Acoustical Imaging

Volume 19
Acoustical Imaging

Recent Volumes in This Series:

Volume 9 Proceedings of the Ninth International Symposium,

December 3-6, 1979, edited by Keith Y. Wang
Volume 10 Proceedings of the Tenth International Symposium,
October 12-16, 1980, edited by Pierre Alais and Alexander F. Metherell
Volume 11 Proceedings of the Eleventh International Symposium,
May 4-7, 1981, edited by John P. Powers
Volume 12 Proceedings of the Twelfth International Symposium,
July 19-22, 1982, edited by Eric A. Ash and C. R. Hill
Volume 13 Proceedings of the Thirteenth International Symposium,
October 26-28, 1983, edited by M. Kaveh, R. K. Mueller,
and J. F. Greenleaf
Volume 14 Proceedings of the Fourteenth International Symposium,
April 22-25, 1985, edited by A. J. Berkhout, J. Ridder,
and L. F. van der Wal
Volume 15 Proceedings of the Fifteenth International Symposium,
July 14-16, 1986, edited by Hugh W. Jones
Volume 16 Proceedings of the Sixteenth International Symposium,
June 10-12,1987, edited by Lawrence W. Kessler
Volume 17 Proceedings of the Seventeenth International Symposium,
May 31-June 2, 1988, edited by Hiroshi Shimizu,
Noriyoshi Chubachi, and Jun-ichi Kushibiki
Volume 18 Proceedings of the Eighteenth International Symposium,
September 18-20, 1989, edited by Hua Lee and Glen Wade
Volume 19 Proceedings of the Nineteenth International Symposium,
April 3-5, 1991, edited by Helmut Ermert and Hans-Peter Harjes

A Continuation Order Plan is available for this series. A continuation order will bring delivery of
each new volume immediately upon pUblication. Volumes are billed only upon actual shipment.
For further information please contact the publisher.
Acoustical Imaging
Volume 19

Edited by

Helmut Ermert
and
Hans-Peter Harjes
Ruhr Universităt Bochum
Bochum, Germany

SPRINGER SCIENCE+BUSINESS MEDIA, LLC

The Library of Congress cataloged the first volume of this series as follows:

International Symposium on Acoustical Holography.

Acoustical holography; proceedings. v. 1-
New York, Plenum Press, 1967-
v. illus. (part col.), ports. 24 cm.
Editors: 1967- . A. F. Metherell and L. Larmore (1967 with H. M. A. el-Sum)
Symposium for 1967- held at the Douglas Advanced Research Laboratories, Hun-
tington Beach, Calif.
1. Acoustic holography - Congresses - Collected works. 1. Metherell. Alexander A., ed.
II. Larmore, Lewis, ed. 111. el-Sum, Hussein Mohammed Amin, ed. IV. Douglas Advanced
Research Laboratories, v. Title.
QC244.5.1.5 69-12533

ISBN 978-1-4613-6487-0 ISBN 978-1-4615-3370-2 (eBook)

DOI 10.1007/978-1-4615-3370-2

Proceedings of the 19th International Symposium on Acoustical Imaging,

held April 3-5, 1991, in Bochum, Germany
© 1992 Springer Science+Business Media New York
Originally published by Plenum Press, New York in 1992

Ali righ ts reserved

No part of this book may be reproduced, stored in a retrieval system, or transmitted

in any form or by any means, electronic, mechanical, photocopying, microfilming,
recording, or otherwise, without written permission from the Publisher
 PREFACE

This book constitutes the proceedings of the 19th International Symposium on

Acoustical Imaging at the Ruhr-University Bochum, Germany during April 3 - 5,
1991. It was the first time that the symposium was held in Europe after major
political changes happened in that area. The freedom to travel for all people from
eastern European countries was an obvious reason for the great numbers of sub-
mitted abstracts and for numerous conference participants. 193 of 239 submitted
contributions from 29 countries were accepted for presentation by authors from
USA (13%), Canada (2%), Japan (7%), Peoples Republic of China (7%), United
Kingdom (4%), France (7%), Italy (3%), Poland (4%), Soviet Union (7%), Germany
(28%) and other countries (18%). 283 scientists from 29 countries attended the
conference representing the interdisciplinary field between mathematics, physics,
engineering and medicine.

151 papers were available for publication in this proceedings covering the topics

1. Mathematics and Physics of Acoustical Imaging

2. Components and Systems
3. Applications in Medicine and Biology
4. Applications in Nondestructive Testing
5. Remote Sensing Applications
6. Industrial Applications

A relative large number of contributions on acoustical microscopy was included in

the conference program within topics 3 and 4. Also, papers on "non-traditional"
acoustical imaging subjects, e.g. on phonon imaging and on remote sensing in the
atmosphere, have broadened the scope of the conference.

The success and stimulation of the conference and of the papers presented in this
volume is owed, of course to the authors and participants. Many thanks are due to
the authors and their co-workers for their diligence and enthusiasm in performing
their research, preparing their manuscripts and presenting their results. The editors
would like to express their appreciation to each and every one of them.

The editors would like to also thank the 55 members of the International Advisory
Board who evaluated the abstracts, nominated the invited speakers, and made their
suggestions concerning scope and topics of the conference program.

Furthermore, the editors wish to thank the National Steering Committee whose
membership included, apart from the editors themselves, W. Arnold, Saarbrucken,

v
L.J. Balk, Duisburg, K.J. Langenberg, Kassel, and G. van Kaick, Heidelberg for
giving their able advice in the organization and direction of the conference.

Special thanks are due to H. Entschladen who managed the Symposium finances
including travelling support for participants from eastern Europe, as well as to W.
Budach for organizing local arrangements and the exhibition.

Finally the editors have to thank the staff of the High Frequency Engineering and the
Geophysics Institutes of the Ruhr-Universitat who assisted in planning and organizing
the conference as well as in editing the proceedings. Last but not least, the financial
support by the Ministry of Science and Research (North-Rhine-Westphalia), The Ger-
man Research Foundation (DFG), the German Academic Exchange Council (DAAD) ,
the Stifterverband fUr die Deutsche Wissenschaft, the Society of Friends of the Ruhr-
University, Siemens, Hewlett-Packard and Tektronix is greatfully acknowledged.

The 20th International Symposium on Acoustical Imaging will be held during Sep-
tember 12 - 14, 1992 at the Southeast University Nanjing, P. R. China under the
Chairmanship of Prof. Yu Wei.

Helmut Ermert
Hans-Peter Harjes
Ruhr-University Bochum
Bochum, Germany

International Advisory Board

U. Faust, Stuttgart, Germany

M. Anliker, ZOrich, Switzerland
Y. Aoki, Sapporo, Japan
W. Arnold, SaarbrOcken, Germany
A. Atalar, Ankara, Turkey
L.J. Balk, Duisburg, Germany
J.C. Bamber, Sutton Surrey, U.K.
M.S. Beck, Manchester, UK
J. Bereiter-Hahn, Frankfurt/M., Germany
G. Berger, Paris, France
A.J. Berkhout, Delft, The Netherlands
L. Bjorno, Lyngby, Denmark
S. Boseck, Bremen, Germany
R. Brennecke, Mainz, Germany
W.O. O'Brien, Urbana, U.S.A.
G. Busse, Stuttgart, Germany
N. Chubachi, Sendai, Japan
K. Dransfeld, Konstanz, Germany
W. Eisenmenger, Stuttgart, Germany
H. Ermert, Bochum, Germany
L. Filipczynski, Warschau, Poland
M. Fink, Paris, France
T. Grandke, Erlangen, Germany
J.F. Greenleaf, Rochester, U.S.A.
D. Guan, Beijing, China
H.-P. Harjes, Bochum, Germany
I. Hartmann, Berlin, Germany
H.W. Jones, Nova Scotia, Canada
G. van Kaick, Heidelberg, Germany
K.J. Langenberg, Kassel, Germany
H. Lee, Santa Barbara, U.S.A.
F.L. Lizzi, New York, U.S.A
A. Lorincz, Budapest, Hungary
H. Lutz, Bayreuth, Germany
V. Magori, MOnchen, Germany
L. Masotti, Firenze, Italy
R. Maev, Moskau, USSR
F. Mesch, Karlsruhe, Germany

IIi
A. Millner, Halle, Germany
T. Miyashita, Kyoto, Japan
V.L. Newhouse, Philadelphia, U.S.A.
J. Pelzl, Bochum, Germany
D.T. von Ramm, Durham, U.S.A.
T. Sato, Yokohama, Japan
A.M. Schmitt, St. Ingbert, Germany
V. Schmitz, Saarbrucken, Germany
J.S. Schoenwald, U.S.A.
W. Tabbara, Gif-sur-Yvette, France
J.M. Thijssen, Nijmegen, Netherlands
H. Vetters, Bremen, Germany
R.C. Waag, Rochester, U.S.A.
G. Wade, Santa Barbara, U.S.A.
K. Wang, Washington, U.S.A.
P.N.T. Wells Bristol, UK
P.C. Wille, Kiel, Germany
vii
CONTENTS

MATHEMATICS AND PHYSICS 1

Phonon Imaging ......................................................................................................................................... .

Werner Dietsche

Synthetic Aperture Echo Imaging ............................................................................................................... 11

Mehrdad Soumekh

Exact and Approximate Scattering Data for Testing the Filtered Backpropagation
(FBP) and a Hybrid FBP Reconstruction Algorithm ............................................................................ 17
I. Johansen, L.-J. Gelius, B. Spjelkavik, N. Sponheim
and J. J. Stamnes

Reconstruction Imaging Without Artefacts .............................. ....... ....... ..... ..... ..... ....... ..... ......... ..... ..... ...... 23
Sidney Leeman, Eduardo T. Costa and Andrew J. Healey

Potential and Limitations of Various Ultrasonic Medical

Imaging Algorithms .. ............ ..... ....... ........ .... ..... ....... ..... ....... ............ ... ......... ..... ... .... ..... ... ....... ..... .... .... 29
H. Morbitzer, D. Huo, K. J. Langenberg and R. M. Schmitt

Account of Multiple Scattering in Acoustic Inverse Problems of

Tomographic Type ................................................................................................................................ 35
V. A. Burov, M. N. Rychagov and A. V. Saskovets

Estimating a Target Cross Section from Forward Scattering Amplitude ................................................... 41

Iunichi Nakayama and Toshiaki Ozaki

Phonon Focusing Influence on the Formation of Acoustic Image

in Crystals ... ....... ... .... .... ............. ....... ..... ... .... ..... ....... ..... ....... ..... ....... ... ......... ..... ....... ..... ..... ....... ... .... .... 47
L. A. Chernozatonskii, V. M. Levin, V. V. Novicov and A. V. Vakulenko

Active Imaging Green's Function ............................................................................................................... 53

Forrest Anderson

MATHEMATICS AND PHYSICS 2

Ultrasonic Tomographic Imaging of Anisotropic Solids ..... ....... .......... ....... ..... ..... ..... .... ..... ... .... ..... ........... 59
D. P. Jansen, T. Chow, D. A. Hutchins and R. P. Young

On the Reconstruction of Internal Magnetic Field in Ferrites

Using Magnetoacoustic Resonance Profile ........................................................................................... 65
S. N. Karpachev and L. K. Zarembo

IX
Superresolution in Ultrasonic Imaging ....................................................................................................... 71
Hugh W. Jones

Superresolved Image Restoration of Holographic Images by LI-Norm

Minimization with Clutter Rejection .................................................................................................... 77
Toyokatsu Miyashita

Improvement of Resolution in Acoustical-Holographic Imaging by

Neural Network Processing .................................................................................................................. 83
Yoshinao Aoki, Yuji Sakamoto, Syoichi Yamaguchi and Ryuichi Mitsuhashi

Detection and Classification of Acoustic Images: Theoretical Performance ... ....... ....... ..... ... ......... ... ........ 89
J. G. Kelly, R. N. Carpenter and D. R. Childs

A New Phonon-Focusing Phenomenon due to Elastic Mode

Conversion on Silicon Surfaces ............................................................................................................ 95
RalfWichard and Werner Dietsche

Application of Chaos to Sound Propagation in Random Media . ... ..... .... ... ......... ..... ....... ... ....... ....... ....... .... 99
W.S.Gan

Acoustical Imaging Using Spectral Decomposition of the

Aperture Field ....................................................................................................................................... 103
Rolf Kahrs Hansen

Ultrasonic Speckle Region and Extra-Speckle Condition .......................................................................... 109

Akihisa Ohya, Junji Kashioka and Masato Nakajima

Direct and Inverse Scattering in 3-D Fluid Media ...................................................................................... 115

P. Grassin and B. Duchene

MATHEMATICS AND PHYSICS 3

A Temporal-Spatial Correlation Theory and Experiment for

Visualization of Ultrasonic Wavefront ................................................................................................. 121
Ming Yi, Xuanmin Yang, Li Zhu and Jinfu Gan

The Shadow behind Rotational Rigid and Elastic Bodies Immersed

in Fluids - Computed and Measured ..................................................................................................... 127
L. Filipczyriski, T. Kujawska and T. Waszczuk

Asymptotic and Experimental Analysis of the Nonspecular Reflection

of Focusing Ultrasonic Beams from Fluid-Solid Interface ................................................................... 133
Theodore E. Matikas

Theoretical Modelisation of Time-Reversal Cavities,

Application to Self-Focussing in Inhomogeneous Media ..................................................................... 141
D. Cassereau and M. Fink

Acoustic Self-Imaging in Resiliently Lined Waveguides ........................................................................... 149

G. Timann and D. Guicking

Phase and Amplitude Reconstruction of an Acoustic Source

from the Study of its Diffraction Pattern .............................................................................................. 155
M. H. Rahnavard and D. Dabiri

An Iterative Filtered Backprojection Algorithm for

Ultrasound Reflection Mode Tomography ........................................................................................... 161
K. K. Xu, c. Q. Lan and Y. H. Chen

x
 Applications of Area and Solid-Angle Functions in Acoustics .................................................................. 167
John M. Richardson and Glen Wade

COMPONENTS AND SYSTEMS 1

Exact Computer Modelling: A Tool for the Design of Imaging Transducers ............................................ 175
R. Lerch

Quality Control of Ultrasound Transducers with the

Binary Hough Transform ...................................................................................................................... 187
L. da F. Costa, D. R. Andrews and M. B. Sandler

A loo-Element Ultrasonic Circular Array for Endoscopic

Application in Medicine and NDT ....................................................................................................... 193
H.-P. Schwarz, D. Heidrnann, H.-J. Welsch, P. Becker and R. M. Schmitt

A New Sector Imaging Algorithm Using Circular Array ........................................................................... 201

Qin Zhengdi and Juha Ylitalo

Adaptive Beamforming for Correction of Velocity Fluctuations

Close to the B-Scan-Array .................................................................................................................... 207
D. Hassler, W. Harer and G. Temme

Sound Speed Fluctuations in Medical Ultrasound Imaging.

Comparison between Different Correction Algorithms ........................................................................ 213
Raoul Mallart and Mathias Fink

Spurious Echo Generation in Pulse Piezoelectric Transducer for

Acoustical Imaging and its Reduction .................................................................................................. 219
N. Lamberti and M. Pappalardo

Optimization of Dynamic Receive Focusing in Ultrasound Imaging.......................................................... 225

Mustafa Karaman, Abdullah Atalar and Hayrettin K~men

Multiobjecti ve Design of Curved Array Sonar Transducers .. ......... ....... ..... ..... ..... ......... ..... ....... ..... ... .... .... 231
J. P. Huissoon

COMPONENTS AND SYSTEMS 2

Experimental Progress of Ultrasonic Time Reversal Mirrors 237

F. Wu, C. Prada and M. Fink

Signal Processing in High-Frequency Broadband Imaging

Systems for Dermatologic Application ................................................................................................. 243
A. H&s, H. Ermert, S. el-Gammal and P. Altmeyer

High-Speed C-Scan Imaging System with Electronic Scanning of

25MHz Ultrasonic Beam ...................................................................................................................... 251
Souji Sasaki, Yoshihiko Takishita, Ayato Iwasaki, Jun Kubota,
Yoshinori Musha and Hisao Okada

Acquisition and Visualization of 3D Ultrasound Images ........................................................................... 257

A. Collet BilIon, Y. Le Guerinel and J. M. LevaiIIant

An Efficient Data Acquisition System for Three-Dimensional

Ultrasonic Imaging ................................................................................................................................ 263
Ja II Koo and Song Bai Park

XI
Three Dimensional Location with Ultrasound in Neurosurgery ... ......... ..... ... ....... ....... ....... ....... ..... ... ........ 269
Lin Wang and H. J. Zweifel

Echography with Continuous Ultrasonic Waves ........................................................................................ 275

M. A. Benkhelifa, M. Gindre, J. Y. Le Huerou and W. Urbach

The Use of a Thick Focused Piezoelectric Transducer to

Generate Short Duration Unipolar Wave ............................................................................................. 283
E. Rougny, J. Y. Chapelon, B. Querleux, J. L. Leveque
and D. Cathignol

P(VDF-TrFE) Transducer with a Concave Annular Structure for

the Layer Thickness Measurement ... ..... ............ ....... .......... ..... ......... ..... ... ....... ......... ..... ..... ....... ..... ...... 289
Masao Saito, Yusuke Tsukahara and Kiyohito Koyama

Nondiffracting Transducers Using the Natural Resonant

Eigenmodes of Circular Plates .............................................................................................................. 295
P. Kielczynski and W. Pajewski

APPLICATIONS IN MEDICINE AND BIOLOGY 1

Time Domain Colour Flow Imaging: Methods and Benefits

Compared to Doppler ............................................................................................................................ 301
Odile Bonnefous

In Vivo Measurement of Blood Flow Using Ultrasound Time-Domain Correlation ................................. 311
I. A. Hein, J. Zachary, R. Fish and W. D. O'Brien, Jr.

Comparison of Estimation Strategies for Color Flow Mapping ..... .... .... ..... ....... ... ......... ..... ............ ....... .... 317
Katherine Ferrara and V. Ralph Algazi

Calculation of Doppler Spectra When Laminar Flow is Crossing

the Acoustic Field of a Transducer at Arbitrary Distances ................................................................... 323
T.Vontz

Quantitative Flow Measurement through Doppler Analysis at

Right Angle ........................................................................................................................................... 329
P. Tortoli, F. Valgimigli and V. L. Newhouse

The Wigner Distribution in the Doppler Sonography ................................................................................ 335

Olaf Skerl and Ingrid Hartmann

Intraluminal Doppler-Sonography: Analysis and "In Vitro Test"

of a New Device ................................................................................................................................... 341
Th. Roth, R. Brennecke, H. Conradi, R. Erhel, J. Meyer
and W. v. See1en

Physical Foundation of Zero Crossing Techniques .................................................................................... 347

Nicholas Thomas, Sidney Leeman and Inigo Deane

APPLICATIONS IN MEDICINE AND BIOLOGY 2

New Developments in Ultrasonic Tissue Characterization ........................................................................ 353

Frederic L. Lizzi

A Few Effective Signal Processings for Reflection-Type Imaging

of Nonlinear Parameter N of Soft Tissues ............................................................................................ 363
Takuso Sato, Eiichi Mori, Katsuya Endo, Yoshiki Yamakoshi
and Mikiya Sase

XII
 Correlation between Histology and High Resolution
Echographic Images of Small Skin Tumours ....................................................................................... 369
J. C. Bamber, C. C. Harland, B. A. Gusterson and P. S. Mortimer

Intelligent Adaptive Filter in the Diagnosis of Diffuse

and Focal Liver Disease ........................................................................................................................ 375
J. S. Bleck, M. Gebel, R. H. Hebel, S. Wagner, K. J. Schmitt,
S. T. Kruip, M. Westhoff-Bleck and M. Wolf

Echocardiographic Image Analysis Based on the Evaluation of

First Order Speckle Statistics ................................................................................................................ 381
E. Steinmetz, R. Brennecke, I. Schmidtmann and R. Erbel

Echo Signal Processing in Medical Ultrasound .......................................................................................... 387

L. Landini, F. Santarelli, M. Patemi, L. Verrazzani,
A. Christ and H. J. Hein

Texture Analysis of B-Scan Images: Transferability between

Different Ultrasound Scanners .......................................................... .................................................... 393
H.-U. Kauczor, M. Fein, I. Zuna, S. Delorme, N. Suhm, M. V. Knopp
and G. van Kaick

Ultrasonic Bone Tissue Characterization in Gaucher Disease Type I ....... ................................................. 399
J. J. Kaufman, A. Chiabrera, S. Fallot, J. M. Alves,
G. Hermann, R. S. Siffert and G. Grabowski

Application of Ultrasound Time-Domain Correlation to the Ageing

of Porcine Muscle for the First Twenty-Four Hours Post Mortem ....................................................... 403
I. A. Hein, J. Novakofski, L. Nostwick and W. D. O'Brien, Jr.

Attenuation Measurement with Transmitted and Reflected

Ultrasound - A Comparison of Different Methods ............................................................................... 409
G. Weisser, M. Fein, I. Zuna, A. Lorenz and W. J. Lorenz

APPLICATIONS IN MEDICINE AND BIOLOGY 3

Ultrasonic Tomography of Large, Attenuating Objects ............................................................................. 415

N. Sponheim, I. Johansen and J. J. Stamnes

Real-Time Imaging with Area-Array Transducers Using Analog Wave-Field

Reproduction and an Application in Transcranial Sonography ............................................................ 421
Hans J. Einighammer

Improvement of Lesion Detection by Echographic Image Processing ...................................................... 427

J. T. M. Verhoeven and J. M. Thijssen

Turning Off Speckle ................................................................................................................................... 433

A. J. Healey, S. Leeman and F. Forsberg

Physical Characterization of Microbubble Based Ultrasound

Contrast Agents ..................................................................................................................................... 439
H.-J. Schmidt, R. M. Schmitt, A. Irion and B. Bresser

Effects of Speckle Reduction Processing on Ultrasound B-Mode

Images of Skin Tumours ..... ....... ....... ................. ....... ........ ....... ......... ..... ....... ..... ....... ..... ....... ..... ....... .... 44 7
J. C. Bamber, D. C. Crawford, D. A. Bell, C. C. Harland,
B. A. Gusterson and P. S. Mortimer
B-Scan Sonography in Dermatological Routine Diagnostics ..................................................................... 453
Klaus Hoffmann, Harald Schatz, Stephan el-Gammal
and Peter Altmeyer

Utilization of Surface Acoustic Waves and Shear Acoustic

Properties for Imaging and Tissue Characterization ............................................................................ 463
Armen Sarvazyan, Andrew Scovoroda and Dusan Vucelic

Ultrasound Based Diagnosis of Immune Reactions in Transplanted Kidneys . ..... ......... ............................ 469
T. Greiner, M. Jakobs, K. Eiden, M. Pandit, J. Mauruschat
and F. W. Albert

Ultrasound Velocity Imaging by a Pulse-Echo Technique ......................................................................... 475

W. C. A. Pereira, S. Leeman and J. C. Machado

Three-Dimensional Shaded Surface Reconstructions of Cardiac

and Paracardiac Structures .................................................................................................................... 481
Ralf Hammentgen and Stephan el-Gammal

Artifact Resistant Gray Scale Windows in Clinical Ultrasound

of the Liver ............................................................................................................................................ 487
J. S. Bleck, M. Gebel, M. Westhoff-Bleck and U. Ranft

A Simulation Study of Structural Scattering in Ultrasonic

B-Mode Imaging ................................................................................................................................... 493
E. G. M. P. Jacobs, J. M. Thijssen and B. J. Oosterveld

APPLICATIONS IN MEDICINE AND BIOLOGY 4

Implementation of the Scanning Tomographic Acoustic Microscope

for Multiple - Angle Tomography.... ... ................... ....... ..... ..... ......... ........ ....... ....... ..... ....... .................. 499
Richard Y. Chiao and Hua Lee

SAM Investigations: The Structural Basis of Cell Surface

Stiffness of Cultured Cells .................................................................................................................... 511
H. Liers, J. Bereiter-Hahn and J. Litniewski

Ultrasound Microscopy of Biological Structures with Weak

Reflecting Properties . ..... ........................ ....... ..... ... ......... ............ ....... ..... ..... ..... ......... ... ............ ..... ........ 517
Hartmut Kanngiesser and Max Anliker

Acoustic Imaging of the Mitotic Spindle in Dividing XTH2-Cells............................................................. 523

A. Lindner, S. Winkelhaus and M. Hauser

Preparation Techniques in Acoustical and Optical Microscopy of

Biological Tissues, A Study at 5 MHz and 1.2 GHz ........................................................................... 529
A. F. W. van der Steen, M. H. M. Cuypers, J. M. Thijssen,
G. P. J. Ebben and P. C. M. de Wilde

Acoustic Velocity Determination in Cytoplasm by V(Z) Shift .................................................................. 535

J. Litniewski and J. Bereiter-Hahn

Acoustical Microscopy Applications for Living Cells Investigations ................ ... ..................................... 539
T. Tommasi, A. Cambiaso, G. Buzzoni, M. Grattarola and B. Bianco

APPLICATIONS IN NONDESTRUCTIVE TESTING 1

Synthetic Aperture Focussing Technique - State of the Art ....................................................................... 545

V. Schmitz, W. Miiler and G. Schafer

xiv
 Volume Acquisition and Visualization of High-Frequency
Ultrasound Data ...... ................................................ .............................................................................. 553
U. Netzelmann, R. Herzer, H. Stolz and W. Arnold

Ultrasonic Defect Imaging by a Probabilistic Approach ............................................ ................................ 559

Jiaping Zhang

Experiments and Experiences Using Filtering and Data Reduction

Techniques for Imaging in Nondestructive Testing ............................................................................. 567
L. v. Bemus, F. Mohr, T. Schmeidl, H. Ermert, M. Pollakowski,
M. Krrning, V. Schmitz, K. J. Langenberg and M. Berger

Ultrasonic Imaging of Damages in CFRP-Laminates ................................................................................ 575

Wolfgang Hillger

Imaging of Defects in Thin-Walled Tubing Using Ultrasonic

Time-of-Flight ....................... ..... ....... ..... ....... ........ .............. .............. .......... ..... ..... .... ...... ...... ..... ....... .... 581
W. R. Fundamenski, M. P. Dolbey and M. D. C. Moles

Ultrasonic Imaging of Impact Damaged Composite Panels ....................................................................... 589

B. D. Davidson, J. E. Michaels, V. Sundararaman and T. E. Michaels

Ultrasonic Nondestructive Evaluation of Damage Evolution in

Composite Materials ............................................................................................................................. 595
Elena Biagi, Andrea Corvi and Leonardo Masotti

Ultrasonic Imaging of the Asphaltic Concrete Surface Layer .................................................................... 601

Romuald Jan Sztukiewicz

APPLICATIONS IN NONDESTRUCTIVE TESTING 2

New Developments in Scanning Acoustic Microscopy ............................................................................. 607

J. Attal, L. Robert, G. Despaux, R. Caplain and J. M. Saurel

Inversion of V(z) Data in the Scanning Acoustic Microscope

(SAM) to Determine Material Properties of a Layered Solid ........... .................................................... 617
Zuliang Yu and Siegfried Boseck

Description of Elastic Discontinuities with the Scanning

Acoustic Microscope ............ ..... ... ......... ....... ..... ....... ..... ....... ..... ....... ..... ....... ..... ....... ..... ....... ..... ....... .... 623
X. Q. Shen and S. Boseck

Acoustic Parameter Mapping of Layered Materials Using a

Lamb Wave Lens .................................................................................................................................. 627
A. Atalar, L. Degertekin and H. K6ymen

Thickness Measurement of Passivated Metallization Layers by

Saw Dispersion ..................................................................................................................................... 633
Jens Krause and Bernhard Schwierzi

Formation of the Images of Spherical Objects in Acoustic Microscopy .................................................... 639

Oleg Lobkis and Pavel Zinin

Acoustic Scanning Microscope for Investigation of Subsurface Defects .................................................. 645

Konstantin Maslov

Study of Structure and Properties of Highly Anisotropic

Materials by Acoustomicroscopical Methods ........... ............ .......... ....... ... ....... ......... ... ......... ..... ....... .... 651
V. M. Levin, R. G. Maev, K. I. Maslov, T. A. Senjushkina,
1. G. Grigorieva and 1. Baranchikova

xv
Exploration of Thin Wall Tube Defects by a Novel Ultrasonic
Shadow Microscope ..................................................................................... ....... ...................... ............. 657
Xuan-Min Yang, Ming Yi and Jin-Fu Gan

Imaging Properties of the Scanning Acoustic Microscope (SAM) ............................................................ 661

E. Forgber, A. Gadomski and S. Boseck

APPLICATIONS IN NONDESTRUCTIVE TESTING 3

Imaging of Crystal Defects by Sound-Beam Topography Using

Wavelengths in the Submicrometer Range ........................................................................................... 667
Th. Aeugle and O. Weis

Acoustic Microscopy for Material Characterization .................................................................................. 673

T. Kundu, M. A. Awal and A. Mahalanobis

Transmission Acoustic Microscopy Investigation ...................................................................................... 679

Roman Maev, Oleg Kolosov, Vadim Levin and Oleg Lobkis

Acoustic Microscope for Measuring Acoustic Properties by

Micro-Defocusing Method ................................................................................................................... 685
Noriyoshi Chubachi, Hiroshi Kanai, Toshio Sannomiya and Toshihiro Wakahara

Observation of Microcrack Damage in Al 03-Ceramics

by Scanning Acoustic Microscopy and Small Angle X-Ray Scattering .............................................. 691
S. Pangraz, E. Babilon and W. Arnold

Continuous Wave Transmission Measuring Scanning Acoustic Microscope ............................................ 697

A. Kulik, P. Richard, S. Sathish and G. Gremaud

Restauration of Defocussed Images of Glass!Water-Edges and

Chromium/Glass-Edges in Scanning Acoustic Microscopy (SAM) .................................................... 703
H. Siebel and S. Boseck

Nondestructive Monitoring Damage in Composites Using

Scanning Laser Acoustic Microscopy ............................................ .......... ............................................ 709
A. C. Wey, L. W. Kessler and H. L. M. dos Reis

Imaging of Integrated Circuit Packaging Technologies Using

Scanning Acoustic Microscopy ............................................................................................................ 717
J. Flannery, G. M. Crean and S. C. 0 Mathuna

Scanning Acoustic Microscopy as a Non-Destructive Technique

for Process Monitoring of High Power Semiconductor Devices .................. ........................................ 723
J. Attal, B. Bianco, A. Cambiaso, D. E. Crees, P. Dargent, F. Fasce,
D. R. Newcombe, J. C. Noack, J. M. Saurel and M. Zambelli

Investigations of Damaged Metal Matrix Composites by Scanning

Acoustic Microscopy ............................................................................................................................ 731
H.-A. Crostack, G. Fischer and U. Beller

Tunneling Microscopy of Acoustic Waves ................................................................................................ 737

E. Chilla, W. Rohrbeek, H.-I. Frrnlich andJ. Riedel

APPLICATIONS IN NONDESTRUCTIVE TESTING 4

Imaging of Laser-Generated Ultrasonic Waves in Silicon ......................................................................... 743

Arthur G. Every and Wolfgang Sachse

xvi
 Scanning Electron Acoustic Microscopy of Residual Stresses
in Ceramics: Theory and Experiment ................................................................................................... 749
John H. Cantrell and Menglu Qian

Signal Generation and Contrast Mechanisms in Electron and

Photo Acoustic Imaging of Differently Doped Silicon ........................................................................ 755
M. Domnik and L. J. Balk

Visualization of Dauphine Twin in Quartz Filter by Electron

Acoustic Microscopy ............................................................................................................................ 761
V. L. Gurtovoi and V. G. Eremenko

An Improved Measurement System for the Investigation of Sensitive

Specimens by Means of Scanning Electron Acoustic Microscopy (SEAM) 767
K. Kaufmann, P. Koschinski, U. Zinke and L. J. Balk

Capacitive Transducers for Scanning Electron Acoustic Microscopy (SEAM) 773

M. Domnik and L. J. Balk

Imaging and Characterization of Wear Behavior in WC+Co Coating

and 45# Steel by Scanning Electron Acoustic Microscopy ................................................................... 779
F. M. Jiang, S. X. Hui and Q. R. Yin

REMOTE SENSING APPLICATIONS 1

Acoustic Imaging at the Planetary Scale ..... ... .............. ................... ....... .......... ....... ....... ... ......... ..... ... .... .... 785
Adam M. Dziewonski and Robert L. Woodward

The Use of the Seismic Waves Nonlinear Interactions for Remote

Sensing of Geological Data ....... ... ....... ......... ..... ....... ..... ... .... ........ .... ..... ....... ..... ....... ..... ... .... ..... ....... .... 799
Igor Beresnev

The CRE-Method: A Technique of Homeomorphic Imaging in

Processing of Seismic Data ................................................................................................................... 803
H. Steentoft and W. Rabbel

A Study of Cross-Holes Inverse Scattering Tomography with

Maximum Entropy ................................................................................................................................ 811
Feng Yin, Benli Gu and Yu Wei

Seismic Tomographic Reconstruction: Field Cases and

Theoretical Studies ................................................................................................................................ 817
Bodo Lehmann, Christoph Gelbke and Francesco Miranda

The Simulation Study of Inversion of Two-Dimensional Elastic

Wave Equation with Two Variable ...................................................................................................... 823
Ji Ying, Chen Yong and Gu Benli

Sampling Multidimensional Seismic Data - A Study Case ........................................................................ 829

Virgil Bardan

Several Problems of Geophysical Diffraction Tomography -

Towards Practical Application ... ... .... ..... ..... ..... ......... ............ ..... ....... ..... ....... ... ....... ..... ......... ..... ....... .... 835
B. Gu, Y. Ii, J. Qiao and H. Ii

On the Estimation of the Bottom Geoacoustic Parameters Using

Measurements of Plane Wave Reflection Parameters .......................................................................... 841
M. I. Taroudakis, P. J. Papadakis, J. S. Papadakis and E. Simantiraki

xvii
Validation of a Finite Element Modelization of Shallow Waves Propagation ........................................... 84 7
F. Eiselt, 1. Shahrour, J. C. Tricot, Ph. Pemod and B. Delannoy

REMOTE SENSING APPLICATIONS 2

Acoustical Remote Sensing in the Atmosphere .......................................................................................... 853

Gerhard Peters

Reconstruction of Fluid Vorticity by Acoustic Tomography ..................................................................... 861

Daniel Rouseff

Digital Holographic Imaging for Underwater Acoustic

Applications .. ..... ....... ..... ............ ..... ....... ..... ..... ......... ............ ... ....... ....... ... .... ............ ..... ... .... ..... ..... ...... 867
G. A. Shippey, R. McHugh and J. G. Paul

A Simulation Study of 3D Image Generation Using Fan-Beam Sonars ..................................................... 873

Rajendar Bah! and John P. Powers

High-Resolution Array Processing Experiments with Multibeam

Echo Sounder ..... ... ....... .............. ....... ...................... ............ ..... ....... ....... ... .... ............ ... ......... ............ .... 879
Timo-Pekka Jiintti

A Multibeam Sonar for Fishery .................................................................................................................. 885

P. Challande, P. Alais, L. Eljaafari, R. Person and N. Diner

Focusing Beamforming by Optical Processors for Underwater

Acoustical Imaging ............................................................................................................................... 891
Hubert Burggraf and Dirk Rathjen

Modal Analysis of Sound Field in Deep Sea .............................................................................................. 897

Yu. A. Chepurin, V. V. Goncharov and A. G. Voronovich

3-D High Resolution Sonar Imaging .......................................................................................................... 903

O. George, N. Rajpal, R. Bahl, T. B. Rao and V. Natrajan

Resolution Improvement in Sonar Using Deconvolution Filtering ............................................................ 909

Andrzej Dyka and Marek Moszynski

Directivity Pattern of Active Sonars with Wideband Signals ..................................................................... 915

J acek Marszal

Improving Resolution of Sensor Array Images Using Multiple

Frames of Data ...................................................................................................................................... 921
B. Yegnanarayana, R. Ramaseshan and A. Ravichandran

Underwater Acoustic Field in the Presence of Coastlines:

A Uniform GTD Approach ................................................................................................................... 927
Leonidas P. Ivrissimtzis and Dimitris P. Chrissoulidis

INDUSTRIAL APPLICATIONS

Two-Phase Flow Measurement in Pipelines Using Ultrasonic-Tomography ............................................ 933

Mohammed Ali Seiraffi

A Method to Measure the Movement of a Rough Plane

Ultrasonically by Doppler-Phase Shift ................................................................................................. 939
Juha Kortelainen

xviii
Touchless Detennination of 3-D-Arbitrary Surfaces with High
Accuracy Using 500 kHz Air Ultrasound ............................................................................................. 945
R. M. Schmitt, M. Klein and F. W. Baisch

Acoustic Returns from a Wind-Excited Surface Covered with

Monomolecular Oil Films ..................................................................................................................... 951
Stanislaw J. Pogorzelski

Object Recognition Using an Ultrasonic Sensor System ............................................................................ 957

M. Lach and H. Ennert

Participants .................................. ................. ............ ............... ......... ..... ............ ....... ............ ................. ...... 963

Index ............................................................................................................................................................ 981

xix
PHONON IMAGING

Werner Dietsche
Max-Planck-Institut fur Festkorperforschung
7000 stuttgart 80
Germany

INTRODUCTION
It is now common practice to term sonic waves with fre-
quencies in the 100 GHz regime as phonons. Experiments in
this range do not utilize coherent waves as is the case in
ul trasonics but rather use a very broad spectrum of phonon
modes. This is most obvious in heat-pulse experiments where
the frequency spectrum has a Planck-like shape which is in
marked contrast to ultrasonics where only one phonon mode is
occupied and the spectrum is a delta-function. The physics of
both types of experiments is in principle the same but re-
search of the last decade in the phonon field using imaging
techniques revealed beautiful phenomena which were unknown
before and are the subject of this contribution. Experiments
with phonons are generally restricted to dielectrics and low
temperatures because only in this case the phonons propagate
ballistically through the sample.

HEAT PULSES
At room temperatures phonons propagate diffusively be-
cause of the high probability of phonon-phonon collisions.
This is reflected by the relatively low thermal conductivity.
If the temperature is decreased the mean free path of the
phonons increases until it reaches the sample dimensions. At
this temperature the thermal conductivity reaches a maximum.
At lower temperatures we are in the ballistic regime where
phonons are scattered from the sample boundaries if no other
impurities are present. The thermal conductivity decreases
further because the number of heat carrying phonons de-
creases.
In this temperature range phonon experiments are carried
out. A typical situation is depicted in Fig.1. A sample is
kept at temperatures around 1 Kelvin and phonons are genera-
ted by momentarily heating the sample surface by a laser
pulse. Phonons are emanating from the hot area and travel
ballistically through the crystal. Some of them are detected

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hrujes, Plenum Press, New York 1992
by a suitable device at the opposite surface. The situation
can be looked at as a "phonon vacuum" into which a jet of
particles is inj ected. The difference to free particles is
the energy-independent velocity of the phonons.

Fig. 1
set-up of a phonon experiment.
Scattered paths are also pos-
besides the ballistic paths

laser
pulse

Time resolution is an important advantage in these

experiments because it does not only allow to separate the
differently polarized phonon modes (longitudinal vs. trans-
versal) but also to distinguish scattering processes. These
may take place if there are any impurities in the sample. The
scattered phonons will reach the detector at a later time. An
example of phonon pulses is shown in Fig. 2 for the [111] di-
rection in si. The temporal separation of the longitudinal
(LA) and the transverse phonons (TA) is clearly visible.

5i [111] TA

-'
« Fig. 2
z
<!l
Vi
Phonon signal as function of the
5z time of flight.
o
r
a..

o 0.5 1.5
TIME OF FLIGHT (IlS)

A large number of both phonon generators and detectors

have been used in the last years. Heat pulses can also be ge-
nerated by electrically heating resistive films. 1 Quasimono-
chromatic sources can be obtained by using superconducting
tunnel junctions. 2 Of course, also electonic devices like
MOS-FET's emit phonons which can both be studied and util-
ized. 3 The1 most commonly used detector is the superconducting
bolometer. This is a metal film biased at the transition
temperature where the resistance is very sensitive to small
temperature changes brought about by the absorption of pho-
nons. Another possibility is to use superconducting tunnel

2
junctions. 2 These have the advantage that they have an inhe-
rent material-dependent frequency threshold which lies bet-
ween 100 GHz (AI) ~n~ ~ear 900 GHz (PbBi) as was experimen-
tally demongtrated. " In special cases the threshold can
be tunable. Even spatial resolution of the detection process
was shown to be possible. 6

PHONON FOCUSING
The probably most interesting ~henomenon in phonon phy-
sics is the phonon focusing effect. It becomes most striking
if very small phonon generators and detectors are used in a
setup like that in Fig. 1. There are two important findings
(i) there are certain direction into which very high phonon
fluxes are emitted and (ii) in some directions more than the
three normally expected phonon pulses are observed. 8
This behavior can completely be described with the clas-
sical elasticity theory. Here stress C1 ij and strain elm are
related by the elasicity tensor:

the equation of the motion u for a volume element in the crys

tal is

a2 uI
Cij lma
Xm
aXj
where p is the density of the medium. This equation has the
wave solution u= € exp((i(k·x)- wt», where € is the polari-
sation vector and w is the angular frequency of the wave.
This leads to a set of three linear equations:

With n=k/k being the wave normal and v=wlK the phase velocity
this becomes the Christoffel equation:

where 0il= (lip) Ci'lmn.~ is the Christoffel tensor. The di-

rection aependent Wase' velocity can be obtained by setting
the determinant of this equation to zero. This leads to the
three different sound modes. For each of these the polarisa-
tion vector can be calculated immediately.
The direction of the energy flow is parallel to the group
velocity V
V=dw/dk

3
This can either be obtained by differentiating w=v (k) • k as
obtained by the christoffel equation or by using the expres-
sion for the elastic energy of a sound wave:

U= (1/2) c·1)·e·e·
1 )
i,j=1 .. 6 (Voigt notation)

By the latter technique analytical expressions can be ob-

tained. It does therefore not require numerical differentia-
tion.

LA

Fig. 3
Slowness surfaces of the
three acoustical phonon
modes in Si. One octant of
each is shown only.

The results of this analysis can best be discussed in

the form of graphical represantations of the so-called slow-
ness surfaces (Fig.3). The parameters (elastic constants and
density) are those of si. These are surfaces of constant fre-
quency W=l/v in k-space. Only one octant of the respective
total surfaces is shown in a three-dimensional representa-
tion. The deviations from isotropic spheres are obvious. The
surface of the LA mode (a) has only convex areas while that
of both the fast transverse (FTA) and the slow transverse
modes (STA) have areas of positive and negative curvature.
The existence of inflection points for the STA modes is ob-

4
 I[ol~

(iOOl

Fig. 4. (a) Cut through the slowness surface of the STA modes
of Fig. 3. (b) Polar plot of the group velocity direction
found on the cut of (a).

vious from a (100) cut through the slowness surface, see Fig.
4 (a). The focusing phenomena can be illustrated by this fig-
ure. The group velocity direction always point along the nor-
mals of the slowness surface. Therefore the wavevector and
the group velocity are not colinear. In particular one can
see that many group velocity vectors point into almost the
same directions. This forms the qualitative basis of the pho-
non focusing.
Another interesting point is visible from a polar plot
of the group velocities (Fig. 4 (b» of the modes of Fig. 4
(a). Phonons may propagate into the same directions with dif-
ferent velocities although they belong to the same phonon
mode (e.g. near the <100> directions in Fig 4 (b». The ob-
servation of these modes is possible with incoherent phonons
because modes allover the slowness surface are simulta-
neously excited but only those with certain group velocity
direction are detected due to the geometry of the experiment.
Therefore more than three phonon pulses can be detected in
special cases, e.g. if generator and detector are placed
along <100> directions in si ..
The phonon focusing effect can be treated quantitatively
by interpreting it as a mapping of a k-vector space into a
group velocity space. The transformation equations look like
this:

The ratio A of solid angles in k- and in v- space is given by

the inverse of the Jacobian J of the transformation equa-
tions:

5
since J is proportional to the curvature of the slowness sur-
face, the lines of inflection in Fig. 3 and 4 lead to singul-
arity lines in the phonon flux. In experiments the phonon
flux is finite because detector and generator "integrate"
over the singularities.

Fig. 5. simulation of the

phonon-flux distribution
originating from a point
source and impinging onto
the opposite sample surface

In order to model the phonon flux density it is more

common to use a random distribution of phonon momenta emana-
ting from a point on one side of the sample surface. The
group velocity is calculated for each of them and the point
where it will impinge onto the opposite side is found. Hits
are added up and after using a large number of phonons one
will get a point density which closely resembles the phonon
flux density. Results of such calculations are shown in Fig.
5 for a si sample in (100) orientation. The bright areas cor-
respond to high phonon flux densities. Particular remarkable
is the rhomb-shaped structure in the [001] -direction in the
center. The lines with infinite phonon flux stand out clear-
ly.

PHONON IMAGING

The phonon-flux distribution expected from the elastic

anisotropies can best be observed experimentally using the
phonon- imaging technique. 9 Consider Fig. 1: The laser heated
surface area emits phonons of all possible momenta. The de-
tector measures only the intensity of those with group velo-
cities directing towards it. By computer-controlled scanning
of the laser beam across the excitation surface all spatial
directions can be mapped out. The phonon intensities are
stored as function of laser position and are then displayed
on a TV screen. An example of such a measurement is shown as
Fig. 6 (a) for (100)-oriented si. There is perfect agreement
with the theoretical prediction of Fig. 5. The slight broade-
ning of the structures is due to the limited spatial resolu-

6
tion of the detector and of the laser focus. The data of Fig
6 (a) can also be displayed in a three-dimensional fashion
(Fig 6 (b» which shows the high anisotropy of the phonon
flux very clearly.

Fig. 6. Experimentally determined phonon-flux distribution in

(100) si. Left panel: gray-scale represantation, right panel:
same data in three-dimensional representation.
In other experiments a localized generator and a spat-
ially resolving detector were used to produce equivalent
data. 6 But laser scanning the generator is far easier experi-
mentally. The technique of phonon imaging has been used to
study a variety of phonon effects: the phonon scattering by
dislocations and other defects, phonon propagation in piezo-
electric crystals, and the dispersive behavior of very high
frequency phonons, just to name a few. 8 In the remaining sec-
tion of this contribution an application of the phonon ima-
ging technique to the study of electron-phonon interaction
will be described.
PHONON-DRAG IMAGING
The most important electronic device at present is the
field effect transistor bFET). In these a quasi two-dimensio-
nal electron gas (2DEG)1 forms at a semiconductor interface
which carries the current. In recent years it became possible
to prepare 2DEG' s in a GaAs-AlGaAs heterostructure grown by
molecular-beam epitaxy (MBE) on GaAs wafers. These electrons
have such high mobilities that the only scattering process at
low temperatures as the interaction with acoustical phonons
which allows the design of very fast transistors (named
HEMT' s). The absorption and emissi"on of phonons in such sys-
tems is also of fundamental interest because of the different
dimensionalities of the two types of excitations.
As experimental probe the phonon drag effect was util-
ized. ll The experimental setup is shown in Fig. 7. A wafer of
0.6 mm thickness and (100) orientation was ~sed. On one side
a 2DEG with a charge density of 5.3xlO ll cm- was prepared. A
structure was etched out consisting of two large contact

7
 Fig.7 Experimental set-up used
Laser for phonon-drag imaging.

areas connected by a 50 x 50 ~m2 bridge. A voltmeter was at-

tached to the contacts. Phonons were generated on the oppo-
site surface of the sample with the laser imaging set-up. If
the phonons are absorbed by the 2DEG they transfer their par-
allel momentum to it. This additional momentum will rapidly
be distributed over all electrons leading to a drift velocity
of the electrons. Let the channel of the 2DEG structure point
into the x-direction then

is the total transfered momentum along the channel in unit

time. Here F(k)dk is the phonon flux hitting the 2DEG, r(k)
is the absorption probability of the phonons. Under steady
state conditions the phonon-drag voltage along the channel
will be V=hQxl/e where I is the channel length and e is the
unit charge.
In this type of experiment the phonon-drag voltage was
recorded by the phonon imaging computer and its values are
displayed as grey tones on the TV monitor. The phonon flux in
such an experiment is of course also determined by the phonon
focusing. The focusing pattern expected in a (100) GaAs
sample is shown in Fig. 8 (a). Bright areas correspond again
to high phonon fluxes.
The measured phonon-drag image is shown in Fig. 8 (b).
Zero voltage corresponds to an average grey tone while posi-
tive and negative values are displayed brighter and darker,
respectively. The maximum drag-voltages were of the order of
0.5 ~V. Sharp features are visible which coincide with some
of those of the focusing pattern. As expected for the phonon-
drag effect the voltages changed sign whenever the kx-compo-
nent of the incident phonons reversed its sign. Most promi-
nent are the FTA-ridges along the {100} planes. On the other
hand, the STA structures along the {110} planes do not show
up in this measurement. The two broad structures which are
centered at <lll>-directions are LA phonons as revealed by
time-resol ved measurements. The sharpness of the structures
demonstrates that only the narrow bridge in the 2DEG device
contributed to the observed pattern. The phonon drag voltages
in the relatively large contact areas are not homogeneous and
are therefore screened by the high mobility 2DEG.

8
Fig. 8. (a) Phonon focusing pattern in GaAs (simulated); (b)
measured image of the phonon-drag voltage; (c) calculated
image of the phonon-drag pattern using piezoelectric inter-
action; (d) same as (c) but using deformation potential
interaction.

The absence of the STA modes and the relatively strong

appearance of the LA phonons is indicative of a strong pho-
non-polarisation dependence of the electron-phonon inter-
action. In GaAs there are two types of coupling possible: de-
formation potential and piezoelectric. In the first case th~
square of the matrix element is proportional to (::: d ke)
where::: d is the deformation potential and e is the unit
polarisation vector of the phonon with wavevector k. For pie-
zoelectric interaction, on the other hand, the corresponding
expression is P14 2 (e k kz+e k k z +e z k x k,.,)2.10 where Pl is a
piezoelectric constan~ ~n b~t6 cases sbreening is negfected.
For a comparison with experiment the phonon focusing calcula-
tions were repeated but the resulting phonon fluxes were mul-
tiplied by a number proportional to kx times the phonon ab-
sorption probability. In Fig 8 (c) and (d) the resulting
theoretical phonon-drag images are shown if piezoelectric and
deformation-potential interaction is assumed, respectively.
Obviously, the piezoelectric pattern agrees perfectly
with the experimental data while the deformation potential

9
theory predicts a completely different one. Therefore the
coupling in GaAs heterostructures must be of the piezoelec-
tric type.

CONCLUSIONS
It was shown that the phonon imaging technique can be
used to demonstrate the phonon focusing behavior. This pheno-
menon is in principle also present in experiments with ultra-
sonics in anisotropic media but is only easily accessible
with incoherent phonons. The range of the phonon imaging
technique has been expanded dramatically in the last decade.
In the case of the interaction with a 2DEG it was demonstra-
ted that it can lead to new information in other fields of
physics.

ACKNOWLEDGEMENT
I thank Ralf Wichard for allowing me to use some of his
experimental data and his help in preparation of some of the
Figures.

REFERENCES
1. R.J. von Gutfeld, Heat Pulse Transmission, in: Physical
Acoustics, Vol. 5, ed. by: W.P. Mason, Academic, New
York
2. W. Eisenmenger and A.H. Dayem, Phys.Rev.Lett. 18, 125
(1967); H. Kinder, Phys.Rev.Lett. 28, 1564 (1972);
P. Berberich, R. Buemann, and H. Kinder, Phys. Rev. Lett.
49, 1500(1982).
3. M. Rothenfusser, L. Koster, and W. Dietsche, Phys. Rev.
B34, 5518 (1986).
4. W. Dietsche, G.A. Northrop, and J.P. Wolfe, Phys. Rev.
Lett. 47, 660 (1981).
5. W. Dietsche, Phys.Rev.Lett. 40,786(1978).
6. H.Schreyer, W. Dietsche, and H. Kinder, in: "LT17
(Contributed Papers), edited by: U. Eckern, A. Schmid,
W. Weber, and H. WUbI, North-Holland, Amsterdam, p.665.
7. H.J. Maris, J. Acoust. Soc. Am. 50, 812 (1971).
8. For an excellent review see: G.A. Northrop and J.P.
Wolfe in Nonequilibrium Phonon Dynamics ed. by W.E.
Bron, Plenum, p.165.
9. G.A. Northrop and J.P. Wolfe, Phys.Rev.Lett. 43, 1424
(1980).
10. T.Ando, A.B. Fowler, and F. Stern, Rev. Mod. Phys 54,
437 (1982).
11. H. Karl, W. Dietsche, A. Fischer, and K. Ploog,
Phys.Rev.Lett. 61, 2360 (1988).

10
 SYNTHETIC APERTURE ECHO IMAGING

Mehrdad Soumekh

Department of Electrical & Computer Engineering

State University of New York at Buffalo
Amherst, New York 14260

1. INTRODUCTION
This paper presents an inversion for an echo imaging system that utilizes the
motion of a single element transducer (SET) to synthesize the effect of a phased array
with a size equal to the path length that the SET traverses [3]-[5]. A mobile SET,
with a dimension much smaller than a phased array's size, brings flexibility in data
acquisition and processing for echo imaging systems. Synthetic aperture echo imaging
also open ways for imaging an object that cannot be studied with phased arrays due
to constraints imposed by the object's anatomy.
Unlike the dynamic focusing inversion used in conjunction with stationary arrays
[2], the proposed inversion produces an image scene via a (spatial) Doppler process-
ing of the recorded echoed signals at the available coordinates of the mobile SET
that possesses a wide-beam radiation pattern. The inversion does incorporate the
spherical nature of the SET's radiation pattern. Thus, this synthetic aperture echo
imaging method yields reconstructions that are superior to those obtained via the
Fresnel approximation-based dynamic focusing, the Fresnel approximation-based syn-
thetic aperture radar (SAR) inversion (used in strip map-mode SAR), and the plane
approximation-based SAR inversion (used in spotlight-mode SAR).
Section 2 presents the proposed inversion for linear monostatic synthesized arrays.
The inversion for circular monostatic synthesized arrays is outlined in [4]. [3] discusses
inversion when the SET's motion is along an arbitrary path and imaging in three-
dimensional (slant-plane) geometries. The monostatic synthetic aperture data set may
also be obtained via exciting a SET of a physical array (transmit-mode) and receiving
the resultant echoed signals only at the SET that is used for the transmission. This is
then repeated sequentially at all the SETs on the physical array. It should be noted
that the proposed method does not utilize the motion-induced temporal Doppler effect
that is used in the Doppler beam sharpened SAR.

This work is supported by the National Science Foundation under Grant MIP-9004996.

Acoustical Imaging. Volume 19

Edited by H. Ermer! and H.-P. Haljes. Plenum Press. New York 1992 11
 Inversion in bistatic synthetic aperture echo imaging can be formulated based on
principles that are analogous to the inversion for monostatic synthetic aperture echo
imaging; this is achieved via a phase modulation analysis of the bistatic Doppler data
[6] . The outcome is utilized in Section 3 to formulate an inversion for multistatic mea-
surements made along a physical linear array due to a single wide-beam transmission
to image a dynamic object, such as heart.

2. MONOSTATIC SYNTHETIC APERTURE ECHO IMAGING

We consider a two-dimensional imaging system. We use (x, y) and (kx, ky) to
identify, respectively, the spatial and the spatial frequency domains. For a spatial
domain signal, e.g., I(x, y), its spatial Fourier transform is denoted by F(kx, ky). The
object area illuminated by the SET resides within a disk of radius Xo centered at
(X1,O) in the spatial domain; (Xo,Xd are known constants (see Figure 1). The x-
coordinate is used to identify range (slant-range in three-dimensional geometries), and
y specifies the cross-range domain (azimuth).
The surrounding medium (air or water) is homogeneous; the speed of propagation
in this medium is c. The wavenumber of a wave with temporal frequency w travelling in
this homogeneous medium is denoted by k == w / c. It is assumed that we are capable of
making coherent measurements of the echoed signal (waves). Thus, we first examine
the echoed signal for a single frequency source with temporal frequency w; i.e., we
analyze the temporal Fourier transform of the multi-frequency echoed signal.
Consider a SET on a physical or synthesized linear array (a physical array is shown
°
in Figure 1) on the line x = in the (x, y) domain. This SET makes a transmission
and its corresponding reception at (O,u) for u E [-L,+L] (synthesized aperture) on
the (x, y) plane. We assume that the SET's radiation pattern is spherical. In this
case, the round-trip phase delay of the echoed data by a point scatterer at (x, y) IS
vi
2k x 2 + (y - u)2. Thus, the total recorded echoed signal becomes

Physical Array
y
~

Ii:.l
Xo
&"il

fa Unfocused Beam

))
~

fa
x

•
~

I::l
\ Transmitting/Receiving Transducer
x=X 1
-Xo

Figure 1. Synthetic Aperture Echo Imaging

12
 Sm(U,w) = JJ dxdy f(x,y) exp[j2kJx 2 + (y - u)2], (1)

where f(x, y) is the object's reflectivity function. Moreover, the spherical wave that
appears on the right side of (1) can be decomposed in terms of plane waves as follows
[1] :
exp[j2kJ x 2 + (y - u)2] =
J dku
J4k 2 - k~
exp[-jJ4k2-k~x-jku(Y-u)],
(2)

(See [6] for a discussion on (2).) It should be noted that the integral in (2) is in
the complex spatial frequency domain. However, we are only concerned with the real
values of ku E [-2k,2k] since the measurement system only records the nonevanescent
components of the echoed data [4].
Using (2) in (1), and after some rearrangements, one obtains

We denote the spatial Fourier transform of sm(u,w) with respect to u by Sm(ku,w).

Taking the spatial Fourier transform of both sides of (3) with respect to u yields the
following inverse equation:

(4)

The inversion in (4) indicates that the Doppler processing across the synthesized aper-
ture (data transformation from u to ku) provides samples of F(kx, ky) without any
need for the Fresnel approximation used in strip map-mode synthetic aperture radar
imaging.

3. SINGLE-TRANSMISSION ECHO IMAGING

In this section, we examine an imaging system where a single transmission is

°
°
made at u = and bistatic measurements are made at v E [-2L,2L] along the line
x = (single transmission and multiple reception; see Figure 2). We denote the signal
generated by such multistatic measurements by Sb(O, v, w). Our objective is to recover
the monostatic synthetic aperture data from these multistatic measurements.
For this purpose, we consider the round-trip phase delay for a point scatterer
located at, e.g., (x, y) in the monostatic synthetic aperture and single-transmission
cases. We denote the polar coordinates for (x,y) by (8,R). The round-trip phase
delay in the monostatic case [transmit and receive at (0, ~)] is

2
2k / x 2 +(y- 2)2~2kR-kvsin8+
V kv
4R cos 2 8, (5)

and in the single-transmission problem [transmit at (0,0) and receive at (0, v)] becomes

13
 Physical Array
v

y 2L
R
•
R
•
R
•
») ) )
Target
T/R •
x
R
•
R
•
R
•·2L

Figure 2. Single·Transmission Echo Imaging

(6)

Note that the third and higher order powers of v (ex: :::~ " n = 3,4, ... ) are neglected
in the Taylor series expansions on the right sides of (5) and (6). If these higher order
power terms were significant, they could be included in equations (7)-(9). Subtracting
(6) from (5), we obtain the following phase difference

kv 2
~ == --- cos 2 B (7)
4R '
that depends upon the point scatterer's coordinates (B, R).
The next step is to develop an algorithm that incorporates the object-dependent
phase correction factor shown in (7) to recover sm(~'w) from Sb(O,V,W) (note that
(B,R) are the object's parameters). This is clearly infeasible since the object to be
reconstructed is unknown. We may, however, evoke functional characteristics of the
measured echoed data to find a procedure that adaptively performs phase correction
based on the measured data instead of the unknown object distribution.
This is accomplished by realizing that the spectrum of the echoed signals from
the point scatterer at (B, R) is concentrated at kv ~ k sin B; this is due to the fact
that 2L (the aperture) is much smaller than the target's range. Moreover, the time
of arrival at a given receiver for the signal echoed from the point scatterer at (B, R) is
approximately equal to t ~ 2:- provided that v < < R. Thus; the phase correction
function in (7) may now be expressed in terms of (k v , t) (instead of (B, R)) as follows:

14
 kv 2 kv 2
6. ~ - -[1- (-) ]
2ct k (8)
v 2 (k 2 - k;)
2wt
where (kv,t) are the Fourier transform pair for (v,w). Finally, the recovery of the
monostatic data from the single-transmission data can be achieved via
v
Sm( -,w)
2
= 11 2 2 2
Sb(O, kv, t) exp[-j v (k - k v) ] exp(j(kvv - wt)] dtdkv,
2~
(9)

where Sb(O, kv, t) is the two-dimensional Fourier transform of Sb(O, v, w) with respect to
(v, w). (9) represents a two-dimensional instantaneous frequency (harmonic) processing
for each (v,w).
It should be noted that single-transmission echo imaging described above only
utilizes one half ofthe resolution capability of a physical array with aperture [-2L, 2L].
Using a procedure similar to the one shown for the single-transmission case, one can
show that the data generated via two transmissions made at the extreme ends of a
physical array with aperture [-L, L] (i.e., at u = -L and u = L) possesses the physical
array's resolution. The two transmissions may be made simultaneously in a fashion
similar to the signal multiplexing procedure that is described in [6],[7].

4. REFERENCES ,
1. P. Morse and H. Feshbach, Methods of Theoretical Physics, New York: McGraw
Hill, 1968.
2. A. Macovski, "Ultrasonic imaging using arrays," Proc. IEEE, p. 484, April 1979.
3. M. Soumekh, "A system model and inversion for synthetic aperture radar imag-
ing," IEEE Trans. on Signal Processing, February 1992.
4. M. Soumekh, "Echo imaging using physical and synthesized arrays," Optical En-
gineering, May 1990.
5. M. Soumekh, "Synthetic aperture echo imaging using a single element ultrasonic
transducer," Proc. SPIE Medical Imaging IV, Newport Beach, February 1990.
6. M. Soumekh, "Bistatic synthetic aperture radar inversion with application in
dynamic object imaging," IEEE Trans. on Signal Processing, September 1991.
7. M. Soumekh, "Scan-free echo imaging of dynamic objects," Proc. SPIE Medical
Imaging V, San Jose, February 1991.

15
EXACT AND APPROXIMATE SCATTERING DATA FOR TESTING THE FILTERED
BACKPROPAGATION (FBP) AND A HYBRID FBP RECONSTRUCTION
ALGORITHM

I. Johansen, L.-J. Gelius, B. Spjelkavik, N. Sponheim and J. J. Stamnes

Norwave Development A.S

P.O. Box 316,1324 Lysaker, Norway

INTRODUCTION

In our work on ultrasound and seismic diffraction tomography we make

frequent use of both the standard filtered backpropagation (FBP) algorithm [1] and
the hybrid FBP algorithm [2]. We have tested them using both approximate
scattering data, based on weak-scattering assumption, and exact data for two-
dimensional scattering by a circular cylinder.

2D FORWARD SCATTERING

Consider a two-dimensional (2D) acoustical scattering problem, in which a

scattering object, embedded in a homogeneous background, is insonified by an
incident pressure field Po. The exact solution for the scattered field Ps is then given
by

Ps{ro) = - 2ko 2 f O{r) P{r) G(r - ro) d 2 r (1 )

where G is the Green's function of the background and P is the total pressure field,
i.e.,

P(r) = Po(r) + Ps(r) (2)

The object profile 0 in (1) is given by

O(r) = i r-J;1 1)
2
- (3)

where k(r) is the wavenumber describing the object, and ko is the constant
wavenumber of the background.

APPROXIMATE SCATTERING DATA

It is difficult to solve (1), since the total field P is not known inside the object.
To overcome this difficulty we may use the first-order Born approximation, which

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 17
amounts to assuming that the scattered field P s is much weaker than the
background field Po inside the object. Then we may replace P by Po in (1) to obtain

(4)

The Born approximation is known to give poor results for large objects [2].
Then a better way to overcome the difficulty of not knowing P in (1), is to use the
Rytov approximation, which is related to the phase of the field. Since the phase (or
travel time) obviously plays an important role in tomography, it is advantageous to
express the total wavefield as follows

P(r) = Po(r) eikooW(r) ; oW(r) = ;L In (J:.(!L) (5)

Iko Po(r)

where oW(r) is the complex phase perturbation due to the presence of the
scattering object. If we substitute (5) in (1) and use the first-order Rytov
approximation, according to which

IV(oW)1 2 « 2koiOI (6)

we find that the phase perturbation can be expressed as

ikOoW(ro) z -2ko2 po~ro) J Po(r) O(r) G(r - ro) d 2 r (7)

EXACT SCATTERING DATA

To generate exact scattering data we start with the wave equation expressed
in polar coordinates. The solution is then given in terms of cylinder functions, i.e.
Hankel or Bessel functions. The scattered field Ps outside the circular cylindrical
object, which is centered at the origin, can be expressed as a series of Hankel
functions

Ps = ~ [An cos(ncp) + An' sin(ncp)] Hn(1)(kor) (8)

n=O

where An and An' are unknown coefficients to be determined, rand cp are the polar
coordinates of an arbitrary observation point outside the cylinder, and Hn (1) is the n-
th order Hankel function of the first kind.

Inside the cylinder an expression similar to (8) holds, but with ko replaced by k
and with different coefficients. Also, the Hankel functions must be replaced by
Bessel functions, since the Bessel functions are the only cylinder functions that are
not singular at the origin.

By applying the conditions of continuous pressure and radial velocity at the

boundary of the cylinder, the unknown coefficients and hence the field can be
determined.

VALIDITY OF INVERSION ALGORITHMS

Our objective is to examine the standard FBP [1] and the hybrid FBP [2]
inversion algorithms. The FBP algorithm is based on the classical scan con-

18
figuration [3] and includes an approximate backpropagation of Rytov data from the
detector line to the reconstruction area based on the first-order Rytov approximation
in (6). This becomes inaccurate when the backpropagation distance is large.
Therefore we have developed a hybrid FBP algorithm [2] that contains an exact
backpropagation (inverse diffraction) of the wavefield from the measurement line to
the reconstruction area. After this exact backpropagation of both P and Po, Rytov
data are computed from (5), and the standard FBP algorithm is then employed to
obtain a reconstruction. The measurement line may be straight or curved.

TESTING OF INVERSION ALGORITHMS

The image

After inversion using either the standard or the hybrid FBP algorithm, we
obtain an image of the object profile 0 in (3). The object profile of a non-attenuating
weak scattering object is real and can be written

Co - c
0::- ----"-- (9)
C

where Co and c are the sound velocities of the background and the object,
respectively. Thus, 0 describes velocity variation.

Each image is displayed as seven grey shades representing seven equally

spaced levels of velocity contrasts, white being the highest level. The ring pattern
which is readily seen in Figs. 1 a and b, is due to the film used to take pictures of the
computer screen and should be ignored. The size of the image display is 70 mm by
70 mm.

The object

The object used for the generation of data is a circular cylinder, centered at the
origin. Its diameter is 22 mm, or 55 wavelengths, and its velocity is 3.5% higher
than that of the background medium. The object has no attenuation.

The geometry

Data to be inverted by the standard FBP algorithm were generated according

to the classical scan configuration [3] along a straight line at a distance of 100 mm
from the origin. As input to the hybrid FBP algorithm, we generated data along a
circular arc of radius 100 mm, centered at the origin. The incident field was
generated by a line source [4]. Data for different view angles were recorded by
rotating the source and the measurement line around the origin.

Testing the FBP algorithm

First we test the FBP algorithm using both approximate Rytov data, computed
from (7), and exact Rytov data, computed from (5) and (8).

We have used approximate Rytov data for one view to generate the image
shown in Fig. 1a. The distance between the two dark spots in the middle of the
image corresponds to the diameter of the object. The velocity contrast of the
"elliptic" light grey area in the middle ranges from 0.7% to 4.0%. This image is to be
compared with that in Fig. 1b obtained using exact Rytov data for one view. From
the latter image it is difficult to determine the diameter of the object. Moreover the
velocity contrast in the middle area is much too large (up to 7.4%).

19
 Next, we increase the number of views from one to three. Using approximate
Rytov data we get the image in Fig. 1c, which shows correct size of the object and a
velocity contrast between 2.8% and 4.3% inside the object. Again we compare with
the image obtained using exact Rytov data, which is much worse, as shown in Fig.
1d. The size and the shape of the object are poorly reproduced, and the velocity
contrast of the object is not well defined. Using exact Rytov data, we increased the
number of views to 25, and obtained the result in Fig. 1e. The correct object
diameter corresponds to the outer part of the dark ring. The velocity contrast of the
object ranges from 1.1 % to 3.2%, with maximum value in the peak in the middle.
This is not a very good image, probably due to the inaccurate backpropagation of
Rytov data over a large distance (250 wavelengths).

The reason why the images based on approximate Rytov data are better than they
ought to be, has to do with the fact that the same weak-scattering approximation as
the inversion algorithm is based on, is used in generating the data. Thus, we may
conclude that it is essential to use exact scattering data to examine the validity of
an inversion algorithm.

Testing the hybrid FBP algorithm

In accordance with the conclusion drawn above, we use exact data to test the
hybrid FBP algorithm. We want to determine the number of views required to
obtain a good image.

The image in Fig. 2a is obtained using data from five views. The reconstructed
object is not completely circular, but the size is well reproduced. The velocity
contrast ranges from 2.4% to 3.4%, which is quite good. By increasing the number
of views to 25, we obtain the image in Fig. 2b, showing an excellent reconstruction
of both the size and the velocity contrast of the object. The conclusion is that we
obtain a fairly good image with only five views using exact Rytov data as input to the
hybrid FBP, whereas 25 views give an excellent reconstruction.

The image in Fig. 3 is based on experimental data measured for 25 views and
on the hybrid FBP inversion algorithm. The object is made of agar and has the
same size and velocity contrast as in the previous examples. In this image the grey
scale is inverted compared to the images in Figs. 1 and 2. Thus, white is the lowest
level in Fig. 3. The image shows correct size of the object, and the velocity contrast
is 3.4%. Our experience is that 25 views are sufficient to obtain satisfactory
reconstructions from experimental data.

CONCLUSIONS

First we conclude that to examine the validity of the FBP algorithm exact
scattering data must be used. Second, we have found that to obtain a good image,
showing correct size and velocity contrast, a significant number of views is required.
We have seen, both from simulations using exact data and from experiments, that
25 views give very good reconstructions.

When using exact Rytov data, the hybrid FBP algorithm has been shown to
give much better results than the standard FBP algorithm. The reason for this is that
the hybrid FBP algorithm is based on an exact backpropagation of the field before
inversion using the FBP algorithm, while the standard FBP algorithm
backpropagates Rytov data based on the weak-scattering approximation. The latter
method becomes inaccurate when the backpropagation distance is large.

