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Tuesday, June 21, 2022

Electronic band structure

From Wikipedia, the free encyclopedia
 

In solid-state physics, the electronic band structure (or simply band structure) of a solid describes the range of energy levels that electrons may have within it, as well as the ranges of energy that they may not have (called band gaps or forbidden bands).

Band theory derives these bands and band gaps by examining the allowed quantum mechanical wave functions for an electron in a large, periodic lattice of atoms or molecules. Band theory has been successfully used to explain many physical properties of solids, such as electrical resistivity and optical absorption, and forms the foundation of the understanding of all solid-state devices (transistors, solar cells, etc.).

Why bands and band gaps occur

A hypothetical example of a large number of carbon atoms being brought together to form a diamond crystal, demonstrating formation of the electronic band structure. The right graph shows the energy levels as a function of the spacing between atoms. When far apart (right side of graph) all the atoms have discrete valence orbitals p and s with the same energies. However, when the atoms come closer (left side), their electron orbitals begin to spatially overlap. The orbitals hybridize, and each atomic level splits into N levels with different energies, where N is the number of atoms. Since N is a very large number in a macroscopic sized crystal, the adjacent levels are energetically close together, effectively forming a continuous energy band. At the actual diamond crystal cell size (denoted by a), two bands are formed, called the valence and conduction bands, separated by a 5.5 eV band gap. Decreasing the inter-atomic spacing even more (e.g., under a high pressure) further modifies the band structure.

The electrons of a single, isolated atom occupy atomic orbitals each of which has a discrete energy level. When two or more atoms join together to form a molecule, their atomic orbitals overlap and hybridize.

Similarly, if a large number N of identical atoms come together to form a solid, such as a crystal lattice, the atoms' atomic orbitals overlap with the nearby orbitals. Each discrete energy level splits into N levels, each with a different energy. Since the number of atoms in a macroscopic piece of solid is a very large number (N~1022) the number of orbitals is very large and thus they are very closely spaced in energy (of the order of 10−22 eV). The energy of the adjacent levels is so close together that they can be considered as a continuum, an energy band.

This formation of bands is mostly a feature of the outermost electrons (valence electrons) in the atom, which are the ones involved in chemical bonding and electrical conductivity. The inner electron orbitals do not overlap to a significant degree, so their bands are very narrow.

Band gaps are essentially leftover ranges of energy not covered by any band, a result of the finite widths of the energy bands. The bands have different widths, with the widths depending upon the degree of overlap in the atomic orbitals from which they arise. Two adjacent bands may simply not be wide enough to fully cover the range of energy. For example, the bands associated with core orbitals (such as 1s electrons) are extremely narrow due to the small overlap between adjacent atoms. As a result, there tend to be large band gaps between the core bands. Higher bands involve comparatively larger orbitals with more overlap, becoming progressively wider at higher energies so that there are no band gaps at higher energies.

Basic concepts

Assumptions and limits of band structure theory

Band theory is only an approximation to the quantum state of a solid, which applies to solids consisting of many identical atoms or molecules bonded together. These are the assumptions necessary for band theory to be valid:

  • Infinite-size system: For the bands to be continuous, the piece of material must consist of a large number of atoms. Since a macroscopic piece of material contains on the order of 1022 atoms, this is not a serious restriction; band theory even applies to microscopic-sized transistors in integrated circuits. With modifications, the concept of band structure can also be extended to systems which are only "large" along some dimensions, such as two-dimensional electron systems.
  • Homogeneous system: Band structure is an intrinsic property of a material, which assumes that the material is homogeneous. Practically, this means that the chemical makeup of the material must be uniform throughout the piece.
  • Non-interactivity: The band structure describes "single electron states". The existence of these states assumes that the electrons travel in a static potential without dynamically interacting with lattice vibrations, other electrons, photons, etc.

The above assumptions are broken in a number of important practical situations, and the use of band structure requires one to keep a close check on the limitations of band theory:

  • Inhomogeneities and interfaces: Near surfaces, junctions, and other inhomogeneities, the bulk band structure is disrupted. Not only are there local small-scale disruptions (e.g., surface states or dopant states inside the band gap), but also local charge imbalances. These charge imbalances have electrostatic effects that extend deeply into semiconductors, insulators, and the vacuum (see doping, band bending).
  • Along the same lines, most electronic effects (capacitance, electrical conductance, electric-field screening) involve the physics of electrons passing through surfaces and/or near interfaces. The full description of these effects, in a band structure picture, requires at least a rudimentary model of electron-electron interactions (see space charge, band bending).
  • Small systems: For systems which are small along every dimension (e.g., a small molecule or a quantum dot), there is no continuous band structure. The crossover between small and large dimensions is the realm of mesoscopic physics.
  • Strongly correlated materials (for example, Mott insulators) simply cannot be understood in terms of single-electron states. The electronic band structures of these materials are poorly defined (or at least, not uniquely defined) and may not provide useful information about their physical state.

Crystalline symmetry and wavevectors

Fig 1. Brillouin zone of a face-centered cubic lattice showing labels for special symmetry points.
 
Fig 2. Band structure plot for Si, Ge, GaAs and InAs generated with tight binding model. Note that Si and Ge are indirect band gap materials, while GaAs and InAs are direct.
 

Band structure calculations take advantage of the periodic nature of a crystal lattice, exploiting its symmetry. The single-electron Schrödinger equation is solved for an electron in a lattice-periodic potential, giving Bloch electrons as solutions

,

where k is called the wavevector. For each value of k, there are multiple solutions to the Schrödinger equation labelled by n, the band index, which simply numbers the energy bands. Each of these energy levels evolves smoothly with changes in k, forming a smooth band of states. For each band we can define a function En(k), which is the dispersion relation for electrons in that band.

The wavevector takes on any value inside the Brillouin zone, which is a polyhedron in wavevector (reciprocal lattice) space that is related to the crystal's lattice. Wavevectors outside the Brillouin zone simply correspond to states that are physically identical to those states within the Brillouin zone. Special high symmetry points/lines in the Brillouin zone are assigned labels like Γ, Δ, Λ, Σ (see Fig 1).

