the corresponding graphical and textual representations, OPDs and OPL,
enlarge the domain of object-oriented modelling tools for SE. According to its
author, OPM “is a comprehensive novel approach to systems engineering.
Integrating function, structure and behaviour in a single, unifying model, OPM
 SysML 73

significantly extends the system modelling capabilities of current object-

oriented methods” (Dori, 2002). In fact, SysML and OPDs/OPL constitute the
current state-of-the-art systems modelling languages. Being SysML a more
“institutionalized/standardized” language with the support of the OMG and the
INCOSE, and the OPDs/OPL a more intuitive simpler language with less
training effort, it seems interesting to combine the advantages of both
languages creating synergies between them (Grobshtein and Dori, 2009). This
integration can strongly contribute to a common understanding of the system
and to improved communications between different stakeholders, as well as to
a proficient Systems Engineering collaborative development environment
(Gomes et al., 2011).
Due to its support by OMG/INCOSE, availability in commercial tools,
and widespread adoption in industrial and defense sectors, the authors believe
that SysML will be the elected graphical language for MBSE. In fact, as
described by Durugbo (2013), “evidence exists to suggest that research
involving the use of SysML has continued to increase over the years” showing
that “SysML research is relevant, timely, and flourishing.”

SYSML: THE DIALECT FOR MODEL-BASED

SYSTEMS ENGINEERING
As previously mentioned, the Object Management Group Systems
Modeling Language (OMG SysML™) is the UML profile or dialect for
Systems Engineering. This graphical modelling language supports the
analysis, specification, design, verification, and validation of complex systems
that may include hardware, software, data, personnel, procedures, facilities,
and other elements of man-made systems (Friedenthal et al., 2008). SysML
represents a subset of UML 2 with extensions to cope with the particularities
of systems modelling namely, the issues of requirements modelling,
interdisciplinarity, hierarchical decomposition, quantitative analysis, and trade
studies. According to David et al., (2010), this language provides a
comprehensive system specification paradigm and avoids the software
vocabulary of UML.
Moreover, SysML is having the same success in the field of Systems
Engineering as UML has in the software development industry.
The language results from conjoint efforts of OMG and INCOSE, through
the Systems Engineering Domain Special Interest Group, with a request for
74 Ana Luísa Ramos and José Vasconcelos Ferreira

proposal in 2003 containing the requirements for a systems modeling language

aligned with the AP233, in order to support tool interoperability (and
integration with other engineering models). The SysML Partners (tools
vendors, leading industry users, academia, professional organizations, and
government representatives) (OMG SysML, 2010) answered to this request
and submitted a first version, to the OMG, in 2005. The final version was
adopted by the OMG as OMG SysML™ in 2006, and the first official
specification (version 1.0) was released in 2007.
The current available specification (version 1.4) was releases in 2015 and
the modeling language is now implemented in several commercial tools such
as Artisan Studio (from Artisan Software) and Rhapsody (from
IBM/Telelogic), is described in diverse books and papers, and is offered in
sevral academic courses. Regardless this pervasive knowledge, the language is
still young claiming for a wide adoption and further real experiences.
The SysML metamodel (the abstract syntax that describes the language
concepts, characteristics, and interrelationships) is, like UML, described by the
OMG Meta Object Facility (MOF). The SysML model (or user model) is a
description of a system and its environment for a definite purpose and includes
model elements, which have a concrete syntax that must conform to the
language metamodel. In a profile, such as the case of SysML, some
metaclasses are replaced by stereotypes that create new or modified concepts.
The SysML modelling tools usually store the user model as structured
data in a model repository and the model enters and retrieves that information
by using the graphical representation (i.e., the diagrams). The SysML
diagrams, which reflect various aspects of a system, are nine and are organized
in four major blocks that are known as the four pillars of SysML and represent
four key modelling facets: the requirements of the system, the structure, the
behaviour, and the parametric relationships. These different views match
particular viewpoints (the stakeholders’ perspectives) and enable the holistic
approach required by Systems Engineering/MBSE.
SysML reduces UML size (both in the number of diagrams and in the
number of total constructs) and the related software bias, and adds two critical
diagrams for Systems Engineering activities, the requirements and the
parametric ones (Figure 1). These are essential to support requirements
engineering and performance analysis.
 SysML 75

SysML
Diagram

Structure Requirement Behaviour

Diagram Diagram Diagram

Block Internal Activity Sequence UseCase StateMachine

Package
Definition Block Diagram Diagram Diagram Diagram
Diagram
Diagram Diagram

Same as UML 2
Parametric Modified from UML 2
Diagram
New diagram type

Figure 1. SysML diagram taxonomy (adapted from OMG SysML, 2016).

The SysML basic unit of structure is the block that can represent
hardware, software, facilities, personnel, or other element of a system. The
structure of the system is described by Block Definition diagrams (bdd) and
Internal Block diagrams (ibd). The system’s model is organized through the
Package diagram (pkg). The Parametric diagram (par) depicts constraints on
property values such as performance, acceleration, reliability, and is
particularly useful to integrate the system’s specification and design models
with other engineering models. The behaviour of the system is described
through the Use Case diagram (uc) that depicts the system’s high-level
functionality, the Activity diagram (act) that represents the flow of data and
control between activities, the Sequence diagram (sd) that represents the
interaction between collaborating parts of a system, and the Sate Machine
diagram (smd) that describes the state transitions and actions that a system or
its parts perform in response to events.
The novel Requirements diagram (req) allows the hierarchical
representation of text-based requirements and the “satisfy” and “verify”
relationships enable the modeller to relate the requirement to a model element.
This diagram fills the gap between the typical requirements management tools
and the system model (OMG SysML, 2016).
The language also provides non-graphical representations in the forms of
tables, matrices, and trees. One of the most common tabular representations
are the allocation tables which are dynamically derived tables from the SysML
“allocation” relationships and can represent the allocation of functions to
components, logical to physical components, and software to hardware. Each
76 Ana Luísa Ramos and José Vasconcelos Ferreira

SysML diagram represents a model element and has a frame enclosing a

contents area (canvas) where the diagram is designed, and a left header that
provides the diagram context in the following manner: diagramKind
[modelElementType] modelElementName [diagramName]. For example, the
header bdd [Package] Structure [Structure Hierarchy] refers to a block
definition diagram called Structure Hierarchy that represents a package
element named Structure. Additionally, the diagram can have a textual
description attached to the frame detailing the version, status, and purpose of
the diagram.
The following paragraphs provide a brief description of each kind of
diagram and the most relevant associated features. The description is based on
some of the major literature references: Wilkiens (2007), Friedenthal et al.
(2008), and Friedenthal et al., (2009). The description is illustrated with
original SysML diagrams which are related to the human body system
(probably one of the world’s most complex systems but familiar to everyone)
and were developed in the tool Artisan Studio®.

Package Diagram (pkg)

The organization is essential to manage a SysML model, facilitating reuse

of model elements, easy access and navigability, configuration management,
and data exchange with other tools. This diagram (pkg) is used to organize the
model, being a model organized into a single hierarchical structure of
packages, similar to the folders’ arrangement in a Windows directory
structure. Each package, the fundamental unit of organization, contains a set of
model elements which are logically grouped packageable elements such as
blocks, use cases, activities, value types, and also packages (nested packages)
(Figure 2b). The criteria to organize the model are usually related with the
chosen methodology but the organization by system hierarchy, the
organization by diagram type, and the organization by working teams are
typical examples of arrangement principles. The package is also a namespace
for its members, defining a set of rules for their unique identification (each
element of a particular element type within the package must have a unique
name). The header for a package diagram is as follows: pkg [package type]
package name [diagram name]. The package type can be a model, a package, a
model library, a view or a profile. A model is a special kind of high level
package that contains a set of model elements that describe a domain of
interest (Figure 2a). A model library is a package that contains reusable model
 SysML 77

elements for a given domain (Figure 2c). A view is a type of package that
conforms to a viewpoint which, in turns, describes a perspective of interest to
a group of stakeholders that is used to specify a view of a model (Figure 2d).
A profile is a type of package to group a set of stereotypes (language extension
mechanisms) and supporting definitions that are related to the domain. The
viewpoint includes a collection of properties that identify the purpose for
taking the perspective, the stakeholders who have interest in the perspective,
the concerns that the stakeholders want to address, the languages used to
present the view, and the methods used to establish the view. The view
provides the model information that addresses the stakeholders concerns.
The Figure 2 depicts examples of pkg that represent some of the
mentioned aspects. The diagram a) shows the top level packages within the
model of the human body (organized by the major approaches used in anatomy
studies) including a package Value Types that uses the imported definitions of
units and dimensions from the reusable library package SI Definitions (from
the SysML profile). The diagram b) represents the Organ Systems package
with hierarchically nested packages for the Cardiovascular one. The diagram
c) details the Internal Organs package showing some of its elements (blocks)
that can be (re)used in the Organ Systems, Surface Anatomy, etc. The diagram
d) illustrates the Cardiac Contraction view conforms to the Cardiac
Mechanism Viewpoint which highlights the mechanical performance of the
heart. The view, especially important for the patient, the cardiologist, and the
medical technician, imports packages that contain elements related with the
cardiac mechanism.

Block Definition Diagram (bdd) and Internal Block Diagram

(ibd)

These diagrams are devoted to the representation of the system’s structure

in terms of its hierarchy and interconnections. The bdd is used to capture block
properties and relationships such as composition, association, specialization
and can represents a package, a model, a model library, a block or a constraint
block. The ibd is mainly used to define the internal structure of a block, how
its internal parts are connected and what flows between them, and always
represents a block.
The block is the fundamental SysML unit of structure (like the UML
class) that can abstract any level of the system hierarchy (the top level system,
a subsystem, logical or physical components). Blocks describe a system as a
78 Ana Luísa Ramos and José Vasconcelos Ferreira

collection of parts each playing a certain role in a defined context, and are a
description of a set of similar instances. The block possesses information about
its static structure, its behaviour (how the block responds to a stimuli), and its
constraints that can be described in a series of standard compartments labelled
by a proper heading like parts, references, values, operations, reception,
constraints. The name compartment is mandatory (with the optional keyword
“block”) and is at the top of the rectangle (Figure 3). The parts, references, and
values are the properties of the block which describe its structural aspects. The
part properties (also blocks) describe the hierarchical decomposition of an
enclosing block, defining the part in the context of its whole. The part is the
usage of a block in the context of a composing block (also known as role). The
reference properties describe weaker relationships than the composition one,
such as associations or aggregations, and represent a hierarchy that references
blocks that are part of other composition hierarchies or stored items. The value
properties, which are defined by value types, describe quantifiable physical,
performance, and other characteristics such as weight or volume.
The ibd represents the internal structure of a composite block that is
designated by the diagram frame in the block name, providing the context for
all the model elements on the diagram (Figure 4). The parts of the composite
block can be connected providing an interaction specified by the parts’
behaviour. The ports are used to connect the parts of a block and describe the
block’s points of interaction (on its boundary) that is, the block’s interface.
They can be standard ports (specify the types of services that a block requires
or provides) or flow ports (specify what can flow in and out of blocks). The
selection of the type of port to use is a methodological choice that is typically
related with how the behaviour is expressed. Usually, flow ports represent
continuous flows of physical entities or other continuous or discrete flows sent
from one process to another. The standard ports are more appropriate to
describe a system whose behaviour is represented by the invocation of services
(e.g., interfaces between software components). An item is used to represent
an entity that flows through a system. These entities (physical or information)
can be modelled as blocks, value types or signals. The items can be defined at
different levels of abstraction throughout the design process. An item flow
specifies the items that flow across a connector in a particular context. Item
flows on connectors between ports must be compatible with the port
definitions but may be more specific (e.g., a flow port may be typed fluid but,
the specific fluid for a given context may be typed blood).
 a) b)
pkg [Model] Human body [Top-level groups] pkg [Package] Organ Systems [Nested Packages]

Organ Systems Digestive Urinary Musculoskeletal

Surface Anatomy Cardiovascular

«modelLibrary» Constituents
Internal Organs
Immune
Cardiovascular::Structure Cardiovascular::Function

Value Types «modelLibrary» Endocrine

Nervous Reprodutive Repiratory
SysML::SI Definitions
«import»

c) d)
pkg [modelLibrary] Internal Organs [Human Organs] pkg [Package] Organ Systems [Cardiac Contraction Mechanism]

Cardiovascular::Structure
«block» «block»
«Viewpoint»
Heart Liver Cardiac Mechanism Viewpoint
{Abstract}
«block» «block» Surface Anatomy
Kidney Stomach «import»
«conform»