20
 a b

c d

.Ei.g,.L Image of an object with a diameter

of 22 mm and a velocity contrast of 3.5%
obtained with the standard FBP
algorithm. The image display is 70 mm x
70 mm.
a) Approximate Rytov data, 1 view.
Min = -1.6% Max = 7.3%
b) Exact Rytov data, 1 view.
Min = -11.4% Max = 10.5%
c) Approximate Rytov data, 3 views.
Min = -4.7% Max = 5.8%
d) Exact Rytov data, 3 views.
Min = -7.6% Max = 6.0%
e) Exact Rytov data, 25 views.
Min = -1.54% Max = 3.2%

21
 a b

~ Image of an object with a diameter of 22 mm and a velocity contrast of 3.5%.

Exact Rytov data were used as input to the hybrid FBP algorithm. The image
display is 70 mm x 70 mm. a) 5 views. Min = -2.7% Max = 4.4%.
b) 25 views. Min = -0.9% Max = 3.5%

~ Image of an object with a diameter

of 22 mm and a velocity contrast of 3.5%
based on experimental Rytov data. The
field was measured for 25 views and given
as input to the hybrid FBP algorithm. The
image display is 70 mm x 70 mm. The grey
scale is inverted compared to the images in
Figs. 2 and 3.
Min = -1.8% Max = 4.2%

ACKNOWLEDGEMENTS

This work was supported by the Royal Norwegian Council for Scientific and
Industrial Research (Grant IT 622.23249) and by NATO Grant 0577/88.

REFERENCES

[1] A. J. Devaney, A computer Simulation Study of Diffraction Tomography, IEEE

Biomed. Eng. BME-30, pp. 377-386 (1983).
[2] N. Sponheim, L.-J. Gelius, I. Johansen, and J. J. Stamnes, Quantitative results
in ultrasonic tomography of large objects using line sources and curved
detector arrays, to appear in IEEE UFFC, July 1991.
[3] A. C. Kak, "Tomographic Imaging with Diffracting and Non-Diffracting Sources",
ch. 6, "Array Signal Processing", S. Haykin (editor), Prentice-Hall, 1985.
[4] N. Sponheim, L.-J. Gelius, I. Johansen, and J. J. Stamnes, Ultrasonic
Tomography of Large, Attenuating Objects. Acoustical Imaging, vol. 19. Fig . 1a.

22
 RECONSTRUCTION IMAGING WITHOUT ARTEFACTS

Sidney Leeman, Eduardo T. Costa· and Andrew J. Healey

Dept. of Medical Physics and Medical Engineering

King's College School of Medicine and Dentistry
Dulwich Hospital, London SE22 8PT, UK

INTRODUCTION

A number of imaging techniques rely on digital computation in order to recover a mapping of

the interaction parameters from the measured data. These techniques all proceed from fundamental
algorithms which are, essentially, the expression of the inverse (scattering) problem for the particular
measurement configuration associated with that imaging technique. Even the more conventional
pulse-echo techniques, widely used in medical applications, may be seen as a subset of these methods,
relying, as they do, on backscattered waves only. In a similar way, computerised ultrasound tomo-
graphic ("CUT") methods comprise the subset of techniques which rely on forward scattered waves.

All quantitative scatter imaging methods are based on the following picture. A known input
wave is arranged to penetrate a region of interest, where it interacts to produce scattered waves. The
products of the scattering interactions are measured outside the region of interest, and a considerable
amount of processing and data manipulation is, in general, mandatory before an image, or mapping,
of the interaction parameter(s) can be effected. Such imaging methods share a number of common
features [Leeman and Roberts, 1986]: (i) an underlying physical model, which essentially prescribes
the the interactions thought to be implicated in the scattering process; (ii) a data acquisition con-
figuration, which limits the full range of measurements possible, and may actually simplify the com-
plexity of interactions contributing to the measured scattering; (iii) a computational model, which is
nothing but the approximation scheme invoked to relate the measurements to the distribution of the
scattering parameters of the underlying physical model.

A large number of simplifying assumptions about the experimental arrangements may have to
be made in deriving the fundamental inversion procedures. In practice, although these are sometimes
seen as "inessential" difficulties (from the mathematical point of view), the assumptions made are very
different to the type of setup that can be realised in any practical situation. This paper looks at a
number of such assumptions, and attempts to show how they can actually be overcome in practice,
even when using conventional pulsed input transducers. The topics addressed are: how to nullify
diffraction artefacts; how to measure, directly, the full three-dimensional decomposition of the incident
pulse into plane wave components; how to overcome the far-field assumption; and how to make
inroads into assessing refraction enors. The methods whereby these problems are resolved all have
a very satisfying underlying unity, being based on the use of a large aperture PVDF hydrophone of
novel design, that has been developed in our laboratory [Costa and Leeman, 1988].

* Present address: Dept. of Medical Engineering, CEB, University of Campinas, Campinas, SP-Brazil

Acous/icallmaging, Volume 19
Edited by H. Ermert and H.-P. Hrujes, Plenum Press, New York 1992 23
TYPICAL THEORETICAL AND 'REAL LIFE' SCENARIOS

A typical theoretical description of a scatter imaging experiment may be constructed somewhat

along the following lines. The incident wave is generally assumed to have a particularly simple geo-
metrical configuration: plane waves are usually adopted. The scattering interaction is assumed to be
weak, so that approximations such as the fist born approximation ("lBA") may be applied. The
measured data set is, in most cases, taken to be the scattering amplitude, and this pre-supposes that
measueremnts can be carried out in the farfield. Moreover, theoretical descriptions usually introduce
the notion of the 'incident wave', which is merely the wave incident upon the scattering object, but is,
in fact, the time-space dependence of the this wave throughout all space, including the scattering
region, but measured in a hypothetical situation in which the scattering interactions (only) are pre-
sumed to be inactive, or, more colourfully stated, 'switched off'.

In practice, experimental constraints may not allow the full implementation of the theoretical
requirements. The input wave will, of necessity, be a bounded one, and the problem of measuring or
calculating its decomposition into plane waves (as required by the theory) is not easily solved.
Moreover, the specification of the incident wave is now bedevilled by diffraction effects. Far field
measurement may be out of the question, with reasonably sized measurement tanks. Practical
hydrophones cannot be constructed with infinitesimal dimensions, so that point measurement of the
scattered field is compromised by phase cancellation artefacts. In CUT studies, the hypothesis of
straight line (ray) propagation may be manifestly incorrect, with refraction errors clearly visible.
There must also be some douht as to the validity of the weak scattering approximation, so conveni-
ently invoked in many schemes. Another problem, which is often glossed over, is the validity of the
underlying physical model: if this is significantly incorrect, the resultant image may be "fuzzy"
[Leeman and Jones, 1984], even while apparently exhibiting reasonable resolution: this aspect is not,
however, further discussed here.

THE DIFFRACTION PROBLEM

It has already been shown by us [Costa and Leeman, 1988] that diffraction-free measurement
of a three dimensional field may be effected by utilising a large, planar, uniformly sensitive, coherent
detector as a receiving hydrophone. A practical implementation of such a device has been con-
structed by stretching a thin (25ji) PVDF film over a rigid supporting annulus. Thin films are chosen
because they are virtually transparent to an incident field, over a large range of frequencies, and this
is a desirable feature in many experimental configurations [Costa and Leeman, 1989h].

The large aperture hydrophone actually acts as a directional 'filter', which selects those spectral
components of the incident wave which point along the direction of the normal to the plane of the
hydrophone. This is easily proven, as follows. Consider an incident wave, p (r: .
t) , with -,: and
t denoting the position vector and the time, respectively. Since the wave is considered to be a sol-
ution of the lossless wave equation for a medium of phase velocity c, it can be written as a super-
position of travelling plane waves:

(1)

with w 2 = C 2 e. Because it is a coherent detector, the action of the hydrophone is to integrate the
pressure wave across its face. For the situation that the plane of the hydrophone is orthogonal to the
travel direction of the incident field (along the z-axis, say), the hydrophone output is proportional to

PH(2.t)~ f f
ctx dyp(X,y.2.t)

= f f
dkxb(k x ) ctkyb(ky) f ctkJ(k x ' kyo k,)eJ("~ wt)

= f
dkzF(O.O.k,)"i(k,z-wt) (2)

A standard representation of the dirac delta function has been used.

24
 The output of the hydrophone is invariant with distance, even if the emitting transducer is
focussed. Provided the sensitive area of the hydrophone is larger than the extent of the measured
field, the results are remarkably in accord with theoretical predictions [Costa and Leeman, 1988]. The
theory, and utility of the hydrophone, may be extended to more complex media [Leeman et aI, 1985],
even for nonlinear propagation [Costa and Leeman, 1989a]. Quite clearly, provided measurements
are performed with a large aperture hydrophone, diffraction effects need not be considered, and the
incident wave, required in the inversion theory, may be accurately specified.

PLANE WAVE DECOMPOSmON OF BOUNDED FIELDS

In the above theory, the z-axis may be chosen to lie along any direction in space, and it is
readily seen that, if the hydrophone is arranged at an angle to the propagation direction of the field,
then its filtering action selects those (travelling plane wave) components of the incident field which lie
along the direction of the normal to the plane of the hydrophone. Thus, by performing successive
measurements at various hydrophone orientations, the full plane wave decomposition of the field , as
embodied in the three dimensional fourier transform, F(k), may be mapped out. At each orienta-
tion of the hydrophone, a distance-invariant output is measured. The (one dimensional) fourier
transform of this output yields the values of F (k) along a line, in k -space, which has the same
direction as the normal to the plane of the hydrophone. It is interesting to observe the analogy with
the fourier slice theorem, as used in computerised tomography reconstructions. Indeed, this use of the
hydrophone may be construed as imaging the (time dependent) three dimensional field, via recon-
struction from projections: the hydrophone measurement, by its coherent nature, providing the
required projections.

The measurement technique outlined here has successfully been applied, in another context, to the
assessment of transient fields from commercial (medical) ultrasound transducers [Leeman et aI, 1991].

ASSESSMENT OF REFRACTION EFFECTS

When probing an unknown field, the large aperture hydrophone's output is maximal when the
normal to its plane is aligned along the direction of propagation of that field. This property may be
useful when performing CUT, since the direction of an emergent 'ray' may be established by a
searching technique employing an orientable large aperture hydrophone. While this cannot solve the
problem of refraction errors in CUT, the information gained in such measurements may considerably
reduce the effort involved in some successive approximation schemes devised in this context.

FAR FIELD OUTPUT MEASURED IN THE NEAR FIELD

Many (although not all) quantitative scatter imaging techniques require the measurement of the
scattering amplitude, which is defined in terms of the asymptotic properties of the scattered field.
Thus, a far field measurement is required in these cases. This constraint may be overcome if the
scattered field is measured with the aid of a large aperture hydrophone, placed at any convenient
distance from the scattering object. Consider the arrangement depicted in Fig. 1: a contnuous wave
field. of frequency (A) is incident upon a scattering object, but we focus attention on the scattering
element located at r o. The scattered wavelet from this element is measured at the field point r,
and has the form [Morse and Ingard, 1968] of the (free space) greens function.

(3)

Asymptotically, the greens fuction behaves as

(4)

25
The first factor on the right-hand-side of Eq. (4) has the form of an outgoing spherical wave. The
second factor is the more critical one, as it is an essential ingredient in forming the integral over all
scattering elements, which represents the desired scatteril'g amplitude.

Consider now a measurement implemented with a large aperture hydrophone, oriented as in

Fig. 1. As before, the hydrophone output is formed by integrating over the two spatial variables
describing the plane of the hydrophone, and it may be shown that, in the case under consideration,
the output is proportional to

This also is the product of two factors: the first, inessential, factor, is similar to the phase of an out-
going spherical wave, while the second, critical, factor has precisely the form necessary to establish
the scattering amplitude integral. Note that, as before, the output of the large aperture hydrophone
is invariant with distance although it will obviously depend on orientation. The set of hydrophone
measurements, for all orientations, establishes the angie-dependent scattering amplitude.

Figure 1. Schematic representation of scattering process.

A similar treatment may be carried through for the time-dependent greens function, but the
somewhat more involved calculations are not presented here. In practice, it is obviously impossible
to implement the measurements with an infinite aperture hydrophone, which may be necessary in
order to intercept the entire scattered field. However, a hydrophone with a practicable aperture,
placed close to the scattering object, may be able to yield the desired result to a sufficient degree of
accuracy. A series of experiments to check this contention are being planned.

MISCELLANEOUS PROBLEMS

The large aperture hydrophone may also be used to accurately determine the reflectivity of the
bounding interface of the scattering object [Costa and Leeman, 1989b). The effects of this are con-
veniently disregarded in theoretical treatments, and consequently tends to be neglected by exper-
imentalists.

26
 Another theoretical simplification often made, is the validity of the 1BA. The importance of
this assumption is sometimes overstated: while it is of considerable value in deriving an uncomplicated
inversion procedure, it does not necessarily follow that quantitativt: scatter imaging is critically
dependent on the absence of multiple scattering effects. It is possible, in fact, to devise an exact
inversion procedure (in principle), taking into account all orders of scattering, for scattering distribu-
tions which may be written as truncated laplace transforms [Leeman et aI, 1987]. Moreover, it should
be borne in mind that inversion algorithms that rely on the rytov approximation do, in fact, contain
some compensation for multiple scattering effects. A full discussion of these points will be made at
another forum.

CONCLUSIONS

It has been suggested that large aperture hydrophones have a valuable role to play in scatter
and CUT imaging. They can be used to make measurements that are free from diffraction and
focussing artefacts. Their mode of operation is such, that the problem of phase cancellation artefacts
is made totally redundant. They allow direct measurement of the plane wave composition of bounded
fields. Refraction errors in CUT techniques may be assessed, and the reflectivity of the boundary of
the investigated object may be accurately measured. The scattering amplitude may be estimated by
measurements performed in the near field.

The utility of large aperture hydrophones in practice is being investigated in our laboratory with
particular relevance for medical applications, but it is, in fact, becoming clear that the most immediate
application area will lie in non-destructive imaging, and measurement of the ultrasound properties of
both solid and liquid materials.

In many applications, multiple scattering effects may become important, and invalidate some inversion
algorithms. Even in that case, there is no need to be sceptical about the ultimate applicability of
quantitative scatter imaging techniques.

ACKNOWLEDGEMENTS

The support of the Wellcome Trust and the SERC is gratefully acknowledged.

REFERENCES

Costa, E.T. and Leeman, S. 1988 Diffraction artefacts and their removal, Acoustical Imaging,
17, 403-411.
Costa, E.T. and Leeman, S. 1989a Diffraction insensitive measurements of non-linear fields and
the B/A parameter, In: Ultrasonics International 89, [Butterworth, Guildford], pp 711-717.
Costa, E.T. and Leeman, S. 1989b Reflections on tissue characterization, Phys. Med. & Bioi.,
34, 1675-1681.
Leeman, S. and Jones, J.P. 1984 Tissue information from ultrasound scattering, Acoustical
Imaging, 13, 233-245.
Leeman, S., Seggie, D.A., Ferrari, L.A., Sankar, P.V., Doherty, M. 1985 Diffraction-free
attenuation estimation. In: Ultrasonics International 85, Ed.: Novak, Z. [Butterworth, Guildford], pp.
128-132.
Leeman, S. and Roberts, V.c. 1986 Inverse scatter imaging, Proc. Inst. Acoustics, §/2, 23-30.
Leeman, S., Chandler, P.E., Ferrari, L.A. 1987 Diffraction tomography with multiple scattering.
Acoustical Imaging, 15, 29-34.
Leeman, S., Healey, A.J., Forsberg, F., and Jensen, I.A. 1990 On output measurements via
radiation pressure Proc. IEEE 1990 Ultrasonics Symposium, Ed. McAvoy, B.R. [IEEE, New York].
In press.
Morse, P.M. and Ingard, K.U., 1968 "Theoretical Acoustics", McGraw Hill, New York.

27
 POTENTIAL AND LIMITATIONS OF VARIOUS ULTRASONIC MEDICAL IMAGING

ALGORITHMS

H. Morbitzer, D. Huo R.M. Schmitt

K.J. Langenberg
Dept. Electrical Eng. Dept. Biomed. Eng.
University of Kassel, FRG Frauenhofer-Institute for NDT, FRG

Abstract
The paper discusses the fundamental problems of ultrasonic medical imaging and applies
inverse scattering theory to overcome them. Numerous computer simulations demonstrate
the practicability of several well-known and various improved algorithms. The results are
supported by experiments.

Introduction
Fig. 1 illustrates inverse scattering problem under investigation. The transducer T transmits
a plane wave <Pi into the direction k. The object (volume nc) reacts to this insonification
with an interference (scattered) field <Ps . The total field <P = <Pi + <Ps is measured by the

• y

-----+----------~----~~--~~_----L-~~------I~
;t

Figure 1. The experimential setup for an inverse scattering problem.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 29
 2 ..---,----,---,---,
yn
1. I------+------o=

o.
-1. 1---1---'=

-2.~ __~__~__~__~
-2. -1. 1. xn 2.
Figure 2. Reconstruction of a cylinder cross section (cII C2 1.3). Left to right: exact,
BSCAN (incident from left), US-CT; xn = xla, yn = yla.

receiver R. The aim of inversion is to reconstruct the geometry of the object as well as its
material properties from these measured data. Fig. 2 shows that neither the Sonography
(BSCAN) nor the ultrasound adapted Computer Tomography (US-CT) is able to reconstruct
a simple object in terms of a circular cylinder. Exact acoustic scattering data by this cylinder
(diameter 2a) have been calculated in the form of transmission AS CAN s 1. Scatterer and
background are modeled by homogeneous wave speeds CI and C2, respectively. The subsequent
envelope and time of flight (TOF) detection yields BSCAN and US-CT results. Fig. 2
demonstrates the error caused by the assumption of straight line propagation inherent in
these imaging schemes; it can only be reduced if dijJraction ejJects are taken into account 2.

Fundamentals of inverse scattering

The problem is modeled by the scalar wave equation in two dimensions

(1)

\\There r. is the vector of position, referring to the observation point, k = wi c and k(r.) = wi c(rJ
are the wave numbers related to the background and object, respectively. The object fUllction
is defined by
k 2 (r)
O(r.) := 1 - p- (2)

where
k(r.) = {arbitrary ~f r. E nc
k If r. tf. nco (3)

The so-called Porter-Bojarski equation 2 serves as a key equation for an inversion; it can be
efficiently solved only by means of a linearization (e.g. Born assumption) and variation of
either k or k. The resulting algorithm yields

(4)

where B, AD and FD refers to Born, Angular and Frequency Diversity, respectively. The
quality of such an approximated solution is discussed by simulations.

Simulations
Fig. 3 shows the AD and FD reconstuction of a single-layered cylinder as a function of kll k2 =
= 0.9999 the Born assumption is satisfied and consequ.ently both
c21 CI· In the case of kIf k2

30
 2.r----------------.
yn
1.

o.
-1.

-2.
-2. -1. o. 1. xn 2.

0.7000 0.9999 1.3000 k1/k2

Figure 3. Reconstruction of a single-layered cylinder. Top: AD, k 2 a = 50,. bottom: FD,

Oi = 7r; Ta/a = 2, xn = x/a, yn = y/a.

methods yield the numerically exact result. In all other cases distortions with respect to
geometry and magnitude appear, but it is obvious that FD is somewhat superior to AD.
Because the illuminated side of the scatterer is very well imaged by FD, it is possible to
compensate (C) the distortion of geometry with respect to k. A partial compensation of the
magnitude can be achieved with the help of multi incidence (MI). The efficiency of these
heuristic methods is illustrated in Fig. 4.

Experiment
In order to demonstrate the practical efficiency of the Born algorithm, experimental data have
b een us€d as well (Fig. 5). The AD image is in good agreement with the simulation (Fig. 3,
kdk2 = 0.7). The differences in the FD image is a consequence of the limited aperture with
respect to 00 and f.

Conclusions
Not only BSCAN but also US-CT are inpracticable for quantitative Medical Imaging. The
linearized inverse scattering solutions (AD, FD) are a lot more quantitative. The FD method
is the more powerfull one but its advantage will be reduced by a limited aperture. For more
details we refer to 3,4,5 ,6.

31
 2.
yn
1.

o.

-1.

- 2.
-2. -1. O.

Figure 4. Reconstruction of a double-layered cylinder; kl/k3 = 1.3, k2/k3 = 0.7. Prom top
to bottom: EX, FD, FD+C, FD+C+MI; left: cross-section; right: cut AB;{AD: k4a3 = 50,
FD: (Ji = Ti).

32
 background: C2 = 1488m/s
object: Cl = 2298m/s,
a = 2.5mm
transmi tter: resonance frequency 2MHz
receiver: () E [0,165]° u [195,360]°
f E [1,3]MHz
TO = 57mm

5.0 ·
Y
2.5

0.0

-2.5

-5.0
-5.0 -2.5 0.0 2.5 x 5.0

Figure 5. Reco nst'T'llction of an immel'sed plastic cylinder. Left:AD, right:FD, x, y[mm].

References
1. C. Hofmann, "Feldberechnung beliebiger zweidimensionaler penetrabler Streukorper fiir
den skalaren Fall mittels konjugierter Gradicntenmethode und schneller FouriertraJ1S-
formatioJ1," Dept. Elec. Eng. at Ulliv. Kassel, FRG (1990)

2. K. J. Langenberg,
"Applied Inverse Problems for Acoustic, Electromagnetic and Elastic ''''ave Scattering,"
in: Basic Methods of Tomography and Inverse Problems , Ed.: P.C. Sabatier, Adam
Hilger, Bristol, GB (1987), pp. 127

3. H. Morbitzer,
" Untcrsllchung von Ultraschallabbildungsvcrfahren mit und ohne linearisierender All-
nahme vor dem Hintergrund medizintechnischer Diagnostik ," Ph.D. Thesis, University
of Kass el , FRG (1991)

4, D. Huo , H.Morbitzer, K. J. Langenberg , "I\oIathematica l and Physical Background of

a Quantitative Inverse Scattering Theory," Kleinheuba cher Berichte, No. 33, FRG
(1989), pp. 363

5. D. Huo , K. J. Langenberg , "A Quantitative Theory of Scalar Inverse Sca ttering ," in
Proc. Ultras . Symp., Hawaii, USA (1990)

6. D. G. H. Tan, R. D. Murch, R. H. T. Bates, " Inverse Scattering for penetrable Ob-

stacles," in Proc. Symp. Electromag. Theory, Stockholm, S (1989)

33
 ACCOUNT OF MULTIPLE SCATTERING IN ACOUSTIC INVERSE PROBLEMS

OF TOMOGRAPHIC TYPE

V. A. Burov 1 , M. N. Rychagov 2 , A. V. Saskovets 1

1. M.V.Lomonosov State University, Physics

Department, Moscow, 119899, USSR
2. Moscow Institute of Electronic Engineering
Moscow, 103498, USSR

INTRODUCT ION

At the present time different methods of the linearized solution of

inverse scattering problems are developed. In this paper theoretical
methods and numerical algorithms using multiple scattering considerations
are suggested for reconstruction of higher contrast acoustic refraction
inhomogeneities.

1.FORMULATION OF THE PROBLEM

We shall base our considerations on the Lippmann-Schwinger integral

equations, connected with the Helmholtz equation:
'i7 2U(r) + k 2U(r) = f + w2~(r)U(r), (1)
o
where the function ~ (r) represents an inhomogenei ty of sound veloci ty
c(r), density per) and amplitude absorption ~(r)

~(r) = _1__ 1
+
1
- 4i a(r) ) (2 )
c2 c 2 (r) wc(r)
o
in the inhomogeneity localization area ~.
While dealing with the inverse scattering problems (ISP) in a tomo-
graphical aspect it is necessary to consider a parametrized set of Lip-
pmann-Schwinger type equations for a set of sources positions

U(xlf a ) = Uo(xlf a ) + w2 f go(x,r' )~(r' )U(r' Ifa)dr', (3)

~
which describe the observed field U at the domain of the receivers loca-
lization X. Here go is the Green function for the background medium. An
unknown field inside the scattering area U(rlfa) is characterized by ad-
ditional equations of the same type
U(rlf ) = U (rlf ) + w2
a 0 a
f g (r,r'
0
)~(r' )U(r' If )dr'
a
(4)

which can be considered as constraint equations. They can be excluded,

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. Harjes. Plenum Press. New York 1992 35
that leads to the equation:

~ A 2 A A -1 2
use (X If) = go [ E + w t; go] w t; U0 (r If) (5)

where ~ - operator of multiplication: ~=diag[t;(r)], usc(xlf«) is the

scattered field on X, E
is the single operator and that one has kernel go
go . The existence of the inverse ~PKrator in (5) is provided by the ab-
sence of real eigenvalues of the t; go operator.
We shall also consider the so-called T-matrix equations, which pre-
sent the Fourier-conjugated analog of (3) for the set of the initial pla-
ne waves directions with the wave vectors {k«}~, and scattered waves
with vectors k:

T (k,k) =
exp«
w2~(k-k« ) + w2 J g (k' )I(k',k )~(k-k' )dk',
0 «
(6)
R3

where [~] means the corresponding Fourier-transformation characteri-

zed by the operator F. For the unknown function I(k',k ) in (6) some ad-
ditional equations analogous to (4) are: «

I(k',k) = I(BI(k' k) +
ex 'a.
w2Jg~0 (kl)I(k" 'cx"
k );(k'-k")dk"
,
(7)

1m k'=Q and I(Btk' , k « ) = w2F[C(r')

here I (k',k ) = T(k' k ) at k 2 =w2 /c 2 ."
ex ' ex 0'

Uo(r' ,k«)] is the Born-approximation. It should be noted that I(k',k)

«
in (6) can be excludedby the way like it was made in (5).
The determination of t;(r) with the help of a joint solution of the
equation systems (3)-(4) or (5) in the spatial domain or of their
analogs (6)-(7) in the spatial frequencies domain presents the
mathematical content of the inverse scattering problems. Within the frame
of the given approach they represent the multi-dimensional nonlinear
incorrect problems.
While solving the applied inverse problems it is necessary to carry
out an appropriate selection of: (a) a method of inhomogeneity descrip-
tion; (b) a method of the experimental data collecting; (c) algorithm of
problem solving providing the most natural coupling of (a) and (b); (d) a
way of presentation of the reconstruction results.

2. THE MAIN PROCEDURES OF THE ITERATIVE RECONSTRUCTION

The multiple scattering problems can be solved by several means.

The construction of the "inverse" Born-Neumann series within the
perturbation theoryl-3. One of the problems of this method is its non-
redundancy, i.e. the exact adequacy of the number of scatterer's parame-
ters and the data quantity. The need of the non-redundancy is determined
by the fact, that the total volume of the primary information conforms
uniquely into the massive of the Born scatterer estimation.
Simple one step iterations 4 . In this case a consequent system of li-
nearized equations
2A A -1 2A
g [E - w t; g) w t; U (rlw,«) = u (xlw,«), (8)
w n-1 W nOse

are solved. Here some configurational « and frequency w parameters are

introduced. The total volume of the initial data use(xlw,«) can exceed

36
the size of the massive ~. In this case the solution of (8) is searched
by the least square method. The most difficult moment of this algorithm
is the necessity of the operator's inversion.

Two-step iterations 4 - 6 . The systems of equations (3) or (6) type

and the constraint equations (4) or (7) must be solved consequently for
each a. and w.
Uexp(xla.,w) = Uo(xla.,w) + w2 Jg W
(x,r)~n(r)Un-l(rla.,w)dr

'R (9)

Un(rla.,w) Uo(rla.,w) + w2 J gw(r,r' )~n-ICr' )Un-l(r' Ia.,w)dr'

'R
Let us determine the redundancy coefficient K as the relationship
between the total quantity of received scattering data and the size M of
.. Kl/2. .3/2
the vector ~. Then the total number of constraint equations ~ M
and it exceeds significantly the size of the basic problem.
Gradient-iterative algorithms7 • In these algorithms the variables
are discrepancies t.~n=~n-~n-l and t.Un=Un-Un-l. The obtained 1 inearized
relationships can be solved under some conditions like (9)
alternatively with regard to t.~n and t.Un for each a. and w.

3.THE ITERATIVE PROCEDURES CONVERGENCE AREA AND THE UNIQUENESS OF THE

SOLUTI{)N

The convergence area of the described iterative procedures is defi-

ned by the relationship between the scattered field usc(rla.,w) and the
incident field Uo(rla,w) in each point of 'R. As a guaranteed condition
for the convergence the following relationship can be used:

usc(rla.,w)
Uo(rla.,w)
I < 1 for V a., wand re'R (10)

The convergence of the defined iterative process can also be controlled

by the evident decrease of the value 1It.~nll during the calculations. Be-
sides, if we should put that the usc(rla.,w) for used values of a and w
are low correlated, then a weaker approximate relationship takes place:

I usc(rla.,w)
Uo(rla.,w)
I~ ~ (11)

An increase of the scatterer strength or the appearance of some ca-

ustics and focusings of scattered field on 'R leads to a violation of up-
per conditions, what causes the divergence. In such case the question of
the uniqueness of the inverse problem solution is of a special
importance.
At K=l the solution of the discretized form of the inverse problem
is always non-uniauely. In fact, for an arbitrary configuration of the
incident field {Uo}t there exists a set {Ij}j of potential configura-
tions of secondary sources, creating no visible effects. Therefore, the
scatterer being non-observed in the whole seria of experiments must cre-
ate only such secondary sources. The relationship

(12)

is valid for all values of arguments of ~o, Uo and Ij. Therefore,for the

37
set of coefficient expansion {aa}l,A the 2nd order algebraic system of
J 1, J
equations may be obtained:

0, Va. (13)

The number of solutions of (13) determines the quantity of "invisible"

scatterers (in the range of the selected scheme of measurements), as well
as the possible non-uniqueness in other cases.
The usage of iterative and gradient algorithms at K>1 is connected
with the necessity of their correction in order to extend the convergence
areas, for example, through the redifinition of the Green functions of
the problem 4 or by the method of a gradual including of re-scatterings 7 .
It should be noted that the data redundancy must provide the convexity of
the solution search functional.

4.ITERATIVE-INTERPOLATIONAL RECONSTRUCTION IN THE FOURIER SPACE.

NUMERICAL MODELLING

The account of all available Fourier-data in iterative cycle can be

carry out by the introduction of interpolational procedures. The
structure of primary data Texp( k,ka ) in the wave vector space X is such
that in most cases the conditions providing the coordinate coincidence of
the fixed samples Texp(k~,ka) with the coordinates (m~k,n~k) of the
uniform grid are not fulfilled. Here ~ is a configurational parameter
responsible for spatial changes of the receiver aperture during
experiment, ~k is the sampling interval in X ; m ,n are integers. The
interpolation in iterative algorithms, which are constructed on the basis
of (6)-(7),should be carried out twice.
In the operator form iterative-interpolational procedures of (6)-(7)
solving will be:

+1
~I
C
a,~
Texp
a,~
- 'f
DSP
g
0
rJ
m,n
~I
c
m,n
(14)
-i ~i
C 'f C
m,n ISP a,~

rJ+l y(B)
m,n m,n
+ go i m,n
J
~I
C
m,n
(15)

where c w2 ~ ; and 'fDSP 'fISP - are interpolational operators of di-

rect and inverse scattering problems B . It should be noted that in linea-
rized algorithms only the ISP-interpolation procedure takes place
Fig.1 shows the results of the numerical reconstruction of the
cylindrical inhomogeneity. The value of the refraction coefficient nand
the sizes of the test fanthome are such that the ratio (10) was about
0.8. One of the versions of the iterative-interpolational reconstruction
of two Gauss functions superposition is presented on the Fig.2. The Born
approxima tions (curve 2, N=1 on fig. 1 and crosses on fig. 2) give
50-70% accuracy of reconstruction. Full reconstruction with the help of
the (14) and (15) provides an acceptable quality of the final
representation.

38
 ,. J
..L
1,
.9
0.06 0.65
0.05
O.~ o . ~o
,·1
0.03
0.06
0. 05
0.02 - 0. O!i
-<.5 0.0
+
<. 5 .,.
,-I
O.~

0.03
r-- ~I)

-~ •
O. 0.02
1\ .6
0.05 T.
~:I ~
O.~

0.03
1
0.02 0. 40
.1
0.01
0.00 1\ ' ..(1. 05

~/l

Fig. 1 Fig . 2

REFERENCES

1. R.T.Prosser, Formal solution of inverse scattering problem,

~ Math. Phys., 1980, V.21, N 11, 2648-2653.
2. A.J.Devaney, E.Wolf, A new perturbation expansion for inverse scatte-
ring from three-dimensional finite potentials, Phys.Let., 1982,
V.89A, N 6, 269-272.
3. Z. Lu, JKM-perturbation theory, relaxation perturbation theory and
their applications to inverse scattering. Theory and reconstruc-
tion algorithms, IEEE Trans. on Ultrason., Ferroelect., and Freg.
Cont., 1986, V.33, N 6, 722-730.
4. V.A.Burov,A.A.Gorunov,A.V.Saskovets,T.A.Tikhonova, Inverse scatte-
ring problems in acoustics (review), SOy. Phys. Acoust., 1986,
V.32, N 4, 273-282.
5. S.A.Johnson, Y.Zhou, M.K.Tracy, M.J.Berggren, and F.Stenger, Inverse
scattering solution by a sinc basis moment method - Part III: Fa-
st algorithms, Ultrason. Imag., 1984, 6, 103-116.
6. V.A.Burov, A.A.Gorunov, M.N.Rychagov, Iterative solution of the sca-
lar inverse problem using a priori information on the scatterer,
Electr.Model. (U.K.), 1987, V.9, N 6, 93-95.
7. V.A.Burov, A.V.Saskovets, I.O.Fatkullina, Local convergence of inver-
se scattering problems with gradual account of rescattering ef-
fects, SOy. Phys. Acoust., 1991, V.37, N 1, 30-35.
8. V.A.Burov, M.N.Rychagov, A.V.Saskovets, Effect of multiple scattering
in diffraction tomography: The T-matrix approach, Vest. Mosk.
Univ. Fizika, 1989, V.44, N1, 44-48.

39
 ESTIMATING A TARGET CROSS SECTION FROM FORWARD SCATTERING

AMPLITUDE

J unichi N a.ka.yama and Toshiaki O~aki

Department of Electronics and Information Science

Kyoto Institute of Technology
:Matsugasa.ki, 1\:yoto 606, ] apan

INTRODUCTION

A conventional sonar detects an echo backscat-tered from a target to Ineasure its

location and other properties. However, the backscatter is not useful for detecting typical
dimensions of a. ta.rgeL such as volume and geometricaJ cross section. For exa.lnple,
a laTge t.aTget with 'a smooth surface often ,vorks as a point target for backscatter,
because only a specular point on the surface scatters the incident beam to the direction
of the receiving transducer. In some applications, it is important to measure a typical
dimension of a target. To measure the geometrical cross section of the taTget, this paper
proposes a coherent sonar on the basis of the forward scattering theorem:

(1)

where k is the wave uUlnber and ',} denotes the imagiuary part. This means that the
total scattering cross section crt of a target is pr<)pc')rtionaJ to the imaginary part of
the forward scattering amplitude f(O,O) in the? Fraunhofer region[l]. It is also known
that. when the typical dimcnsion of a target is much large?r thiln the wavelength, the
scattering cross section crt of the taTget becomes twiCe? of its geometrical cross section
S't:
(2)
These rclations suggest it scheme of a coherent sonar that measures the forward scatter-
iug amplitude to estimate the geometrical cross section of a target.

The forward sCilttering theorem, however, holds only for an incideut plane wave and
for the observation point placed in the Fraunhofer region. These conditions are difficult
to realize in experiments. where a transducer ra.diates a sOllnd beam and it receiving
transducer detects the forward scattering amplitude in the Fresnel region. Assuming a
pra.etieal coherent sonar using a pair of disk tra.nsducers, we make an analysis to find the
relation between the target cross section and the forwilrcl sca.ttering amplitude in the
Fresnel region. It is then found for a sphericaI target that the reaI alld imaginary parts
of the forward scattering amplitude increase with geometrical cross section'S't when St
is smaIl. These theoretical results are verified by experiments using 1 MHz ultrasound
in water.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 41
 The advantage of such a forward scattering scheme is simple in hard ware and in sig-
nal processing, because only the complex amplitude of the incident wave and that of the
scattered wave are necessary to be measured. Thus the time required for measurement
becomes much short and hence the cross section of a moving target may be measured
in principle.

transmitter spherical target receiver

2rrbl------f;~+--------l$~
~ \)1
~ 2po
~ z=o ~

FIG. 1 Configuration of coherent sonar. a transducer with radius Ps radiates sound

beam to illuminate the target and the other transducer receives the wave field in the
forward direction.

FORWARD SCATTERING AMPLITUDE

Assuming the configuration shown in figure 1, we look for the relation between the
geometrical cross section and the forward scattering amplitude detected by the receiving
transducer. Assuming the transmitting transducer works as a vibrating piston, we may
write the radiation field (the incident wave) as
exp[ik(z - zs)]
1/Jin(X, y, z) ~ 27rF(x, Ylz - z., Ps) Iz _ z.,1 (3)

{P (kVX2 + y2) [ik(x 2 + y'J + p2)]

F(x, Ylz, p) = io Jo Izl p exp 21z1 pdp (4)

where Ps is the radius of the transducer, Zs is the position of the transducer, and the
Fresnel approximation was employed. When no target is present, the observed signal
<Pin by the other disk transducer placed at z = Zo becomes,
\II ~ A. exp[ik(zo - zs)]
(5)
m~ 1ZO - Zs I '

A = 27r la Po (foP' Jo CZok~' zsl p) exp [2Izoi~ Zs (/2 + p2)] pdp) p'dp'.
1 (6)

Here, Po is the radius of the receiving transducer.

Next, we consider the scattered field from the target. When the incident wave
illuminates a target much larger than the wavelength>., the free space may be divided
into two regions in geometrical sense: the illuminated region and the shadow region.
The surface of the target is also divided into the illuminated part and the shadow part.
Neglecting the effects of diffraction, we assume the shadow surface is completely dark,
that is
o/.()
'P X,y, Z = 0,
o'lj;(x,y,z)
on = 0,
( ) E 55.
x,y,z (7 )
Here, 1/J(x,y,z) is the total wave field, 55 denotes the shadow surface and %n the
normal derivative. By (7) and Green's theorem, the scattering field 'lj;s(x, y, z) in the
shadow region may be represented as

'lj; (x y z) >:::: - { (OG'lj; _ Go'lj;in) d5 1 >:::: _ { [OG 1/J _ Go'lj;in] d5 1 (8)

s , , } ss onl m onl } s, OZI on OZI z=o '

42
where G(x, y, zlx', y', z') is a Green's function. Here, the integration over the illuminated
surface is neglected, because it becomes small when the observation point (x, y, z) is in
the shadow region. The second integral can be obtained from the first one by the Maggi
transformation[2J, which reduces the integration over the shadow surface SS to the
integral over the geometrical cross section St of the target. In the calculation below,
St is taken on the plane z = °
in figure 1. If we use the Green function enjoying
G(x,y,zlx',y',z')lz'=o = 0, the forward scattered field 'ljJs(x,y,z) can be written as

1/),(x, y, z)
c. ~
~
ik
-
1 exp[ikJ(x - x')2 + (y - y')2 + Z2). " . ."
'ljJtn(X ,y ,0) case dx dy , (9)
27r 5, J(x - x')2 + (y - y'F + z2

where case = z/J(x - x')2 + (y - y'F + Z2. Physically, this represents the shadow
forming wave which completely cancels the incident wave on the shadow side of the
target surfa.ce.

Inserting (3) into (9), we find the scattered field <I> Sl detec ted by the disk transducer
at z == :;01 as
( 10)

where j(O, 0) is the forward scattering amplitude measured by the configuration in figure

27rik j'
2,

f(O,O) :::; ----:Jl 5, F(x, ylzo, Po)F(x, ylz" Ps)dxdy (11)

co 0'
::::: 0
2 r---------------------,---------~--,
-'< ~
----
'" -"
N
1. p, = Po = 2.5mm ----'"
2-
FIG.2 The forward scatter-
300 . 2. p, = 2.5 Po = 10 -300 ing amplitude against the
(mm') 3. p, = p, = 10
(mm 2 ) geometrical cross section.
3 p, and Po are radius of
the transmitting and re-
200 -200 ceiving tra.nsducers, respec-
tively. (see Fig. 1 ). the
real part is proportional to
t.he geometrical cross sec-
tion in wider region, COll1-
-100 pared to the imaginary
part. the forward scatter-
ing theorem in the Fraun-
hofer region is shown by the
0.0 """"'=----J____- - J ' - -_ _ _ _L--____~----J.......-----.J straight line.
0.0
0.0 100 200 :300 400 .50Q 000
geometrical cross section ;T(l2 (lnrn2)

For a spherical target with radius a, we evaluate numerically this integral, of which
results are illustrated in figure 2. The imaginary part increases with the geometrical
cross section Tra 2 , but only when St = 7ra 2 is small. As rra 2 increases further, it takes a
maximum value and then decreases. This makes it difficult to estimate the geometrical
cross section from 'S(f(0, 0)). The real part has similar properties against 7ra 2 . But the

43
real part is proportional to 'iTa 2 in wider region. Thus the real part is more useful than
the imaginary part for estimating target cross section. We note that the negative real
part suggests that the scattered wave partially cancels the incident wave in the forward
direction.

In the above analysis, we have assumed that the target is placed on the beam axis,
i.e., the z axis. However, there is often an offset t from the z axis in experiments. (See
Fig. 1.) Such an offset may causes errors in estimating the cross section. Therefore, we
evaluate the integral (11) for such a case, where the cross section 5 t is a (x, y) region
given by,
(12)
Numerical examples are plotted in figure 3. The imaginary part in figure 3( a) decreases
as t increases for 'iTa 2 < 500mm 2 . On the other hand, figure 3(b) shows that the effect of
the offset on the real part is much small when 'iTa 2 < 250mm 2 . But the effect increases
for 'iTa 2 > 350mm2 . From these results, we may conclude again that the real part is
more useful than the imaginary part for estimating the target cross section.

ULTRASOUND EXPERIMENT

A continuous wave with wave number k = 2 'iT /). has been assumed in the above
analysis. To separate off unwanted clutters from walls of the water tank, however, we
transmit a burst pulse with duration time 128J-l5 and repetition period 4.096 m5, which
was simply generated from 1M H z clock by a 12-stage binary counter and an AND-gate.
After filtering and amplification, the burst pulse excites the transmitting transducer.
The signal received by the other transducer is displayed on a. CRT to measure its phase
and amplitude, where the phase is determined with referring to the clock waveform. A
delayed trigger pulse, generated digitally from the clock, is also supplied to the CRT for
Synchroniz ation.

We have carried out experiments USlllg the configuration shown in figure 1 with
paranleters,

z, = -2601nrn, Zo = 260mm, Ps = 51n1n, Po = 10mm, ). = 1.5mm, (13)

w here targets were metal spheres, suspended by a string in water. Measurement of the
forward scattering amplitude is ca.rried out by two steps. First, removing a target from
the z axis, we measure the phase and amplitude of \lfin received by the transducer. Next,
placing a ta.rget on the z axis, we measure the total wave field \If , that is the sum of
the incident wave \If in and the scattered wave \If s:

(14)

From these data, we may calculate the forward scattering amplitude 1(0,0) by,

1(0,0) = Iz,l' Zo . \If - \lfin

(15)
IZ,I + Zo \lfin

which is derived from (5) and (10). Experimental results are plotted in figure 3 as dots.
The experiments agree well with the theoretical curve. Some disagreement between
experiments and analysis is probably caused by positioning errors in geometrical con-
figuration. Because a manipulator for accurately positioning a target was not used, the
target could be pla.ced with a large value of offset t from the z axis.

From these results, we may conclude that the coherent sonar which measures the
coherent scattering amplitude is practically useful for estimating the target cross section.

44
 (2rr I k );}[f(O. 0) I

140
•
t=O(mm)
120
(mm') FIG.3 The imaginary
part (a) and real part
100 (b) of the forward
scattering amplitude
f(O, 0) against the ge-
80 ometrical cross sec-
tion 1ra 2 for a spher-
ical target. parame-
60
ter t is an offset from
the z axis. (see Fig.
40 (a) 1). a dot shows an ex-
perimental result for a
metal sphere.
20

p, = 2.5mm Po = 10mm
O~----r----'r----'-----.-----r----~----T-~
o 80 160 240 320 400 480 560

geometrical cross section ;ra' (mm')

-(271'! k )~[J(O, 0)1

280 1
2
(mm')

240

200
CONCLUSIONS

We have demonstrated theoret-

ically and experimentally the
160
forward scattering amplitude is
useful for estimating the geo-
metrical cross section of a tar-
120 (b) get. The advantage of forward
scattering sonar is simple in
hard ware and in signal pro-
80' cessing. However, it is assumed
• that a target must be placed on
the transmitting and receiving
40 beam axis. Any offset from the
p, = 2.5mm Po = 10mm axis may causes a measurement
error. Therefore, the forward
o .0 scattering scheme must be im-
100 200 300 400 500 600 proved to avoid such an error
geometrical cross section 71'a' (mm') in measurement. This may be
done by use of array transmit-
ter and receiver, which will be,
however, left for future study.

45
 References: [1] A. Ishimaru, "Wave propagation and scattering in random media",
Vol. 1, Academic, New York, 1987 [2] B. B. Baker and E. T. Copson, "The mathe-
matical theory of Hygens' principle", Second Ed. Oxford U niv. Press, 1950

46
 PHONON FOCUSING INFLUENCE ON THE FORMATION OF ACOUSTIC IMAGE IN

CRYSTALS

L.A.Chernozatonskii, V.M.Levin, V.V.Novicov, A.V.Vakulenko

Institute of Chemical Physics

USSR Academy of Science
Kosygin st. ,4, Moscow, 117334, USSR

KEYWORDS: acoustic microscopy, phonon focusing, crystal

We have studied the application of the phonon focusing phenomenon ,

i.e. maximal flattening of the defined acoustical mode slowness surface,
for purposes of acoustical microscopy.

It is shown that choosing the propagation direction of acoustic beam

excited by acoustic microscope at the immersion liquid-crystal interface at
one of phonon focusing directions creates new possibilities of acoustical
microscopy as compared with isotropic medium. This is due to significant
decreasing of the acoustic beam divergence because of small variation of
group velocity for wide aperture of wave vectors in the incident beam. The
main features of propagation and reflection of such beams from defects are
as follows: sharp increase of the depth of penetration of an acoustic beam
non-diverging into the bulk of a crystal, this large depth of penetration
simplifies the observations of deeply lying defects; reduced requirements to
the crystal surface roughness; the possibility to control nonhomogenities of
a crystal.

We have discussed the searchlight-line beam propagation in a direction

normal to a flattened off part of a slowness surface. In order to choose Lhe
appropriate directions we have calculated the pictures of phonon focusing
for several types of crystals with different crystallographic symmetries,
namely hexagonal (graphite) and tetragonal (La Sr)2CuO", Bi 2 X Ca CuO and
also for tetragonal superlattice structure Si/SiOz ' 2 2 3 Ie

Let us consider the transfer of converging acoustic beam through the

interface" liquid-crystal" and its further propagation in a crystal. In a
liquid the converging beam may be represented as a set of plane waves:

P(X,y, z) =ffA(kx,ky) eXPUkxx+ikyY+ivk2_k~-k~' (z-zo)) dkxdky (1)

where P is the pressure, k = wlc is the wave number in liquid. z axis is

normal to interface and directed along the beam axis. A(kx,ky) is the space
spectrum of beam in the focal plane Z=Zo. In the simplest case this spectrum
may be approximated with the step-line function (the Debye approximation):

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 47
 A(kx,ky) 8(~
c
cos8m - / k~ + k~ (2)

where 8 is the theta-function. Such approximation means that a converging

beam is considered as a plane waves with the apex angle (angle aperture) 8m.

After crossing the interface z=O the displacement field tier) inside
the crystal may be written down in a form

u = ISS dkxdky Ta(kx,ky) ea(kx,ky) A(kx,ky)*

a
Zo + ika(kx,ky) z) (3 )
z

where a numbers the mode of polarization, ea and k~ are the polarization

vector and wave vector projection which are determined from the Crystoffel-
Green equation. Ta is the transfer coefficient for the mode a. Expression
(3) describes the converging beam field in a crystal with arbitrary elastic
anisotropy.

The topology of slowness surface is of considerable importance for des-

cription of elastic wave propagation in a crystal Particularly the presence
of nearly flat parts on the surface may playa significant part. The same
values of group velocity vector corresponds to different wave vectors u from
such parts. In case that the wave vector cone after refraction lies in such
flattened off area on the slowness surface the energy transfer of the inci-
dent sound radiation will occur along the corresponding group velocity di-
rection, i.e. along the normal to that part of the slowness surface.

Let us consider the case when the slowness surface has the quasiflat
part normal to that axis along which the beam propagates. This part may be
approximated with equation:

(4)

Using (4) we derive the equation for field at distance z from the interface:

....
u(r) '" T e e ikoz
ao ao
SS dkx dky A(kx,ky) expCikxx + ikyy + (5)

Relation (5) is derived under the assumption that transfer coefficient

Tao as well as polarization vector eao
changes negligibly inside the beam
angle aperture. Besides we assume that it is mainly the mode ao that is ex-
cited in the crystal at a reflection.

The case when the values ai,bi are small, i.e. the case of the nearly
flat surface - is of principal interest for us. If

the last exponent in (5) may be considered close to 1. Then the beam field
in a plane at distance z from the interface is

48
 ~ _ ik z
u(x,y,z) u (x, y) e e 0 , where
ao ao

u
0:0
(x,y) = T
0::0
JJdkx dky A(kx,ky) exp(ikxx + ikyy + ij k2_k~ -k~ z
0

is the beam field at the interface. Thus presence of the nearly flat area at
the slowness surface causes the searchlight-like propagation of the conver-
ging beam after it's transfer into the crystal. Converging beam is transfor-
med into the well-collimated beam which realizes the parallel transfer of
the amplitude and phase distribution imposed at the interface by the inci
dent radiation. Beam wouldn't experience the diffractive divergence even if
it's size is of the order of a wavelength in liquid, i.e. as small as it is
possible at given sound wavelength. It shows when the focus of converging
beam is placed directly at the interface.

Condition (6) determines the penetration depth of a collimated beam in

a crystal. If z > min (1/a2 ko sin8m, 1/b2 ko sin8m) such collimated beam
begins to diverge.

We may estimate beam divergence in phonon focusing conditions using

(4,5) as:

a 2 ,b 2 "'0 a 2 =O, b "'0 a = 0 b '" 0 a b = 0

2 2 ..3 ' 2 2' 2

n 1 5/6 3/4 2/3

f1x '-' (a r/k )1/2 (a r/k2)1/3 (a r/k3)1/4 (a r/k2)1/3

2 0 3 0 4 0 3 0

f1y ...... (b r/k )1/2 (b r/k )1/2 (b r/k ) 1/2 (b r Ik z.) 1 / 3

2 0 2 0 2 0 3 0

Here n- index of amplitude decrease u(r)-r; f1x, f1y - beam divergence in a

-n
plane normal to the beam.

In case there is a flat obstacle in the bulk of material, the colli-

mated beam,reflected from it,can behave in different ways: it may (a) keep
its collimated character and return into acoustic lens along the same direc-
tion, (b) keep its collimated character but change its direction and (c) it
may break down if the solid angle of the reflected waves falls onto the di-
rection of phonon focusing. These three possibilities correspond to different
orientations of the flat obstacle across the crystallographic axes.

The described effect is close by nature the effect of phonon focusing

in crystals, where the topological peculiarities of slowness surface deter-
mines the way of phonon propagation from the point source. To some extent a
well-focused on the interface liquid-crystal acoustic beam, excited in
acoustic microscope and having wide-aperture cone, imitate the point source.
That is why making the prognoses of the possibilities for using acoustic
microscopy in investigations of crystals in questions it is necessary to
know the topology of its slowness surface. There fore we also analyze the
slowness surfaces for some perspective materials. A good example of high
anisotropic crystal, namely the graphite is considered in a report by -

49
 A Z
a b

Fig.1. 55 (upper) and PF (under) picture of 5T(a) and L(b)

graphite modes.

b
a

Fig.2. 55 (upper) and PF (lower) pictures of 5T mode of 5r(a) and

Ba(b) contending Bi2XZCaZCu3010 crystals.We can see that in
the first material the focusing of this mode in (001) direc-
tion, while in the second material phonon "focusing" is small.

50
V.Levin et al. In Fig. 1 it is shown 5T and L mode graphite slowness sur
faces. We can see high its 'focusing"ln (001) direction.

Another kind of crystals are the HT5C materials that are interesting
for investigations in wide temperature range. We investigated La- and Y-
crystal slowness surfaces of different modes. The most significant changes
in the 55 topology occur in Bl- materials of different kinds. Fig.2 shows
the slowness surface of 5T mode of Bi-(X=5r,Ba) Ca Cu·O crystals.

The results can serve as foundations for development of acoustic mic-

roscopy of anisotropic materials.

51
 ACTIVE IMAGING GREEN'S FUNCTION

Forrest Anderson
PO Box 1400
Bernalillo, NM 87004 USA

No basic unifying theory exists for active imaging (radar, computed

tomography, sonar, ultrasound). Beamforming and backprojection imaging
modes have not previously been related to each other. However, the Green's
function developed here suggests a relationship. I will develop an
elementary solution, or Green's function, for a large class of active
imaging methods. The Green's function is an ellipsoid, and active imaging
is described in terms of projections and backprojections over these
ellipsoids.
If the point image is spatially invariant, the output image is the
convolution of the input object with the point image. However the point
image generally is a function of spatial position and I will use a Green's
function approach (see Kaplan for a closely related discussion). Others
have used ellipsoidal projections in active imaging and seismic migration
analysis: Hagedoorn, Miller et. al., Romanov, Johnson et. al., Corl et.
al., Authur and Broadstone.
The Green's function for the wave equation is (1/4ur) 6(r-ct} which
is a Dirac distribution with the sphere r=ct as its support; that is, it
is an impulsive spherical wavelet. I will use the theory of Dirac
distributions with arbitrary surfaces for their support, and also use the
inner product (Gelfand et. al.):

(f,g) = (f(X),g(X» =If(X)g(X)dX , (over all X) .

Here (f,g) is the "inner product of f and g", and X is a vector in
Euclidean space, (x,y,z). I call (f ,g) "the projection of f on to g" or
"the projection of g on to f". However my use of "projection" does not
necessarily imply orthogonal projection. If f is an ordinary function and
g = 6(u(X» where u is an arbitrary surface, then (f,g) is the surface
integral of f over u, or the projection of f on to the surface u. (For 6
defined on surfaces see Gelfand et al)
The elementary active imaging system geometry consists of a point
transmitter emitting an impulse, a single reflecting point and a point
receiver. The steps leading to the Green's function follow: First, the
transmitter located at T transmits an impulsive spherical wavelet of the
form (4ur)-16(r-ct). The wavelet arrives at the reflecting point located
at X at time d(T,X)/c (The transmitter is the coordinate origin for the
variable r, and in general, d(U,V) will denote the distance from U to V.)
Second, the reflecting point then acts as a wavelet source of the form
(4ud(T,X»-16(r-c(t-d(T,X)/c»; this is assumed. Third, this wavelet
arrives at the point receiver located at E at time t=(d(T,X)+d(X,E»/c.
As a result, the time waveform recorded at the receiver is
Acoustical lmaging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 53
(4nd(T,X»-1(4nd(X,E»-18(t-(d(T,X)+d(X,E»/c), which can be expressed as
a convolution of impulsive spherical wavelets:
(4nd(T,X»-18(t-d(T,X)/c)*(4ud(X,E»-18(t-d(X,E)/c) =
(16u 2 d(T,X)d(X,E»-18(t-(d(T,X)+d(X,E»/c) • (1)

The transmitter and receiver are the foci of the ellipsoid ct =

d(T,X)+d(X,E) having major axis equal to ct where t is equal to the round
trip travel time d(T,X)/c + d(X,E)/c. This ellipsoid gives the location of
all possible reflecting points X that might contribute to the echo
recorded at location E at time t = (d(T,X)+d(X,E»/c (eg. Author and
Broadstone): This is simply a statement of causality. It follows that the
echo s(E,T,t), due to reflecting points in the object o(X) and detected by
a point receiver at E, is given as a function of time by
s(E,T,t) = ( (16u 2 d(T,X)d(X,E»-18(ct-d(T,X)-d(X,E»,o(X) ) • (2)
Then the echo time history at a point is a functional, representing a
continuum of ellipsoidal projections of o(X). I call the impulsive
ellipsoidal distribution
ge(X,E,T,t) = (16u 2 d(T,X)d(X,E»-18(ct-d(T,X)-d(X,E» (3)

which yields this functional the elementary Green's function: It arises

from the elementary geometry of active imaging. Using this Green's
function, the echo at E can be reexpressed more concisely as
s(E,T,t) = ( ge(X,E,T,t),o(X) ) , (4)

which is the projection of the object on to the ellipsoid having a major

axis equal to ct. An extended receiver aperture has a ge(X,E,T,t)
associated with each of its points.
The receiver aperture time domain output due to a single impulsive
point source is formed by combining, according to some rule r, the signals
s(E,T,t) [by setting t=r] sensed at each of the points E contained in the
receiver aperture {E} (which is a subspace of X):

i(X,t) = IS(E,T,r(x.E,t»dE . (5)

The image i(X.t) is the sum of ellipsoidal projections (echo samples) of

the object. The rule r defines the ellipsoids' major axis by giving the
specific time at which the echo associated with E and T is to be sampled
for use in the sum. I call r the aperture rule for the case of apertures.
or image reconstruction algorithm for the case of imaging systems.
As an example. for the extended solid receiver the output is
i(X.t) = i(t) = IS(E.T,t)dE (6)

In the solid receiver r(X,E,t) is equal to t: the aperture rule is

simultaneity.
If there is an extended transmitter {T} rather than single point
transmitter T, the echo at a receiver point E will consist of echoes due
to each transmitter point T in {T} (a subspace of X). Then the echo at a
receiver point E for an extended phased transmitter is
s(E.t) = IS(E.T,r(X,E.t(T»)dT (7)

where t(T) is adjusted time: time adjusted to when each transmitter point
emitted an impulse (ie. the transmitter phasing). The echo at E for a
solid (rather than phased) extended transmitter is
s(E,t) = IS(E,T,r(x,E,~)dT ; (8)

here t(T) = t: all points on the transmitter emit an impulse

simultaneously. In general, the imaging system's output is the linear

54
superposition of the echoes associated with each receiver point and
transmitter point. The integral is over all points in the receiver
aperture {E} and also the transmitter aperture {T}. Therefore, in the
general case of phased transmitter and receiver arrays, the output image
for the active imaging system is
i(X,t) = IS(E,T,r(X,E,t(T»)dEdT . (9)

To eXfress this output image explicitly in terms of a reflecting object,

let X be a second copy of X (for use in the integration in the inner
product). This allows
i(X,t) = I( ge(X' ,E,T,r(X,E,t(T»),o(X') )dEdT (10)

= ( Jge(X' ,E,T,r(X,E,t(T»)dEdT,o(X') ) ( 11)

- g(X' ,X,r(X,E,t(T»),o(X') ) . (12)

Here g(X' ,X,t) = Jge(X' ,E,T,r(X,E,t(T»)dEdT (13)

I call g(X' ,X,t) the Green's function for the general active imaging
system--the system Green's function. If g(X' ,X,t) was spatially invariant,
the imaging system output for extended objects could be derived from
g(X' ,X,t) by convolution: i(X,t) = o(X')*g(X',X,t). However, in general,
the imaging system output image for extended objects can not be obtained
by convolution, and instead I express it as an inner product. To
illustrate the use of the Green's function, the solid aperture imaging
system output image can be expressed in terms of g(X' ,X,t). In this case
r(X,E,t(T» = t, and

g(X' ,X,t) = Ige(X' ,E,T,t)dEdT (14)

Since g is not a function of X, we can write g(X' ,t) for g(X' ,X,t) and the
aperture output becomes
i(X,t) = ( g(X' ,t),o(X') ) = i(t) . (15)

The general imaging system point image for other transmitted

waveforms f(t) can be obtained by convolution:
i(X,t) =( g(X' ,X,r(X,E,t(T»)*f(t),o(X') ) , where (16)

g(X' ,X,r(X,E,t(T»)*f(t) = ( Ige(X' ,E,T,r(X,E,t(T»)dEdT )*f(t),

and so i(X,t) = Jge(X' ,E,T,r(X,E,t(T»)*f(t)dEdT . ( 17)

The final form of the equation indicates that the point image admits
interpretation as a superposition of ellipsoidal waves
f(t-(d(T,X)+d(X,E»/c): waves of the form f(t) with the ellipsoids being
the surfaces of constant phase.
Lastly, when there are weighting functions aCT) and aCE) associated
with the transmitter and receiver, the imaging system Green's function
becomes
g(X' ,X,r(X,E,t(T») = Jge(X' ,E,T,r(X,E,t(T»)a(E)a(T)dEdT . (18)

A one dimensional linear solid aperture steered down the z axis will
be used as a simple analysis example; we will derive the receiver beam
pattern when the transmitted waveform is a continuous sine wave. For
continuous sine wave transmission from a point at the origin, the receiver
beam pattern in the far field should be the Fraunhofer diffract10n pattern
sin(6)/6. Here X represents a point (x,z) in two dimensions. We will place
a single unit amplitude reflecting point at X', so o(X) = SeX-X'). We
desire the aperture response as X' is moved, in polar coordinates with
some fixed r, through all angles e with respect to the z axis; this yields
the beam pattern. The function aCE) is the uniformly weighted linear

55
aperture on the x axis. The variable E is the vector from the origin (the
location of the point transmitter) to an element dE of the aperture.
Define the round trip distance from the transmitter at the origin to the
reflecting point at X' thence to the receiver point at E: m(E,X') =
:X' :+d(X' ,E) =
r+d(X',E). As a result, ge(X,E,T,t), the Green's function
associated with receiver point E is (16n Z rd(X,E»-16(ct-m(E,X». Using
this, the imaging system Green's function for an impulsive transmission
from a point transmitter at the origin is

g(X' ,X,t) = Ige(X,E,T,t)a(E)dE =g(X,t) ,

and i(t):x' = ( S(X-X'),g(X,t) ) = i(X',t)
= ( 6(x-x,),I (16n Z rd(X.E»-16(ct-m(E,X»a(E)dE ) • (19)

Interchanging the notation for X and X', we obtain the aperture image or
beam pattern due to an impulsive transmission. This is the stationary
aperture's time response due to a reflecting point at X: i(t):x =
i(X,t) = c I(16n Z rd(X,E»-16(t-m(E,X)/c)a(E)dE • (20)
The aperture response for a nearly continuous sine wave transmission
sine(Qt) can be derived by convolving with exp(iQt). The convolution
yields
i(X,t) = c J(16n Z rd(X,E»-'6(t-m(E,X)/c)*exP(iQt)a(E)dE

= c J(16n Z rd(X,E»-1 a (E)exP(iQ[t-(m(E,X)/C)])dE

=c eXP(iQt)exP(iQr/c)J(16nZ rd(X,E»-' a (E)exP(-iQ(d(E,X)/C»dE (21)

As a result of the convolution, the impulsive ellipses become wave fronts

for an elliptical wave, exp(iQ[t-(m(E,X)/c)]); the family of con focal
ellipses with parameter t are the surfaces of constant phase. The beam
pattern is a superposition of these waves. This equation is now in the
form commonly used as a starting point for showing that the beam pattern
is the Fourier transform of the aperture. The three dimensional Radon
transform can be related to conventional beamforming, using the Green's
function, by replacing the ellipsoids by their tangent planes at the image
reconstruction points (eg. see Miller et. al.).
Image reconstruction algorithms can use the Green's function
expression g(X' ,X,t) in software for new methods of active imaging. It can
also be used in hardware to create new types of active imaging machines:-
for example, a single pulse three dimensional, active imaging machine (re.
Anderson, US Patent no 5,005,418). It is the reverse, but not the inverse,
of the ellipsoidal projection operator that can be used as part of an
algorithm for single pulse three dimensional imaging. I call this reverse
operator "ellipsoidal backprojection". Assuming the echo sequence has been
stored, I will dispense with the time variable in the image and express
ellipsoidal backprojection of the echoes s(E,T,t) by
i(X) = (s(E,T,t),S(t-(d(T,X)+d(X,E»/c» (22)

For a given X, 6(t-(d(T,X)+d(X,E»/c) selects one echo sample from the

echo time history (or stored echo sequence) s(E,T,t) associated with each
point pair (E,T). The selected echoes are summed to form an image point
i(X). T.his process backprojects the echo samples over the ellipsoids from
which they were originally obtained. The ellipsoidal backprojection
imaging system point image for a single relecting point at X' is

i(X):x' = ( I6(ct-d(T,X)-d(X,E»dEdT,6(X-X') ) • (23)

This image is a function consisting of all ellipsoids passing through X'

having foci E and T. Due to S(X-X'), the only non zero backprojected
ellipsoids are those which intersect X'.

56
 Ellipsoidal projection and ellipsoidal backprojection admit the
following interpretations: If {(E,T,t)} is considered a space, say "echo
space" E3, then s(E,T,t) is a function defined on that space. Active
imaging echoes, the ellipsoidal projections, can be considered a mapping
from R3 to E3 taking o(X) in R3 into its image s(E,T,t) in E3. Ellipsoidal
backprojection is the inner product of the impulsive surfaces b(E,T,t):x
= 5(t-(d(T,X)+d(X,E»/c) with the object's image in E3 j each impulsive-'
surface is the image in E3 of a single unit amplitude point, X, in R3. So,
the ellipsoidal backprojection image can be expressed as i(X) =
(s(E,T,t),b(E,T,t):x), and the filtered ellipsoidal backprojection image
as i(X) = (s(E,T,t),b"(E,T,t):x).
Active imaging in general can be viewed in terms of mappings from R3
to E3 and E3 to R3, and also in terms of inner products in object space R3
and inner products in the echo space E3.
How good an image is produced by ellipsoidal backprojection? Radon
transform theory and Integral geometry (Gelfand et. al.) provide a partial
answer which Miller et. al. develop further--ellipsoidal backprojection
alone does not produce an optimal image. Gelfand, in the discussion of the
Radon transform gives the plane wave decomposition of 5(X) as SeX) = 5"(p-
W'X)j W is the direction cosine vector and p the plane's perpendicular
distance from the origin. Here 5"(p-W'X) represents twice differentiated
impulsive planes: Projection and backprojection occur over planes in the
3D Radon transform. These results suggest to me that in ellipsoidal
backprojection imaging the received echo due to a single reflecting point
located at X should be processed as closely as possible by a linear filter
into an approximation of 5"( t). This is the "filter" of "fil tered
ellipsoidal backprojection" which I implement as a linear operation F on
each echo time history s(E,T,t) before ellipsoidal backprojection of the
echo samples proceeds (see Anderson).

REFERENCES
Anderson, F., 1991, 3D Real Time Imaging Using Ellipsoidal
Backprojection, proceedings of SPIE's Medical Imaging V, Feb. 24 - Mar. 1,
San Jose, CA
Author, M. and Broadstone, S., 1989, Imaging Via Inversion of
Ellipsoidal Projections of Solutions to the Linear Acoustic Wave Equation,
IEEE Trans. on Medical Imaging, 8, no. 1, 89-95
Corl, P. D., Kino, G. S., Desilets, C.S., Grant, P.M., 1980, Digital
Synthetic Focus Imaging System, Acoustical Imaging, 8, Plenum Press, New
York, 39-53
Gelfand, I. M., Shilov, G. E., 1964, Generalized Functions: vol. 1
(1964), vol. 2 (1966), Academic Press, New York
Hagedoorn, J. G., 1954, A Seismic Reflection Interpretation,
Geophysical Prospecting, 2, 85-127
Johnson, S. A. and Greenleaf, J. F., Duck, F. A., Chu, A., Samayoa, W.
R., Gilbert, B. K., 1975, Digital Computer Simulation Study of a Real Time
Collection, Post Processing Synthetic Focus Ultrasound Cardiac Camera,
Acoustical Imaging, 6, Plenum Press, New York, 193-210
Kaplan, W., 1962, Operational Methods for Linear Systems , Addison -
Wesley
Miller, D., Oristaglio, M., and Beylkin, G., 1987, A New Slant on
Seismic Imaging: Migration and Integral Geometry, Geophysics, 52, no 7,
943-964
Norton, S., and Linzer, M., 1981, Ultrasonic Reflectivity Imaging in
Three Dimensions, Exact Inverse Scattering Solutions for Plane,
Cylindrical and Spherical Apertures, IEEE Trans. on Biomedical
Engineering, BME-28, no 2, 202-220
Romanov, V. G., 1974, Integral Geometry and Inverse Problems for
~rbolic Eq~~tion~, Springer - Verlag, New York

57
ULTRASONIC TOMOGRAPHIC IMAGING OF ANISOTROPIC SOLIDS

D. P. Jansen, T. Chow, D. A. Hutchins * and R. P. Young

Departments of Physics and Geological Sciences, Queen's

University, Kingston, Ontario, Canada K7L 3N6
* Also at Department of Engineering, University of Warwick
Coventry, England, CV4 7AL

INTRODUCTION

Tomographic imaging is a technique to determine values of a

spatially varying parameter on a cross-sectional slice through an object.
In the ultrasonic case of tomography, waves are propagated through the
sample between a series of source and receiver locations placed in a
plane around the object. These locations are chosen such that the rays
pass through as large a fraction of the object plane as possible, and to
conform to any requirements for regular positioning in the reconstruction
procedure. If the propagation delay is measured for each raypath between
source and receiver, the acoustic slowness can be determined along the
cross-sectional plane (slowness is the reciprocal of velocity). There are
in existence a variety of algorithms that can construct tomographic
images, such as filtered backprojection and algebraic reconstruction
tomography (ART) [1,21.

In many instances, however, the objects to be imaged exhibit some

form of anisotropy, where the acoustic velocity varies with the direction
of propagation. In such cases, it is desireable to incorporate some means
of accounting for the effects of anisotropy into the imaging algorithm. A
particular means of doing this is to modify an ART or SIRT algorithm
(simultaneous iterative reconstruction technique) to incorporate a
function into the reconstruction process which mathematically describes
the angular variation of velocity with direction. If the direction of
anisotropy is assumed to be constant within the area of interest, an
adaptation can be made enabling both variations in slowness and
variations in the amount of anisotropy to be reconstructed on the
tomographic plane [31.

In this paper, the necessary modifications to the SIRT algorithm

will be briefly described. Applications of the method will be presented
for a series of experimental samples, with varying amounts and forms of
anisotropy present. These samples consist primarily of granite rocks,
which were imaged in the course of experiments to induce stress-related
microcracking within them. In addition, the imaging of non-elliptical
anisotropy will be shown on a sample of glass fibre reinforced polymer
composite.