It is difficult to visualize the shape of a band as a function of wavevector, as it would require a plot in four-dimensional space, E vs. kx, ky, kz. In scientific literature it is common to see band structure plots which show the values of En(k) for values of k along straight lines connecting symmetry points, often labelled Δ, Λ, Σ, respectively. Another method for visualizing band structure is to plot a constant-energy isosurface in wavevector space, showing all of the states with energy equal to a particular value. The isosurface of states with energy equal to the Fermi level is known as the Fermi surface.

Energy band gaps can be classified using the wavevectors of the states surrounding the band gap:

  • Direct band gap: the lowest-energy state above the band gap has the same k as the highest-energy state beneath the band gap.
  • Indirect band gap: the closest states above and beneath the band gap do not have the same k value.

Asymmetry: Band structures in non-crystalline solids

Although electronic band structures are usually associated with crystalline materials, quasi-crystalline and amorphous solids may also exhibit band gaps. These are somewhat more difficult to study theoretically since they lack the simple symmetry of a crystal, and it is not usually possible to determine a precise dispersion relation. As a result, virtually all of the existing theoretical work on the electronic band structure of solids has focused on crystalline materials.

Density of states

The density of states function g(E) is defined as the number of electronic states per unit volume, per unit energy, for electron energies near E.

The density of states function is important for calculations of effects based on band theory. In Fermi's Golden Rule, a calculation for the rate of optical absorption, it provides both the number of excitable electrons and the number of final states for an electron. It appears in calculations of electrical conductivity where it provides the number of mobile states, and in computing electron scattering rates where it provides the number of final states after scattering.

For energies inside a band gap, g(E) = 0.

Filling of bands

Filling of the electronic states in various types of materials at equilibrium. Here, height is energy while width is the density of available states for a certain energy in the material listed. The shade follows the Fermi–Dirac distribution (black: all states filled, white: no state filled). In metals and semimetals the Fermi level EF lies inside at least one band.
In insulators and semiconductors the Fermi level is inside a band gap; however, in semiconductors the bands are near enough to the Fermi level to be thermally populated with electrons or holes.

At thermodynamic equilibrium, the likelihood of a state of energy E being filled with an electron is given by the Fermi–Dirac distribution, a thermodynamic distribution that takes into account the Pauli exclusion principle:

where:

  • kBT is the product of Boltzmann's constant and temperature, and
  • µ is the total chemical potential of electrons, or Fermi level (in semiconductor physics, this quantity is more often denoted EF). The Fermi level of a solid is directly related to the voltage on that solid, as measured with a voltmeter. Conventionally, in band structure plots the Fermi level is taken to be the zero of energy (an arbitrary choice).

The density of electrons in the material is simply the integral of the Fermi–Dirac distribution times the density of states:

Although there are an infinite number of bands and thus an infinite number of states, there are only a finite number of electrons to place in these bands. The preferred value for the number of electrons is a consequence of electrostatics: even though the surface of a material can be charged, the internal bulk of a material prefers to be charge neutral. The condition of charge neutrality means that N/V must match the density of protons in the material. For this to occur, the material electrostatically adjusts itself, shifting its band structure up or down in energy (thereby shifting g(E)), until it is at the correct equilibrium with respect to the Fermi level.

Names of bands near the Fermi level (conduction band, valence band)

A solid has an infinite number of allowed bands, just as an atom has infinitely many energy levels. However, most of the bands simply have too high energy, and are usually disregarded under ordinary circumstances. Conversely, there are very low energy bands associated with the core orbitals (such as 1s electrons). These low-energy core bands are also usually disregarded since they remain filled with electrons at all times, and are therefore inert. Likewise, materials have several band gaps throughout their band structure.

The most important bands and band gaps—those relevant for electronics and optoelectronics—are those with energies near the Fermi level. The bands and band gaps near the Fermi level are given special names, depending on the material:

  • In a semiconductor or band insulator, the Fermi level is surrounded by a band gap, referred to as the band gap (to distinguish it from the other band gaps in the band structure). The closest band above the band gap is called the conduction band, and the closest band beneath the band gap is called the valence band. The name "valence band" was coined by analogy to chemistry, since in semiconductors (and insulators) the valence band is built out of the valence orbitals.
  • In a metal or semimetal, the Fermi level is inside of one or more allowed bands. In semimetals the bands are usually referred to as "conduction band" or "valence band" depending on whether the charge transport is more electron-like or hole-like, by analogy to semiconductors. In many metals, however, the bands are neither electron-like nor hole-like, and often just called "valence band" as they are made of valence orbitals. The band gaps in a metal's band structure are not important for low energy physics, since they are too far from the Fermi level.

Theory in crystals

The ansatz is the special case of electron waves in a periodic crystal lattice using Bloch's theorem as treated generally in the dynamical theory of diffraction. Every crystal is a periodic structure which can be characterized by a Bravais lattice, and for each Bravais lattice we can determine the reciprocal lattice, which encapsulates the periodicity in a set of three reciprocal lattice vectors (b1, b2, b3). Now, any periodic potential V(r) which shares the same periodicity as the direct lattice can be expanded out as a Fourier series whose only non-vanishing components are those associated with the reciprocal lattice vectors. So the expansion can be written as:

where K = m1b1 + m2b2 + m3b3 for any set of integers (m1, m2, m3).

From this theory, an attempt can be made to predict the band structure of a particular material, however most ab initio methods for electronic structure calculations fail to predict the observed band gap.

Nearly free electron approximation

In the nearly free electron approximation, interactions between electrons are completely ignored. This approximation allows use of Bloch's Theorem which states that electrons in a periodic potential have wavefunctions and energies which are periodic in wavevector up to a constant phase shift between neighboring reciprocal lattice vectors. The consequences of periodicity are described mathematically by the Bloch's theorem, which states that the eigenstate wavefunctions have the form

where the Bloch function is periodic over the crystal lattice, that is,

.

Here index n refers to the n-th energy band, wavevector k is related to the direction of motion of the electron, r is the position in the crystal, and R is the location of an atomic site.