«block» «import»
«View»
Lungs Cardiovascular::Function::Cardiac Contraction Organ Systems

«import»

Figure 2. Examples of SysML package diagrams.

 bdd [block] Heart [Heart Structure]
1 1 «block»
«block»
Septum «block»
Heart sep
1 1 Aorta Artery
parts arta
arta : Aorta Artery 1 1
artp : Pulmonary Artery «block»
disch : Ventricles [2] artp Pulmonary Artery
reach : Atria [2] 1 3 «block»
«block»
sep : Septum Veins
vei Superior Vena Cava
val : Valves [4]
vei : Veins [3]
values «block»
1 4 «block»
aspect : colour Inferior Vena Cava
Valves
dailypumpvolume : l val
«interval»{min="200",max="425"}wheight : g «block»
Pulmonary
1 1

2 reach 2 disch
«block» «block» «block» «block» «block» «block»
Atria Ventricles Aortic Valve Mitral Valve Pulmonary Valve Tricuspid Valve

Figure 3. bdd for a portion of the composition hierarchy of a human heart (like an assembly relationship) showing some properties (parts
and values) of the heart block and some generalization relationships.
 ibd [block] Heart
ventinPrt : blood
«part»
disch : Ventricles
«part»
«ItemFlow»
vei : Superior Vena Cava
bl : blood

vei-reach
openv trvoutPrt : blood
«part» latrPrt openv trvPrt «part»
reach : Atria val : Tricuspid Valve

closev closev

Figure 4. ibd for a portion of the internal structure of the composite block Heart depicting an assembly connector vei reach, a standard
port latrPrt with a required interface openv and a provided interface closev, and an atomic flow port with an item flow named blood.
 a) b)
bdd [block] Heart [Heart Structure] par [block] Heart [ResistanceParametrics]
«block»
Heart
parts
arta : Aorta Artery sv : Stroke Volume
artp : Pulmonary Artery Heart.hr : Heart Rate hr : Heart Rate
BlockProperty1 : Pulmonary Valve Heart.sv : Stroke Volume
disch : Ventricles [2] Pd : mmHg
reach : Atria [2] Heart.Pd : mmHg
sep : Septum rc : Resistance
val : Pulmonary Valve
val : Tricuspid Valve
Heart.tpr : PRU
val : Valves [4] Heart.Ps : mmHg Ps : mmHg tpr : PRU
vei : Superior Vena Cava
values
aspect : colour
dailypumpvolume : l c)
hr : Heart Rate par [constraint] Resistance
Pd : mmHg
Ps : mmHg «constraint»
sv : Stroke Volume MeanArterialPressure Pd : mmHg Pd : mmHg
tpr : PRU constraints
«interval»{min="200",max="425"}wheight : g mapre : MeanArterialPressure
1 {map=Pd+1/3(Ps+Pd)}
mapre parameters constraints
map : mmHg {map=Pd+1/3(Ps+Pd)}
1 Pd : mmHg Ps : mmHg Ps : mmHg
1 rc Ps : mmHg map : mmHg
«constraint» 1
Resistance «constraint»
map : mmHg tpr : PRU
CardiacOutputEq
parameters
hr : Heart Rate constraints tpre : TotalPeripheralResistance
tpr : PRU
Pd : mmHg 1 {co=hr*sv} constraints
Ps : mmHg parameters {tpr=map/co}
cor
sv : Stroke Volume co : Cardiac Output co : Cardiac Output
tpr : PRU hr : Heart Rate
sv : Stroke Volume

«constraint»
«valueType» hr : Heart Rate co : Cardiac Output
TotalPeripheralResistance hr : Heart Rate
Stroke Volume
constraints cor : CardiacOutputEq
unit
l/beat 1 {tpr=map/co}
«valueType» constraints
parameters
Heart Rate tpre {co=hr*sv}
co : Cardiac Output
map : mmHg sv : Stroke Volume
unit
beat/min tpr : PRU sv : Stroke Volume

Figure 5. Parametrics modeling: a) bdd for the constraint block ‘Resistance’ that constraints the value properties of the block ‘Heart’ and
is defined by composition of other constraint blocks, b) par for the block ‘Heart’, c) par for the constraint block ‘Resistance.’
 SysML 83

Parametric Diagram (par)

The parametric diagram (a novelty of SysML) enables the modelling of

constraints on the physical and performance properties of the system providing
support for additional engineering analyses such as trade off studies and
sensitivity analysis. The par can represents a block (Figure 5 b) or a constraint
block (Figure 5 c). The constraint block is a special kind of reusable block that
has the keyword “constraint” and two main features: a set of parameters
(scalars, vectors or structured data types that may have units, dimensions,
probability distributions and are defined as follows: parameter name:
type[multiplicity]) and a mathematical or logical expression (that can be time
dependent) that constraints the parameters. The constraint block can be
defined using other constraint blocks through composition. The value
properties of a block can be constrained on a bdd by representing composite
associations between the block and the required constraint blocks (Figure 5 a).
The definition of a constraint block is represented on a bdd and its use on a
particular context, called constraint property, is depicted on a parametric
diagram. A constraint can also be represented in the constraints department of
a block or with an attached note to the block. The constraint language can be
formal (e.g., MATLAB or Java) or specified as part of the definition of the
constraint. The par shows how the constraint properties are connected and bind
to the value properties of the blocks. This diagram is a variant of the ibd that
restraints the elements of the diagram to be constraint blocks, their parameters
(bound to other parameters and properties of the blocks where they are used)
and the block properties that they bind to.
The trade off studies are common in the field of Systems Engineering and
are used to compare alternatives based on given criteria. A property that needs
to be evaluated in a trade study is represented by a measure of effectiveness
(moe) and a specialization of constraint block, defined as objective function
(cost or utility function), is used to define how the solutions will be evaluated.

Use Case Diagram (uc)

The use case diagram used in SysML is analogous to UML and is used to
describe the high level functionality of a system in terms of how its users
(called actors) use that system to achieve their goals. The uc is used to
describe the relationships between the system under consideration (the
subject), its actors, and use cases (the functionalities required by actors
84 Ana Luísa Ramos and José Vasconcelos Ferreira

described graphically and textually). The detailed scenarios are usually

described by means of other behavioural representations such as state
machines (when the interaction between the actors and the subject is
asynchronous), activities (when the scenario includes considerable control
logic, input/output flows, and/or algorithms that transform data) or interactions
(when a scenario is largely message based). The uc frame can represents a
package, a model or a model library. This diagram is dedicated to model the
system’s behaviour in terms of functional requirements.
The actors may represent humans, organizations, or other external systems
and are depicted either as a stick figure with the actor’s name underneath the
icon (Figure 6) or as a rectangle with the keyword “actor.” The use cases
describe the functionalities that a system must provide in order to accomplish
the actors’ goals. They are represented by ovals with the use case name inside.
The system under consideration is represented by a block. A use case can
represents several scenarios that correspond to the different paths the actors
can follow through the use case under different circumstances.
Besides the graphical representation, the use case should be accompanied
by a text based description captured by comments or SysML requirements.
The textual description typically includes the preconditions, the
postconditions, the primary flow, and the alternate/exception flows of the use
case.

Activity Diagram (act)

The SysML flow based behavioural modelling is accomplished through

activities. The act is similar to the traditional EFFBD (SysML alignment with
proven SE techniques), with additional features, and models the system
behaviour in terms of transformation of inputs into outputs (I/O) through a
controlled sequence of actions. The activities enhance the EFFBD providing
capabilities to establish relationships with the structural elements of the system
(e.g., blocks) and to model continuous flow behaviours. The activities are
based on token flow semantics related to Petri nets. The activities may have
multiple inputs and outputs called parameters. These can have types such as
value types or blocks (e.g., a structural entity flowing through an assembly
line), a direction (in or out, or both), and multiplicity that indicates how many
tokens can be consumed or produced by each execution of the activity (the
absence indicates multiplicity one).
 a) b)
uc [package]CardiovascularSurveillanceUseCases[High-level Functionality] uc [package]CardiovascularSurveillanceUseCases[Operational1]

Cardiovascular
Handle error
Cardiovascular «extend» message
Measure the
blood pressure
«include»
Wrapp the
nurse
patient inflable cuff
Monitor the cardiologist
«include»
heart function patient
Inflate the
cuff
«include»
Measure the
emergency nurse pressure Read display
services manually
cardiologist

Figure 6. Use case modelling: a) uc for a high level functionality (use case ‘Monitor the heart function’) of the Cardiovascular
Surveillance System and the actors that participate in it, b) uc for the operational use case ‘Measure the blood pressure’ that includes
three other use cases, is extended by the use case ‘Handle error message,’ and has a specialized use case ‘Measure the blood pressure
manually.’
 act BloodCirculationCycle

«continuous»
RunSuperiorVenaCava
upperoxygenpoor_blood

«continuous»
loweroxygenpoor_blood RunInferiorVenaCava

LungsOperat

Atria Ventricles

oxygenpoor_blood
«continuous»
oxygenpoor_blood_rv RunP ulmonaryArtery
oxygenpoorblood_pa
FillRightAtrium FillRightVentricle

«continuous»
oxygenrich_blood_lv upperoxygenrichblood
«continuous»
RunsP ulmonaryVein
oxygenrich_bloodpv FillLeftAtrium FillLeftVentricle {p="0.5"}

R unA orta

{p="0.5"}
«continuous»
loweroxygenrich_blood

Figure 7. Simplified act for the heart circulation cycle depicting object and control flows, initial, activity final, fork, join and decision
nodes, an object node (blue), a send signal action (yellow), and swimlanes to assign responsibility to the main heart parts (atria and
ventricles).
 sd Measure the blood pressure
nurse :pressuremeasurementSystem
request device
request device
request device : "available"
device available
wrapp cuff
wrapp inflable cuff turn device on
turn device on turn device on : "OK"
device on inflate cuff
inflate cuff
display message
display message read display
read display
alt display ok alt turn device off
turn device off
else alt
handle error message ref Handle error message

unwrapp cuff
unwrapp cuff

Figure 8. Simplified sd for the use case ‘Measure the blood pressure’ including an weak sequencing of occurrences, two lifelines,
activations, a series of synchronous, asynchronous and reply messages, an alt operand of a combined fragment for the alternative courses
of action derived from the displayed message at the measurement device, and an interaction use (frame ref) that specifies an interaction
describe on other sd (Note: the Artisan Studio provides the description steps of the interaction on the left side of the diagram).
Figure 9. Animation snapshot for a sequence diagram.
 SysML 89

The actions are the building blocks of activities and specify how they
perform. The actions are the atomic level of activity behaviour and they can
accept inputs and produce outputs (designated as tokens) on their pins. Flows
can be discrete or continuous (the time between tokens is approximately zero).
The actions have input and output pins (small rectangles acting like buffers)
that accept tokens (units of flow) that may represent units of matter,
information, energy and act as values of inputs, outputs, and control that flow
from one action to another. The pins and activity parameter nodes are
connected through object flows that enable the passage/route of tokens
between actions and from/to parameter nodes. Figure 7 displays a simplified
activity diagram for the heart circulation cycle.
The relationship between the behaviour of a system, expressed with
activities, and the structure of a system, expressed using blocks, may be
established through the utilization of, for example, activity partition or
swimlane. This mechanism groups activity nodes, and in particular call
actions, assigning responsibility for execution of those nodes. The swimlanes
highlight the potential need for interfaces. The partitions are represented by
rectangular symbols, aligned horizontally or vertically, encompassing the
associated activity nodes. The rectangle has a header with the name of the
model element (e.g., block, part, reference) represented by the partition
(Figure 7). Other approach to connect behaviour and structure is to specify an
activity (as main behaviour or method) in a block. An instance of the owning
block executes the activity.
The functionality of an EFFBD (still largely used by systems engineers)
can be represented as a constrained use of an activity diagram using the
keyword “effbd” in the diagram header.