AcousticalITTUlgi"g, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 59
THE ANISOTROPIC MODIFICATION
As was suggested by Stewart in [3), if one is interested in imaging
a weakly anisotropic medium, assumed uniform in orientation, it is
possible to solve for both the slowness and anisotropy strength within a
ART or SIRT algorithm. If we suppose the anisotropic P-wave slowness can
be represented by a base slowness plus an an angularly dependent
component
pea) = Po + ag(a) (1)

then the travel time t through a discretized medium can be written as

t
i r
= \ p (a)d
j 1j
= \
r [p
OJ
+ a g (a)]d
j 1 1j
(2)

where d is the distance travelled by the i'th ray through the j'th
Ij
pixel in the a direction. Assuming linear raypaths, a change in the
slowness and anisotropy will cause the ray travel time to change by

At
1
= \
r [AP
OJ
+ Aa g (a)]d.
j 1 1j
(3)

In the SIRT algorithm, the solution of equation (3), with a difference At

between the measured and projected travel times, is the one that
minimizes the change in parameters in a least squares sense. In this
c~se, a least-squares norm with a weighting constant k can be written as

\ 2 2 2 (4)
L = l.. Ap + k Aa
2 j OJ j

The equations can now be formulated as a Lagrange multiplier problem to

determine the corrections for the slowness, Apo' and anisotropy Aa. With
a Lagrange multiplier of A, the constraint of equation (3) and the norm
of equation (4) result in

M= \
r [AP2
OJ
+ k 2Aa2 - Ad. Ap
j 1j OJ
- Ad. Aa g (a)] + At
1j j 1 1
(5)

Minimizing (5) with respect to Ap and Aa then yields the updates to

OJ j
the j'th pixel for the i'th ray as

At d At d g (a)
1 1j 1
Ap
OJ
= 1 1j
Aa
j
(6)

where

In the ART algorithm, these corrections are applied to each pixel

sequentially for each ray, while in the SIRT algorithm, the corrections
are computed for each raypath and averaged before application. Note that
the velocity correction in each case reduces to the standard update in
the presence of zero anisotropy (g(a)=o).

60
 It has been found in the experiments presented in this paper, where
the direction of anisotropy was not always known, that it was also
possible to perform a least squares fit to determine the most likely
orientation direction. Given a first estimate of velocity and anisotropy,
a search was done to minimize the sum of the square of the travel time
residuals with respect to the angle of orientation 9 0 . In addition, at
periodic intervals during the reconstruction process, this best fit angle
was redetermined.

EXPERIMENTAL RECONSTRUCTIONS

A program of research has been carried out in which structural

changes of granite rocks caused by stress-related microcracking have been
studied using the anisotropic reconstruction procedure. In one such
experiment, a thermally induced fracture in the rock was successfully
imaged. In this experiment, a cartridge heater was placed inside a three
inch deep hole in a six inch cube of granite, as shown in figure 1.
Tomographic imaging was carried out in a plane directly below and
perpendicular to the heater element. A fully automated data collection
s~·stem was used to collect full waveforms from one MHz ul trasonic
transducers. This system, shown in figure 2, consisted of a frame of four
stepper motors, which slid contacting transducers to any desired position
on the image plane [4]. In a single heating cycle, the temperature was
raised to a set level, allowed to cool down to room temperature, and a
tomographic scan taken. Successive cycles were carried out on the same
sample, increasing the set point temperature at each time. After one such
cycle, there was visual evidence of the formation of two fractures
extending radially outwards from the hole in nearly opposite directions.

The images shown in figure 3 have have been constructed from the
differences between the measured travel times before and after the cycle
during which the fracture formed. Figure 3a) shows the change in base
slowness of the rock caused during that cycle. It can be seen that there
is an increase in slowness (decrease in velocity) in the vicinity of the
observed crack. The maximum value of this difference is about 8% of its

heater
00
TC

I
TOP SIDE

III
III
III
III
r- -
L.J U _ Tomography
plane

FRONT

Figure 1. An illustration of the Figure 2. The scanning frame used

geometry of the thermal fracture to collect tomographic data. Four
experiment, showing the position stepper motors under computer
of the heater, thermocouple and control slid the transducers to
image plane. the desired positions.

61
 0.Z90 0.1110

0.000 0,000

Figure 3. The reconstruction of the changes in the granite block

induced by the heating cycle during which a fracture formed. 3a) on
the left shows the change in base slowness, 3b) on the right shows the
change in anisotropy strength. The lines show the approximate location
of the fracture at the top surface.

base slowness value. Figure 3b) shows the corresponding change in

anisotropy, which was assumed elliptical in shape. An increase in the
anisotropic slowness is also clearly evident in the vicinity of the
crack. The orientation of the anisotropy converged to a direction of
_7° with respect to the horizontal, which is close to the orientation of
the visible surface crack (_5°). Note that the rock has a slight base
anisotropy of about 6%, aligned at a direction of _53°.

A second example of the use of the anisotropic imaging algorithm is

on a 60 cm diamter cylindrical sample of granite cut from the 240m level
of the Lac du Bonnet underground research laboratories in Canada, and
used in hydraulic fracturing experiments [5]. The sample was cut
horizontally, aligned approximately parallel to the maximum principal
stress. It was composed primarily of massive medium to coarse grained
grey granite, although there was a large quartz pegmatite region which
exhibited less microcracking than in the surrounding granite. The
reconstructed images shown in figure 4 had an elliptical anisotropy
aligned at 83° with respect to horizontal, at a maximum level of about
25%. On the left of the tomogram was a region of reduced slowness and
anisotropy, which corresponds to the location of the pegmatite region
within the sample.

A final example of anisotropic imaging comes from a glass-fibre

reinforced polymer composite, which exhibited an anisotropic slowness
component of g(9)=sin6 (9). In this experiment, a 1 cm radius hole was
placed in a 12 cm square piece of the composite, and filled with an epoxy
adhesive. The epoxy had a slowness of 4.1 Ms/cm, and the composite had
maximum and minumum slownesses of 3.0 Ms/cm and 2.6 Ms/cm respectively.
Difference images were constructed of the changes in slowness and
anisotropy due to the presence of the epoxy, as shown in figure 5. Both
the slowness and anisotropy images clearly identify the epoxy region,
although the anisotropy image is streaked in the fast (vertical)
direction.

62
 ~.~
<'00
,,0.~
~
<l.
: I· Se
~ e.'\e
~ ....
~
~ 1'00 ~ e.~
~
~ e' (e
\I·Se II
e' le
e·00 e'00

...:....
... .... ....

Figure 4. The reconstructed images of a 60 cm granite cylinder, with a

region of pegmatite characterized by decreased slowness and anisotropy .
On the left is the base slowness, on the right the anisotropy strength.
- 0.110

0.280 0.000

Figure 5. The reconstructed images of the changes in a 12 cm square

polymer composite due to the presence of a 1 cm radius region of epoxy.
On the left is the base slowness, on the right the anisotropy strength.

CONCLUSIONS

An adaptation that enables reconstruction of both slowness and

strength of anisotropy has been made to a SIRT tomography algorithm. The
successful use of this algorithm has been demonstrated in several
different experimental situations .

REFERENCES

1. R. M. Lewitt, "Reconstruction algorithms: transform methods," Proc.

IEEE 71:390 (1983).
2. Y. Censor, "Finite series expansion reconstruction techniques," Proc.
IEEE 71 : 409 (1983) .
3. R. R. Stewart, "An algebraic reconstruction technique for weakly
anisotropic velocity," Geophysics 53: 1613 (1988).
4. D. P. Jansen, D. A. Hutchins and R. P. Young, "Ultrasonic tomography
using scanned contact transducers," Proceedings IEEE Ultrasonics
Symposium, in press (1990).
5. T. Chow, S. Falls, S. Carlsen, Queen's University Rock Physics
Research Group Internal Report #RPY008 (1990).

63
ON THE RECONSTRUCTION OF INTERNAL MAGNETIC FIELD IN FERRITES USING

MAGNETOACOUSTIC RESONANCE PROFILE

S.N. Karpachev and L.K. Zarembo

Physical Department
M.V.Lomonosov Moscow State University
Moscow, 119899, USSR

Introduction

Magnetic materials and, especially, ferri tes are commonly used in

modern radioelectronic technologies. Just for an example consider ferrite
magnetic heads. They have a wide range of applications: audio- and video-
tape recorders and players; hard, floppy and Winchester di sk dr i ves in
computer systems and so on. Most of ferri tes used in such devices are
single crystals. Of course it is impossible to grow an ideal crystal: the
real ones have defects of different type, such as dislocations, micro-
cracks, residual internal strains and others. Because of the magnetoelas-
tic coupling all these defects may result in inhomogeneity of internal
magnetic field. Beside the ordinary mechanical instability it leads also
to an irregularity (nonuniformity) of head sensitivity across the recor-
dered track, reduces the output signal and deforms the frequency response
of the head. More of it, the problem with the commonly used ferrites,
such as Mn-Zn spinels, is that they are not transparent in the infrared
region and so the known optical diagnostics methods cannot be applied to
obtain information about defects in them. And this information is of a
great importance because usually the controlling and measuring operations
become possible only at the final stage of production. Assuming that the
cost of initial (i.e. before different technological operations) ferrite
crystal is less than 1% of the final cost of the magnetic head and more
than one half of the final production spoilage is due to ferrite faults,
one can see the advantage of diagnostics at the earliest stages of
technological process. Surely the big cracks can be determined by ordina-
ry ul trasonics defectoscopy methods, but the more precise and complete
information can be obtained by combined magneto-acoustic method based on
the magnetoacoustic resonance (MAR) phenomenon.
MAR was theoretically predicted and experimentally investigated in
1956-1958 independently by Akhiezer [1], Spencer and Le Crow [2] and by
Kittel [3]. In the next chapters we will discuss some features of this
interesting phenomenon along with its application to the defectoscopy and
tomography purposes.

Magnetoacoustic resonance

The magnetic material behavior can be described using the following

equations:

Acoustical Imaging, Volume 19

Edited by H. Ermer! and H.-P. Hatjes, Plenum Press, New York 1992 65
 8 8if1 1 + (I •.
'- _ _ _1)
(1)
2

(2)

where p is the material density, U - displacement, x - coordinate, ifI -

thermodynamic potential, M - magnetic moment, 7 - gyromagnetic ratio for
electron spin (2.8 MHz/De), T1 and T2 - spin-lattice and spin-spin rela-
xation times. The first is the equation of motion, while the second - so
called Bloch- Blomberghen equation. It describes the magnetic moment mot-
ion. These two equations are coupled because the potential ~ contains
combined magnetoelastic terms:

ifI = ifI e + ifI + ifI

m me
(3)

where ifle is a part of the thermodynamic potential related to elasticity,

iflm is related to magnetic subsystem and ifl me is the magnetoelastic (coup-
led) part.
By solving this system of equations one can obtain the resonant con-
di tions, but this is a rather difficult process because of complicated
mathematics. Nevertheless we can make some helpful estimations. The spin
wave frequency is fs = ~Heff . Here Heff is an effective magnetic field
which is a vector sum of the external field Ho and internal field Heff
(which, in turn, is a sum of the exchange, the anisotropy, the dipole-
dipole interaction fields and the field caused by residual stresses and
other defects).
The travelling acoustic wave with a fixed frequency fa interacts ef-
fectively with the spin wave having the same frequency resulting in coup-
led magnetoelastic wave (of course there is also a condition of the same
or near wave numbers of the spin and sound waves) - this is so-called
magnetoacoustic resonance (MAR). This phenomenon pronounces itself in an
increase of the sound wave attenuation (the linear MAR) and in a strong
increase of the magnetoelastic nonlinearity, resulting in an effective
generation of high-order harmonics of the sound wave (nonlinear MAR) [4].
If the internal field Hin is not uniform over the sample volume than the
spin waves excited in different regions of the sample will have different
frequencies. And so it follows that the resonance takes place only in

Fig.1. A model distribution of the effective

magnetic field in magnetic crystal.

66
certain parts of the sample where the resonant condition f = f = .H ff is
satisfied. s a e
Fig 1 represents a model distribution of the effective field Heff
over the length z of a non-ellipsoidal crystal. It can be seen that there
are two resonant regions in this case; their length depends upon the ef-
fective field gradient and the intrinsic ferromagnetic resonance line
width ~Hi (that is the line width in an ideal crystal with ellipsoidal
shape). For a YIG (yttrium-iron garnet) this intrinsic line width is equ-
al to a portion of an Oersted while in different quality Mn-Zn spinels
from 1 to 30 Oe.

Internal field and MAR profile

By changing the external magnetic field H one can move the resonant
region from one place to a~ther. In the conditions of low-frequency MAR
(i.e. at frequencies 10 6 -10 Hz)

(4)

where n is the unit vector, and we have

H '" -H. (5 )
o In
When the external field is varied in a magnetic material with an in-
homogeneous H in the resonance takes place consequently in different re-
gions of a sample. In other words the structure of the internal field Hin
is scanned by the varying Ho' The resolution of such a scanning is deter-
mined by ~H. in case of a linear MAR and by (~H./V2) in case of a nonli-
1 1
near MAR. In a first case the amplitude of a transmitted through a sample
acoustic pulse is governed by relationship

(6 )

where ~a = ar - a o ; a r and a o are, respectively, the absorption coeffici-

ents of sound at the resonance and away from it, oz is the resonance re-
gion length. For a given material a r and a o are constants and the reso-
nance length can be found from an expansion (for simplicity we shall use
1-D approximation)

~H. = H(z) - H(z + oz) = -H' oz - lH"ozZ - (7)

1 Z
Here H(z) is either H. (z) or H (z) because of (5). Outside extrema and
In 0
inflection points of the field

oz = ~H'/H' (8)
1

while at extrema:

oz = -Z!t"H ./H'; '" r jy./H * ' (9)

1 0 1
where H*and r
o
are the characteristical local field and its radius of
action.
As can be seen from Eqs. (6-8) MAR profile - the Aw(Ho) dependence
represents the internal field distribution. A more detailed analysis of a

67
MAR profile leads to a high-resolution method of internal field recon-
struction. Using nonlinear methods we can achieve even higher resolution
and far better sensitivity. In the approximation of the quadratic frequen-
cy dependence of the attenuation and assuming that nonlinear parameter at
the resonance r » r and a » a:
r r

A2 (H ) - (r /a ) [exp(-2a ~z) - exp(-4a ~z)] (10)

W 0 r r r r

If the dissipative distortion of MAR profile is small:

(11)

then
(12)

and the S-MAR profile is determined by the distribution of internal mag-

netic field according to Eqs.(4) and (5). Eqs.(8-12) are the basis for
reconstruction of the internal magnetic field. Assuming that H. (z)=H (-z)
In 0
outside the extrema:

A(~)
Jill
1 H
z = --- A (0) d~ (13)
211H i lla 0 W

Fig.2 represents experimentally obtained MAR profile in YIG sample A (H )

W 0
(a) and the corresponding internal field distribution (b) obtained using
Eq.(13). As can be seen from these curves the MAR profile provides far
more information than the reconstructed internal field.

Low- and high-frequency MAR (LF and HF MAR)

Let's discuss in detail some features of HF and LF MAR application

to defectoscopy purposes. The first one is obtained at frequencies about
10 10 Hz when the external fields needed to achieve the resonance conditi-
on are rather high (several kOe). In these conditions the crystal usually
is a single-domained one - the domain structure has vanished. The second
one is obtained at frequencies about 10 6 -107 Hz when H is insufficient
o
for a drastic change in an original distribution of the internal field .

.All) {Q..r.... ,,~

l(

.3 6

2 lj

( f, )
(el)

O~--2·0-0---~~r---,~T-~H-o~(~) O~~2~OO~-~~O~O--&~OO~-'~OO--H.~~(~)

Fig.2. MAR profi.le in YIG sample (cylinder) - (a) and the

reconstructed internal field distribution - (b).

68
Usage of high or low frequencies depends upon the aims of defectoscopy.
If the only task is to trace crystal defects such as dislocations, micro-
cracks and so on than HF MAR is more suitable because the initial domain
structure has no effect on the measurements. LF MAR is preferable if one
has to know not only a defects structure but also a real initial internal
field distribution including the domain structure. The second reason for
using low frequencies is that the sound wave attenuation depends quadra-
tically upon frequency, so in poor-quality crystals the attenuation at
high frequencies can be too high for making precise measurements.

Internal field control by non-uniform external magnetic field

The internal field reconstruction method described above can be ap-

plied not only to defectoscopy but also for purposes of internal field
control [5]. It is a very important task in modern radioelectronic tech-
nology applications. For example let us consider a magnetoacoustic con-
volver. For an efficient work of such a device the internal magnetic
field in a crystal must be either uniform (in case of a singe-frequency
convolver) or have a constant slope over its length (for a wide frequency
range). As the used crystals are not ideal then these conditions are not
fulfilled. Every defect or domain will influence the internal field dis-
tribution and will lead to an efficiency loss. Besides the crystal shape
usually is not ellipsoidal so the demagnetizing field is not uniform. By
applying non-uniform external magnetic field the situation can be impro-
ved. The described method allows for a selection of such an external
field.

Conclusion

The basic principles of this method can be applied to creation of a

new method of acoustical nondestructive testing technology - a resonant
3-D tomography of magnetic material internal field. It must be noted that
the ordinary tomographic methods based on backward scattering cannot be
applied to this case. Nevertheless an opportunity arises to use these
methods if the experimental setup is slightly changed and the registrati-
on of the resonance is made by the backward wave amplitude. This backward
wave is not a wave reflected by an inhomogeneity but a result of a nonli-
near process of interaction of the sound wave with the pumping magnetic
field into which the sample is placed.
MAR profile method can also be used to obtain uniform or any other
chosen internal magnetic field in samples of irregular form by the means
of various external influences.

REFERENCES

1. A.I.Akhiezer, V.G.Bariakhtar and S.V.Peletminski, Coupled magnetoelas-

tic waves and ferroacoustic resonance, Sov. Phys. JETP, 8:157 (1959).
2. E. G. Spencer, R. C. Le Craw, Magnetoacoustic resonance in yttrium iron
garnet, Phys. Rev. Lett., 7:241 (1958).
3. C.Kittel, Interaction of opin waves and ultrasonic waves in ferromag-
netic crystals, Phys. Rev., 4:836 (1958).
4. L.K.Zarembo and S.N.Karpachev, Low-frequency magnetoacoustic resonance
of transverse waves in the presence of an inhomogeneous internal
field, Sov. Phys. JETP. 4:855 (1987).
5. L.K.Zarembo, S.N.Karpachev and S.Sh.Gendelev, On the possibIlIty of
effective acoustic nonlinearity control in Mn-Zn spinel, Sov. Tech.
Phys. Lett., 10:442 (1984).

69
SUPERRESOLUTION IN ULTRASONIC IMAGING

Hugh W. Jones

Hugh W. Jones & Associates Ltd.

374 viewmount Drive, Allen Heights
Nova scotia, canada

ABSTRACT

since it has been demonstrated that superresolving acousto-optical

systems can be realized the question of their applicability to the imaging
of other than point sources arises. This paper reviews the experimental and
theoretical evidence for the possibility of superresolution and explains why
it is of particular interest to ultrasonic imaging. The problems relating
to the limits imposed by information theory to the imaging of distributed
objects is examined and a method of obtaining the necessary spatial
bandwidths is discussed.

INTRODUCTION

In an earlier publication 1 we described experimental evidence demon-

strating the realization of superresolved images of a small ultrasound
source. The image was produced by a lens which had very small aberration
and was self-shaded by the interfacial effects at the refracting surfaces.
This demonstration indicates that it is possible to think in terms of super-
resolving imaging of point sources at least under some conditions. The
practical usefulness of superresolution is, however, another matter alto-
gether and the prospects for the application to extended objects is the
subject of this paper.

The need for superresolution in imaging arises from the problems of

absorption of ultrasound at high frequencies. Higher resolution at present
is only obtainable in many circumstances by increasing frequency but this
degrades the signal to noise of the received signal, consequently there
comes a point at which higher resolution becomes impossible. In ultrasonics
superresolution may allow better resolution by allowing imaging at lower
frequencies with signal to noise ratios which are better than those which
would be obtained in matching conventional systems. The hope for this
approach depends on the fact that absorption of ultrasound increases at
least as the square of the frequency i.e. signal to noise degrades as the
inverse of this ratio. The ratio of signal to noise in superresolving sys-

Acouslicallmaging, Volume 19
Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 71
terns is not sufficiently explored for the signal to noise ratio to be
expressed as a function of frequency but elementary arguments suggest that
the relationship may be linear in some circumstances. Put directly the
signal to noise ratio associated with a resolution gain equivalent to a
doubling of frequency may be twice as good in a superresolving system. If
this is so then superresolution will allow images resolution which could not
be obtained otherwise. This being said such imaging requires a process by
which the simple Nyquist conditions which lead to aliasing are circumvented.

HISTORICAL BACKGROUND

Apart from the use of diffraction patterns to obtain data about a

source (e.g. stellar interferometers) the first clear recognition of super-
resolution appears to be that of Luneburg 2 who, in 1944, showed that the Airy
diffraction integral:

1
F(X,y,z) = 27r JJ<p(p,q)e ik(w+xp+yq+zr) dpdq (1 )

allowed a mUltiplicity of solutions and that the classical solution was

simply that which gave the central lobe the maximum energy. Luneburg gave
other solutions which reduced the halfwidth of the main lobe to satisfy par-
ticular conditions and which were readily applicable to the diffraction
integral. Later the problem was addressed in a series of papers by Toraldo
di Francia 3 particularly in relation to radar beamforming. He showed that
there was an arithmetic technique which allowed the central lobe to be of
any arbitrary width and provided control of the sidelobe maxima. This work
led to a bitter controversy in which it was claimed that the technique
advanced was in conflict with the uncertainty principle, however it was
finally demonstrated that zero beam width was coincident with zero energy in
the beam and the approach to zero beam width led to conditions which satis-
fied that principle since that time much work has been done on various
aspects of apodization. Resolution for ultrasonic imaging can use these
techniques but recognition of the fact that the work of the pioneers neces-
sarily invoked energy whereas in ultrasound pressure or velocity can be
used. The work relating to the control of the diffraction pattern which has
just been described is unfortunately only one aspect of the problem and
applies particularly to a point source. In general an extended array of
sources constitutes the objects we need to image and we arrive at a situa-
tion in which it is necessary to consider the interaction of the various
main and sidelobes associated with this array. This problem was considered
by Abbe 4 and Rayleigh 5 who used a regular array to determine the resolving
power of microscopes. Much later with the advent of Fourier optics the
problem was revisited and considered in terms of the spatial frequencies of
wave fronts and the bandpass of the aperture involved. This development was
associated with the discoveries in information theory which allowed the
Nyquist sampling theorem to be applied (and arrive at Rayleigh's conclusion
by another method) The new treatment was extended to describe the use of
filters in the Fourier domain in order that particular images could be
recognized, such filters in effect being apodization devices.

72
 x'. J

lInage
Focal plane
I Plane I
Figure 1 (c.f. equation 2)

*1==
-8/2
o
d--->1

8/2
I
-
Figure 2
Diffraction grating

73
HIGH RESOLUTION ULTRASONIC IMAGING

The discussion above indicates that:

a) superresolution is achievable,
b) that it has a probability of being useful and peculiar to ultrasonic
imaging because signal to noise considerations, and
C) the technology which needs to be developed relates primarily to the
insonifying systems.

Given that a) and b) above have been clearly established by previous

work in the field point C) needs further discussion. It is noted that the
imaging system always implies an aperture limitation at some place in the
system. It is also noted that point sources can have superresolved diffrac-
tion patterns if this aperture is suitably shaded. Extended images cannot
be superresolved unless some further factor is introduced. In introducing
such factors it may be necessary to make them specific to ultrasound systems
in that, real time processing can be envisaged, the pressure amplitude is
usually measured by the receiving system and the receiving system often has
a bandwidth which is comparable (i.e. a reasonable fraction of) to the fre-
quency of the ultrasound being used. If these factors are accepted then we
can illustrate a procedure which might be used to obtain a superresolved
image by reference to Rayleigh's treatment of a microscope which uses coher-
ent light. Given the space limitation, that which follows uses the notation
of Born and wolf6.

Figure 1 shows the geometry of a grating and figure 2 the geometry of

an imaging system (it is noted however the latter can be generalized).
supposing, initially, that we concern ourselves with coherent insonification
then we see that:

u(L'I) dxdy (2)

describes the pressure in the focal plane of the lens where A is the aperture
of the lens. Using the diffraction integral again we find that in the image
plane the image is described by:

vex' ,y') C'C2 jIll

, ,F(X,Y).
k[[ f] [ f] ]
-i-
f
x +-x'
D'
~+ y +-y' 'I
D' ",",yOld, (3)

We can suppose the original object was a simple grating with the dimensions
shown in figure 2. It follows from grating theory that the pressure in the
focal plane is given by:

sin ~~:] l_e-iNkdVf

U(~) = Cl [ ~tfs
" l_e-ikdVf
(4)

If the aperture has dimensions in the ~ direction of: -a « ~ « a, then in

74
the image plane the diffraction pattern is described by:

V(x') (5)

-a

Given that N is large and that Va is defined by the term below:

Qm+1l _ e -iNkdVf
C1 c 2 J 1_e-ikdVf d~ (6 )

Qm

and m=ad/Af then it follows that:

21l'mx'
1 + cos (7)
m'll"s d'
1<m<m d

This series (7) is the series for the grating transmission factor F (which =
o or 1) provided that sufficient terms are taken. If insufficient terms are
taken then additional lines appear and thus "false" detail appears. This
treatment links directly to that of information theory.

We now consider the factors which lead to the results discussed above
which were natural to the constraints arising from the use of light, con-
straints which do not necessarily apply to ultrasound. First equations (2)
and (3) relate to coherent monochromatic waves, it is noted that an alterna-
tive treatment for incoherent monochromatic illumination exists. There is
no particular reason why in ultrasound we need accept these constraints. We
can use sources in which the frequency of the insonification can be more or
less any function of time. If this is the case then the integrals referred
to become time dependent and we acquire an additional degree of freedom.
The effect of such a frequency swing is that the elements of the diffraction
pattern in the image plane will move or undergo amplitude changes. There
may, therefore, be methods, by recognizing these effects, of resolving the
original object. In fact by quite a simple argument it is possible to show,
using Rayleigh theory, that recognition of the details of a diffraction
grating is possible. Further for more complex images it would seem that
methods similar to those used to improve image sharpness in astronomical
photography will be applicable (c.f. the work of Bates et.al. 7 ). The prin-
ciple can be extended to provide for a series of extended or point ultra-
sound sources which effectively insonify the object with asymmetric time
varying ultrasound of variable frequency. There then may be arrangements
which will expedite the image processing. We have undertaken some limited
study of such arrangements but space limitation prevents their being
reported here.

75
CONCLUSION

A brief discussion of the prospect for superresolution of images by

ultrasound systems has been given. A reason has been advanced for such
resolution being especially applicable to ultrasonic systems. The premise
is advanced that progress can only be made if the insonification satisfies
certain conditions. Some discussion of these conditions is provided. very
clearly much work is required to find the applicable limits of
superresolution in this context.

REFERENCES

1. H.W. Jones & H.W. Kwan "Ultrasonic Signal processing" Ed. A.Alippi 389 et
seq, world scientific, singapore.
2. Luneburg, "Mathematical Theory of optics", Press u.calif. (1964).
3. G. Toraldo di Francia, Del Nuovo cimento, pp426-438, N3, (1952).
4. Abbe Archiv.f.Mickro.Anat., 9, 413, (1873).
5. Lord Rayleigh, Phil.Mag.(5), 42, (1896).
6. Born and wolf, "Principles of Optics", Pergamon Press.
7. R.H.T. Bates et.al., Acoustical Imaging, 12, 185-191, Plenum, (1982).

76
SUPERRESOLVED IMAGE RESTORATION OF HOLOGRAPHIC IMAGES

BY L1-NORM MINIMIZATION WITH CLUTTER REJECTION

Toyokatsu Miyashita

Research Institute of Electronics

Shizuoka University
Johoku 3-5-1, Hamamatsu, 432 Japan

INTRODUCTION

We present here an image reconstruction and restoration method which gives super-
resolved images of point-targets in the region of interest. Here a "superresolved image"
means an image whose resolution is not limited by diffraction and can be finer than a
wavelength. In principle, the resolution can be improved up to the pixel spacing of the
restored image. This method is composed of two stages.
In the first stage, a hOIOiaPhic image of complex number is reconstructed from
a multifrequency hologram[l. The image is diffraction limited, and its resolution is
typically a few wavelengths. owever, we let the side lobes of the point spread function
be small enough to be able to reject the contribution of the uninteresting objects outside
the region of interest, which we call "clutter", to the reconstructed image in the region
of interest. For this purpose, we apply especially Gaussian window to the spatial and
frequency apertures in the multifrequency holographic imaging. In this stage, the point-
targets in the region of interest appear as a cluster which is not resolved into point-
targets but being isolated from the "clutter."
In the second stage, we make a superresolved image restoration from the diffraction
limited holographic image of complex number, namely we restore the point-targets
embedded in the cluster minimizing the L1-norm of the restored image itself under the
constraint of the mathematical relation between the holographic image and the restored
image in the region of interest. L1-norm minimization is achieved by standard linear
programing. We invented to eliminate the inconsistent constraints or linearly dependent
constraints by a regional extraction of the holographic image. This was very effective.
To make this processing more reasonable, we selected linearly independent constraints
whose superplanes make relatively large angles between them. Further more, we let the
constraints be a little bit fuzzy to overcome various errors and numerical problems, and
then the image restoration became robust.
We show some superresolved image restorations by computer simulation. The pixel
spacing is from a wavelength to one tenth of a wavelength.

MULTIFREQUENCY HOLOGRAPHIC IMAGING

Configuration of the multifrequency holographic imaging to be considered here is

shown in Fig.1 with targets and clutter. Aperture width of the receiver array is 42.6>'e,
and that of the frequency array is O.15ve , where Ve is the central frequency of the
frequency array, and >'e is its wavelength. Number of elements of both arrays is 32.
Two-dimensional diffraction limited resolution is 3.74>.c at (x, z) = (0,140>'e)' In the
following consideration, we represent two-dimensional images by column vectors and
operations on them by capit,alletters. Measurement of the multifrequency hologram is

AcolUticallmaging. Volume 19
Edited by H. Ermer! and H.-P. Harjes. Plenum Press. New York 1992 77
represented by
g = Af,
where g is the hologram and f is the point-targets. Holographic image reconstruction
is represented by
fo = Bg = BAf,
where fo is the reconstructed diffraction limited holographic image.

SUPERRESOLVED IMAGE RESTORATION

FROM DIFFRACTION LIMITED IMAGE
Superresolved image restoration from the diffraction limited holographic image with
clutter rejection is schematically shown in Fig.2.

CIU:!
(45)', 185A)

/ ~~~I--"-_S_o~
;l; ) Z

(0, 140}')

Fig.I. Configuration of multifrequency holographic imaging with targets and clutter

pOint- TargetS'\jiffraction Limited

Image wi thout
Window

fl So
SI
<E---

Restored Diffraction Limited

SuperresoIved Image with
Image Gaussian Window
Fig.2. Superresolved image restoration from the diffraction limited holographic image
with clutter rejection

78
Here, So and SI extract respectively the region of interest and the partial space of the
holographic image from which the image restoration is made. In the more developed
consideration, SI selects mathematically independent constraints. With a Gaussian
window in the holographic image reconstruction, the cluster of point-targets in the
region of interest is separated from other uninteresting objects, i.e. clutter.
Image restoration is performed by Ll-norm minimization:
SOfl = Ll(Sl f O).
The Ll-norm of the restored image SOfl itself is minimized keeping the relation with the
given diffraction limited image or under the selected linearly independent constraints.
The Ll-norm minimization Ll is achieved by linear programming. Under the simulta-
neous constraints

Ll-norm of SOfl

n
is minimized as an object function of the linear programming. Here, n is the index of
pixels, and SI ~ So.
With a small parameter c in the constraints and selection of linearly independent
constraints by SI, the linear programming becomes mathematically robust against var-
ious kinds of errors or noise in data and also against numerical problems.

NUMERICAL EXPERIMENT OF SUPERRESOLVED IMAGE RESTORATION

The diffraction limited holographic image to be restored has 7 x 7 pixels with a

pixel spacing of a wavelength as shown in Fig.3. It is of complex number, but only
its magnitude distribution is shown. Anyway, we cannot see anything of point-targets
embedded in this image. From the whole image, i.e. from 2 x 7 x 7 = 98 constraints, the
point-targets were restored by Ll-norm minimization, and shown also by its magnitude.

':. r-.
Sl f O
n
I l'V~
L
/

;:

RESTORED IMAGE
Fig.3. Example of image restoration with clutter rejection (SI = So = 7 x 7 pixels)

To remove redundant constraints, we selected simply central part of the holographic

image. That is, from 2 x 3 x 3 = 18 constraints, the targets in the region of interest of
7 x 7 pixels were restored as shown in Fig.4.

RESTORED IMAGE
Fig.4. Example of image restoration with clutter rejection
(S1 = 3 x 3 pixels, So = 7 x 7 pixels)

79
 Table 1. Summary of the Results (1.0>- pixel spacing)
With Clutter Without Clutter
S1 = So S1 C So S1 = So S1 C So
Accuracy 82 '" 94% 93 '" 98% 11 digits 9 digits
Noise Level max. 18 % max. 6.6% max. 10- 14 max. 10 -~
e; 10 4 10 4 10 12 10 12
CPU Time 72: 1 55 : 1

As a comparison, we have also restored point-targets without clutter. In Table 1, we

show the summary of the results of these restorations.

HIGH SUPERRESOLUTION WITHOUT CLUTTER

Without clutter, as shown above, we can restore images of very good quality. We
show some examples of small pixel spacing.
1) Ten point-targets on a plane of So = 11 x 11 pixels with .Aj2 spacing were restored
from S1 = 5 x 5 with an accuracy of 6 digits.

•
SOf1
• i"
• i"
•
~ ''/ "'/'/

) /"
/.
/ ' / '/
'/ '/
"/
L L :L/
,1')'/2
'/'/'/ ''/

RESTORED IMAGE
2) An image of So = 7 x 7 pixels with )..jl0 spacing was restored from S1 = 5 x 5 with
an accuracy of 7 digits.

/ 1/
1/ 1/

-- ...... ...--
~

. ..
.. ~t:;
/:- ............ ;r ). /10

RESTORED IMAGE
3) Five point-targets on a plane of So = 7 x 7 pixels with >-/4 spacing were restored from
S1 = linearly independent 50 constraints with e; = 10- 15 . We selected the 50 constraints
comparing the orthogonality of the 98 constraints fa = BA(Sof1)' and obtained a better
image restoration than the above simple method. In Table 2, we show the detailed
results comparing two methods.

CONCLUDING REMARKS

By L I-norm minimization method, superresolved images of point-targets were re-

stored with high quality from diffraction limited holographic images, even with clutter.
Introduction of a small parameter into the constraints and selection oflinearly indepen-

80
 Table 2. Image Restoration from Linearly Independent Constraints
Pomt- Sl - 5 x 5 PIXels :::;1 - Lmeady Independent
Targets 50 Constraints 50 Constraints
(x,z) !R ~ Real Imaginary Real Part Imaginary Part
(-3,-3) 0 0 0.000002 0.000010 -0.0000000000110 0.0000000000000
( -3,-2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-3,-1) 0 0 -0.000020 -0.000072 0.0000000000297 0.0000000000269
(-3, 0) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-3, 1) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-3, 2) 0 0 -0.000004 -0.000014 0.0000000000000 0.0000000000000
(-3, 3) 0 0 0.000004 0.000012 0.0000000000077 0.0000000000016
(-2,-3) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-2,-2) 0 0 -0.000005 0.000000 0.0000000000000 0.0000000000000
(-2,-1) 0 0 0.000000 0.000046 0.0000000000000 0.0000000000000
(-2,0) 0 0 -0.000147 -0.000444 0.0000000000000 0.0000000000000
(-2, 1) 0.6 0.5 0.599896 0.499678 0.5999999999467 0.4999999999554
(-2, 2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-2, 3) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-1,-3) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-1,-2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-1,-1) 0.7 0.4 0.699907 0.399697 0.7000000000034 0.3999999999454
(-1, 0) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-1, 1) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-1, 2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
(-1, 3) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 0,-3) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 0,-2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 0,-1) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 0, 0) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 0, 1) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 0, 2) 0.5 0.7 0.499888 0.699662 0.4999999999539 0.6999999998753
( 0, 3) 0 0 -0.000032 -0.000095 0.0000000000000 0.0000000000000
( 1,-3) 0 0 -0.000017 -0.000049 0.0000000000000 -0.0000000000475
( 1,-2) 0.4 0.8 0.399894 0.799668 0.3999999999964 0.7999999998880
( 1,-1) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 1, 0) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 1, 1) 0 0 -0.000102 -0.000299 0.0000000000000 0.0000000000000
( 1, 2) 0 0 0.000012 0.000039 0.0000000000000 0.0000000000000
( 1, 3) 0 0 0.000000 0.000000 -0.0000000000201 -0.0000000000769
( 2,-3) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 2,-2) 0 0 0.000078 0.000265 0.0000000000000 0.0000000000000
( 2,-1) 0 0 -0.000014 -0.000010 0.0000000000000 0.0000000000000
( 2, 0) 0.8 0.6 0.799920 0.599780 0.8000000000086 0.6000000000777
( 2, 1) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 2, 2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 2,3) 0 0 0.000007 0.000022 0.0000000000000 0.0000000000000
( 3,-3) 0 0 0.000012 0.000040 0.0000000000000 0.0000000000000
( 3,-2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 3,-1) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 3, 0) 0 0 0.000000 0.000000 0.0000000000000 -0.0000000000112
( 3, 1) 0 0 -0.000009 -0.000025 0.0000000000000 0.0000000000000
( 3, 2) 0 0 0.000000 0.000000 0.0000000000000 0.0000000000000
( 3, 3) 0 0 0.000000 0.000000 0.0000000000025 0.0000000000251

81
dent constraints made the image restoration by linear programing robust. Restoration
accuracy was 93-98% with clutter and 10 digits without clutter. Achieved maximum
superresolution was ),,/10.

REFERENCES
[1] T.Miyashita, J.Nakayama, and H.Ogura: Acoustical Imaging (Plenum Press,
New York, 1980) ed., K.Wang, vo1.9, p.23.
[2] H.Schwetlick, T.Miyashita, and M.Schickert: Ultrasonics International 1987
Conference Proc., p.20.

82
IMPROVEMENT OF RESOLUTION IN ACOUSTICAL- HOLOGRAPHIC IMAGING

BY NEURAL NETWORK PROCESSING

Yoshinao Aoki. Yuji Sakamoto. Syoichi Yamaguchi

and Ryuichi Mitsuhashi

Department of Information Engineering

Hokkaido University
Sapporo. Japan

I NTRODUCTI ON

Recently neural network techniques have been used in various field in-
cluding signal processing. where this technique is applied to the spectrum
estimation. direction estimation of the radio wave and so on. In this paper
we propose a neural network processing to improve resolution of the recon-
structed images from holograms of long-wavelength. such as acoustical and
microwave holograms. Since the wavelengthes are long in such waves. improve-
ment of resolution is necessary. because the apertures of hologram planes
are narrow compared with the optical holography. resulting in the low-quali-
ty reconstructed image.
In this paper we adopt a Hopfield model for neural network processing.
A computer simulation of image reconstruction from holograms was conducted
in a one-dimensional case to certify the validity of the proposed method.
This method is extended to two-dimensions and applied to the image recon'
struction in a microwave holography in X-band region. where a rotatory one-
dimensional linear array with 16 antenna elements are used and images were
reconstructed from the collected data.

PRINCIPLE OF THE IMAGE RECONSTRUCTION IN LONG-WAVELENGTH HOLOGRAPHY

Suppose that long-wavelength holograms are constructed in the arrange-

ment of Fig.l by recording the interference fields of an illuminating wave
and refracted waves from the objects on the recording plane x. Let g ( ~ )
be an object distribution and P (x. ~) of Eq. (I) be a propagation function.

p (x. ~) = exp {- j k r} / Z 0 (1 )
Then an image term contained in a hologram can be expressed according to the
following convolution equation.
h (x) = f ~ 00 g (~) p (x. ~) d ~ (2)
where r is a distance between an object point and a hologram point express-
ed as follows.
r = J Zo 2 + (~ - x) 2 (3)

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes. Plenum Press, New York 1992 83
 In the conventional image reconstruction, images are reconstructed by
deconvolving the term of Eq. (2); that is calculating the convolution of
hologram and inverse propagation function pix, ~ )-1. Let g' (x) be the esti-
mated object distribution. Then the corresponding hologram to g' (x) is ex-
pressed according to Eq. (2) as follows,
h' (x) = f c:! 00 g' ( ~) p (x, ~) d ~ (4)
Let Q be the square error of the estimated hologram to the measured
hologram, then Q is expressed as follows,
Q = f c:! 00 1 h (x) - h' (x) 1 2 d x (5)
If we can make the value of Q approximately zero by changing the value
of the estimated object distribution g'(~), then g'( ~) is approximately
the reconstructed image. The reason we adopt Hopfield model in image recon-
struction is that we can define an energy function corresponding to Q in a
neural network of Hopfield model and this network has the characteristics
to allow minimization of th~ energy function.
To apply the Hopfield model to the image reconstruction of holograms,
we introduce the discrete representation of Eq. (5) as follows.
ko
Q =L h (x K ) - h' (x K ) 1 2 (6)
k=l
Substi tuting Eq. (4) into EQ. (6). we obtain the following equation,
ko
Q=Llh(Xk 12
k=l
10 I 0 10
+L L L He {P (Xk. ~.j ) p. (Xk. ~ i ) } g' ( ~ i)g' ( ~ j)
i=l j=l k=l
10 10
- L L Re {h (x k ) p. (x k , ~ i ) } g (~iJ (7)
i=l k=l
where ko and 10 are sampling numbers of the hologram and object planes re-
spectively. Re denotes the real part of complex numbers and asterisks * ex-
press the complex conjugates. Next step is to determine the correspondence
between Q and the functional value in the neural network.

APPLICATION OF HOPFIELD MODEL TO IMAGE RECONSTRUCTION

The fundamental architecture of the Hopfield network is shown in Fig.2,

where each unit has a characteristic denoted by the function f. This func-

II 12 13 1 10

T 110 T 210 T 31 0 T 1010

T 13 T 103
J x T 12 T 102
Til T 101
~ U 1 U2 U3 U 101
~
f f f f
~
--~r------------+~z
~ object Z=lc -
--7 d istri bution
~ gt~)
plane
wave VI V2 V3 V 10

Fig. 1 Geometrical arrangement for Fig.2 Network architecture of

hologram recording. the Hopfield model

84
tion defines the relation between input u and output v as v=f(u) and each
output is connected to all inputs of units with the coefficient TiJ without
self-feedback, that is Ti i=O. In Fig.2 the relation between input and output
of each unit can be written as follows,
10
ui=L:Tijvj+l i (8)
j=l
where Ii denotes an offset. Suppose that the function f is a lamp function,
sigmoid function, step function etc., then output Vi of each unit changes
the following energy function E to have the minimum value.
10 10 10
E = - L: L: T i J V j v, - I: I , v (9)
i=1 j=l i=l
We suppose the evaluation function Q of Eq. (7) as energy function E of
Eq. (9), the connection coefficient T,j and offset Ii in EQ. (9) can be writ-
t.en as follows,
ko
T 'j =- I: Re { P (x k , ~ J ) P' (x k , ~, )} (10)
k=l
ko
I i = I: Re {h (x k P' (Xk, ~,)} (ll)
k=l

COMPUTER SIMULATION FOR IMPROVING IMAGE RESOI.UTION

The simulation of image reconstruction using the Hopfield model network

of Fig.2 is done by selecting one unit randomly and calculating input into
this unit from other outputs, resulting in changing the output of this unit.
We continue this process until the output distribution shows the satisfacto-
ry focusing as an reconstructed image.
Computer simulation is done with the following parameters ; 3 cm wave-
length, hologram aperture:20 cm, zo=1 m, sampling number of the hologram:
21, sampling number of the image plane:32. The simulated results are shown
In Fig.3, where two points separated by 5 cm are chosen as the object.
The image of Fig.3(a) corresponds to the image reconstructed according
to the conventional reconstruction method, whereas the image of Fig.3 (b)
corresponds to the image reconstructed by the Hopfield model after 10 4 iter-
ations. In the image of Fig.3ia) two object points are not resolved, whereas
in the image of Fig.3 (b) two objects are resolved. According to the Rayleigh
resolution criterion, the resolved length 0 ~ is expressed as follows,
o~=l·L/zo (12)
From the condition of Eq. (12) two object points cannot be resolved under the
condition of the numerical experiment. However, the method proposed in this
paper resolves the object points that exceed the Rayleigh criterion.

2.0.,_-------------, 0.8

0.6

1.0 0.4

0.2

O.O+----~---.,_---.,.....-J 0.0
0.0 10.0 0 10
(a) ~ [ em] (b) ~ [ em]

Fig.3 Reconstructed image by conventional method (a)

and by the Hopfield model after 10 4 iterations(b).

85
 Selection Selection
times 0 times 10 4

Selection Selection
times 100 times 10 6

Fig.4 Reconstructed 3 point images with increasing selection times.

LIMITATION OF THE IMPROVEMENT OF IMAGES

The improvement of the reconstructed image depends upon the repetition

times of input-output calculations. Therefore computer simulation was done
with respect to the change of image quality according to the repetition of
calculation. The results of Fig.4 shows the appearance of the reconstructed
images of 3 point-objects with increasing selection times of the network
unit. From the results of Fig.4 it is shown that 3 images points are recon-
structed after 10 6 selection times in this case.
The evaluation of the reconstructed image can be done by calculating
the term of least mean square Q of Eq. (6) with respect to the estimated and
measured hologram data. As the calculation times increase, the resolution
of reconstructed image is improved as shown in the results of Fig.4, result-
ing in decrease of the value of Q. However there is a saturation effect for
decreasing the value of Q as the number of times of calculation increases.
The curves of Fig.5 shows the relation between the evaluation fl1nction
Q and calculation times for the cases where numbers of object points are
one, two and three. From the results of Fig.5, it is said that these curves
have the same tendency independent of the complexity of the object. More
calculation times are necessary as the number of object points to be resolv-
ed increases. However, we cannot determine the appropriate number of calcu-
lation times for image reconstruction from the result of Fig.5.

IMAGE RECONSTRUCTION FROM THE HOLOGRAM DATA BY AN ANTENNA ARRAY SYSTEM

According to the same procedure as the computer simulation, we recon-

struct image from the microwave hologram by developing the reconstruction

o 105
c:
10 4
.......,
a 10 3
10 2
~
r..,'\.,
u 10 1 ~
c: 100 1~
;::l
'+-<
c:
10- 1
10- 2 '" ::.......
.......,a 10- 3 ~

CO
10- 4
10- 5
--"'- ,
-<
;::l
10-6 ,
CO
W
> 100 10 1 10 2 10 3 10 4 105 10 6
Selection times
- - 3 objects 1 object
- - 2 objects
Fig.5 Change of the evaluation Fig.S A microwave hologram of a point
function Q versus selection times. object with linear antenna array.

86
 Fig. 7 Reconstructed images by conventional method (a)
and by the Hopfield model after 5 x 10' iterations (b).

method to the two-dimensional case. Microwave hologram data was collected

by rotating a linear array with 16 antenna elements around an axis and using
a mi£rowave frequency of IOGHz. Since the gain of the hulogram data acqui-
sition system is low in the present stage, we arrange the transmitting an-
tenna itself as an object and hologram data of an object is obtained. The
obtain result is shown in Fig.6, where a portion of a zone plate appears.
The problem in the two-dimensional case is the increase of the compu-
tation time. Since it is necessary to calculate n-l outputs of n-l units for
one change of the output of a certain unit among n units. Therefore, about
n 2 calculation are necessary to obtain all outputs of n units by scanning
all units once. Suppose the results of the reconstructed images are obtain-
ed m times scan of each unit. n 2 m calculations are necessary. Similare dis-
cussion on the calculation times in the two-dimensional case shows the in-
crease of the calculation times as (n 2 ) 2 x m = n 4 m .
The reconstructed images. that is one point, from the microwave holo-
gram of Fig.6 are shown in Fig.7(a) and (b) respectively, where the image
of (a) corresponds to the conventional reconstruction, whereas the image of
(b) is reconstructed after 5xlO s calculations. From these results the im-
provement of the reconstructed images are not clear compared with the re-
sults of computer simulation described in preceding sections. This is be-
cause the original hologram data has not enough information to determine
distinct image and noise of the hologram reduces the effectiveness of the
method. Though the experimental result mentioned above does not show a good
result. computer simulation in two-dimensional case shows the same result
as the one-dimensional case of Fig.4 and numerically the proposed method has
proven effective in improving the resolution in two-dimensioal case.

CONCLUSION

The image improvement by the method proposed in this paper is due to

the repetition of reconstruction process and superposition of the recon-
structed images. Computer simulation suggests a super-resolution by the pro-
posed method, however, we use the same original sampled data through the re-
econstructed process and we don't use other measured hologram data for im-
proving the resolution of the reconstructed image. Therefore this method is
not super-resolution in an ordinary sense. but this method has potentiality
to resolve images points in case where conventional image reconstruction
cannot resolve image points. In this paper an experiment was done to apply
the proposed method to the microwave holography by an antenna array system,
however, we cannot obtain valuable results in the reconstruction experiment.
This is because the experimental system is not well-constructed to collect
data for the neural network processing. Further experiment is necessary to
confirm the validity of the proposed method. Since the proposed method is

87
time-consuming to obtain images. reduction of calculation times is necessary
and this is left for further study.

References

1. .1.J.Hopfield and D.W.Tank. "Neural"computation of decisions in optimiz-

ation problem. Biological Cybernetics. 52. 141-152 (1985).
2. R.Mitsuhashi.H.Yokomichi.T.lshikawa and Y.Aoki. "Development of snow
search radar system with a rotatory linear antenna array.Trans.IEICE(Japan).
Vol. J73-B- II, No.4. (1990) .

88
DETECTION AND CLASSIFICATION OF ACOUSTIC IMAGES: THEORETICAL PERFORMANCE

J.G. Kelly, R.N. Carpenter, D.R. Childs

Naval Underwater Systems Center

Newport, RI

INTRODUCTION

Acoustic image classification is considered as a likelihood ratio test of multiple, alternative hypotheses.
The data are realizations of vector-valued stochastic processes representing measurements from individual elements
within an array of sensors receiving an acoustic field. An explicit form is assumed for the received signal model,
which is statistically characterized for each alternative hypothesis (object class). Results are derived for the
likelihood ratio, and various new performance calculations are shown.

The classification of acoustic images is equivalent to a decision from among a set of alternative signals
(Si(t)}. Each signal corresponds to a distinct class of scattering objects and each, with additive noise, represents an
alternative hypothesis. Accordingly, the classification problem is formulated as a multiple hypothesis test with a
noise-only null hypothesis HO and alternative (exhaustive) hypotheses {Hi: i = 1,2, ... , I> I}:

HO: x(t) = net), Hi: x(t) = Si(t) + net), (1)

where time t E [TI,T2J, the observation interval; x(t) = [X!(t), X2(t), ... ,XN(t)]T, an N x 1 complex vector, where
xn(t) denotes the output from the nth sensor element in an acoustic (receiving) array with N sensors; Si(t) and net)
are Nxl complex vectors, similarly defined; vT denotes the transpose of any vector v. The statistical hypothesis
test decides from among { Hi } based on measurement of x(t). In general, Si(t) is a stochastic process, i = 1,2,... ,I;
furthermore,

E[sj(t)] = 0, E[n(t)] = 0, and E[n(t!) s7 (t2)] = 0, i = 0, I, ... , I; t, t1, t2 E [T], T2];

v t denotes the complex conjugate-transpose of any vector v. In what follows, we assume that the noise process
is white with spectrum level NoI2; if the noise is colored a (reversible) prewhitening filter can applied without
altering the form of equation (1).

The optimal (Bayesian) binary (I = 1) test for vector-valued stochastic processes (N > 1) has been derived
using the vector-valued Karhunen-Loeve expansion.! The optimal (minimum probability of error) test of multiple
alternatives (I > 2) has been derived for the scalar case (N = 1), but does not address multiple channels (sensors).2
Moreover, these refercnces, which are representative, have no explicit models of the signals. Multiple alternatives
and vector-valued data have been addressed, but usually only for known signals. 3 The approach herein is the
integration of the essential features of the statistical classification of acoustic images: multiple alternative
hypotheses (I ~ 2); multiple channels (sensors) represented by vector-valued processes (N ~ 2); a stochastic, but
not necessarily stationary, signal model; an optimal (Bayesian) decision rule. This approach has been previously
addressed by the authors. 4 ,5.6

Acoustical Imaging, Volume !9

Edited by H. Ermert and H.-P. Hatjes. Plenum Press, New York 1992 89
SIGNAL MODEL

Let the nth component of Si( t) be represented as a sum of delayed and weighted replicas of the transmitted
waveform f(t); i.e., let,

Si(t) = Fi(t)ai, t E [Tl, T2], i = I, 2, ... , I, (2)

where ai = [ail. ai2, ... , aiKi]T; Fi(t) is an N x Ki complex matrix: [Fi(t)]nk = f(t-'tink)' n = 1,2,... ,N and
k = 1,2,... , Ki. In this model, aik is a complex, random scattering coefficient for a specific volume element of a
region in the medium, a so-called test region, for which one and only one of (Hi) is true. The test region contains
disjoint volume elements called cells that, we assume, contain at most one scatterer. When the test region is
occupied by the ith object, the scattering from the region is characterized by the set of coefficients (aki), for i = 1,
2, ... , I. The delay 'tink is from t = 0 to reception, at the nth sensor element, of the waveform scattered from the
kth cell. The delays ('tink), fixed a priori, completely define the geometry of the receiving array of sensors and the
geometry of the test region for the ith object. The randomness of the signal is characterized in the model solely by
the statistical properties of the coefficients (~k)' which are specified by E(ai) = 0 and the variance matrix K ai:
KaiOij = E(aiaJ), where ~j is the Kronecker delta.
In what follows, Kai is not required to be of full rank; therefore, the model allows for arbitrary coherence among
the waveforms scattered from each cell. For incoherent scattering Kai is diagonal (but not necessarily of full rank,
since some diagonal terms may be identically zero for empty cells). Equation (2) implies nondependence of ai on
frequency over the band of f(t), which is assumed to be sufficiently narrowband; otherwise, the summand on the
right side of would be a temporal convolution.We assume that neither the scaUerers nor the sensors are in motion.
Furthermore, for i = 1,2, ... , I,
(3)

where rik is the position vector fixing the origin of the kth cell of the ith object's test region, uik = rik/llrikll,
the unit vector along rik, and dn is the position vector for the nth element in the receiving array. A homogeneous
medium with sound speed c is assumed. An expansion in terms of dn about 0 to only first order predicates that
each of the Ki cells is in the Fraunhofer zone of the array. The second order terms correspond to the Fresnel zone
approximation. We assume that for the array dimensions and distances of interest, the Fraunhofer approximation
applies and that equation (3) without the higher order terms is exact.

ESTIMATION OF ai

We first determine the optimal estimator of the random vector ai from the data x(t), which under Hi is given
by the linear model

x(t) = Fi(t)ai + n(t), t E [Tl. T2], i =1, 2, ... , I. (4)

The estimator ai that under Hi is minimum variance, unbiased, and linear is given by

T2
ai = (2/NO)Hi Jt F (t)x(t)dt, i = 1,2,... ,1, (5)

Tl

where Hi and the correlation matrix <I>i are defined by

T2
1
Hi = Kai(I + ptf!>iKaD- 1, and <I>i = NE f
JF! I
(t)F.(t)dt,
I
respectively; (6)

PN = 2NEf/No, the signal-to-noise ratio (in the transmitted waveform). It can further be shown4 that the
estimation error's variance matrix is given by E[(ai - ai)(a - ai)tIH i] = Hi, i = 1,2,... , I.

90
OPTIMAL BAYES CLASSIFIER

An optimal Bayes test minimizes the risk (i.e.• the expected loss) in applying a given decision rule. It can
be shown that the risk is minimized by the following decision rule: 7

choose Hk if DJc(x) = max{DO(x).Dl(X) •...•D]:(x»); (7)

Db). is the so-called discriminant score dermed by

I
Di(X) = Ll..ijAj(x). i = 0,1 •...•1. (8)
j=O

where Ai(X) = p(xIHi)/p(xIHo). the likelihood ratio of Hi with respect to Ho; p(xlHj) is the likelihood function of
a measurement vector x given Hj; Aij '" -CijPj. where Cij is the cost of choosing Hi given Hj. and Pj =Prob{Hj).
Note that x is a discrete representation of x(t) by a complete set of orthogonal vector-valued functions. 4

LIKELIHOOD RA110: GAUSSIAN CASE

Ifx(t) is a complex Gaussian process. then the likelihood ratio is given by (YOi is a constant. independent
of the data)4

T2

Ai[X(t)] = YOi exp(yJ HiYi). where Yi = (2/NO») F (t)x(t)dt. t (9)

CLASSIFIER PERFORMANCE: TERNARY CASE

For the ternary case. 1=2. let cii = O. Pi = P. and CiO = CO. any non-negative constant for i = 1. 2 The
comparison Dl (.) > D20 represents the classification of the data x(t) given that Ho is correctly rejected; it is this
test that discriminates between the alternative object classes. 4 The classifier rule becomes (remembering that
1..12/1..21 < 0):

L", yt(HI - H 2 )y > In (Y021..12 fY011..21). (10)

where y is dermed as in equation (9) and the additional assumption is made that Flt) = F(t) for i = 1.2; i.e .• the
coordinate system specified by ('rink) is assumed to be independent of Hi' Classification performance is a function
of the distribution of the random variable L. Pij is the probability of selecting object i if object j is present; then
00

Pu ('11) = Jp(LIHI)dL. and P12<'I1) = Jp(LlH2)dL. (11)

TJ TJ
where p(LIHJ is the pdf (probability density function) of L given Hi. i = 1. 2. and '11 is the decision threshold. PI I
is a measurement of correct classification. and PI2 is a measure of incorrect classification. Since the Hermitian
matrix HI - H2 is not necessarily positive definite. calculation of these probabilities can be problematic. 4 .5 ,6

Example: Two-dimensional scattering region; two objects; linear array

As shown in figure 1. the test region is a polar grid with points rk = (rp • 9 q). where k = (P-I)Q+q.
p (q)= 1.2...... P (Q). Let ~ be the (uniform) radial increment. With this convention. y = [Ylo Y2..... yp]T •
where. for p = 1. 2 ..... p.

yp E! fF~(ro)i(ro)drol27t, and Fp(ro) E! f(ro) exp[-irop(~/c)] ct(ro)C(ro) ; (12)

f(ro) and i(ro) are the Fourier transforms of f(t) and x(ro); the NxQ matrix C(ro) '" [exp(irod!aq/C)].

91
 For a linear array with uniform spacing d. d!CXqIc = (d/c)(n-1)sin 9q . Thus the correlation matrix <I> is
partitioned into QxQ submatrices <l>pp' given by

<l>pp' = (llNEf) J -t - ,
F p(ro)F p (ro)dro/27t. P. p =1.2 ..... P. (13)

If the bandwidth Bf of f(t) satisfies 2or Bf/c » 1. then the crosscorrelation among annuli is neglected. and <I> is
block diagonal. that is. <l>pp' = Opp'<I>11. P. p'=l. 2 ..... p. where is <1>11 a QxQ matrix given by

(14)

If scattering is incoherent among annuli. Kai = diag[ K ail • K ai2 ..... Kaipl. a block diagonal matrix. i = 1.2;
thus it follows that. similarly. Hi = diag[ Hil. Hi2 ... ·• HiP]. where Hip == K aip ( 1+ PN <l>11Kaiprl.
The test statistic is now given by a sum of independent. Hermitian (but indefinite) quadratic forms:

P t
L = L.lp; where Ip== Yp(Hl p - H2p)Yp . (19)
p=l
The characteristic function of L. MiGro) == E[expGLro)IHil. is. invoking the aforementioned independence. given
by

Q
n n (1-jro~ipq)-l.
P
MiGro) = (20)
p=l q=l

where {~ipq} is the set of eigenvalues of the QxQ matrix (Hlp - H2p)KYip; K yip '" var(Ypl Hi). In this example.
the eigenvalues were computed for the cases discussed below; in each case. the computed eigenvalues in the set
{~ipq: q = 1.2... Q} were distinct for each p = 1. 2 ..... p. that is. for each annulus.

In figure 1. are shown the two alternative objects in a two-dimensional test region: object 1. a circle
(diameter: 20 m). and object 2. an ellipse (20 m x 40 m). represented by the alternative hypotheses HI and H2.
respectively. The ellipse is given three orientations. denoted as A. B. and C. comprising three distinct cases of
H2. Both contain uniform uncorrelated scatterers in a test region that contains 32 x 32 cells. measures
62 m x 36.8°. and is centered at (100 m. 0°). The received signal to noise ratio. PN tr(Kai). is a constant. SNR.
for i = 1. 2. In this example. P 11 is the probability of correctly classifying the circle. and P 12 is the probability
of incorrectly classifying the ellipse. The operating characteristic. P ll versus P 12 • shown in figures 2. 3. and 4.
is computed via equations (11). The pdfp(LIHD. i = 1.2. is computed as the P-fold convolution of the individual
pdfs of the independent (but not identically distributed) random variables. Ip. The acoustic sensor array is one-
dimensional with wd/c = 7t and N = 2. S. 10.20.40 sensor elements. Figure 2 shows the operating characteristic
for three orientations and the corresponding variation in classification performance for N = 20 and SNR = 16 dB.
The down- range ellipse C is more distinguishable from the circle than the cross-range ellipse A. as expected from
the limited angular resolution of the array and the assumption of ideal range resolution (block diagonal <1». Figure
3 shows the variation in performance with N for SNR = 16 dB. indicating that. for this example. negligible
improvement obtains for N > 20. Dependence on SNR is shown for N = 20 in figure 4. suggesting a quantitative
method for assessing an equivalence of Nand SNR with respect to classifier performance.

The computations were performed on a Macintosh®Hci computer using the MATLAB THmathematical
software.

SUMMARY

The classification of acoustic images of test objects can be formalized by the likelihood ratio test. For a
Gaussian measurement x(t). the test statistic can be expressed explicitly. Classification performance is expressed
as an operating characteristic. which can be computed as a function of the objects' shape. location. and
orientation; moreover. the dependence of performance on array and waveform design can be estimated.

92
 -" ....., ...
' :: -: ,: .- -'.-.
- .... ... .._ .... . :: ~ .- : - -' -' :.
'.' ".-.. , .- -- -- .: :' :' :' .::- .- :'
..... '.
. '.

0.6
0.5
.....- .... ....:

20 ELEMENTS
16 dB
0.05 0.1
P 12

Fig. 1 Test Region: Object 1 and Object 2 at Fig. 2 PI I vs P l2 as a Function of Object 2

Orientation A, B, and C Orientation

SNR = 16 dB N = 20 ELEMENTS

0.2 0.4 0.6 0.8 0.2 0.4 0.6 0.8

P12 P 12
Fig. 3 P J 1 VS P 12 as a Function of Array Size Fig. 4 PJ 1 v Pl2 as a Function of SNR

REFERENCES

1. H.L. Van Trees, "A Unified Theory for Optimum Array Processing", Report 4160866, A.D. Little Inc.,
Aug. 1966.
2. T. T. Kadota, "Optimum Reception of Many Gaussian Signals in Gaussian Noise," The Bell System
Technical Journal, Nov. 1965, p. 2187.
3. J. B. Thomas and J.K. Wolf, "On the Statistical Detection Problem for Multiple Signals,"
IRE Transactions on Information Theory, Jul. 1962, p. 274.
4. J. G. Kelly and R. N. Carpenter, "A Bayesian Approach to Acoustic Imaging and Object Classification
by High Frequency Sonar," Naval Underwater Systems Center, Technical Report 6836, May 1989.
5. J. G. Kelly, R. N. Carpenter, J.A. Tague, N.K. Haddad, "Optimum Object Classification with Active
Sonar: New Theoretical Results," Proceedings of the IEEE International Conference on System
Engineering, August 1990, Pittsburgh
6. J. G. Kelly, R. N. Carpenter, J.A. Tague, N.K. Haddad, "Optimum Classification with Active Sonar:
Theoretical Results," Proceedings of the 1990 Conference on Information Sciences and Systems,
20 - 23 March 1990, Princeton University, Princeton
7. C. R. Rao, Linear Statistical Inference and Its Applications, John Wiley & Sons Inc., New York, 1965.

93
A NEW PHONON-FOCUSING PHENOMENON
DUE TO ELASTIC MODE CONVERSION ON SILICON SURFACES

Ralf Wichard and Werner Dietsche

Max-Planck-Institut
fur Festkorperforschung
stuttgart, Germany

INTRODUCTION -- PHONON REFLECTION IMAGING

In our experiment we measure the anisotropic transport
of phonons by a time resolved phonon-imaging technique in re-
flection geometry (see Fig.1). The experimental technique is
described by Northrop and Wolfe (1984). We observe phonon
images showing a new stucture in addition to the well known
"focusing"-patterns which can be explained as specular re-
flection at the back of the silicon crystal. Between the two
ridges of the slow transverse (ST) phonons we observe an ad-
ditional sharp line which extends from the <100>- to the
<111>-directions of the crystal (Fig. 2a). A time resolved
analysis of the phonons forming the new ridge (Fig.2b) indi-
cates that a conversion of longitudinal phonons into slow
transverse ones causes the structure. This is most striking
because the propagation of longitudinal phonons shows only a
diffuse enhancement of phonon flux into the <111>-direction.

FIG.1. The raster-scanned laser pulses generate phonons in

the metal film which propagate through the [100] -oriented
silicon crystal. The phonon echo from the back is detected by
a superconducting aluminum tunnel junction.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. Harjes. Plenum Press. New York 1992 95
 The well established term "focusing" for describing the
anisotropic phonon transport is misleading because it implies
an increase of flux density during propagation, which is not
the case in that context. The ensemble of phonons emanating
from a localized source still forms a divergent beam, al-
though it shows an enhanced flux density along certain crys-
talline directions. In contrast to this the new focusing ef-
fect reveals a real refocusing of a divergent beam such as in
the case of optics. In our case a divergent beam of longitu-
dinal phonons is refocused on a sharp line. This is analogous
to a cylindrical lens in optics.

FIG.2. Reflection images a) timing is set to select all modes

b) v r=6.5*10 3m/sec
computer simulations c) s~ecular reflection
d) mode conversion between L- and
ST-modes

96
 By computer simulation we calculate the reflected phonon
flux which is expected for a ballistic, nondispersive trans-
port model (see Fig. 2c). If we assume a mode conversion at
the back between the longitudinal (L) and slow transverse
(ST) mode and calculate it under conservation of energy and
wavevector parallel to the surface we obtain Fig.2d, which
agrees with the focusing effect we observe. The Gaussian
curvatures of the slowness surfaces of the L- and ST-modes
have opposite signs in the region between <100>- and <111>-
directions (For the shape of the slowness sufaces see the
contribution by Dietsche in this book). Due to this symmetry
in the (110) plane the divergence angle from this plane is
exactly compensated by mode conversion, so that the focal
plane is identical to the opposite crystal surface.

REFERENCES
Northrop, G.A., and Wolfe, J.P., 1984, Phonon Reflection Ima-
ging: A Determination of Specular versus Diffuse Boundary
Scattering, Phys. Rev. Lett. 52, 2156.

97
 APPLICATION OF CHAOS TO

SOUND PROPAGATION IN RANDOM MEDIA

W. S. Gan

Acoustical Services Pte Ltd

29 Telok Ayer Street
Singapore 0104, Republic of Singapore

INTRODUCTION

Over the past several years, the development of the science of chaos! has led to new insides and
understanding of nonlinear dynamics. Wave propagation can also become chaotic in both deterministic
and stochastic (random media) environments. The main problem in sound wave propagation in strongly
inhomogeneous medium is the divergence problem encountered in solving the nonlinear integral equation.
In this paper we solve the divergence problem by using techniques employed for the treatment of chaos.
Two approaches will be used: statistical approach and conventional approach.

STATISTICAL APPROACH

This is a continuation of our previous paper which treats sound propagation in inhomogeneous
media by using a statistical approach with autocorrelation function and probability density function 2 • The
theoretical study of wave propagation in an inhomogeneous medium reduces to the integration of a wave
equation with variable coefficients, a problem of great mathematical difficulty that can be solved only for
a few special cases. The problem becomes simpler in the case of a weakly inhomogeneous medium,
where the parameters appearing in the wave equation deviate only slightly from their mean. In this case,
the method of small perturbations such as Rytov approximation and Born approximation ean be used.

When a wave propagates in a medium with strong inhomogeneities, from the observation of the
fluctuations of the characteristics of the wave field due to the superposition of the scattered waves and the
primary waves, we conclude that there must be a dependence between the fluctuational of the characteris-
tics of the wave field and the fluctuations of the refractive index. This dependence can be used to draw
conclusions about the statistical properties of the medium. The statistical propcrties of the fluctuations of
the wave field can be characterized more completely by using correlation functions. Aspects to be con-
sidered are: correlation of the amplitude and phase fluctuations at the receiver, longitudinal autocorrela-
tion of the amplitude (or phase) fluctuations, transverse autocorrelation of the amplitude and phase
fluctuations etc.

The concept of chaos is useful to the statistical approach of sound propagation in random media.
The chaotic behavior of a system can be identified from its probability density function plot. Autocorrela-
tion function and probability density function are related by:

(1)

Acousticallmaging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 99
 Sl= L
N
Cy e i21t"(J3/N), (2)
y=1

with the autocorrelation function Cy and the probability density function 1 SJl 12.

It has been observed that, for chaotic behavior, the probability density function of x(t,ro) depends
on the length of the time history from which it is estimated, not only for the initial period but also for
large values of time. To identify chaotic behavior of the system from the probability density function, it
is necessary also to make a map of P(Xl>t) versus P(XI,t + t) for constant XI and t. In the case of
chaotic behavior, the numerical results indicate that the maps have a Cantor set structure. For regular
behavior, the probability density function does not depend on time and in this case the map
P(Xl>t) versus P(Xl>t + t) consists of a single point. The character of the map P(Xl>t) versus P(Xl>t + t)
provides the arlswer to the system behavior is chaotic or almost periodic regular and allows to define a
chaotic stochastic process.

If the system is found to be chaotic, then one can plot the Poincare section to solve the nonlinear
integral equation. The Poincare section is a section plane chosen to intersect the trajectories of a dynami-
cal system. It is useful as an aid in visualizing the motion in complicated systems. The trajectory is a
path followed by a point in the phase space representing the state of a dynamical system described by the
integral equations. For the nonlinear integral equation describing sound propagation in random media, it
is possible to obtain a mapping to advance the system in time and this is much easier than the numerical
integration of the nonlinear integral equation.

CONVENTIONAL APPROACH

We shall illustrate sound propagation in random media with the example of diffraction tomogra-
phy algorithm.

Diffraction tomography algorithms are derived from the following general equation for wave pro-
pagation in an inhomogeneous medium:

(V2 + k 2 ) u( I. ) = -Gr ( I. ), (3)

where u( I.) represents the scalar field and Gr is the forcing function which depends on both the object
inhomogeneities and the wave field. The constant k is the complex wave number and is usually calculated
from the average properties of the inhomogeneous medium.