The NFE model works particularly well in materials like metals where distances between neighbouring atoms are small. In such materials the overlap of atomic orbitals and potentials on neighbouring atoms is relatively large. In that case the wave function of the electron can be approximated by a (modified) plane wave. The band structure of a metal like aluminium even gets close to the empty lattice approximation.

Tight binding model

The opposite extreme to the nearly free electron approximation assumes the electrons in the crystal behave much like an assembly of constituent atoms. This tight binding model assumes the solution to the time-independent single electron Schrödinger equation is well approximated by a linear combination of atomic orbitals .

,

where the coefficients are selected to give the best approximate solution of this form. Index n refers to an atomic energy level and R refers to an atomic site. A more accurate approach using this idea employs Wannier functions, defined by:

;

in which is the periodic part of the Bloch's theorem and the integral is over the Brillouin zone. Here index n refers to the n-th energy band in the crystal. The Wannier functions are localized near atomic sites, like atomic orbitals, but being defined in terms of Bloch functions they are accurately related to solutions based upon the crystal potential. Wannier functions on different atomic sites R are orthogonal. The Wannier functions can be used to form the Schrödinger solution for the n-th energy band as:

.

The TB model works well in materials with limited overlap between atomic orbitals and potentials on neighbouring atoms. Band structures of materials like Si, GaAs, SiO2 and diamond for instance are well described by TB-Hamiltonians on the basis of atomic sp3 orbitals. In transition metals a mixed TB-NFE model is used to describe the broad NFE conduction band and the narrow embedded TB d-bands. The radial functions of the atomic orbital part of the Wannier functions are most easily calculated by the use of pseudopotential methods. NFE, TB or combined NFE-TB band structure calculations, sometimes extended with wave function approximations based on pseudopotential methods, are often used as an economic starting point for further calculations.

KKR model

The KKR method, also called "multiple scattering theory" or Green's function method, finds the stationary values of the inverse transition matrix T rather than the Hamiltonian. A variational implementation was suggested by Korringa, Kohn and Rostocker, and is often referred to as the Korringa–Kohn–Rostoker method. The most important features of the KKR or Green's function formulation are (1) it separates the two aspects of the problem: structure (positions of the atoms) from the scattering (chemical identity of the atoms); and (2) Green's functions provide a natural approach to a localized description of electronic properties that can be adapted to alloys and other disordered system. The simplest form of this approximation centers non-overlapping spheres (referred to as muffin tins) on the atomic positions. Within these regions, the potential experienced by an electron is approximated to be spherically symmetric about the given nucleus. In the remaining interstitial region, the screened potential is approximated as a constant. Continuity of the potential between the atom-centered spheres and interstitial region is enforced.

Density-functional theory

In recent physics literature, a large majority of the electronic structures and band plots are calculated using density-functional theory (DFT), which is not a model but rather a theory, i.e., a microscopic first-principles theory of condensed matter physics that tries to cope with the electron-electron many-body problem via the introduction of an exchange-correlation term in the functional of the electronic density. DFT-calculated bands are in many cases found to be in agreement with experimentally measured bands, for example by angle-resolved photoemission spectroscopy (ARPES). In particular, the band shape is typically well reproduced by DFT. But there are also systematic errors in DFT bands when compared to experiment results. In particular, DFT seems to systematically underestimate by about 30-40% the band gap in insulators and semiconductors.

It is commonly believed that DFT is a theory to predict ground state properties of a system only (e.g. the total energy, the atomic structure, etc.), and that excited state properties cannot be determined by DFT. This is a misconception. In principle, DFT can determine any property (ground state or excited state) of a system given a functional that maps the ground state density to that property. This is the essence of the Hohenberg–Kohn theorem. In practice, however, no known functional exists that maps the ground state density to excitation energies of electrons within a material. Thus, what in the literature is quoted as a DFT band plot is a representation of the DFT Kohn–Sham energies, i.e., the energies of a fictive non-interacting system, the Kohn–Sham system, which has no physical interpretation at all. The Kohn–Sham electronic structure must not be confused with the real, quasiparticle electronic structure of a system, and there is no Koopmans' theorem holding for Kohn–Sham energies, as there is for Hartree–Fock energies, which can be truly considered as an approximation for quasiparticle energies. Hence, in principle, Kohn–Sham based DFT is not a band theory, i.e., not a theory suitable for calculating bands and band-plots. In principle time-dependent DFT can be used to calculate the true band structure although in practice this is often difficult. A popular approach is the use of hybrid functionals, which incorporate a portion of Hartree–Fock exact exchange; this produces a substantial improvement in predicted bandgaps of semiconductors, but is less reliable for metals and wide-bandgap materials.

Green's function methods and the ab initio GW approximation

To calculate the bands including electron-electron interaction many-body effects, one can resort to so-called Green's function methods. Indeed, knowledge of the Green's function of a system provides both ground (the total energy) and also excited state observables of the system. The poles of the Green's function are the quasiparticle energies, the bands of a solid. The Green's function can be calculated by solving the Dyson equation once the self-energy of the system is known. For real systems like solids, the self-energy is a very complex quantity and usually approximations are needed to solve the problem. One such approximation is the GW approximation, so called from the mathematical form the self-energy takes as the product Σ = GW of the Green's function G and the dynamically screened interaction W. This approach is more pertinent when addressing the calculation of band plots (and also quantities beyond, such as the spectral function) and can also be formulated in a completely ab initio way. The GW approximation seems to provide band gaps of insulators and semiconductors in agreement with experiment, and hence to correct the systematic DFT underestimation.

Dynamical mean-field theory

Although the nearly free electron approximation is able to describe many properties of electron band structures, one consequence of this theory is that it predicts the same number of electrons in each unit cell. If the number of electrons is odd, we would then expect that there is an unpaired electron in each unit cell, and thus that the valence band is not fully occupied, making the material a conductor. However, materials such as CoO that have an odd number of electrons per unit cell are insulators, in direct conflict with this result. This kind of material is known as a Mott insulator, and requires inclusion of detailed electron-electron interactions (treated only as an averaged effect on the crystal potential in band theory) to explain the discrepancy. The Hubbard model is an approximate theory that can include these interactions. It can be treated non-perturbatively within the so-called dynamical mean-field theory, which attempts to bridge the gap between the nearly free electron approximation and the atomic limit. Formally, however, the states are not non-interacting in this case and the concept of a band structure is not adequate to describe these cases.