Sequence Diagram (sd)

The behaviour of a system can also be expressed as a sequence of message

exchanges that reflect the interaction between structural elements of a block.
This kind of modeling is particularly useful to represent service-oriented
behaviour, when a part of a system requests services of another part. The sd
frame represents an interaction. This interaction corresponds to an ordered
series of events between the structural elements of a block. The main structural
feature of an interaction is the lifeline. This feature represents the lifetime of a
member of the owning block that can be either a part property or a reference
property. A part can be typed as an actor that can participate in interactions.
90 Ana Luísa Ramos and José Vasconcelos Ferreira

The lifeline is graphically represented by a rectangle (the head) with a dashed

line descending from its base (the tail) (‘nurse’ and ‘pressure measurement
System’ in Figure 8). When the interaction executes in an instance of its block,
each lifeline represents an instance of the part of that block. So, when the part
has multiplicity greater than 1, it can be used a selector expression (shown in
square brackets after the name of the part) to identify one particular instance.
The time of an interaction progresses vertically down the diagram and the
events on a lifetime are also ordered. Nevertheless, as is the case of distributed
systems, a message may be overtaken by a subsequent message sent from the
same lifeline and this can be represented by a downwards slanting arrow
between two lifelines. The time can also be explicitly represented on sd by
using time observations and duration observations and time and duration
constraints involving the values of those observations.
The Artisan Studio tool provides a module, the Object Animator, which
enables the animation of object interactions in a sequence diagram. This
animation is very useful to explain the interactions to the end users. The Figure
9 shows a snapshot of the animation of the sd depicted in Figure 8.

State Machine Diagram (stm)

The state machines describe behaviour in terms of the response of blocks

to internal and external events. They support event based behaviour (generally
asynchronous) that represents the lifecycle of a block. The behaviour is
modelled as a set of states and the transitions between them. The diagrams are
also known by state charts or state diagrams. As other SysML constructs, the
sate machines can be composed hierarchically enabling complex
representations. The state machines are typically owned by blocks and
executed within the context of an instance of that block. The events
experienced by the block may cause state transitions. Each state machine
includes at least one region being each region defined in terms of states,
pseudostates (termed vertices), and transitions between those vertices.
A state is a significant condition (usually expressed in terms of an implicit
state variable) in the life of a block. The state specifies the effect of entering
and leaving that condition and what the block does while it is in that condition.
A transition describes a valid state change within a state machine and under
what circumstance that change will happen. A transition has one or more
triggers, a guard, and an effect. A trigger is associated to an event and
identifies the possible stimulus that causes a transition to occur. The events
may be of type: i) signal events (a new asynchronous message has arrived; the
 SysML 91

corresponding text is the name of the signal followed by an optional list of

attribute assignments in parentheses), ii) time events (either a given time
interval has passed since the current state was entered or a given instant of
time has been reached; the corresponding text is “after” or “at” followed by
the time in parentheses), iii) change events (some condition has been satisfied;
the corresponding text is the term “when” followed by the condition that has to
be met in parentheses), and iv) call events (an operation on the owning block
has been requested; the corresponding text is the name of the operation
followed by an optional list of attribute assignments in parentheses). A
transition may also be triggered by a completion event when the current active
state has completed.
A state machine may be reused to specify the behaviour of a submachine
state (a state symbol showing the name of the state along with the name of the
referenced state machine, separated by a colon). Interactions with the reused
state machine occur via transitions to and from the boundary of the
submachine state through entry point and exit point pseudostates.
The Figure 10 depicts a simplified state machine diagram for the block
‘pressure measurement system’.

Requirement Diagram (req)

The requirements are text-based descriptions that can be related with a

given capability or condition (that must be satisfied), with a function that a
system should perform, or a performance condition that a system should
achieve. The requirements typically reflect the needs of multiple stakeholders.
These requirements can then be related to other requirements or to other model
elements. They are cross cutting constructs since they support concerns that
cut across the different system views. The “requirement” is a stereotype of the
UML element class.
SysML provides a bridge between the standard requirements management
tools and the system model keeping the requirements synchronized with the
model. The requirements can be imported from the requirements management
tool (e.g., Telelogic DOORS®), or text specification (e.g., Word®), or they can
be created directly in the SysML tool. Systems engineers need to ensure that
the requirements are consistent and feasible, have been validated by the
stakeholders, and have been verified to ensure the adequacy of the system
design. The use cases have been used to capture system requirements but they
are particularly adequate to model functional requirements, being ineffective
in the modelling of physical, availability, and other non-functional
92 Ana Luísa Ramos and José Vasconcelos Ferreira

requirements. The SysML text-based requirements accommodate a

considerable range of requirements’ types that are mandatory in the field of
SE.
The requirements are organized in hierarchies that describe a collection of
requirements contained in a specification (containment hierarchy) organized in
a tree structure. The req frame can represents a package or a requirement. The
req is typically used to describe hierarchies of requirements (Figure 11) or to
illustrate the relationships between a requirement and other model elements.
Besides the req the requirements construct can be shown on bdd and uc. The
relationship between requirements and other model elements can be depicted
in bdd, ibd, and other diagrams through compartment and callout notations.
The basic properties of a “requirement” model element are strings and are a
unique identifier (id) and a descriptive text (text) (Figure 11). Additional
properties such as verification status, requirements category, criticality, and
risk can also be added. The categories of requirements should be adapted for
the particular application and they can be created defining additional
subclasses of the requirement stereotype. For example, a functional
requirement may be constrained so that it can only be satisfied by an operation
or behavioural element, a performance requirement can only be satisfied by a
value property, a physical requirement may only be satisfied by a structural
element, etc. SysML relationships to relate requirements include: “satisfy”,
“verify”, “refine”, “trace”, “copy”, “deriveReqt”, and “containment”. The
containment relationship (a crosshairs symbol) is used to describe the
hierarchical partition of a requirement (Figure 11). This partitioning (of
complex into simpler) is fundamental to establish traceability and show how
individual requirements are the basis for further derivation. The containment
hierarchies can be used to create multiple levels of nested requirements. The
requirements containment hierarchy is depicted in a compact way in the
browser/explorer view of any modelling tool (top right corner of Figure 11).
The requirements relationships can be depicted through direct notation
(when the requirement and the other model element it relates are in the same
diagram; depicted as a dashed arrow with the name displayed as a “keyword”
and pointing to the independent or supplier element), compartment notation
(the element compartment displays the relationship and direction, e.g.
satisfiedBy, and the model element name, e.g. pressuremeasurementSystem)
(Figure 12), or callout notation (a comment symbol is attached to the model
element displaying the same information on the compartment). It is only used
one of these notations. SysML elements rationale (a comment notation with
the keyword “rationale”) and problem (a comment notation with the keyword
“problem”) can be added throughout the model to capture explanation for
 SysML 93

certain decisions or to emphasize particular problems. The text can make

reference to external documents or other parts of the model. These elements
can be attached to a requirement or to a requirement relationship (Figure 12).
The diagrams are not adequate to display a large number of requirements.
Consequently, the majority of tools provide support to represent the
requirements and their relationships through requirements tables and/or
traceability matrices (Figure 13). The columns of the tables usually display the
id and text of the requirement as well as the relationships. The matrices display
the model elements in the rows and columns and the corresponding
relationships in the cells. The matrices help to identify the origins,
destinations, and links between requirements and the developed system’s
models.

Other Cross-Cutting Constructs (Allocations)

The cross-cutting constructs support concerns that cut across the different
views. Beside the requirements and parametrics, the allocations are a general
mechanism that provides cross-cutting, supporting the interconnection of
model elements from different model areas. Allocation is a term used by
systems engineers to describe the organized cross-association (mapping) of
elements within the different hierarchies or structures of the system’s model.
Allocations are typically used in early stages of the design process preceding
more detailed specifications and implementations. The allocation relationship
is used to map one model element to another. It provides an effective way to
establish cross relationships and ensure that the various parts of the model are
properly integrated. It can be established between any two model elements.
The notation used to represent allocation relationships can be graphical or
tabular. The graphical notation includes the direct notation (when both model
elements are at the same diagram they can be related through a dashed arrow
with the keyword “allocate” and with the arrow pointing to the ‘allocated to’
end), the compartment notation (can be used for model elements that have
compartments, such as blocks and parts, and identifies the element at the
opposite end of the allocation relationship, depicting the keyword allocatedTo
or allocatedFrom), and the callout notation (represented as an attached note
symbol that specifies the name and type of the model element at the other end
of the allocation relationship; the end is identified by the keyword allocatedTo
or allocatedFrom). The tabular format is known as allocation table or matrix
(Figure 14) and allows a compact representation of multiple allocation
relationships.
 stm [block] pressuremeasurementSystem[Device states]

Off Handling
[m=="ok"]/turn de vic e off [ e ls e ] /

turn de vic e on/ a fte r[60s]/turn de vic e off

Reset

re a d displa y/m=c onfirm me a sure

On Initializing

infla te c uff/

Inflating Measuring m e a sure stop/ Displaying

infla te s top/
do : inflate cuff do : display blood pressure
Entry/Display "Wait" status
Exit/Display "Wait for measure" status

infla te c uff/

Figure 10. Simplified stm for the block ‘pressure measurement system’ including an initial pseudostate and a final state, some states
with entry and exit behaviours and do activities, several triggers with signal events and one with a time event, guards, a choice
pseudostate and one hierarchical state.
 req [Package] HumanBodyCardiovascularRequirements

«requirement»
«requirement» Weight
Morphology
id#
id# MREQ_1.1
MREQ_1 txt
txt The heart weight shall be between 200 and 425 g.
The human heart shall have adequate morphology.

«requirement»
«refine»
Blood Pressure Measure the blood pressure
«requirement» id#
Performance PREQ_1.1
txt
id#
The normal blood pressure shall be: d<80 and s<120.
PREQ_1
txt «requirement» «requirement»
The heart shall perform adequately.
HeartRate NormalHeartRate
«deriveReqt»
id# id#
PREQ_1.2 PREQHR_1
txt txt
The heart rate shall be inferior to 200 beat/min. The heart rate shall be measured in rest conditions
and the normal value shall round 72 beats/minute.

Figure 11. Simplified req for the human body cardiovascular requirements depicting the id and descriptive text for all the requirements,
three containment relationships describing hierarchical partitioning, a derive relationship describing a more detailed requirement, and a
refine relationship that clarifies the ‘Blood Pressure’ requirement through the sd ‘Measure the blood pressure’; the top right corner
depicts the requirements containment hierarchy presented by the explorer pane of the Artisan Studio tool.
 «requirement» «satisfy» «block»
Calibration pressuremeasurementSystem
id#
CREQ_1
txt «verify»
The measurement devices shall be rigorously calibrated. «testCase» «Rationale»
satisfiedBy CalibrationTest
The pressure measurement System is a block whose instances
pressuremeasurementSystem correspond to digital devices that should be acquired respecting
the calibration applied norms.

Figure 12. Example of a direct notation depicting a satisfy relationship and a compartment notation for the same relationship; the verify
relationship is used to prove the calibration is satisfied by means of a Calibration Test (represents a sd); the satisfy relationship has a
rationale that intends to capture the reason for the calibration needs.

[Package] HumanBodyCardiovascularRequirements [Matrix1]

[Package] HumanBodyCardiovascularRequirements [Table1] Derived By

Name Id# Txt Rationale Satisfied By

)
ts
en
m
Calibration CREQ_1 The measurement devices shall be rigorously calibrated. «block» pressuremeasurementSystem (Constituents)

uire
eq
R
Morphology MREQ_1 The human heart shall have adequate morphology.

ar
ul
sc
va
Weight MREQ_1.1
The heart weight shall be between 200 and 425 g.

io
d
ar
yC
The heart rate shall be measured in rest conditions

od
B
an
NormalHeartRate PREQHR_1 and the normal value shall round 72 beats/minute.

um
::H
el
od
od te
B Ra
yM
um He t»
an art
(H al en
Performance PREQ_1 The heart shall perform adequately.

or em
N uir
m
eq
Blood Pressure PREQ_1.1 The normal blood pressure shall be: d<80 and s<120. «requirement»

«r
HeartRate

Deriv
HeartRate PREQ_1.2 The heart rate shall be inferior to 200 beat/min.

ed
(HumanBodyModel::HumanBodyCar deriveReqt
diovascularRequirements::Performa

Figure 13. Example of a requirements table and a simple traceability matrix (with one cell).
 [Model] Human body
Allocated To
[Model] Human body [1]

)
rt
lo »

ea
: b ow
od

(H
Allocated From Relation Allocated To

bl Fl

di t»
h
m

ar
sc
te

«p
«I
«Parameter» oxygenpoor_blood_rv (CardiovascularActivities::act «Parameter»
Allocate «ItemFlow» bl : blood
oxygenpoor_blood_rv

Allocated
Allocate
BloodCirculationCycle::FillRightVentricle) (CardiovascularActivities::act

From
BloodCirculationCycle::FillRightVentricle)
«Activity» FillRightVentricle (CardiovascularActivities::act «Activity»
Allocate «part» disch (Heart) FillRightVentricle
BloodCirculationCycle) (CardiovascularActivities::act Allocate
BloodCirculationCycle)

Figure 14. Example of an allocation table and an allocation matrix.