For reconstruction, the Fourier Projection Theorem will be used. Here the wave propagation equa-
tion (3) is converted into an integral form by using a Green's function appropriate to the boundary condi-
tions. The Green's function is the solution of the differential equation

(4)

and describes the radiated fields from a single point source in a homogeneous medium, taking into
account the relevant boundary conditions. For the two-dimensional case, the Green's function is given by

g( II 1 !o ) = ± Ho (k 1 I!. - !o 1 ), (5)

where Ho is the zero order Hankel function of the first kind. Equation (3) can be rewritten as

( V2 + k2 ) Us ( I.) = _k2 f( I.) u( I. ), (6)

where Us (I.) is the scattered field and f( I. ) the object function for the acoustic case:

100
 (7)

Since equation (5) represents the radiation from a two-dimensional impulse course, the total radia-
tion from all the sources on the right hand side in (4) must be given by the following superpositions:

usCr) 1ffTi
= 'k
2
f( Io ) uCr ) Ho (k I r. - ro I ) dro, (8)

where S is any area in the (x,y)-plane that encloses the object cross-section.

The integral equation (8) is not a solution for the scattered field in terms of the object distribution.
That is because u. is also a part of the total field u( r.) on the right hand side. In general, it is not possi-
ble to solve exactly this integral equation and therefore the differential equation (6) also for a closed-form
solution for the scattered field. If such a closed-form solution were possible, then for the purpose of imag-
ing it could perhaps be inverted to yield the unknown object distribution in terms of the measured fields.

Since in general it is possible to solve equation (8) for the scattered field, approximations must be
made. Two types are available: the Born approximation and the Rytov approximation.

In this paper, we propose to use the concept of chaos to solve this integral equation. First, the
integral will be tested for the existence of chaos. Then, if chaos exists, a Poincare section will be plotted.
This is done in the following way: we choose the (x ,x) phase plane as the Poincare section. It is an alter-
native to a trajectory plot in extended phase space, which becomes impractical after a few periods. Hence
it is convenient to study the time evolution of this system by making a point in the (x,x) plane at the
values of t = T, 2T, ... i.e. at values of t corresponding to multiples of the period of the driving function.
Such a plot for a dynamic system is called a Poincare section.

For both the statistical approach and the conventional approach stated above to the problem of
sound propagation in random media, the technique of plotting a Poincare section will be used.

THE USE OF THE CONCEPT OF CHAOS

First, equation (6) has to be considered as a Markovian process x(t,w) and solved in terms of pro-
bability density function. Let XI(t l ), ... , xn(t,,) be the sequence of values of the random process
x(t,w) at t l , t2, ... , t". Then the process x(t,w) is a Markovian process if the conditional probability den-
sity at t" depends only on the last value Xn-I(t,,-I), so that the following relationship holds:

Pc (xn' t" I xn-!> t,,-I ... , Xl> tl) = Pc (xn' t" I Xn-!> t,,-I)
Pn (xI, ... , Xn ' t» ... , t,,)
(9)

Equation (6) for sound propagation in random media can be considered as representing an n-dimensional
Markovian process x(t,w) = [XI(t,W), X2(t,W), ... , xn(t,w)]T. In this case we have:

P( x , t + Ot I xo, 0) = J... JP( x, t + Ot I y, t) P( Y , t I xo, 0)dyldY2 ...dYn' (10)

For the sake of simplicity the index c has been omitted.

In this paper we deal with the numerical solution of (6) and not with the analytical solution. Then
equation (6) can be represented by the Fokker-Planck-Kolmogorov (F-P-K) equation

ap n a 1 n a2
L-[ LL-
n
-
at
+
aXi
'-1
Ii; P ] - -
2
- [b
aXi ax).
'-1 J-
'-1
ij P ] = 0, (11)
1- 1'-

101
where P means the probability density function. The initial condition for this equation is as follows:

n
n
P( X , 0 I xo, 0) = 8(X - xo) = 8(xn - XiO) (12)
i=l

We now consider the chaotic stochastic process. This happens when the probability density func-
tion shows bifurcation. The stochastic process Xi(t,ro), i = 1, 2, ... , n, is called the process with bifurca-
tion if the probability density function P(x;.t I XiO) given by the equation:

(13)

has two maxima for any t> to, where to is constant. From the F-P-K equation, the probability density
of x(t,ro) can be calculated from the integral equation (13).

For the system parameters for which the system shows chaotic behavior in deterministic case we
obtain probability density functions with multi maxima. The Poincare map is given by the plot of
P(x, t + 1:) versus P(x,t). It can be shown that for regular behavior, the probability density function does
not depend on time, and in this case the Poincare map P(x,t) versus P(x, t + 1:) consists of a single point.
The character of the Poincare map P(XIo t) versus P(x!, t + 1:) provides the answer to the question
whether the system behavior is chaotic or almost periodic regular and allows to define the chaotic sto-
chastic process.

CONCLUSION

The nonlinear integral equation for sound propagation in highly inhomogeneous media can be
solved by expressing it in terms of probability density functions. The Poincare section which is a section
plane chosen to intersect the trajectories of the system can be plotted using the probability density func-
tions. The Poincare section gives an insight to the solution of the integral equation.

REFERENCES

1. A. A. Chernikov, R. Z. Sagdeev and G. M. Zaslavsky, Chaos: How regular can it be?, Physics
Today 27, Nov. 1988.
2. W. S. Gan, A Statistical Approach to Sound Scattering in Random Inhomogeneous Medium,
Acoustical Imaging 17:427, 1989

102
 ACOUSTICAL IMAGING USING SPECTRAL DECOMPOSITION OF THE APERTURE FIELD

Rolf Kahrs Hansen

OmniTech as
Nedre Aastveit 12, N-S083 Ovre Ervik, Bergen, Norway

INTRODUCTION

Acoustical imaging using spectral decomposition of the aperture field

was developed in order to make a practical underwater imaging system
feasible. One important issue in this respect is to keep the number of
detectors at a minimum and use an image generating algorithm that allows
the use of aperiodic detector apertures and the possibility of generation
of a large number of image pixels - independent of the number of detector
elements. Also - the control of noise sensitivity versus resolution is an
important issue in practical systems.

SPECTRAL DECOMPOSITION OF THE APERTURE FIELD

If g is a complex vector representing the acoustical field 'in the

object plane and A is a complex matrix representing the transformation
from the object plane to the aperture plane 1, the linear relation

1 = A g (1 )

represents the generation of the acoustical field in the aperture plane.

In general, A is constructed using Green's function' assuming
omnidirectional aperture receivers.

In the following we will let A be non-square which means that the

number of receivers and the number of image pixels does not have to be the
same. The elements of A may also take receiver directivity into account
and we will not restrict the algorithm to paraxial approximations.

The best estimate of g is the image vector Q given according to the

minimum norm solution 2

where + denotes the pseudoinverse, H denotes the complex conjugate and

transpose and where we have added a noise term n. (2) is valid when g and
Q have more elements than 1.

Acoustical Imaging, Volume 19

Edited by H. Ermer! and H.-P. Harjes, Plenum Press, New York 1992 103
 since AAH is square and Hermitian, it can be decomposed using the
spectral theorem3

k k
AH (2: Ai -1 ~h~liH f + 2: Ai- 1 Yi~liH n) (3)
i=l i=l

where Ai represents the eigenvalues of AAH and Yi represents the

corresponding eigenvectors so that the order of eigensets is according to
the size of the eigenvalues. All the gi's constitute a complete set of
orthonormal eigenvectors and hence decompose the aperture vector 1 as well
as the noise vector n into a set of orthogonal spectral components.

The number of spectral components to be included (governed by k)

determines resolution, noise sensitivity, sensitivity to error in the
wavelength estimate, sensitivity to detector positioning errors as well as
sensitivity to detector drop-outs 4 •

If the number of detectors and the number of image pixels are large
and the distance between object plane and aperture is large compared to
the aperture size, it can be shown that the matrix AAH equals the identity
matrix and the image generation is simply the inverse filtering of the
aperture vector.

NOISE SENSITIVITY

The spectral condition number ~(A) with respect to inversion of A is

defined ass :

~(A) (4)

and describes the relative error in Q with respect to a perturbation of f.

The spectral norm IIAII ~ am ax where a max is the largest singular value of A
and a ma / ~ Amax where Amax is the largest eigenvalue of AAH. The spectral
norm IIA+II is (A- 1/Z )max which is determined by the limit k we are using when
we include spectral components in (3). Thus

(5)

or

SNRimage ~ ~(A)-1 SNRaperture

where SNR denotes the signal to noise ratio. In decibel

(6)

Equations (4-6) represent noise averaged over the complete image. The
equations clearly demonstrate that including many spectral components
means including small eigenvalues (hence large inverses) leading to
increase of noise. n is generally uncorrelated with 1 so that its
component along gn is unpredictable. If An is small, its inverse "blows
up" the noise relative to the component of 1 along gn. We will show later
that a sound aperture design leads to increased lateral resolution as the
number of spectral components increase. Consequently, image resolution has
to be traded off against noise sensitivity.

104
SPECTRAL IMAGE COMPONENTS AND POINT SPREAD FUNCTIONS BASED ON SIMULATIONS

Figure 1 shows two different linear apertures. Aperture I is strictly

periodic, the total width is 24 wavelengths, the smallest detector-to-
detector distance is 1 wavelength and the number of detectors is 24.
Aperture II is aperiodic, the total width is 24 wavelengths, the smallest
detector-to-detector distance is 1 wavelength, but the number of elements
is only 11.

Figures 2 and 3 show the spectral components of the two apertures

after transformation to an image plane (through AH in (2» at a distance
of 150 wavelengths and with a strictly periodic pixel pattern and pixe1-
to-pixel distance of half a wavelength. The amplitudes have been
normalized so that maximum in each window is 90% of full scale. In both
cases the first 8 spectral components have been shown with the first on
top and number 8 on the bottom - with amplitude to the left and phase to
the right. As the eigenvalue of AAH decrease, the spatial frequency
increases and the ability to resolve two adjacent sources is improved.

000000000000000000000000

o o 0000000 o o
Figure 1. Aperture I (top) and aperture II (bottom).

Figure 4 shows the image of a centered point source after adding

uncorrelated noise to the aperture signal so that the signal to noise
ratio is only 5 dB. Aperture I is used to the left and aperture II to the
right. The upper point spread functions are based upon 5 spectral
components and the lowest upon 7 spectral components. Clearly the images
are distorted as we include more spectral components due to the decrease
in Ai in (3) resulting in increased noise. For 7 spectral components with
aperture II, eigenvector number 7 is "blown up" by the noise and
completely dominates the image.

The two apertures give comparable resolution, in fact aperture II

gives slightly better resolution than aperture I due to the relatively
stronger weighing of the outer detectors in that aperture. The noise
properties are slightly better for aperture I, but the hardware cost and
processing requirement for aperture I is twice as high as aperture II.
Thus aperture II is far more efficient than aperture I.

PRACTICAL EXPERIMENTS

Some practical experiments at 1 MHz have been carried out in water

with a 17 element aperiodic aperture array with a total width of 158 mm
and a smallest detector-to-detector distance of 1 wavelength (1.5 mm). A
strictly periodic array would require 106 detectors. A 10 mm diameter
metal sphere was used for imaging at a distance of 150 mm and with the
image pixels spaced 0.75 mm. Figure 5 shows the sphere at three different
positions with a SNR of 14 dB. The first position is the reference
position and the next positions are laterally shifted 1 mm and 10 mm
respectively. The experiments show that a movement (lateral shift) of 1 mm
(less than 1 wavelength) is clearly detectable.

105
 D

~ JU~,I~JII
- - - --

~I~.I I
Figure 2. Spectral image Figure 3. Spectral image
components Aperture I. Left components Aperture II. Left
amplitude, right : phase. amplitude, right : phase.

106
 I I
~ I I I I I~1 1 1 ~1 'li l'IlIl"I I~
11111111111111111111111 111111111111111111

1I1" " ","I I I I I, ,'I ~II '1

Figure 4. Point spread functions with SNR 10
dB. Aperture I on the left and Aperture II
on the right. Top : 5 spectral component.
Bottom : 7 spectral components.

Figure 5. Three experimental images of a sphere at a distance of 150 mm.

SNR was 14 dB, signal frequency 1 MHz and aperture width 158 mm. The
first image is a reference image corrected for noise .

CONCLUSION

Simulations based upon spectral decomposition of the aperture field

show that an aperiodic aperture can be far more efficient than a strictly
periodic aperture and the method allows control over resolution versus
noise sensitivity. Practical results show that the method is feasible.

REFERENCES

1. J . W. Goodman, "Introduction to Fourier Optics", McGraw Hill, New

York (1968).
2. D. G. Luenberger, "Optimization by Vector Space Methods", Wiley, New
York (1969), p. 161.
3. G. strang, "Linear Algebra and its Applications", Harcourt Brace
Jovanovich, Orlando (1980), p.224.
4. R. K. Hansen, "ROVI - Akustisk sensor for undervanns robot",
Dr.Scient Thesis, University of Bergen, Bergen (1990).
5. J. H. Wilkinson, "The Algebraic Eigenvalue Problem", Oxford
University Press, Oxford (1988), p. 189.

107
ULTRASONIC SPECKLE REGION AND EXTRA-SPECKLE CONDITION

Akihisa Ohya, Junji Kashioka and Masato Nakajima

Department of Electrical Engineering

Keio University
Yokohama, Japan

INTRODUCTION

If an object is composed of a group of numerous scatterers gathered at

random, a random granular pattern called speckle appears on the ultrasonic
B-mode image. In this paper, the relationship between the density of the
scatterers and the outbreak of the speckle is investigated first. When ran-
dom scatterers reach a certain density, the speckle becomes dominant on the
B-mode image. Such a range on the density of the scatterers is called
"speckle region". The condition for the speckle region is examined
quantitatively. Secondly, the relationship between the irregularity of the
scatterers' distribution and the statistics of interference patterns such as
the speckle is discussed. When the scatterers are distributed with some
regularity, the obtained interference pattern reflects the regularity of
this distribution even though the density of the scatterers may be high.
Such a state of the scatterers' distribution is named "extra-speckle
condition". The statistics of the interference pattern in the extra-speckle
condition is investigated.

QUANTITATIVE ANALYSIS OF ULTRASONIC SPECKLE REGION

When the ultrasonic pulse wave is transmitted from the transducer toward
the object constructed from sparse scatterers, the echoes scattered by each
scatterer are received separately, and then the B-mode image corresponds to
the distribution of the scatterers. If the object consists of numerous
scatterers gathered at random, however, the echoes interfere randomly with
one another. As a result, the amplitude of the echo signal has no relation
with the distribution of the scatterers and has only stochastic variance.
This variance is observed in the B-mode image as the granular speckle. When
random scatterers reach a certain density, the speckle becomes dominant on
the B-mode image. Such a range on the density of the scatterers is called
"speckle region".

The condition for the speckle region is examined quantitatively, using

the mutual correlation coefficient between the B-mode image obtained by the
computer simulation and the reference image which is the distribution of the
scatterers' density convoluted with the point spread function (PSF) of the
imaging system. The reference image R(x,y) is expressed as the following
equation.

ACDuslicallmaging, Volume 19
Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 109
 R(x,y) = D(x,y) ® P(x,y),

where D(x,y) is the distribution of the scatterers' density and p(x,y) is

the PSF of the imaging system. In eq. (1), ® denotes the operation of the
convolution. The mutual correlation coefficient C between the B-mode image
and the reference image is given by eq. (2) after making the average bright-
ness of both images zero.

~(R(x,y)·B(x,y»
C (2)

In case the density of the scatterers is low, the correlation coefficient is

large and nearly equals to 1.0. On the contrary, in case of high density,
the speckle arises on the B-mode image and the correlation coefficient be-
comes small. In the range of the speckle region, the speckle becomes
dominant on the image and the correlation coefficient seems to be very small.

The 2-dimensional computer simulation is performed using an approximate

model of the ultrasonic pulse-echo imaging system for the point scatterers.
In this model, assuming that the impulse wave is transmitted from the
transducer, the impulse response to the phantom is calculated first. Next,
this impulse response is convoluted with the ultrasonic pulse waveform
transmitted from the transducer, and then the echo signal is given. The ar-
rangement of the simulation phantom and the transducer is shown in Fig. 1.
This phantom consists of point scatterers distributed randomly in a region
40mm x 20mm (the scatterer region). A region 25mm x 15mm (the image region)
is imaged with 50 scanning lines, and an B-mode image of 50 x 30pixels
(1 pixel = O. 5mm x O. 5mm) is obtained. The aperture of the transducer is 10mm
and has a concave shape focused on a point 50mm ahead. The ultrasonic pulse
wave has a center frequency 1 -6MHz and a Gaussian envelope whose half-
amplitude level is changed from 0.44MS (6MHz) to 2.64MS (1MHz) according to
the cent~r frequency. The density of the scatterers is changed from
0.004/mm to 100.0/mm 2 and the mutual correlation coefficient between the
obtained B-mode image and the reference image mentioned above is calculated
using eq. (1) and (2). In this computer simulation, the attenuation and the
multiple scatter of the ultrasonic wave is ignored. Further, it is assumed
that the sound speed is 1500m/s.

Image Region
Scalterer Region

>oi:~'----- 45mm ---7t e:-~4;

Tra~nsducer
: _ _ _ _ __ ~ __ .

,
~ -_---i-
, .. - .
,,
, I

o ~F~ i <ff5mm'~.')
25mm ;.; . :, .. ,:-..."
-20mm~
Fig. 1. Arrangement of the simulation phantom and the transducer.

110
 Fig. 2 describes the relationship between the density of the scatterers
and the correlation coefficient. The parameter is the center frequency of
the ultrasonic pulse wave. At every frequency, the correlation coefficient
decreases and approaches zero as the density of the scatterers increases.
The lower the frequency is, the earlier the correlation coefficient
diminishes. As a result of similar computer simulations, in which the pulse
duration, the aperture of the transducer and the focal length are the
parameters, it is found that the condition for the speckle region depends
on each parameter of the imaging system and that the speckle region tends to
be caused by larger PSF size of the imaging system. Fig. 3 describes the
relationship between the density of the scatterers normalized by the size of
PSF and the correlation coefficient. The size of PSF is defined as the area
where the value of PSF is larger than a tenth of the maximum value here. If
the range where the correlation coefficient is smaller than 0.1 is regarded
as the speckle region, it is found from this figure that the speckle region
arises when more than about 10 scatterers exist within the size of the PSF.

1.0
C
CI> 1.0 MHz
~ 3.5 MHz
Qj
0 6.0 MHz
u
c 0.5
.2
~....
0
u
0.0
0.001 100 1000
Scatterers' Density [scatterers/mm 2 ]

Fig. 2. Relationship between the density of the scatterers and the

correlation coefficient. The parameter is the center frequency
of the ultrasonic pulse wave.

1.0 o

cCI>
~
Qj
o
u
c 0.5
.2
~
....~ o
8 0.1 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -3{;
0.0
0.001 0.01 0.1 10 0 100 0 1000

Scatterers' Density [scatterers/size of PSF]

Fig. 3. Relationship between the density of the scatterers normalized by
the size of PSF and the correlation coefficient.

11 1
EXTRA-SPECKLE CONDITION

As mentioned above, when the scatterers reach a certain density and are
distributed randomly, the speckle becomes dominant on the B-mode image and
the interference pattern does not coincide with the distribution of the
scatterers itself. On the contrary, when the scatterers are distributed
with some regularity, the obtained interference pattern reflects the
regularity of this distribution even though the density of the scatterers
may be high. Such a state of the scatterers' distribution is named "extra-
speckle condition". Assuming that the phantoms are constructed from the
point scatterers whose distribution is both regular and random, the statis-
tics of interference patterns in the extra-speckle condition is investigated
by computer simulation in which the degree of randomness is a parameter.

As shown in Fig. 4(a), the configuration of the triangular matrix is

first regarded as the regular distribution of the scatterers. In this
figure, the black points indicate the scatterers. Next, the degree of ran-
domness r is defined as the range of the scatterers' ability to move
randomly, in order to add a random character to this regularity, and the
degree of regularity is smoothly varied by changing this degree of random-
ness r. As seen in Fig. 4(b), the degree of randomness r=O.5 means that the
distance R between two opposite sides of the small hexagons, which indicate
the range of the scatterers' ability to move randomly, equals one half of
the interval G of the scatterers' matrix. Incidentally, when r=O, the range
becomes 0 and the distribution of the scatterers is completely regular.
When r=1, the distribution is regarded as virtually random (refer to Fig.
4(c)) •

The properties of the interference patterns appearing on the ultrasonic

B-mode images is ~xamined using the model described in Fig. 4. The signal
to noise ratio 1 ,2} (SNR) of the B-mode image defined by the following equa-
tion is utilized as the statistics of the interference patterns here.

SNR = J..I./ u ,

where J..I. is the average amplitude of the 2-dimensional B-mode image and u is
the standard deviation of the amplitude •

• G .
~
:~:

(--<"--'( --T-"-<-"-"1
.
,
. . . (. _...L...... . . . r·· . ·).. . . . . . ·r·/· .
1 :

r=O r =0.5 r =1
(R =0) (R=t G) (R=G)

(a) (b) (c)

Fig. 4. Concept of the degree of randomness of the scatterers'

distribution.

112
 The phantom used here consists of scatterers distributed in a region
20mm x 1Omm. A region 1 5mm x 8mm is imaged with 75 scanning lines, and an B-
mode image of 75 x 80pixels (1pixel = O.2mmxO.1mm) is obtained. The
ultrasonic pulse wave has a center frequency 3MHz and a Gaussian envelope
whose ha15-amplitude level is O.89~s. The density of the scatterers is 0.75
- 12.5/mm. The degree of randomness r is changed from 0 to 1 and the SNR
of the obtained respective B-mode images is calculated using eq. (3).

Fig. 5 describes the relationship between the SNR and the degree of
randomness. In this figure, the parameter is the density of the scatterers.
Each plot shows the mean value of 10 samples obtained by changing the dis-
tribution of the scatterers 10 times when their density is 0.75, 1.0, and
1.25scatterers/mm2 • The higher the density of the scatterers is, the larger
the SNR of the image becomes. At every density, however, the SNR decreases
monotonously and approaches 1.91, which is the theoretical value of the SNR
for random scatterers 1 ,2), as the degree of randomness increases. The
degree of randomness of the scatterers' distribution can thus be estimated
from the SNR of the B-mode image when the density of the scatterers is known.

CONCLUSION

In this paper, the condition for the speckle region where the speckle is
dominant on the ultrasonic B-mode image was examined quantitatively first,
using the mutual correlation coefficient of the B-mode image and the
reference image which was the distribution of the scatterers' density con-
voluted with the PSF of the imaging system. As a result of the computer
simulation, it was found that the condition for the speckle region depends
on each parameter of the imaging system and that the speckle region arises
when more than about 10 scatterers exist within the size of the PSF.
Secondly, the statistics of interference patterns such as the speckle in the
extra-speckle condition, where the B-mode image reflects the regularity of
the scatterers' distribution, was investigated by the computer simulation.
It was clarified that the SNR of the image decreases monotonously and ap-

0.75scottererslmm1
....0,....,0-

~ 1.0 scotterers/mm1
20 _ _ 1.2Sscottererslmm1
........... 7.Sscottererslm m1
-++- 10.0scotterers/mm 1
- - - 12.5scotterers/mm 1
15

0::
Vi 10

o 0.5 1.0
Randomness
Fig. 5. Relationship between the SNR of the B-mode image and the degree
of randomness of scatterer distribution. The parameter is the
density of the scatterers.

113
proaches 1.91 as the degree of randomness increases. It was also learned
that the degree of regularity of the scatterers' distribution can be es-
timated from the SNR of the B-mode image when the density of the scatterers
is known.

REFERENCES

1. C. B. Burckhardt, Speckle in Ultrasound B-mode Scans, IEEE Trans. Sonics

& Ultrason. SU-25:1 (1978).
2. R. F. Wagner, S. W. Smith, J. M. Sandrik and H. Lopez, Statistics of
Speckle on Ultrasound B-seans, IEEE Trans. Sonies & Ultrason. 30:156
(1983) •

114
 DIRECf AND INVERSE SCATTERING IN 3-D FLUID MEDIA

P. Grassin and B. Duchene

Equipe Electromagnetisme, Laboratoire des Signaux et Systemes
CNRS - ESE, Plateau de Moulon, 91192 Gif-sur-Yvette Cedex, France

INTRODUCTION

Since a few years now, we have been involved in ultrasonic imaging of

inhomogeneous 2-D fluid media from experimental and synthetically generated data by
means of diffraction tomography [1,2]. We investigate herein transmission mode diffraction
tomography of 3-D media from single-frequency multiview synthetic data. Two different
techniques are considered. First, we apply a Fourier domain interpolation technique [3]
derived from the "generalized projection slice theorem" which provides images of the object
under investigation in a very efficient way, as it is based upon FFT algorithms. However,
when the weak scattering approximations (Born's and Rytov's ones) fail, no quantitative
information on the object parameters can be inferred from these images, as the reconstructed
quantity depends both on the field and on the parameters. Such a quantitative information
can be obtained with the second technique presented here. It is based upon an iterative
solution of the non-linear ill-posed inverse scattering problem [4,5], through a linearization
and a Tikhonov regularization procedure [6,7]. This technique is much more time
consuming than the first one. However, the convergence of the iterative process can be
speeded-up by introducing "a priori" information (which can be obtained from the first
technique) in the initial guess of the solution required by the process.

MODEL

Let us consider a 3-D fluid object Q (sound velocity Cn (x,y,z), propagation constant
kn (x,y,z», immersed in a homogeneous fluid medium DO (sound vel<?city Co' propagation
constant k o), and illuminated by a time-harmonic plane wave Po ( e -JOlt), whose direction
of propagation kolies in the x-y plane at an angle e with respect to the x-axis. The density
fluctuations are neglected. The scalar pressure P(M) observed at any M = (x,y,z) is given by
the following integral representation:

Acoustical Imaging, Volume 19

Edited by H. Ermen and H.-P. HaJjes, Plenum Press, New York 1992 11 5
 P(M) = PO(M) + In In(M') G(M, 111') dM'

(1)
In(M)=X(M) P(M) , X(M) = k,A(M)-kt

where Po is the incident field (i.e. the field that exists in the absence of object), I n
represents the fictitious sources induced within the object and depends upon the velocity
contrast X(M), and G(M, M') is the 3-D free space Green's function.

THE FORWARD PROBLEM

We look for the scattered field on a probing plane, the object Q and the incident field Po
being known. It is obtained from eq.(l) by applying the method of moments with pulse
basis and point matching. Q is divided into N elementary cubic cells Ai of same size, with
side oA of length small compared to the wavelength A.o. In each cell, contrast and pressure
are assumed constant. This yields N linear equations, where the unknowns are the fields at
centers Mi of cells Ai :

L
N
P(Mi) = Po (Mi) + X(Mj) P(lIf.i) Gi(Mi, 1If.i)
j=l
(2)
Gi(Mi, 1If.i) = 1
t1j
G (Mi, 111') dM'

The linear system (2) is solved by using a conjugate - gradient algorithm or Neumann series
expansion (for low contrast cases), the discrete convolution products being rapidly
estimated, at each iteration, by Fast-Fourier-Transforms. Once this system solved, the field
is easily calculated at Mr on the probing plane by using the discrete counterpart of (1).

THE INVERSE PROBLEM

From measurements, in the transmission mode, of the field P(M r) on a probing plane
perpendicular to ko, we now aim at imaging the object by means of diffraction tomography
techniques.

A) FOURIER DOMAIN RECONSTRUCTION

First we define the scattered field on the probing plane \{I(xr 'Yr ,zr) = P(~) - Po~) and
the normalized induced sources <I>(x,y,z) = J(M)/ P 0(M). Then, we denote their 2-D and 3-D
Fourier transforms as 1jI(<lyr ' (l:zr) and (D(Il, v, y). By introducing the spectral representation
of Green's function in equation (1), it can be shown that ~ and ci> are related by :

This relationship does not hold for the evanescent spectrum, and is defined in the spectral
plane on a half-sphere with radius ko and center ( - ko cos e, - kO sin e, 0). Filling up the

, '6
spectral plane can be achieved by perfonning several "views", i.e. by collecting the data for
different illuminations (different 8). In so doing, <i> is obtained on a family of half-spheres.
Once the spectral plane is filled-up the spectral data are interpolated from the set of half-
spheres towards a regular mesh via nearest-neighbor interpolation, and a 3-D inverse Fast-
Fourier-Transform provides the sources <1>. These sources allow us to draw an image of the
object. However, as they depend both on the object parameters and on the field, unless the
first-order Born's approximation holds, quantitative information on the object parameters
cannot be inferred from <1>.

Figure 1. Images of a spherical shell (inner radius = AO' thickness = Ad2, velocity
en = 1560 mls) immersed in water. Transverse (a) and longitudinal (b,c) cross-
sections of the sphere built-up from 1 view (a,b), andfrom 12 views (c).

Numerical results: The operating frequency is 2 MHz. The object studied is a spherical shell
(inner radius = AD, thickness = ArJ2, velocity Cn = 1560 m/s) surrounded and filledcin with
water (CO = 1470 mis, wavelength AD = .735 mm). The scattered field is measured with
32 x 32 receivers (sampling step = ArJ2, distance probing plane - object center: "r = 3 AD).
Figure 1 shows the modulus of the sources <I> displayed in gray levels in the transverse (y-z)
plane (Fig. 1.a) and in the longitudinal (x-y) plane (Fig. l.b), built-up from 1 view. The true
boundaries of the object are shown in full lines. It can be seen that the transverse resolution
is acceptable, whereas, due to the lack of spectral information, the longitudinal resolution is
poor. The latter can be improved by performing several views, as shown in Fig. 1.c, which
depicts longitudinal cross-sections of the sphere built up from 12 views.

B) LINEARIZATION AND REGULARIZATION TECHNIQUE

P=AX (4)
Let us write eq.(I) in an operator form :

We are now searching the velocity contrast X through a direct inversion of (4). As is well
known, this problem is highly non-linear and ill-posed, and a first step consists in
linearizing it. By neglecting the second-order quantities, the variations o':I:' of the scattered
field ':I:', induced by small variations OX of the contrast X, are then linearly related to OX :

where (5)

G r being similar to G i (defined in eq.(2», with Mr replacing M i , and P being the field within
the object. To deal with ill-posed ness, a standard Tikhonov regularization procedure is
applied. The problem is then to find a solution cSx such that:

, , 7
 (6)

where a is a regularization parameter. Such a solution is given by :

(7)

where I is the identity and D* the adjoint of D. The solution X is then constructed iteratively
as follows:
1) choose an initial guess Xo of the contrast Xm : Xm = Xo
2) solve the forward problem (2) with this Xm, which provides the scattered field 0/ m
3) compute the variation o\f'm = \f'm - 0/ between this '¥ m and the data \f'
4) find the solution OXm of (6) which corresponds to 8'¥ m' obtain the new estimate
Xm+ 1 = Xm + 8Xm ' and return to step 2) with m = m+ 1.

The process is stopped when o\f'm is "small enough", i.e. when ERR(O/) < 10- 7, with
ERR (P) = (118P F / I P 12t2 . Let us notice that D and a
m are updated at each iteration m.
Indeed, the value of a controls the regularization; it should be strong enough at the
beginning of the process, when we are far from the solution, and should progressively
decrease as we get closer to it, in order to avoid loss of resolution.

The convergence of this process can be improved in several ways, and particularly by
introducing "a priori" infOImation on the object in the initial guess Xo of the contrast. Taking
into account several views yields also a faster convergence of the process, although the
overall computation time is much greater; o\f' then contains the data corresponding to the
different views, which are processed simultaneously, D being modified accordingly.

1438 1497 15 16 1536 1555 r 1575 1594 1614

water velocity (m/s) object

Figure 2. 8-view image of a Ao-sided cube. The velocity obtained after the ]SI, 31d and 41h
iteration (2 nd , 3"1 and 41h column) for 2 different initial guesses of the velocity
(lSI row) which correspond to no "a priori" information (top) and "a priori"

information extractedfrom the Fourier domain reconstruction (bottom).

118
 a Figure 3. The normalized a
mean-square error of the
-2 contrast X (logJOERR(X) = -2
squares) and of the field
-4 P (logloERR(P) = dots) -4
vs. the number of
-6 iterations during the -6
~~
process without (left) and
-8 15 with "a priori" information -8
0 5 10 0 5 10 15
ITERATION (right). ITERATION

Numerical results: The configuration studied is the same as in A), except that the object is
now a Ao-sided cube divided in 5 x 5 x 5 cubic cells, and that the probing plane consists of
16 X 16 receivers. Figure 2 shows images of the longitudinal (x-y) cross-section of the
object built up from 8 views. The velocity is displayed within a 7 X 7 - cell image domain.
The process has been applied with two different initial guesses of the contrast XO' and the
corresponding results are displayed in rows: the upper row corresponds to no "a priori"
information (i.e. all cells are initially taken as water), whereas the lower one corresponds to
an initial guess obtained with the Fourier domain reconstruction technique, by considering
that the Born approximation holds. The first column shows the initial guesses, and the 2m,
3Id and 4th column show the results obtained after the 1st, 3Id and 4th iteration respectively.
As is expected, we observe that the process converges faster when some "a priori"
information is introduced, since the final image (where the velocity is obtained with an error
of about 20 m/s) is reached after 4 iterations, whereas 6 iterations are needed to get the same
results without "a priori" information. Furthermore the criterion ERR(,¥) < 10-7 is fulfilled
after 8 iterations in the first case, and after 11 iterations in the other, as shown in Figure 3
which depicts ERR(,¥) and ERR(x) vs. the number of iterations. ERR(X) is defined like
ERR('¥) with X replacing \f' and describes the normalized mean-square error of the
reconstructed velocity contrast.

REFERENCES
[1] B. Duchene et aI., "Acoustical imaging of 2D fluid targets buried in a half-space: a D.T.
approach", IEEE Trans. Ferroelec. Freq. Control, UFFC-34 , 5 , pp. 540-549, 1987.
[2] W.Tabbara et aI., "Diffraction tomography: contribution to the analysis of some
applications in microwaves and ultrasonics", Inverse Prob., 1. , pp. 305-33 I, 1988.
[3] R.K. Mueller et 01., "A new approach to acoustic tomography using diffraction
techniques", Acoustical Imaging, A.F. Metherell Ed.,.8., pp. 615-628, 1980.
[4 J A. Roger, "Theoretical study and numerical resolution of inverse problems via the
functional derivatives", in Inverse Methods in Electromagnetic Imaging - Part I, W. M.
Boerner et aI. Eds., D. Reidel Publishing Co, Dordrecht, pp. 111 - 120, 1985.
[5J J.P. Hugonin et aI., "Quantitative reconstruction of complex permittivity distributions by
means of microwave tomography", in Inverse Methods in Action, P.C. Sabatier Ed.,
Springer- Verlag, Berlin, pp. 302-310, 1990.
[6J M. Bertero et aI., "Linear inverse problems with discrete data: II. Stability and
regularization", Inverse Prob., 1., pp. 573-594 , 1988.
[7J A.N. Tikhonov et Y.Y Arsanine, in Methodes de Resolution de Problemes Mal-poses,
Mir, Moscou, 1976.

1 19
 A TEMPORAL-SPATIAL CORRELATION THEORY AND EXPERIMENT

FOR VISUALIZATION OF ULTRASONIC WAVEFRONT

Ming Yi, Xuanmin Yang, Li Zhu, Jinfu Gan

Department of Physics
Nanjing University
Sanjing, 210008, P. R. China

I NTROmTT I ON

Visualization of ultrasonic field is special interest for non-destruc-

tive evaluation, acousto-optic information processing, non-linear acous-
tics, etc. Early ~orks are showing the intensity distribution of low
frequency acoustic field by schlieren melhod which is based on geometric
optics idea of rays bending[l]. And the wavefront of ultrasonic traveling
waves which involves the important phase information could be visualized
by stroboscope technique[2]. The methods were also based on geometric
optics idea. But in the higher frequency range, these theories of visuali-
zing the ultrasonic wavefront are imperfect or confused, or the cost is
high, and the results are not in real time.

Now we have developed a perfect theory to visualize the ultra-

sonic wa,efront by optical correlation technique for which we have
considered both the spatial and the temporal frequency spectrum and on
which, various spatial filtering techniques for the phase to amplitude
conversion have been developed.

THEORY

According to Abbe's theory[3], a transparent or partial transparent

object illuminated by a normally incident coherent plane light, acts as a
diffraction grating, the transition from the object to the image involves
two spatial Fourier transformations. First, the wave is diffracted by the
illuminated object and gives rise to a Fraunhofer diffraction pattern of the
grating in the back focal plane of the lens. It is the Fourier spectrum of
the grating. Each kind of grating-like object has its own Fourier spectrum.
In the second stage, every point in the focal plane, or called Fourier fre-
quency spectrum plane, may be considered to be a center of a coherent se-
condary disturbance, whose strength is proportional to the amplitude at that
point, and the light that proceed from these secondary sources will then
interfere with each other and will give rise to the image of the object in
the image plane or display plane. It is the Fourier transformation of the
fourier spectrum of the grating.

The general spatial filtering techniques for imaging a fix object

were adopted to visualize the moving phase object, such as acoustic standing

Acoustical Tmaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 1 21
waves, ultrasonic traveling waves illuminated by pulse light. The results
are not satisfied and the filtering theory is ambiguous. The key point is
that temporal frequencies in every diffraction orders for the fixed grating-
like object are the same. However, there are different temporal frequencies
in the different diffraction orders for the moving gratings. In the light
of the temporal correlation theory, only the diffraction orders with the
same temporal frequencies could give the non-zero temporal correlation
values on the display or image plane. nd every temporal frequency has its
own phase relationship between diffraction orders.

1. The Fourier Spectrum of Some Moving Phase Gratings

For an isotropic homogeneous medium traversed by a plane acoustic

traveling wave, the transmitted optical field illuminated by a normally inci-
dent plane light wave of angular frequency of w. is given by:

Et(r, ,t) cI... exp[jw.t-j6 NkLsin(n t-it.r, )] (1)

where k the wave number of the incident light wave, L the length of acousto-
optic interaction, 6N is the peak change of refractive index by sound.

The Fraunhofer diffraction optical field at the back focal plane rz

of the lens can be written as:

(2)

Substituting Eq.(l) into Eq.(2), we could get the Fourier frequency spectrum
of acoustic traveling wave as following:

J5exp( -jpK. r; )exp(jkr;. ~ If ) dr, (3)

where (5 = I:>. NkL , p the integer and where we have used the identical
equation of:

(4)

Obviously, Eq.(3) is superposition of different plane lights and the sign of

the amplitude coefficient represents its relative phase.

For acoustic traveling waves[4], different orders or spatial frequency

spectrum have different temporal frequencies. So the temporal correlation
values between the diffraction orGers equal to zero, and no interference
pattern is valid in image plane on time-average.

For acoustic standing wave, there is a similar equation as Eq.(3):

E s( r2 ,t) oZ exp( jw.t )~.i-l)~f (p )Jfr(p )exp[j (p+q)n.t]

:ffexp[-j(p-q)k.r.]exp(j~.fj/f)d~ (5)

we ca.n see that all the odd orders involve the same temporal frequency
spectrum and all the even orders involve the same temporal frequency spec-
trum. Therefore, the odd orders are coherent with each other and so do the
even orders.

122
 Although the odd orders and the even orders are incoherent with each
other, but the imaging patterns may be produced only by either odd or even
orders and they are in phase. So the superposed intensity distribution has
the spatial information of acoustic standing wavefront and no filtering is
required.

2. Changing Temporal Frequency Spectrum By Temporal Correlation Technique

As we mentioned above, for monochromatic incident light, the

different diffraction orders of the acoustic traveling waves are inco-
herent with each other. One way is the use of short pulse illuminating
techniques which does not get a time-average image but an instantaneous
one. However, we developed anew idea, if the temporal frequency spectrum
could be changed by using a modulated light to illuminate acoustic trave-
ling wavefront and take suitable filtering techniques, then we can get a
stable wavefront imaging. This is so called temporal correlation tech-
nique(Fig.1).

The modulated light can be obtained by amplitude modulation or phase

modulation as following:

EM(r ,t) = [A + Bexp(+jnt) + Cexp(-j..n. t)]exp(jw.t) (6)

where Eq.(6) presents the phase modulation if Band C are of the same sign,
but it is the amplitude modulation if contrary.

Take EM(r ,t) of Eq.(6) to replace the monochromatic light in Eq.(3),

we get the new Fraunhofer diffraction optical field at the back focal plane
ri as:
Et(r;,t)C<{[A + Bexp(+j1lt) + Cexp(-j..n.t)]exp(jw.t)}
• {exp (j w. t) .:E (-ll J p ( r> ) exp ( j p,nt) }
.{]] exp(-jpK'n )exp(jkr,. r./f)dr,} (7)

In Eq.(7), after 5J term has been integrated, the result is that the
modulated light diffracted into different spatial orders, each spatial
order has different temporal frequencies (Table 1). The same frequency
components of different spatial orders can interfere with each other.
Thus, it may be giving a stable image of the object.

Table 1

Amplitude Coefficient of Different Frequencies and Orders

Diffracted Spatial Spectrum Frequency Shift

order

m r~ : = m1\,f~ 0 fl -{l 2.0 -2.0

1 r~ : = A.f~ -CJ, (r-» -AJ, ([3) -BJ. ( (3)
0 -,
r"
I
I = 0 AJ o (l3) BJ. «(3) CJ. «(3)
-1 r~ : = -)...f!p. -BJ_, (f3) -AJ_1 «(3) -CJ_1 (f3)

123
 Modulator Filter

Fig.1

3. Spatial filtering technique based on temporal correlation theory

We only consider the main part of Eq.(7), which means considering

components of and in Table 1, we can get at image plan r :

I = C [2(BJ o )2+ 2(CJ 1 )2._ 4ABJ o J, COS(k.r,) - 4ACJ.J 1 COS(k.r)l (8)

= C [2(BJ o )2+ 2(CJ I )2_ 4ABJ o J 1 COS(k'r,) + 4ACJ.J,COS(i{.r-Jr l]

it is obvious that there is the image pattern of traveling wavefront

(COS (}(. i\) ) at plane ra without spatial filtering for Band C are of the
same sign, which means phase modulation. But for Band C are not of the
same sign, which corresponds to amplitude modulation, there will be no
pattern at all. The reason of no image is two pattern terms are in oppo-
site phase. But if screen off +1 or -1 order, there only leave(B~)2+
4ABJo J, COS(1{.r,) and so image is valid. Another way to filter is the well-
known Phase Contrast method. It is just to change J. to J o ' expO Jt/2) ,
which corresponding to change Eq(8) as:

I = J~ -2Jo J, COS(r· r,-V2) +2J o J, COS(r.r+~/2)

= J; -4J o J, COS(l<.r,)

Physically, the former corresponds to screen off one pattern, the later to
shift each pattern in opposite direction forn'/.2 . Of course, the quality of
the image by Phase Contrast is much better, but its disadvantages are
the difficulty for manufacturing process and its phase error which effect
the image quality directly. We developed T phase plate to replace~/2plate,
to change the first order light's phase instead to change that of the zero,
which corresponds to add phase in the fourth term of Eq.(8). Thus the two
patterns can also be in the same phase. The advantage is the plate size is
not required too strict. Another advantage is less error than ~ /2 phase
plate. It means with the same accuracy, one can obtain higher image quality
using 7r plate filtering. This concept can also be used in optical visuali-
zation of general phase object.

We also could use Beat Frequency Modulation to change the temporal

frequency spectrum. The modulated light should be:

E = exp[j (w. -.flI2)t] - exp[j (wo +S%)t]

The advantage of beat frequency modulation is no filtering needed.

124
 Photo I Photo 2

RESULTS OF EXPERIMENTS

The results of experiments based on above theory are showed in a series

of photos and the general optical set up is as Fig.l.

Photo 1 is the image of bulk ultrasonic traveling wavefront with fre-

quency of 34 MHz by A-O modulator[ 5] . Two transducers have been made for it.
Photo 2 shows the image of a focal SAW wavefront with frequency of 34 MHz
by E-O modulator[6). These two method are based on amplitude modulation.

CONCLUSION

Obviously, our theory and technique are different from the pulsed
light illuminating technique and general spatial filtering technique
for the moving grating phase object. It has potential theoretical
significance in optics and acoustics, and applications in non-destructive
evaluation, acousto-optic information processing, nonlinear acoustics, etc.

REFERENCE

1. G. I. A. Stegeman, III. Optical Probing of surface Waves and Surface

Wave Devices, IEEE Transactions On Sonics and Ultrasonics, Vol. SU-23,
No.1, Jan. 1976, p.33-63.
2. Zeng-min Sun, et aI, Visualization of Ultrasonic field by Pulsed Laser
Physics, Vol.7, No.7, 1978, p.231-233.
3. Max Born & Emil wolf, PRINCIPLES OF OPTICS, Sixth edition, p.419.
4. Ming Yi, Xuan-ming Yang, et aI, Laser Correlation Imaging of UHF
Acoustic Standing Wavefront, Acta Optica Sinica, Vol.7, No.2, p.175-180
5. Ming Yi, Xuan-ming Yang, et aI, Visual ization of UHF Acoustic Traveling
Wavefront by CW Laser: Theory and Experiment of Spatial and Temporal
Correlation, Chinese Journal Of Acoustics, Vol.7, No.1, p.64-73.
6. Ming Yi, Xuan-ming Yang, et aI, A Novel Temporal Correlator-Display
Ultrasonic Traveling Wavefront by Electrooptic Modulator, Acta Optica
Sinica, Vol.9, No.9, p.853-859

125
THE SHADOW BEHIND ROTATIONAL RIGID AND ELASTIC BODIES

IMMERSED IN FLUIDS - COMPUTED AND MEASURED

L.Filipczynski, T.Kujawska, T.Waszczuk

Department of Ultrasonics, Institute of Fundamental

Technological Research. Polish Academy of Sciences
Swi~tokrzyska 21, 00-049 Warsaw, Poland

INTRODUCTION

In many problems of hydroacoustics and in medical ultrasonics one

obtains the shadow image which contains information about the detected
target. However, the lack of simple quantitative relationships between
the shadow and the target size does not allow to draw conclusions con-
cerning the detected target. The purpose of the present paper is to show
our attemps to fill the existing information gap by deriving the formulae
for the shadow range as a function of the target size and the applied
wave length in the case of simplest rotational rigid and elastic bodies.

THE SHADOW BEHIND RIGID CYLINDERS AND SPHERES

Assuming a continuous plane wave incident on rotational bodies we

have computed acoustic pressure distributions behind those bodies in the
form of directivity diagrams. Fig.1 shows as an example such a diagram
computed in the case of a rigid cylinder as the sum of the incident plane
wave pressure p. and the reflected wave pressure p . The corresponding
analyticRI expr~ssions for the two waves were usedrin the form given by
Rchevkin 1 . The computations were carried out for various v~lues of
ka = 12 to 630 where k = 2 Jt I A, A is the wave length in the surrOU:l-
ding fluid and a - radius of the cylinder.

In this way we could determine the shadow range defined as the dis-
tance behind the body center at which the acoustical pressure decreases
6 dB in respect to the incident wave pressure. The computations have
shown an almost linear dependence between the relative shadow range
r_ndB/a and the ka parameter in the case of rigid bodies. It was pos-
siDle to determine the equation of the straight line fitted best to the
set of numerical data shown in Fig.2 (line C, black points).

(In the following text the parameter ka will be expressed by means

of the Jt value. Expression of this kind is very illustrative since
in such a case the number at Jt denotes the number of wave lengths
equal to the cylinder (or sphere) diameter).

Acoustical bnnging. Volume 19

Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 127
 o 0 I 0 I 0

o 0.2 0.4 0.6 O.S 1.2

Fig.1. Directivity diagram showing the acoustics pressure

distribution computed behind a rigid cylinder for
ka = 8 It in the distance of r = 10 a. The angle steps
are equal to ~lp= 0.10

That equation has the form

r_ 6dB /a = a ka + b (1)

where a = 1. 98 ~ 0.01 -4.27 ~ 0.70 for rigid cylinders.

Hence one obtains the absolute shadow range

r- 6dB = 12.4 a 2 /A - 4.27 a for ka ~ 41t: (2)

The errors caused by eq.(l) when compared with exact computed values
are shown in Table 1.

Table 1. The computed relative shadow range N = r_ 6dB /a

and deviations in % when calculated from
eqs (1) and (4) for a rigid cylinder

ka 41t: 81t: 151t: 401t: 1001t:

N 21.7 46 89 240 620

N-eq. (1)%
N 0
5.0 1.1 -0.04 -1. 0 0.4

N-eq. (4)%
N 0
-14 -7.8 -4.5 -3.3 0

128
 .000 --,-, ----r-----,--------',-----,--

500
r_ 6dB
-~--'t----+----+-----:::o~--+-----b~

--- - - - ----+--------+-----7"""----+-----------+::::,__- - - - - 1 - - - - - - 1

5O'r-------4--~~~------~-.~~-~--------1------

5~ ______ ~_L~ _ __L~_L-J__ _L __ __ L_ _~~_ _ _ _~L_~~~

ka
2 4 5 6 8.0 20 40 50 .00)( 1i 200

Fig.2. Relative shadow range computed in the function of ka.

C - for rigid cylinders (black points) approximated
by the straight line r_6dB/a = 1.98 ka. S - for rigid
spheres (black points) approximated by the full line
r_6dB/a = 0.57 a and for steel spheres (empty
circles) approximated by the dashed line
r_6dB/a = 0.55 a

!or rigid ~pheres we hav~ derived formerly the same equation 2 with
a = 0.568 - 0.002 and b = -1.02 ± 0.48. Afterwards it was
verified experimentally3.

THE SHADOW BEHIND AN ELASTIC SPHERE

We have considered spheres made of steel with density 9 = 7.8 g/cm 3 ,

longitudinal and transverse wave speeds c L = 5.9 km/s and cT = 3.26 km/s,
respectively. The acoustic pressure behind the elastic sphere was
computed as the sum of the incident plane and reflected waves. The latter
ones have a much more complicated form when compared with the case of
rigid spheres. The corresponding analytical formulae were taken from
the paper of Hasegawa 4 . Computing directivity diagrams of acoustic pres-
sures behind steel spheres we have determined the relative shadow range
r-6dB/a in the function of ka. The obtained results are shown in Fig.2
by empty circles. They form a curve oscillating around a straight
(dashed) line which can be expressed by eq.(l) where = 0.553 ± 0.002 a
and b = -0.849 ± 0.344. The amplitude of oscillations decreases with
increasing values of ka. One can show that the average deviation
from the drawn dashed line is smaller than 20% for ka ~ IOn
decreasing quickly for higher values of ka. Thus one obtains the average
value of the absolute shadow range for the steel sphere immersed in
water equal to

r- 6dB (3)

129
 ell
~--- -----
M
WT ---+- y r

Fig.3. System for measurements of pressure distributions

behind the cylinder

MEASUREMENTS

Measurements of the acoustic pressure distribution behind the cy-

linder were performed in the system shown in Fig.3. A steel cylinder (C)
5 mm in dia was used as an approximate model of a rigid one. The ultra-
sonic wave 2.4 MHz was generated by means of a probe (P) with a piezo-
electric transducer 11 mm in dia. To ensure the steady state the
measurement pulse system MATEC (M) was employed. The distance between
the probe and the cylinder equaled 1 = 3S cm. To suppress harmonics
generated due to nonlinear propagation effects in water a filter (F) was
applied. Measurements of acoustic pressure amplitudes were carried out
by means of a PVDF membrane hydrophone (H), amplifier (A) and oscillos-
cope (0). The diameter of the active hydrophone electrode was equal to
0.5 mm. The probe and the cylinder were immovable while the hydrophone
was mechanically coupled with the water tank (WT). The tank was placed
on the table (T) of a workshop microscope being shifted by a micrometer
screw. The measurements were performed for various off-axis (y) and (r)
distances.

Fig.4 presents the measurement results obtained for ka = sn.

p. denotes the signal level of the incident plane wave, E is the expe-
rimentally determined pressure distribution at the distance r = 52 a
corresponding to the shadow range. The computations showed the shadow
range to be r = 46 a (dotted curve). The shapes of experimental and
computed curves are similar; minima and maxima are situated at the
same off-axis distance showing the same levels if one takes into account
the measured incident wave level Pi'

In computations of acoustic pressure distributions behind rigid

and elastic bodies the number of reflected partial cylindrical or spheri-
cal waves - which form infinitive series - was taken very high reaching
the value of m = 500 depending of the ka parameter.

CONCLUSIONS

It was shown that the shadow range behind a rigid cylinder can be
found from the derived eq. (2). Measurements for ka = sn showed a

130
 p,
• ."Oa, .....

A
.
,/'A 1 (110mVpp)

.;y ~ p(
} !J ~ ....
.
OdS

'\ ~-"/ ;1"

.(
~" I
- - - - 1---"":: PE
L- _ _ _
--- -6dS

-8 o 8 y[mm)

Fig.4. Acoustic pressure distribution behind a cylinder for ka = 8TI

at the distance r-6dB' E - determined experimentally for
a steel cylinder (r-6dB 52 a), T - theoretically for
a rigid cylinder (r-6dB 46 a), Pi - measured level of
the incident plane wave

13% deviation from computed values (Fig.4). For ka ~ 7TI the second
term in eq. (2) can be practically neglected. Then one obtains the
following approximate expressions:

for rigid cylinders r- 6dB (4)

2
while for rigid spheres (5)

The computations show that for an elastic steel sphere in water the
shadow range oscillates around the average value equal to

(6)

The derived formulae (1) - (6) make it possible to characterize

the shadow in a simple way and therefore to estimate the potentiality
and effectivness of the ultrasonic methods which utilize the shadow
effect.

References

1. S.N.Rshevkin, "Lectures on theory of acoustics", Moscow

University, Moscow (1960) p.304-305 (in Russian).
2. L.Filipczyriski, T.Kujawska, Acoustical shadow behind
a sphere immersed in water II, Arch.Acoustics, 14:
181 (1989).
3. L.Filipczyriski, T.Kujawska, T.Waszczuk, The shadow
behind a sphere immersed in water - maesured,
estimated and computed. IEEE UFFC 38:35 (1991).
4. T.Hasegawa, Comparison of two solutions for acoustic
radiation pressure on a sphere, J.Acoust.Soc.Am. 61:
1445 (1977).

131
ASYMPTOTIC AND EXPERIMENTAL ANALYSIS OF THE NONSPECULAR REFLECTION OF

FOCUSING ULTRASONIC BEAMS FROM FLUID-SOLID INTERFACE

Theodore E. Matikas
WL/MLLP
Materials Laboratory, NDE Branch
Wright-Paterson Air Force Base, OR 45433-6533

INTRODUCTION

The interest of the use of ultrasonic focusing beams for NOT

applications, particularly in the case of the reflection acoustic
microscope, has led to the necessity of the study of the reflection of
focusing beams.

In 1985, H.L.Bertoni et aLl, studied the reflection of convergent

beams on a liquid-solid interface in the Rayleigh incidence using the
hypothesis of a well collimated beam. They obtained the position of the
focal point of the reflected beam and forecast a lateral and axial
displacement. This model has a number of advantages (simplicity and
amenability to analytical solution), but it is difficult to apply in the
form proposed by the authors to beams having more pronounced convergence,
and an angle of incidence different from the Rayleigh angle.

In 1986, P.B.Nagy et a1.2, verified the axial displacement by means

of Schlieren photography.

In this paper, we extend the previous theories in the following

sense : (i) we introduced the notion of the caustic of the acoustic beam.
(ii) An asymptotic evaluation of the reflected field was obtained by
means of the stationary phase method applied to the Fourier
representations. This allows one to explore the reflected pressure in a
region which is not limited to the interface alone, and thus obtain a
spatial knowledge of the reflected beam. (iii) A distortion of the
caustic of the reflected beam was observed in the neighbourhood of the
Rayleigh angle of incidence, including a lateral and axial displacement
of the focal point of the beam. At the Rayleigh incidence, the lateral
displacement is maximum; although the axial one is not nil, in comparison
to the length of the focal spot it is negligeable and thus experimentally
not detectable for this particular incidence. (iv) The nonspecu1ar
reflection of a focusing beam due to the existence of the Rayleigh wave
(singularity on the real axis), occurs for any angle of incidence. For
incidences near the Rayleigh angle, a part of the caustic, the acoustic
axis, and the focal point are displaced; for another incidence, a

AcousticalllMging. Volume 19
Edited by H. Ennert and H.-P. HaJjes. Plenum Press. New York 1992 133
different part of the reflected beam would be modified.
(v) Moreover, we verify experimentally both lateral and axial
displacements of the focalisation point by means of a cartography of the
reflected beam.

MODELISATION OF THE REFLECTED FIELD

In order to describe the nonspecular reflection of focusing

acoustic beams onto a plane liquid-solid interface, we assume that the
incident field is given by a Gaussian distribution of the normal velocity
along the plane of the emitter :

t 2
( 1) (-ik sineo x )
e a e(-iwt)

80 : focalisation angle

and that the characteristic width of the beam, a, is large compared to

the emission wave-length, k, (short wave hypothesis, ka»l).

Let us consider the configuration of the figure 1 .

.71 X·

Figure 1. Coordonates definition

The reflected pressure field can be described by means of a Fourier

rep~esentation 3

1 ( k a )
(2) P ref (x' ,z') = C J+CO R(k x ') F(k x ') e dk x •

-co

where R(k x ' ) is the plane-wave reflection coefficient.

134
The reflection coefficient has one pole in the complex
kx'-plane, where k R ,-sin(6 1 -6 R ) is denoted the real part of this pole (6 R
is the Rayleigh critical angle). For the special case of the Rayleigh
incidence, the pole becomes purely imaginary. Moreover, it is always
possible to develop the reflection coefficient in phase-modulus and
regrouping the phase with the function fro
In the neighbourhood of the Rayleigh pole (which is a singularity in the
complex plane), the modulus of the reflection coefficient tends towards
infinity (when kx'->kp. we have IRI->+oo), whereas the phase is regular.
In the neighbourhood of the Rayleigh angle of incidence (which is a
singularity on the real axis), the phase of the reflection coefficient
varies rapidly, whereas the modulus remains regular.

By applying the stationary point method, the asymptotic expansion

of the integral (2) is given by :

e
[(4
(3)

where : ""Yt are denoted the stationary points (or saddle-points) of the
function fro (n=3 inside the focalisation zone, and n=l outside this
zone) .
The general reflected caustic is thus given by :

In ~'(~j) _~; ~"(~j »Z/3 1 n ~"(~; »Z 13

(4) (A.+ - ~ k + 2:
1 n 1=1 a n i .. l ka J

cp', cp" : first and second derivatives of R.

In the case of an incidence near the Rayleigh angle, following the
expression (4) and expanding ""Yt about zero, we can deduce the modified
part of this caustic and thus the position of the reflected focal point.
By comparing this position with those of the specular focal point, we
deduce the lateral, L, and axial, Ax, displacements of the focal point:

(5)

(6)
Ax '" ~·(O>
ka"'" ka
where kI=sin/JI

135
We must note that if at least one saddle-point remains in the
neighbourhood of kR" in spite of an incidence far from the Rayleigh
angle, there are points in the physical space for which the reflected
field would be modified in comparison to values deduced from geometrical
acoustics.

EXPERIMENTAL VERIFICATION OF THE LATERAL AND AXIAL DISPLACEMENTS OF THE

REFLECTED FOCAL POINT

The experimental device contains a water tank, at the bottom of

which a piece of aluminium, shaped according to the schema in figure 2,
is immersed.

Ole IlLOSeOP£

Xo
Yo
Zo

.loro-oontrole
. , I f ••

X.

Figure 2. Configuration of the experimental device

The gradient of the piece of aluminium denoted 9 1 , corresponds to the

angle of incidence of the beam. We used four pieces of aluminium with
different slopes
9 1 -28.5° 9 1 -32.5° 9 1 -38° 9 I -9R=30. 5 ° where Sa is the Rayleigh
critical angle for aluminium.

The emission part contains a 5MHz focusing transducer.

The reception part contains a miniature probe. We use this probe as a

wide-band point receiver to investigate the propagation in water of short
pulses from the emitter transducer. This transducer-receiver is linked to
a micro-control system controled by PC computer. Thus the miniature probe
can be moved in three directions Xo Yo 2 0 , Automatic scanning
enables the probe to carry out a displacement consisting of one movement
following Yo thence 20, in such a way that the global displacement
remains parallel to the surface of the piece of aluminium.

136
The signal received is filtered through a "high pass" filter of 300 KHz,
thence digitalized by means of a spectrum analyser. Once digitalized, the
signal is windowed on 2048 points, then saved in the form of a file on
the hard disc.
During the displacement of the receptor-probe we temporize, and we stock
the digitalization of the preceding point.
This experimental process presents two advantages for the accuracy of the
results
a) The beam verticality in respect of the bottom of the tank being
ensured, the shape of the aluminium pieces enables us to determine the
angle of incidence of the beam with great precision.
b) The digitalization being carried out once the captor is fixed, the
signal may be averaged out.

To each point in the plane (x,z) containing the reflected beam

corresponds a time signal. In order to determine the focal point of the
reflected beam and to evaluate the lateral and axial shifts, we carry out
successively a Fast Fourier Transform thence a computation of the
amplitude of the signal at the SMHz emitting frequency.
A softwork enables us to go from the initial file of three variables (two
spatial variables : x , z and time) and one parameter (the amplitude of
the signal depending on time), to an output file of two variables
(spatials x and z) and one parameter (amplitude of the signal at
SMHz).
The figures 3 and 4 represent the trace by isolevels of the output file,
for different angles of incidence. Thus we obtain the cartography of the
reflected field 4.
Figure 3 represents the reflected field for an angle of incidence
of 38° (far from the Rayleigh angle). We deduce no lateral or axial
shift; this result corresponds to that of the geometric acoustics.
Figure 4 represents the reflected field for an angle of incidence
of 30. So, which corresponds to the Rayleigh angle. We deduce no axial
shift and a lateral one of about S.S Mm.
For an angle of incidence of 28.So and 32.So (in the neighbourhood
of the ayleigh angle) we deduced a lateral shift of about 3mm, and an
axial one of -43mm and 4Smm respectively.

CONCLUSION

In this paper we have studied the structure of the reflected field

when focusing Gaussian beam is incident onto a liquid-solid interface. An
analytical expression of the reflected pressure field was obtained by
means of the asymptotic method of stationary phase based on the short
wave hypothesis; this expression is valid for any incidence. A
modification of the structure of the reflected focusing beam in

137
 o
I\<>
, 11
, II
, II
,11
, 11
, II
, II
, II
' ll
' ll
, II
, \I
,II

I,
a J[ ,
,\I ,
, It
"UiJ,h _1
x~ .11 E+02 y- .166E +02 100:
J
• t r,puT.TTt; It

...
NI

F~ gure 3

<- .1 +02 ya .J1-E+02

,
• V
.
Fi gu r e 4

138
comparison to geometric acoustics was observed for any incidence; in
particular, for the Rayleigh incidence, the nonspecular phenomena concern
a part of the reflected caustic including the focal point. Simple
expressions of the axial and lateral displacements of the focal point
were obtained, and led to a numeric quantification. These results were
verified experimentaly by means of a cartography of the reflected beam.
In the case of the reflection of a focusing beam there is no reradiation
of a leaky Rayleigh wave (responsible for the nonspecular reflection of a
parallel beam5 ); here nonspecular phenomena are due to the abrupt
variation of the phase of the reflection coefficient in the neighbourhood
of the Rayleigh angle.

BIBLIOGRAPHY

1. H.L.Bertoni, C.W.Hsue, T.Tamir, Nonspecular reflection of convergent

beams from liquid-solid interface, Trait. Sign., 2 (3,Spec.), 201-205,
(1985).
2. P.B.Nagy, C.Cho, L.Adler, Focal shift of convergent ultrasonic beams
reflected from a liquid-solid interface, J. Acoust. Soc. Am. 81 (4),
835-839, April 1987.
3. T. E.Matikas, M.Rousseau, Ph. Gatignol , "Theoretical analysis for the
reflection of a focusing ultrasonic beam on a fluid-solid interface",
IEEE Transactions on Ultrasonics, Ferroelectrics, and Frequency
Control, submitted.
4. T.E.Matikas, M.Rousseau, Ph. Gatignol, "Experimental study of focusing
ultrasonic beams reflected on a fluid-solid interface in the
neighbourhood of the Rayleigh incidence", Journal of Acoust. Soc. of
America, submitted.
5. M.Rousseau, Ph. Gatignol, "Short wave analysis for the reflection of
bounded acoustic beams onto liquid-solid interfaces at the Rayleigh
incidence," J.Acoust.Soc.Am., 78, 1859-1867, (1985).

139
THEORETICAL MODELISATION OF TIME-REVERSAL CAVITIES,

APPLICATION TO SELF-FOCUSSING IN INHOMOGENEOUS MEDIA

D. Cassereau and M. Fink

Laboratoire Ondes et Acoustique, Universite Paris VII, ESPCI
10 rue Vauq~elin, 75231 Paris Cedex OS, France

I:\TTRODUCTION
It is well known that the focussing of an ultrasonic beam on a target is a difficult
operation since it requires a previous localization. The problem is increased if the
propagation medium shows local inhomogeneities (spatial variations of the compres-
sibility and/or density) since, in that case, the acoustic beam is distorted. In sllch
condi tions, the localization of the target is not enough to optimize focussing.
I'iTe just mention here one of the focussing techniques using the receiving nlOde method
with an array of independant transducers. The target generates a divergent spherical
wave that is received by the array. The different time-signals are cross-correlated to
extract a time-delay law information; this time-delay law is then llsed in the emitting
mode to generate an acoustic beam focussed on the target position. This method
provides an efficient focussing for a weakly inhomogeneous medium located near the
transducer array. In real situations, inhomogeneities are generally spread in the whole
yolume and are not necessarily weak, such that the time-signals are delayed, but also
distorted.
In order to take into account these effects, we have developped a more general aud
efficient approach that consists in it time-reversal process. Similar problen1s have been
:;twlied in Optics using phase-conjugation mirrors to compensate the phase distortiolls
of the waycfront due to inhomogeneities. The time-reversal process can be understood
as an extension of the phase-conjugation concept to broadband pulsed signals.
At the last IEEE Ultrasonics Symposium (Hawaii 1990), we have present,ed the concept
of closecl time-reversal cavi ty that provides a bet tel' understanding of the tinw-Hc\'Crsal
prucess iLndleads to a thcoreticallimitation of self-focussing. In this paper, we pl'ec;ent
an extension of this concept to an inhomogeneous propagation meclillln.

THE CLOSED TIME-REVERSAL CAVITY

III this section, we describe the basic principles and assumptions that we cOllsider in
the frame of the concept of closed time-reversal cavity. The problem we arc interested
in consists in focussing through an inhornogeneous mecliurn an acoustic pressure field
OIl a target located in the inside of the cavity. The time-reversal process preselltecl
here is a two-steps process.
During the first or recording step, the target is considered as a point-like sonrce of an
ultra.sonic wave. In n10re realistic situations, the target can not be considered as all
active source of ultrasound. In such case, it is enough to consider that the pressure
field generated by the target results from the scattering of an incident beam. The
propagation medium contains weak inhomogeneities that arc supposed to be inscribecl
in a finite region of space. The wave emitted by the target propagates and is distorted

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes. Plenum Press, New York 1992 141
through the interaction with the inhomogeneities; the pressure field and its normal
derivative are recorded from an infinite set of elementary transducers located on the
surface of the closed cavity surrounding the target and the inhomogeneities.
Once the pressure field and its normal derivative are recorded, the cavity acts as a
time-reversal mirror, generating on its surface secondary sources (monopole and dipole
sources) that correspond to the time-reversed components of the pressure field recorded
during the first step. It results from the new boundary conditions on the cavity
surface that a pressure field back-propagates in the inside of the cavity. Our objective
consists in the computation of this pressure field. As an important consequence of
this computation, we will verify that the acoustic field generated during the second
or reconstruction step is focussed on the initial target position after back-propagation
through the weak inhomogeneous layer.
The two steps of the time-reversal process are illustrated by the following figure. S
and V respectively correspond to the surface and the inside volume of the cavity, ii
is the normal vector to S oriented outward. The dot-filled area corresponds to the
region of space that contains the inhomogeneities.

I FIRST STEP I I SEaJND STEP I

THE BASIC PROPAGATION EQUATION

We consider a homogeneous medium of compressibility", and density P that contains
inhomogeneities inscribed in a finite region of space R. The inhomogeneities are des-
cribed through functions of space defined as the relative variations of compressibility
and density with respect to the corresponding homogeneous parameters. We define

rp ( r
~) _ Pier) - P
- (~) and
Pi r
where c is the homogeneous propagation speed defined by c = (pK,)-1/2.
The wave equation for the pressure field per,
t) can be classically written as

(1)
The term on the right-hand side of Eq.(l) can be formally considered as a source term
since it represents sources of scattered sound produced by the interaction between
the sound wave per, t) and the inhomogeneities; but it does not represent any new
energy being introduced into the field. In order to have more simple expressions of
the pressure field, we introduce the formal operator A(r) defined by

142
 (:2)
\Ve also define
( - - ) =4 1-1 _Ivc ( t+E If' - ro I) ,
G c/dr,ro,t
7r r - ro c
corresponding to an impulse diverging (G d , E = -1) and converging (G e , E +1)
spherical wave; these two distributions both satisfy the same equation

THE FIRST OR RECORDING STEP

In the first step, we consider a point-like source located at the origin of spatial coor-
dinates. It results from Eqs.(l) and (2) that the pressure field per, t) generated by the
source satisfies the wave equation

(\7 2 -- Ott)p(r, t) = -<p(t)8(r) - A(r)·p(r, t), (3)

where <PIt) represents the temporal variations of the source excitation; it is supposed
to be real, causal and defined (i.e. not zero) inside a finite time-interval [0, T¢J. If the
pressure field propagates in a free unbounded medium, the solution to Eq.(3) can be
found in the transitory regime as

where * is the time-convolution operator. Looking at this equation, it is interesting to

note that the expression of the pressure field per, t) shows two tenns. The first onc,
poe r, t), corresponds to a divergent spherical wave launched froIn the source posi tioll
(the pressure field reduces to this term if the medium is homogencous), and thc second
onc results from the interaction between the inhomogeneities and the sound field .. If
we consider a weakly inholTlOgeneous medium, we can give an alternate form of E(d 4)
resulting from an extension in the time domain of the First Born Approximatioll
(FBA). It is well known that the FBA is only valid in the low frequency range, such
that it is not possible to extend this concept in the impulse regime. Since the temporal
function <p(t) generally works as a low-pass filter, it is enough to insure the validity
of the FBA in the whole frequency range contained in the spectrum of <p( t). In such
conditions, using the FBA for the different freq11encies ane! inverse Fouricr transform
the obtained equation, the preSS11rc field given in Eq.( 4) can be rewri t ten as

(0)

Thc recording surface S is a closed cavity surrounding the source and the whole ,"oI1lIllC
R containing the inhomogencitics. \Ve suppose that the cavity does not pcrturl) tlw
propagation of the pressure field, such that the infinite free-space hypothesis renlilins
valid. \Ve also suppose that the cavity is able to measure the pressure field ane! its
normal derivative at any point of its surface. Defining d m as the greatest distance
between the diffcrent sources (origin and sources of scattered sound) and the cavity
surface 5,
d m = max(lrl, Iro 1+ Ir - ro I), (r E S, ru E R.)
it results from Eq.(5) that the recorded field vanishes at any point of the cavity surface
S for any observation time t > T = Td> + dm/c.