Others

Calculating band structures is an important topic in theoretical solid state physics. In addition to the models mentioned above, other models include the following:

  • Empty lattice approximation: the "band structure" of a region of free space that has been divided into a lattice.
  • k·p perturbation theory is a technique that allows a band structure to be approximately described in terms of just a few parameters. The technique is commonly used for semiconductors, and the parameters in the model are often determined by experiment.
  • The Kronig–Penney model, a one-dimensional rectangular well model useful for illustration of band formation. While simple, it predicts many important phenomena, but is not quantitative.
  • Hubbard model

The band structure has been generalised to wavevectors that are complex numbers, resulting in what is called a complex band structure, which is of interest at surfaces and interfaces.

Each model describes some types of solids very well, and others poorly. The nearly free electron model works well for metals, but poorly for non-metals. The tight binding model is extremely accurate for ionic insulators, such as metal halide salts (e.g. NaCl).

Band diagrams

To understand how band structure changes relative to the Fermi level in real space, a band structure plot is often first simplified in the form of a band diagram. In a band diagram the vertical axis is energy while the horizontal axis represents real space. Horizontal lines represent energy levels, while blocks represent energy bands. When the horizontal lines in these diagram are slanted then the energy of the level or band changes with distance. Diagrammatically, this depicts the presence of an electric field within the crystal system. Band diagrams are useful in relating the general band structure properties of different materials to one another when placed in contact with each other.

Fault tree analysis

From Wikipedia, the free encyclopedia
 
A fault tree diagram

Fault tree analysis (FTA) is a type of failure analysis in which an undesired state of a system is examined. This analysis method is mainly used in safety engineering and reliability engineering to understand how systems can fail, to identify the best ways to reduce risk and to determine (or get a feeling for) event rates of a safety accident or a particular system level (functional) failure. FTA is used in the aerospace, nuclear power, chemical and process, pharmaceutical, petrochemical and other high-hazard industries; but is also used in fields as diverse as risk factor identification relating to social service system failure. FTA is also used in software engineering for debugging purposes and is closely related to cause-elimination technique used to detect bugs.

In aerospace, the more general term "system failure condition" is used for the "undesired state" / top event of the fault tree. These conditions are classified by the severity of their effects. The most severe conditions require the most extensive fault tree analysis. These system failure conditions and their classification are often previously determined in the functional hazard analysis.

Usage

Fault tree analysis can be used to:

  • understand the logic leading to the top event / undesired state.
  • show compliance with the (input) system safety / reliability requirements.
  • prioritize the contributors leading to the top event- creating the critical equipment/parts/events lists for different importance measures
  • monitor and control the safety performance of the complex system (e.g., is a particular aircraft safe to fly when fuel valve x malfunctions? For how long is it allowed to fly with the valve malfunction?).
  • minimize and optimize resources.
  • assist in designing a system. The FTA can be used as a design tool that helps to create (output / lower level) requirements.
  • function as a diagnostic tool to identify and correct causes of the top event. It can help with the creation of diagnostic manuals / processes.

History

Fault tree analysis (FTA) was originally developed in 1962 at Bell Laboratories by H.A. Watson, under a U.S. Air Force Ballistics Systems Division contract to evaluate the Minuteman I Intercontinental Ballistic Missile (ICBM) Launch Control System. The use of fault trees has since gained widespread support and is often used as a failure analysis tool by reliability experts. Following the first published use of FTA in the 1962 Minuteman I Launch Control Safety Study, Boeing and AVCO expanded use of FTA to the entire Minuteman II system in 1963–1964. FTA received extensive coverage at a 1965 System Safety Symposium in Seattle sponsored by Boeing and the University of Washington. Boeing began using FTA for civil aircraft design around 1966.

Subsequently, within the U.S. military, application of FTA for use with fuses was explored by Picatinny Arsenal in the 1960s and 1970s. In 1976 the U.S. Army Materiel Command incorporated FTA into an Engineering Design Handbook on Design for Reliability. The Reliability Analysis Center at Rome Laboratory and its successor organizations now with the Defense Technical Information Center (Reliability Information Analysis Center, and now Defense Systems Information Analysis Center) has published documents on FTA and reliability block diagrams since the 1960s. MIL-HDBK-338B provides a more recent reference.

In 1970, the U.S. Federal Aviation Administration (FAA) published a change to 14 CFR 25.1309 airworthiness regulations for transport category aircraft in the Federal Register at 35 FR 5665 (1970-04-08). This change adopted failure probability criteria for aircraft systems and equipment and led to widespread use of FTA in civil aviation. In 1998, the FAA published Order 8040.4, establishing risk management policy including hazard analysis in a range of critical activities beyond aircraft certification, including air traffic control and modernization of the U.S. National Airspace System. This led to the publication of the FAA System Safety Handbook, which describes the use of FTA in various types of formal hazard analysis.

Early in the Apollo program the question was asked about the probability of successfully sending astronauts to the moon and returning them safely to Earth. A risk, or reliability, calculation of some sort was performed and the result was a mission success probability that was unacceptably low. This result discouraged NASA from further quantitative risk or reliability analysis until after the Challenger accident in 1986. Instead, NASA decided to rely on the use of failure modes and effects analysis (FMEA) and other qualitative methods for system safety assessments. After the Challenger accident, the importance of probabilistic risk assessment (PRA) and FTA in systems risk and reliability analysis was realized and its use at NASA has begun to grow and now FTA is considered as one of the most important system reliability and safety analysis techniques.

Within the nuclear power industry, the U.S. Nuclear Regulatory Commission began using PRA methods including FTA in 1975, and significantly expanded PRA research following the 1979 incident at Three Mile Island. This eventually led to the 1981 publication of the NRC Fault Tree Handbook NUREG–0492, and mandatory use of PRA under the NRC's regulatory authority.