 act BloodCirculationCycle

«continuous» RunSuperiorV enaCava

upperoxygenpoor_blood
«block»
Ventricles
«continuous»
RunInferiorV enaCava
oweroxygenpoor_blood
«ItemFlow»
«Allocate»
bl LungsOperat

«allocate»
Atria

«Allocate»
oxygenpoor_blood

oxygenpoor_blood_rv RunP ulmonaryA rtery

FillRightAtrium FillRightVentricle «continuous»
oxygenpoorblood_pa

oxygenrich_blood_lv
«continuous» «continuous»
RunsP ulmonaryV ein
oxygenrich_bloodpv FillLeftAtrium FillLeftVentricle {p="0.5"} upperoxygenrichblood

R unA orta

{p="0.5"}

«continuous»
loweroxygenrich_blood

Figure 15. Region of an act depicting a functional allocation and a flow allocation.
 SysML 99

The allocations can be of different types including the behavioural/

functional (e.g., allocating a function to a component), the structural (e.g.,
allocating logical elements to physical devices or software modules to
hardware components), the requirements, the properties, and the flow ones.
The requirements allocation is typically used to map source requirements
to other derived requirements, or to map requirements to other model elements
that satisfy the requirement (Figures 11 and 12). The properties allocation is
used to allocate performance or physical properties to different elements of the
system. This kind of allocation is usually done by means of parametric
constraints from value properties to parameters (Figure 5). The flow allocation
is used to allocate flows between activity diagrams and internal block
diagrams (Figure 15 depicts a flow allocation from the object flow
oxygenpoor_blood_rv to the item flow blood depicted in the ibd of Figure 4).
The behavioural/functional allocation is a mechanism used to separate the
models of form (or structure) from the models of behaviour so that the design
options can be selected by considering different structural alternatives that
provide the desired emergent behaviour (to optimize designs based on trade
studies among the different alternatives looking at the relationships between
behaviour and structure for each alternative). The structural allocation is used
to allocate elements between structural models. The logical physical allocation
(e.g., a logical block hierarchy is mapped to another physical block hierarchy
at a more concrete level of abstraction) and the software hardware allocation
(e.g., the software artifacts are deployed to hardware platforms or processing
nodes) are typical examples of this type.
The allocations can be evaluated according to their completeness,
consistency, and overall balance. For example, in functional allocation, the
allocation of a set of activities is complete when each activity has an allocation
relationship to a block in the model. The consistency can be checked when the
action nodes are depicted in a valid act, or when the object flows are allocated
to appropriate connectors in an ibd. The automated model checking provided
by the majority of the tools is expected to help in this verification avoiding
circular, redundant, and inappropriate allocations. The balance is more
subjective and involves the evaluation of the different levels of abstraction as
well as the degree of allocation. For example, if a single block has a
considerable number of allocated activities the modeller might consider the
decomposition of that overallocated block that integrates too much
functionality.
As UML, SysML is not attached to any methodoly. The language supports
data interoperability through the XML Metadata Interchange (XMI) standard
100 Ana Luísa Ramos and José Vasconcelos Ferreira

and the ISO 10303 AP-233 standard (or STEP, the Standard for the Exchange
of Product model data) for exchanging and sharing information during the
whole system development lifecycle and across different domain engineering
disciplines), and also provides mechanisms for customization and domain-
specific modeling such as libraries and profiles.

CONCLUSION
The MBSE field claims for convergent standards and domain-specific
modelling languages able to reflect a new way of thinking and working. In
practice, this way of working is formalized through the use of models by
collaborative world teams joining their efforts from different places around the
globe. Obviously, they must “speak” the same language and must work on the
same “matter.” The “matter” is the System Model and the communications
mechanisms must be supported by standard, flexible, and friendly graphical
modeling languages such as SysML (Ramos et al., 2012).
Real case studies are fundamental to understand the modern challenges
and to prove the value of the language. It is our opinion that this empirical
work will have as target domain the complex super systems that aim to deliver
world sustainability and respond to societal needs. The main challenge will be
to ensure that the System Model reflects the stakeholders’ ideas and positions
acting as a shared working platform, and the resulting System satisfies their
expectations. This tasks is becoming more complex and challenging once the
stakeholders are demanding increased functionality, reliability, lower prices,
shorter life cycles, and environamentally and socially acceptable solutions
with value to the users, i.e., sustainable, scalable, safe, smart, stable, simple,
and secure systems (BKCASE Editorial Board, 2016).
The emergence of the MBSE discipline is today well-visible in the new
dedicated conferences that flourished during the last years (e.g., International
Conference on Systems Engineering and Modelling sponsored by the IEEE,
the ACM/IEEE International Conference on Model Driven Engineering
Languages and Systems). The topics of interest in these conferences include,
for example, ‘Standards for SE models,’ ‘UML and SysML: scope,
expectations, and observations’, ‘Evolution of modelling languages,’ ‘Object-
Process Methodology,’ ‘Methodologies, processes and modelling languages,’
‘Comparative studies of conceptual modelling approaches and languages,’ and
‘New types of SE paradigms: biological, nano’.
 SysML 101

The authors believe that SysML can be, effectively, a graphical tool to
support the work of multi-disciplinary and globally disperse working teams
presenting a rich and comprehensive standard notation already supported by
several commercial tools.

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Chapter 6

COMPLEX SYSTEM ANALYSIS

FOR ENGINEERING OF SYSTEMIC FAILURES

Polinpapilinho F. Katina1,* and Behnido Y. Calida2

1
Department of Engineering Management and Systems Engineering,
National Centers for System of Systems Engineering,
Old Dominion University, Norfolk, VA, US
2
Center for Data Reduction and Analysis Support,
Virginia Tech Transportation Institute, Virginia Tech, Blacksburg, VA, US

ABSTRACT
At the very fundamental level, the utility of engineering approaches
is to offer greater understanding of a given phenomenon so as to enable
problem solving in real world situations. However, all engineering
approaches are not of equivalent value – there are different benefits and
limitations associated with each methodological approach for
engineering. This chapter examines the nature of differences. First, a high
level classification of methodology approaches is provided. The aim is
this section to ‘bin’ different engineering methods based on how one
obtains and communicates knowledge (i.e., underlying philosophy).
Second, the type of failures that must be addressed by systems-based
approaches are examined. This section seeks to provide a context-
independent set of system failure paradigms that can be used to deal with
different failures in complex systems. A context-independent

*
Corresponding author: Polinpapilinho F. Katina. Email: [email protected].
106 Polinpapilinho F. Katina and Behnido Y. Calida

conceptualization of systemic failures would include formulating an

acceptable level of abstraction of the system. This ensures that underlying
worldviews are made explicit and appropriately represented to reveal
system pathologies. To help address this, a systems theory-based
approach using system pathologies and the M-Path Method™ is
introduced. This provides a framework through which perceived systems
of interests can be analyzed to identify systemic failures. The chapter
concludes with practical insights for how to effectively deal with complex
system failures – including recent tools.

Keywords: 21st century, hard systems thinking, M-Path Method, problem

formulation, soft systems thinking, systemic failure, systems engineering,
systems theory, systems theory-based methodologies, systems theory-
based pathologies

INTRODUCTION
In science, the combination of procedures for gaining knowledge about
phenomena and structured processes involved in intervening and perhaps
changing a given system of interest is often referred to as a methodology
(Burrell and Morgan, 1979; Checkland, 1993; Churchman, 1968; 1971).
Arguably, the need for methodological approaches is related to need to solve
real-world problems. Interestingly, there is no shortage of methodological
approaches supporting different problem domains such as Complex System
Engineering, Enterprise Systems Engineering, Complex Adaptive Systems
Engineering, and System of Systems Engineering (Sousa-Poza, 2015). These
methodological approaches are often developed when present methodologies
are found to be inadequate and/or faced with emergence of a new problem
domain. For instance, take the case for System of Systems Engineering. It
emerged due to the “the need to better understand how existing, legacy,
sociotechnical systems and new components can be brought together into a
structure that leverages available resources to generate new capabilities”
(Sousa-Poza, 2015, p. 162). A complementary view of the need for different
methodological approaches is offered through the lens of time. Literature
indicates that modern times are characteristically tumultuous (Martin, 2006;
Tainter, 1988) aligning with the notions of ‘messes’ (Ackoff, 1974) as well as
‘wicked problems’ (Rittel and Webber, 1973). This characterization,
elaborated in Table 1, is manifested in elements of ambiguity, complexity,
 Complex System Analysis for Engineering of Systemic Failures 107

emergency, interdependencies, and the uncertainties of the last three centuries

(Keating et al. 2014).
These characterizations highlight an ongoing need for robust and yet
unique methodologies (Conrad and Gheorghe, 2011). However, the calls for
methodological robustness and uniqueness suggests that there is also a need to
match methodological approaches to problem domains. This chapter is
especially designed to address the matching of methodological approach to
problem domain. First, a high level classification of methodologies associated
with engineering are provided. The aim of this section is to ‘bin’
methodologies based on their underlying philosophy. Ultimately, an effective
methodological approach helps in gaining knowledge about phenomena and
provides an interim structure to intervene in a given system. An important
element of this aspect of methodology is the necessity to deal with systemic
failures. A second element of this chapter provides a classification of systems
failures. The nature of failure is discussed to offer a perspective of the
relationship between methodological approach and failures, methods, and
tools. The chapter concludes with practical insights for how to effectively deal
with systemic failures.

Table 1. Characteristics of modern landscape

Characterization Brief description

of modern times
Ambiguity There is increasing lack of clarity and situational
understanding of complex systems
Complexity Large numbers of richly and dynamically interacting
complex systems and subsystems with behavior difficult
to predict
Emergence Inability to deduce behavior, structure, or performance of
complex systems as a function of their constituent
subsystems and elements
Interdependence Mutual influence among different complex systems
through which the state of a system influences, and is
influenced by, the state of other interconnected systems
Uncertainty Uncertainty appears to be the norm in which there is
always incomplete knowledge about situations and
therefore casting doubt for decision/action consequences
108 Polinpapilinho F. Katina and Behnido Y. Calida

SYSTEMS-BASED METHODOLOGIES
It is necessary to articulate the foundations of methodologies prior to
engaging a discourse on methodologies themselves. First and foremost, the
methodologies explored in this examination are taken from the Systems
Thinking Paradigm. Contemporary researchers propose Systems Thinking as a
science of systems that aims to understand the interaction between man and
the environment from multiple perspectives (Skyttner, 2005). Although
Systems Thinking does not have a single common and accepted definition, it
suffices to say that it emerged as an alternative response to reductionism,
which is closely aligned with the ‘scientific method’ (Katina, 2015a; Laszlo,
1996). Conceptualization of Systems Thinking, based in Systems Theory,
gained momentum in early 1920s as doubts emerged about the continuing
utility of the classical scientific approach of isolating constituent elements.
The shift away from reductionism resulted in more interest being paid to
notions of whole ‘organizations’ as opposed to parts (von Bertalanffy, 1972).
Ludwig von Bertalanffy, a proponent of Systems Theory, suggested that
“[s]ince the fundamental character of the living thing is its organization, the
customary investigation of the single parts and processes cannot provide a
complete explanation of the vital phenomena. This investigation gives us no
information about the coordination or parts and processes” (von Bertalanffy,
1972, p. 410).
It was later noted by another proponent of Systems Theory that the
traditional scientific approach, while relevant, creates “closed bubbles [of
knowledge] in their own right. [Where] specialists in one field can
communicate with one another if they share a specialty, but experience
difficulty when their interests do not coincide. [However] the unfortunate
consequence of such specialty barriers is that knowledge, instead of being
pursued in depth and integrated in breadth, is pursued in depth in isolation”
(Laszlo, 1996. p. 2). The same sentiments are echoed by Debora Hammond
who remarks: “problems confronting humanity at this stage in our history
(poverty, violence, crime, environmental degradation and nuclear weapons…
terrorism) are systemic and cannot be understood or resolved in isolation.
They result from…perception, rooted in the mechanistic worldview we
inherited from the scientific revolution of the seventeenth century...we needed
a more ecological or systemic world, based on an understanding of our
fundamental interconnectedness and interdependence, with each other and
with all of life” (Hammond, 2002, p. 430).
 Complex System Analysis for Engineering of Systemic Failures 109

The last statement appears to echo a statement attributed to Albert

Einstein: we cannot solve our problem with the same thinking we used when
we created them. An examination of three different yet related aspects of
systems theory, systems science, systems technology, and systems philosophy,
helps to further distinguish the field of General Systems Theory1. Table 2
elaborates on these elements of Systems Theory. Ludwig von Bertalanffy
posited that part of the solution to the reductionism problem generated by the
Scientific Method was a need to ‘discover laws at all levels of organization in
biological systems’ (von Bertalanffy, 1972) as a means to gain knowledge
about entities and how they are related.