143
THE SECOND OR RECONSTRUCTION STEP
In the second step, we suppose that we are able to create secondary sources (monopole
and dipole sources) on the cavity surface that correspond to the time-reversed compo-
nents of the pressure field recorded during the first step. To insure causality, the
transformation can be described by (t ===> T - t). The surface sources generated on
the cavity are given by

a1(r,t) =p(r,T-t),
{
ao(r, t) = n· V per, T - t),
where n is the normal vector to S oriented outward (away from the cavity) ; al and
ao represent the discontinuity of the pressure field and its normal derivative across the
cavity surface.
The object source is now removed or remains passive. It results from the new boundary
conditions on S that a time-reversed pressure field, Ptr(r, t), back-propagates in the
whole 3D volume. Similarly to Eq.(3), the time-reversed pressure field satisfies the
wave equation

Starting from this equation, it is possible to give a closed form solution to the time-
reversed pressure field Ptr(r, t) as a function of the surface sources:

Ptr(r, t) =
inr [A(ro)·Ptr(ro, t)] * Gd(r, ro, t)d3ro+
is [ao(ro, t) * Gd(r, ro, t) - al (ro, t) * no· VoGd(r, fa, t)] d2ro.
(6)

Using the Green's theorem, the surface integral over S in Eq.(6) can be changed to
a volume integral over the volume V enclosed by S (inside of the cavity). Using the
different propagation equations, the definition of the secondary sources on S, and
after some computation steps that we do not present here, we can give a very simple
expression of the time-reversed pressure field as

Ptr(r, t) = K(r, t) * </J(T - t), (7)

where the kernel distribution K(r, t) is defined by

K(r, t) = Ge(r, 6, t) - Gd(r, 6, t)+

inr [A(ro).Ge(ro, 6, t)] * Ge(r, ro, t)d3ro

-in [A(ro).Gd(ro, 6, t)] * Gd(r, ro, t) d3ro.

(8)

As in the preceeding section, we have used the extended FBA in the time domain to
reduce the obtained expression of the time-reversed pressure field, and to avoid an
expression that requires the knowledge of the pressure field itself. It is interesting to
note that Eqs.(5) and (8) show very similar structures. In both cases, the pressure field
shows a first term (zero-order term of the FBA) that corresponds to a propagation in
a homogeneous medium, and a second term that depends on the inhomogeneities. In
Eq.(5), the first-order term is directly related to the zero-order one, while in Eq.(8), it
can not be reduced in a simple form depending only on the inhomogeneities and the
zero-order term. This difference can be understood since the time· reversed pressure
field depends on itself, but also on the pressure field that propagates in the first step
of the process through the secondary sources generated on the cavity surface.
It results from Eqs.(7) and (8) that the time-reversed pressure field varies linearly (in
the sense of the linear system theory) with respect to </J(T - t) and not with respect

144
to <p(t). This result is llot surprising and is important if the time-reversal process has
to be investigated in the frequency space.
The first two terms of the kernel distribution 1((r, t) exactly correspond to the results
obtained in the case of a homogeneous propagation medium. They can be interpreted
as the difference of two spherical waves, converging and diverging from the initial
source position. It is important to understand that the kernel distribution does not
have to be necessarily causal ; the causality of the time-reversed pressure field is
insured by the convolution with <p(T - t). The last two terms can be understood as
correction terms that depend on the inhomogeneities through volume integrals.
The expression of the kernel distribution 1((r, t) given in Eq.(S) can be rewritten in a
more simple way if there are no inhomogeneities in density (1'p(r) = 0). In such a case,
the formal operator A(r) does not have any other effect on spatial variables than a
simple multiplication, and the time-convolutions in Eq.(S) can be directly evaluated.
After some elementary computations, we obtain

, _ 1
A(rt)=--8 iii) - - -1 8 ( t - iii)
( t+- - ---1x
'471"1i1 c 471"Irl c 1671"2
{) 1 1_ I
tt
'R.
1',,(ro)
ro x 1- -I
r - ro
[8(t + v(r,ro))
c
-8(t _1)(r,ro
c
))]d
3_
ro,
(9)

with 1)(r,ro) = liol + Ir - rol. Looking at this expression, it is easy to verify that
1((r, -t) = -K(r, t), such that the kernel distribution is an odd function of time. The
correction term consists in a volume integral with Dirac distributions. For a specific
observation point r and time t > 0, the only points of space that have a contribution
to the correction term are such that VCr, ro) = ct. This equation describes a surface in
the 3D volume that has to be intersected with the volume n
containing the inhomo-
geneities. If the observation point is located at the origin, the above surface reduces
to a sphere, centered at the origin, whose diameter ct increases with time. Otherwise,
the surface is an ellipsoid with a symmetry axis given by the observation point po-
sition with respect to the origin (r direction). The ellipsoi·d can be characterized by
two focusses i5 and r with a major axis and a minor axis respectively given by ct and
J c2 t 2 - 1i1 2 (This relation implies that ct ;::: iii, otherwise the surface reduces to the
empty set).
In practice, if we want to compute the kernel distribution for an observation point
r, we start from t = 0 and progressively increase the value of the observation time.
The above surface grows with t (diameter of the sphere or major Iminor axis of the
ellipsoid) and is intersected with the volume n.
The resulting surface contains all
the inhomogeneities that have a contribution to the correction term of the kernel
distribution at rand t. The last step consists in the evaluation of the integral over
this surface.

INTERPRETATION OF THE RESULTS

In this section, we are going to give an interpretation of the obtained results and try
to justify the FBA. To do that, we prefer an approach in the frequency space. Taking
the Fourier transform of Eq.(9), we obtain

1'(-) 1 . sln
I. r,w = - 2I-I
J 71" r
. (wlrl)
--
C
w
+ -J S 22
71" C
·
2
1'R.
I-I 1',,(ro) . [W(I_
1- -I sln
ro x r - ro
- ro I + 1-
C
- I)]
r-ro d3 roo
-

The first term of this expression implies a maximum available resolution in the self-
focussing process given by the half wavelength; it results directly from the superposi-
tion of two spherical waves, converging to and diverging from the origin. Concerning
the correction term, we now suppose that the region n containing the inhomogeneities
is located far from the origin and we consider an observation point in the neighboo-
rhood of the initial source position. Under these conditions, we can replace Ir - ro I

145
by If'o I in the volume integral of the preceeding equation. In order to evaluate the
influence of the correction term, we finally suppose that IK(ro) has the spherical sym-
metry, such that it reduces to

w2
- .- 2
2J7rc
1=
0
. (2wro)
IK(ro)sm --
c
dro·

We now consider the characteristic dimension L of the whole region R containing the
inhomogeneities, and the characteristic distance l for which the function It< shows
significative variations. This function can be written as the sum of a constant and
another function I~ whose mean value is zero. The constant leads to a first term
resulting from the integration of the sin function over an interval of length L ; this
term is negligible as soon as the condition kL ~ 1 (k is the wavenumber defined by
k = w / c) is satisfied. Considerinp; that the FBA is a low frequency approximation. the
second term is also negligible if I~ varies much more rapidly than the sin function, such
that we obtain the condition kl ~ 1. In fact, it is possible to give a single condition
k2lL ~ 1. We obtain here a very classical justification of the FBA.
Under these conditions, the correction term is negligible and the time-reversed pressure
field reduces to the difference of two spherical waves.
In the time-reversal process, we take into account the pressure field that propagates
during the first step to determine the secondary sources (monopole and dipole sources)
generated on the cavity surface during the second step. In particular, we take into
account the distortions introduced by the interaction of the acoustic wave with the
inhomogeneities. An interesting analysis consists in computing the pressure field gene-
rated in the inside of the cavity from a standard focussing technique. By example, in
transmitting from the cavity boundaries the ideal waveform which would converge on
the target in the case of a homogeneous medium. This is equivalent to a spherical fo-
cussing through the aberrating layer, taking only into account the spatial localization
of the target (ignoring in such case that the propagation medium contains inhomo-
geneities). In such a situation, we can verify that the generated pressure field shows
different terms, one corresponding to the propagation in a homogeneous medium (the
difference of two spherical waves as previously mentionned), and different correction
terms that can not be neglected in the same way as above, therefore contributing to a
strong focussing aberration. These results are interesting since they clearly illllstrate
that the time-reversal of the distorted pressure field provides a better focussing than
a more classical technique. These results will be presented in a forward publication.

CONCLUSION
In this paper,. we have presented an extension of the closed time-reversal cavity to
self-focussing in inhomogeneous media. The different computations and results have
been presented in the frame of the FBA that is not always valid. A more detailled
analysis of the preceeding equations can prove that the time-reversal process leads to
a better focussing than a classical method ignoring the distortions introduced in the
first step. We are now working to extend these conclusions to more realistic cases,
particularly if the FBA can not be used. The same problem will be treated in the
case of plane time-reversal mirrors, that do not surround completely the target and
the propagation medium, but that are also more realistic from the experimental point
of vue.

REFERENCES
[1] P.M. Morse and KU. Ingard, Theoretical Acoustics (McGraw-Hill 1968).
[2] R.P. Porter, "Image Formation with Arbitrary Holographic Type Surfaces", Phys.
Letters 29A, 193-194 (1969).
[3] R.P. Porter, "Diffraction-Limited, Scalar Image Formation with Holograms of
Arbitrary Shape", J. Opt. Soc. Am. 60, 1051-1059 (1970).
[4] G.S. Agarwal and E. Wolf, "Theory of Phase Conjugation with ·Weak Scatterers",
J. Opt. Soc. Am 72, 321-326 (1982).

146
 [5] RP. Porter and A.J. Devaney, "Holography and the Inverse Source Problem", J.
Opt. Soc. Am 72, 327-330 (1982).
[6] RP. Porter and A.J. Devaney, "Generalized Holography and Computational So-
lutions to Inverse Source Problems", J. Opt. Soc. Am 72,1707-1713 (1982).
[7] R Mittra and T.M. Habashy, "Theory of Wave-Front Distortion Correction by
Phase Conjugation", J. Opt. Soc. Am 1, 1103-1109 (1984).
[8] M. Fink and al., "Self-Focussing in Inhomogeneous Media with Time-Reversal
Acoustic Mirrors", Proceedings of the IEEE Ultrasonics Symposium, 681-686
(1989).
[9] D. Cassereau and al., "Limits of Self-Focussing Using Closed Time-Reversal Cavi-
ties and Mirrors - Theory and Experiment", IEEE- Ultrasonics Symposium (1990).
[10] F. Wu and al., "Experimental Progress of Ultrasonic Time-Reversal Mirrors", to
be published in the same issue.

147
 ACOUSTIC SELF-IMAGING IN RESILIENTLY LINED WAVEGUIDES

G. Timann and D. Guicking

Drittes Physikalisches Institut der Universitat Gottingen

Bilrgerstr. 42/44
D-3400 G6ttingen

Introd uction

Experimental and theoretical studies of certain types of multimode acoustical (like the wa-
vepropagation in the SOFAR-Channel in deap sea [1]) and electromagnetic (especially ill optical
fibers [2)) wcweguides have shown their capability of reproducing an image of an object placed in
the entrant. plane in a discrete sequence of so-called in-phase cross sections. This "self-imaging"
effect can be understood to result from a constructive interference of the waveguide-modes which
are excited by the object. Each mode propagates along the guide with its own characteristic
phase velocity. Therefore the modes soon become dephased. An image plane is determined
then by tIle condition that the accumulated phase differences between any two excited modes
arc approxima.tely lIlultiplien of 2rr. Under that condition, the superposition of the modal fields
ill diP image plane is the same as in the object plane, and a self-image is formed. If the spa-
cing hl'twePli I. lip propagation constants not depends heavily on the frequence of the source and
therefore tIll' dependence of the distances betweell self-images on frequency is negligible, the
self-imaging effect is called self-focusing. Consequently, self-imaging occurs in different planes
for different wavelength, while for self-focusing thl' picture fields at all wavelength are essentially
focllsed at the same planes. Thus self-imaging applies to monochromatic fields only, whereas
self-focusing applies to polychromatic fields, which is more suitable for relaying images with au
optical waveguide.
Till now the self-imaging effekt has been found only for special waveguides and short di-
Rtances. [n this paper we will show that self-imaging exists in every waveguide with discrete
pILa.se velocities of t.he guided modes and demoJJStrate it 011 experiments with a soull"d-soft lined,
lVal.!'r·filled duct with a quadratic cross section. It will be also shown (only theoretical), that
self-irnagill[!; is possible for larf~e diRtances.

ACouslicallmaging. Volume 19
Edited by H. Ermert and H.-P. Hatjes. Plenum Press. New York 1992 149
Waveguides, a Theorem from Number Theory and the Self-Imaging Effect

From the mathematical viewpoint the wavefield 1jJ(x, y, z, t) from many linear electromagne-
tic and acoustical waveguides with translation-invariancy along the z-axis and harmonic time-
depency exp( -iwt) of the source can be described by the separation-assumption 1jJ( x, y, z, t) =
'P( x, y, k) . exp (i(kz - wi)) and the solutions of the twodimensional Helmholz equation

- \1;'P(x, y, k) + ( - C2~~ y) + k 2 ) 'P(x, y, k) =0 (1)

with a posibily existing boundary condition of the form 0 'P(x, y, k)\s + (3 a'P(;~y,k) Is = 0,
(0, (3 reell numbers), where 'P(x,y,k) may be the z-component Ez(x,y,k) or Bz(x,y,k) of the
vector E or jj in the electomagnetic respectively the pressure p(x,y,k) in the acoustical case,
\1; = \7 2 - \1; is a Laplacian in transverse coordinates, c( x, y) the place-dependent velocity
of propagation, w the frequence of the source and :n
the derivation along the normal on the
boundary 8. This holds for all waveguides filled with an isotropic media without shear stress in
the acoutical and with \7-,-(1
C X,Y
):::::: 0 in the electromagnetic case. Equation (1) has the same form
as the time-independend Schr6dinger-equation with the eigenvalues k 2 and a potential function
"!:,:)'
V(a.·, y) proportional to c 2 This analogy with quantum mechanics show already, that waves
are guided, when the potential V(x,y) has at least one minimum (the boundary conditions can
be seen as walls). It also show, that only discrete modes 'Pm(x, y) with discrete eigenvalues k;"
are guided and that these modes build a complete orthogonal functionsystem with regard to the
cross section of the waveguide. If the potential goes to positive infinity on both sides, then an
infinty set of modes are bounded in the guide. But only a finite set hasn't negative eigenvalues
k;". The others are damped by exp(ikmz) with imaginary k and can be negligible after a few
wavelengths behind the entance plane. In waveguides with other potentials a continuum of
radiative modes are also excited, but we assume that they carry only a small fraction of the
total energy in the picture field and neglect them accordingly. For that reason the propagation
of an object ijI(x, y, z) in such waveguides can be described by the form

L am'Pm(x, y). ei(kmz-wt) .

M
iJi(x, y, z) = (2)
m=O

Now self-imaging mean, that the picture liJi(x, y, z = oW

placed in the entrant plane z = 0 of
the waveguide will be approximately reproduced in the distance z = L, i.e.

(3)

which ca,ll be seen as the number th<:·oretical problem of finding for all k m a suitable distance L
with
IL(3m - Pml < E: (4)
and nt, 'n = O...M, L(3m := Lkm/(2-rr)- 0,0 from [0,1) a constant phase factor for all modes, Pm
integer, E: ~ 1 the allowed error. One way of solving this problem is so choosing a profile V(x, y),
at. least tlworeticaly, that the the propagation constants k m are equally spaced. But only for two-
dimensional (slab) waveguides tlw potentials VI (x) = - A 2 sech 2 (Bx) and V2(X) = -A 2(2c Bx _
e- 2Bx ) with the equally spaced propagation constants kIm = J A2 + ~B2 - B(m + !) and
k2m = A - B(m + t), were found. Another idea is, expand k m to Taylor's series towards m and

150
 use the first two members to design a linear approximation of /,(m). This form show l'f]11ally
spaced progagation constants as demanded, but the approximation works only good for 1Il0des
with small m. Ifigher modes may demage the picture. Therefore this idea may be usefull only
for waveguides with increasing damping for higher modes, like some optical fibers.
Furthpr methods will be suggested by the number theoretical viewpoint. First we look at the
theorem 200 and 20 I form [3] (proved by Minkowski), which says, that for a given set 6,6, ... , ~M
of real 11nmbers and any positive E, we can find an integer q so that q~m differs from an integer
Pm, for every III, by less then If one ~ at least is irrational, then it has an infinity of sol 11 tions.
E.

Looking now at our number theorectical formulation of the self-imaging condition, we see, that
for every given set of 131, ... ,13M, consequently for every waveguide with discrete propagation
constants k m , distances L can be found, which fulfil the condition (4) with any desired accuracy.
Hence self-imaging can also be watched for large distances L. Furthermore self-focusing may
occur in every waveguide with profiles, which are designed to show an invariabily of k m against
the frequence w. Even this theorem show, that every phase configuration am of the modes can
be reached during the propagation along the waveguide. Consequently, affine transformations
of the picture in the entrant plane seem to be possible in waveguides, whose potential exchange
with the transformation operator. But conversation of the energy and the cross-sectional area in
our waveguides allow only transformations with axial symmetry. Therefore only transformations
T ""ith 7'(ij)(;r,y» = 1Ji(-x,y), T(IJi(x,y» = W(x,-y), T(w(x,y» = W(-x,-y) are possible.
\tVe will call these transformed pictures self-images, too.
These proves show only that self-images exists in every waveguide, but they dOll't show a
way to find the distances L. This can be done only for a concrete example.

Self-Imaging in a Sound-Soft Lined, Waterfilled Duct with Quadratic Cross Sec-

tion

We have checked the above theory on a sound-soft lined, waterfilled channel with a quadratic
cross section (lined with polystyrene foam, dimensions 22cmx22cmx260cm). The advantage
of this waveguide is, that the boundary condition on one side is produced by the air-water
illtnfa.ce so t hat the sound pressure profiles of (,<teh cross section ca.n be scanned by a slllall
hydrophoTle. With the definitions of the on the free-field wavelength A normalized paramters
distance L,\ = L/ /\ and reciprocal lateral dimension a,\ = A/a, the sound pressure distribution
H(;]:, y) ill this waveguide can be described by

m 2 +n 2 ~l/a).
B(x,y,z=L)= L bmn'Pmn(x,y).exp(27riLAy'1-aA(m2+n2)) (5)
m=l,n=l

with the eigenfullctions 'Pmn = sin (m7l"((aA/A)x + !»)

·sin (n7l"((aA/A)x + where the modes !»),
with imaginary square root and therefore without capability of propagation, are leaved out.
The bm71 are in this case the spatial Fourier coefficients of the odd continued entrant pressure
distributioll B(x, y, z = 0). The x- and the y-axis is an axis of symmetry form the waveguide.
Consequently, reflected images are allowed, but the cornmutablity of m 2 + n2 require that both
reflections appear at the same time. Therefore only images transformed by T with T (B( x, y) =
lJ( -:1:, -y) may occur, which is equivalent to a negative phase factor for all odd eigenfunctions,
i.e. for alllllocles with even m and n. The parameters aA and LA must now fulfil for l:l-self-

1 51
 III
M

0
M

III
N

Ija). 0
N

-
m
./
----
0
/'
III

0 to 20 30

Figure 1. Scan of the performance index for 1 :l-self-images with greater then 0.75 in the
black MC'as

III
M

0
M

III
N

0
.-
Ija). N

-
III

-
0

III

o to 20 30

Figure 2. Scan of the performance index for reflected self-images with greater then 0.7.5 in
the black areas

152
 I.
~( lB

( us
:: (1.3

.............:: I.:S

:
.
l
:ii' ~:
, LII
LL.
(U~
<I.U

Figure 3. !\1easured l:l-self-images. "Bild" show the measurement, "MaxBild" the maxi-
mal possible quality of the picture (because the waveguide works like a spatial low-pass) and
"Original" the original picture in the entrant plane

( Orgln.l ) ( Bf ld: . : 0. 060. c:16. 3 )

. .................... . ( U;
::~::::.:.:.:.: ..........'""". . .::~):: : :- t~ Ll'li
~(

.. I
U1

:t.; ~:
'» 1~1 ~~ ( I.
;..... . . ( Ul , L"
.. { U5 L"
: :- ~ til . ~ LLt

~( tn

: ""I ( '"
Llli

( l.lI

. :' . :: {U!i '

Figure 4. Measured reflected self-images. "Bild" show the measurement, "MaxBild" the
maximal possible quality of the picture (because the waveguide works like a spatial low-pass)
and" Original" the original picture in the entrant plane

153
images the condition (4) with L(3mn := L>.Jl - a>.(m2 + n 2) - a for all m,n. The parameters
for reflected self-images must fulfil (4) for odd m,n as shown above, but for even m,n with
L(3mn := L>. Jl - a>.( m 2 + n 2) - a - 0.5, which give a negative sign for all these eigenfunctions.
These conditions build a system of inequalities in the unknown L>. and a.\, which can be
transformed to a linear inequality system by squaring (4). For a given error f intervals for L>.
and a.\ can then be calculated by the following numerical interval nesting procedure. Starting
with the given physical limits of the waveguide (given maximal length and geometry, limited
frequence-intervall of the source), we calculate the solution intervall of the first two inequalities
for given integers Pmn and then the intersection from these intervalls. If the intersection isn't
an empty set, then the intersection with the solution intervall of the first and third inequality
will be computed and so on until all inequalities are used. If during this wayan empty set will
occur, then another integer Pmn will be chosen. At the end we have found intervalls for L.\ and
a.\, which solves the self-imaging conditions. Disadvantage of this approach is the long time for
computing.
Another way to find the parameters of self-imaging is to look at the propagation of pictures
ill the waveguide as a process of spatiallowpass filtering. Imaging in the waveguide can therefore
been seen as a convolution of the spatial impulse response

L exp (21fiL>.Jl - a>.(m2 + n2)) . exp (1fi~ (mx + ny)) (6)

rn 2 +n 2 $1/a>,

with the picture ill the entrant plane. Only the convolution with an approximate delta-peak
will rebuid the entrant picture and therefore we can use
2

L exp (21fiL>.Jl- a>.(m2 + n2)) = maximum (7)

m 2 +n 2 $1/a>,
as til(' performance index for 1:1-images and
2

L exp(21fiL>.Jl-a>.(m 2 +n 2)+i1f(m +n)) =maximum (8)

m 2 +n 2 $1/a>,

a.s tbC' jlC'rforrnancp index for reflected images. Scans of these performance indices are presented
in figlln.· 1 and :2 in a L>.,l/a.\-graph. Figure 3 and 4 show some experimental results of self-
irnages from a test C placed in the entrant plane of the acoustical waveguide, which are in
excellent agreement with computer experiments.
The theory developed in this short paper extends the previously published approaches and
should open further applications particulary in optical imaging with glass fibres; but acoustical
applications in certain areas of ultrasonic inspection appear also possible.

References

[1] A.T.SEMENOV: "Transmission of acoustics images in natural ocean waveguides",

Sov. Pltys.Acoust.27(2),Mar.-Apr. 1981, p.17.1-175.
[2] A.. A.FRIESEM et al: "Parallel Transmission of Images Through Single Optical Fibers",
Proc.of IEEE,71(2),Feb. 1983, p.208-221.
[3] G.H.HARDY, E.M.WlUGHT: An Introduction to the Theory of Numbers", Oxford at
Clarendon Press 1938, p.169

154
PHASE AND AMPLITUDE RECONSTRUCTION OF AN ACOUSTIC SOURCE FROM THE STUDY
OF IT S DIFFRACTION PATTERN

M. H. Rahnavard, D. Dabiri
Electrical Engineering Department, Shiraz University
Shiraz, Iran

ABSTRACT
In this paper a general theory for a class of phase retrieval problems
of two dimensional band 1imitted objects is developed. A modified from of
polynomial division algorithm is used to solve problem. New algorithms for
latent reference point problems and problems with rectangular object is
also developed.
INTRODUCTION
In several branches of science such as astronomy, crystallography and
wavefront sensing, phase retrieval problem is a subject of interest.
In discrete sense it can be stated as follows, knowing absolute value
of discrete Fourier transform of a sequence such as f(m,n), we must recon-
Struct original sequence. Discrete Fourier transform of a two dimensional
sequence f(m,n) which is 1imitted in region 0 < m < J and 0 ~ n ~ k is de-
fined as:
J k . 2rr . 2rr
F(p,q) F {f(m,n)} L L f(m,n)e- J (J+1) mp-J (k+1) nq
m=O n=O
where: p=O, ... , J and q=O, ... ,k
If f(m,n)=ofor k/2 .;;;; n ~ k, J/2 < m < J then inverse discrete Fourier tran-
sform uf IF(p,q) 12 is linear autocorrelation of f(m,n) [1], i.e.
J k *
F- 1 [IF(p,q) 12 ] = rf(m,n)= i~O j~O f(i,j)f (i-m,j-n)
Several algorithms have be~n developed for phase retrieval problem in spe-
cial cases: For example holography method [2], two intensity measurements
[3,4], latent reference point method [1], solution from knowing boundary
conditions, and several iterative methods [5].
In this paper we ueve10p a new method for solving phase retrieval pro-
blem by finding diffraction pattern by a reference point, which includes
latent reference point [1].
In this method we find a recursive algorithm which can be applied in
several cases.
Uniqueness issues are automatically valid by this method. First we

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 155
introduce two theorems which play a centeral rule in our method in this
paper. Then we develop a practical al~orithm.

FORMULATION OF TIlE PROBLEH

It is known that for any two dimensional, band limitted signal, recon-
struction from amplitude knowledge is equivalent to reconstruction from the
hlowledge of autocorrelation sequence. We will try to solve the latter pro-
blem. We denote the original sequence by f(m,n) and its autocorrelation by
rf(m,n) then:

rf(m,n) =.= = f(i,j)f * (i-m,j-n) (1)

1=-00 j=-oo
Now, we introduce this notation: we represent the ith column (or jth row)
by f.(.) (or f·C.)) and whether we are pointing to column or row will be
clartfied fromJcontext. Using this notation equation (1) can be replaced
by
+00
.=
rf(m,n) = 1=-00 f.1 * f.1-m (n) ( 2)

where * denotes crosscorrelation operator.

Repeating Eq (2) for different m we have
r f(J ,n) = f J * fO(n) (3a)
rf(J-l,n)=fJ * fl(n) + f J - l * fO(n) (3b)
r f (J-2,n)=f,J * f 2 (n) + f J - 2 * fO(n) + f J - l * fl (n) (3c)

Taking z-transform of Eq. (3) we obtain:

*
RJ(Z) = FJ(z) FO(l/z *) (4a)
* * * * (4b)
RJ_l(z)=FJ_l(z) FI(I/z )+FJ(z)FO(I/z )
* * * * * *
RJ_2(z)=FJ_2(z)FO(1/z )+FJ (z)F 2 (1/z )+~J-I (z)F l (l/z ) (4c)

In Eq. (4) RJ_m(z) is z-transform of rf(J-m~n) (t~king J-m as parameter)

and F J (z) 1S' z-transform of f J (n). It 1S ObV10US that actually we
, -m * ' *m * _
have z in the expansion of F.(l/z ) not z , and it is replaced by F. (z).
Now we introduce two basic d~finition. 1
Definition: Minimum support of a sequence is the support of sequence
which is a subset of all of its supports.
We consider a one dimensional sequence as a function from integer num-
bers to complex numbers then we can define the length of limitted sequences.
Definition: TIle difference between the largest member of the minimum sup-
port of a one dimensional sequence and the smallest one plus one is called
the length of the limitted sequence for any limitted sequence. We now in-
troduce a theorem which is in fact a generalization of long devision algor-
ithm for polynomials if we allowed them to take negative degree terms. (We
represent the minimum support of X(.) by Q ).
x
Theorem 1:

For any limitted sequences a(n) and ben) there are limitted sequences
ten) and r(n) such that
a(n) ben) * ten) + r(n) ( 5)
where r(n) =0 or L[b(n)) > L [r(n))

1 56
 Ifnr('n C; nb for some fixed n(n f nb) then r(n) and ten) are uni-
que. Also if we know any bounds of nr then r(n) and ten) are unique.
Theorem 2:

If in theorem I we replace the condition L [r(n)]< L[b(n)] by

L [r(n)]~ L [b(n)] and assume that nr C~ then we can determine ten) uni-
quely for nfO but teO) will be ambiguous.
Now we show that above theorems result in practical methods for solv-
ing phase retrievial problem in some special cases.
New Algorithms:
Rectangular region with a seperated point:
An unknown sequence is shown in Fip,ure 1.
Original sequence is bounded in the rectangular region and point Q serves
as a latent (reference) point. At first, point Q belong to region I,III,V
Or VII is considered. Cases with point Q belong to regions II, IV, VI or
VIII are considered later
,Jr~ ~K TIl V'

Jr "
TIl

6", L 1Zl11 J-r.a .",

Fig. 1. Geometry of unknown sequence.

'Vith lack of generalization we suppose that point Q is placed in region I.
We call the unknown sequence f(m,n) and we suppose that the seperated point
is placed at origin. This is the case considered in reference [1]. We will
see later that this is not a restriction to the method.
Now, in first step we compute f(O,O). Without lack of generalization
we can assume that phase of f(O,O) equals zero. It is shown that there is
an intrinsic phase ambiguity (a phase constant) in the problem and we have
[1] • *
2 r f (J,l)rf (l,k)
2
If(O,O) 1 = 1Fo 1 = r f (-j+1,k-1)

which is easily verified by considering the following equations.

r f (J,l) = f(J,l) f * (0,0), r f (l,k) = f(l,k)f * (0,0)
r f (-J+1,k-1) = f(l,k)f * (J,l) (4a)
Eq. (4a) could be rewritten as

RJ(z) = * J(z)
FOF
then FJ(z) is determined and Eq. (4b) is written as follows:
RJ _1 (z) = FJ(z) F1 (z) + F*OFJ _1 (z) (4b)
In above relatio~ ~T_1(z) and F1 (z) are unknown. But assuming that f(J,k)
and f(J,l) are dlfterent from zero then by theorem 2, F1 (z) is ambiguous
only within a constant. But we know from geometry of the support that

157
 F (0) = oor f(l,~)=O. Then Fl (z) is determin~d ~iquely. A~tual­
ly the ass~tio~ f(J,k)tO 1S unnecessary. Because mult1plY1ng both sldes
of Eq. (4b) by z (the largest negative power in (4b)) we get:
(6)

Assume that f(J,l)t 0, and noting that all terms are ordinary polynomials
we get the following result:
k k
deg {z FJ-l (z)} ~ deg {z F/z)} (7)

Then simillar to theorem 2 for ordinary pQlynomials which is obvious in

long devision algorithm we conclude th~t F1 (z) i~ ambiguous only within a
constant. And knowing that f(l,O)=O, Fl (Z) and FJ _ 1 (z) are fully determin-
ed. The object with f(J,l)tO are known as Fiddy-Braim-Dainty objects in
literature [1].
In the same way Eq. (4c) is written as:
RJ _2 (Z)= FJ(z) F2 (z) + F*OFJ _2 (z) + FJ_l(z) Fl (z) ( 4c)
we have found Fl(z) and FJ_l(z). Then we have
1'1 * J-2 (z)
RJ - l (z) =RJ_l(z) - FJ - l (z) Fl (z) = FJ(z) F2 (z) + FOF (8)

The left hand of above equation_is known, then we can proceed in the same
way as.in Eq. (4b), and obtain F2 (z) and FJ _2 (z). So the solution has a
recurS1ve structure.
In each step we find one column (row) from right (top) and one from
left (dOWll) (The same as in reference 1). General recursive formula can
be written as:
m-l
- 1'1
R (z) = R - l: (9)
J-m J-m p=l

In kth step, we find Fm(z) and FJ_m(z).

Now, we generalize this algorithm. All of the above discussion was
true under the condition that the seperated point is at origin. The gen-
eralization to the case that seperated point is located in regions I,III,V
and VII is straightforward.
In the latter case if seperated point moves in vertical (horizontal)
direction it is better to choose row-wise (column-wise) solution because
in this case it does function as a holographic point for a larger class of
rows (columns).
For simplicity we consider the row-wise solution. If the seperated
point enters regions II,IV, VI and VIII one of possible methods is to ex-
tent the kth row of the minmum support in opposite direction.
For example if the seperated point in Fig. (2) is located at point Ql
then
1n.
C-. 4 ,I,

, . ..

..
a." T
-_. __ ..._-_._._-_ .. __ -
.. .... -.-.-.. -.~

tvl

Fig. 2. Geometry of two dimensional band limited object.

158
 C4a)

F*O can be fowld, as follows:

fP ,k) fCO,k) * ClO)

rfCl,k) f(l,O)f(O,k) * (11)

rf(J-l,k) = f(J,k)f * (1,0) (12)
}fultiplying Eq. (11) by Eq. (12) and deviding by (10) resilts in

rf(l,-k)rf(J-l,k)
(13)
rf(J ,0)
Again we assume that phase of FOI equals to zero and from Eq. (4b) in this
case we have:
(4b ')

In (4b') we have ~k-l~~k(~i is minimum support of ith row) and after mul-
tiplyinr, by z, (k-l)th row will shift one step toward left, if we have ex-
tended kth rgw one step toward left then the resultant relation is valid and
Fk_l(z) and Fl(z) are determined without ambiguity.
Extention of above arguement to general case of shifting seperate
point £ steps to right is straight forward.
CONCLUSION
In this paper we developed a recursive solution for a class of phase
retrieval problems. It includes latent reference point method [l]and some
extension of it.
ACKNOWLEDGEMENTS
This research is founded by Grant no. 67-EN-5l9-276 Shiraz University,
Shiraz, Iran. Patience of Mrs. Z. Emami in typing this paper in also fully
acknowledged.

REFERENCES
1. J. R. Fienup, "Reconstruction of obj ects by latent reference point" J.
Opt. Soc. Am. Vol. 73, No. ll,pp. 1421-1426, Nov. 1983.
2. J. W. Goodman, "Analogy between holography and interferometric image
formation" J. Opt. Soc. Am. 60, 506-509, 1970.
3. W. J. Dallas" Digital computation of image complex amplitude from image
diffraction intensity: an alternative to holography, Optik 44 (1975)
No. 1 pp. 45-59.
4. H. E. Hoses, & R. T. Prosser "Phase of complex function from the ampli-
tude of the function and the amplitude of the Fourier and Mellin trans-
form" J. Opt. Soc. Am. Vol. 73, No. 11, pp. 1451-1454, Nov. 1983.
5. Gerechberg &Saxon "A practical algorithm for the determination of
phase from image and differaction plane picture", Optik 35, pp. 237-
246 (1972).

'59
 AN ITERATIVE FILTERED BACKPROJECTION ALGORITHM FOR ULTRASOUND
REFLECTION MODE TOMOGRAPHY

K.K. Xu. C.O. Lan. Y.H. Chen

Wuhan Institute of Physics
Academia Sinica
Wuhan. Hubei
The People's Republic of China

ABSTRACT
Ultrasound reflection mode tomography utilizes the principle of digi-
tal tomography to reconstruct cross sectional images of reflectivity of
objects. In this method. projection data are obtained from an integration
of the reflectivity along the circular arc wavefronts of a fan beam source.
An algorithm based on filtered backprojection method with backprojection
taking place along circular arcs is usually employed for reconstructing
cross sectional images of objects from projection data and a 360 degree
range of view is required.
In this paper. an iterative filtered backprojection algorithm for ul-
trasonic reflection mode tomography is proposed. The theoretical formula
representing the basis for the reconstruction process is established. Ana-
lysis shows that only projection data over a 180 degree range of view are
needed by using this algorithm and good reconstructed images may be ex-
pected. The results of computer simulations are given to illustrate the
effectiveness of the algorithm.

1. INTRODUCTION
Ultrasonic reflection mode tomography which utilizes the principle of
digital tomography to process pulse echo data can image ultrasonic reflec-
tivity of objects. In this method. a fan-beam acoustic transducer. acting
as both source and receiver. emits a broad-band acoustic pulse that propa-
gates into the object to be imaged. pulse echo data are obtained by inte-
grating the reflectivity over circular arcs centered at the transducer and
represent one backscatter projection of the object. In order to reconstruct
cross sectional images of reflectivity of objects. a 360 degree range of
view is required. Norton and linzer' have presented a comprehensive theore-
tical analysis of reflection mode tomography. Dines 2 and Moshfeghi 3 have
developed digital image reconstruction techniques. It is indicated that if
very wideband pulses are used, the process of simple backprojection, per-
formed along circular arcs over a 360 degree range of angle, leads to an
image

'"f(r,e )=«l/r)*f(r.e »+c(r,e ) (1)

Acouslicallmaging. Volume 19
Edited by H. Ermert and H.-P. HaIjes, Plenum Press. New York 1992 161
where f(r.B) is the reflectivity function of the object to be imaged, *
denotes convolution. The first term in Eq. (1) is the usual I/r blurring
term, as in x-ray tomography. The filtered backprojection method similar
to that reported for x-rays is available for removing I/r blurring, but the
error term E(r,8 ) is not eliminated.
In this paper, we derive the relationship between circular arc
projections and straight line projections of an object. Based on this
relationship, we propose an iterative filtered backprojection algorithm
for reflection mode tomography. Theoretical analysis shows that by using
this algorithm the effect of error term may be eliminated and the better
reconstruction is achieved. Furthermore, only projection data over a view
range of 180 degree are needed.

II. BASIC APPROACH

The geometry of reflection mode tomography using fan-beam insonifica-
tion is shown in Fig.I, where the reflectivity function of an object is
expressed by f(x,y). The acoustic transducer moves around the object along
a circle with a radius R. When the acoustic transducer is located at the
point (xo ,Yo ), a projection can be expressed by
p... (R-p ,rp )= 1 f(x,y)ds (2)
(P, 01.) c
where c(p ,« lis the circular arc centered at the point (xo ,Yo ). its
radius is p • By using a d function, this equation is rewritten as follows
(3)
rrom Fig.l we can see that
p =R-t (4)
Here p >0 and -oo<t<R. The Eq. (3) can now be written as
+00
Po(t,rp )= 1 1 f(x,y)d (..I(x-xo )2+(y_yo )2-R+t) dxdy (5)
-00

The Fourier transform of the projection Pc(t,rp) is given by

R.
Pc(w ,rp )= J Pc(t,rp )exp(-jw t)dt (6)
-co
By substituting Eq. (5) into Eq. (6), it results in

Fig.) Geometry for reflection tomography using a fan beam source.

162
 K .. 0:>
Pc(w,cp)=J (JJf(x,y)
-()!f:) --:->?

~ (..,/r-:(.-x---xO---'):"";;2:-+'(-y--y-o--;;,:?Z - R+t) dx dy ) ex p (- j w t) dt (7)

Interchanging the order of integration in Eq. (7) we get
Hl:> K
Pdw )= I I f(x,y) (Jo ~ (J(x-xo )2+(y_yo )2-R+t)exp(-jw t)dtJ dxdy
-=
,cp

=exp (-jw R) i'J f (x,y)exp (jw /(x-xo

-00
) 2+ (Y-Yo ) 2) dxdy (8)
Referring to Fig. I, we have R=~X02+Y02. Therefore, the square root in
Eq. (8) may be expressed as follows:
(9)
We can expand the square root in series. Only the first term is remained
if I (X 2+y2)/R 2-2(xox+yoy)/R 2 I «1. Then Eq. (9) becomes
(t 0)

By substituting Eq. (10) into Eq. (8), it results in

~oo

Pdw ,cp )= I I f(x,y)

-00

with expanding the second exponential in power series, Eq. (11) may be writ-
ten as
.too
Pc (w ,cp ) =-<>0
I I f (x, y) exp (- j (w IR) (xox+YoY») dxdy
.. =
+ I I f (x y) (j (w 12R) (X 2+y2) - (w 2/8R 2 ) (X 2 +y2) 2+ .•.... )
-<l::> '

exp (-j(w IR) (xox+YoY») dxdy (12)

Clearly the first term on the right side of this equation represents a
slice of two dimensional Fourier transform of f(x,y). For simplicity,
Eq. (12) may be rewritten as follows:
Pc (w ,cp ) ::Pdw ,cp ) +E (w ,cp ) (t 3)

where
+00
Pdw ,cp )::1
_GO
J f(x,y)exp (-j(w/R)(xox+yoY» dxdy (14)

and

exp (-j (w IR) (xox+yoY» dxdy (15)

Using the Fourier slice theory and making one dimensional inverse Fourier
transform on both sides of Eq. (13) we may find
p,,(t,'P )=Pl (t,cp )+e(t,cp) (16)

where e(t,cp) represents the inverse Fourier transform of E(w ,cp ), Pl (t,cp )
is the projection obtained from integrals of f(x,y) along parallel straight
I ine, that is
(t 7)

163
where L(t,fIl) is the straight line
xcon(fIl )+ysin(fIl )=t (18)

Eq. (16) relates the circular arc projection Po(t,fIl ) to the straight
line projection PI (t,fIl ) and is the basis of our algorithm. As we know that
Pe(t,fIl) for different angle can be measured experimentally. If e(t,fIl) is
known, PI (t,fIl ) can be estimated by Eq. (16). Therefore, f(x,y) will be re-
constructed by using filtered backprojection algorithm for x-ray tomogra-
phy. In comparison with PI (t,fIl ), e(t,fIl) is very small. e(t,fIl) can then
be determined in an iterative way. The iterative procedure is described as
follows:
1. Set the initial values of e(t,fIl ) to be zero, i. e. eO(t,fIl )=0, then
(19)

2. Obtain the first approximation fl (x,y) of the reconstructed image

by processing PIO(t,fIl) in filtered backprojection algorithm.
3. Revise e(t,fIl) by calculating Eq. (16). This should include replacing
f(x,y) with fl(x,y). That is
(20)

where
Pc: (t,fIl )= J fl (x,y)ds (21)
C

and
PI' (t, fIl ) = J f1 (x, y) ds (22)
L

In this step we can impose a priori spatial limites of the object on fl (x,y).
4. Revise PI (t,fIl ) by using Eq. (16) where e 1 (t,fIl ) takes the place
of e(t,fIl). that is
(23)

Repeating the steps 2 through 4 until the process is terminated by using

some suitable criterion of convergence, one could obtain more accurate
reconstruction images.

Ill. COMPUTER SIMULATIONS AND RESULTS

Computer simulations have been performed to give the proof of the

Fig. 2. Object function to be Fig. 3. Arc projection of

imaged the object

164
 Fig.4 Reconstructed image Fig.5 reconstructed image by using
with no iteration. iterative technique.

algorithm. a cylinder was used for the object, of which the reflectivity
function of cross sections is shown in Fig.2. The arc projection Pc(t.~ )
of the cylinder calculated for the case when R=30 and r=5 is shown in
Fig.3. Here r is the radius of the cylinder. R is the distance between the
center of the cylinder and the fan-beam transducer. Following the above
described procedure. we obtained reconstructed images. Fig.4 shows the re-
constructed image fl (x.y) without iteration. Fig.5 shows the reconstructed
image using the iterative technique. By comparing these two reconstruction
results, we can see obvious improvement due to the iterative technique.

IV. CONCLUSION
This paper proposes an iterative algorithm for reflection mode tomo-
graphy. By using this technique. more accurate reconstructed images may be
expected and for those only 180 degree range of view is needed.

REFERENCE
1. S. J .• Norton. and M., Linzer, "Ultrasonic Reflectivity Tomography:
Reconstruction with Circular Transducer arrays. Ultrason. Imaging, Vol.I.
pp.154-184, 1979.
2. M.• Moshfeghi, "Ultrasound Reflection-Mode Tomography Using Fan-
Shaped-Beam lnsonification." IEEE Trans. Vol. UFFC-33. No.3. 1986.
2. K. A.. Dines. and S. A., Goss. "Computer Ultrasonic Reflection
Tomography." IEEE Trans. Vol. UFFC-34. No.3 1987.

165
APPLICATIONS OF AREA AND SOLID-ANGLE FUNCTIONS IN

ACOUSTICS

John M. Richardson and Glen Wade

University of California
Santa Barbara, California 93106, U.S.A.

ABS1RACf

It is known that in the far-field regime the pulse-echo (PE) scattering of acoustical
waves from a weak, internally-uniform inhomogeneity can be represented in terms of the
planar area function (P ArF) of the scatterer domain. The nature of P ArF is explained in
explicit mathematical terms by the fact that the impulse response function (IRF) is proportional
to the second time-derivative of the PArF. The latter quantity is obtained by moving a cutting
plane, oriented parallel to the incident wavefront, through the scatterer domain and recording
the areas of the sequence of cross-sections as a function of distance, which in the scattering
application is expressed in terms of the round-trip time of flight. In this paper we discuss the
extension of this result to the case in which the far-field constraint is removed, a generalization
that involves the spherical area function (SArF) and the solid-angle function (SAnF) in central
roles. We also discuss the broadening of the areas of application, i.e., the application of
PArF's to PE scattering of acoustical waves from hard objects in the far-field case and the
application of P ArF's to certain kinds of source problems such as weak explosions.

INTRODUCTION

The concept of area functions, i.e., planar area functions (pArFs) in the broader
context of this paper, has antecedents reaching back many decades. The earliest version of
this concept (that we are aware of) involved a primitive application of this concept to the far-
field pulse-echo (PE) scattering of electromagnetic waves from conducting bodies using the
Kirchhoff (physical optics) approximation (Ruck et aI., 1970). However, only the part of the
body surface illuminated by the incident wave was involved in the construction of the area
function. Recently progress was made (Richardson and Cohen-Tenoudji, 1991) in extending
this concept to apply to the entire surface of the body (including the shadow zone regarded as
an extension of the body). The equation relating the PE waveform to the second time-
derivative of the area function is exactly equivalent to the Kirchhoff approximation.

In the case of weak scatterers where the Born approximation is valid, similar results
involving the PArFs have been derived for internally uniform scatterers. A large diversity of
media have been considered, e.g., scattering in locally isotropic elastic solids involving both
longitudinal and transverse waves was investigated (Rose and Richardson, 1981) with
suitable extensions of the P ArF for both PE and pitch-catch cases.

All of the above discussion pertains only to planar area functions (PArFs) in far-field
regimes. In this paper we present extensions of these results (Richardson and Marsh, 1982)
to cases where the far-field restriction is removed, whereupon the spherical area function
(SArF) and the solid-angle function (SAnF) play central roles. We have extended the range
of applicability of these geometrical concepts outside of the domain of scattering processes.

Acoustical TmLlging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 167
AREA AND SOLID-ANGLE FUNCTIONS IN ACOUSTICAL
PULSE-ECHO SCATTERING
In this section we consider the pulse-echo (PE) scattering of acoustical waves from a
weak, internally uniform inhomogeneity. The medium is assumed to be everywhere an
inviscid compressible fluid; thus shear waves do not propagate and mode conversion is
nonexistent.
In the ftrst subsection we present the formulation of the acoustical scattering problem
for a fluid medium containing an inhomogeneity conftned to a specifted region (i.e., the
scatterer domain). In the next subsection we discuss the solution to the scattering problem in
terms of either the spherical area-function (PArF) or the solid-angle function (SAnF) for the
general case where the transmit-receive transducer has an arbitrary position relative to the
scatterer. In the ftnal subsection we treat the far-fteld case in which the PArF is regarded as
the limit of the SArF when the transducer is placed at a large distance from the scatterer.
Formulation of the Acoustical Scattering Problem
In this subsection we present a brief outline of the theory of acoustical scattering when
the position of the transmit-receive transducer is general, i.e., it is not necessarily subject to
far-fteld requirements. The medium is assumed to be an inviscid fluid everywhere. In this
problem it is convenient to carry out the analysis in the space-time representation.
The propagation of sound in an inhomogeneous fluid is described by the following
partial differential equation

(pc1 ata
2
2
2
1)_
- - - V · - V p(r,t) =0
P
(1)

where '1 = position, t = time, p = density, c = sound velocity, and p = pressure. It is

assumed that p and c are time-independent. We assume that the scatterer (i.e.,
inhomogeneity) is contained within a domain D of '1 -space. We further assume that within D
the medium has uniform properties that are only slightly different from those of the
surrounding uniform host medium. Representing the transducer (in the transmit mode) by the
source function s(r ,t), it can be shown (see Appendix A) that the solution to the scattering
problem can be expressed in the form

(2)

where L is the differential operator in Eq. (1), L1 is the deviation of L fromLo (the form of Lo
for the host medium), and the free-fteld Green's operator GO is the inverse of LO subject to the
usual radiation boundary conditions at infinity, GO is deftned by the equation

Gaf(r,t) = (Po 1 41r)J dr'J dt'lr -r'I- 1 8(t-t' -1'1 -'1'11 co)f(r',t') (3)

where f(;,t) is an arbitrary function and where the constants gO and co (independent of '1 and
t) are properties of the host medium. By specializing the source function s(r,t) to a product

of 0 functions 8('1 - ;0 )8(t - to) and replacing the leftmost; 's on both sides of Eq. (2) by
;0, we obtain the desired form of the scattering equation given below.

168
 Pl(rO ,t) =-(po I 4nl far' f dt'lro - rfl 8(t -t' -Iro - r'll co)
D

1_, - r
. L1 r _°1-1us:(, r - r-°11 cO.
t - ° 1-'
t - ) (2a)

The final step in the derivation involves some complex manipulations that yield a fonn of the
above equation that clearly shows the dependence of the r.h. side upon the SArF or
equivalently the SAnF. A relatively simple example is obtained when the density p is
uniform everywhere and the sound velocity c has in D a unifonn value that is different from

its value in surrounding host medium, i.e., Lt =/31

ata~ where /31 = (1 I Poc2 ) - (1 I poc5 ).
We obtain (2a) in the fonn

It is clear that the 8 -function on the r.h. side limits the intergration on r' to a sphere of radius

~ c(t - to) centered at rO. The details for the general case (where both P and c have unifonn
values in D different from those in the host medium) will be discussed in a forthcoming paper
(Richardson and Wade, 1991). In the next subsection the application to PE acoustical
scattering will be discussed.

PE Scattering Expressed in Tenns of the SArF and the SAnF

We will first discuss the SArF and the SAnF in purely geometrical tenns without
explicit reference to the dynamics of scattering. In Fig. 1 we give the geometrical set-up
involved in the definitions of the SArF and the SAnF. In the figure we show a sphere of
radius R centered at the point T (the position of the transmit-receive transducer) whose surface
is cutting through the scatterer domain D. The area of the cross-section is of course the SArF,
mathematically denoted by Ssph(R). Relative to the point T the SArF subtends a solid angle or
SAnF, mathematically denoted by Q(R). It is obvious that the SAnF and the SArF are
connected by the simple relation

(4)

Now let us consider a scattering experiment involving a very small omnidirectional

transducer at the point T that transmits a B-function pulse to a weak, internally unifonn
scatterer. The return echo is given by the expression

(5)

where 1° is the position of the point T and t is the round-trip propagation time between the
transducer and a general point in the scatterer (we have set to = 0 here). The parameter a is a
constant dependent upon the acoustical properties of the scatterer and the host medium. It is
to be noted that, in proceeding from the purely static geometrical concept of the SAnF to its

dynamical application to scattering, we must replace R by .!. ct.

2

169
Far-Field Case
We turn to the case in which the transducer is moved to a position at a great distance
from the scatterer. Using the usual meaning of the term far-field as defined in acoustics, the
minimal requirement is that the transducer and the scatterer must be in the far-field or each
other. Here, the spherical area function Ssph(R) approaches a planar area function SpieR) as
the transducer position recedes to the far left. We now obtain

(6)

where a' is another constant.

The application of the above equation to scattering problems is far simpler than is the
use of conventional techniques. In fact, in some scattering problems solutions can be
obtained by inspection. An interesting example is provided by a weak, internally uniform
scatterer with a cubical boundary subjected to PE acoustical scattering with several incident
wave directions. In Fig. 2 we present the IRF's associated with three incident directions (i.e.,
100, 110, 111 directions relative to the cube axes). On the left, the cubes are depicted in the
above three orientations relative to the incident propagation direction and on the right, the
corresponding IRF's are given. Aside from some elementary arithmetical calculations for the
case of the Ill-direction, the entire solution was obtained by inspection.

USE OF THE PLANAR AREA FUNCTION IN THE KIRCHHOFF (PHYSICAL OPTICS)

APPROXIMATION FOR THE FAR-FIELD CASE
The Kirchhoff approximation is frequently used for the scattering of waves from
highly reflective objects, e.g., scattering of sound waves in air from hard solid objects or the
scattering of electromagnetic waves from objects with a high electrical conductivity. As is
well-known, the Kirchhoff approximation is mathematically identical (at least for PE
scattering) to the Born approximation (valid for weak, internally homogeneous scatterers) if
the shadow zone is omitted or is treated as a continuation of the body. It has been shown
(Tittmann et aI., 1983) that the true scattering is in some sense bounded by the Kirchhoff
approximation on one side and by the pseudo-Born approximation on the other. The pseudo-
Born approximation differs from the Kirchhoff by the omission of the shadow zone. The
introduction of the P ArF into these two approximations can be brought about through the
connection with the Born approximation. Because of the limitation of space, we will not give
the details here. In the subsequent discussion we will consider the use of PArF's in both the
pseudo-Born and Kirchhoff approximations.

Since the pseudo-Born and Born approximations are mathematically identical, it is

clear that the results in the previous section can, for the far-field case, be carried over directly
with only quantitative modifications.

The situation with the Kirchhoff approximation is only slightly more complicated.
Here, the methodology involving P ArF's can also be carried over if the shadow zone is
regarded as an extension of the body. In Fig. 3 we show this process for the case of
acoustical waves scattering from a hard sphere. In Fig. 3a we show the geometrical set-up for
the PE scattering process and the construction of the P ArF in the presence of the shadow
zone. In Fig. 3b we show plots of the PArF and its first and second time derivatives. The
last quantity is, of course, proportional to the IRF.

170
APPLICATION OF THE PLANAR AREA FUNCTION TO TIIE WEAK EXPLOSION
PROBLEM
In this section we consider the propagation of acoustical waves in a compressible,
inviscid fluid (e.g., air) generated by a weak explosion. In more explicit mathematical terms
the latter process is represented by an initial uniform overpressure of acoustical amplitude
confined to a domain D.
The partial differential equation describing the weak-explosion process is given below
with its initial conditions:

(~ cP2 - v
c at
2 )p(r,t) = 0, t > 0, (7)

p(r,O) = Po, rED; Po = constant, (7a)

= 0, otherwise,

:tP(r,o) = 0, everywhere. (7b)

In the above p(r,t)= overpressure at position r and time t, C = sound velocity, and D =
domain of the initial uniform overpressure.

The far-field waveform at position ii (origin at centroid of D) is given by

p(ii,t) = a" !!...Spt(ct) (8)

dt

where Spt(R) is the planar area function defined earlier, and ct = R = Iii -- rl is the distance
from an arbitrary point r in D to ii, and a" is a third constant (different from a and a').

It is noteworthy that in this case the far-field waveform is proportional to the first
derivative of the PArF and that the distance R corresponds to the one way time of flight.
Here, we have, for the sake of convenience, limited the discussion to the far-field case. The
general case involving the SArF is easily derived.
CONCLUSIONS
From the above discussion we draw the following conclusions:
(1) Area functions (spherical and planar) and solid-angle functions are highly useful in
treating many scattering and source problems.
(2) Their use gives strong intuitive insight into the nature of many scattering and source
problems.

(3) !heir u.se makes it possible to solve some simple scattering and source problems by
mspectlon.

171
 Spherical
Area
Function
Ssph(R)

Fig. 1. Geometrical set-up involved in the definitions of SArF and SAnF.

Fig. 2. Far-field PE scattering from a weak, internally uniform

inhomogeneity with a cubical boundary.

172
 (a) Geometrical Set-up

1
1
R, "2ct ~

8 - function peak

R , let
2

(b) The PArF and its Derivatives

Fig. 3. Use of the planar area function (PArF) in the Kirchhoff approximation.

REFERENCES

Richardson, J.M., and Marsh, K.A., 1983, "Application of the solid-angle function method
to forward and inverse scattering," unpublished.

Richardson, J.M., and Cohen-Tenoudji, F., 1991, "Area-function fonnulation of the

scattering of acoustical waves," to be submitted for publication.

Richardson, J.M., and Wade, G., 1991, "Theory of the solid-angle function fonnulation of
acoustical scattering," to be submitted for publication.

Rose, J.H., and Richardson, J.M., 1981, "Time--domain Born approximation," Proc.
DARPAlAFWL Rev. of Progress in NDE, 382-388.

Ruck, G.T., Barreck, D.E., Stuart, W.D., and Krichbaum, C.K., 1970, Radar Cross
Section Handbook, 50-66, Plenum, New York.

Tittmann, B.R., Richardson, J.M., Cohen-Tenoudji, F., and Quentin, G., 1983, "Effective
area-function approach to inverse problems in the scattering of electromagnetic and
elastic waves," Proc. SPIE-The International Soc. for Optical Eng., 413:74-78.

173
 EXACT COMPUTER MODELLING:

A TOOL FOR THE DESIGN OF IMAGING TRANSDUCERS

R. Lerch
Siemens AG
w-8S20 Erlangen, Germany

I. INTRODUCTION

The piezoelectric transducer is an essential component

of acoustical imaging systems. These transducers have a major
influence on the quality of ultrasonic images in diagnostic
ultrasound, nondestructive testing, or acoustic microscopy.
In recent years, various transducer types have entered the
market due to a steadily growing field of applications. For
example, medical imaging demands for phased array antennas
used in colour flow doppler machines as well as for minia-
turized transducers for intracorporal applications. Another
trend in medical imaging leads to high resolution systems
operating at frequencies above 10 MHz to cover applications,
such as imaging of skin deseases. This large diversity of
novel transducers demands for a sophisticated transducer
development with high standards in respect to quality and
rapidness. In order to avoid lengthy and cost-intensive
experimental trial and error, a modern transducer development
should be based on computer aided design (CAD). The central
part of this CAD is transducer modelling, which will be
discussed here.
The wellknown one-dimensional (10) transducer models are
based on equivalent network circuits, such as the Mason or
KLM-model. They are, however, not suited to describe the
transducers used in imaging equipment, since the geometry of
those transducers is 20 or 3D, which cannot be handled by a
ID-model. Therefore, we have developed a transducer modelling
scheme for arbitrary geometries, which is mainly based on
finite elements. Since the finite element results are in
excellent agreement with experimental data, the finite
element method is a very appropriate tool for computer
simulations of transducers. However, as we describe in this
paper, the simulation of some transducer types, such as
annular array antennas, demand for a very large finite elem-
ent mesh of the fluid region and consequently for large
computer resources which sometimes exceed those available
with workstations or even low-end mainframe computers. There-
fore, we have improved our simulation scheme by coupling the

Acoustical Imaging, Volume 19

Edited by H, Ermert and H.-P. Harjes, Plenum Press, New York 1992 175
acoustic finite elements with acoustic boundary elements. In
boundary element technique, the geometric dimension of the
given problem is reduced by one, meaning that a 2D acoustic
field can be modeled by discretizing only the boundary of
that field which is one-dimensional. with this new method,
the fluid mesh and therewith the computational effort can be
reduced tremendously even while improving the accuracy of the
numerical results.

II. MODELLING SCHEME

A. FINITE ELEMENT METHOD (FEM)

In acoustical imaging, ultrasonic waves are generated and de-
tected by piezoelectric transducers which are surrounded by
an acoustic fluid. The transducers may be of arbitrary geom-
etrical shape and consist of anisotropic piezoelectric and
mechanical materials. In a simulation, one has to calculate
the mechanical deformations of the transducer as well as the
internal electrical field. This is done by piezoelectric
finite elements which are described in Ref. /1/. However, the
mass loading and the radiation damping of the surrounding
fluid influence the transducer behaviour significantly. To
consider these effects in the simulation scheme, one has to
solve the wave equation governing the propagation of acoustic
waves in the ambient fluid in combination with the equations
governing the mechanical and electrical dynamics of the pie-
zoelectric solid. In our modelling scheme, this interaction
between fluid medium and piezoelectric solid is completely
taken into consideration by modelling the piezoelectric solid
by piezoelectric finite elements and simultaneously modelling
the fluid by acoustic finite elements. Special interface
elements have to be used at the boundary between piezoelec-
tric finite elements and acoustic elements. They enforce the
continuity relation between the fluid and the solid. The
theory of coupled piezoelectric and acoustic finite elements
is described in Ref. /2/. Fig. 1 demonstrates the way how to

Finite element types:

• acoustic (acoustic potential)
_~. piezoelectric (mechanical dls-
/---- / piacement, electrical potential)
/ • interface elements
• acoustic infinite elements

piezoelectric medium
fluid medium

Fig. 1. Finite element modelling of a fluid loaded

piezoelectric transducer

176
model a fluid loaded piezoelectric transducer by these types
of finite elements. Even the infinity of the fluid region is
taken into consideration by infinite acoustic elements. In
order to ensure correct results, however, these infinite
elements have to be located in the farfield of the acoustic
radiator. That means that the wave front impiging on an
infinite element has to be plane over the lateral extend of
that element. Otherwise, the impiging wave is partly reflec-
ted at the boundary of the fluid mesh leading to incorrect
numerical results. Since some practical imaging transducers,
such as annular array antennas, have a large aperture and
therewith an extended acoustic nearfield region, the fluid
region to be discretized is very large. Therewith, these
problems demand for computer resources which are not avail-
able on general purpose computers. In the following chapter,
we, therefore, describe a boundary element technique as an
alternative numerical method for simulating acoustic fields.
Since the piezoelectric transducer itself, however, has to be
modelled in any case by finite elements, we, therefore,
introduce the coupling of those boundary elements with finite
elements (chapter II.C). This combined method allows the
solution of transducer problems much more efficiently than
pure FE analysis.

B. BOUNDARY ELEMENT METHOD (BEM)

The boundary element method is another numerical technique

for solving boundary value problems. It is more efficient in
respect to computer resources than the finite element method,
when wave propagation in a large homogeneous medium has to be
calculated. This is due the fact, that only the boundary of
the field region has to be discretized and not the whole
field itself. Acoustic boundary elements are based on the
solution of the Helmholtz-Sommerfeld integral equation which
for a smooth surface S with no incident waves can be written
as follows /3,4/:

Y(P)=
1

4n
I [ Y(Q) ;~(P,Q) - G(P,Q) ;~(Q) 1 dS (1)

with
Y: scalar acoustic potential at a point of interest P,
n: normal direction on S (positive outside),

Green's function G
e-jkR(P,Q)
G (2 )
R(P,Q)

k=w/c: wave number,

R = Ip-QI (3)

R: distance between a point Q on S and an arbitrary point of

interest P outside S

177
In standard boundary element techniques /5,6/ Eq. (1) is
approximated by a set of linear equations:
H Y - G Y' = 0 (4)

!!, G: standard matrices of a BEM system (see Ref. /6/ for

example)
!, Y': vectors of nodal values of scalar acoustic potential
and its normal derivative (normal velocity)

'1" (5)

In contrast to the finite element technique, the matrices H

and G are not sparse. We have implemented the above theory of
acoustic boundary elements in a FORTRAN program. This program
allows the handling of rotationally symmetrical acoustic
problems with 3-node boundary elements. The different disc-
retization methods for FEM and BEM are demonstrated in Fig.
2. In FEM, the 2D acoustic field problem is discretized by 2D
finite elements, whereas in the boundary element technique 1D
elements are sufficient. This reduces the geometrical dimen-
sion of the problem by one.

Finite Element Method (FEM) Boundary Element Method (SEMI

finite element boundary element

t/Jj: scalar acoustic potential (value at node i)

t/J;':normal derivative of t/J (= normal velocity)

Fig. 2. Discretization by finite elements

and boundary elements

C. COUPLED FINITE-ELEMENT/BOUNDARY-ELEMENT METHOD (FEM-BEM)

For all simulations of piezoelectric transducers with large
nearfields a combined finite-element/boundary-element tech-
nique is computationally much more efficient than pure finite
element analysis. In this chapter, the coupling of acoustic
finite elements with acoustic boundary elements is intro-
duced.
We start with the finite element matrix equation for an
harmonically oscillating acoustic system:

178
 o (6 )

M: mass matI"ix
K: stiffness matI"ix
~b: boundaI"Y coupling matI"ix
.!'b: vectOI" of nodal values of the nOI"mal velocity at the
boundaI"y

With

(7)

Eq. (6) can be wI"itten as

(8 )

The splitting of the vectoI" .! into a vectOI" .!b containing the

nodal values of all boundaI"Y nodes and a vectOI" Y. with
nodes located inside the finite element I"egion leads 1 to:

K.. K'
[
-11 -1 b
(9 )

1[::1 [:
The continuity I"elations at the inteI"face between fluid
finite element I"egion and boundaI"Y element I"egion ask fOI"
continuos acoustic potential as well as continous nOI"mal
velocity:

( 10)

'1" 'I' b ' (11 )

fe

This leads to the following set of lineaI" equations which

descI"ibes the coupled finite-element/boundaI"y-element system
(FEM-BEM-system):

K11
.. Kib 0 Y.
-1
0

Kbi Kbb -fb .!b 0 ( 12 )

0 H -G Y , 0
-b

The above equations weI"e implemented in FORTRAN I"outines and

attached to OUI" finite element tI"ansduceI" modelling scheme
which has been alI"eady discussed above. Fig. 3 demonstI"ates
how to model a fluid loaded piezoelectI"ic tI"ansduceI" by using
the new coupled finite-element/boundaI"y-element technique.

179
 Element types:
• acoustic boundary elements
• acoustic finite elements
• interface elements
• piezoelectric finite elements

piezoelectric medium

fluid medium

Fig. 3. Modelling of a fluid loaded piezoelectric transducer

by coupled finite elements and boundary elements

III. COMPARISON OF FEM, BEM, AND FEM-BEM

The above described acoustic FE, BE, and FE-BE methods were
tested in respect to their computational efficiency by simu-
lating an ultrasonic annular array antenna (Fig. 4). The
piezoelectric rings of such an antenna are excited by phase
delayed pulses to produce a focused ultrasonic beam /7/. We
investigate the acoustic field of one of these ring elements.
For simplicity, we have chosen an ideal thin ring source
(Fig. 5) with no lateral expansion for which the analytic
solution is known. This analytic solution is used to deter-
mine the quality of the numerical results obtained by the
above methods.

--
Fig. 4. Annular array antenna

180
 area of
=
<> acoustic finite
." elements
<>

<>
.~

- - -------B--- -

I+-----~--- b ------~

harmonicall y oscillating ring source

Fig. 5. Finite element modelling of an acoustic ring source

A. FEK

In this chapter, we model the acoustic field by two different

finite element meshes. With a first model we will demonstrate
the errors which occur in finite element analysis when the
infinite elements are located in the nearfield of the acou-
stic source. The corresponding finite element mesh is shown
in Fig. 6. Due to symmetry arguments, the actual mesh used in
the calculation can be restricted to one quadrant which
contains in the present case 300 finite and 20 infinite ele-
ments (mesh radius: b=1.2S Ai aperture radius of the ring
source: a=Ai A: acoustic wavelength in the fluid). By this
meshing the infinite elements are located in the nearfield
region of the antenna. Fig. 7 compares the analytically cal-
culated acoustic pressure along the rotational axis with that
obtained by the finite element analysis. The FEM results are
found to be completely wrong. This can be explained by the
improper operation of the infinite elements which, as discus-
sed above, are not allowed to be located in the nearfield.
If we, however, extend the mesh area to the acoustic
farfield the finite element method gives correct results.
Unfortunately, this requires a very large finite element mesh
which consequently demands for very high computing power. In
order to obtain a 2.S%-correct result compared to the
analytic solution of the ring source problem, we had to
extend the mesh area to b=20a (a=A) where a is the radius of
the ring. The resulting finite element mesh consists of more
than 10.000 elements (Fig. 8). The so obtained numerical
results are in good agreement with the analytical solution
(Fig. 9). This remaining error is mainly due to small, but
still existing reflections at the infinite elements.

181
 Acoustic infinite elements

Ring source

Fig. 6. Mesh of acoustic finite elements for modelling of an

acoustic ring source (a=lA; b=1.25A; a,b: see Fig. 5)

, .0 0 ... "-
..
:0
C1I
0 .80
~ b • 1 .25 13mbda
'"
E ..-
(5 0 .60
.s
~
:J
-...... ~-..-. ... ~.-.... -.•~----.~.-.......
0.40
'"'"C1I analytic solution (solidi
0... FEM solution (dottedl
0.20

0 .00
0 .00 0.25 0.50 0.75 1.00 1.25
z coordinate [wavelengthl

Fig. 7. Pressure along the axis of rotation of an acoustic

ring source. Comparison between FEM results
(mesh of Fig. 6) and analytic solution

182
 Acoustic infinite elements

Ring source
Fig. 8. Mesh of acoustic finite elements for modelling
of an acoustic ring source (a=lAi b=20A)

3.00
a · lambda
2.50 b - 20lambd a
'l:
QJ
~ 2 .00
QJ
.9-
....
g
QJ
1.50

QJ
.2: 1.00
iii
~
0.50

0.00
0 .00 4.00 8.00 12.00 16.00 20.00
z coordinale [wavelength]

ig. 9. Relative error of FEM results (mesh shown in Fig. 8)

183
B. BEM
In this chapter, the ring source as treated above was now
investigated by boundary element analysis. The used mesh con-
sists of 16 three-node boundary elements which are arranged
in a circle around the cross section of the ring source. The
radius of the circle is small compared to the wavelength ~ in
order to approximate an ideal ring source. The high accuracy
of the obtained numerical results compared to the analytical
solution is shown in Fig. 10. It is remarkable that the BEM
results obtained with a relative coarse discretization (16
elements) are still more accurate than the above FEM results
(Fig. 9) which are based on more than 10.000 elements. As a
result of the small number of elements in the BEM case the
required computing power is much smaller than in the FEM case
(see Table I).

Table I. Comparison of computer resources needed for FEM and

BEM modelling of an acoustic ring source
FEM BEM
Number of nodes 31000 32
Number of elements 10215 16
CPU-Time [min.] 150 3
Memory [MByte] 100 0.5
Disc space [MByte] 200 o
Accuracy of results [%] 2.5 1.5

2.00

1.60
C
<L>
u
~
.3- 1.20
.... (lb element,)
0
....
....
<L>
<L> 0.80
~
'"
(jj
....
0040

0.00
0.00 1.00 2.00 3.00 4.00 5.00
z coordinate [wavelength]

Fig. 10. Relative error of BEM results

C. FEM-BEM

When modelling transducers surrounded by acoustic fields the

combination of the above methods is often advisable. A pure
BEM is not possible in this case, since the transducer itself
has to be modelled by piezoelectric finite elements in any

184
case. Fig. 6 shows the mesh of coupled finite and boundary
elements for modelling the ring source as treated above. The
finite element part of that mesh is the same as in our first
model (b=1.25A; a=A) by which we obtained the invalid results
shown in Fig. 7. In the present case, however, the acoustic
finite elements are coupled to acoustic boundary elements
instead of the infinite elements used in pure FE technique
(Fig. 11). The relative error of the FEM-BEM results are
found to be below 1 percent as can be seen in Fig. 12. The
new combined acoustic finite-element/boundary-element method,
in contrast to pure FE modelling, is able to give correct
results even when only the acoustic nearfield is discretized
by finite elements. A further advantage of the boundary
element technique can be seen in a possible on-demand
computation of the acoustic field at any point of interest.
Therewith, an exact determination of the farfield radiation
pattern of antennas is possible.