Following process industry disasters such as the 1984 Bhopal disaster and 1988 Piper Alpha explosion, in 1992 the United States Department of Labor Occupational Safety and Health Administration (OSHA) published in the Federal Register at 57 FR 6356 (1992-02-24) its Process Safety Management (PSM) standard in 19 CFR 1910.119. OSHA PSM recognizes FTA as an acceptable method for process hazard analysis (PHA).

Today FTA is widely used in system safety and reliability engineering, and in all major fields of engineering.

Methodology

FTA methodology is described in several industry and government standards, including NRC NUREG–0492 for the nuclear power industry, an aerospace-oriented revision to NUREG–0492 for use by NASA, SAE ARP4761 for civil aerospace, MIL–HDBK–338 for military systems, IEC standard IEC 61025 is intended for cross-industry use and has been adopted as European Norm EN 61025.

Any sufficiently complex system is subject to failure as a result of one or more subsystems failing. The likelihood of failure, however, can often be reduced through improved system design. Fault tree analysis maps the relationship between faults, subsystems, and redundant safety design elements by creating a logic diagram of the overall system.

The undesired outcome is taken as the root ('top event') of a tree of logic. For instance the undesired outcome of a metal stamping press operation is a human appendage being stamped. Working backward from this top event we might determine there are two ways this could happen: during normal operation or during maintenance operation. This condition is a logical OR. Considering the branch of occurring during normal operation perhaps we determine there are two ways this could happen: the press cycles and harms the operator or the press cycles and harms another person. This is another logical OR. We can make a design improvement by requiring the operator to press two buttons to cycle the machine—this is a safety feature in the form of a logical AND. The button may have an intrinsic failure rate—this becomes a fault stimulus we can analyze. When fault trees are labeled with actual numbers for failure probabilities, computer programs can calculate failure probabilities from fault trees. When a specific event is found to have more than one effect event, i.e. it has impact on several subsystems, it is called a common cause or common mode. Graphically speaking, it means this event will appear at several locations in the tree. Common causes introduce dependency relations between events. The probability computations of a tree which contains some common causes are much more complicated than regular trees where all events are considered as independent. Not all software tools available on the market provide such capability.

The tree is usually written out using conventional logic gate symbols. A cut set is a combination of events, typically component failures, causing the top event. If no event can be removed from a cut set without failing to cause the top event, then it is called a minimal cut set.

Some industries use both fault trees and event trees (see Probabilistic Risk Assessment). An event tree starts from an undesired initiator (loss of critical supply, component failure etc.) and follows possible further system events through to a series of final consequences. As each new event is considered, a new node on the tree is added with a split of probabilities of taking either branch. The probabilities of a range of 'top events' arising from the initial event can then be seen.

Classic programs include the Electric Power Research Institute's (EPRI) CAFTA software, which is used by many of the US nuclear power plants and by a majority of US and international aerospace manufacturers, and the Idaho National Laboratory's SAPHIRE, which is used by the U.S. Government to evaluate the safety and reliability of nuclear reactors, the Space Shuttle, and the International Space Station. Outside the US, the software RiskSpectrum is a popular tool for fault tree and event tree analysis, and is licensed for use at almost half of the world's nuclear power plants for probabilistic safety assessment. Professional-grade free software is also widely available; SCRAM is an open-source tool that implements the Open-PSA Model Exchange Format open standard for probabilistic safety assessment applications.

Graphic symbols

The basic symbols used in FTA are grouped as events, gates, and transfer symbols. Minor variations may be used in FTA software.

Event symbols

Event symbols are used for primary events and intermediate events. Primary events are not further developed on the fault tree. Intermediate events are found at the output of a gate. The event symbols are shown below:

The primary event symbols are typically used as follows:

  • Basic event - failure or error in a system component or element (example: switch stuck in open position)
  • External event - normally expected to occur (not of itself a fault)
  • Undeveloped event - an event about which insufficient information is available, or which is of no consequence
  • Conditioning event - conditions that restrict or affect logic gates (example: mode of operation in effect)

An intermediate event gate can be used immediately above a primary event to provide more room to type the event description.

FTA is a top-to-bottom approach.

Gate symbols

Gate symbols describe the relationship between input and output events. The symbols are derived from Boolean logic symbols:

The gates work as follows:

  • OR gate - the output occurs if any input occurs.
  • AND gate - the output occurs only if all inputs occur (inputs are independent from the source).
  • Exclusive OR gate - the output occurs if exactly one input occurs.
  • Priority AND gate - the output occurs if the inputs occur in a specific sequence specified by a conditioning event.
  • Inhibit gate - the output occurs if the input occurs under an enabling condition specified by a conditioning event.

Transfer symbols

Transfer symbols are used to connect the inputs and outputs of related fault trees, such as the fault tree of a subsystem to its system. NASA prepared a complete document about FTA through practical incidents.

Basic mathematical foundation

Events in a fault tree are associated with statistical probabilities or Poisson-Exponentially distributed constant rates. For example, component failures may typically occur at some constant failure rate λ (a constant hazard function). In this simplest case, failure probability depends on the rate λ and the exposure time t:

where:

if

A fault tree is often normalized to a given time interval, such as a flight hour or an average mission time. Event probabilities depend on the relationship of the event hazard function to this interval.

Unlike conventional logic gate diagrams in which inputs and outputs hold the binary values of TRUE (1) or FALSE (0), the gates in a fault tree output probabilities related to the set operations of Boolean logic. The probability of a gate's output event depends on the input event probabilities.