Table 2. Aspects of Systems Theory

Aspects of Description of the element of Systems Theory

Systems
Theory
Systems This is the aspect of systems theory that deals with knowledge of the
Science connected ‘wholes’ - complexity as opposed detailed and isolated systems
(Katina, 2015b). von Bertalanffy (1972, p. 414) describes systems science
as the “scientific exploration and theory of ‘systems’ in various sciences
(e.g., physics, biology, psychology, social sciences), and general systems
theory as the doctrine of principles applying to all (or defined subclasses of)
systems.”
Systems This is the aspect of systems theory that deals with “problems arising in
Technology modem technology and society, including both ‘hardware” (control
technology, automation, computerization, etc.) and ‘software” (application
of systems concepts and theory in social, ecological, economical, etc.,
problems)” (von Bertalanffy, 1972, p. 420). This aspect of systems theory is
directly related to the need for a science of ‘systems’ in which emerging
world issues such as pollution, economies, health, politics, and international
conflicts had to be addressed from a holistic perspective (Katina, 2015b;
Strijbos, 2010; von Bertalanffy, 1972; Warfield, 1976)
Systems An aspect of systems theory dealing with philosophical issues related to
Philosophy paradigm change within which systems theory supposedly operates (Katina,
2015b). Three elements epitomize this aspect of systems theory: 1) systems
ontology, which deals with how an observer views reality. 2) Systems
epistemology, which deals with how one obtains and communicates
knowledge, and 3) nature of man in which man could be viewed as
determinist or voluntarist

1
General Systems Theory was the original term proposed by Ludwig von Bertalanffy. However,
it is common understanding that a general systems theory has yet to emerge. For more
discussion on this topic see Adams (2012), Adams et al. (2014), Gaines (1977), Katina
(2015b), and Monod (1974).
110 Polinpapilinho F. Katina and Behnido Y. Calida

In summary, Systems Science is concerned with system laws, principles,

and theorems that govern complex systems (Adams et al. 2014; Hester and
Adams, 2014; Jackson, 2003; Katina, 2015a; Katina, 2015b; Katina, 2016;
Whitney et al. 2015). Systems Technology is concerned with holistic
approaches that could be undertaken to address current vexing issues from a
perspective of systems theory. Systems Philosophy is concerned with the role
of paradigm in addressing complex systems. It is a common understanding that
the paradigm for systems theory is ontology-nominalism, epistemology-
antipositivist with a concern for ‘systems’ as they are influenced by human
values (Burrell and Morgan, 1979; Flood and Carson, 1993; Katina, 2015b;
von Bertalanffy, 1972).
The preceding aspects of systems theory underscores the importance of
worldview as well as corresponding approaches. These approaches must be
undertaken to understand the natural world along with the governing laws and
principles. Appreciation of the issues calling for systemic approaches is
necessary if we are to develop methods and tools that can be used to intervene
and bring about positive change in real-world of complex systems.
Methodologically, there is no shortage of methods based on the articulated
notions of systems theory. A methodology is taken as a set of “procedures for
gaining knowledge about systems and structured processes involved in
intervening in and changing systems” (Jackson, 1991, p. 134). It is important
to recognize two issues in relation to methodology. First, there are two
opposing extremes of methodological approaches, idiographic and nomothetic
as suggested by Burrell and Morgan (1979). Second, there is a tendency to
emphasize application of the idiographic view of a methodology in support
subjectivity in research associated with complex systems (Flood and Carson,
1993; Katina et al. 2014a).
A further categorization of systems-based methodologies clarifies such
approaches as hard and soft. A hard systems approach “assume[s] that
problems are set in mechanical-unitary contexts. Hard methodologies take it as
a given that it is relatively easy to establish clear objectives for the system in
which the problem resides - so context must be unitary. They then try to
represent that system in a quantitative model that simulates its performance
under different operational conditions - something only possible if the system
is simple and the context mechanical” (Jackson, 1991, p. 30).
However, since “it is often difficult to define precise objectives on which
all stakeholders can agree” especially in complex systems (Jackson, 2003, p.
20), soft systems thinking approaches emerged to accommodate multiple and
sometimes conflicting values, beliefs, and worldviews that are prevalent in
 Complex System Analysis for Engineering of Systemic Failures 111

complex systems. To support a needed change, “the solution was to make

subjectivity central, working with a variety of world views during the
methodological process” (Jackson, 2003. p. 22). Hence, a ‘soft’ systems
approaches recognize that there can be a “vast numbers of relevant variables
and the myriads of interactions make this [optimization] an impossible
requirement. The solution... [is] to identify those key mechanisms or structures
that govern the behavior of the elements or subsystems ...aspects that lie
behind system viability and performance” (Jackson, 2003, p. 21). Table 3
provides a summary of ‘hard’ and ‘soft’ systems-based methodologies.
There are several areas in which systems theory-based methodologies can
offer utility. These include aspects of learning, understanding, intervention,
and ultimately bringing about positive change (Katina, 2015b; Kovacic et al.
2007). This notion might be referred to as governance (Calida, 2013).
Certainly, governance embodies aspects that support “grappling with
complexity [and] has to be a methodology for human learning” (Warfield,
1976, p. 2) and robust problem formulation grounded in systems theory
(Katina, 2015b). However, taking into account the entire operational landscape
of systems and the nature of current systems as described in Table 1, we
suggest that great difficulty continues to exist in selection of an efficient
means to achieve a known objective and a defined end. This is where the unity
of systems-based methodologies is supposed to provide utility.
A critical aspects of systems theory-based methodologies, articulated in
Table 3, is dealing with systemic failures. The nature of failures and systemic
tools that can be used in dealing with failures is the subject of the remainder of
this chapter.

SYSTEMIC FAILURES
There is no shortage of literature supporting the notion that there is
increasing occurrence of disastrous events (Ansoff, 1984; Cohen and Ahearn,
1986; Richardson, 1994; Weick, 1988). The problem is not limited to
occurrence. Another extended assertion postulated by Rasmussen and Batstone
(1989, p. ii) is that: “the frequency and magnitude of organizational failures
and the subsequent impacts are increasing at an alarming rate.” This notion has
been supported by countless researchers as well as annual analysis of Swiss
Reinsurance2.

2
More information can be found at http://www.swissre.com/.
 Table 3. A Summary of ‘hard’ and ‘soft’ systems-based methodologies

Classification Methodology Description Primary proponents

Hard Systems Intrinsically related to systems engineering and mechanistic in nature, this methodology Atthill (1975); Digby
Systems Analysis is largely dependent on feedback loops and black boxes of cybernetic management to (1989); Gibson et al.
Thinking optimize socio-technical systems based on fixed parameters such as cost and benefits. A (2007)
number of phases associated with this methodology are discussed elsewhere (Miser and
Quade, 1988; Gibson et al., 2006).
Systems The approach focusses on defining technical and business customer needs with the goal INCOSE (2011);
Engineering of producing quality products that meet user needs. A generic life-cycle model Blanchard and
associated with this approach along with its stages are discussed elsewhere (Blanchard Fabrycky (2006)
and Fabrycky, 2006; Componation and Collopy, 2012; Smartt and Ferreira, 2012)
Operations This approach is commonly associated with determining a maximum or minimum Churchman. Ackoff
Research variable (e.g., profit, performance, yield, loss, risk) inventory, allocating, waiting-time, and Arnoff (1957)
replacement, competitive, and combined processes, operations research was developed
to deal with complex organizations that are under control of management (Churchman
et al., 1957; Jackson, 2000). A generic model associated with this approach is discussed
elsewhere (Churchman et al., 1957; Jackson, 2000).
Soft Systems Systems This methodology is concerned with limits of growth and understanding of the system Forrester (1961);
Thinking Dynamics structure using feedback loops as the main determinants of system behavior. Sterman (2000)
Mathematical in nature, this approach involves four major variables: system boundary,
network of feedback loops, variables of ‘rates’ or ‘flows’ and ‘levels’ or ‘stocks,’ and
leverage points.
Organizational This approach embodies the idea that organizations are black boxes characterized by Beer (1979; 1981;
Cybernetics complexity, self-regulation and probabilistic behaviors. Central to this approach is the 1985)
Viable System Model, which is based on neurocybernetic model, consisting of five
essential subsystems that are aligned with major viable organizational functions. VSM is
a model rather than a methodology, it does not have a clear set of prescribed phases for
deployment. Two general stages of system identification and system diagnosis are
discussed elsewhere (Jackson, 2003; Katina, 2015b)
Classification Methodology Description Primary proponents
Soft Systems Strategic Methodological approach grounded on the premise that formulation of right solutions to Mitroff and Emshoff
Thinking Assumption the right problem requires uncovering critical assumptions underlying policy, plan, and (1979); Mason and
Surfacing and strategy. This enables management to compare and contrast and gain new insights on Mitroff (1981)
Testing their assumptions and ‘wicked’ problems.
Interactive Developed by Russell L. Ackoff, this methodology focuses on creating a desired future Ackoff (1974; 1981a;
Planning by designing desirable present conditions. It is made up two parts: idealization and 1981)
realization. These parts are divisible into six interrelated phases.
Soft Systems Attributed to Peter Checkland and his colleges at Lancaster University, this Checkland and
Methodology methodology emerged as a response to need for methods that can be used to intervene in Scholes (1990);
‘ill-structured’ problem situations where it is important to learn about systems while still Wilson (1984)
focusing on ‘goal-seeking’ endeavors that answer ‘what’ should be done and ‘how’ it
should be done (Jackson, 2003). Checkland’s (1990) work suggested that understanding
issues such as context, largely ignored in systems engineering provided a more rigorous
attempt to tackle problematic situations coherently.
Systems of This methodology is intended to provide a high-level analytical structure to explore Adams and Keating
Systems complex system problems (Adams and Keating, 2011). In order to enhance our (2009; 2011);
Engineering understanding of complex systems, SoSEM is taken as a “rigorous engineering analysis Keating et al. (2004)
Methodology that invests heavily in the understanding and framing of the problem under study”
(Adams and Keating, 2011, p. 113).
Critical Developed by Werner Ulrich, this methodology is concerned with ‘unfairness in Ulrich (1983; 1987)
Systems society’ (Jackson, 2003). It promotes emancipatory systems thinking for planners and
Heuristics citizens alike. Synonymous with this methodology are three phases.
Organizational This methodology is concerned with single-loop and double-loop learning where Argyris and Schön
Learning management of organization is able to contrast ‘expected outcomes’ with the ‘obtained (1978; 1996)
outcomes.’ Contrasting these outcomes involves learning based on errors discovered
during single-loop learning and provides the basis for modifying organizational norms,
policies, and objectives (Fiol and Lyles, 1985). A key premise of this methodology is
that learning and adapting new knowledge must be generated at the individual as well as
at organizational level.
 Table 3. (Continued)

Classification Methodology Description Primary proponents

Soft Systems Sociotechnical Attributed to Eric Trist, Ken Bamforth and Fred Emery and their work at the Trist and Bamforth
Thinking Systems Tavistock Institute in London, this methodology is concerned with a joint (1951); Cherns (1976)
optimization of both social/soft including human and technical aspects of
organizations (Pasmore, 1988).
Total systems This meta-methodology emerged out of the recognition of strengths of capabilities Flood and Jackson (1991);
Intervention of individual systems approaches, the need for pluralism in systems thinning, and Flood (1995); Jackson
calls for emancipatory ideas in systems thinking – in reference to critical systems (1991)
thinking (Jackson, 2003). It is based on the premise that contemporary systems-
based methodologies are not complementary. This thinking aligns with a
suggestion that a successful complex organizational intervention might require a
‘combination’ of any set of systems-based approaches Laszlo and Krippner
(1998).
Complex An approach based on the design, execution, and evolution of nine metasystem Keating (2015); Keating
System functions that provide for the control, communication, coordination, and and Bradley (2015);
Governance integration of a complex system. Keating and Katina
(2016)
 Complex System Analysis for Engineering of Systemic Failures 115

Rather than revisiting the notion of failure from the traditional approach of
probability and consequence (Katina et al. 2014b), present efforts are
dedicated to the classification of systemic failures intrinsically related to the
nature of operating landscape of complex systems. Needless to say, we suggest
failures can be related to the following assertions:

1. Failue is a loss of ability to satisfactorily achieve intended function,

that encompass fracture and/deterioration
2. Failure is a state of condition of not meeting or unacceptably
deviating from specified or implied performance requirements
3. Failure include events that might render a system no longer capable of
operation
4. Failures lessens viability (i.e., maintenance of separate existence) of a
system of interest
5. Failure includes subjectivity of the observer and therefore can be a
matter of interpretation and perception

This view of failure can be categorized as ‘systems view of failure’ since

it supports notions of the nature of man and how one sees reality. More
specifically, Flood and Carson (1993) posit that: “The nature of perceived
reality is inevitably conditioned by our nature as observing systems” (p. 35).
This support is grounded in systems thinking as supported by other researchers
including Clemson (1984, p. 21) who suggested that “the activity of observing
[done by an analyst] ... has some influence on the observed system [system
under study].” Moreover, the systems perspective of failure can be used to
generate two additional assertions. First, there can be multiple sources of
errors leading to a failure in a system. This assertion challenges the traditional
mentality that there can only be one source of error that is identifiable using
methods such as Fault Tree Analysis focused on determination of a root cause.
In complex systems, there can be multiple interconnected factors and cannot
easily assigned to system elements and components. Second, an underlying
paradigm can serve as a source of error identification. Any one given
paradigm only offers a partial view of sources of any error. Taken together, as
suggested in Figure 1 below, a complete picture emerges for an example of a
bridge system failure.
116 Polinpapilinho F. Katina and Behnido Y. Calida

Figure 1. A systems perspective of failure.