Acoustic boundary elements

Acoustic finite elements

Ring source

Fiy. 11. Coupled finite element and boundary element mesh

for modelling of an acoustic ring source

1.00
FEM-OEM olutioll
a • lambda
0.80
'EQ)
~
Q)
c...
... 0 .60

g
<lJ
Q) 0.40
>
'';:

'"
~
0 .20

0.00
0.00 0.25 0.50 0.75 1.00 1.25
z coordinate [wavelength]
Fig. 12. Relative error of FEM-BEM results

185
IV. CONCLUSION
Finite element analysis is a powerful tool to simulate piezo-
electric devices with high accuracy. Even mass loading and
radiation effects due to the surrounding medium can be taken
into consideration by coupling piezoelectric finite elements
with acoustic finite elements. The finite element method,
however, gets computationally inefficient when large acoustic
fields have to be discretized, as it is the case for trans-
ducers with large apertures.
In order to overcome this shortcoming we have developed an
acoustic boundary element method which allows the computation
of harmonically oscillating rotational symmetric acoustic
fields. The boundary element method needs much less computing
power than the finite element method when computing large
acoustic fields, since in the boundary element technique only
the boundary of the acoustic field has to be discretized and
not the whole radiation field as in the finite element analy-
sis. For the simulation of piezoelectric transducers under
fluid load a combined finite-element/boundary-element method
(FEM-BEM) was developed. The coupling of acoustic boundary
elements with acoustic finite elements leads to a much smal-
ler fluid mesh compared to that of pure FEM.Boundary ele-
ments can even be be located in the nearfield of acoustic
radiators which is not allowed for infinte elements. There-
with, this new method is much more efficient in respect to
computer resources than pure FEM. In some cases, the reduc-
tion is so large, that problems which could not be handled by
FEM before, can be analyzed now by using FEM-BEM. Besides
these advantages FEM-BEM is often superior in respect to the
numerical accuracy. It should be remarked that it is, how-
ever, not possible to simulate a fluid loaded transducer by
pure BEM, since piezoelectric finite elements are in any case
necessary to model the piezoelectric solid.

REFERENCES
/1/ R. Lerch: "Finite Element Analysis of Piezoelectric
Devices by Two- and Three-Dimensional Finite
Elements", IEEE Trans. on ultras., Ferroel., and
Frequency Control, vol. 37, No.3, 1990, pp. 233-247
/2/ R. Lerch: "Finite Element Analysis of Piezoelectric
Transducers", Proc. IEEE ultrasonics Symposium, 1988,
pp. 643-654
/3/ E. Skudrzyk: "The Foundations of Acoustics",
Springer-verlag, Wien
/4/ P.M. Morse, K.U. Ingard: "Theoretical Acoustics",
McGraw-Hill, New York, 1968, pp. 342
/5/ C.A. Brebbia: "Boundary Element Techniques",
Springer-verlag, 1984
/6/ R. Bausinger, G. Kuhn: "Die Boundary-Element-Methode",
expert-verlag, 1987
/7/ F.S. Foster, J.D. Larson, M.K. Mason, T.S. Shoup, G.
Nelson, H. Yoshida: "Development of a 12 element
annular array transducer for realtime ultrasound
imaging", ultrasound in Med. & BioI., vol. 15,
No.7, 1989, pp.649-659

186
 QUALITY CONTROL OF UL1RASOUND 1RANSDUCERS WITH TIlE BINARY

HOUGH 1RANSFORM

L. da F. Costa*, D. R. Andrews** and M. B. Sandler

Department of Electronic and Electrical Engineering, King's College London

Univ. of London, Strand, London, WC2R 2LS, UK
* Also: Instituto de Fisica de Sao Carlos, Universidade de Sao Paulo, Caixa Postal
369, Sao Carlos, SP, 13560, Brazil
** Also: Instrumentation Innovation Ltd, 216 Bunyan Court, Barbican, London
EC2Y 8DH, UK

ABS1RACT
Ultrasonic transducers are an important link in the chain of quality control for many
structures, for example pressure vessels. The reliability and sensitivity of quality inspection
depends strongly on the quality of the transducer. Present methods of quality control
inspection of ultrasonic transducers are commonly restricted to detecting known scatterers in
reference test blocks. This is without doubt a necessary test of transducer qUality but is it
sufficient quality inspection? A new method of quality inspection has been investigated based
upon off-axis visualization of ultrasonic beams in transparent materials. This allows the beam
emerging from a transducer to be rendered visible and the image captured by a computer.
Several stages of image enhancement have been perfonned culminating in an application of
the binary Hough transform to an image of beam wavefronts. Using data from the Hough
transfonn it has been possible to determine the beam direction (major axis) and degree of
symmetry of the beam. Examples of unprocessed images from 1.9 MHz transducers working
into water are given. Some results of the Hough transfonnation are also presented.

IN1RODUCTION
In ultrasonic inspection, after the operator, the single most important link in the quality
inspection chain is the ultrasonic transducer. Like all products, transducers can have
manufacturing defects and can also suffer damage in service. The decision when to discard a
transducer is often based more upon criteria relating to its appearance or the condition of its
electrical connectors than its ultrasonic performance. The reason for this is the relative
difficulty in assessing ultrasonic performance. This is a worrying situation from a quality
point of view and indicates a need to introduce improved methods of quality inspection of
ultrasonic transducers.

Existing methods are better described as bench-mark checks rather than a full quality
inspection. Transducers are used in pulse-echo mode (A-scan) with calibrated test blocks,
frequently made with a stair-case profile. The profile allows one transducer to be used at
three or four locations with different (known) times of flight. Thus the principal check on
transducer quality is that echoes are found at known time delays. This is a useful check and it
also has the advantage that it can be performed quickly but is it sufficient? The fundamental
property required by transducers is that they should give good spatial resolution between
scattering objects. Thus the beam profile and pulse length are the critical measures of
transducer quality but these are only superficially investigated using staircase test blocks.

Acousticallmaging, Volume 19
Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 187
 Useful parameters of beam profile are the major axis vector (beam direction), the degree of
symmetry about the major axis, the spatial width of the beam, the duration of the pulse (for a
given excitation) and side lobe strength. Also of interest is where the major axis intersects
with the transducer body - in order to detect any offset in the beam.

ULTRASOUND TRANSDUCERS - BEAM MEASUREMENT

One way that beam proflie can be determined rapidly is by off-axis visualization using a
stroboscopic light source and either a schlieren or photo-elastic optical system 1,2. The
method has been used for many years with success not only for transducer characterisation
but also for propagation experiments 3.
A commercial visualization system (Instrumentation Innovation Ltd AB 100 and AB50) has
been used to render visible wave fields emerging from transducers for testing steel and also
transducers for use in water. Figure 1 shows a sketch of the experimental equipment in
which a glass block is used as the visualizing system; it is straightforward to convert to use
with a water tank. The transducer and light source are driven by a controller unit (AB 100)
which, amongst other functions, introduces a delay between launching and ultrasonic pulse
and flashing the light source - this controls where the ultrasonic pulse is viewed inside the
block of glass. Images are viewed in real-time and are of high quality.

Figure 2 is an example of the ultrasound emerging from a commercial transducer into a

glass block (Wells-Krautkramer 2.5 MHz compression wave device using Krautkramer ZG5
coupling gel). The photograph shows the main compression waves (labelled C) with aperture
waves (labelled A). Pulses arriving after the main pulse are also visible (labelled B). Clearly,
waves A and B can contribute to degraded performance in terms of resolution. Compression
waves are converted to shear waves when they impinge upon a free-surface (FF'-shear waves
labelled S).
A novel but simple extension of the technique of visualization is to use a computer to
capture the image from a CCD video camera and store the image in memory. A degree of
image processing is performed at this stage to improve the quality of images. It is outside the
scope of the present paper to describe this stage of pre-processing - this will be described in a
separate communication4. Suffice to say that a significant degree of image enhancement and
improvement in signal to noise ratio is performed in pre-processing.

AB50

Fig. 1. Sketch showing the commercial visualization system used in

generating off-axis images of wavefronts emerging from transducers.

188
DETECTION OF DIGITAL STRAIGHT LINE SEGMENTS WITH THE BINARY
HOUGH TRANSFORM

Hough transforms (HTs) are effective techniques for pattern recognition which are based
on mapping the edge detected image space onto a discrete parameter space (accumulator array)
in such a way that peaks in the latter (cells with count larger than a given threshold T) indicate
the positions in the image of possible instances of the pattern to be detected. The binary
Hough transform 5 (BHT) is an HT variation for straight line detection which is based on an
improved variation of the slope/intercept (M/C) 6'arameterization which uses four accumulator
arrays and presents some interesting features 5 , . However, as with most other HTs, the
BHT is not able to check the connectedness of the edge elements corresponding to each
detected peak (a group of sparse edge elements in the image can produce a detected peak) nor
to detect the endpoints of real straight line segments; this has to be done by some post-
processing. In this paper we have adopted an improved variation of the straight line segment
detection technique described in 6 : it uses a computer graphics algorithm to effectively trace
the edge elements in the image which contribute to each detected peak. These edge elements
are conveniently6 projected onto the x- or y-axis in order to produce connectedness
histograms - contiguous runs of non-zero elements longer than a threshold L in these
histograms confmn the existence of a realline 6 and a complete description of the edge
detected image in terms of its straight line segments is obtained.

The performance of HTs is characterized by their execution time, accuracy of detecting M

and C and effectiveness, i.e. the amount of peaks corresponding to real and false lines. As
only additions and binary shifts are required for BHT calculation 5 , its execution time is fast
enough for most applications. It has also been verified that the BHT allows accuracy and
effectiveness generally better than the standard HT with normal parameterization 6 . The
resolutions for both slope and itercept parameters, as well as T and L are important for the
proper description of the image and should be carefully determined based on the expected
image features, more details on this are to be included in4.

QUALITY EVALUATION USING THE BINARY HOUGH TRANSFORM

The BHT can be applied to obtain information about the ultrasonic beam as follows: the
linear part of each wavefront is detected and described as a straight line segment and, thus,
the number, position (endpoints), extent and straightness of the wavefronts can be
determined. The major axis is set to be orthogonal to the longest detected wave and passing
through the centre of mass of the beam; the beam width , W, is determined as the greatest
distance between intersections of the wavefronts with the major axis. A quantitative
measurement of the wave field symmetry, S, can be obtained by checking to see that each
edge element in the wave field has a reflection in the major axis. S is determined as the
relation between the number of edge elements with reflection and the total number of edge

Fig. 2. Example of wavefronts emerging from a commercial 2.5 MHz

c omp ression transducer.

189
elements in the wave field; S thus ranges fr:om 0 to 1. As the BHT is insensitive to
translation, rotation and scaling, the quantitative measurements should be invariant with the
position of the transducer.

Figures 3.a and 4.a present the pre-processed 256x256 image for the same transducer
operating in two different positions; figures 3.b and 4.b shows the respective edge detected
image with the major axis (P), the description of the wavefronts in terms of their endpoints,
the beam width Wand the symmetry factor S. It can be shown that the HT is invariant for
image rotation. Symmetry results indicate that the rotated image have different HTs. This
indicates that the conditions of image capture were different in some way and demonstrates
the sensitivity of the HT technique.

CONCLUDING REMARKS

Progress is reported towards the objective of developing a system for semi-automatic

quality inspection of ultrasonic transducers. The procedure makes use of visualized off-axis
video images of pulsed wave fields (as used for inspection) that are captured by a computer
and pass through several stages of image processing. An important step is to use the binary
Hough transform to detect the spatial distribution of line features that are derived from wave

S 0.92
W 11.6

Fig. 3. Pre-processed video image (normally shown in false colours) of

ultrasonic wavefronts emerging from a commercial transducer in water (a)
and results after analysis by BHT(b).

S 0.70
W 11.4

:1?~

Fig. 4.
\
Image similar to that in figure 3 with the transducer direction
changed (a) and respective results (b) .

190
fronts. Post-Hough processing has included: finding the precise beam direction from the
wavefronts, measuring the degree of symmetry about the beam major axis. In its present
stage of development the image analysis does not fully explore the capabilities of the Hough
transform. However, it is possible to extend the method to give a quality score for:
coincidence of major axis with the transducer body, side lobe structure and pulse duration. It
would be straightforward to compare the scores with pre-determined acceptable ranges. The
final result of processing could therefore be pass/fail for each transducer.

ACKNOWLEDGEMENTS
The authors would like to acknowledge financial assistance from the Comission of the
European Communities through the award of a BRITE/EURAM SME feasibility award to
Instrumentation Innovation Ltd which has enabled this work to be conducted. Luciano da
Fontoura Costa is also grateful to Fundacao de Amparo a Pesquisa do Estado de Sao Paulo -
FAPESP, Brazil, for financial support.

REFERENCES
1. Andrews, D. R and Wallis, L. J., Light emitting diode as a short duration stroboscope -
application to visualizing ultrasound, J. Phys. E: Sci. Inst. 10, (1977).
2. Andrews, D. R, Study of wavefronts in acoustic diffraction patterns using a stroboscopic
schlieren technique, 15th Int. Conf. High Speed Photog. & Photonics, San Diego, SPIE
(348)1983, pp.565-70 (1982).
3. Andrews, D. R and Turner, C. W., Investigation using visualizing methods of the critical
tolerances in a mechanically steered ultrasonic transmitter with application to concrete testing,
VIt. Int. 89 Conf. Proc., pp.1075-82, (1989).
4. Andrews, D. R, Costa, L. D. F. and Sandler, M. B., A method for quality control of
ultrasonic transducers using visualization and computer image analysis, Ultrasonics, to be
submitted (1991).
5. Costa, L. da F. and Sandler, M. B., The binary Hough transform and its implementation,
Proc. 1990 SPIE/SPSE Symposium on Electronic Imaging Science and Technology - Curves
and Surfaces in Computer Vision and Graphics, Sta Clara, pp. 183-93 (1990).
6. Costa, L. da F. and Sandler, M. B., Performance improvements and performance
evaluation of the binary Hough transform, Proc. V European Signal Processing Conference,
Barcelona, Spain, pp.693-96 (1990).

191
 A 100-ELEMENT ULTRASONIC CIRCULAR ARRAY FOR ENDOSCOPIC

APPLICATION IN MEDICINE AND NDT

H.-P. Schwarz, D. Heidmann, H.-J. Welsch,

P. Becker, and A.M. Schmitt

Department of Biomedical Engineering

Fraunhofer-Institute for NDT and Saarland
University, 6670 St. Ingbert, Germany

Abstract

We present new developed ultrasonic (us) circular arrays for endos-

copic application in medicine and NDT. The arrays consist of 100
miniaturized strip elements. The diameter of the arrays is just 10
mm . The arrays are conceived for frequencies between 3.5 and 7.5
MHz, the bandwidth has an amount of 50 %. Monochromatic and broad-
band simulations of the soundfield are performed before manufactu-
ring . Furthermore the process of manufacturing is discussed and par-
tially depicted. We present the final results and us-images obtained
from wire phantoms to determine the range and lateral resolution,
from tissue aquivalent phantoms representing medical application
and from special test specimens representing NOT-Application.

The principle of circular array us-beam steering

A circular array consists of many strip elements. These piezoelectric

elements are arranged around a cylinder (fig. 1).

:t..J
I
I

rp

Fig. 1. Schematical drawing of the circular array

Acoustical Imaging, Volume 19
Edited by H. Ermert and H.·P. HaIjes, Plenum Press, New York 1992 193
In order to steer the us-beam a subgroup of elements is electrically
excited simultaneously but with appropriate time delays (left side).
The schematical dawing shows a subgroup of three elements, in re-
ality we use 20 elements. In the next step one element on the right
side of the subgroup is switched on, at the same time one element on
the left side is turned off. In this way the sound beam of the subgroup
can be steered 360 0 around the array axis. This means, a radar like
picture is obtained.

Fig. 2. The principle of circular array us-beam steering

Calculation of the narrow and broadband soundfield simula-

tion of the subgroup

The beam profile computations and the optimization of the geometri-

cal arrangement of the new device has been performed by software,
which bases on Huygens' principle. The advantages of this principle
are, that the procedure is valid in the near and far field, that mono-
chromatic and broadband beam pattern computations can be simula-
ted, that pulse shape and pulse length may be varied and amplitude
shading of the elements is possible.

-90 -BO -70 -60 -50 -40 -30 -20 -10 0 10 20 30 40 50 60 70 BO 90

Fig. 3. The focused 20 element broadband soundfield of the array

subgroup at 5 MHz

In fig. 3 the representation of a broad band simulation of a 20 ele-

ment subgroup focused at 100 mm is shown. The frequency is 5 MHz.
The most important perceptible fact is the raise of grating lobes be-
side the main lobe. They have an amount of -16 dB. However these
calculations are "freefield" calculations. In the pulse-echo mode this
level comes down to -32 dB.

194
 Fig. 4. A microscope picture of the diced circular array

The construction of the circular array

The circular array consists of two concentric piezoceramic tubes.

The interior and the exterior tube are bonded by connective adhesive.
The space within the tubes is filled by a special material which
consists of air more than 90 %. Thus an air like backing is performed.
In the next step, the exterior and partially the interior tube is diced
in 100 strips. Each strip has a width of 250 11m (fig. 4).

- .- - ).

~
---~--

6.3 bs

If I
I _ _ -or i

r~-1~j----ri--+- 2
'-fI--l-=--'--+--I,'- 1-
- _-dS -,--r-"-j
I 16 .8: dS

I __ 1 __ '"II -L---
I -
I
,i
I

I I

I
!I---+----+-----L
1 , .I I--±--.
i
I I
I I
I I .--
,
+--1'!

Fig. 5. Lateral soundfield distribution of a subgroup with 20 ele-

ments, 3.5 MHz, depth of focus 55 mm

195
Results

A typical sound beam pattern obtained from a 20 element subgroup is

shown in fig. 5. The subgroup was excited with 3.5 MHz. The depth of
focus is 55 mm. The difference between the main lobe and the first
side lobe is 6.3 dB and 12.3 dB (freefield). The absolut level down to
the ground (electronical noise) is -16.8 dB. The -6 dB width of the
main lobe is 2.5 degrees. This fact corresponds to a lateral resolution
of about 2 mm at a distance of 55 mm.

Fig. 6. The us-images from the image phantom provided by the

circular array. The dotted line represents the real outline of
the sponge specimen.

The first us-pictures provided by a 3,5 MHz circular array are obtai-
ned with a very simple tissue aquivalent phantom. It consists of a
cylindrical plexiglass watertank with a height of 130 mm and a dia-
meter of 100 mm. A rectangular small sponge (10x20x60 mm) has
been used as a soft tissue equivalent phantom. The sponge was arran-
ged diagonally in the watertank. The ultrasonic picture is shown in
fig. 6. The exterior geometry and the interior structure of the sponge
is represented very well. The real exterior geometry is represented
by the dotted line in fig. 6.

The lateral resolution of the circular array has been determined by a

curved wire phantom, which consisted of 9 metal threads arranged on
a circle segment with a radius of 40 mm. The distances between the
wires continuously decreased from the edges to the center from 2.5
to 1.5 mm in steps of 0.5 mm. The array has been fixed in the center
of the circle. The us-representation of the wire phantom is depicted
in fig. 7. All wires are differentiated , that means that the lateral
resolution has an amount of 1.5 mm.

The range resolution has been determined by another wire phantom,

where the wires are arranged one behind the other. The smallest di-
stance between the wires was 1.0 mm. Fig. 8 shows the us-represen-

196
Fig. 7. Us-representation of the wire phantom for lateral resolu-
tion determination. All wires are distinguished, even the
threads in the center with a distance of 1.5 mm.

Fig. 8. Us-representation of the wire phantom for range resolution

determination . All wires are distinguished, even the threads
with a distance of 1.0 mm in the center.

tation of that phantom. All wires are differentiated , that means that
the range resolution has an amount of 1.0 mm at least.

In order to show the NOT - Application of the circular array, a

24x25x30 mm plexiglas cube with a 0.5 mm bore hole within has been
used . The ultrasonic representation of that test block is depicted in

197
 Fig. 9. Ultrasonic representation of the plexiglas block

fig. 9. The spot (1) indicates the frontwall of the testblock, the si-
gnal (2) indicates the backwall, (3) and (4) represent the left and
right edge and (5) the 0.5 mm bore hole within the cube.

Fig 10 represents the first prototype of a 360 0 us-circular array en -

dosonoscope, i. e. a combination of an optical endoscope with a
straight-foreward view (Storz company in Tuttlingen) and an acou-
stical circular array at the top of the instrument (Fraunhofer-Insti-
t u t) .

Fig. 10. The first prototype of an 360 0 -circular array

endosonoscope

198
Discussion

The electronical 360 0 scanning of us-beams with circular arrays for

endoscopic application has the following advantages compared with
mechanical rotating probes. The instrument is lighter than a mecha-
nical one and dynamical focusing is possible, which improves the
images quality. Future efforts intend to decrease the pulse length by
front side matching layers and backward damping and to increase the
us-frequency (up to 12 MHz) in order to improve the image quality and
the capability for tissue characterisation.

199
A NEW SECTOR IMAGING ALGORITHM USING CIRCULAR ARRAY

Qin Zhengdi* and Juha Ylitalo§

*Computer Technique Laboratory

Technical Research Centre of Finland
P. O. Box 201, 90571 Oulu, Finland
§Department of Electrical Engineering
University of Oulu, 90570 Oulu, Finland

INTRODUCTION

Pulsed-echo ultrasound sector iI!lagi~g is an important technique

especially when the angular field of Vlew IS limited, for example imaging
heart through the ribcages in medical application. Traditional techniques for
sector imaging employ focused beam scanning ( mechanically or
electronically ) in which the image resolution is limited by the focusing
properties of the transducer, especially for the big deflection angles. On the
other hand, the beam focusing technique can not achieve uniform lateral
resolution along the propagation direction even if the so-called multi-
focusing technique is used. The high cost for the accuracy of the transducer
and the complexity of the system is a big concern for popular applications.

In ultrasound holographic near-field imaging techniques, the traditional

back-propagation principle should be used where the Fresnel approximation
does not hold. The problem for the back-propagation holography is the
spectrum aperture limitation which results in the image with the same size
as that of the aperture. It is not suitable for producing the near field sector
image.

We have earlier reported a circular array holographic imaging method

for circular and sector images [1]. Afterwards it was called Q-imaging
technique [2]. In the method, the circular array configuration is treated like a
linear array one. The geometry differences are compensated for in the
frequency domain. The reconstruction process for a circular array image is
the same as that for a linear array case and FFT can be used directly in the
reconstruction process. The method can be used, as we reported, to image the
inner area ( concave side ) of the circular array.

In our later study, it was found that the principle can also be applied to
the sector imaging for the outer area ( convex side ) of the circular array. The
hologram from a sector geometry is compared to the hologram from a linear
geometry. The differences in the geometries can be compensated for in the
spectrum of the hologram and as a result, high and uniform resolution can be
achieved in the whole image area. The algorithm is easy and fast to realize.

Acoustical/maging, Volume 19
Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 201
A real-time system is achievable using modern techniques of digital
electronics.
1HEDRY
The geometrical representation of the circular array sector imaging is
shown in Fig. 1 ( left ). The elements of a transducer array are distributed
uniformly along a circular arc AB ( r = Rh) facing outward. The beam pattern
of the array elements is wide in the image plane and focused in the direction
normal to the image plane. The imaging geometry can be studied assuming a
cylindrical wavefront coming from the infinity to the circular centre. The
wavefront travels across the object arc EF ( r = Ro ) and arrives into the
hologram arc AB. Here a three dimensional cylindrical structure is expressed
in two dimensional terms since the ultrasound beam is a focused in the
perpendicular direction.

plane wave

E'~ ,. .. i i +F'
object line
....·0'
. ··
depth=Ro-Rb p~/

I.':'
A
, linear array
• • • n n.
H'
• ••
· B'

C
, C"

Fig. 1 Transform from the circular array geometry to a linear array one.

The first step is to transform the sector array geometry to a linear

array geometry ( Fig. 1, left ). The transducer arc AB and the object arc EF in
the sector geometry are transformed to the straight lines in the linear array
geometry A'B' and E'F', respectively. The centre point C of the circular is
transformed to the two points C' and e". Thus the cylindrical wave becomes a
plane wave. The transform is based on the assumption that the length of the
transducer array is kept the same in the two systems. Other dimensions with
radius r are changed according to a spatial expansion ratio 11 = Rh/r except
for the centre point. The corresponding factors between the two system are
shown in Table 1.

Comparing the two systems, it is not difficult to find that the phase
difference between the holograms is:

where A. is the ultrasound wavelength in the propagation medium and a is

the wavefront angle. It can be seen that the phase difference between the
two systems is wavefront-angle-dependent. As we discussed in [3], it can
be treated as a geometrical distortion in a linear array imaging system and
can be compensated for in the frequency domain. This is based on the fact
that the spectrum of the hologram is proportional to the wavefront angle in
the spatial domain [4]:

fx = sin(a)/A. (2)

202
 Table 1. Corresponding factors of the geometrical transform

Sector geometry Rectangular ~eometry

Transducer Array: arc AB line A'B'
Elements interval: arc Rh~q, line ~x = Rh~ c1>
Obiect: on the arc EF on the line E'F'
Wavefront: cylinder DIane
Original: Doint C line C'C"
Object range: Ro - Rh Ro -Rh

It is important to notice that after the change of the geometry, the

wavelength is also changed. Consequently the wavelength is not uniform in
the changed linear array system. This phenomenon is described by a spatial
expansion coefficient between the two system:
11 = dl'/dlr = Rh/r (3)

where dlr is the differential on the arc with a radius of r in the circular array
geometry and dl' is the correspondent differential in the changed linear
array geometry. For example, the expansion coefficient 11 equals 1 for the arc
of the transducer array since the length of the transducer is kept the same in
the two geometries and 11 equals Rh/Ro for the object arc.

To compensate for this phenomenon, it was found that the wavelength

A. in (2) should be divided by the spatial expansion coefficient for correct
reconstruction.
Referring to a linear array reconstruction process using the back-
propagation principle, the one-dimensional reconstruction process for the
object at the object arc using a circular array is as follows:

(4)

where Uh(Xh) is the hologram data on the transducer arc and Xh is the
abscissa of the transducer array in the linear field, which represents the
angular coordinate of the circular arc in the circular array system. Ui(Xi) is
the reconstructed image of the object line which can be changed back to the
object arc using the correspondents in table 1, F and F -1 denote the linear
Fourier and inverse Fourier transforms, respectively. H (fx) is the transfer
function for the linear field, B (fx) is the compensation function for correcting
the geometrical differences, and

B(fx) Ifx = sin(n)/A. = exp(11 oq,) (5)

where oq, is the phase difference in (1) and 11 is the spatial expansion
coefficient in (3).
Fig. 2 shows some results from the computer simulation. The ultrasound
wavelength used in the simulation was 0.75 mm. The left picture shows a
normal linear array reconstruction of a one-point object at the distance of
150 mm. The beam angle of the array elements was 30°. The right picture
shows a circular array reconstruction of a one-point object with the array of
the same beam form. The array radius Rh = 50 mm and the object radius Ro=
200 mm. It means that the object is at the same distance as that in the left
picture. The result shows that the image is focused properly for the circular
array simulation, but the resolution of it is not as good as that from the linear

203
 O~--------~---------,

-5 ----
1=0 -5
:s.

-10 L -_ _~----'-_ _~---'~_ _----' -10

-2 -1 o 1 2 -2 -1 0 1 2
(mm) (mm)
Fig. 2 One dimensional simulations (A == 0.75 mm, left: linear array, right: circular array)

array simulation. The reason is that the effective apertures are not the same
while the array elements of the same beam pattern are used in both systems.
As we discussed in [1], if the circular array is inward faced, the effective
aperture is larger for a circular array than for a linear array [1]. Here the
situation is just opposite, the circular array being outward faced in order to
get an outward sector image. Therefore the effective aperture is smaller than
that for a linear array if equal array elements are used.

For two-dimensional sector imaging of a circular array using the pulse-

echo model, another technique should be introduced to correct the so-called
near-filed curvature distortion. Because of the limited space, the details of
the technique are omitted here.

EXPERIMENT

A prototype system based on a water tank and a single transducer

driven by a step-motor was constructed. A 1 MHz ultrasound is used in the
experiment. The transducer is outward faced and the beam pattern of it is
wide in the direction of the circular image plane and focused in the
perpendicular direction. The transducer scans uniformly along a
circumference driven by the step-motor to simulate a circular arc array. At
each incremental step, the transducer sends a coherent ultrasound burst( 2-4
wavelengths ) and is then switched to a receiving mode to detect the
reflected echos continuously from the object area. The received signals are
treated as complex hologram data and digitized into a computer. After the
signals from one line are recorded, the transducer is stepped to the next
position for the recording of the next line. The final image is reconstructed
off-line by the computer.

The left photo in Fig. 3 shows the hologram from an object model. There
are several points in it which are made of <1>0.3 mm nylon thread. The
minimum distance between two points is 2 mm. In the measurement, the
radius of the transducer circumference was 40 mm and the radii of the
object area were from 50 mm to 146 mm. The hologram data was organized
into a 128 x 128 matrix. The incremental step of the transducer along the
circumference was 1t/256 and therefore 128 steps makes a 90 degree scan.
Along the longitudinal direction the reflected signal was sampled for each
0.75 mm and 128 sampled data points represent the range of the sector area.
The photo on the right is the reconstructed image. The reconstruction was
performed by an IBM-AT computer and the reconstruction for a 128 x 128
pixel image took about 3 seconds.

204
 Fig. 3 Experiment results from a point-like object model
Left: Hologram, Right: Reconstructed image.

mNCLUSION

A new ultrasound holographic sector imaging method based on the so-

called Q-imaging principle is introduced in this paper. Using a circular arc
transducer array and employing the holographic back propagation principle
and a circular-linear geometrical transform, the reconstruction process for a
circular array sector image is the same as that for a linear array holography.
The compensation for the geometrical differen-::es is achieved in the k-space
and the Fast Fourier Transform algorithm can be used directly in the process.
The new technique features simple configuration for data acquisition, fast
reconstruction and high resolution. A real-time system is easily achievable.

Experiments with a single transducer scanning along a circular arc (90

degree ) were performed. The results were in good agreement with the
theory. The near-field resolution was found almost uniform in the whole
image area.

REFERENCES

1. Z. D. Qin, J. Ylitalo, J. Oksman and W. X. Lii, "Circular array ultrasound

holography using the linear array approach," IEEE Trans. UFFC. Vol. 36,
no. 5, Sep. 1989.

2. Z. D. Qin, J. Ylitalo, " Q-imaging and its application", Proceedings of

Latvian Signal Processing International Conference, Riga, Apr. 24-26,
1990, pp. 41-45.

3. Z. D. Qin, A. Tauriainen, J. Ylitalo E. Alasaarela and W. X. Lii, "Frequency

Domain Compensation for Inhomogeneous Layer in Ultrasound
Holography", IEEE Tras. UFFC. Vol.36, no. 1, Jan. 1989, pp. 73-79.

4. J. W. Goodman, "Introduction to Fourier Optics", New York: McGraw-Hill,

1968.

205
ADAPTIVE BEAMFORMING FOR CORRECTION OF VELOCITY FLUCTUATIONS

CLOSE TO THE B-SCAN-ARRAY

D. Hassler, W. Harer, G. Temme

siemens AG, Medical Engineering Group

Henkestr. 127, W 8520 Erlangen
Germany

INTRODUCTION

It is well known from the literature 1 that velocity fluctuations

across the active aperture of a linear array for B-scan-imaging can give
rise to image degradation. Various methods have been proposed and tested to
compensate for image blurring of this origin. We have investigated a method
very similar to the one published by O'Donnel and Flax 2 in 1988. Results
showing up the merits and limits of our method named "adaptive antenna" 3
are to be presented in this report.

PRINCIPLE

The basic idea of the correction procedure is to be outlined with the

help of the simple model of Figures 1 - 4. A linear array receives echo
signals from a point target in a homogeneous medium indicated by straight
lines. The delay electronics -2 5 imitates the mechanical focusing by a
curved aperture resulting with all individual signals u2 Us in phase
(Fig. 1).

Er~ctronlcLllly
Curved Aperture
/'

linear Array

'\ \ \ \
'\\ "
'\\\\
\\\\
\\\\

Point Target

Fig. 1 Electronically Focused Receive

Mode

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 207
 suppose now there are two tissue types of different acoustic
velocities cl' c2 with an irregular border line between the areas as shown
in Fig. 2. Neglecting refraction the different path length in both
transmission media result in time delays between electronically focused
signals of individual array elements that are dependent on the shape of the
border line. Individual receive signals are not perfectly in phase.

Receive Signals
Qutol Phase

UnearArray

Cl
r---- Border Line
C2
Delay Difference
Point Reflector
1>1:1 =I>ZI (i,-~)

Fig. 2 Distorted Receive Focusing

When correlating the focused echo signals of adjacent array elements

as is depicted in Fig. 3 this time delay causes the maximum M of the
correlation function to deviate from zero delay. The deviations -M can be
measured for all elements and further processed to get delay values for the
correction of the electronic focusing.

Qlt) 12
Q(1:)=Kf U1 (1). u2(1-1:)dl
11

Correlation Function

Fig. 3 Correlation of Signals from

Adjacend Array Elements

When applying this procedure to echo data of a speckle phantom

disturbing time delays can still be measured, when averaging over an image
field of sufficient size is used and deviations from the scan geometry are
avoided, which might occur due to single strong point reflectors.

The whole procedure starts with conventionally focused transmission. The

correction values are either used in receive mode only or applied to
focusing during a subsequent transmission and receive cycle to form an
iteration step.

When refraction is taken into consideration the straight line model

no longer is valid. Fig. 4 symbolizes this situation with broken optic
rays. The border line must be very close to the array to avoid problems
stemming from refraction effects. It was the aim of this work to reveal the
amount of refraction, which can be tolerated with this type of correction
algorithm.

208
 Electronically
Curved Aperture
/'

r---- BOlde, line

Polnl Rellector

Fig. 4 Receive Mode with Refraction

Effects

MATERIAL AND METHODS

In our investigation we used an arrangement and distortion plates

with a symmetrical triangular cross section as shown in Fig. 5. They are
made from materials with sound velocities 1000m/s or 2000m/s. The plates
were placed on top of a speckle phantom in water and the distance of the
plates to the front face of the array was varied from 5 to 20 mm.

J~tx Scan
~---.B Array 2.5 MHz p. = 0.6 mm)

~¥,~,-:!:!:;~'00.±f;4!:!:::J'===fIH Amplitude
f 0.9 mm
g 150 ns
Ii::! 0.375 A

Period

Wlro-or Speckle-Phantom (with cyst)

Fig. 5 Arrangements for Measuring

Raw-Data

64 elements of a 2.5MHz linear array suited for electronic sectorscan

were used as a constant active aperture. This aperture of 22.4 mm was
mechanically parallel scanned over 36mm in 36 steps. A single
transmit/single receive (n x n) synthetic antenna system was used to get
the RF raw data for executing the adaptation process and forming the image
on a VAX computer system with an imaging processor hooked on. Dynamic
focusing is used on transmission and reception. The echo level is linearly
transformed into image brightness.

RESULTS

Fig. 6a shows the B-scan-image of two cysts in a phantom

approximately 60mm and 90mm deep. The image of Fig. 6b results when a
distortion plate of 150ns peak to peak amplitude and 10mm period is used on
top of the phantom and 20mm off the array. The cysts are imaged much worse.

209
 Fig. 6a Fig. 6b Fig. 7a Fig. 7b
Period 10rnm; Distance 20rnm Period 10rnm; Distance 20rnm

The correction on receive only improves the representation of the

cysts to the level seen in Fig. 7a. The iteration with corrected
transmission focusing yields the image of Fig. 7b. showing a slight further
improvement. Contrast between cyst image and speckle area around the cyst
has been restored from 51% in the distorted, to 88% of the original
undistorted case.

When the period of the distortion plate is reduced to 5 mm - half the

previous value and all other parameters are kept as they were,
destruction is similar but the correction process does not show any
improvement in image quality.

Contrary to this the correction works perfectly, when the distance

between plate and array is reduced from 20rnm to 5rnm. (Fig. 8, 9). The
restoration of contrast is 91 % for receive only and 100 % with iteration
from 67 % in the distorted case.

Fig. 8a Fig. 8b Fig. 9a Fig. 9b

Period 5rnm; Distance 5mm Period 5mm; Distance 5rnm

210
 Table. Results from Distortion Plates.

amplit. (ns pp ) iperiod (rnrn) idistance (rnrn) irestoration %

150 10 20 88
150 5 20 o
150 5 5 100

An intuitive explanation for this can be found when looking at the

ray-refraction of the plates. In Fig. 10 from below a parallel wavefront
representing the undistorted echo impinges on the distortion plate of 5 rnrn
period. In 5rnrn distance to the plate an array would receive rays, which
have not yet crossed each other to a substantial amount. The corresponding
image blurring can be compensated by the restoration process as stated
above.

llrmvntW :m
~
:I:~t l~~~ ~~~~:
:~ ~r ::n m~ •
:

\ Wi ~:~ 1tl ~N
Wi !
11 .!l\ gl iJf~ :~!\ Ni. II
I' JIll 1111 1111 , III lU I "
Atr ay........... ll Ji l l " " 11 11 1 11 1 1111 "

:m : :~ : :: 30
" 1 11 1 111 1 11 11 1 111 1 111 "
'" ~~ :~n : ~: : : :~ :
T 0" ll_Lue.•t-JJIlL.LllL..I....LUU ....J.JAJ...U ~ x
(mm)
,
(mm)
5 · 11H1~'~H\tt:lfilrl:l~ I\J-el-I'ttI\l ""'-T r rollg ul [l' proto
Period 5 mill
Ampll1. 150 n s

Incornlng Echo t========== Parallcl Wavefront

Fig . 10 Ray Re f r acti on a t the

Distortion Layer
Pe riod 5rnrn; Distance 5rnrn

In contrast to this the array at 20rnrn distance will see crossed rays
only; the correction does not work.

As a confirmation Fig. 11 shows the plate with the longer 10rnrn period
wi th only few crossings up to 20rnrn distance well corresponding to the
positive result of the correction algorithm.

30 (mm)
•

"'-Trl(lIl g llt~r PI"to

Pc.lod 10 mm
Amp'U. 1SO ns

Fig. 11 Ray Refraction at the

Distortion Layer
Period 10rnrn; Distance 20mrn

211
 A refinement can be made by taking diffraction into account. But this
will not change the essence of the explanation.

To estimate which amount of disturbance might be encountered in real

tissue we made the following comparisons: As refraction is supposed to play
the major role the delay function along the scan axis was measured for
probes of human subcutaneous tissue 4 using a time-of-flight transmission
technique in vitro. The slope of the delay function was calculated and
compared to the one of the plates. The maximum slope of the plates used was
60ns/mm. As an example the measured values of one of the specimens is shown
in Fig. 12. The slopes reach by far larger values. The distance to the
array is not defined by the measurement, but can be estimated from the
dimensions of the tissue samples to have the same order of magnitude as
with the distortion plates (20mm max.).

Slope (ns/mm)

600

DlSlortion
~Tl9sue
/Plate

.450 L-..J....-'-_'-..L...-'---''--'--'--'-_.l.-..J....-'-_
o 10 20 30 40 50 60 (mm)

Fig. 12 Slope of Time Shift for Human

Subcutaneous Tissue

Calculating the root mean square or effective value of 16 samples

results in an average value of 27ns/mm. This is half the effective slope
value of the triangle of 60 ns/mm. The standard deviation is a relatively
high 33,5 ns/mm. We therefore draw the conclusion, that cases which cannot
be corrected with the method will probably be found in the clinical
situation.

REFERENCES

1. D. Hassler, W. Harer, G. Temme, E. Schmidt, P. Wegener, P.

Krammer, Degradation of Image Quality by Sound Velocity
Fluctuations and its Dependence on the Aperture Size, in:
IEEE Ultrasonics Symposium, B. R. McAvoy, Denver, Vol. 2,
935-938, (1987)
2. M. O'Donnel, S.W. Flax, Phase-Aberration Correction Using
Signals From Point Reflectors and Diffuse Scatterers:
Principles & Measurements, in: IEEE Trans. ultr.
Ferr.Freq.Contr., Vol. 35, No.6, 758-774, (Nov. 1988)
3. German patent P3628220, US patent 4.817.614,
priority Aug. 20, (1986)
4. P. Krammer, D. Hassler, Measurement of spatial Time-of-
Flight Fluctuations of Ultrasound Pulses Passing Through
Inhomogeneous Layers, in: IEEE Ultrasonics symposium, B.
R. McAvoy, Denver, Vol. 2,939-942, (1987)

212
SOUND SPEED FLUCTUATIONS IN MEDICAL ULTRASOUND IMAGING
COMPARISON BETWEEN DIFFERENT CORRECTION ALGORITHMS

Raoul Mallart and Mathias Fink

Laboratoires d'Electronique Philips
Limeil-Brevannes, France and
Laboratoire Ondes et Acoustique
UniversiM Paris 7/ ESPCI Paris, France

A current trend in diagnostic ultrasound is the use of high imaging frequencies

and large apertures yielding an increased image quality and lesion detectability.
However, in many applications, sound speed inhomogeneities induce phase aberra-
tions that limit the expected resolution of these sytems. For example, the speed of
sound in abdominal fat is about 1460 mls while it is about 1560 mls in liver and kid-
ney. Moreover, the phase aberration pattern varies from patient to patient, and main-
ly depends on the fatty content of their abdominal wall. Therefore, one challenge of
modern echography is to provide the best possible image quality and lesion detectabi-
lity across a population of patients. This requires the ability to, in vivo and in real
time, measure and correct the phase aberrations.

PRINCIPLE OF PHASE ABERRATION CORRECTION

The phase aberration problem was first encountered in astronomy where the re-
solution is often limited by atmospheric distortions. Initial attempts to restore image
sharpness involved post-detection techniques that turned out to be inefficient. Real-
time compensation of the telescope optics was then proposed as an alternative. The
idea is to measure and compensate with a correction plate phase distorsions across
the imaging aperture. Babcock l suggested the utilization of an bright star as a refer-
ence light source. This technique is limited because such a reference cannot be expec-
ted everywhere. To overcome this limitation, Muller et al. 2 introduced a measure of
the image sharpness that is adaptatively maximized.
The same concepts are valid in the ultrasonic modality where additional beam
forming delays can play the role ofthe correction plate. However, notice that in ultra-
sonic imaging, the same probe is used to illuminate the medium and to sense the scat-
tered field. The incident ultrasound beam is thus distorted as well. Notice also that,
due to the slow velocity of sound, the phase information is directly available while in
optics, only the average intensity over the response time ofthe detectors is available.
In a similar approach to that proposed by Babcock, the distortion induced by the
explored medium is measured using a reference. Such reference (or beacon) could be
for example a ultrasonic source inserted in the body (with a catheter) or a strong re-
flector. The plane or spherical wave front emanating from the beacon is sensed by the
array elements. The time of arrival sequence is the opposite of the firing sequence re-
quired to focus on the beacon. An illustration ofthis technique is presented in Figure
1. There, we show transmitted beam profiles as well as the wave fronts reflected on a

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 213
 o dB W.llC;tpMtl
;j,;~;;
-5

-10

-25 ' .,.......... . . ..

'.,.' "

-30 L......._ _--'L...-_ _---'-_ _ _---L._ _ _....J

-10 -5 0 10

X scan . mm
Figure la. Transmitted beam profiles through Figure lb. Wave fronts received by the array.
water, through an aberrating layer and the Top water path, middle through the aberrator,
aberrating layer after correction. bottom through the aberrator after correction

needle target and sensed by the array for a non-aberrating medium (water), through
an aberrating grooved rubber layer and through the same layer after correction_

PHASE ABERRATION CORRECTION WITHOUT THE NEED FORA BEACON

SIGNAL
The major limitation of the above technique is that a beacon signal cannot be ex-
pected everywhere in the medium to be imaged. A viable technique for phase aberra-
tion correction in medical imaging therefore must be able to measure time of arrival
error across the transducer array from the echoes produced by a distribution of scatte-
rers. Insight to that problem is reached through a careful study of the pressure field
scattered by a random medium and its relation to the focussing ofthe incident ultra-
sound beam.
Focussing and Backscattered Pressure Field - Focussing Criterion
An original point of view consists in considering the pressure field reflected by a
scattering medium as ifit was produced by a spatialy incoherent source 3 . The aper-
ture function of this equivalent source is the energy beam profile I(x) of the incident
ultrasound beam_ The spatial correlation pattern ofthe scattered field can thus be ap-
proached through a version of the van Cittert-Zernike theorem, a well known theo-
rem of statistical optics4 . The cross-correlation between the signals sensed on two
different array elements will depend only on the spacing ofthe two elements and on
the incident beam profile_ Let R(x) be the spatial correlation function ofthe scattered
field. R(x) is equal to the Fourier transform ofI(x).
It is well known that for a linear transducer array of width D focusing at depth
F, I(x) is proportional to a sinc2 (DxIF A) function. The spatial correlation function R(X)
will thus be a triangle function of base 2D. In contrast, if the medium is insonified
through an aberrator, I(x) will be wider, thus producing a scattered field with a narro-
wer spatial correlation function. These results are illustrated in figure 2 showing the
spatial correlation R(X) for a non aberrating medium as well as for an aberrating one.
This observation suggests the possibility of measuring non-invasively the extent of
the phase aberration in a medium. A very useful possibility in our studies. However,
the necessity of estimating the entire spatial correlation function makes this aberra-
tion measure unpractical.

A simpler and more useful parameter can be extracted from this correlation ana-
lysis. A normalized energy of a pulse echo signal can be defined as the ratio of the ac-

214
 1.0
Thee,.,.'"
...... t t pK/I.

A;:;;. . ;07

,,
0.6 ,
\,
0.4 ,

0.2
...... " ......
.. "", I ...

" '..:.
O.O':-_---'-:--_--L.:--_- ' - _ ' "'- " '" '....'_-_-.:..'~
,''--_ _
o 10 15 20 2S 30

Distance in number of elements Figure 3. Rf signal pattern as received by the

array elements through an aberrator. Top no
Figure 2. Spatial correlation function of the correction, middle, correction on receive only,
pressure field. bottom correction on transmit and recieve. The
number are the corresponding c values.

tual energy of the beam formed signal to the sum of the energies of the individual si-
gnals received by each transducer element:

f s2(t)
c
N I, f s~(t)'
This parameter can be shown to be proportional to the integral of the square of
R(X). This normalized parameter is therefore directly linked to the severity of the
phase aberration and more precisely to the degradation of the incident ultrasound
beam. It therefore provides a focusing criterion that is maximum for perfect focus
(cmax= 2/3 for a linear array) and that decreases monotonously with the beam profile
degradation. Note that this parameter is linked to the often observed decrease of the
average intensity of speckle in the presence of phase aberrations 5 .
Cross-Correlation Based Phase Aberrations Correction
In addition to this criterion, the above spatial correlation analysis provides the
basis of the measurement of the time of arrival error across the transducer array. A
widely used estimate of the time delay between two signals is the time lag correspon-
ding to the peak of their cross-correlation6 . Such cross-correlation based techniques
require a significant correlation between the signals in order to provide accurate time
delay estimates. A relatively low cross correlation is sufficient if the analysis region is
long enough. Unfortunately, long regions cannot be used because the time delay is
depth (i.e., time) dependent. The van Cittert-Zernike theorem tells us that neighbo-
ring transducer elements will sense signals whose cross-correlation depend on the in-
cident beam profile. For a perfectly focussed beam. quite high a cross-correlation is
expected. However, this cross-correlation will decrease as the transmitted ultrasound
beam is degraded. Still, in medical imaging applications the transducer array pitch is
fine insuring a sufficiently high correlation between neighboring signal thus allowing
at least a rough time delay estimation.

The practical realization of an ultrasound imaging system providing phase aber-

ration correction can be considered 7 . In such a system, the correction scheme consists
oftwo steps. The first step is a measurement step in which an ultrasound beam is fi-
red and the time delay between each pair of signals received on neighboring array ele-
me~ts are estimated. The second step is an imaging one in which the time delay
estImates are used to compensate the phase errors in transmit as well as in receive.

215
These two steps are illustrated in figure 3. In some extreme cases, the low cross corre-
lation between the signals induce errors in the delay estimate. Such cases can be de-
tected based on the above-defined focussing criterion. It can then be decided to iterate
the estimation process untill the criterion reaches a threshold. Figure 3 also shows an
example of the use of this criterion.
Image sharpness based phase aberrations correction
A direct transposition to ultrasound of Muller's image sharpening telescope 2
was proposed by Nock et al. 8 . The available phase information is not used. Instead, an
image sharpness function is maximized with a trial and error scheme that optimizes
sequentially the time delay of each array element. In this technique, the trial of a de-
lay on a single array element requires a transmitireceive sequence.
This technique could be viewed (mistakenly) as a maximization ofthe energy of
the beamformed rf signal with respect to the beamforming delays. That is the maxi-
misationof

= K+ L.f Si(t-ti)Sj(t-tj)
i"j

with respect to the ti. However, if we try this maximization on a set of acquired rf
lines, the technique fails as soon as the aberrator is inserted and the medium is ran-
dom.
To understand this result we can notice that the trial of a delay on a single array
element requires a complete transmitireceive sequence. Therefore in each trial, the
si(t) are modified. The important role of this modification is explained through our fo-
cussing criterion which is equivalent to the sharpness measure. We have seen that
the normalized speckle intensity is very dependent on the transmit beam profile.
When a delay is tried on transmission, an improvement or a deterioration of the beam
will have a significant influence on the speckle intensity. For this reason, we believe
this technique is an adaptive improvement of the incident beam profile rather than a
receive mode correction.

MERITS AND LIMITS OF THESE TECHNIQUES

Both techniques allow a robust correc-
tion of the phase aberrations induced by a
ID aberrator placed in the very near field of 0 dB
the probe. Both Flax and O'DonneU7 and
Wi\ltrpatb
io-.t;;mor
Trahey et a1. 6 observed significant image -5 ~~.~

quality improvements in their experiments

involving grooved rubber layers placed be- -10
tween the probe and a tissue mimicking -15
phantom. Similar succesful experiments
were performed in our laboratory. How- -20 / / /
ever, the utilization of these techniques for
in vivo image quality restoration rises some -25 -,:./
questions.
-30"-,'_--"""..1.-_---'_ _- ' -_ _.1.--_--'-_----'
• What is the robustness of these -12 -8 -4 0 4 12
techniques in realistic situations?
• Do we need to correct every single X scan. mm
line in a sectorial scan? Figure 4. Beam profile of a linear array
• Do we need to estimate a delay for through a 2D aberrator. The aberration am-
every single array element? plitude is one A., its coherence length 5 mm.

216
 o dB o dB
Wall~rpath

47~-- 27;:;~--
-5 6i~·-
-5
4i~~'-'

/--
-10
,/>!\/.- -10

-15 -15

/,('--' .. / .. _ .. "
-20 -20
/<~~: . '"
-25 _//' ••--/ -25 <c-
----~'---
_"".'Cl...':....
•• _ - - L _ _....l-_ _L..-_...:L_----J
-30L.:.··~·
_6-~.J._-3-----l0--.-J...---.:::,.l--...:.:..J
-30'-::_9--.....
-9 -6 -3 o
X scan. mm X scan. mm
Figure 5a, Beam profiles of a linear array Figure 5b. Corrected beam profiles of a linear
through a ID aberrator at various depths. array through a ID aberrator at various depths.

Realistic in vivo situations involve aberrators at any depth and of any shape, the
very near field model being an oversimplification of the complex reality and 1D as-
sumption being justied only because out of image plane focussing is currently not pre-
formed, We have designed experiments to assess these problems. Reasonable beam
profile improvements can be acheived for extremely severe 2D aberrators (Figure 4).
However, even though the aberration severity decreases with the probe-aberrator di-
stance, the efficiency oftime delay based technique also decrease (Figure 5).
The correction of every line of a sectorial scan is definitely required as soon as
the aberrator is more than a simple layer on the probe surface. We believe (this needs
to be verified with adequate phantoms or in vivo) that the abdominal layer is thick en-
ough to require many corrected lines per image.
In most cases, the wave front distorsions are rather smooth. It thus seems reaso-
nable to think of a system in which the same correction delay is applied to a group of
array elements. The idea is to speed up the delay estimation or reduce hardware re-
quirements. This implies in the correlation technique to estimate the time delay be-
tween signals sensed on distant array elements. The van Cittert-Zernike theorem
tells us that their correlation will be very low in the presence of an aberrator and that
the estimated time delay will be unreliable. This was indeed observed experimentally
in our laboratory. The situation is different for the other method which consists in an
adaptive improvement of the incident beam profile that does not require a paramter
estimation relying on the spatial correlation of the scattered field.

CONCLUSION
The problem of the restoration of ultrasound image quality degraded by phase
aberrations is presented and discussed in the light of the van Cittert-Zernike theo-
rem. This discussion yields an interseting interpration oftwo promising correction te-
chniques. Limits of these techniques for realistic situations (2D aberrators and
non-zero probe-aberrator distance) are investigated. Definite conclusions would re-
quire in vivo experiments or realistic tissue phantoms. However, these would require
better knowledge of the aberrating phenomena than is currently available.

REFERENCES
1. H.W. BabcockJ. Opt. Soc. Am. 48, pp 500-, 1958.
2. R.A. Muller and A. Buffington "Real-time correction of atmospherically
degraded telescope images through image sharpening". J. Opt. Soc. Aln. 64 pp
1200-12101974.

217
3. L. Nock, G.E. Trahey, S.W. Smith. "Phase aberration correction in medical
ultrasound using speckle brightness as a quality factor". J. Acoust. Soc. Am. Vol
85 pp 1819-1833 (1989).
4. S. W. Flax, M. O'Donnell. "Phase aberration correction using signals from point
reflectors and diffuse scatterers: Basic principles". IEEE Trans. on Ultras.
Ferroelec. and Freq. Control. Vol 35 pp 758-767 (1988).
5. R. Mallart and M. Fink "The van Cittert-Zernike Theorem in pulse-echo
measurements" submitted to J. Acoust. Soc. Am..
6. J.W. GoomanStatisticalopticsJ. Wiley & sons New York 1985.
7. G.E. Trahey, S.W. Smith "Properites of acoustical speckle in the presence of
phase aberration, Part 1: First order statistics". Ultrasonic Imaging Vol 10 pp
12-28 (1988).
8. J.S. Bendat a&l AC. Piersol, Random data. Analysis and measurement
procedures 2 n edition J. Wiley & sons New York 1986.

218
SPURIOUS ECHO GENERATION IN PULSE PIEZOELECTRIC TRANSDUCER

FOR ACOUSTICAL IMAGING AND ITS REDUCTION

N. Lamberti and M. Pappalardo

U niversita di Salerno
Istituto d'Ingegneria. Elet.tronica
Via S. All'mde, 84081 Baronissi (SA), Italy

INTRODUCTION

In the pulse-echo acoustic imaging systems, a piezoelectric transducer is used to generate an acoustic
pulse and to receive the echo produced by the target. When the echo arrives on the transducer surface
it is partly transmitted in the transducer body, partly reflected again. On the target it experience
an other reflection and then it corne back to the transducer producing a second unwanted echo. This
phenomenon generates a strong artifact in the image if the spurious echo amplitude is comparable with
that of the first true echo.
In this paper we analyze the generation of the spurious echo and we describe a new technique to
improve the ratio between the amplitudes of the principal and the spurious echo.
This tecnique has been successfully applied to reduce of about 5 dB the spurious echo in annular
transducer for echographic medical applications.

THE EXTENDED TRANSDUCER MODEL

Fig. 1 shows a typical piezoelectric transdncer, it is composed of a piezoelectric ceramic plate, a

backing and one or more layers to acoustically match the piezoceramic plate to the load (matching
layer).

Backing p Target

-- Vt
Vr
Figure 1. Geometry of a typical mono dimensional piezoelectric transducer.

We describe the behavior of the transducer by means of the classical monQ dimensional thickness
mode model [1].
If F is the force acting on the interface transducer-load due to the application of the voltage Vi to
the electric port, we can define the Transmission Transfer Function (TTF) as the ratio:

TTF= F. (1)
Vi

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 219
 Let us suppose that the wave W generated by F propagates into the medium without loss and that
it is completely back reflected by the target. If Vr is the voltage across the electric transducer port
due to the reflected wave W, we can define the Reception Transfer Function (RTF) as the ratio:
v,.
RTF=p (2)

and the transducer Insertion Loss (fL) as:

IL= Vr =TTF.RTF. (3)

V;
When the wave W, reflected by the target, comes back to the transducer surface it is partly reflected
again, partly transmitted in the transducer body. If Fr is the reflected part of F, the ratio between Fr
and F is the reflection coefficient of the transducer:
Fr
TRC=p (4)

In this mono dimensional analysis, we assume the transducer-load interface infinitely extended in the
plane perpendicular to the wave propagation direction and we compute the reflectiun coefficient on the
interface liquid-solid by the classical expression [2]:

(5)

where Zr(f) is the transducer acoustic impedance seen by the load [1] and ZL is the load acoustic
impedance.
With reference to fig. 1 Wr is the reflected part of W, this component interferes with W itself and
the resulting wave, Wr - W, propagates to the target and then it is back reflected to the transducer.
On the transducer surface the force Fr - F, resulting by the interference, is converted in the voltage
Vrr at the electrical transducer port. To evaluate the effects of the spurious echo on the transducer
performances we define a new transfer function, the Spurious Echo Transfer Function (SETF):

SETF = Vrr = F . Fr - F . ~ = TTF. (TRC _ 1). RTF =

V; V; F Fr-F

lL· (TRC -1) (6)

The second unwanted echo makes a double run compared to the principal one; in order to take into
account this circumstance we introduce an appropriate loss coefficient Rb in the SET F:

SETF = Rb' IL· (TRC - 1) (7)

PHYSICAL INTERPRETATION OF THE SPURIOUS ECHO GENERATION AND A NEW CRI-

TERION FOR THEIR REDUCTION

The typical transducer consists in a backing, a piezoceramic plate and one matching layer (fig. 1).
To analyze the generation of the spurious echo we computed, for this system the SET F around the
piezoceramic resonance frequency fa. Fig. 2a shows the amplitude of the SET F in dB versus f, for
a typical value of the backing acoustic impedance ZB = 7 MRayl. Observing this figure we can
see a minimum at the frequency fa which we can call an "hole" in the SET F band. To explain this
behavior we compute the reflection coefficient of the transducer. Fig. 2b shows T RC(f) in the complex
plane; it turns one time around the origin of the complex plane and then, increasing the frequency,
the reflected wave Wr is two times opposite in phase with the incoming wave Wand one time in phase
with it. For this reason ITRC - 11, which appears in eq. (7), has a minimum between two maxima
which is responsible for the "hole" in the SETF band. Further, because TRC is opposite in phase the
incoming wave, some maxima in the SET F band appear and the spurious echo can be comparable in
amplitude with the principal one, creating the unwanted artifacts in the image.
To analyze the influence of every component of the transducer on its reflection and the generation
of the spurious echo, let us study the behavior of the transducer of the previous case, without matching
layer; i.e. a system composed of the load medium, the piezoceramic layer and the backing medium.
Fig. 3 shows the IS ET FU)I and the T RC(f) for the present case. As it can be seen from fig. 3, the
SET F has no hole in the band because T RC is in phase with the incoming wave in all the band.

220
 c b
-10 1.0
~
III 0.•
"0
~-30 U
0.2
'"
"0 ~
.;! ..§ -0.2
=a.-~
E -0.'
....:
-70 -1.0
0.> 0.7 0.0 1.1 1.3 1.5 -1.0 -0.' -0.2 0.2 0.' 1.0
fifo Re [TRC]
Figure 2. Spurious Echo Transfer Function and reflection coefficient of thf" transducf"r showf"d in fig .

.....-. 0.1
tJ

~ 0.0
.§
-0.1

~--~~o.~7~--a~.•~~~I~.I--~~,~~~~I.'
-t~.. -O··•.':-.--~-".-'::.7--~R-e~0~t'TR-C~]~-.....·-~........-J,,o
fifo

Figure 3. Spurious Echo Transfer Function and reflection coefficient of the unmatched transducer.

Therpfore, in order to have at least one hole in the S ETF band, the reflected wave Wr must bp, as
the frequency increases, almost two times opposite and one time in phase with the incoming wave W.
Applying these considerations, in order to have a significant spurious echo reduction, we can modify
the T Re phase to obtain destructive interferences between the wave reflected by the transd ucer surface
and the incoming one. This can be simply obtained inserting on the front face of the transducer a
layer of appropriate impedance and thickness which acts as a delay line for the signal reflected by the
transducer. In this way we can create deep holes in the SET F band which turn out in an amplitude
reduction and a length broadening of the spurious echo. The acoustic impedance of this layer must be
near to that of the load in order not to influence significantly the principal echo.
A first criterion to design the delay line could be obtained from eq. (7) which states that an infinite
hole can be obtained at the frequency 7 when
TRe(1) =1 (8)

From eq. (5) we have that eq. (8) is verified if and only if ZI. = O. Evidently we must find a different
criterion to design the delay line.

THE DESIC.;N OF THE DELAY LINE

Fig. 4 shows the principal and t he spurious echoes for the transducer of fig. 1 computed Fourier
anti transforming / /0 and S ETF r"s!wctiv"ly. The ratio between the two peak-to-peak amplitudes is
only of 1.6 dB, whil" the time duration of the spurious echo is greater than that of the principal one
of about 0.,') IlS.

Principal
Spurious

,-, ,-

1.5 2.0 2.5 3.0

(JiS)
Figure 4. Principal and spurious echo of the transducer with an optimum matching layer.

221
 c .• f----t-'<tJ.:-+-----'''IfIJiO:"""--+---'''"oIIIIII;t;:::-----"1

Figure 5. Spectrum of the holes in the S ETF band, computed with a delay line with Zd = 2 Mrayl.

To evaluate the influence of the delay line on the behavic.r of t.be transducer, we comput.ed the
spectrum of the minimum frequencies (holes) in the SET F band as a function of the delay line
thickness td (fig. 5). In this figure the centers of the circles are placed at the central frequency of the
holes, while their diameters are proportional to the depth.
For a significant spurious echo reduction we are interested in having deep holes as near as possible
to the resonance frequency; in fact, in this way we obtain a narrow SET F band and consequently a
time duration broadening and a pulse amplitude reduction of the spurious echo. As it can be seen,
this happens for td = >./2 and for td = 2>'.
Fig. 6 shows the results obtained with td = >./2. The ratio between the two amplitudes is 4.3 dB

Principal
Spurious
Q)
""0
::J
:=a.. 0
E
-c( -1

_2L--L__L-~~__~~__~-L__L--L__L-~
0.0 0.5 1.0 1.5 2.0 2.5 3.0
(1lS)
Figure 6. Principal and spurious echo of the transducer with a delay line (Zd = 2 Mrayl, td = >./2).

with an increase of2.7 dB compared to the case without delay line. We also verified that, with td = 2>',
an increase of only 1 dB compared to the case without delay line is obtained.
To optimize the value of the acoustic impedance of the delay line, we performed the previous anal-
ysis with Zd = 1.4, 1.7 and 2.5 Mrayl. Acoustic impedance values less or greater than these ones are
not examined because too different from the load (usually water). Also in these cases the best results
are obtained with td = >./2 but they are worse than those obtained with Zd 2 Mrayl. =

CONCLUSIONS

The spurious echo is generated by the interference, on the transducer surface, between the principal
echo and its reflection on the liquid-solid interface. The criterion to reduce the spurious echo amplitude,
without modifying the principal echo, consists in the insertion, between the transducer and the load,
of a layer (delay line) to modify the phase of the reflected wave and then to restrict the bandwidth
of the SETF. The design of the delay line can be made selecting its thickness equal to one half of the
wavelength at the resonance frequency of the transducer. The acoustic impedance of the material of
the line must be computed maximizing the ratio between the two echoes, without enlarging the time
duration of the principal one. We successfully applied this design criterion to an annular transducer for
echographic medical application. Fig. 7 shows the principal and the spurious echoes of this transducer,
the ratio between their amplitudes is 13.5 dB. This ratio, better than that obtained theoretically, can
be easily explained considering that we analyzed a typical transducer with an optimized matching

222
 Figure 7. Me'J.Sureo principal and spurious echo of the transducer without delay line.

layer. It can be proved, by the proposed model, that an error of only 1 Mrayl on the optimum value of
the acoustic impedance of the mat.ching layer generates echoes whose amplitudes are comparable with
the measured ones.
Fig. 8 shows the pulses obtained adding on the front face of this transducer a delay line made by
polyurethane. The ratio between the two ampiitudes is of 18.6 dB which is 5.1 dB better than the
results obtained without the delay iine .

Figure 8. Measured echoes of the transducer with a delay line.

REFERE],;CES

[1] l\. Lamberti, P. E. Giua, M. Pappalardo. Madello Malnciale e suo lmpiego nell'Ottimizzazione
della Risposta lmpulsiva del Trasduttore Piezoelettrico Mult,elemento. C.N .R. Ld.Ac. R.S. n.
61. Roma , 1987.

[2] L. E. Kinsler, A. R. Frey. A. B. Coppens, J. V. Sanders. Fundamentals of Acoustics. John Wiley

& Sons, New York, 1982.

223
 OPTIMIZATION OF DYNAMIC RECEIVE FOCUSING

IN ULTRASOUND IMAGING

Mustafa Karaman, Abdullah Atalar, and Hayrettin Koymen

Department of Electrical and Electronics Engineering

Bilkent University, Bilkent, Ankara 06.533 (Turkey)

ABSTRACT
A new technique for the optimization of dynamic receive focusing in phased-array
ultrasound imaging is proposed to obtain a uniform image quality throughout the sector. The
technique is based on the optimization of the focus timing to maximize the received back-
scattered signal energy associated with the receive focal point having an impulsive reflectivity.
The proposed and conventional dynamic focusing techniques focusing at radial and raster
points are compared by means of the computer simulations, where a considerable improvement
in image quality is achieved.

INTRODUCTION
Phased-array ultrasound imaging techniques have been extensively used in modern
medicine for diagnostic purposes. In ultrasound imaging, short bursts of ultrasound are trans-
mitted, and echoes reflected from the internal structures of the human body are recei ved by
an array of piezoelectric transducer elements [1]. Ultrasound sector images are reconstructed
by employing beam steering and focusing. In the transmit case, the steering and focusing are
achieved by sending appropriately delayed pulses while in the receive case this is performed
by properly delaying the received signals at every array element and summing them. The
receive focusing is carried out for each image point, and this is called dynamic focusing.
Conventional ultrasound imaging techniques employing a single transmit focus per scan-
slice, result in a non-uniform beam pattern in the axial direction: the most of the transmitted
energy is concentrated at the focal region and the beam spreads out at the places towards the
array and beyond the focal point [1-3]. This results in a non-uniform image quality within
the sector. The resolution around the transmit focal point is significantly better than the
resolution at the areas away from the focus. In conventional ultrasound imaging, on the other
hand, the dynamic focusing is carried out for radial points, and the signal values corresponding
to the raster points are then obtained by means of scan-conversion H]. This approach, however,
have some drawbacks such as the hardware overhead and image quality degradation due to
the scan-conversion. Alternatively, it is possible to perform dynamic focusing directly to the
raster points.
In this paper, we propose an imaging technique based on the timing optimization of
the dynamic focusing to have a uniform image quality throughout the sector. The proposed
and conventional focusing techniques focusing at radial and raster points are compared by
means of computer simulations, where a significant improvement in resolution of point spread
function (PSF) is observed.

Acoustical imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 225
DYNAMIC RECEIVE FOCUSING
Dynamic focusing is handled either by analog or digital circuits [5]. These techniques
are based on the focus timing adjustment by analog delay lines [6] and by sampled-delay
schemes [7,8], respectively. In the former approach, dynamic focus is achieved by properly
delaying and summing the received signals, while, in the sampled-delay approach, dynamic
focus is carried out by sampling the received signals at the appropriate times, and summing
them.
For the analog case, the overall received echo signal, u(p, t), for a point p can be
expressed as

u(p, t) =L
n=lk=l
N N
L
WnWk is
R(r, n, k)Zk(t - Tnp - tkl'n - Tlcp)ds (1)

where, p and r are points at (xp, yp) and (x, y), respectively, N is number of array elements,
Wi is apodization coefficient for i'th channel, R( r, n, k) is reflectivity of the unit area at point
r for a signal coming from k'th array element and reflected towards the n'th array element,
Zk(t) is ultrasound signal transmitted from k'th channel, Tnp is dynamic focus delay of the
n'th channel for focal point p, tkrn is round trip time on the path k-r-n, and Tk p is the
combined transmit focus and steering delay of the k'th channel. In the above expression,
the surface integral S (ds = dxdy) represents the specular contributions of whole field, the
summations with index k and n are associated with the transmit and receive processes. Note
that the attenuation and distance spreading effect are not included for the sake of simplicity.
For the sampling-based focusing technique, overall sample value, u(p), for a point p is
given by
N N
u(p) = LL
WnWk
n=lk=l
1
R(r, n, k)Zk(tsnp - tkl'n - Tkp)ds
S
(2)

where the t snp is the sampling time for the n'th element of the array. In geometrical acoustics,
the sampling time for an array element is defined as the total round-trip time of the ultrasound
including the transmit focus and steering delay [2].