An AND gate represents a combination of independent events. That is, the probability of any input event to an AND gate is unaffected by any other input event to the same gate. In set theoretic terms, this is equivalent to the intersection of the input event sets, and the probability of the AND gate output is given by:

P (A and B) = P (A ∩ B) = P(A) P(B)

An OR gate, on the other hand, corresponds to set union:

P (A or B) = P (A ∪ B) = P(A) + P(B) - P (A ∩ B)

Since failure probabilities on fault trees tend to be small (less than .01), P (A ∩ B) usually becomes a very small error term, and the output of an OR gate may be conservatively approximated by using an assumption that the inputs are mutually exclusive events:

P (A or B) ≈ P(A) + P(B), P (A ∩ B) ≈ 0

An exclusive OR gate with two inputs represents the probability that one or the other input, but not both, occurs:

P (A xor B) = P(A) + P(B) - 2P (A ∩ B)

Again, since P (A ∩ B) usually becomes a very small error term, the exclusive OR gate has limited value in a fault tree.

Quite often, Poisson-Exponentially distributed rates are used to quantify a fault tree instead of probabilities. Rates are often modeled as constant in time while probability is a function of time. Poisson-Exponential events are modelled as infinitely short so no two events can overlap. An OR gate is the superposition (addition of rates) of the two input failure frequencies or failure rates which are modeled as Poisson point processes. The output of an AND gate is calculated using the unavailability (Q1) of one event thinning the Poisson point process of the other event (λ2). The unavailability (Q2) of the other event then thins the Poisson point process of the first event (λ1). The two resulting Poisson point processes are superimposed according to the following equations.

The output of an AND gate is the combination of independent input events 1 and 2 to the AND gate:

Failure Frequency = λ1Q2 + λ2Q1 where Q = 1 - eλt ≈ λt if λt < 0.001
Failure Frequency ≈ λ1λ2t2 + λ2λ1t1 if λ1t1 < 0.001 and λ2t2 < 0.001

In a fault tree, unavailability (Q) may be defined as the unavailability of safe operation and may not refer to the unavailability of the system operation depending on how the fault tree was structured. The input terms to the fault tree must be carefully defined.

Analysis

Many different approaches can be used to model a FTA, but the most common and popular way can be summarized in a few steps. A single fault tree is used to analyze one and only one undesired event, which may be subsequently fed into another fault tree as a basic event. Though the nature of the undesired event may vary dramatically, a FTA follows the same procedure for any undesired event; be it a delay of 0.25 ms for the generation of electrical power, an undetected cargo bay fire, or the random, unintended launch of an ICBM.

FTA analysis involves five steps:

  1. Define the undesired event to study.
    • Definition of the undesired event can be very hard to uncover, although some of the events are very easy and obvious to observe. An engineer with a wide knowledge of the design of the system is the best person to help define and number the undesired events. Undesired events are used then to make FTAs. Each FTA is limited to one undesired event.
  2. Obtain an understanding of the system.
    • Once the undesired event is selected, all causes with probabilities of affecting the undesired event of 0 or more are studied and analyzed. Getting exact numbers for the probabilities leading to the event is usually impossible for the reason that it may be very costly and time-consuming to do so. Computer software is used to study probabilities; this may lead to less costly system analysis.
      System analysts can help with understanding the overall system. System designers have full knowledge of the system and this knowledge is very important for not missing any cause affecting the undesired event. For the selected event all causes are then numbered and sequenced in the order of occurrence and then are used for the next step which is drawing or constructing the fault tree.
  3. Construct the fault tree.
    • After selecting the undesired event and having analyzed the system so that we know all the causing effects (and if possible their probabilities) we can now construct the fault tree. Fault tree is based on AND and OR gates which define the major characteristics of the fault tree.
  4. Evaluate the fault tree.
    • After the fault tree has been assembled for a specific undesired event, it is evaluated and analyzed for any possible improvement or in other words study the risk management and find ways for system improvement. A wide range of qualitative and quantitative analysis methods can be applied. This step is as an introduction for the final step which will be to control the hazards identified. In short, in this step we identify all possible hazards affecting the system in a direct or indirect way.
  5. Control the hazards identified.
    • This step is very specific and differs largely from one system to another, but the main point will always be that after identifying the hazards all possible methods are pursued to decrease the probability of occurrence.

Comparison with other analytical methods

FTA is a deductive, top-down method aimed at analyzing the effects of initiating faults and events on a complex system. This contrasts with failure mode and effects analysis (FMEA), which is an inductive, bottom-up analysis method aimed at analyzing the effects of single component or function failures on equipment or subsystems. FTA is very good at showing how resistant a system is to single or multiple initiating faults. It is not good at finding all possible initiating faults. FMEA is good at exhaustively cataloging initiating faults, and identifying their local effects. It is not good at examining multiple failures or their effects at a system level. FTA considers external events, FMEA does not. In civil aerospace the usual practice is to perform both FTA and FMEA, with a failure mode effects summary (FMES) as the interface between FMEA and FTA.

Alternatives to FTA include dependence diagram (DD), also known as reliability block diagram (RBD) and Markov analysis. A dependence diagram is equivalent to a success tree analysis (STA), the logical inverse of an FTA, and depicts the system using paths instead of gates. DD and STA produce probability of success (i.e., avoiding a top event) rather than probability of a top event.

Insects in medicine

From Wikipedia, the free encyclopedia
 
Maggot debridement therapy on a wound on a diabetic foot

Insects have long been used in medicine, both traditional and modern, sometimes with little evidence of their effectiveness. For the purpose of the article, and in line with custom, medicinal uses of other arthropods such as spiders are included.

Traditional and alternative uses

The medicinal uses of insects and other arthropods worldwide have been reviewed by Meyer-Rochow, who provides examples of all major insect groups, spiders, worms and molluscs and discusses their potential as suppliers of bioactive components. Using insects (and spiders) to treat various maladies and injuries has a long tradition and, having stood the test of time, can be effective and provide results. However, sometimes folk-medicinal "logic" was based on the Doctrine of Signatures = "let likes be cured by likes"and had, if any at all, little more than a psychological effect. For example, to treat cases of constipation, dung beetles were prescribed; to slim down stick insects were thought to help; hairy tarantulas seemed the right treatment for hair loss and fat grubs resembling the swollen limb caused by the parasite Wuchereria bancrofti were expected to help the elephantiasis sufferer. An organism bearing parts that resemble human body parts, animals, or other objects, was thought to have useful relevance to those parts, animals or objects. So, for example, the femurs of grasshoppers, which were said to resemble the human liver, were used to treat liver ailments by the indigenous peoples of Mexico. This doctrine is common throughout traditional and alternative medicine, but is most prominent where medical traditions are broadly accepted, as in traditional Chinese medicine and Ayurveda, and less by community and family based medicine, as is more common in parts of Africa.