This can be illustrated by looking at an example. Consider an example of a

Thames Trains service that went through a red signal and collided with a Great
Western InterCity Express in the United Kingdom, killing 31 people on
October 1999. An interim report suggested that immediate cause of the crash
appeared to be a commuter train running a red light. However, it also indicated
that the root causes were likely to be more complex1. In such a situation, it can
be useful to understand types of paradigms that influence detection of failures
and errors. Table 4 elaborates of failure paradigms.
Notice that each paradigm offers advantages of identifying specific errors.
In addition, each paradigm comes with applicability limitations associated
with the context within which a system exists. A categorization of complex
system failure is suggested in Table 5.

1
Ladbroke Grove crash report. Retrieved from http://news.bbc.co.uk/2/hi/uk_news/1396613.stm.
 Complex System Analysis for Engineering of Systemic Failures 117

Table 4. Paradigms of Failure

Failure Paradigm Description

Formal System Refers to specifications of ‘what’ the system is and how the
Paradigm system boundaries are defined. Expected failures arise when
one’s operational notion of the ‘system’ does not account for
what is part of the system and those that are to be considered as
part of its environment.
Control System Individual system entities are characterized by specific action
Paradigm and reaction relationships. In most cases, these include feedback
loops that allows the system to modify its input behavior to
achieve a certain system output. Examples of potential
engineering failures may occur when these system entity
relationships are absent or misrepresented.
Communication Known information channels need to be established for both
System Paradigm routine and non-routine operational problems that may arise.
When crucial information does not reach intended system
entities needed to make operational adjustments, the likelihood
of engineering failure is amplified.
Engineering and Systems rely, to a certain extent, on man-made technology and
Reliability System technical procedures and processes. These are prone to wear and
Paradigm tear and will surely breakdown at some point during the course
of system lifetime, whether normally or unexpectedly.
Human Factors Refers to system breakdowns that can be traced back to salient
System Paradigm performance attributes of the human/s that are participants of the
system. This include discrete components of performance,
largely centered around psychological, behavioral,
neuromuscular and cognitive time lags inherent with how
humans interact with the system.
Forecasting and Many systems rely on models used to predict short-term or long-
Planning System term expected outputs of the system components and as a whole.
Any deviation away from this assumed parameters in the models
is a potential source of future failures.
Contextual System A system does not operate in a vacuum. It interacts with its
Paradigm environment in many ways such as transforming inputs from its
environments and then producing outputs back for consumption.
However, the environment where the system operates may no
longer have use for the outputs of the system. The value of the
system is fundamentally tied to providing for a specific ‘need.’ If
the need no longer exists, the system falls out of context and will
have to be retired or integrated into another system to support a
new ‘need’ altogether.
118 Polinpapilinho F. Katina and Behnido Y. Calida

Table 5. Issues in Complex System Failure

Complex System Failure Elements

Hard System Failure Failure in system Specification/requirements
performance based on Criteria for performance
Design elements
Soft System Failure Failure in system Mechanics of system design
performance due to process
Dynamics of system design
process
Contextual issues
Conceptual mismatch
Expectation mismatch
Systemic pathologies

Table 5 is meant to suggest a need for a complementary approach to

understanding ‘soft’ and ‘hard’ aspects with respect to failure in systems
analysis. If a complementary approach to systems analysis is undertaken with
respect to failures and errors involving complex systems, then, a consideration
of several factors, as suggested by the following operand, could be used to
inform a more complete systems analysis approach:

𝐶𝑜𝑚𝑝𝑙𝑒𝑡𝑒 𝑆𝑦𝑠𝑡𝑒𝑚𝑠 𝐴𝑛𝑎𝑙𝑦𝑖𝑠

𝑇𝑒𝑐ℎ𝑛𝑖𝑐𝑎𝑙 𝑟𝑒𝑞𝑢𝑖𝑟𝑒𝑚𝑒𝑛𝑡𝑠, 𝑇𝑒𝑐ℎ𝑛𝑖𝑐𝑎𝑙 𝑝𝑒𝑟𝑓𝑟𝑜𝑚𝑎𝑛𝑐𝑒 𝑚𝑒𝑎𝑠𝑢𝑟𝑒𝑠,
=𝑓 [ )
𝐷𝑒𝑠𝑖𝑔𝑛 𝑒𝑙𝑒𝑚𝑒𝑛𝑡𝑠
+ [𝑆𝑦𝑠𝑡𝑒𝑚 𝑚𝑒𝑐ℎ𝑎𝑛𝑖𝑐𝑠, 𝑆𝑦𝑠𝑡𝑒𝑚 𝑑𝑦𝑛𝑎𝑚𝑖𝑐𝑠, 𝐶𝑜𝑛𝑡𝑒𝑥𝑡𝑢𝑎𝑙 𝑖𝑠𝑠𝑢𝑒𝑠,
𝑆𝑦𝑠𝑡𝑒𝑚 𝑝𝑎𝑡ℎ𝑜𝑙𝑜𝑔𝑖𝑒𝑠, 𝑒𝑡𝑐. )

This operand is meant to evoke the need for consideration of design,

deployment, or operational failure. It also involves a consideration of
contextual alignment/integration failure, uncompensated patterns that emerge
out of interaction of different systems, and the mechanics and dynamic nature
of complex system processes. These facets are in addition to traditional
elementary consideration of product and service design. Therefore, an analysis
based in holistic system failure involves the following aspects:

 Integrated failure with strategic system management on a continuous

basis involving pre and post failure analysis.
 Complex System Analysis for Engineering of Systemic Failures 119

 The process is systemic in nature (i.e., involving identification,

processing, meaning attribution, decision, action, interpretation).
 Consideration of Fail Early, Fail Frequently, Fail Fast, Fail
Systemically Deep failure modes to limit the negative consequences
experienced from a failure
 It provides a more effective Complex Systems design, deployment,
operation, and transformation of the system of interest.

These caveats serve as a reminder that anticipating system failures

requires a proactive and holistic system perspective to inform the approach to
dealing with any weaknesses or failure points that may occur throughout the
system. Certainly, dealing with failures and errors in complex systems
involves identification of pathologies. A pathology can be viewed as the
condition that acts to reduce system performance. Pathologies may be derived
from direct violation of systems theory, including ignoring or inappropriate
application of systems theory laws, principles, and theorems (Katina 2015a;
Keating and Katina, 2012). The identification of pathologies is a key phase in
any methodological approach that invokes an effort commonly referred to as
problem formulation (Katina, 2015a; Katina, 2015b; Katina, 2016; Keating
and Katina, 2016). Problem formulation is considered as a portal into complex
system understanding and development of solutions to bring about positive
change to a system of interest (Katina, 2016). Pathologies associated with
violation of systems theory span an array of circumstances involving dynamics
of a system, system goals/missions, information flow, processes, regulation,
resources, systemic structures, and understanding (Katina, 2015b).
Recent development in research has suggested the Metasystem
Pathologies Method (M-Path Method™ as an approach to identify systems
theory-based pathologies. This method consists of five phases: identification,
analysis, exploration, systemic implementation, and follow-up as outlined in
Table 6 below.
There are several tools that can be deployed to aid in application of the M-
Path Method™ efforts to identify pathologies. Specifically, data mining and
surveys could be used to ascertain information regarding the presence of
pathologies in a system of interest as well as their impact on system
operations. Katina (2015b) suggested a Web-based instrument. Fuzzy
cognitive mappings can also support development of relationships between
pathologies especially when a variety of stakeholders are involved in a system
of interest. This is essential since each stakeholder might not share the same
values associated with measures related to pathology impact, existence, and
120 Polinpapilinho F. Katina and Behnido Y. Calida

implications, even for the same pathology. Using M-Path Method™ approach
enables the analyst to incorporate tools and software that can provide
substantive information on threads that appears relevant to all stakeholders
(Herzing et al. 2014; Katina and Unal, 2015; Mohagheghi, 2015;
Papageorgiou and Kontogianni, 2012).

Table 6. Five Phase of M-Math Method™ for Identification of Pathologies

Phase Description Products

Phase I: This phase involves the identification  Results is an ordinal map that
Identification and discovery of the degree to which the ‘bins’ pathologies based on
systems theory-based pathologies exist levels of existence and
in a given situation/system. This phase potential impact
involves elicitation of information
regarding degree of existence and impact
of each pathology.
Phase II: This phase involves an examination of  An enumerated listing of
Analysis nature and implications of the unique pathologies
‘landscape’ of pathologies for the  A caption of variability in
system interest. This is an attempt to measures of degree and
synthetize the data into meaningful impact as suggested by
information concerning the pathologies. participants
Phase III: This phase involves a two-way dialogue  A listing of implications for
Exploration between system owners and the analysts system development
involving the general meaning of  A listing of initiatives to
pathologies and exploration of the address identified pathologies
meaning in context for the system of  A prioritized enumeration of
interest. pathologies based on
feasibility
 A set of strategies and
corresponding actions
designed to impact the
identified pathologies
Phase IV: The purpose of this phase is to ensure  A plan-of-action with specific
Systemic that selected responsive strategies are details on what will be done
Implementation effectively deployed. to actually improve the
system along with a time-line
Phase V: This phase is ‘future-focused’ and is  Measures effectiveness of
Follow-up intended to ensure that the established deployment strategies
timeline serves as a place-maker for a  Articulation of new
re-evaluation of the system by fulfilling pathologies
two primary purposes: 1) to measure the  Identifcation of new
effects of the strategies/actions as technologies and strategies
implemented in Phase IV and 2) against pathologies
identification of new pathologies.
 Complex System Analysis for Engineering of Systemic Failures 121

The M-Path Method™, in the context of problem formulation for complex

systems, enables one to focus on deep systemic issues that can affect
performance of a system. The consideration of pathologies can be part of an
integrated approach for analysis of systemic failure identification. It can serve
1) to identify what is wrong in a complex system in terms of pathologies, for
an existing system, 2) provide insights into what could go wrong in a system
before it comes into existence, or 3) indicate appropriate systemic approaches
that could be used to address pathologies.

CONCLUSION AND FURTHER RESEARCH

The landscape for 21st century systems is characteristically ambiguous,
complex, mired with emergent behaviors. This stems from the interdependent
nature of systems, which forces systems to operate under conditions of
uncertainty. It is from this perspective that one forms the belief that it is
essential to have robust methodological approaches to effectively navigate this
landscape. The purpose is always to enhance the prospects for continuing
system viability (continued existence). Such methodologies as those
articulated in this chapter, as well as their foundations of systems theory, can
contribute greatly to this pursuit. Emphasis is placed on failure identification
as an essential element of complex system analysis. Failure analysis in
complex systems forms an integral part of problem formulation and is directly
related to identification of systems theory-based pathologies.
A method associated with identification of systems theory-based
pathologies (M-Path Method™) provides for this identification as well as
corresponding tools. Arguably, the consideration of systems pathologies
provides an entry for discovery of deep systemic issues that could affect
performance of complex systems. Therefore, the M-Path Method™ offers a
critical element for advancing the prospects of systems challenged to operate
in the 21st century landscape. More importantly, since systems theory is
suggested as a foundation for understanding complex systems, it stands to
reason that systems theory provide a basis for identification of complex system
failures and errors. In addition, systems theory can be instrumental in the
subsequent development of measures and strategies to effectively deal with
performance related deficiencies in complex systems.
Finally, authors suggest that the efficacy of any proposed research is
typically measured in terms of the results achieved. Thus, future research
should include analysis of results based on the deployment of present research,
122 Polinpapilinho F. Katina and Behnido Y. Calida

especially the elements pertaining to the identification of pathologies. There is

also potential for case applications across a variety of domains including
energy, water, transportation, and healthcare. Since systems theory is
transdisciplinary, the corresponding methods and its tools derived also exist
are domain-free. Case applications might shed more light into pathologies by
further validating present research as well as suggesting fruitful paths
foreword. The existence of pathologies in different systems might offer
generalizable insights into types of pathologies stemming from specific cases.
Specific case applications could also serve as the basis for developing tailored
strategies and countermeasures for specific problem domains.