OPTIMIZATION OF DYNAMIC RECEIVE FOCUSING

In dynamic focusing, each element of the phased-array receives echo which is a collec-
tion of signals with total propagation time equivalent to the round-trip time between that
element and the receive focal point, if the timing information is obtained using geometrical
acoustics. However, since the ultrasound beam disperses out of the transmit focal point, the
dynamic focus timing, based on the geometrical acoustics, does not maximize the received
back scattered signal energy at points away from the transmit focal point. In case of a short
pulse, this means missing most of the pulse energy. This situation can be rectified by opti-
mizing the timing of the dynamic focus. The focus timing for each array element must be
optimally chosen so that the overall echo signal received by the phased-array is a summation of
the echo signals which carry the maximum back scattering energy associated with the receive
focal point.
For the optimization of the receive focusing, the set of sampling times for focal point p,
{tsip}~l are chosen to maximize the magnitude of the overall sample, 1u(p) I, in the presence
of a point reflector at the point p. Hence, we maximize the following expression:
N N
I u(p) 1=1 LL
n=l k=l
WnWk 1S
b(r - p)R'(k,n)Zk(tsnp - tkl'n - TkP)ds 1 (3)

where R( r, k, n) in the Eq. 2 is replaced by b(r - p )R' (k, n) for representation of the point
reflector. Here, b(.) is the Kronecker delta function and R' (.) is a function of the scattering
angle. One can rewrite the above equation as follows:
N N
1u(p) 1=1 LL wnwkR'(k, n)zk(tsnp - tkpn - Tkp) 1 (4)
n=lk=l

226
 Because of the difficulty in the analytical solution ofthe problem, the optimum dynamic
focus timing data are computed numerically as follows. Assume that there is an impulsive
point reflector at the point p and the transmit delays are fixed. At first, we find the sampling
time for each array element to get the maximum value of the envelope of the echo received only
from that element. That is, for all array elements n = 1 to n = N, the following expression
is maximized:
N
/ un(p) /=/ L wnwkR'(k,n)zk(tsnp - tkpn - rkp) / (5)
k=l

The sampling times obtained as a result of above procedure maximize the individual
echo signals, but they can not necessarily maximize overall summation. This is due to fact
that each signal Zk(t) is amplitude modulated, and the phasing is not considered in choosing
the sampling times. In order to take the relative phases of un(p) into account, these sampling
times are used in the computation of the phase of overall signal denoted by Lu(p). Finally,
the sampling times are further adjusted to fit the phase of each channel to the phase of the
overall signal. That is, for n = 1 to n = N, we maintain Lun(p) = Lu(p).
Hence, the resultant sampling times lead to the summation of the echo signals with
the same phases resulting in the maximum / u(p) /. This procedure is repeated for all receive
focal points in the sector. Furthermore, the timing information obtained in this way is stored,
and used in the reconstruction of the ultrasound images.
For the phased-array imaging with analog focusing circuitry, it is possible to find the
optimum delay times for dynamic focus using the optimum sampling times directly. First,
the minimum one of the all sampling times, denoted by t.min is found. Then the optimized
dynamic focus delay time of the k'th array element for the focal point p is obtained as
rkp = tskp - tsmin. This expression can be used to compute the set of optimum delays,
{rkp }£"= 1 , for every receive focal point in the sector.

COMPUTER SIMULATIONS
For the analysis of the conventional and proposed focusing techniques, we have per-
formed computer simulations of the point spread functions. In the simulations, the transmit
pulse, Zi(t), for each array element is assumed to be identical and in the form of a gaussian
pulse expressed as Zi(t) = exp{-(zk)2}exp{j~t} where l/To is the ultrasound frequency.
Note that the pulse variance is taken as 2To which is a reasonable assumption for the practical
applications [2]. The reflectivity function is taken as R'(r, n, k) = cOS(Bnpk) where Bnpk is
the scattering angle. The other simulation parameters are as follows: N = 128, the num-
ber of scan-slices/90o-sector is 128, the time is quantized by T o /8, and the attenuation is
1 dB/em/MHz.
Each figure shown in Fig.1 depicts two dimensional distribution of the PSF magnitude.
The beamwidth comparisons of PSF's are given in the Table 1. In the PSF simulations,
transmit focal length is fixed to 4D, where D is the aperture size of the array, and the point
reflector is located at 2D, 4D, and 6D away from the array, placed on the axis normal to the
array. Hamming apodization is used both at transmit and receive modes.
PSF's given in Fig.l.a and Fig.l.b, are obtained by focusing the ultrasound at radial
and raster points, respectively, using conventional focusing technique. These figures and the
Table 1 shows that the resolution obtained by focusing at the raster points is considerably
better than that of the former.
Fig.1.c and Fig.1.d show the PSI's obtained by focusing the ultrasound at radial and
raster points, respectively, employing the optimized dynamic focusing technique. It is observed
from these figures and Table 1 that a significant improvement in resolution is achieved by
using the optimized dynamic focusing technique, compared to the conventional one. This
improvement is particularly pronounced when combined with focusing to raster points rather
than radial points.

227
 (a)- (I) (a)-(lI) (a)-(III)

(b)- (lI) (b )- (III)

(b)- (I)

(c)-(I) (c)-(lI) (c)-(lII)

(d)-(I) ( d)- (II) (d)-(lII)

Figure 1. Simulation result showing two dimensional distribution of normalized PSF magni-
tude on a 32>'0 X 32>'0 window where >'0 is the ultrasound wavelength. The PSF's are obtained
using (a) conventional dynamic focusing to radial points, (b) conventional dynamic focusing
to raster points, (c) optimized dynamic focusing to radial points, and (d) optimized dynamic
focusing to raster points. Transmit focal length is 6D, and the point reflector is located at
2D (I), 4D (II), and 6D (III) away from the array, placed on the axis normal to the array.

228
Table 1. Beamwidths of the PSF's shown in Fig.I, normalized by the ultrasound wavelength.
Rd is the distance of reflector from the array.

Conventional Focusing Optimized Focusing

Focal Points Radial Raster Radial Raster
Rd 2D 4D 6D JL 2D 4D 6D 2D 4D 6D 112D 4D 6D
6 dB 14 10 20 12 6 14 4 6 10 4 4 10
20 dB 26 16 40 22 10 26 8 12 18 8 10 16
40 dB 72 72 96 30 16 64 18 16 28 26 14 32

CONCL USIONS
A new dynamic focusing technique based on the optimization of the timing is proposed
for reconstruction of ultrasound sector images with uniform quality. This technique offers
flexibility of choosing less restrictive apodization, and provides very significant improvement
in the PSF. It can also be shown that PSF can be made almost uniform throughout the
sector if the transmitted ultrasound is focused towards the end of sector, while maintaining
the resolution at the best of conventional dynamic focusing.
The timing information for the optimum dynamic focusing must be computed once and
for all for every receive focal point within the sector, and stored. Hence, the number of data
to be stored is as many as half of number of receive focal points within the sector, considering
the symmetry in the sector.
In phased-array ultrasound imaging, focusing to raster points considerably improves
image resolution while eliminating the scan conversion. Further, regardless of wherever the
ultrasound is focused a better resolution is obtained when the optimized dynamic focusing
technique proposed in this work, is used.
Focusing directly to the raster points is not easy to realize. The optimized dynamic
focusing to the raster points employing the sampled-delay focusing schemes can be best im-
plemented using special-purpose VLSI image reconstruction architectures [8]. However, the
proposed dynamic focus timing optimization technique can be used in existing ultrasound
imaging systems, based on either analog or digital focusing circuitry, by simply replacing the
receive focus timing information by the optimum one computed using our technique.

REFERENCES
1. M. G. Maginness, Methods and terminology for diagnostic ultrasound imaging systems,
Proc. IEEE, 67:641, (1979).
2. A. Macovski, Ultrasonic imaging using arrays, Proc. IEEE, 67:484, (1979).
3. O. V. Ramm and S. W. Smith, Beam steering with linear arrays, IEEE Trans. Biomed.
Eng., 30:438, (1983).
4. S. Leavitt, B. F. Hunt, and H. G. Larsen, A scan conversion algorithm for displaying
ultrasound images, Hewlett-Packard J., 34:30, (1983).
5. M. E. Schafer and P. A. Lewin, The influence of front-end hardware on digital ultrasonic
imaging, IEEE Trans. Sonics. Ultrason., 31:295, (1984).
6. T. A. Shoup and J. Hart, Ultrasonic imaging systems, Proc. IEEE Ultrason. Symp.,
863-871, (1988).
7. J. E. Powers, et. at., Ultrasonic phased array delay lines based on quadrature sampling
techniques, IEEE Trans. Sonics. Ultrason., 27:287, (1984).
8. M. Karaman, A. Atalar, and C. Aykanat, A front-end digital hardware architecture for
real-time ultrasound imaging, in: "Communication, Control, and Signal Processing," E.
Ankan, ed., pp. 1612-1618, Elseiver Sci. Pub!., Ankara, (1990).

229
MULTIOBJECTIVE DESIGN OF CURVED ARRAY SONAR TRANSDUCERS

J.P. Huissoon

Dept. of Mechanical Engineering

University of Waterloo
Waterloo, Ontario, Canada N2L 3G1

INTRODUCTION

The curved array sonar transducer (also referred to as a circular or cylindrical

array), provides a number of advantages over a planar array, when a large beam
steering angle is required in a compact transducer. The curved array is effectively a
hybrid between a ring of discrete transducers (in that the beam is steered by the
selection of certain array elements) and a conventional planar array (in that beam
shaping may be performed by suitable array shading). Both electrostatic and
piezoelectric versions of this transducer design have been documented [1],[2].

The curvature of the array results in a close coupling between the array dimensions
and the required beam pattern. Since the steering increment is determined by the
angular spacing of the array elements, the main lobe width of the sound pressure level
distribution should be close to the steering increment (STI). Otherwise, either "overlap"
or "blind spots" will occur between adjacent beam positions. The number of array
elements to be used (simultaneously) must also be determined, since this affects the
shading profile required for the desired beam pattern, at a specified frequency, given
the transducer dimensions.

To determine the shading required for the desired beam pattern, it is necessary to
use to some form of function optimization. This function must be carefully chosen so
that significant beam pattern characteristics are not unduly compromised. It has been
shown [3] that for 6 active array elements (without amplitude shading), a weighting of
the sound pressure distribution may be used to generally optimise the beam pattern to
a desired main lobe width. However, with a greater number of active array elements
and complex shading, the global nature of this technique can result in many local (non-
global) minima, in which the optimization can become trapped.

In this paper, array shading is used to optimize beam pattern characteristics, as a

multiobjective optimization problem. The effects of array dimensions, sound wavelength
and number of active array elements on these characteristics, are investigated.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 231
SOUND PRESSURE DISTRIBUTION

The curved (cylindrical) array consists of N elements, each element sub tending 20:
degrees at the centre ofthe transducer (Fig. 1). The far-field sound pressure distribution,
P(R,8), for one element, in the plane normal to the axis ofthe cylinder and through the
mid point of the element, is given as [4] :

4p eAoh e j (kR-6lt) ~ sinmu e- jm'lt/2

p (R, 8) = 2 R L..J ---'(:-:"7":), , - - - - cosme (1)
1t m=O mem Hm 1 (ka)

The number of terms in the series in (1) that need to be calculated, before the
divergence of the Hankel function derivative makes the remaining terms negligible, is
dependent on the value of ka. The resultant sound pressure distribution is as shown in
Fig.2 (solid lines). If the element is approximated by a rectangular piston in an infinite
baffle, the corresponding beam pattern is as shown by the dashed lines in Fig.2. The
validity of this approximation is clearly dependent on array dimensions and wavelength.

The discrete sound pressure distribution is computed at 0.25 degree intervals. First,
the real and imaginary components of the distribution for a single element are
calculated, and stored in two vectors. Using suitable vector index manipulation, the
sound pressure distribution for N array elements can then be found by addition. Since
the sound pressure distribution is calculated with respect to the centre of the cylinder,
it is also a simple matter to compute the required relative phase offset for the elements,
so that a planar wavefront is generated in the on-axis direction. A typical beam pattern
thus calculated (for 10 active array elements and without amplitude shading) is shown
in Fig.3.

BEAM PATTERN OPTIMIZATION

There are a number of characteristics by which the "quality" of an SPL distribution

may be judged. These include main lobe width, side lobe rejection (the difference (dB)
between the on-axis pressure and the maximum side/grating lobe), side lobe angle, and
on-axis pressure. As already noted, there is a desired value of main lobe width (20:)
associated with the array dimensions. This should therefore be one of the optimization
criteria. Beam patterns with the same main lobe width may be compared on the basis
of the remaining criteria. Of these, we will initially chose side lobe rejection (SLR) to
be the most important.

With two "merit" criteria identified, associated functions that describe their relative
importance must be determined. These functions must then be combined to provide a
single metric, by which the distribution may be judged. The precise definition of the
required functions can pose a difficult problem. However, general linguistic statements,
as to the relative merit of any two distributions, can often be made. For example, a
beam pattern that exhibits a narrow main lobe but poor side lobe rejection, is improved
if the side lobe rejection increases significantly at the expense of a slight increase in
main lobe width. To translate such statements into a useful mathematical form for
optimization purposes, it is first necessary to categorise terms such as "narrow", "poor",
"significant", etc.

The parameters of interest will be categorised as being either "good", "average" or

232
"poor". For main lobe width (MLW), the array curvature and element width provide
a suitable basis for this classification, which has been chosen as :

Range Classification
STI < MLW < 1.4 STI Good
1.4 STI < MLW < 2 STI Average
MLW> 2 STI Poor

The delination between good and average was chosen at 1.4 STI, since the shape
of the main lobe is such that when the -6dB main lobe limit occurs at this value, the -
3dB point is at (or very close to) STI. For side lobe rejection (SLR), the classification
has been chosen as :

Range Classification
20dB < SLR < 30dB Good
lOdB < SLR < 20dB Average
OdB < SLR < lOdB Poor

It now remains to describe what are considered as acceptable tradeoffs in parameter

changes, within each of these categories. Referring to the above example, if MLW is
"good" and SLR is "poor", what increase in MLW is acceptable for a given increase
in SLR ? While this is certainly a subjective issue, a general trend can be argued with
a little logical reasoning. The values used in this work are :

Good Average Poor

aMLW 0.1 STI 0.2 STI 0.4 STI
aSLR 4dB 2dB 1dB

These describe the slopes of the functions within each category. To provide a
continuous function for both parameters, these slopes were used to define the function
slope at the centre of each classification category. To provide a common reference, the
function values are made 0 at MLW=2a and SLR=30dB. Suitable functions for both
R1(MLW) and R2(SLR), can be written as :

R1 = Al (1 - EXP(-kl X» + ex (2)
R2 = A2 EXP( -k2 SLR) - B (3)

where Al = 6.3767 S, e = 1.7821 S, kl = 1.8752, X=(MLW/2a - 1)

A2 = 20.4028 S, B = 2.5504 S, k2 = .06931

The sum ofRl and R2 provides the metric M, by which the beam pattern is judged.
Outside the range: (main lobe width < STI).AND.(side lobe rejection> 30dB), Rl
and R2 need to be further defined.

It has generally been observed that main lobe width and side lobe rejection are
related by some form of inverse function; improving side lobe rejection is generally
accompanied by a widening of the main lobe, and vice versa. Thus, if the main lobe
width is less than 2a, M = R2 is the correct metric to use; if the side lobe rejection is
better than 3OdB, M=R1 should be used.

In the region where the main lobe width and side lobe rejection are within their
specified values, an alternative criterion must be chosen. In this study, we have taken

233
 o

ro
~
--10
QJ
>
QJ
-l
QJ
~-20
Ul
Ul
QJ
L.
a..
"0 -30
c
::J
o
Ul
R -40+-r--.---r~~"---'~-=~r:-I~-r:"I:"'~-j
o 30 W 90 1W
Angular Position

Figure 1. Array Model used in Beam Figure 2. Beam Profile for single
Pattern calculation element (a. = 4°, ka = 27)

o
ro
-u
Typical Beam Pattern
( '" = 4°,ka = 27,N = 14)
"'--"-10

"iii
>
QJ
..J -20
QJ
L.
::J
Ul
~ -30-
a..
-g -40
::J
o
Ul
-50H-~ro~~,-~~-r~.-~-r~~
30 60 90 1 a 150 180
Angular Position

Figure 3. Beam Pattern for Planar Figure 4. Characteristic Surface for

wavefront (No amplitude shading) Beam Pattern optimisation

2.0 2.0

1.5 1.5
cD
cD "0
Ul
0 ::J
.r: ~
a.. 0.
QJ 1.0 ~ 1.0
~
0 cD
I .!
··
>

I I I II I
"iii :p
0:: 0
0.5
Gi I
0:: 0.5

B
I
I
•• B I
0.0
a 2 :5 4 5 6 7 8
0.0
a 2 :5 4 5 6 7
Array Element Array Element

Figure 5. & 6. Phase and Amplitude shading values converged to, for an 18
element array, for a. =1 ° ,2° ,3° ,4° ,6° ,9° and kb=O.S·"IT to 4"IT in .4 "IT steps

234
 30 30

c: 20 c: 20
o o
~
Q)
~
Q)
'iii' 'iii'
a:: a::
Q) Q)
.0 .0
.3 10 .3 10
Q) Q)
'0 '0
iii iii

5 10 15 2 4 6 8 10
Main Lobe Width (NO) Main Lobe Width (STi)
Figure 7. Optimisation Character- Figure 8. Optimisation Character-
istic for ex =1° istic for ex =2°

30 30

m
3
m
3
c: 20 c: 20
o o
:;:; :;:;
u u
Q) Q)
'iii' 'iii'
a:: a::
Q) Q)
.0 .0
.3 10 .3 10
Q) C1l
'0 '0
iii iii

o L -_ _ _ _L -_ _ _ _L -_ _ _ _L -_ _ _ _L -_ _- - J
o 1 2 3 4 5 1 2 3 4
Main Lobe Width (STI) Main Lobe Width (STi)
Figure 9. Optimisation Character- Figure 10. Optimisation Character-
istic for ex =4° istic for ex =6°

235
this to be the on-axis pressure (considered of more importance than side lobe angle). To
optimise this and to ensure that the optimization does not exit this region once it has
entered it, M is set to minus RPo. This is equivalent to defining M as (R1 + R2 + R3),
where R3 is a step function in side lobe rejection and main lobe width, at 30dB and 20
respectively. The resultant weighting surface is shown in Fig.4. While other forms for
R3 could be argued (as could the inclusion of R4, a side lobe angle parameter), this will
not be pursued here.

RESULTS

The final parameter combination (ie. element phases and amplitudes) that minimises
the objective function (in this case, the metric M) can be influenced by the initial
estimate, if there are local minima in the surface of M. For the range of array
dimensions and wavelengths considered, Figures 5 and 6 show the parameter values
converged to from initial estimates of phases that give a planar wavefront, and with
linear amplitude shading. While the variation in both parameter values for any element
is significant, the general trend in phase is similar to that which will produce a planar
wavefront, and that for amplitude is a linear decrease to 0.3 Po, across the active
elements. Using these initial estimates, array dimensions, wavelength and number of
active elements, were investigated for their effects on the sound pressure distribution.

The results ofthe optimization are shown in Figures 7 to 10. General characteristics
evident, are that for a given main lobe width, increasing the number of elements
improves the side lobe rejection at a longer wavelength. Also, if main lobe width can
be made equal to the steering angle, the lowest frequency at which this is possible
provides the best side lobe rejection; as the steering angle increases, the number of
elements necessary to satisfy this condition, decreases.

CONCLUSIONS

Optimal shading of curved array sonar transducers has been investigated, using
mUltiple beam pattern characteristics to evaluate the objective function. The results
indicate that limited side lobe rejection is available, if the transducer is to function as
designed.

REFERENCES

1) J.P.Huissoon and D.M.Moziar, "Curved Ultrasonic Array Transducer for AGV

Applications", Ultrasonics 27(4), 221-5, (1989).
2) H.P.Schwartz, H.J. Welsch, P. Becker, M. Bielinger and R.M. Schmidt,
"Development of a New Ultrasonic Circular Array for Endoscopic Application in
Medicine and NDT." Proc. IEEE Ultrasonics Sysmposium 1989, 687-690, (1989).
3) J.P.Huissoon and D.M.Moziar, "Optimization of the Sound Pressure Level Pattern
for a Curved Array Sonar Transducer", (to appear in) J. Sound and Vibration, 148(3),
(1991).
4) D.T.Laird and H.Cohen, "Directionality Patterns for Acoustic Radiation from a
Source on a Rigid Cylinder", J. Acoust. Soc. Am. 24(1), 46-49, (1952).

236
 EXPERIMENTAL PROGRESS OF ULTRASONIC TIME REVERSAL MIRRORS

F. Wu, C. Prada, and M. Fink

Laboratoire Ondes et Acoustique, Universit~ Paris VII

ESPCI, 10 rue Vauquelin
75231 Paris c~ex OS, France

INTRODUCTION

The localization of structures in heterogeneous materials is usually made by echo imaging

systems. The focussing of ultrasonic waves through such heterogeneous media remains difficult,
because the beam is deflected and distorted by the heterogeneities.

The Time Reversal Mirror that have been developed in our laboratory leads to an elegant
solution of these problems. The first results we obtained with such mirrors are exposed in the IEEE
1989 Ultrasonics Symposium Proceedings [1]. The time reversal method is a generalization, for
short ultrasonic pulses, of the concept of phase conjugation used in optical holography, which only
works with monochromatic signals [2], [3]. An outstanding property of the phase conjugate mirror
is the ability of correcting the wavefront distorsions through an heterogeneous medium. For
instance, a spherical wave coming from a point source, propagating through an heterogeneous
medium, is distorted and looses its spherical curvature. If it is reflected by a phase conjugated
mirror, and propagate back through the same medium, all the perturbations are canceled and the
wave recovers its initial form. This result is valid for any heterogeneous medium, provided the
medium is non dissipative.

Methods of phase conjugation have also been developed in acoustics, but they are not
convenient for polychromatic signals like short pulses [4], [5J.
In acoustics, a transducer can be used as an emitter as well as a receiver and is sensitive to
the instantaneous pressure field. We take advantage of these properties in the Time Reversal Mirror
technique. The pressure field Per, t) is measured with an array of transducers during a time interval
T. The signal delivered by each elementary transducer is digitized, stored, time reversed and then
applied to the same transducer. The so produced field is the time reversed field PCr, T-t).

The Time Reversal Mirror is made of a two dimensional array of piezo-electric transducers.
Each transducer has its own electronic device: receiving amplifier, AID converter, digital memory
and programmable emitter. The programmable emitter is used to produce the time reversed signal
of the measured one.

To focus on a reflective target, a first wave produced by some elements of the array is
transmitted through the medium. The wave reflected by the target is measured on all the array

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HlIljes, Plenum Press, New York 1992 237
elements and time reversed as described before. If there are several reflectors in the medium, the
process can be iterated in order to focus on the most reflective one [6].

This technique allows to focus through an inhomogeneous medium. The limits of this method
are encountered in all dynamical focusing technique. First, the diffraction enlarges the focal spot.
Second, the spatial sampling and the finite dimensions of the transducer array induces secondary
lobes.

However this technique has to be compared to the standard adaptative focussing technique
which has been developed by analogy with the field of active optics [7]. This last technique is only
valid when the heterogeneous medium is a thin aberrating layer located near the transducers array.
A spherical wavefront coming from a ponctual target is distorded by the layer and is received on
the array plane as a distorded wavefront. However the signals received on each transducer are
similar in shape, only the time of arrival of those signals is shifted by the presence of the layer.
Thus an adaptative focussing technique can be achieved estimating the delay shift by cross
correlating the elementary signals [7]. Once the delay law obtained, the focussing process can be
applied in transmit mode. Each transducer emits the same signal with an optimal delay to focus on
the target through the aberrating layer. In such a case, the aberrating layer is supposed only to
induce different delay on each transducer. In many cases this aproximation is not valid. The
heterogeneities are usually spread in the whole volume. A wave propagating in such an
heterogeneous medium is not only delayed, but its spatial and temporal shape is also distorted
through refraction and multi-scattering. The most general approach, valid for every kind of
heterogeneous medium, consists in a time reversal process that takes into account the whole
information recorded from the medium (time-delay law and shape variations).

In the following we describe a set of experiments demonstrating the ability of Time Reversal
Mirrors to focus selectively on different kinds of targets through various aberrating layers located
in the near field as well as in the far field of the transducers array.

EXPERIMENTAL SETUP

The mirrors that we used are made of ID or 2D transducers arrays working at 1 and 3 MHz.
64 electronic channels are treated in these experiments.

In the receiving mode, we only use one AID converter linked to a multiplexer, so that the 64
signals coming from the 64 transducers elements requires 64 consecutive and similar emissions.
The digitization can be done with a sampling frequency up to 100 MHz with a 8 bits of dynamic.
To obtain a good focussing, it is necessary that the sampling frequency be much higher than the
central frequency of the transducers. A ratio value of 8 is a good compromise and does not affect
the focussing quality.

and
AID Rece i vers Hydrophone
Array of
transducers
WATER

Figure 1

238
 The transmitted mode of the time reversal mirror is implemented by 64 programmable
emitters working in parallel. Each one produces an analogical signal from its digital memory by a
D/A conversion at a sampling frequency of 25 MHz and an amplitude sampling on 41 levels. The
64 time reversed signals are stored in the 64 memories and the 64 emissions are done
simultaneously.
The acquisition and emission of the signals are controlled with a Compaq 386 computer
(fig. 1).

EXPERIMENTAL RESULTS

First experiment

The first experiment is done in a water tank with a plane linear array made of 64 elements 10
mm high and 0.6 mm wide. The array pitch is 0.75 mm so that the dimension is 48 mm. The
central frequency of the transducer array is 3 MHz. The target is a needle point hydrophone which
remains passive during the first step of the experiment. The same hydrophone is used to scan the
pressure field in the plane of focussing.

M _______________
··
w ___________ • _______
..
- - - - - - - - - - - _ , ________________ _

·· .
---------------- ·.. --------------- ....---- ---------- ....-----------------
· .. ..
··
--- ------------_._------------ -- ....-------- ------ ....-----------------
~------~./ . .~------~

0.25 5.00 9.75 14.50 19.25

mm

Figure 2

Cylindrical focussing. The elements are excited with time delays calculated in order to
focus in homogeneous water (cylindrical law) at a distance z = 90 mm from the array. The
pressure diagram in the plane of focussing is shown on figure 2. It represents the maximum of the
signal received by an hydrophone scanning the focal plane.
An aberrating layer is placed between the array and the hydrophone. It is a rubber layer of
random thickness with a sound speed of 1200 m/s. The layer is shaped with a random profile in the
lateral direction and a uniform thickness in elevation. The correlation length of the rubber profile is
about 15 mm. The transducers array is excited by the cylindrical law corresponding to a focal
length of 90 mm through the aberrating layer.The figures 3a, 4a, Sa and 6a show the degraded
pressure diagram in the plane z = 90 mm when the aberrating layer is located at different depths d
from the array (Fig. 3a: d=O mm, fig. 4a: d = 27 mm, fig. 5a : d = 47 mm, fig 6a : d = 67
mm). These diagrams show that the defocussing process is the most important when the layer is in
the near field of the transducer array. This can be easily explained [8].

Time reversal focussing. The target is the same needle point hydrophone as before. It
remains passive during the first step of the experiment. First the target is illuminated through the
aberrating layer by the incident wave observed previously in the cylindrical focussing. The wave
reflected by the target, back propagating through the aberrating layer, is then measured on the
mirror plane, stored and time reversed as already described. The new time reversed focus wave is
scanned in the plane z = 90 mm. We have done this experiment for the same different locations of
the layer as in cylindrical focussing technique. The figures 3b, 4b, 5b, 6b show the four pressure
diagrams in the plane z = 90 mm. These results show the efficiency of the time reversal process
which allows an optimal focussing for any locations of the aberrating layer. Such a result as to be
compared to the results obtained with the correlation technique which works only for aberrating
layer located near the transducers array [9].

239
 -..... ·.··.··.··1···.·.·····.- ........ .,: ... -........... .

--j:-)::::;::::::
0.25 5.00 9.75 14.50 19.25
mm
Figure 3a Figure 3b

mm
Figure 4a Figure 4b

················1············· ............. _........ __ . __ ........ _. . _........ - .......... _-- ... _.. .

:::::::i::--F:::::r:::-
0.25 5.00 9.75 14.50 19.25
mm mm
Figure Sa Figure Sb

........ -- ...... ; ........... -...

... ............. ............-.....-
~ .,: -_................... lj........... _..... .
i: i
~
!:
:::::::::::::::r::::··::::::·:r:··:··:::::::r::::::::::::::
0.25 5.00 9.75 14.50 19.25 0.25 5.00 9.75 14.50 19.25
mm mm
Figure 6a Figure 6b
Figures 3a, 4a, Sa and 6a represent the pressure diagrams observed in the focal plane,
from a cylindrical focussing law through an aberrating layer located at different depths d from
the array: (3a, d=O mm ; 4a, d=27 mm ; Sa, d=47 mm ; 6a, d=67 mm).
Figures 3b, 4b, Sb, and 6b represent the pressure diagrams observed, from the time
reversal process, in the same configurations than figures 3a, 4a, Sa and 6a.

240
 '1>

Figure 7 Figure 8

Second experiment

The second experiment deals with lithotripsy. It is done with a two dimensional prefocused
array of 64 elements. The transducers are plane discs of 6 mm diameter sampling a part of a
spherical cup of 120 mm radius in five rows of 12, 13, 14, 13, 12 elements (Fig. 7). They work at
a central frequency of IMHz. The targets were two different kidney stones of similar dimensions.
A stongly aberrating layer of silicone was placed between the array and the targets (Fig. 8). Its
thickness varies between 10 and 15 mm. The ultrasonic velocity in the layer is about 1000 m/s.
The layer is located at z = 60 mm from the array and the targets at z = 110 mm. The smallest
kidney stone is situated between r = 3 mm and r = 11 mm of axis and the bigger one between r =
-5 mm and r = -15 mm (r is the lateral coordinate in the target plane).

After the first illumination, the pressure field in the plane of the stones is strongly
perturbated (Fig. 9). Then a first time reversal procedure is realized, leading to the pressure pattern
shown on figure 10. The two maxima are localized at the two stones positions. The process is
iterated twice (Fig. 11 and 12). The lower maximum disappears and the secondary lobes decrease.
The measured field then focusses on one of the two stones.

This experiment shows that the time reversal process is an elegant solution to separating two
targets of nearly the same characteristics (shape and size) through a strongly aberrating medium .

......... -- ..... :.............. - ................ .,:............... .

·· ...
·· . .
··
• • • • • • • • • • • • • • • • • • • • • • _ _ _ • • • •• - ' 0 ••• • ••••••••••• _ • • • • • •• • • • • • •

...
... .. . ...... .

·28. 0 -18 .0 ·8.0 2.0 12.0

mm mm
Figure 9 Figure 10

-28. 0 · 18.0 -8.9 2.0 12.0

mm
Figure 11 Figure 12

241
CONCLUSION

Though the Time Reversal Mirror we built only has 64 channels and a low dynamic range,
we have demonstrated that it is an efficient system for selective ultrasonic focussing on various
type of targets (kidney stones, needle point hydrophones) through complex inhomogeneous media
(distorting,diffusing and deflecting layers).

Improvements of these results can be achieved with more channels and with a large dynamic
range.

REFERENCES

[1] M. Fink, C. Prada, F. Wu and D. Cassereau. "Self Focussing with Time Reversal
Mirror in inhomogeneous Media", IEEE 1989 Symposium Proceedings, Vol 2,
681-686, (1989).

[2] D.M. Pepper. "Non linear Optical Phase Conjugation", in Laser Handbook Vol 4,
(North-Holland Physics Publishing, Amsterdam, 1988), pp 333-485.

[3] G.S. Agarwal, A.T. Friberg and E. Wolf. "Elimination of Distorsion by Phase
Conjugation without Losses or Gains", Opt. Com., 43, (6),446-450, (1981).

[4] T. Sato, T. Nakayama, Y. Yamakoshi and Y. Katakoa. "Ultrasonic Phase Conjugator

using a MicroparticIe suspendend Cell and Novelty Imaging",
Ultrasonic Imaging, 10, 68, (1988) (abstract only).
or T. Sato, H. Katakoa, Y. Yamakoshi, "Ultrasonic Phase Conjugation using MicroparticIe
suspended Liquid Cells", J. Acoust. Soc. Jpn. (Japan)
44 (2), 122-129 (1989) (in Japanese).

[5] M. Nikoonahad and T.L. Pusateri. "Ultrasonic Phase Conjugation",

1. App!. Phys., 66, (9),4512-4513, (1989)

[6] c. Prada, F. Wu, M. Fink. "The Iterative Time Reversal Mirror: A Solution to Self
Focussing in Pulse Echo mode", to be published in JASA, (1991).

[7] S. W. Flax and O'Donne!. "Phase Aberration Correction using Signals from Point
Reflectors and diffuse Scatterers : Basic Principles", IEEE Trans. on
Ultrasonics, Ferroelectrics and Frequency Control, 35, (6), 758-767, (1988)

[8] M. Fink, R. Mallart, F. Cancre. "The Random Phase Transducer: A New Technique for
Incoherent Processing - Basic Principles and Theory", IEEE Trans. on
Ultrasonics, Ferroelectrics and Frequency Control, 35, (2), 54-69, (1990)

[9] R. Mallart and M. Fink. "Sound Speed Fluctuations in Medical Ultrasound Imaging.
Comparison between Different Correction Algorithms",
to be published in the same issue

242
 SIGNAL PROCESSING IN HIGH-FREQUENCY BROADBAND
IMAGING SYSTEMS FOR DERMATOLOGIC APPLICATION

A. HoB!, H. Ermert\ S. el-GammaF, P. Altmeyer2

1 Institut fur Hochfrequenztechnik

2 Dermatologische Klinik
Ruhr- Universitat Bochum
W -4630 Bochum, Germany

ABSTRACT
A high-resolution ultrasonic imaging system working in pulse-echo mode has been realized
for application in dermatology. For data acquisition a spherically focused polymer trans-
ducer is mechanically moved. Center frequency of the system is approximately 40 MHz,
bandwidth (-6 dB) is about 50 MHz. Resulting axial resolution capability is 24 ILm, the
obtained lateral resolution characteristics is better than 90 11m.
In this paper the concept of signal processing in the imaging system will be described. Some
essential problems specific for high-frequency broadband systems and mainly concerning
signal processing will be discussed in detail together with possible solutions. Finally, ex-
perimental results proofing usefulness of the system in clinical practice will be shown.

1. INTRODUCTION
In the last few years high-resolution ultrasonic imaging systems received more and more
interest in medical applications. Especially in dermatology high-frequency imaging sy-
stems are very useful, for example in non-invasive diagnostics of malignant melanoma or
inflammatory deseases. Dermatologists are interested to visualize very small structures
with dimensions of less than 100 11m. For obtaining sufficient imaging results resolution
capabilities of the imaging system must be significantly better than for example 50 11m.
Methods for increasing resolution capabilities of an ultrasonic imaging system have been
described elsewhere [5]. Axial resolution is improved using higher bandwidth signals, while
lateral resolution enhances with increasing center frequency of the system. This requires
a broadband, high-frequency imaging system.

2. SPECIFICATION OF THE TRANSDUCER

Of course, the most important part of the entire imaging system is the ultrasonic transdu-
cer. Several piezoelectric materials suitable for constructing a transducer do exist. Because
of low dielectrical and mechanical losses ceramic materials are best suited for realization
of transducers in the low frequency range (f<25 MHz). Ceramic transducers with simi-
lar excellent electrical and mechanical properties operating at higher frequencies cannot
be manufactured, since required matching layers cannot be realized. For manufacturing
reasons high-frequency ceramic transducers can only be realized using plane piezoelec-
tric crystals. Necessary focusing is obtained integrating a quartz rod containing a lense.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 243
Consequently, this method leads to larger transducers. Furthermore, the attainable signal-
to-noise-ratio (SNR) is significantly reduced [3].
Thus, for high-frequency transducers polymer or copolymer materials are of special inte-
rest. Films of these materials can easily be produced with a thickness ofless than 10 /-lm as
needed for high-frequency transducers. Flexibility of the films is high, thereby permitting
realization of small radii of curvature, which means strongly focused transducers. Since
acoustic impedances of these materials are quite low, no matching layer is needed. Fur-
thermore, high - but undesired - electrical and mechanical losses lead to an extremely high
relative bandwidth of more than 100 %. For example, the center frequency ofthe currently
used polymer transducer is 40 MHz, while the bandwidth is approximately 50 MHz (see
Fig. 1).

0.8
M=
Fig. 1. Transfer function of the 0.6 50 MHz
polymer transducer 0.4
(measured in pulse-echo
mode) 0.2 fc= 40 MHz
°0~~1~0~~2~0--~3~O~~40~~5~O---6~O--~70~~80
f/MHz ---

To obtain good lateral resolution a spherically focused transducer is needed. Stronger

focusing, which means a smaller radius of curvature leads to better lateral resolution.
However, this results in a shorter focal region and a growing widening of the ultrasonic
beam in the farfield. Consequently, the transducer can only be used in a reduced distance
interval. On the other hand, a penetration depth of 3 mm with uniform lateral resolution
is required for medical reasons. Therefore, focusing has to be designed very carefully. The
effects of different focusing can easily be studied from the behaviour of the systems point
spread function.
For a spherically focused transducer a point spread function can be approximately calcu-
lated using diffraction theory [4]:

1 4R2
Joo -HeI(w)exp(-j2-_lp2
W ,--

a4z;
+ Z2)
Co V
27l" s s
-00

[j exp(jw~;(~ _~))Jo(WPSP)PdPl2
o Co Zs CoZs
exp(jwt)dw, (1)

with: He1(w) el. transfer function of the imaging system

a = d/2 transducer radius
R radius of curvature
z., Ps distance between point scatterer and antenna
Co sound velocity
w = 27l" f frequency
Jo bessel function, first kind, order zero.
Numerous simulations of this function showed that optimum results could be obtained for
a transducer with 3 mm diameter and 8 mm radius of curvature. Simulations were based
on the assumption of a gauss-shaped system transfer function

HeI(f) = exp( -41n 2 (f ~;c)2) (2)

with a center frequency Ie = 35 MHz and a bandwidth of 6.1 = 20 MHz. Even when using

244
 Fig. 2. Envelope of simulated point spread functions for different distances of
point scatterer a) Zs = R = 8 mm, b) Zs = 11 mm

the moderate focusing specified above, the behaviour of the systems point spread function
is highly space-variant (see Fig. 2a,b). As a consequence, a rapid deterioration of lateral
resolution characteristics outside the focal region has to be taken into account.

3. BLOCK DIAGRAM OF THE IMAGING SYSTEM

Principally, focusing could also be done using a phased array. However, high-frequency
transducers currently are not available as arrays . Since we use a single element transducer,
it has to be moved mechanically for the acquisition of a complete ultrasonic B-mode or
C-mode image. In our system transducer movement is done by two computer-controlled
stepper motors. Almost arbitrary transmitting signals are produced by an arbitrary func -

(themel
SCSI

Chill:' 41' Clock

Timing
T' er
Control 200 "Hz. CkKk
Unit lriatr

Fig. 3. Block diagram of the imaging system

tion generator (see Fig. 3). After amplification the peak power of these pulses is more than
100 W. A transmitter-receiver-circuit directs transmitting signals to the transducer. Re-
flected signals are detected by the same transducer and guided to a low-noise preamplifier.
After passing a high-pole allpass network, whose function will be described in the next
chapter, echo signals are fed to a so-called time-gain-controlled (TGe) amplifier. This am-
plifier should compensate for the frequency dependent attenuation of ultrasound in skin
[6]. While time-gain correction is relatively uncritical in low frequency/low bandwidth

245
 Fig. 4. Frequency dependent attenuation
of ultrasound in skin (attenuation o
10 20 30 40 50 50 70 t
coefficient: 1 dBj(MHz em), pass- f fc = tu = MHz
: 40 MHz 55 MHz
band: 15 MHz - 65 MHz, penetra- -10
tion depth: 3 mm) -20

-30

-40

imaging systems as used in cardiology, TGC must be applied very carefully in our sy-
stem. Because of the extremely high bandwidth, center frequency must not be taken as
a reference for time gain compensation. In this case low frequency components would be
overestimated in the images (Fig. 4). Consequently, TGC-amplification has to be adjusted
with low frequencies of about 20 MHz. Further compensation of the additional attenuation
of higher frequency components can only be performed by implementing algorithms for
numerical image reconstruction.
A bandpass filter holds for the Nyquist Criterion prior to the subsequent digitization of
the echo signals in a fast transient recorder. Sampled data are transfered to the personal
computer. Further processing is done in the PC or a UNIX host computer.

4. ANALOG PULSE COMPRESSION

One main problem in broadband ultrasonic imaging systems is the attainment of sufficient
high SNR. Insertion loss of the polymer transducer is approximately 35 dB. Reflection
coefficients in skin with respect to water are less than 5 %. Together with an extremely
high bandwidth of the entire system SNR in the echo signals is relatively low, even when
using a very low-noise preamplifier. As a solution a steady increase of the transmitting
signals' peak amplitude would be imaginable. However, nonlinearities in power amplifier
and transducer produce a limit of the signal peak amplitude.
Another well known mechanism for increasing radiated power is pulse compression [7].
Mainly, digital correlation methods are used for compressing received chirp signals. Ho-
wever, this is a very time-consuming method, since each A-scan has to be processed by
Fourier transformation for compression.
In our system an analog allpass network is used for compression. If a short pulse is ente-
ring the input of this filter, the output signal shows all frequency components, delayed
according to the group delay, the first derivative of the allpass phase. Especially in a sy-
stem permitting arbitrary transmitting signals analog pulse compression is very useful and
may easily be implemented. Transmitting a pulse with reversed group delay (compared
to the group delay of the allpass network) and maximum available signal peak amplitude
produces short echoes with high SNR.
Currently, a 72-pole allpass network is used. Insertion loss of this filter is less than 4.5 dB.
With a compression factor of 17 implementation of the analog filter improves SNR by
more than 12 dB. It should be mentioned, that this method of pulse compression would
be especially interesting for realtime imaging systems.
Of course, not only the group delay of the allpass network but also the overall system
transfer function can be taken into account within the transmitting pulse. In this case
transmitting signals can be regarded as weighted chirps. Fig. 5 shows effects of different
algorithms of prefiltering. Best results concerning SNR are obtained when using matched
filtering
(3)

246
 -l
1.0 -
10~
05
"'t=
40 ns

.1. 0 0~~-;;0.'-;;2--'--''-;0;'-.4":--..L'--::'0.--::6-~--::0-':.B'--~--:-'1.0
o
'0.5 [
'1.0 0
------

0.02 0.04 0.06 0.08

]0.1
tiI-'s ------ til-'S ---
1.0

0.5 0.5

o 0

·0.5 ·0.5

·1 .0 0;---~--;;c0-'-;;.2'--'"-'--;0;;'-.4-:--~-;;0'-:.6-~--::0--':.8;--~---:-'1.0 '1.0 0
0.02 0.04 0.06 O.OB 0.1
tiftS ~- til-'S ~-

Fig. 5. Comparison of different methods of prefiltering transmitted signals (left:

transmitted pulses, right: received pulses)
a) matched filtering
b) inverse filtering

with HT(W) representing the spectrum of the transmitted pulse and HeI(w) the electrical
transfer function of the system. However, this method leads to rather long pulses, thus re-
ducing axial resolution. Optimum axial resolution results from inverse filtered transmitting
signals
1
HT(W) = Hel(w) (4)

5. RESULTS
For characterizing the quality of an imaging system often axial and lateral rewlution
is referred to. Axial resolution characteristics usually are measured from the echo of a
polished plane glass plate located in the focal plane of the transducer. Here we find a
pulse length of 33 ns (when inverse prefiltering the transmitting signals, see fig. 5b) which
corresponds to an axial resolution of approximately 24 11m.
Lateral resolution characteristic can be estimated by scanning thin nylon fibres which
are also positioned in the focal plane of the transducer. The obtained lateral scan (Fig.
6) shows a width of 88 11m. Since diameter of the scanned nylon fibre itself was about
30 11m, lateral resolution capability certainly is better than 88 {1m. The above mentioned

1.0r---~-~

O.B
Fig. 6. Lateral scan obtained from
scanning a thin nylon fibre 0.6 "'p = 881-'m
( di ameter 30 11m) located in
0.4
the focal plane of the trans-
ducer 0.2

~2~0~0-~~--1~0-0-~--~0--~--10~O-~~-2-"OO

pil-'m ---

247
 Fig. 7. Application to the skin sur- Fig. 8. Ultrasonic B-mode image of
face malignant melanoma

values indicate high anisotropy with respect to axial and lateral resolution characteristics.
Lateral resolution capability furthermore decreases rapidly outside the transducers focal
plane because of the ultrasonic beam spread in nearficld and farfield. To compensate for
these effects we currently spend great effort in the implementation of a numeric algorithm
for image reconstruction. Results will soon be presented.

6. CLINICAL APPLICATION
For data aquisition, a small hand-held applicator has to be positioned on the skin surface
(Fig. 7). Water is filled into the water tank for coupling the transducer to the skin. Using
two stepper motors (one is visible, the other one is located in the applicator handle) three-
dimensional data acquisition is performed. Data are presented in various cross-sectional
VIews.
Fig. 8 shows a B-scan of a malignant melanoma. Horizontally scanning direction is dis-
played, vertically we look into skin. In each direction a scale divided into mm and tenth
of mm is faded in. This image indicates structure of skin. Mainly three layers can be
differentiated. First we find the epidermis which produces high intensity echoes. Medium
intensity echoes arise from the so-called corium. Beneath this layer subcutaneous fat tis-
sue is located. Because of its homogeneity this area is nearly echo-free. Conspicious in this
image is an echo-poor area between epidermis and corium. This area indicates the tumor,
which has a thickness of about 450 11m. Thickness of a tumor is a very evident parameter
for surgical operation planning.

ACKNOWLEDGEMENTS
The authors are grateful to the Deutsche Forschungsgemeinschaft (DFG), Bonn, for sup-
porting this work (Project. No. ER 94/5-2).

REFERENCES

[1] K.A. Dines, P. W. Sheets, I.A. Brink, C. W. Hanke, K.A. Condra, 1.L. Clendenon, S.A.
Goss, D.J. Smith, T.D. Franklin, High frequency ultrasonic imaging of skin: Experimental
results, Ultrasonic Imaging, vol. 6, p. 408-434, 1984
[2] A. HoB, H. Ermert, S. el-Gammal, P. Altmeyer, A 50 MHz ultrasonic imaging system for
dermatologic application, IEEE Ultrasonics Symposium Proceedings, p. 849-852, 1989
[3] A. HoB, H. Ermert, S. el-Gammal, P. Altmeyer, High frequency ultrasonic imaging systems,
To be published in: Ultrasound in Dermatology, Springer Verlag Berlin Heidelberg New
York

248
[4] A. HoJJ, Hochfrequente, breitbandige Ultraschall-Abbildungssysteme zur Tumordiagnostik
in der Dermatologie, PhD-Thesis, Ruhr- Universitat Bochum, 1991
[5] J. Krautkriimer, H. Krautkriimer, Werkstoffpriifung mit Ultraschall, Springer Verlag Berlin
Heidelberg New York, 1986
[6] H. Kuttruff, Physik und Technik des UltraschaIls, S. Hirzel-Verlag Berlin Heidelberg New
York, 1986
[7] G.K. Lewis, Chirped PVDF transducers for medical ultrasound imaging, IEEE Ultrasonics
Symposium Proceedings, p. 879-884, 1987
[8] T. Yano, H. Fukukita, S. Ueno, A. Fukumoto, 40 MHz ultrasound diagnostic system for
dermatologic examination, IEEE Ultrasonics Symposium Proceedings, p. 875-878, 1987

249
 HIGH-SPEED C-SCAN IMAGING SYSTEM WITH ELECTRONIC SCANNING
OF 25MHz ULTRASONIC BEAM

Souji Sasaki1, Yoshihiko Tak~shita1, Ayato Iwasaki 1

Jun Kubota 2 , Yoshinori Musha and Hisao Okada j
1 Technical Research Laboratory, Hitachi Construction
Machinery Co. Ltd. ; 650 Kandatsu, Tsuchiura
Ibaraki, 300 Japan
2 Energy Research Laboratory, Hitachi Ltd.
1168 Moriyama, Hitachi, Ibaraki, 316 Japan
3 Hi tachi Research Laboratory, Hitachi Ltd.
4026 Kuji, Hitachi, Ibaraki, 319-12 Japan

1. INTRODUCTION

C-scan imaging techniques using high frequency ultrasonic beams have

shown increasing importance as a means of nondestructive quality
evaluation for mass production products especially in the electronics
industry e.g. semiconductor products, condenser tips or other ceramic
parts, target materials and composite materials etc .. All these products
require the exclusion of even the smallest defects or voids in materials.
To detect defects in products or materials using ultrasonic pulse-
echo methods in mass production lines, high-speed and high-resolution
proves indispensable. From this perspective, an electronic scanning C-
scan imaging system using high frequency ultrasonic beam has been
developed.
An outline of the system and some applications are described
hereafter.

2. C-SCAN PROCESS WITH ELECTRONIC SCANNING 1 ,2

The scanning process for C-scan imaging, as shown in Fig. 1, is a
combination of repeated electronic scanning of an ultrasonic beam in the
X-direction utilizing a linear array transducer with orthogonal scanning
in the y-direction.
One group among the array transducer elements acts as a pulse-echo
procedure to generate a converging ultrasonic beam and receive the echoes
from the object under investigation.
The acoustical field of the generated and received beam is converged
with a cylindrical acoustic lens attached along the array and by delay
control for signals fed to and obtained from corresponding elements.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 251
Fig.1 C - scan mode with electronic beam Fig. 2 Appearance of the array transducer
scanning

3. OUTLINE OF THE SYSTEM

3.1 Array Transducer

The 25MHz linear array transducer wi th 192 elements developed for
this system is shown in Fig.2. As the piezo-electric transducer material,
a lead titanate family ceramic was chosen, because this prevent lateral
mode excitation.
As for the array transducer specification, since the element pitch p
is O.2mm, the total element number N is 192 and the active element number
n is 24, the number of scann ing beam-channels N' =N-n+ 1 is 169 and the
electronic beam scanning length L=p(N-n+1) becomes 33.Bmm.
The aperture length of the beam source in the X- and Y-directions
are 4. Bmm (0. 2mmX 24 elements) and 5mm respectively.

3.2 Electronic System for C-scan Imaging

A block diagram of the electronic system for C-scan imaging is shown
in Fig.3.
This equipment is state of the art in processing high frequency
pulse-echo signals 25MHz. A newly developed sensitivity equalizer has
been included to normalize the sensiti vi ty fluctuations inherently caused
in the array transducer and electronic beam scanning stage. More detailed
description on these blocks are given in subsequent section 3.3 and 3.4.