Traditional Chinese medicine

Traditional Chinese medicine includes the use of herbal medicine, acupuncture, massage, exercise, and dietary therapy. It is a typical component of modern medical care throughout East Asia and in some parts of Southeast Asia (such as Thailand). Insects are very commonly incorporated as part of the herbal medicine component of traditional Chinese medicine, and their medical properties and applications are broadly accepted and agreed upon. Some brief examples follow:

The Chinese Black Mountain Ant, Polyrhachis vicina, is supposed to act as a cure all and is widely used, especially by the elderly. It is said to prolong life, to have anti-aging properties, to replenish Qi, and to increase virility and fertility. Recent interest in the ants' medicinal qualities has led to British researchers to study the extract's potential to serve as a cancer-fighting agent. Chinese Black Mountain Ant extract is typically consumed mixed with wine.

India and Ayurveda

Ayurveda is ancient traditional Indian treatment almost universally incorporated alongside Western medicine as a typical component of medical treatment in India. Although Ayurvedic medicine is often effective, doses can be inconsistent, and may sometimes be contaminated with toxic heavy metals. Some brief examples to follow:

Termite is said to cure a variety of diseases, both specific and vague. Typically the mound or a portion of the mound is dug up and the termites and the architectural components of the mound are together ground into a paste which is then applied topically to the affected areas or, more rarely, mixed with water and consumed. This treatment was said to cure ulcers, rheumatic diseases, and anemia. It was also suggested to be a general pain reliever and health improver.

The Jatropha Leaf Miner, a lepidopteran which feeds preferentially on Jatropha, is an example of a major insect agricultural pest which is also a medicinal remedy. The larvae, which are also the form of the insect with the greatest economic impact on agriculture, are harvested, boiled, and mashed into a paste which is administered topically and is said to induce lactation, reduce fever, and soothe gastrointestinal tracts.

Africa

Unlike China and India, the traditional insect medicine of Africa is extremely variable. It is largely regional, with few, if any, major agreements on which insects are useful as treatments for which ailments. Most insect medicinal treatments are passed on through communities and families, rather than being taught in university settings, as Traditional Chinese Medicine and Ayurveda sometimes are; furthermore, most traditional medicine practices necessitate a person in a "healer" role. Some brief examples to follow:

Grasshopper is both commonly eaten as a delicacy and an excellent source of protein and is consumed for medicinal purposes. These insects are typically collected, dried in the sun, and then ground into a powder. The powder can then be turned into a paste when mixed with water and ash and applied to the forehead to alleviate the pain of violent headaches. Additionally, the headaches themselves can be prevented by a "healer" inserting the paste under the skin at the nape of the afflicted person's neck.

Termites are also used in parts of Africa much like they are in India. Parts of the mound are dug up, boiled, and turned into a paste, which can then be applied to external wounds to prevent infection or consumed to treat internal hemorrhages. termites are used not only as a form of medicine, but also as a medical device. If a "healer" wants to insert a medicine subcutaneously, they will often spread that medicine on the skin of the patient, and then agitate a termite and place the insect on the skin of the patient. When the termite bites, its mandibles effectively serve as an injection device.

Americas

The Americas were more highly influenced by the Doctrine of Signatures than China, India, or Africa, most likely because of their colonial history with Europe. The majority of insect use in medicine is associated with Central America and parts of South America, rather than North America, and most of it is based on the medical techniques of indigenous peoples. Currently, insect medicine is practiced much more rarely than in China, India, or Africa, though it is still relatively common in rural areas with large indigenous populations. Some examples to follow:

Chapulines, or grasshoppers, are commonly consumed as a toasted regional dish in some parts of Mexico, but they are also used medicinally. They are said to serve as diuretic to treat kidney diseases, to reduce swelling, and to relieve the pain of intestinal disorders when they are consumed. However, there are some risks associated with consuming chapulines, as they are known to harbor nematodes which may be transmitted to humans upon consumption.

Much like the termites of Africa, ants were sometimes used as medicinal devices by the indigenous peoples of Central America. The soldier cast of the Army ant would be collected and used as living sutures by Mayans. This involved agitating an ant and holding its mandibles up to the wound edges; when it bit down, the thorax and abdomen were removed, leaving the head holding the wound together. The ant's salivary gland secretions were reputed to have antibiotic properties. The venom of the Red harvester ant was used to treat rheumatism, arthritis, and poliomyelitis via the immunological reaction produced by its sting. This technique, in which ants are allowed to sting afflicted areas in a controlled manner, is still used in some arid rural areas of Mexico.

The silkworm, Bombyx mori, was also commonly consumed both as a regional food and for medicinal purposes in Central America after it was brought to the New World by the Spanish and Portuguese. Only the immatures are consumed. Boiled pupae were eaten to treat apoplexy, aphasy, bronchitis, pneumonia, convulsions, hemorrhages, and frequent urination. The excrement produced by the larvae is also eaten to improve circulation and alleviate the symptoms of cholera (intense vomiting and diarrhea).

Honey bee products

Honey bee products are used medicinally across Asia, Europe, Africa, Australia, and the Americas, despite the fact that the honey bee was not introduced to the Americas until the colonization by Spain and Portugal. They are by far the most common medical insect product, both historically and currently.

Honey is the most frequently referenced medical bee material. It can be applied to skin to treat excessive scar tissue, rashes, and burns, and can be applied as a poultice to eyes to treat infection. It is also consumed for digestive problems and as a general health restorative, and can be heated and consumed to treat head colds, cough, throat infections, laryngitis, tuberculosis, and lung diseases.