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BIOGRAPHICAL SKETCH
Name: Behnido Calida, Ph.D.
Affiliation: Virginia Tech Transportation Institute
Education: Ph.D. in Engineering Management
Research and Professional Experience:
Professional Appointments:
Senior Project Associate/Data Analyst, Virginia Tech Transportation
Institute, Center for Automotive Safety Research, Blacksburg, VA (2014-
Present)
Post-doctoral Research Scientist/Adjunct Faculty, National Centers for
System of Systems Engineering, Norfolk, VA (2007-2014)
Product Engineer, Operations STMicroelectronics Asia Pacific Pte. Ltd.,
Singapore, Singapore (2004-2007)
Honors:
The Honor Society of Phi Kappa – Member, since 2011
Epsilon Mu Eta – The Engineering Management Honor Society –
Member, since 2009.

Publications Last 3 Years:

Book chapters:

Keating, C.B., Calida, B., Jaradat, R., Katina, P. (2016) Systems Thinking. In:
J. Gandhi and J. Farr (Eds.), The Engineering Management Handbook, 2nd
edition (pp. 245-281). US: ASEM (Forthcoming).
 Complex System Analysis for Engineering of Systemic Failures 129

Calida, B., Keating, C. (2013) System Governance: Emergence of Practical

Perspectives across the Disciplines. In: A.V. Gheorghe, et al. (Eds.),
Infranomics: Sustainability, Engineering Design and Governance (pp.
269-296). NY, US: Springer.
Calida, B., Gheorghe, A.V., Unal, R., Vamanu, D. and Radu, V. (2013)
Complexity Induced Vulnerability Assessment: How resilient are our
academic programs?. In: A.V. Gheorghe, et al. (eds.), Infranomics:
Sustainability, Engineering Design And Governance (pp. 377-394). NY,
US: Springer.

Journal articles (peer-reviewed)

Calida, B., Jaradat, R., Abutabenjeh, S., and Keating, C.B., (2016).
‘Governance in Systems of Systems: A Systems-based model.’ Int. J. of
System of Systems Engineering (Forthcoming).
Calida, B. (2016). ‘Complex system governance: Moving diverse theory to
practice,’ Int. J. of System of Systems Engineering. Vol. 7, Nos. 1/2/3, pp.
22-42.
Calida, B. and Katina, P. (2015). ‘Modeling the 2008 financial economic
crisis: Triggers, Perspectives and implications from systems dynamics,’
Int. J. of System of Systems Engineering, Vol. 6, No. 4, pp. 273-301.
Katina, P., Despotou, George, and Calida, B. (2014). ‘Sustainability of System
of systems,’ Int. J. of System of Systems Engineering, Vol. 5, No. 2, pp.
93-113.

Name: Polinpapilinho Katina, Ph.D.

Affiliation: National Centers for System of Systems Engineering,
Education: Ph.D. (Engineering Management and Systems Engineering)
Address: Department of Engineering Management and Systems
Engineering
Old Dominion University
2101-N Engineering Systems Building, Norfolk, VA 23529

Research and Professional Experience:

Systems Thinking: Concepts and Tools for Technical Professionals, May

2016, College of Continuing Education and Professional Development, Old
Dominion University.
130 Polinpapilinho F. Katina and Behnido Y. Calida

Towards a Method for Identifying Complex System Constraints Impacting

Performance of NASA Aeronautics Missions, 04/2012-04/2013, National
Aeronautics and Space Administration/Virginia Space Grant Consortium.

Professional Appointments:

Postdoctoral Researcher, September 2015-Present, The National Centers

for System of Systems Engineering (NCSOSE), Department of Engineering
Management and Systems Engineering, Frank Batten College of Engineering
and Technology, Old Dominion University, 2101N Engineering Systems
Building, Norfolk, VA 23529
Visiting Scholar, July 2015, Joint Research Center of the European
Commission, Institute for Energy and Transport, Westerduinweg 3, NL-1755
LE Petten, the Netherlands
Visiting Research Fellow, June 2015 – September 2015, Energy
Department - Nuclear Division, Laboratory of Signal Analysis and Risk
Analysis (LASAR), Politecnico di Milano, Via Ponzio 34/3 - 20133, Milano,
Italy

Honors:
2015 ISERC Best Track Papers Awards: Systems Engineering, IIE
Industrial and Systems Engineering Research Conference
NSBE Graduate Student Professional Conference Travel Scholarships
2014-2015, National Society of Black Engineers
Bristol Who’s Who, 641 Lexington Ave., 15th Floor, New York, NY
Ford Foundation Dissertation Honorable Mention, National Research
Council of the National Academies
Nomination for Young Scientists Summer Program (YSSP)/The
International Institute for Applied Systems Analysis (IIASA), Laxenburg,
Austria
ILR Graduate Fellowship, Institute for Learning in Retirement at Old
Dominion University
Love of Learning Award, The Honor Society of Phi Kappa Phi
2012-2013 Ford Foundation Pre-Doctoral Honorable Mention, National
Research Council of the National Academies
Publications Last 3 Years:
 Complex System Analysis for Engineering of Systemic Failures 131

Books (2)

Gheorghe, A.V., Masera, M., and Katina, P.F. (Eds.). (2014). Infranomics:
Sustainability, engineering design and governance. Vol. 24. Geneva,
Switzerland: Springer International Publishing [422 pages; guest editors;
60 authors].
Vamanu, B.I., Gheorghe, A.V., and Katina, P.F. (2016). “Critical
infrastructures: Risk and vulnerability assessment in transportation of
dangerous goods,” Cham, Switzerland: Springer International Publishing.

Book Chapters (3)

Katina, P.F. (2016). “Systems theory as a foundation for discovery of

pathologies for complex system problem formulation,” In: Masys, A.J.
(Ed.), Applications of systems thinking and soft operations research in
managing complexity (pp. 227-67). Geneva, Switzerland: Springer
International Publishing.
Keating, C.B., Calida, B.Y., Jaradat, R., and Katina, P.F. (in press) “Systems
thinking,” To appear in Merino, D.N. and Farr, J.V. (Eds.), ASEM
Handbook on Engineering Management, 2nd Edition (pp. xx-xx).
Huntsville, AL: ASEM Press.
Katina, P.F. (in press). “Individual and Societal Risk (RiskIS): Beyond
probability and consequence during Hurricane Katrina,” To appear in
Masys, A.J. (Ed.), Disaster Forensics: Understanding root cause and
complex causality (pp. xx-xx). Geneva, Switzerland: Springer
International Publishing.

Journal Publications – Peer Reviewed (16)

Keating, C.B. and Katina, P.F. (2016). “Complex system governance

development: A first generation methodology,” In: International Journal
of System of Systems Engineering, Vol. 7, Nos. 1/2/3, pp. 43-74.
Calida, B.Y. and Katina, P.F. (2015). “Modeling the 2008 financial economic
crisis: Triggers, Perspectives and implications from systems dynamics,”
In: International Journal of System of Systems Engineering, Vol. 6, No. 4,
pp. 273-301.
Katina, P.F. and Keating, C.B. (2015). “Critical infrastructures: A perspective
from systems of systems,” In: International Journal of Critical
Infrastructures, Vol. 11, No. 4, pp. 316-344.
132 Polinpapilinho F. Katina and Behnido Y. Calida

Katina, P.F. and Unal, R. (2015). “Application of fuzzy sets in decision

analysis for prioritizing critical energy infrastructures,” In: International
Journal Decision Sciences, Risk and Management, Vol. 6, No. 1, pp. 1-15.
Keating, C.B. and Katina, P.F. (2015). “Editorial: Foundational perspectives
for the emerging complex system governance field,” In: International
Journal of System of Systems Engineering, Vol. 6, Nos. ½, pp. 1-14 [guest
editors; 150 pages; 14 authors].
Katina, P.F. (2015). “Emerging systems theory-based pathologies for
governance of complex systems,” In: International Journal of System of
Systems Engineering, Vol. 6, Nos. ½, pp. 114-159.
Gheorghe, A.V. and Katina, P.F. (2014). “Editorial: Resiliency and
engineering systems - Research trends and challenges,” In: International
Journal of Critical Infrastructures, Vol. 10, Nos. ¾, pp. 193-199 [guest
editors; 212 pages; 27 authors].
Keating, C.B., Katina, P.F., and Bradley, J.M. (2014). “Complex system
governance: concept, challenges, and emerging research,” In:
International Journal of System of Systems Engineering, Vol. 5, No. 3, pp.
263-288.
Katina, P.F., Despotou, G., Calida, B.Y., Kholodkov, T., and Keating, C.B.
(2014). “Sustainability of systems of systems,” In: International Journal
of System of Systems Engineering, Vol. 5, No. 2, pp. 93-113.
Katina, P.F., Keating, C.B., and Jaradat, R.M. (2014). “System requirements
engineering in complex situations,” In: Requirements Engineering. Vol.
19, No. 1, pp. 45-62.
Katina, P.F., Pinto, C.A., Bradley, J.M., and Hester, P.T. (2014).
“Interdependency-induced risk with application to healthcare,” In:
International Journal of Critical Infrastructure Protection. Vol. 7, No. 1,
pp. 12-26.

Reviewed by: Prof. Dr. Charles B. Keating: [email protected].

 INDEX

broadband, 4, 10, 44
# browser, 92
business model, 68
20th century, 35
21st century, 106, 121, 126
C
A Ca2+, 40
calibration, 96
abstraction, x, 69, 71, 78, 99, 106
categorization, 67, 69, 110, 116
adaptability, 64
cation, 36, 37
aluminum oxide, 56
causality, 131
Ambiguity, 107
challenges, 64, 100, 102, 115, 125, 126,
amplitude, 13
132
anatomy, 77
chemical, 34, 35, 41, 42, 56
annealing, 39, 54, 58
chemical vapor deposition, 34
Artisan, 74, 76, 87, 90, 95
chromatic dispersion (CD), v, vii, viii, 1,
automated measuring system, vii, 1
2, 3, 17
automation, 109, 126
Chromatic Dispersion Characterization
System, v, 1
B circulation, 86, 89
classification, ix, 67, 70, 105, 107, 115
bandwidth, 7 clusters, 41
barriers, 108 cognitive function, 66
benefits, ix, 40, 105, 112 cognitive map, 119, 126
bias, 18, 20, 74 collaborative development, ix, 64, 73
biological systems, 109 commercial, viii, 51, 57, 73, 74, 101
biosensors, 42, 45, 60 communication, ix, 2, 10, 64, 71
birefringence, 8, 34, 37, 48 compatibility, 34, 67
blood, 60, 78, 81, 85, 87, 95, 99 complement, viii, 33
blood pressure, 85, 87, 95 complex organizations, 112
134 Index

complexity, 6, 64, 71, 106, 107, 109, electro optical modulator, vii, viii, 1, 6,
111, 112, 123, 124, 125, 128, 129, 8, 17, 19
131 electro optical modulator (EOM), vii,
composition, 54, 77, 78, 80, 82, 83 viii, 1, 6, 8, 10, 17, 18, 19, 20, 24, 27,
computation, 28 28, 29
computer, 44, 68 electrodes, 11, 18, 27
computerization, 109 electromagnetic, ix, 42, 51, 52, 58, 59,
conceptual model, 100 60
conceptual modelling, 100 electromagnetism, 14
conceptualization, ix, 69, 106 electron, 37, 56, 57
configuration, 42, 76 Emergence, 107, 129
consumption, 117 energy, 52, 58, 59, 60, 89, 122, 125, 132
coordination, 108, 114 engineering, vii, ix, 14, 64, 65, 68, 69,
cost, viii, 6, 10, 33, 53, 66, 67, 83, 112 70, 72, 74, 75, 83, 100, 102, 105, 106,
covalent bonding, 40 107, 112, 113, 117, 122, 123, 124,
creativity, 71 125, 126, 127, 131, 132
crystalline, 34, 48, 49 environment, ix, 40, 45, 60, 63, 64, 68,
69, 73, 74, 108, 117
environmental degradation, 108
D epistemology, 109, 110
etching, 34, 43, 56
data mining, 119 European Commission, 130
decomposition, 37, 41, 55, 72, 73, 78, 99 evaporation, 40
decoration, 34 evidence, 73
deficiencies, 121 evolution, 69, 114
degradation, 108 execution, 84, 89, 114
deployments, 47 exploitation, 42
deposition, 34, 41, 56, 59 exposure, 56
depth, 40, 41, 108 extraction, 4, 6
detection, 2, 20, 45, 58, 59, 116
detection techniques, 58
dielectric constant, 42 F
diffraction, 52, 58, 59
diffusion, 38, 40, 41, 54, 55 fabrication, viii, 33, 34, 35, 36, 37, 39,
direct measure, 66 41, 42, 43, 44, 46, 47, 48, 49, 51, 53,
discontinuity, 49 55, 56, 59, 61
dispersion, vii, viii, 1, 2, 6, 10, 17, 24, failure paradigms, ix, 105, 116
28, 29, 30, 40 fiber, vii, viii, 1, 2, 3, 4, 5, 6, 7, 10, 14,
distribution, 41, 69, 122 15, 17, 20, 24, 27, 28, 29, 34, 35, 44,
45, 47, 60
fiber optics, 14, 15
E financial, 129, 131
first generation, 126, 131
economic crisis, 129, 131 fluorescence, 60, 61
electric field, 40, 41, 44 forecasting, 47
formation, 42, 47, 55, 57, 58, 59
 Index 135

foundations, 108, 121, 126 interface, 7, 36, 37, 39, 41, 42, 69, 78,
fuzzy sets, 125, 132 81
interference, 3
interoperability, 74, 99
G intervention, 111, 114, 124
ion-exchange, vii, viii, 33, 34, 35, 37,
geometry, 34, 41 38, 39, 40, 41, 44, 46, 47, 48, 49, 52,
glass, vii, viii, 33, 34, 35, 36, 37, 38, 39, 54, 57, 60, 61
40, 41, 43, 46, 47, 48, 49, 51, 52, 53, Ion-Exchange Technology, v, 33
54, 55, 56, 57, 58, 59, 60, 61 ions, 34, 36, 37, 40, 41, 44, 53, 54, 55,
governance, 111, 123, 125, 126, 128, 57, 58, 59
129, 131, 132 isolation, 67, 108
issues, 67, 73, 109, 110, 113, 118, 121,
H 126

hard systems, 106, 110

K
hard systems thinking, 106
health, 109, 123 K+, 34, 35, 36, 37, 38, 40, 48, 49, 59, 61
health care, 123
heart block, 80
House, 49, 60, 102 L
human, ix, 60, 64, 65, 67, 76, 77, 80, 95,
110, 111, 114, 117 landscape, 107, 111, 115, 120, 121
human body, ix, 64, 76, 77, 95 languages, vii, ix, 64, 65, 72, 73, 77, 100
human values, 110 lasers, 14, 45, 46
Hurricane Katrina, 131 laws, 109, 110, 119
hybrid, 45, 48, 49 learning, 111, 113, 122, 124
hydrolysis, 34 life cycle, 65, 69, 100, 124
lifetime, 89, 90, 117
light, vii, 1, 2, 6, 7, 10, 11, 19, 34, 42,
I 44, 52, 56, 58, 116, 122
lithium, 10, 48
idealization, 113 low temperatures, 41
identification, 76, 112, 115, 119, 120,
121, 122
imports, 77 M
impurities, 39
individuals, 67 magnitude, 111
industry, 3, 73, 74 majority, 93, 99
insertion, 7, 54 Malaysia, 1, 17, 33, 51
integrated optics, viii, 34, 36, 49, 51, 53, management, 75, 76, 91, 112, 113, 118,
60 122, 123, 124, 126
integration, 34, 73, 74, 114, 118 manipulation, 52
integrity, 65 manufacturing, 47
Interdependence, 107, 108 mapping, 66, 93, 126
materials, 35, 40, 59, 61
136 Index

matrix, viii, 34, 40, 51, 53, 93, 96, 97 negative consequences, 119
matter, 14, 89, 100, 115 Netherlands, 126, 130
measurement, vii, viii, 4, 5, 6, 13, 15, 17, nodes, 86, 89, 99
18, 20, 28, 29, 30, 31, 48, 66, 87, 90, nucleus, 68
91, 94
melt, 34, 35, 36, 37, 39, 40, 41, 54, 55,
56, 59 O
melting, 37, 40, 41, 55
metal nanoparticles, ix, 51, 52, 58, 60 operations, 78, 112, 119, 123, 131
methodology, ix, 63, 71, 72, 76, 100, operations research, 112, 123, 131
101, 102, 105, 106, 107, 110, 111, optical communications, 34
112, 113, 114, 122, 123, 124, 126, optical fiber, 2, 3, 10, 15, 34, 35, 42, 47
131 optical networks, 2
microscope, 44, 54, 58 optical properties, viii, 10, 51, 53, 60
migration, 44, 46 optical sensors, 33, 42, 52
Model-Based Systems Engineering optical waveguide, vii, viii, 10, 33, 34,
(MBSE), vii, ix, 63, 64, 65, 69, 70, 35, 36, 44, 46, 47, 48, 52, 54, 56
71, 72, 73, 74, 100, 101, 102 Optical Waveguide Sensor, v, vii, 33, 35
modelling, vii, ix, 34, 64, 65, 66, 67, 68, optimization, vii, viii, 17, 111, 114
69, 70, 71, 72, 73, 74, 83, 84, 85, 91,
92, 100 P
models, 65, 66, 67, 68, 69, 70, 71, 74,
75, 84, 93, 99, 100, 102, 117 participants, 117, 120
modern science, 65 partition, 89, 92
Modulation Phase Shift, v, vii, 1, 2, 17 pathologies, x, 106, 118, 119, 120, 121,
modules, 99 122, 125, 131
modulus, 65 pathology, 119, 120
molecules, 53 photolithography, 43, 54, 56
momentum, 108 photonics, 49, 52, 59, 61
M-Path Method, x, 106, 119, 121 physical properties, 2, 99
physics, 48, 60, 61, 109
platform, viii, 51, 100
N
polarizability, 34, 37, 38
Na+, 34, 35, 37, 38, 40, 41, 46, 48, 49, polarization, 2, 6, 8, 9, 34, 40
53, 55, 57, 61 policy, 113, 126, 128
Nano particle, 52 potassium, 34, 39, 54, 57
nanometer, 57 principles, viii, 1, 65, 69, 72, 76, 109,
nanoparticles, ix, 51, 52, 55, 56, 57, 58, 110, 119, 123
59, 60 probability, 83, 115, 131
nanophotonics, 58 probability distribution, 83
nanostructures, 52, 58 problem formulation, 106, 111, 119,
nanowires, 52 121, 125, 131
National Aeronautics and Space problem solving, ix, 105
Administration, 130 programmability, 12
National Research Council, 130
 Index 137

programmable digital oscilloscope scattering, 40, 52, 55, 56, 60, 61

(DOSC), viii, 1, 2 science, 61, 65, 71, 106, 108, 109, 122,
programming languages, 72 124
propagation, 33, 34, 37, 39, 52, 61 scientific method, 108
propagation loss, 33, 37, 39, 52 self-regulation, 112
prototypes, 69, 70 semantics, 71, 84
psychology, 109 semiconductors, 34
sensing, 34, 42, 44, 46, 52, 58, 61
sensitivity, 35, 83
Q sensors, vii, 33, 35, 39, 42, 43, 49, 45,
52, 53, 58, 60
quality of service, 3 sequencing, 87
services, 40, 64, 78, 89
R set theory, 70
shape, 19, 24, 27, 34, 41, 60, 67
radius, 8, 34, 37, 38 shortage, 106, 110, 111
Raman spectroscopy, 52, 58, 59, 61 showing, 4, 27, 30, 73, 77, 80, 91
reactions, 42 signals, vii, 1, 4, 5, 7, 11, 13, 24, 27, 78
reality, 66, 69, 70, 71, 109, 115 silver, vii, 34, 35, 37, 39, 40, 41, 44, 47,
reasoning, 66 49, 56, 59, 60, 61
reception, 78 simulation, 67, 70, 102
recognition, 114 sine wave, 12
reductionism, 108, 109 Singapore, 127, 128
refractive index, 2, 27, 33, 34, 36, 37, single-loop learning, 113
40, 41, 52, 53, 54, 55 SiO2, 11, 47
reliability, 64, 67, 75, 100 smoothness, 54
requirements, 4, 40, 41, 42, 58, 66, 68, social sciences, 109
69, 73, 74, 75, 84, 91, 92, 93, 95, 96, social structure, 127
99, 111, 115, 118, 125, 132 society, 64, 67, 109, 113
researchers, 36, 40, 108, 111, 115 sodium, 40, 41, 54, 56, 60
resolution, 8, 12 soft systems, 106, 110
resonator, 45, 46 soft systems thinking, 106, 110
resources, 106, 119 software, vii, 1, 6, 7, 64, 65, 67, 68, 72,
response, 2, 10, 19, 24, 28, 52, 75, 90, 73, 74, 75, 78, 99, 102, 109, 120
108, 113 sol-gel, 34
retardation, 8, 9 solution, 44, 109, 111
RF frequencies, vii, viii, 17 specialists, 108
RF signal, viii, 1, 2, 6, 13, 14, 18, 19, 20, specialization, 77, 83
21, 22, 23, 24, 25, 26, 27, 28 specifications, 69, 93, 117
risk, 65, 92, 112, 125, 132 spectral component, 3
root, 72, 115, 116, 131 spectroscopy, 14, 52, 58, 59, 60, 61
stability, 12, 35, 38
stakeholders, ix, 63, 64, 66, 70, 71, 73,
S 74, 77, 91, 100, 110, 119
standardization, 65
salts, 37, 41
138 Index

state, ix, 8, 9, 35, 40, 48, 64, 66, 68, 70, techniques, 15, 42, 44, 58, 68, 71, 84,
71, 73, 75, 84, 90, 91, 94, 107, 115 126
strategic management, 122 technology(ies), vii, viii, 33, 34, 35, 46,
strategic planning, 126 47, 51, 61, 109, 117, 120
stress, 34, 35 temperature, 7, 8, 36, 37, 40, 41, 44, 54,
structure, 10, 36, 39, 40, 67, 68, 70, 71, 55
72, 74, 75, 76, 77, 78, 81, 89, 92, 99, testing, 15, 67
106, 107, 112, 113, 127 thermal stability, 38
subjectivity, 110, 111, 115 three-dimensional representation, 70
substrate, viii, 11, 33, 34, 36, 39, 40, 41, time lags, 117
42, 46, 53, 54, 55, 56 titanium, 10, 11
sustainability, 64, 100 top-down, 72
Switzerland, 125, 131 trade, 5, 72, 73, 83, 99
SysML, v, vii, ix, 63, 64, 65, 72, 73, 74, transformation, 84, 119
75, 76, 77, 79, 83, 84, 90, 91, 92, 99, transmission, viii, 2, 6, 10, 11, 18, 19,
100, 101, 102, 103 20, 33, 45, 58
system analysis, vii, 121 transparency, 10, 53
system model, 64, 73, 75, 91 transportation, 122, 131
systemic failure, vii, ix, 106, 107, 111, tunable laser (TLS), vii, 1, 2
115, 121
systems engineering, i, ii, iii, v, vii, ix,
63, 64, 65, 70, 72, 73, 74, 83, 100, U
101, 102, 103, 105, 106, 112, 113,
122, 124, 125, 126, 127, 128, 129, Uncertainty, 107
130, 131, 132 UV light, 56
Systems Philosophy, 109, 110
Systems Science, 103, 109, 110 V
Systems Technology, 109, 110
systems theory, x, 106, 109, 110, 111, validation, 67, 69, 73
119, 120, 121, 122, 125, 127, 132 variables, 111, 112
systems theory-based methodologies, variety of domains, 122
106, 111 vision, 70, 71, 126
systems theory-based pathologies, 106, visualization, 70
119, 120, 121, 132 vulnerability, 131
systems-based methodologies, 110, 111,
112, 114
W
T waveguide technology, vii, viii, 47, 51,
61
target, 66, 67, 70, 100 wavelengths, vii, viii, 3, 4, 5, 9, 17, 30,
teams, 76, 100, 101 39
technician, 77