Additionally, apitoxin, or honey bee venom, can be applied via direct stings to relieve arthritis, rheumatism, polyneuritis, and asthma. Propolis, a resinous, waxy mixture collected by honeybees and used as a hive insulator and sealant, is often consumed by menopausal women because of its high hormone content, and it is said to have antibiotic, anesthetic, and anti-inflammatory properties. Royal jelly is used to treat anemia, gastrointestinal ulcers, arteriosclerosis, hypo- and hypertension, and inhibition of sexual libido. Finally Bee bread, or bee pollen, is eaten as a generally health restorative, and is said to help treat both internal and external infections. All of these honey bee products are regularly produced and sold, especially online and in health food stores, though none are yet approved by the FDA.

Modern scientific uses

Though insects were widely used throughout history for medical treatment on nearly every continent, relatively little medical entomological research has been conducted since the revolutionary advent of antibiotics. Heavy reliance on antibiotics, coupled with discomfort with insects in Western culture limited the field of insect pharmacology until the rise of antibiotic resistant infections sparked pharmaceutical research to explore new resources. Arthropods represent a rich and largely unexplored source of new medicinal compounds.

Maggot therapy

Maggot therapy is the intentional introduction of live, disinfected blow fly larvae (maggots) into soft tissue wounds to selectively clean out the necrotic tissue. This helps to prevent infection; it also speeds healing of chronically infected wounds and ulcers. Military surgeons since classical antiquity noticed that wounds which had been left untreated for several days, and which had become infested with maggots, healed better than wounds not so infested. Maggots secrete several chemicals that kill microbes, including allantoin, urea, phenylacetic acid, phenylacetaldehyde, calcium carbonate, proteolytic enzymes, and many others.

Maggots were used for wound healing by the Maya and by indigenous Australians. More recently, they were used in Renaissance Europe, in the Napoleonic Wars, the American Civil War, and in the First and Second World Wars. It continues to be used in military medicine.

Apitherapy

Apitherapy is the medical use of honeybee products such as honey, pollen, bee bread, propolis, royal jelly and bee venom. One of the major peptides in bee venom, called Melittin, has the potential to treat inflammation in sufferers of Rheumatoid arthritis and Multiple sclerosis. Melittin blocks the expression of inflammatory genes, thus reducing swelling and pain. It is administered by direct insect sting, or intramuscular injections. Bee products demonstrate a wide array of antimicrobial factors and in laboratory studies and have been shown to kill antibiotic resistant bacteria, pancreatic cancer cells, and many other infectious microbes.

Blister beetle and Spanish fly

Spanish fly is an emerald-green beetle, Lytta vesicatoria, in the blister beetle family (Meloidae). It and other such species were used in preparations offered by traditional apothecaries. The insect is the source of the terpenoid cantharidin, a toxic blistering agent once used as an aphrodisiac.

Blood-feeding insects

Many blood-feeding insects like ticks, horseflies, and mosquitoes inject multiple bioactive compounds into their prey. These insects have been used by practitioners of Eastern Medicine for hundreds of years to prevent blood clot formation or thrombosis. However, modern medical research has only recently begun to investigate the drug development potential of blood-feeding insect saliva. These compounds in the saliva of blood feeding insects are capable of increasing the ease of blood feeding by preventing coagulation of platelets around the wound and provide protection against the host's immune response. Currently, over 1280 different protein families have been associated with the saliva of blood feeding organisms. This diverse range of compounds may include:

  • inhibitors of platelet aggregation, ADP, arachidonic acid, thrombin, and PAF.
  • anticoagulants
  • vasodilators
  • vasoconstrictors
  • antihistamines
  • sodium channel blockers
  • complement inhibitors
  • pore formers
  • inhibitors of angiogenesis
  • anaesthetics
  • AMPs and microbial pattern recognition molecules.
  • Parasite enhancers/activators

Currently, some preliminary progress has been made with investigation of the therapeutic properties of tick anticoagulant peptide (TAP) and Ixolaris a novel recombinant tissue factor pathway inhibitor (TFPI) from the salivary gland of the tick, Ixodes scapularis. Additionally, Ixolaris, a tissue factor inhibitor has been shown to block primary tumor growth and angiogenesis in a glioblastoma model. Despite the strong potential of these compounds for use as anticoagulants or immunomodulating drugs no modern medicines, developed from the saliva of blood-sucking insects, are currently on the market.

Arachnids

Like plants and insects, arachnids have also been used for thousands of years in traditional medical practices. Recent scientific research in natural bioactive factors has increased, leading to a renewed interest in venom components in many animals. In 1993 Margatoxin was synthesized from the venom of the Centruroides margaritatus the Central American bark scorpion. It is a peptide that selectively inhibits voltage-dependent potassium channels. Patented by Merck, it has the potential to prevent neointimal hyperplasia, a common cause of bypass graft failure.

In addition to medical uses of arachnid defense compounds, a great amount of research has recently been directed toward the synthesis and use of spider silk as a scaffolding for ligament generation. Spider silk is an ideal material for the synthesis of medical skin grafts or ligament implants because it is one of the strongest known natural fibers and triggers little immune response in animals. Spider silk may also be used to make fine sutures for stitching nerves or eyes to heal with little scarring. Medical uses of spider silk is not a new idea. Spider silks have been used for thousands of years to fight infection and heal wounds. Efforts to produce industrial quantities and qualities of spider silk in transgenic goat milk are underway.

Psychoactive scorpions

Recent news reports claim that use of scorpions for psychoactive purposes is gaining in popularity in Asia. Heroin addicts in Afghanistan are purported to smoke dried scorpions or use scorpion stings to get high when heroin is not available. The use of scorpions as a psychoactive drug reportedly gives an instant high as strong or stronger than heroin. However, there is little information on the long-term effects of using scorpion toxins. The 'scorpion sting craze' has also increased in India with a decreasing availability of other drugs and alcohol available to youth. Young people are reportedly flocking to highway sides where they can purchase scorpion stings that after several minutes of intense pain, supposedly produce a six- to eight-hour feeling of wellbeing.

Lie group

From Wikipedia, the free encyclopedia https://en.wikipedia.org/wiki/Lie_group In mathematics , a Lie gro...