Electronic Senstivity Main Gated- A/D

beam scanning equalizer amplifier peak- converter
system detector

Array
transducer Water tank

Object
~~dl,

Fig.3 Block diagram of imaging system

252
 The main amplifier and the gated-peak-detector perform the same
functions as found in an ordinary ultrasonic flaw detector. The peak
amplitude of the pulse-echo signal, selected by the time gate in the
gated-peak-detector, is digitalized by the AID converter and utilized as
image element data.
The scanner controller digitally controls the Y-scanner for mechanical
scanning in that direction. The signal controller performs the following
functions :
(1) Composition of the C-scan image utilizing both the data of image
elements and Y-position of scanned beam as fed from the AID
converter and the scanner controller re!lpecti vely,
(2) Feeding of the data of the composed C-scan image for display
purposes.

~~~:~~I~~~rg- Clock pulse ~::~;Ia~~:~ Multiplexe ~~ualizer

beam focusing) echo focusing)

--24Iines 241ines

Pulses- Scanning circuit

rotation- Puls~~--Pre:---
matrix
(24 x 24) ( 192) amplifie
(192)

{ 192 lines
169 beam channels
Array
transducer r;;~~;J
(192 elements)C:
169 beams
Object

FigA Block diagram of electronic beam scanning system

3.3 Electronic Beam Scanning System 1 ,2

Fig.4 shows a blockdiagram of the electronic scanning system.

In the beam transmitting stage, the pulse-delaying-network 1'01' beam-

focusing produces a set of delayed trigger"s, corresponding to the beam
focal length, at each pulse input. The pulse-rotation-matrix, composed of
24x24 digital-gate-switches, controls the eonnection between the pulse-
delaying-network and the input lines \;0 the scanning circuit. The
scanning circuit selects 24 transducer elements to be activated
simultaneously, and feeds the delayed tt'iggers to the cOI'l'esponding
pulsers. The activated transducer elements emit a converging pulsed beam
into the test object in water and receive any echoes from it.
In the echo receiving stage, the selected pre-amplifiers
corresponding to the 24 active transducer elements, feed the echo signals
to the signal-rotation-matrix. This matrix, composed of 211 x24 analog-
gate-switches, controls the connection between the 24 pre-amplifier
outputs and the input lines to the signal-delaying-network for echo-
focusing. The echo signals received from the 24 active transducers, after
passing through the signal-delaying-network and being added to each other
in the multiplexer, are finally processed as a focused echo signal, which
is fed into the equalizer.

3.4 Sensitivity Equalizer

In the sensitivity equalizer, the tuning procedures to normalize the
sensitivity fluctuation are carried out as follows :

253
( 1) A flat, uniform reflector is used as a test sample, the pulse-echo
signals data obtained from the 169 beam-channels are stored in a
line memory and their average data set as the standard.
(2) The sensitivity of each one of the 169 beam-channels is controlled
to ensure the output signal level approaches the standard one. The
sensitivity fluctuation therefore can be diminished as discussed
later.

4. PERFORMANCE OF THE SCANNING SYSTEM

4.1 Scanning Speed

The beam scanning speed in the X-direction Vx is expressed as
Vx=PXR p , where p(mm) is the scanning pitch of the ultrasonic beam and
Rp(pulse/s) the pulse repetition rate at the array transducer. Since p is
equal to the arrangement pitch of the transducer elements (O.2mm) and the
maximum value of Rp is 20KHz, Vx attains to 4m/s.
When a test area (34mmX25mm) is scanned with beam scan lines in the
O.2mm pitch, it takes the time (34mm/4000mm/s)X(25mm/O.2mm)=1.06s to
complete the image of the test object.
4.2 Beam Focusing
Fig.5 shows the result of an evaluation of the focused beam-spot
size, in which a C-scan image of a small steel ball (cpO.6mm) placed at
the focal distance of a converging beam 15mm apart from the array
transducer face, is obtained. In this case, the beam used was emitted
from an arbitrarily selected group of 24 transducer elements and the X-Y
two dimensional beam-scannings were made mechanically in both axes.
On the basis of the image data in Fig.5, the beam width in the X-
direction is measured as O.26mm, while in the Y-direction, it is O.20mm.
In C-scan imaging the beam-spot size evaluated above would be
suitable to cover the whole image area, as long as the scanning pitches
both in the X- and Y-direction were chosen to be O.2mm.
The distance resolution, which depends on the effective duration
time of an ultrasonic pulse emitted from the array transducer, is
measured as about O.2mm in water.

Array transducer [O.2mm

Converging
~
,"00". ''"'be:1l"~ 0.6 Steel ball
Mechanical
scanning ( Xl

~X
Fig. 5 Evaluation of beam - spot size

4.3 Effect of Sensitivity Equalizing

Fig.6 shows the effect of sensitivity equalizing on the fluctuation
of the received signal levels among 169 beam-channels. By tuning the
sensitivity equalizer, the fluctuation of the signal level is improved to
within ±O.5dB while in the untuned case within ±2.0dB.

254
 5. IMAGING EXPERIMENTS
5.1 Thin Wires
A C-scan image of a thin wire combination is shown in Fig.7 in which
4 Au-wires (251'm in diameter) are arranged respectively in the X-, Y-,
+45 ° - and -45°-directions at the focal position of the scanned beam, at
15mm water depth from the transducer face. The image of the wires is
clearly displayed without conspicuous fluctuation in intensity.
The result proves that even discretely shifted beams form a smooth
image with enough sensitivity to detect cylindrical targets even as thin
as 0.025mm in diameter and 0.2mm in length (the equivalent of the beam
width).

"
2
> 255
=+O ± 2,OdB
Electronic
scanning (X )
Untuned ro
c
en'" 0
E f
Tuned
255
=+ O± O.5dB
-Ol
::l .S
"2 $
~B
l
Target :
Au - wires ( t 25~m )
Scanning area :
20mm X 20mm
:;l '" (Pitch O.2mm )
::E
85 169
Channel of electronic scanning

Fig.6 Effect of tuning the sensitivity

equalizer on signal level fluctuation Fig .7 An electronic C - scan image
of thin wires in water

5.2 Spot-Welded Samples

A spot-welding process is often evaluated on the basis of the nugget
size.
Fig.8 shows three C-scan images of spot- welds joining pairs of steel
plates (2.0mm th i ck), processed at welding currents in the range 6000-
gOOOA. On the basis of these data, the diameter of each welded area and
hence, the nugget varies in response to the welding current applied. In
this case, the optimum welding was found to be 7000A with a fairly large
nugget being obtained and no voids appearing in the welded area.

Electronic
scanning (X )

Welding
E

l
current 1 5mm
- C)
::l,s scanning area:
6000A 'E 2 25mm x 15mm
~::l (Pitch O.2mm)
:;l '" Imaging lime:
:2
0,8sec

7000A

9000A

Microscopic photograph
of section A' - B'

Fig.8 Test result of spot - welded specimens

255
 Fig.8 also shows the microscopic photograph, representing the cut
section A'-B' of the sample processed at the welding current 9000A.
Furthermore, the measured diameter A'-B' of the spot-weld image (8.5mm)
is found to be well agreeable with the corresponding welded range A-B
(8.4mm) observed on the photograph.

5.3 Resin Packaged IC

Fig.9 shows images of the internal structure of a resin packaged Ie,
(a) mechanically scanned, and (b) electronically scanned.
In both images, the radial lead-wires are obviously resolved at
their closest intervals i.e. about 0.2mm. However, the imaging time for
(b) was about 0.6s, while for (a) it was 20s. The time required therefore
for C-scan imaging with electronic scanning is about 1/30 that needed in
the best conventional mechanical process.

Mechanical Electronic
scan ning ( X ) scan ning ( X )

Scanning area:
20mm X 14mm
(Pitch O.2mm)

..........
5mm
Imaging time : 20s 0.6s

(a) Mechanical scanning (b) Electronic scanning

Fig. 9 Comparison of imaging of internal structure

of IC using mechanical and electronic
scanning

6. CONCLUSION

The outline of a C-scan imaging system utilizing the electronic

scanning of a 25MHz ul trasonic focused beam and some examples of the
images produced have been described.
The system, which includes an array transducer composed of 192
elements and related electronic circui ts or devices, ensures high-speed
and high-resolution nondestructive testing.
The speed and ease of operation pl'ovide a system, without compare
for the detection of small defects in materials and evaluating bonded
parts, very useful for in-process quali t;y evaluation in a wide range of
products.

REFERENCES

1. J.Kubota, H.Okada, Y.Musha, Y.Takishita, A.lwasaki and S.Sasaki,

Electronic Scanning of 25MHz Ultrasound for Imaging IC Packages,
Proceedings of 1988 IEEE Ultrasonic SVIIllli,lsium, 767-770
2. H.Okada, J.Kubota, Y.Musha, Y.Takishita, A.Iwasaki and S.Sasaki, High
speed Ultrasonic Imaging of IC Packages Proceedings 12th World
Conference of Non-Destructive Testing, 1298-1303, Elsevier (1989)

256
ACQUISITION AND VISUALIZATION OF 3D ULTRASOUND IMAGES

A. Collet Billon*, Y. Le Guerinel*, and J.M. Levaillant**

*Laboratoires d'Electronique Philips
Limeil-Brevannes 94 France
**Hopital Intercommunal de Creteil
Creteil94 France

GENERALITIES
When specifying a 3D acquisition system, the following considerations are parti-
cularly important: (i) the acquisition time should be reduced as much as possible in
order to minimize the artefacts brought by natural tissue motion; (ii) in the same time
the volume has to be correctly sampled; (iii) the additional benefits brought by 3D
scanning are tightly related to the out-of-plane resolution. Note that the annular ar-
ray wobbler is the only commercially available probe that allows out-of-plane track fo-
cussing; (iv) an utilization in a clinical place implies efficient and fast vizualisation
tools.

ACQUISITION: DIFFERENT POSSIBLE APPROACHES

Three schemes can be considered in order to build a 3D echographic scanner:
• hand controlled 3D scanner. For instance a simple arrangement that has
been first used at LEP to collect volume data consists in fixing the probe of a
real time echographic apparatus on a penthographic arm, which provides the
positions of the images in space (fig.l). Classical resampling techniques are
used after the acquisition to map the images into cartesian axis. The volume
scanning is never perfectly regular and strongly depends on the ability ofthe
practician. The scanning requires generally ten seconds. which makes it sen-
sitive to natural tissue motion artifacts. Moreover scanning-induced tissue
motion make such system ill suited to some exams. in bre~t for instance.
Less constraining localization systems have been reported. based for in-
stance on spark gap sources and microphones enabling the probe position
calculation via triangulation.
• mechanical 3D probe. To that class belong the numerous possible arrange-
ments where an additional degree of movement is added so that the ultra-
sound scanning plane can be progressively shifted to explore a volume. At
LEP such an automatic 3D probe has been developped based on an annular
array sector probe mounted on an additional axis of rotation, perpendicular
to the wobbling one, allowing to modify the azimuth angle of the sectorial
plane via a computer controlled motor drive (fig. 2). Compared to the pre-
vious approach, the scan time is faster - typically 4 seconds for 15 cm depth -
because it is regular, and as the footprint of the probe is still during acquisi-
tion, there is no longer scanning induced tissue motion. Once A-lines are digi-
tized and recorded along with their polar angles positions, a numerical 3D
scan conversion transforms raw data into a set ofparallelepipedic voxels.

Acoustical/maging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 257
 electronic 3D scanner: 2D arrays. The most attractive and difficult path. A
full 2D 64 X 64 elements phased array for instance needs a huge front end
electronics to control the 4096 elemental transducers. In addition the reali-
zation of the array with current piezoceramics and integration of preamps
and part of the beam forming electronics inside the probe are formidable te-
chnological challenges. However it seems to be possible to retain only a limi-
ted number of elements (up to one out 6) in a rando~waywhile keeping side
lobe levels compatible with acceptable image quality . 2D arrays with paral-
lel beam forming - for instance wide beam transmitted, several focused
beams received - makes possible to speed up the acquisition (at the expense
of a signpcant loss of of resolution), and ultimately to reach real time 3D
scanning: the potential impact in heart examination in particular is clear.
The management of the huge output data flow is a challenge too.

signal echographique
echographic signal

!
Signal video
video 51 nal
\!OTOR
donnees
de POSition sonde 2D
bras 20 probe

r
posITIon
pantographlQue
scan arm dedenchement carte de synchro-
trigger SIgnal nlsatlon Images-
pOSitions
remise a zero frame .position
I
reset s nchromsatlon board,
Signal video

I
!
VAX ~:~~0
magnetoscope
VCR
TRA~SDCCER

~
.... carte entree I sante et converSion A I N OI~L~~~.~
portable PC/AT + ",lDC boarrJ

Figure I. Manual scanning Figure 2. Bi-sectorial automatic probe

VISUALIZATION OF VOLUMETRIC ECHOGRAPHIC DATA

The simplest and yet valuable way to examine the volume content consists in
reslicing it along selected orientations. C-scans, in particular, can't be obtained with
the echo graph (fig 3a, 3b). Any orientations can be selected, for instance along anato-
mical symetry axis in order to ease the detection of a possible anomaly (fig. 3b, 3c). It
is also possible to display the neighbourhood of a point in the volume by displaying si-
multaneously the facets delimited by 3 othogonal planes (fig. 3d). Thick slices, where
the volume content is averaged between two parallel planes, can increase the contrast
of a focal lesion at the expense ofthe out-of-plane resolution (fig. 3e). Such operations
can be interactively performed on with an off-the-shelf workstation.
Human visual system is not able to assess complex 3D structures just by looking
at slices. There are numerous methods to display 3D data on a 2D screen. Surface
moddeling represents the boundaries ofthe objects, after they have being segmented,
as a collection of geometric patches. Some computer graphics technique is then ap-
plied to produce realistic images. Such techniques have been successfully used to dis-
play bones in CT-X volumetric data. In echography, the precise segmentation of
boundaries between soft tissues is known to be exceedingly hard due to propagation
phenomena (e.g. speckle artefact). This makes surfaces modelling techniques gene-
rally unfit for echography. Volume rendering techniques sidestep the binary surface
segm.entation and process voxels directly.

258
 The simplest one is reprojection: the intensity perceived at a base point of a cas-
ted ray (i.e. one image pixel) is some weighted sum a the voxels intercepted by that
ray. Prior the reprojection the volume of interest can be emphasized and the surroun-
ding data dissolved. That method produces X-ray like images where speckle noise is
smoothed out (fig. 4a); their appraisal is much improved when the view point is chan-
ged dynamically . Yet details at surfaces are hard to discern due to the lack of shading.

More sophisticated so-called solid rendering methods4 ,5 have been reported in

litterature. First a fuzzy classification (excluding any all-or-none process) assigns
opacity and color according to the local grey level and a possible region segmentation.
The shading function at each point is derived from both a local 3D gradient whose ma-
gnitude estimates the amount of surface, and its orientation relative to an external
source of light. Opacity can also depends on local gradient magnitude. After proper
reorientation ofthe volume, simple ray tracing is performed using usual composition
rules (fig. 4b, 4c). Here again dynamic rotation of the view point improves a lot depth
cue. Solid rendering can display small or poorly defined features with a minimum of
artefacts. Yet clinical data are still too scarce to clearly assess their limits in terms of
diagnosis. An other issue: due to the computation burden required, interactive vo-
lume rendering display is not yet feasible with non-dedicated hardware. Also, it is
clear that the understanding of an echographic image strongly depends on the ultra-
sound beam orientation - e.g. specular highlights, differential attenuation -, and me-
thods to maintain that information in volume images as well have still to be devised.
Even though the segmentation problem is relaxed when using solid rendering
techniques, efficient segmentation tools sparing the operator the tedious delineation
of contours of the images stack are needed, both to extract structures of interest from
the surrounding hidding tissues prior display and to allow reliable volumetric meas-
urement. This is currently a research topic at LEP*, and promising results have been
obtained with a semi automatic technique6 - i.e. requiring some operator control - ba-
sed on so-called snakes approach and mathematical morphology.

CONCLUSION
Significant benefits can be expected from 3D echography:
the acquisition time can be a few seconds, which garantees a high patient
throughput. The physician can also lift possible diagnostic ambiguities after
the patient release.
• usually unaccessible scan orientations can be generated.
• volume rendered images can ease the diagnosis, help to localize a detail rela-
tive to gross anatomic structures (e.g. the position of a tumor in liver with
respect to vessels).
accurate measurement of distances or volumes is useful to quantify the evo-
lution of a lesion

Clearly 3D echography raises a growing interest, and one can expect remaining
issues to be progressively solved, so that this new facility can be introduced in a clini-
cal environement soon. At LEP a new 3D acquisition system based on an automatic
3D probe, usable by the practician on its own, has been developped and transferred to
a clinical instance for extensive clinical validation.

* jointly with the Ecole Nationale Superieure des Telecommunications, Paris.

259
Figure 3. Various slice refonnatting (from left to right, top to bottom; (a): C scan in neonatal
brain; (b): C-scan in fetus head; (c): coronal slice in fetus head; (d): multiple slices view in fetus;
(e): contrast improvement in tissue phantom via azimuthal summation).

Figure 4. Volume rendering (from left to right, top to bottom; Cal: leprojection view of breast
tumor; (b): solid rendering of 12 weeks fetus; (c): solid rendering of fetal hand: Cd): solid rende-
ring of liver vessels).

260
REFERENCES
1. MoritzW.E.,PearlmanA.S.,McCabeD.H.,MedemaD.K,AinsworthM.E.,Bole
M.S. : An Ultrasonic Technique for Imaging the Ventricule in Three Dimensions
and Calculating its Volume. IEEE trans. on Biomedical Engeneering 30, (1983),
432-492.
2. Turnbull D.H., Foster F.S. : Theoritical Steered Beam Profile from a Two
Dimensional Transducer Array. IEEE Ultrasonic Symposium Proc. , 1989.
3. Galloway L., Thurstone F.L. : Recent Applications of Parallel Processing
Techniques to Improve Ultrasound B-mode Images. Ultrasonic Imaging 8, no 1,
(1986), p. 69.
4. Levoy M. : Display of Surfaces from Volume Data. IEEE Computer Graphics
and Applications, 8, no 3, (1988), 29-37.
5. Debrin R.A., Carpenter L., Hanrahan P. : Volume Rendering. Computer
Graphics 22, no 4, (1988), 65-74.
6. Rougon N., Preteux F. : Deformable Markers: Mathematical Morphology for
Active Contours Models Control. SPIE annual meeting, July 91, San Diego, Cal.

261
AN EFFICIENT DATA ACQUISITION SYSTEM

FOR THREE-DIMENSIONAL ULTRASONIC IMAGING

Ja II Koo and Song Bai Park

Department of Electric Engineering

KAIST
Seoul, Korea

INTRODUCTION
In the three-dimensional (3-D) image display, we often need, fixed of all, to obtain
data on the 3-D rectangular grid points from the acquisited raw data, usually through
some kind of interpolation, since a cut view on an arbitrary plane is needed in many
cases and a plane in the 3-D space is most simply expressed in terms of the rectangular
coordinates. If we use a constant sampling rate in the data acquisition, then the sampled
data points are located on either concentric cylindrical surfaces or concentrical spherical
surfaces, depending on the scanning method used. Therefore, first of all, the coordinate
transformation from the cylindrical or spherical system to the rectangular system must be
performed, which is rather time-consuming and prone to interpolation error. This coordi-
nate transformation can be completely eliminated if we use a variable sampling frequency
from the beginning. Then, pixel values on all 3-D rectangular grid points can be calcu-
lated by a few times linear interpolation.
In this paper we will show how to implement this method, and ,in addition, we will
describe how to carry out real-time dynamic focusing in the receive mode to enhance the
image resolution in the radial direction.

THE PROPOSED SYSTEM

Fig. 1 shows the 3-D data acqUIsitIOn system built at our laboratory for ultrasonic
medical imaging. The received signals are amplified, focused, and digitized. After that
the data can be sent directly to the digital scan converter (DSC) for display or stored at
the temporary memory bank up to 40 frames. The PC controls the data transfer between
the memory bank and the SUN workstation where the signal processing is carried out.
The PC also controls the mechanical scanning of the transducer (TRD) and the firing of
the transmission pulses.
The first problem in the design of the 3-D data acquisition system is the choice of
the transducer. The annular array with 2-D mechanical scanning and the 2-D phased
array are most suitable for 3-D applications from the resolution point of view. While the
2-D phased array enjoys more flexibility in control, it suffers from system complexity.
Therefore, we adopted the annular array in our system.

UNIFORM LADDER SAMPLING

First, consider the conventional method of I-D sector scanning as shown in Fig. 2
(a), where a constant rate sampling is used with an equal angular spacing AS between
two adjacent scan lines. Since, for the display purpose, we want to have data at the rec-
tangular grid points shown by x marks in Fig. 1 (b). To estimate the pixel value at
P(x, y) in Fig. 1 (c), then first we have to calculate the corresponding polar coordinates

Acouslicallmaging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 263
 11 Transmillor 1
L~->[N:rr 0' 'J-! OO"".J
TRO [~~O~1.0ry Onnk
(disk or
annular)
Motor control

Fig. 1 System block diagram.

(r, 9) of P by

r= Jx 2 +'; (1)
-1 x
9=tan (-) (2)
y
and then perform perhaps linear interpolations from the pixel values at neighboring four
points A, B, C, and D. A simplest way is to get the value at Q from those at A and C
and also the value at R from those at Band D and finally the value at P from those at
Q and R, all using linear interpolation. In other words, one (x, y) - (r, 9) coordinate
transformation followed by triple linear interpolations are required. This operation must be
done for all rectangular grid points of interest, and hence quite a bit computation is
involved.
If, instead, we sample the echo signal at the dots indicated in Fig. 2 (d), which are
uniformly spaced not only along the axial direction but also along the horizontal direction,
then it is a simple matter to get a pixel value at any point along the horizontal line by a
single linear interpolation. Since the data along the depth direction is usually dense
enough, we do not need any interpolation in this direction. This scheme of data acquisi-
tion will be called "uniform ladder algorithm" (ULA) [1], since the data are located uni-
formly in the ladder structure.
As one may notice, in the ULA a variable sampling clock is essential. And a sim-
ple calculation shows that the sampling frequencies for two adjacent scan lines in the
ULA differ typically by the order of 0.01 %. Furthermore, if any error exists between the
exact sampling frequency required and the actual sampling frequency, the error will accu-
mulate as we proceed further into the depth direction.

CON!ITA"4T I1All=
Ill!JIE'I fleAN

(a) (b)

~ i~
Ir,,") -_. - - - (r., 0,)
o p _____ R
(r,Il.,-{;,y) (I,n.,
G Ir, "I D
(rl, II.) -_. __ ' .. ____ - (f,,1',l

(c) (d)
Fig. 2 Sector scanning system. (a) Conventional system. (b) Rectangular
grid points. (c) Interpolations in conventional system. (d) ULA scheme.

264
 ----
-------
mrct,Nnlcal
scan

(a)

~
..."- ... I

,~
-
__

A grid point on X-V phmp 3· 0 fActangnim grid points

(b) (c)

Fig. 3 ULA extension to the 3-D case.

In order to solve this problem, let E be the master clock frequency, and fd be the
desired sampling clock frequency for a particular scan line. Let also T d and T m be the
periods of fd and E, respectively. Then it is always possible to find some integer N such
that

Suppose the error E between Td and NTm is less than T m /2. Then, if we start with the
faster sampling frequency fs2' the error E will accumulate as we keep tins sampling rate.
Before the accumulated error exceeds 1I2Tm after a certain number of samplings, we
switch to the other clock frequency fSl' which is slower than the previous one, and keep
this sampling rate. Now, the accumulated error will decrease, and after its sign is
changed, its magnitude will again exceed 1I2Tm. Just before tI1is situation occurs, we
switch to fs2' and so on. In this way we can always keep the error in the sampling instant
within half of the master clock period. For example if use 100 MHz as fm' the error in
the sampling instant can always be kept within ±5 ns, which is more than enough for the
transducer center frequency up to 7 MHz. All we need for this purpose is a counter with
modulo N and modulo N+1, and a memory to designate the exact switching instants
which can be pre-programmed.
The 2-D ULA described in the above can be extended to the 3-D case, as shown is
Fig. 3. Again we need a different sampling rate for each scan line in the 3-D space so
that we have data points uniformly spaced on each plane perpendicular in the z-direction
as shown in the geometry of Fig. 3 (a). Since the data are again dense enough in the z-
direction, we need only to do interpolations on the x-y planes. Actually, we need only
thrce times linear interpolations to estimate a value on any point P in the x-y plane from
the neighboring four points A, B, C, and D as indicated in Fig. 3 (b).
In conclusion, it is relatively simple with the proposed scheme to obtain interpolated
data at the 3-D rectangular grid points, as opposed to the case of a fixed sampling rate
in which the three dimensional (x, y, z)-(r, 9, <1» coordinate transformation followed by
at least seven times linear interpolations are required to estimate the value at an arbitrary
rectangular grid point.

DIGITAL DYNAMIC FOCUSING

Now let us go over to the second topic, namely the digital dynamic focusing in the
receive mode. Fig. 4 shows the conventional, that is, analog type focusing scheme. The
required delays are obtained by the use of LC delay lines. Since the amount of delay
required for each element differ depends on the focal point, we need indeed a large
number of taps on the delay lines. Thus. one can image the magnitude of complexity of
the conventional analog system.

265
 analog
delay elements

depth

reflector

arrival
time delay

Fig. 4 Conventional analog-type delay and focusing scheme.

Array
(linger or annular)

Fig. 5 Pixelwise digital dynamic focusing scheme.

One consideration to be taken in the beam focusing is that a sharper focusing results
in a small depth of focusing. So some trade-off must be made between the lateral reso-
lution and the depth of focusing. One way to get around this problem is the so-called
zone-based focusing, in which we divide the image region into several parallel zones per-
pendicular to the depth direction and predetermine a transmission focal point and a
receive focal point for each zone. The frame rate must be sacrificed according. On the
other hand, if we perform dynamic focusing at every pixel point, instead of the zone
basis, then we will obtain a narrower beam profile all the way along the scan line without
sacrifice of the frame rate. This pixel based dynamic focusing can be achieved in a digi-
tal fashion, which will be described below.
Fig. 5 shows such a dynamic focusing scheme to be called "Pipelined Delay Focusing
(PSDF)" scheme. The transducer array can be linear or annular. For each array element
we have an AD converter, the sampling instants for which are precisely controlled to take
into account the delay times required. The sampled data are fed into the FIFO buffer
memories, and their outputs are added at a fixed interval, namely, the sampling interval
for the center element. The pixelwise dynamic focusing is thus completed.
The left part in Fig. 5 shows, on the delay profile, the precise sampling instants for
each channel. While the sampling interval for the center element is carried out at a fixed
interval T s ' the sampling rate for other elements must be varied continuously as they
receive the echo, since the delay times for focusing change continuously as the focal point
changes. The exact sampling instants required for each element can be calculated in
advance. The key in this scheme is how to generate the variable sampling clock for each
channel. The detailed implementation is described elsewhere [2].

EXPERIMENTS
A mechanical drive of a commercially available annular array transducer (3.5 MHz)
was designed at our laboratory so that the annular elements can be sector-scanned in two
mutually perpendicular planes. The data are acquisited in the 3-D ULA scheme and pix-
elwise dynamic focusing is applied in the received mode. Fig. 6 (a) is the 3-D image for
a phantom, and Fig. 6 (b) and (c) are the cut views of in-vivo images on arbitrary
planes, all constructed from the grid point data by further interpolation.

266
 (a)

(b) (c)

Fig. 6 (a) Phantom image. (b) and (c) In-vivo images.

CONCLUSIONS
An efficient data acquISItIOn system for 3-D ultrasonic imaging has been proposed,
which employs the extended uniform ladder algorithm to facilitate real-time interpolation
required to obtain pixel values at the 3-D rectangular grid points. Also, digital implemen-
tation of the dynamic focusing has been described, and preliminary 3-D images on arbi-
trary planes has been displayed. A 3-D imaging system with full function is under con-
struction.

REFERENCES

[1] S. W. Lee, M . H. Lee, and S. B. Park, "A high-performance variable sampling

clock generator for the nearest neighbor sampling technique," IEEE Trans. Instru-
mentation and Measurement, vol. 1M-30, no. 3, pp. 707-710, Sept. 1987.
[2] T. K. Song, and S. B. Park,"A new phased array system for dynamic focusing and
steering with reduced sampling rate," Ultrasonic Imaging, vol. 26, no. 1, pp. 71-73,
1990.

267
THREE DIMENSIONAL LOCATION WITH

ULTRASOUND IN NEUROSURGERY

Lin Wang

BME Department
Southeast University
Nanjing, P.R. China

H.J.Zweifel

Neu-Technikum Buchs
Switzerland

INTRODUCTION

In neurosurgery, surgeon needs to know the accurate

position of operating knife's tip within a skull, which should
be in accordance with that given by diagnostic instruments
such as NMR, X-ray CT systems.

Theoretically in ideal acoustic propergational case, with

the help of ultrasound, the knife's tip can be easily three-
dimensionally located based on the principle of TOF: s=v*t,
where s is acostic trip, v acoustic velocity and t the time of
flight along the s forwards and backwards. Actually in
hospital, non-ideal operational surroundings to ultrasound
propagation such as the changes of atomspheric temperature and
humidity, air convection and movements of personnels etc. have
made this relationship not. accurately linear. Important is
that this non-linearity could not be neglected in
neurosurgericaJ location. In order to solve this problem,
five possibilities are put forward and considerated. One of
them is chosen, in which velocity is iteratively corrected
through TOF differences.

In this paper, it is presented that the measurement

system on which experiments in the cases of differnet
simulated disturbances are carried out. The principle and
operational process are described and related results are
given and discussed.

EXPERIMENTAL MEASUREMENT SYSTEM

As shown in Fig.I, the whole system is composed of four

parts: an operational space, a digitizer, a computer and an
imaging syst,em.

Acoustical IfTUlging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Ptess, New York 1992 269
 In the part 1, operational space, there exist two
coordinate systems, one is measurement system (X,Y,Z) and
another is image system (XeT, YeT, ZeT) which is correspondent
to that of given image in CT imaging system, where they can be
transformed each other through a coordinate transformation
determined by the measured TOFs between four clickers mounted
on the ground plate and four microphones on the upper plate.
The spatial relationship between these two coordinate systems
is assumed to be fixed in below considerations. The positions
of three clickers mounted on the operating knife are
determined by measured TOFs between them and the microphones
on 1.he upper plate. Furthermore the position of the tip within
the skull is calculated out.

Part 2, digitizer is used to transmit ultrasonic pulses

to 1~he clickers on knife, to receive and sample the signals
from microphones on the upper pI ate, and to interface with
part 3, controlled by an internal microprocessor.

Part 3, computer system is for controlling and monitoring

the whole system as well as outputting all the results.

Part 4 supplies surgeon with diagnostic image and related

information which is used to monitor and instruct operation.

GP - 8 - 3D COHPUTfR INIIQlNG
PI GIn 'lER 1USTEN
.--
I
$YSTEtf
- ----

TMAGINq
!N5lRUI1ENr

Fig.l Ultrasonic Measurement System

for 3-Dimensional Location

METHOD AND PRINCIPLE

.MethQQ

The upper half part of the operational space can be

simply drawn as in Fig. 2, where the original upper plate is
taken as a base of present coordinate system. One of the four
microphones is mounted in the center of the plate, and the
other three at the corners respectively. Three clickers are
Linearly mount;ed on the knife, one is in the middle of the
ot,her two. The whole influence of non-ideal surroundings on
ultrasonic propagation is simulated by a disturbing sourCe.

At a certain moment, ultrasonic velocity can be taken as

a constant Vo. The TOFs between each comb ina ted pair of

270
clicker and microphone can be measured out. On the other hand,
the TOF along the central way W3P4 can be calculated through
those measured TOFs along the other six ways. This calculated
value is different from the measured in the case with
disturbance. It is through this difference between the
calculated and the measured TOFs along the central way that
the propagational velocity at the moment are partially
corrected to the real one from Vo at the first step.
Furthermore the velocity, or rather, the coordinates of
clickers on knife, can be corrected to the "should-be
values" step by step through circular iterations with the TOF
difference between two adjacent steps.

7 f 1 \ '\ \ \. 1>ISTVR8/NG
SouRCt=
\ \ \ \ ','-
\
,\.' ' ..."..',,'
\
\

'~
~.

", '.

Fig.2 Scheme of Measurement Part in Locating System

Assume: The initial measured value of velocity is yo. At

the iterative step n, the coordinates of clickers Wi(i=I,2,3)
and microphones Pj (j=I, ... 4) are (nx.. i, n Y.. i, n Zw i) and (Xp j ,
Ypj, Zpj=O) respectively. Writing the acoustic trip WiPj as
nSij, the correspondent TOFs as tij (i=1,2,3; j=I,2,3,4), and
along the trip n S3 4 =n W3 P4, the calcu] ated values of TOF and
velocity as ntc and nvc respectively, the iterative procedure
is as follows:
Inputting initial value of velocity:
°Yjj=Vo (i=I,2,3;j=I,2,3,4) (1)
and measuring TOF values tij (i=I,2,3;j=I,2,3,4). At the
iterative step n,we have:
(i=I,2,3;j=I,2,3,4) (2)
that is,
n X.. i Z +n Y.. i Z +n Zw i Z - 2 * ( Xp j *n Xw i +Yp j *n Ywi) =n ki j (3)
therein, nkij=ntij2*nYij2_(XpjZ+YpjZ) (4)
(i=I,2,3;j=I,2,3,4)
solving equation (3), we get:
nXwi=(Bz*CI-Bl*C2 )/(Al*B2-A2*Bl) (5)
n Y .. i = (AI *C2 -A2 *Cl ) I (AI *Bz -A2 *BI ) (6)
nZwi=nkil+2*(Xp l*nx.. i+Yp l*nYwi )-(nXwi2+nYwiZ) (7)
(i=I,2) for (5),(6),(7)
where Al =Xp Z -Xp 1 (8 )
A2 =Xp 3 -Xp 2 (9)
BI =Ypz -Ypi (10)
B2 =Yp 3 -Ypz (11 )
CI=(kil-kiZ )/2 (12 )
C2=(ki2-ki3 )/2 ( 13 )
As clicker W3 is in the middle of the other two WI and

271
W2, from (5),(6) & (7) , we have:
nXw3 =(nXwi +nXw2 )/2 (14 )
nYw3=(nYwl+ n Yw2 )/2 (15)
nZ w 3=(nZ w I+ n Zw3 )/2 (16 )
then, n tc =n Sc /n V3 4 (17 )
where °Sc = (nXw3-Xp 4 )2+(nYw3-Yp4 )2+nZw3 2 ( 18)
Compared with the differential of velocity:
dV=(S*dt-t*dS)/t 2 , (19 )
the differnce of velocity caused by that of TOF can be written
as:
n dV3 4 = 0 Sc * (t3 4 _ 0 tc ) /t3 4 2 (20)
further, n dVi j =ndV3 4 * (WiPj· W3 P4 )/n Si j *n S3 4 (21)
(i=1,2,3;j=1,2,3)
wherein the WlPj, W3P, are vectors.
Set n< I Vi j =nVi j +ndVi j (22)
to continue next step iteration.
According to above cycle, the iteration goes on step by
step until step m, when
l-dVc*t34!<= lmm (required accuracy) (23)
is satisfied.

D.e.t.eTI!ti.llgtiQu .. Q.f...... Tip.·.s . . . PQs.i.tjQU

The position of knife's tip T can be determined by those

of the clickers on it. Assume the coordinates of tip is
(X.Y,Z), the distances between tip and clicker WI and between
clicker WI and Wz are respectively DI and D2 as shown in
Fig.2. Then we have:
X-Xl Y-YI Z-Zl DI
= = (24)
Xl -Xz YI -Yz Zl -Zz Dz
therein (Xi, Yi, Zi) is the coordinate components of clicker
Wi (i=1,2). Solving above equation, we get:
X=k*(XI-XZ )+XI (25)
Y=k*(YI-YZ )+YI (26)
Z=k* (Zl -Zz ) +Zl (27)
where k=DI/Dz (28)

EXPERIMENTS AND RESULTS

During experiments, the initial velocity is measured out

to be 344.77 m/s. Disturbance is simulated by a wind source.
On the system, TOFs ti j (i=l, 2,3; j=l, 2.3,4) along the trips
between all pairs of clicker-microphone are measured in the
cases without, with weak, and strong wind. System controlling,
calculating and iterating software package are programmed in
Pascal language.

The final iterat,ive results are shown in Table 1, in

whi ch dX., i , dYw i, dZwi (i=l, 2.3) refers to the errors of
coordinate components of iterated acoustic ways in the cases
wi t,h disturbanee compared with that in ideal condition or
without wind where the "error" is defined as zero.

From the table, it can be seen that the locating accuracy

has arrived at less than +/-lmm, after ten steps of iteration.

By the way it is pointed out that the adopted mathematic

iterative method has been proven to be convergent by
experiments in various simulating cases.

272
 Table 1. Experimental Results

case measured data of corrected error

distance(mm) coordination(mm) (mm)

811=491.90 XW1=217.91
without 812=450.90 Yw1=169.36
813=479.70 Zw1 =432.96
wind 821=526.90 0
822=484.70 Xw2=225.38
823=469.80 Yw2=250.55
834=426.80 Zw2 =433.51
--------- ----------------- ----------------- ---------------
811=491.60 Xw1=217.81 dXw1=-0.04
with 812=450.60 Yw1 =169. 52 dYw1 = 0.16
weak 813=479.00 Zw1 =432.56 dZw1 =-0.40
wind 821=526.50
822 =484.30 Xw2 =225.32 dXw2 =-0.06
823 =469.70 Yw2 =249.96 dYw2 =-0.64
834 =426.50 Zw2 =433.38 dZw2 =-0.14
--------- ----------------- ----------------- ---------------
811=490.90 Xw 1 =217.88 dXwl=-0.03
with 812=450.00 YW1=168.79 dYwl=-0.57
strong 813=478.80 Zw 1 =433.03 dZwl = 0.04
wind 821=526.00
822 =483.80 Xw2 =225.54 dXw2 = 0.16
823=468.70 Yw2 =251.02 dYw2 = 0.47
834=425.90 Zw2=433.12 dZw 2 =-0.39

CONCLU8ION

From experiments, it can be concluded that with the help

of the presented ultrasonic system, the position of knife tip
wi thin the skull can be sufficietly accurately located. The
iteratively correcting method put forward in this paper is
effective to solve the problem caused by the influences of
non-ideal operational condition on ultrasonic propagation
during the location. In laboratory, the locating accuracy can
reach +/-lmm It can be manipulated by iteration software
according to requirements. The higher accuracy can be obtained
but in the sacrifice of decrease in locating speed.

In clinic, three dimensional location is mostly required

to be real-timely realized. 80 the present locating speed of a
few seconds for a position of the tip is expected to be
increased in order to make this system really to go to clinic
from laboratory. The improving directions are in both hardware,
for example, to use special or higher-speed integrated
circuits to speed up the data acquisition and processing, and
in software, for instance, to use higher-speed algorithms and
numerical approaches for iteration, and to use assemble
language to program or solidize the related software.
ACKNOWLEDGEMENT

We thank Mr.H.Christof, M.P.Andreas & 8.Franz for their

primary construction of measurement system. The Mr.Andreas's
great help would be also gratefully acknowledged.

273
REFERENCE
(1) Lin Wang, "Drei-Dimensionale Localisierung mit Ultraschall"
Nachdiplomherlcht, 1989, NTB, Switzerland

274
ECHOGRAPHY WITH CONTINUOUS ULTRASONIC WAVES

M. A. Benkhelifa1, M. Gindre, J.Y. Le Huerou and W. Urbach

Laboratoire d'Imagerie Parametrique CNRS 6211

24 rue du faubourg Saint Jacques 75014 Paris France

1 INTRODUCTION

Ultrasonic imaging using correlation technique overcomes the problem of conventional

pulse echo system by transmitting a continuous pseudorandom signal and then compressing it
into a short high resolution pulse at the receiver. The total Signal to Noise Ratio (SNR) is
improved by band compression and allows one to retrieve echo signals buried in the receiver
noise.

The performances of the correlation imaging depend strongly on the nature of the
emitted signal. We have performed a comparative study using differently coded signals. The
results are compared to those obtained by a classical pulse-type A method.

2 THEORETICAL BACKGROUND

In pulse echography (A mode) a very short, high magnitude electrical impulse, e(t), is
converted by the acoustical transducer into a pressure impulse. Due to the acoustical
inhomogeneities of the medium, part of the propagating impulse is backscattered. The
transducer, which is acting as a receiver, converts this signal into the received electrical
infonnation :

set) = e(t) * h(t) '" h(t) if e(t) '" o(t)

where h(t) is the impulse response of the medium including the transducer operating
successively in emitting and receiving mode.

Thus in A-mode one gets the impulse response of the medium.

lalso at Institut National des Telecommunications (I.N.T.) EVRY FRANCE

Acouslicallmaging, Volume 19
Edited by H. Ermert and H.-P. Haljes, Plenum Press, New York 1992 275
 There is another technique leading to the same information [1]. One can calculate the
cross-correlation function, R(t), between e(t) and set). We obtain:

where Cee(t) is the autocorrelation of the emitted signal e(t). If Cee(t) is a good approximation
to the Dirac function oCt) then R(t) "" h(t).

Thus the correlation technique should provide the same amount of information as classical
pulse echography does. However the Signal-to-Noise Ratio (SNR) is expected to be
enhanced by the correlation.

3 CHaISE OF THE EMITIED SIGNAL

We want the autocorrelation of the emitted signal to be as close as possible to the Dirac
function. There are several choices of e(t); it could be a random analogic or a pseudorandom
numeIical noise, or some tricky coded signal.

The random analogic noise is a non stationnary signal and its autocorrelation function
has an envelop Si~ t .This shape is due to the fact that the integration time is always finite.
The use of this kind of signal is not acceptable in medical imaging.

The pseudorandom code, figure 1 a, is easy to produce using linear feedback registers
[2,3]. One of the most common ways of generating is by using linear feedback registers.
With a primitive polynomial of degree n we obtain a maximal length sequence of (2n - 1)
binary elements. If TH is the period of the generation clock, the binary elements of the
i
sequence e(t) have duration TH and bandwidth H. The width of the pIincipal peak is equal to

TH which gives a good idea of the axial resolution of the imaging system.

e (t)

+1 r- r-
(a) Pseudorandom t

binary code e(t) -1

:- - p =
n
L.

-1)T :~ f4-T H
:"
(2 H
...:
cee (t)

(b) its autocorrelation

function Cee(t)

Figure 1. Pseudorandom binary code

276
 In order to improve our experimental setup, we performed numerical simulations
(schematic figure 2). The propagation characteristics of the medium are taken into account as
well as the technical specification of the ultrasonic transducer.

The resulting
autocorrelation function is
represented figure 1 b. It
must be pointed out that 2
R (t)
the R(t) value does not
vanish. However its value
1
(- remains
sin 0)0 L
relatively small if n> 10 .
Figure 2. Representation of correlation simulation setup.

It is possible to obtain R(t) = 0 outside of the correlation peak by using complementary

series of length 2n [4] .

n n

Figure 3a. R1 (t) Figure 3 b. R2(t)

2n
By adding the autocorrelation functions
of two complementary series R1 (t)
(figure 3 a ) and R2(t) (figure 3 b) one
gets the resulting value which is
represented in figure 3 c R(t) .

This type of coding is largely used in o

Non Destructive Testing (NDT) [5].
Figure 3 c. R(t)

Other coded signals such as Frank or Barker codes have been simulated. In both cases SNR
was found:::; 30 dB which is insufficient.

277
4 EXPERIMENTAL RESULTS

It follows from the previous discussion that the pseudorandom and the complementary
series are well adapted to our problem. We performed experimental measurements in order to
check the SNR improvement as well as the signal dynamics and the axial resolution.

The experimental setup is

dala
schematicaly represented in
AMPLmER
acquisition
figure 4. The emitted signal e(t) is
modulated at the central frequency
of the transducter (fo) in order to PC
optimize the energy transfer into the
medium. The received signal is
amplified. A double demodulation
with two carries in quadrature of
phase is needed to preserve the
phase information. The circular
cross-correlation between the
emitted and then the two received Figure 4. Experimental setup
signals is performed by the data
acquisition system.

A two concentric elements

transducer is mounted on the top of A TWO CONCENTR IC
1+---.......,.. TRANSDUCER
a water tank (figure 5). The target
is a block of steel used as a perfect
reflector and the working frequency
is 7,5 MHz. ,
.....
. . .. . .
... .. .. .. .. .
.<......:....;...;e.-- BLOCK OF STEEL

f. =7.5 MHz
Figure 5.

Using the same experimental apparatus for complementary series and PN, we perform a
similar experiment in pulsed mode, using a pulse of 130 Volts and 1 Ils duration. In all cases
the same energy is sent into the medium.

We represent on figure 6 the pulsed echo response:

278
1 The first impulse is the echo
amplitude reflected by the front plane of dB
0 4
the acoustical miror.
·10 4
2 The echo reflected by the back plane
·20
of the same reflector.
·30

3 The smaller peaks, due to the ·40

successive reflections inside the block ·50

of steel, are hardly visible ·60

4 The successive reflections between ·70

8 1 6 distance In cm
the transducer and the target.
Figure 6. Pulsed echo response

In order to compare different results we normalise the first echo amplitude to 0 dB. In
that case the SNR is defined as the ratio between the first echo peak amplitude and the peak of
noise. Here the SNR is about 30 dB.

For correlation echo techniques with

PN sequences (see figure 7) we used dB
the same experimental conditions.
·10
That means the same transducer, the
same energy launched into the ·20

medium and the same target. ·30

·40
Obviously the Signal to Noise Ratio is
·50
improved and is equal to 55 dB. This
ratio will be better if we take into ·60

account the root mean square of the ·70

8 1 6 distance In cm
noise.
Figure 7. Correlation echo response PN sequences

Now we can easily see the successive reflection inside the block of steel. The correlation
technique allows one to retrieve echo signals buried in the receiver noise.
In the figure 8 a, b and c are presented the results obtained with complementary
codes: the figure 8 a for the first correlation function RI (t), the figure 8 b for the second
correlation function R2 (t) and in the figure 8 c the result of the addition R(t) = RI (t) +
R2 (t). It should be pointed out that the results obtained is much worse than expected
(see figure 3 c). This is due to the fact that RI(t) and R2 (t) are calculated successively,
because the two complementary codes cannot be emitted in the same time. If there is a
small variation of distance the resulting phase rotation leads to a multiplication of the

279
 dB
o 4
4
•1

·2

·3

·4

·5

·6

·70-~~~~~~~~~~~~r,rT-''-'
o 8 1 6 distance In em

Figure 8 a. Correlation echo response I Ri(t) I

dB
0
4
·1 0 4

·2

·3

·4

·5

Figure 8 b. Correlation echo response I R2(t) I

dB

4
•1

·5

·6

·7

Figure 8 c. Correlation echo response I R(t) I

280
correlation function by cos( 2~d). It is then obvious that a Ad = ~ has a dramatic effect
on the complementary of the two successive complementary codes and leads to the
degradation of the SNR.

5 CONCLUSION

The complementary series are difficult to use. First because two different codes must be
emitted sucessively and secondly because of the non stationnarity of the biological medium it
is difficult to exactly compensate the two secondary lobes which do not vanish totaly.
Therefore for the signal to clutter ratio remains important with this type of technique and this
prohibits its use in medical imaging.

The pseudorandom code despite of the residual value outside of the correlation peak
gives the best results. It is easy to obtain 60 dB dynamics with conventional echographic
transducers. This value is to be compared to the echographic classical systems. In most cases
the SNR is of order of 40 dB.

ACKNOWLEDGEMENTS

This work was supported by ANV AR, INSERM (grant nO 889010) and ARC (grant
nO 6174)

REFERENCES

[1] J. Max, "Methodes et techniques de traitement de signal et applications aux mesures

physiques", Ed Masson, Paris France (1985)

[2] W. W. Peterson, "Error correcting codes" J. Wiley and sons Ed, N.Y. USA (1961)

[3] G. Cullman, "Codes detecteurs d'erreurs", Ed Dunod, Paris France (1967)

[4] M. J. E. Golay, "Complementary series", IRE Trans on Inf. Th., Vol IT17, April
1961, P 82-87.

[5] B. B. Lee and E. S. Furgason, "High speed digital Golay flaw detection system",
Ultrasonics, July 1983, p 153

281
THE USE OF A THICK FOCUSED PIEZOELECTRIC TRANSDUCER TO GENERATE

SHORT DURATION UNIPOLAR WAVE

E. Rougny*, J.Y. Chapelon*, B. Querleux**,

J.L. Leveque**, D. Cathignol*
*Inserm U28l, 151 Crs A. Thomas, 69003 Lyon, France
**Laboratoire De Recherche De L'Oreal
1 av. E. Schueller, 93601 Aulnay-Sous-Bois, France

INTRODUCTION
In view of dermatologic applications, a focused ultrasound
transmitter has been designed to generate short duration unipo-
lar pulse « 50 ns) at the focal point of a plane concave trans-
ducer. A plane concave transducer is a thick piezoelectric cera-
mic with a plane back face and a concave front face designed to
focus the transmitting wave.

In this design two ideas have been associated :

- Firstly, the pressure time (pt) waveform at the focus of a
piezoelectric transducer is the time differentiated transmit-
ter face velocity function. So, a short duration pulse is
achieved by exciting the transducer with a step voltage func-
tion which has a very short fall time « 10 ns) .
- Secondly, the use of a 25 mm thick transducer allows to work
with the pulse wave generated by the front face of the trans-
ducer independently of those generated by its back face. So,
we can register the echo signals over a depth of 4 mm without
perturbation of the back face wave of the transducer .

THEORY
Thick transducers have been studied by several authors,
such Peterson, 1 Redwood,2 and Lakestani,3. It has been clearly
demonstrated that a transducer excited by an electrical pulse
generates a positive peak pressure wave (A on figure 1) on its
front face and a negative peak pressure wave (B on figure 1) on
the back face. Each pulse is respectively transmitted in the
medium and in the piezoelectric ceramic. Close to the front face
of the ceramic, the pt-waveform is formed by a succession of
positive and negative pulses, time separated by a period T
corresponding to the propagation delay time of the wave through
the transducer. As far as the duration of the received echoes is
shorter than the period T only the first pulse issued from the
front face of the ceramic is considered and the resonance mode
ignored.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 283
 transducer

Fig .1. Response of a non focused thick transducer

excited by an electrical pulse.

For the case of a uniformaly excited planar radiator, the

classical theory of sound to calculate the field of ultrasound
source can be simplified and the instantaneous pressure P(r,t)
at a point P(r) expressed as a convolution product 4 :

(1)
where r is the density of the medium
vQ(t) is the instantaneous normal particle velocity
--..
at the front face of the source and h t { r ,t} is the
impulse response of the source.

This theory has been extended to slightly curved sources 5

whose the size is large compared to the ultrasound wavelength.
Under these conditions, at the focus of a focused transducer,
the impulse response ht(r,t) is a Dirac function 8(t). The sub-
stitution of ht(r,t) into equation (1) then yields:

(2)

Thus, at the focus of a concave source, the pressure is the

time derivative of the velocity distribution at its front face.
To obtain a pt-waveform which is unipolar, the transducer
velocity function has to be a step function. In this conditions,
a focused transducer excited by a step voltage of ~t turn-on
time, will generate in its focal plane a pulse whose the width
will be approximativaly ~t. More ~t will be small, more the
spectral density will be wide.

TECHNICAL ASPECT
The electrical generator
The generator is based on the principle of quick capacitor
discharge. A high power supply voltage charges the transducer
which is electrically equivalent to a capacitor with a
dielectric constant e33. When the spark-gap switches on, the
transducer is discharged through a resistance Rc to ground. The
pressure value is proportional to d33*U/e (with d33 : piezoe-
lectric constant, U : excitation voltage of the transducer, e :
ceramic thickness), a high voltage has to be applied between the
electrode of the transducer in order to achieve a pressure level
equivalent to the one generated by thin resonant ceramics.

284
The probe
The transducer is made with a rod of lead titanate-
zirconate (Pl-88) commercialized by Quartz et Silice (France),
which is 25 mm thick, 8 mm in diameter and 15 mm in focal
length. These two last features has been chosen in order to
obtain a 6 dB focal depth of 2 mm and a lateral resolution of
140 Ilm.

To minimize the inductance of the electrical circuit and to

obtimize the turn-off time, the electrical discharge circuit
(spark-gap and critical resistance) are put in the probe as
close as possible of the transducer.

EXPERIMENTAL RESULTS
Electrical result
Measurements were done with a digital oscilloscope
(Tecktronix 2440 A), which has a 500 MHz sampling rate and 200
MHz bandwidth. A high voltage 1/1000 probe (Tecktronix P6015)
was used to measure the excitation voltage of the probe.
Figure 2 illustrates the shutoff of the transducer during a
2000 to 0 V supply transient which is characterized by a turn-
off fall time of 10 ns. Due the critical resistance, no ringing
occurs after the switch off .

. . .'.. rr'

\~ .-
- . ..
Fig. 2. Step function of amplitude 2000 Volt with a
typical falltime of 10 ns. Horizontal scale 20
ns/division.

Acoustical results
A special receiver has been designed to measure the
acoustical pulse generated at the focus of the probe. The
bandwidth of this hydrophone has to be larger than 100 MHz to
record correctly the pt-waveform of the unipolar pulse. For
that, a 9 jlffi thickness PVDF (polyvinylidene-fluoride) sheet with
0,1 mm2 spot poled has been used. In order to minimize the
cable effects at these frequencies and to improve the electrical
matching, a buffer (LH0063 CK) has been inserted in the receiver
just behind the electrode leads.

285
 16
A
....s:
14

=
;;...
J.
12
...
('IS
J.

:s 10
J.
-<
8
_0-

6
200 300 400 500 600 700 800

Time (os)
Fig. 3. 70 ns width pressure wave.

A typical pt-waveform recorded with this receiver at the

focal point of the probe is shown on figure 3. This unipolar
pulse, which has at its base a width of 70 ns corresponds to the
response of the front face of the transducer when it is excited
with the signal of figure 2.

DISCUSSION
In most of measurements, pt-waveforms correspond to
theoretical results which allow to bring forward the following
points :
At the focal point of the transducer, the pressure waveform is
the time derivative of the exciting voltage.
The ceramic thickness allows to work with the front wave
independently with the back wave. In this instance, both waves
are time separated by 6 ~s which corresponds to a 4 mm equiva-
lent thickness of tissue.

In a preceding paper [6], we showed that the lateral

resolution of the hydrophone was approximatively 200 ~m, which
is found to be larger than the theoretical lateral resolution of
the probe. We were not able to reduce the size of the spot poled
of the receiver to improve the measurement of the lateral
resolution. However, the conception of the 0.1 mm 2 PVDF
hydrophone allowed us to measure the width of the pulse in the
focal point of the probe. This width was found equal to 70 ns
which is larger than the theoretical expected value. The
difference can be explained in part by the size of poled spot
but also by the attenuation of high frequencies in water (22
dB/cm at 100 MHz). A smaller poled spot hydrophone was
considered but the measured pressure amplitude would be too weak
to be observed.
These different experiments allow to show that a thick
focused transducer generates at its focus unipolar waves with a
duration close to the time derivative of voltage excitation. In
our case the theoretical value of the time derivative of the
fall front gives a 30 ns duration pulse which is close to the
measured value. The bandwidth of this probe was estimated to
about 30 MHz which is enougth for dermatologic applications
where the bandwitdth is limitated by the attenuation of tissues.

286
CONCLUSION
The fundamental notion of surface pressure signal
derivation at the focal point of a plane-concave transducer
allows to use a thick transducer to generate a short unipolar
pulse. The duration of the wave is proportional to the turn-off
fall time of the electrical excitation signal. The electrical
aspect is very important, only a clean front of the transducer
shutoff with a short duration permits to obtain these pressure
waveforms.

REFERENCES
1. Peterson R. G., Rosen M., Use of the thick transducers to
generate short duration stress pulses in thin specimens, ~
Acoust. Soc. Am. 41: 336-345 (1967).

2. Redwood M. A., Study of waveforms in the generation and de-

tection of short ultrasonic pulses, APplied Materials Re-
search April. 76-85 (1963)

3. Lakestani F., Baboux J.C., Fleischmann P. and Perdix M.,

Generation d'une onde ultrasonore plane en forme d'echelon
application a l'etalonnage de recepteurs piezoelectriques, ~
Phys. D. Appl. Phys. 9: 547-554 (1976).

4. Stepanishen P.R., Transient radiation from pistons in an

infinite planar baffle, J. Acoust. Soc. Am, 49: 1629-1638
(1970) .

5. Arditi M., Foster F. S. and Hunt J. W., Transient fields of

concave annular arrays, Ultrasonic Imaging 3: 37-61 (1981)

6. Rougny E., Cathignol D., Chapelon J. Y., Querleux B. and

Leveque J. L., Generation d'une on de unipolaire focalisee de
tres courte duree, Innov.Tech.Bio.Med. 11: 6 (1990).

287
P(VDF-TrFE) TRANSDUCER WITH A CONCAVE ANNULAR STRUCTURE FOR

THE LAYER THICKNESS MEASUREMENT

Masao Saito, Yusuke Tsukahara, Kiyohito Koyama*

Technical Research Institute, Toppan Printing

Co., Ltd. Sugito-machi, Kitakatsushika-gun
Saitama 345, Japan
*Department of Materials Science and Engineering
Yamagata University, Yonezawa, Yamagata 992, Japan

INTRODUCTION

The present authors established a method 1 of the layer

thickness measurement, in which a plane wave with oblique
incidence was applied to a specimen with an overlay, and a
Fourier spectrum of a reflected wave was analyzed(Fig. 1).
The frequency dependence of the spectrum showed a dip when a
surface wave was excited, and the layer thickness was deduced
from the dip frequency. The frequency and the depth of the dip
varied when the incident angle was changed, because the sur-
face wave on a layered structure had a velocity dispersion.
Therefore, an appropriate incident angle should be chosen in
order to obtain a deep dip for the accurate measurement.
However, a measurement at a small spot on the specimen was
difficult because plane waves with beam width over O.5mm were
used. In order to measure the layer thickness on a small spot
by this method, it is necessary to focus ultrasonic waves on
the spot, while it is desirable to maintain the incident angle
of the ultrasonic waves near the appropriate value. To fulfill
this somewhat contradictory requirement, a new type of a
transducer using a piezo-electric co-polymer film P(VDF-TrFE)
(Vinylidene fluoride and trifluoroethylene) with concave
annular structure is developed 2 . To what extent does the
transducer focus the ultrasonic waves? Is the layer thickness
measurement possible? If so, in what way does the beam
focusing affect the measurement? To investigate these ques-
tions, this paper presents a theoretical analysis using an
angular spectrum theory, and describes experimental evaluation
of the transducer.

STRUCTURE OF TRANSDUCER

Fig. 2 shows schematically the structure of the annular

transducer. The piezo-electric material is made of P(VDF-
TrFE) films. The co-polymer in a liquid state was coated to a
concacve structure with an annular electrode on it. Then it

Acousticallmaging. Volume 19
Edited by H. Ermetl and H.-P. HaIjes. Plenum Press. New York 1992 289
 Fig. 1. Planar transducer in previous method.

Pulse Generator Signal Receiver

Brass

.;

P(VDF-TrFE) /'. ,

Fig. 2. Schematic of annular transducer.

was annealed and poled. In following experiments, two trans-

ducers with different designs were used. In transducer A,
fo=3mm, 91=19.5°, and 92=30°, and in transducer B, fo=7mm,
91=25.4°, and 92=34.8°. These parameters are defined in Fig. 3.
Let us define circles C1 and C2 which are upper and lower
edges of the annular part in the piezo-electric film that is
sandwitched by electrodes. Planes U and P are taken at the
circles C1 and C2, respectively. The origin of the cylin-
drical coordinate system is taken at the focus. 91 and 92 are
half-angle subtended by the circles C1 and C2, respectively,
at the focus. From a simple consideration, it seems better to
make 91 smaller and 92 larger to achieve a good focusing, on
the contrary it might be desired that 91 = 92 to have a clear
dip in the spectrum. An electrical impulse with 8 ns duration
was applied to the transducer which converged an impulsive
ultrasonic wave on the specimen surface, and reflected wave-
form detected by the transducer was digitized and Fourier
analyzed.

290
 u
p

z
Fig. 3. Geometry used for analysis.

EVALUATION OF TRANSDUCER

Theoretica1 formu1ation

The function of the annular transducer is investigated

by an angular spectrum theory3,4 of wave propagation. Liang
and his collaborators 5 ,6 studied the performance of a concave
transducer used in the acoustic microscope. Based on their
model, a formula for the concave annular transducer is
obtained. The angular spectrum at focal plane is,

lTo
ro
ikI

p
Jo(krr)rdr

- e-ik.&. rou dt Iu Jo(kr r) r dr )

)0 u (1)

where Jo is a Bessel function of the first kind, 0 order. k is

the wavenumber in water and kr is the radial wavenumber and kz
is the vertical wavenumber. kr = k sin 9, kz = k cos 9, and 9 is
the angle of wave propagation direction measured from z-axis.
r is a radial distance in the cylindrical coordinate. The
field amplitude in the focal plane can be calculated from the
angular spectrum by inverse Hankel transform,

<l>(r) ~ f A{kr• 0) Jo(k,r)k<dk.

(2)

291
And the output of the transducer V which is normalized by the
output for a perfect reflector is

!ok A2 (kr• 0) R(krl k;, kr dkr

f
V=

A2 (I<,-. 0) k;, kr elk,

(3)

where R(kr) is an ultrasonic reflection coefficient at an

interface between a coupling liquid and the specimen surface.
A detailed derivation of these formulas will be published in
other opportunities.

Spatia1 reso1ution

The beam width at a focal plane of the transducer A was

experimentally evaluated by measuring the output power of the
transducer when its focus crossed a fine gold wire 25~ in
diameter 7 . Fig. 4 shows a measured beam profile for 25MHz,
and the beam width at 3dB down point is 46~. In Fig. 5, a
field amplitude numerically calculated from (2) is shown. It
should be noted that a fine structure of side-lobes in the r-
dependence of the field amplitude was also experimentally
observed in Fig. 4. An agreement between the experiment and
the calculation is fairly well.

The 1ayer thickness measurement

An experiment was made to assess the possibility of the

layer thickness measurement by the concave annular trans-
ducer. A specimen of 42%Ni-Fe alloy with an electroplated
gold layer was used. The layer thickness estimated by the x-

-52

-56

co- 60
:!?
ffi -64
~
~-68
w
>
~-72
iii
a:: -76

-80
-120 -80 -40 0 40 80 120 150
RELATIVE DISTANCE [pm]

Fig. 4. Intensity variations of the echoes from a gold wire.

(25MHz)

292
ray fluorescence method was 5.2~. The spectrum of an output
signal from the transducer B is shown in Fig. 6. A clear dip
was obtained at about 40MHz, which established the feasibil-
ity of the layer thickness measurement by this transducer. In
the figure, a spectrum numerically calculated from (3) with
acoustic constants listed in table.1 is also drawn with a
dashed curve.

m 20~----------------------------,
:s

i
g;!
0

~
....1-20
w
0::

-400~--------~5~0------~1~0-O------~150
r [Jlml

Fig. 5. Calculated acoustic fields on the focal plane.

30
- - EXPERIMENT
m ---- THEORY
"'0

a:
w
3:
0
a..

-30
0 100
FREQUENCY [MHz]
Fig. 6. The spectrum of an output signal from the transducer
A. Solid line: Experiment, Dashed line: Theory

Table 1. Acoutic constant using in calculation

substance velocity of velocity of density thickness

longtudinal transverse
wave [m/s] wave [m/s]

water 1500 1.0

gold 3240 1037 19.3 5.2
42-alloy 4860 2600 8.1

293
CONCLUSION

Transducers with a concave annular structure were

developed to measure the layer thickness at a small spot on
the specimen surface. A field amplitude and a transducer out-
put were calculated by an angular spectrum theory of wave
propagation, and the performance of the transducers was
examined by experiments. Spatial resolution of 46 ~ at 25MHz
was achieved.

ACKNOWLEDGEMENTS

The authors are very grateful to Mr. H. Takano for

preparing P(VDF-TrFE) transducers, and to Dr. K. Hasimoto of
Chiba University for a computer program 8 of the reflection
coefficient. The authors also extend their gratitude to
Professor N. Chuba chi and Assistant Professor J. Kushibiki of
Tohoku University for their valuable discussion about the
performance of the transducers.

REFERENCES

1. Y. Tsukahara, N. Nakaso, J. Kushibiki, and N. Chubachial,

An Acoustic Micrometer and Its Application to Layer
Thickness Measurements, IEEE Transaction Qll Ultrasonics,
Ferroelectrics, QDQ Frequency control, UFFC-36:326-331
(1989) .
2. M.Saito, K. Ohira, N. Nakaso, Y. Tsukahara, H. Takano, K.
Noguchi, and K. Koyama, Evaluation of a Focusing
Transducer with Oblique-incidence, Report of the 1989
Spring Meeting, The Acost. Soc. of Japan, No.3-P-1,
pp.775-776, (March 1989) (in Japanese) .
3. J. W. Goodman, "An Introduction to Fourier Optics",
McGraw-Hill, New York (1968).
4. A. Atalar, An angular-spectrum approach to contrast in
reflection acoustic microscopy, ~. ~. ~.,49, 5130-
5139 (1978).
5. K. K. Liang, G. S. Kino, and B. T. Khuri-Yakub, Material
Characterization by the Inversion of V(z), IEEE
Transaction Qll Sonics and Ultrasonics, and Frequency
control, SU-32:213-224(1985)
6. C. Chou,and G. S. Kino, The Evaluation of V(z) in a Type 2
Reflection Microscope, IEEE Transaction on Ultrasonics,
Ferroelectrics, and Frequency control, UFFC-34:341-345
(1987) .
7. N. Chubachi, J. Kushibiki, T. Sannomiya, and Y. Iyama,
Performance of Scanning Acoustic Microscope Employing
Concave Transducers, ~ Ultrasonics Symp. ~, IEEE
Cat. #79 CH1482-9, 415 (1979).
8. K. Hashimoto, Y. Watanabe, M. Akahane, and M. Yamaguchi,
Analysis of Acoustic Properties of Multi-layered
Structures by Means of Effective Acoustic Impedance
Matrix, l..9...2.Q. .IEE.E Ultrasonics Symp. ~, to be
published.

294
 NONDIFFRACTIOO TRANSDUCERS USING 1HE NA1URAL RESONANT EIGEN-

MODES OF CIRCULAR PLATES

P. Kielczynski and W. Pajewski

Irstitute of Fundamental Technological Research

Polish Academy of Sciences
00-049 Warsaw , u. Swietokrzyska 21 , Poland

In this paper the application of natural vibrational modes of cir-

cular disk-shaped ultrasonic transducer in order to obtain desired di-
rectivity pattern of acoustic field is performed. It is known that the
amplitudes of some natural vibration modes of circular plates are Bessel
functions of zero order [1]. The authors employed an onginal transfer
function method for calculations of radiation patterns of Bessel circular
transducers. As it results from the numerical calculatlons . It lS pos-
sible to obtain for Bessel transducer~ the nondiffracting main lobe, what
is in accordance with the suggestions of the paper [2].

1. INTRODUCTION

The distribution of acoustic field generated in air by ultrasonic

transducers is of fundamental importance in the applications of those
transducers in medicine, robotics and automatics . In general the main
ul trasonic lobe should be nan'ow and the level of SIde lobes should be
low. In order to calculate the radiation pattern of ultrasonlc transdu-
cer the method of transfer function [3J has been applied. By contrast
the classical Helmfloltz-Rayleigh method of calculation of the radiation
characteristics is troublesome and two-dimen~;}onal lntegral should rJe eva'
1ua ted. In paper [4 J the Fresne I approx i mat i on was app 11 ed • what re-
sults ( by contrast to the Helmholtz-RayleIgh method) 111 one dimensional
integration. However, Fresnel approximation does't give an exact values
of pressure in the direct Vicinity of the transducer face.
As it follows from existing papers, the Bessel functlon distribu-
tion is the satisfactorf approximation of real amplitude distrlbution on
the transducer suyface [1.5,6J.
In this paper, applying the method of transfer fWlctlOn to axlSym-
metric Bessel trarsducer, an exact analytical formula (Eq.1J was deve-
loped. This for~ula was not published up to date. Ttle application of
transfer function method enables the calculatiors of radiation patterns
of ultrasonic transducers with nonuniform amplitude distribution on its
surface. So that, it is possible to investigate the influence of that
nonuniform distribution into the radiation characteristics of disk-shaped
transducers. To this end, we calculated the directivity pattern of the
transducer with axisymmetric, but not exactly Bessel-like amplitude dis-
tribution on its surface.

Acoustical lmaging, Volume 19

Edited by H. Ennert and H.-P. Hatjes, Plenum Press, New York 1992 295
2. THEDRY

In order to obtain the analytical formulas for acoustlc pressure

l-esul ting from the transfer function methcd, the folloWIng geometry for
circular transducer was chosen, Fig.I. It IS assumed that the transducer
IS mowlted in the infinite rigld baffle, what enables the appl icatlOn of
integral formulas in the transfer function methcu.

p (x,y,z)
/
/
/
/
/
c·t /
'-...;
/ Z
/
/
/
/
/
/
/

transducer

As a result of performed analysls foy clycular piston with Bessel

function veloclty distribution on its sill"face (v=Jo(U p )), we developed
the following analytical formula foy the transfer functlon h(X,t);

h(X, tj )' J (ar) - J (au)' (L;-tl) +

c·I/2n
l 0 0

]J
sin k(t2-tr) sm k(tl-tr)
J (ar)· J (au)· [ ll)
k k k k

where c sowld velocity in air

=
x (x.¥,z) 2. cEs:;rdinates of observation point
r (x + y )
u {C2 t 2 _ Z2 )1/2

a radius of the transducer 0 ~ p ~ a

u = parameter depending on the material properties of the trans-
ducer and amplitude distribution on ItS surface.

296
Eq.1 enables the calculations of radiatIon pattern of Bessel-like Clrcu-
I ar transducers.

3. DETAILED EXAMPLES: CALCULATED FOR BESSEL TI-IANSDUCERS

FormIng an approprIate amplItude distrIbution on the transducer

surface, the radiation directivity patterns of given properties can .be
obtained. In practice, the necessary amplitude distribution can.be for-
ming artifiCIally, e,g, by nonuniform poling the piezoelectric ceramIC
elements, or applying the apodization method (3). These are rather
troublesome and laborious methods. So that, we try to employ the natu-
ral resonant modes of vibrating circular plates.
It is known that the Bessel-like amplitude distribution occurs on the sur-
face of circular pla.tes performing the natural vibrations. The vibration
pa.ttern of the pIezoelectric plates excited by means of alternatIr~ elect-
tic fleld is a mixture of different eigen-modes. These eigenmodes were
experlIIlentally a.nalyzed by Saw (5], employing the optical method of
observation of the amplitude distributIOn. Some elgenmodes posses the
high coeffiCIent of electromechanical coupling. 1his is why, that those
modes of the piezoelectric cerarrllC plates can be effiCIently used to gene-
rate an ultrasonic beam c.f narrow main lobe.
In FIg.2, the amplItude dIstribution of the natural vibratIon of
circular plate 1S shown.

::"
~ 1.6 ~ EXPERIMENTAL
~ 1.4 - - - EMPIRICAL
2.. 1.2 MATHEMATICAL FIT

:. 1.0
I
'- 8
~
'-'
"{
6
4
~ 2
!Q
Cl
0 -1
~ -2
~
3;( -4
~ -6

F1Q.2. Amplitude dIstribution on the transducer surface [5].

TIle vertical displdcement component w from FIg.2 can be approxImated

by tlle sum of two Bessel functIorlS of zero order (5]

w = 1.26 (Jo (1l.80 p/a) + 0.17 J o (1.68 pia» (2)

For the amplItude distribution from Fig.2. I emplOYIng the transfer func-
tion method, the acoustic field distribution at the distances z=2 em
and 2=8 em, from tt1e transducer face were computed, see Fig. 3 a, b .
As it results from fig.3 a,b, the narrow beam of ultrasonic wave
can be obtaIned using the natural resonant VIbrations of CIrcular plates.
The maximum distance of nondiffractionless beam is 1 imitted, .because of
finite dimerlSion.'3 of transducer aperture.

297
 1.60 1.00
a b

0.80
1.20 Q)
Q) I-
I-
::J
::J
{fl ~ 0.60
(fl
Cll
Cll I-
I-
0-0 .80 0-

E g 0.40
I-
0
0 C
C 0.40
0.20

0.00 -l-,.......r;=::;=T-',..,..,,.,....,..,..,.";:=;:'P!-...,-,..,,n
-0.1 -0.05 0.05 -0.05 0.05
position m position m

Fig.3.Nonnalized acoustic pressure distribution at

a) z=2 em
b) z=8 cm.

In Fig.4, it is shown the amplitude distribution, measured expert-

mentally on the surface of ceramic circular transducer of radius a=3.5 cm.

40
'78,8 kHz
Fig.4. Measured amplitude distribution on the transducer surface.
Vertical axis in arbitrary units.

This distribution was used in the computatior6 of acoustic field structu-

re using the transfer function method at the distances z=5 em and z=20 cm
respeetivelly; Fig.5 a.b.
In the calculations, the amplitude distribution from Fig.4 was
introduced, dlscretizing the p-axis in 45 points. Next, in the compu-
ter program, the transfer function was evaluated performing the numerical
integration, As. it is apparent from Fig.5 a.b, in spite of using 10-
her frequency f=178.8 MHz the maximum nondiffraeting distance z~a~=20 cm
IS greater than that resulting from Fig. 3 a.b, for .Bessel transducer
( Zmo.x =6 cm and. f=178.8 MHz).

298
 2.00 2.00
a b

Q) 1.50 Q) 1.50
'- '-
::J ::J
CfJ CfJ
CfJ CfJ
OJ OJ
'- '-
0..1.00 0..1.00

§ E
'-
o o
C 0.50 c 0.50

0.00 ,
-O.J a -0.05 0.00 0.05 0.10 0.15
position m m
Fig.S. Normalized acoustic pressure distribution at the distances:
a) z=5 cm
bl z=20 cm.

Thus, employing the natural resonant v1brations of circular plates.

It 1S possible to obtain narrow ultrasomc beam in near-field of the
Bessel transducer, acconi1ng to the DJring's theory [2J.
Moreover, the practical examples indIcate that this feature is
not only Inherent to the Bessel transducers, espeClally 1n the case of
transducers of finite aperture.

REFERENCES

1. R.R Aggarval." Axially symmetric vibrations of a fimte isotrop1c

disk . I " . ,JASA . Vol.:24 . No 5 . 1952. pp. 463-467.

2. J.DJring "Exact solutions for nondiffracting beams .1 . The scalar

theory" . J. Opt. Soc. Am .• Vol.4 . No 5.1987 , pp. 561-654.

3. A.D. Pierce." Radiated fields of ultrasomc transducer" . 1n Phys.

Acoust. . Vol. XIX . ed. by R. N. Thill'ston . Acad. Press . New York.
1990. pp. 1-80.

4. ,]lan-Yu Lu and ,J.F. Greenleaf ." Ultra:o:olnc nondlffractlrlg transducer

for medica.l imaging" . IEEE Trans. on Ul ty. Ferr. and Freq. Control.
Vol.37 . No 5 , 1990. pp. 438-447.

5. E.A.G. Show "On the resonant vibratlOns of th1ck BarIUlll TItanate

disks " . JASA . Vol. 28 . No 1. 1956 . pp. 38-50.

6. D.H. Robey. " On the contribution of a contained viscous liquid to

the acoustic 1mpedance of a radially vibrating tube " . JASA . Vol. 27
No 1 . 1955 . pp. 22-25.

299
TIME DOMAIN COLOUR FLOW IMAGING:
METHODS AND BENEFITS COMPARED TO DOPPLER

Odile Bonnefous
Laboratoires d'Electronique PHILIPS
22, avenue Descartes
94450 Limeil-Brevannes, France
ABSTRACT

The Frequency is the preferential parameter to describe

the Doppler effect but it is possible to choose its dual
parameter: the time. This different perspective allows
to understand that pulse Doppler techniques don't measure a
frequency shift on the transmitted ultrasound frequency but
detect the Doppler effect on the pulse rate frequency. In
this case , the successive echoes coming from moving targets
are seen as time shifted due to the displacement of the
medium. The direct measurement of this time shift can be
performed thanks to time domain correlation techniques
These latter have been studied at LEP during the five last
years , and have lead to a commeLcial system called CVI for
Color Velocity Imaging and producted by Philips Ultrasound
International at Santa Ana ,CA. This paper describes and
explains the advantages of this method compared to pure
Doppler techniques in the particular case of flow mapping .
Accuracy , frame rate , sensitivity are indeed strongly
increased In comparison ,the autocorrelation algorithm
working on the so called "Doppler signal" and used in most
of the systems suffers from a large variance mainly due to
the random behavior of the local frequency Moreover it
will be demonstrated that thanks to this time processing ,
new modalities are anticipated to make a truly quantitative
tool for the characterization of blood flows .
INTRODUCTION
In the middle of the 80's a new echographic modality
appeared by japonese competitors and was not long to be
reproduced by most of the medical system makers This
imaging technique is the Color Flow Mapping, commonly known
as CFM ; it consist in providing a dynamic colored picture
of blood flows inside the heart cavities or in the main
vessels simultaneously with the standard organ grey level
image. The colors are red and blue corresponding
respectively to one flow orientation and its opposite.
Obviously, this particular choice makes these images look
like medical book pictures where vein blood is blue and
arterial blood is red... Wether this was the main point or

Acouslicallmaging, Volume 19
Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 301
not, any middle and high-end echographic system needs
nowadays a CFM or an equivalent capability In 1985
Philips Ultrasound Inc (PUI) asked LEP to investigate this
area. This research resulted in 1990 in a product called
CVI, for Color Velocity Imaging, and promoting the Philips
proprietary novel processing . Indeed, the CVI algorithm
relies on a specific but simple description of Doppler
effect which brings true improvement on all the aspects of
blood flow imaging
The algorithms
To be conveniently understood, the CVI algorithm has to
be compared to the CFM one. Both use a pulse transmission
mode: a first pulse is fired and the echo corning from the
structures distributed along the ultrasound beam axis is
received. A short time latter, a new pulse is fired again,
and a second echo is received. If the biological medium has
stayed unchanged, the echoes are identical. If there has
been a motion inside the the medium, the echoes are
differents. CFM and CVI use this difference to evaluate the
displacement between the two transmissions and to derive the
velocity of structures such as blood. In echographic
techniques, the time parameter t is simply related to the
distance z through the ultrasound propagation velocity c
t 2z/c. Thus, if an object has moved from z to z + vT
during the time T, v being its velocity, the echo from this
object will be received at t + 2vT/c (fig. 1) and the time
shift~2vT/C) observed between the two signals is directly
related to the object velocity.

echoes
Figure 1.

I 1'WV'-----fIJllv-----'- 52 It)
I
I
Sucessive signals
~53(t) from a moving target
I I

I
I
Assuming narrow band signals, this time shift is
equivalent to a phase shift proportional to the time shift
and to the carrier frequency. CVI relies on direct time
shift measurements and CFM on phase shift measurements. The
~atter ~rocess is in principle easier to perform because it
~s poss~ble to translate the signals in a low frequency band
before extracting the phase information. Moreover the
phase difference estimation was understood like ~ true
Doppler frequency shift measurement, which is the historical
reference technique for blood flow characterization.
However, a good axial resolution is achieved only with
wideband transmitted signals. In this case, the
instantaneous frequency is random and centered around the
carrier frequency. Thus the velocity estimation through the

302
phase shift measurement is strongly affected by this random
behaviour. An averaging on a large set of data is necessary
to improve accuracy.
CVI estimates the time shift thanks to a time
correlation technique. It consists in a local comparison of
the two successive signals through a time window locating
the measurement depth. The two signals are time shifted in
front of each other an compared thanks to the
cross-correlation function, whose maximum value selects the
relative position for which the signals are the most
similar. This position estimates directly the time shift
induced by blood motion.
Tests
The properties of these two principles were first
studied using a simulation tool. We were able to
numerically mimic ultrasound signals from blood flows with
various velocity profiles and ranges, adding fixed echoes
corresponding to strong and fixed reflectors and/or
electronic and quantification noises [IJ. The performances
were judged in term of accuracy versus signal to noise ratio
and time averaging. In the same time, the time correlation
algorithm was implemented on a computer while keeping in
mind a future hardware implementation. The conclusions of
this first step were very promising: an outstanding
robustness against noise and a good accuracy allowed to
imagine a quantitative imaging system with a superior frame
rate. The second step was to build a dedicated acquisition
system and record in vivo signals before processing them in
the computer. We recorded various data mainly on ourself
and also pathological data thanks to the CCN*. The results
were exactly the same as those obtained in the simulation
study. The last step in order to prove the feasibility of
the technique consisted in building a prototype in the form
of a profilometer able to deliver in real time velocity
profiles inside peri feral arteries.

ANALYSIS

The performances of time domain correlation techniques are

easier to understand when time domain formulations of
Doppler effect are used. Indeed, coming back to pulse
transmission principle of fig. 1, it is observed that a
repetition period T in transmission produces a repetition
period in reception T* = ( 1 + 2v/c ) T. This
transformation is applied to any transmitted periodicity,
the pulse repetition period as the ultrasound frequency f.
The time shift (2v/c)T observed on the successive RF signals
induce a phase shift 2)< f (2v/c) T which allows to generate a
"Doppler signal" with a "doppler frequency" (2v/c)f. In
both cases, the Doppler effect taken into account in both
cases is the transformation of the Pulse Repetition
Frequency and not the Doppler shift occuring on the
ultrasound frequency. The simulation tool mentioned above
allows a usefull description of pulse ultrasound signals
from blood flows. A two dimensional random repartition of
scatterers is used to simulate blood red cells inside a
vessel (fig 2). Each particle has its proper velocity
value according to its position in the vessel and the
velocity profile considered. In this case two successive

303
 Figure 2.

Flow and acoustic

geometries for
simulated blood flows.

returned signals have the form :

S. (t.) L &I("\. e.(t. - t.i...)
5z..(t.) ~ ~~ €o(t. _tl... - '"t'~) )
where the in\:iex i defines a scatterer o(~ is the
scattering coefficient of the target i , t~ is the instant
of echo reception obtained from the target i , "t"i.. is the
time shift induced by the displacement of the target i and
e(t) is the transmitted pulse. This formulation allows to
define a formal responses h, (t) , hi, (t) of the medium the
received signal being the convolution product between this
response and the transmitted pulse e(t)
nl(e) 2;" p(~ ~(t. -t.L)
hztt) =- ~ 0(". ~(t--ti...-t:'~)
The signals prese~ed on (fig 3) correspond to a parabolic
velocity profile (maximum velocity: 50 cm/s) inside a 5mm
diameter vessel and a Doppler angle of 30 deg The
repetition period is T = 100 us .

"F igure 3.
Successive signals medium responses and RF signals.

304
 The distribution of the time shifts (~~) involved in
h (t) is the same as the velocity distribution inside the
artery. Performing the cross correlation Ch(u) between the
J
two medium responses ,
Ch(lA..) =/h,(t)htft+u)dt 1=~ (( ..
tt'lJ?J{j;,-I;t,) &(i-t~_'"t"<Tk-) t;
z:. r.("l
(...
~ (LA- - '[:"" ~ )
this latter can be factorized in the following manner
_ ~l- p(lA-)
where p() is the time shift distribution corresponding to
the velocity distribution in the artery and 0( the mean
returned coefficient.
The same operation performed on the RF signals leads to

th~(::~/;'~)~(if"1 dt == ,/ (" * C.. ) ("'-)

where C() is the cross correlation function of the RF
signals and Ce() is the autocorrelation of the transmitted
pulse. Fig. 4 shows these two functions Ch() and C()
The maxium value of Ch() corresponds to the maximum velocity
inside the profile because it is the predominant value in
the velocity distribution. On the other hand ,the maximum
value of C() corresponds to the mean velocity in the profile
[ 2]

C( u) ,

u
v
Figure 4.
Cross-correlation functions from medium response and RF signals.

305
 Thus , if the transmitted pulse is a Dirac function
(and if we ignore the focussing principle which need a
carrier frequency to work ) , the time correlation technique
provides the complete velocity distribution .
On the other hand , the well known pulsed and
continuous Doppler systems provide the velocity distribution
thanks to Doppler spectrum. The pulsed Doppler technique
is required when the localization of the information is
necessary. RF signals are first demodulated in quadrature,
and for a particular depth , the corresponding Doppler
samples form the Doppler signal. If the transmission is
narrow-band ,the blood displacement induces a phase shift
r
6<\> = 2:tr .lVT Ic- between each sanple, and the resultant
Doppler frequency is fd = ZV/C r. Fig. 5 shows the
resultant doppler signal reconstructed from 128 msuccessive

Figure 5.

Reconstructed

Doppler signal.

t --

Doppler spectrum

Fd

o v
RF signals and the Doppler spectrum. The depth averaging
corresponds to the size and the location of the vessel of
Fig.2, the Doppler spectrum gives an estimation of the
velocity distribution in the vessel .
However, when a real time 2D circulation image has to
be provided, two parameters become predominant: spatial
resolution and frame rate. These parameters are driven by
the bandwidth of the transmitted pulse (short pulse means
wide frequency band ) and the rate of averaging in the
estimation process.

306
 In the case fo CFM processes, the successives phase
shifts are averaged to extract the velocity measurement
the first signal has the following expression :
5, (c) = q(t) e. ~ q"t;::: aCt) ~ ~~1T F t t- 'f(t~
where F is the mean frequency , ~ (t.) is the phase
variation due to the wide frequency band, m~)the total
phase function and Q(~) the amplitude modulation. The
second signal , time shifted compared to the ficst one is
Sl (t ) ::= S, It ~t") = a (t:~ e. d4>2(t ~ o.tt ,'C) tZlf{J;.:l;) T \fe;.:cJ)
The velocity estimation relies on phase shift measurement
<t> I - <t>L =. '" + c::. \..f (t.) - tp(t - t-)
~1T" F" -r c; 1T F T
where appears an error term due to the random behaviour of
the instantaneous frequency
- tp (6 -1:)

Averaging can reduce this error by performing the

following operation
A

\J Rr9 •
'i1fFT
which is the autocorrelation technique described by Kasai
[2] However , averaging with 16 successive lines remains
inadequate to get rid of this error. Fig. 6 shows the
instantaneous frequency of an ultrasound signal
(fi =
<1:>' / z..."..) and the velocity measurement based on the
previous formulation , for a constant flow. The variations
of the measurement correlate well with the frequency
unsteadiness .
Vz l(m/.~5L-- _ _ _ _ _-=--____--,
34

Ie IH-rHz...:..I_ _ _ _ _ _ _ _ _ _-,

32

5,S
30
5,0

28
4,5

o 4 8 t 1~51 8 t 1~51
Instantaneous frequency corresponding velocity estimation
of the RF signal with phase shift.
Figure 6.

In the case of time domain correlation techniques ,a

localized measurement is performed with a small correlation
window , whose the size corresponds to the resolution of the

307
system; the accuracy of the measurement is not linked to
the random variation of the frequency. The displacement of
the correlation window allows the measurement of the mean
velocity inside the resolution cell along the depth axis.

PERFORMANCE

In summary, we have two opposite behaviours,: time

domain correlation processes perform mean velocity
measurement inside any kind of resolution cell and this
latter can be very small, phase shift or Doppler processes
prefer long transmitted pulses to achieve good accuracy but
poor resolution. Fig 7 compares velocity mesurements
inside a carotid artery when averaging rate decreases for
CVI and QUANTUM Doppler frequency measurements; it is shown
that the averaging rate can be decreased by a factor of 3.
Correlatively, the frame rate is multiplied by 3.

16 echoes

depth de pth . .

4 echoes
CVI QUANTUM
Figure 7 Comparison between CVI and QUANTUM techniques.

308
 This performance imply strong improvements on blood
flow imaging possibilities:
- less averaging means high frame rate , size of colour
images of the same order than reflectivity images .
- The velocity measurement resolution is the same as
the reflectivity image one
- The accuracy of CVI makes quantitative images from
where you can extract same kind of imformation as
conventional pulsed Doppler ; A Color M-mode across a vessel
provides velocity profiles , velocity histogram , and
Doppler like indexes. Moreover, the spatial integration
of velocity profiles performs instantaneous volume flow
measurements. Fig. 8 presents the time evolution of
volume flow inside a carotid artery .

900
ml/mn

o
168. 192. 216. 240.

Figure 8. Instantaneous volume flow inside a Common

Carotid Artery.

These new possibilities which are now implemented on

the commercialy available Philips Platinum system begin to
be used and tested in clinical environnement.
REFERENCES
[1) Time Domain Formulation of Pulse-Doppler Ultrasound knd Blood
Velocity Estimation by Cross-Correlation.
O. Bonnefous, P. Pesque, Ultrasonic Imaging 8, 73-85 (1986)
[2] Real-time two-dimensional blood flow imaging using an
auto-correlation technique.
C. Kasai, K. Nakemawa, A. Koyano, R. Omoto IEEE Trans.
Son.cs Ultrason. SU-32, 458-464 (1985~

309
 IN VIVO MEASUREMENT OF BLOOD FLOW USING ULTRASOUND TIME-DOMAIN CORRELATION

I.A. Hein, J. Zachary, R. Fish, and W.D. O'Brien, Jr.

Department of Electrical and Computer Engineering

University of Illinois at Urbana-Champaign
Urbana, IL, 61801, USA

Introduction

The use of Doppler ultrasound as a non-invasive measurement of blood

flow has become a standard clinical practice. Unfortunately, Doppler
ultrasound has theoretical and practical problems which limit it to being only
a qualitative clinical tool [1] [2J. For these reasons, an ultrasonic
technique using time domain correlation has been developed as a quantitative
alternative to Doppler ultrasound. The Ultrasound Time Domain Correlation
(UTDC) technique has a theoretical precision of 5% as opposed to 85% for
Doppler ultrasound [3], and previous research has shown that the UTDC
technique can measure constant and pulsatile flow in a blood flow phantom with
an accuracy of 20% [4] [5]. In vivo measurements on canine subjects have also
been performed; however, previous UTDC measurement systems were not capable
of running in real time which made in vivo measurements difficult. Recently,
a real-time system using ultrasound time domain correlation has been
constructed which can produce velocity vs range information every 0.7 seconds.
Previous versions of the system required 45 seconds for the same measurements.

Theory

Figure 1 illustrates the UTDC flowmeter concept. In this figure an ultrasonic

transducer is oriented at an angle 8 with respect to the blood vessel axis.
At time t=O a scatterer is in position 1. If an ultrasonic burst is
transmitted at this time, then it will take a round trip time tl for the
ultrasound signal to leave the transducer, be reflected from the scatterer,
and return. If the next burst is fired at t=T, the scatterer will have moved
to position 2, and the round trip transit time will be t 2 . The axial distance
d A the scatterer has moved in the direction of the ultrasonic beam is

(1)

where c is the speed of sound. Since velocity is distance/time, the axial

velocity of the scatterer is

VA lll_=_.hl.£ (2)
2T

If the transducer measurement angle 8 is known, the distance d the scatterer

has moved down the vessel is dA/cos(8) and the velocity of the scatterer

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 311
 Scotterer

'Vessel

E,
t,

Figure 1. UTDC flowmeter concept. Figure 2. Volumes sampled by twa ultra-

sonic pulses and their echoes.

--------------------~
__________ ~~-----jt-'-------.
j t2

J\f; •
'(t+LT_)___________________
•

-----------~'------------.
.........
u
Q)
en
.........
E
..........
.?:-
·u

-----~~-------~
.2
Q)
>

dr
Range (mm)
Figure 3. Correlation of signals Figure 4. One-dimensional velocity
from two echoes. scan.

312
down the vessel is vA/cos(O). The actual ultrasonic echo will be due to all
scatterers in the ultrasonic beam, illustrated in figure 2. In this figure,
El is the electrical signal from the echo due to volume I, which has almost
moved out of the ultrasonic beam due to motion of scatterers within the
vessel. Ez is the signal due to volume 2, which is shown totally within the
beam. Conceptually, if the time between the initiation of pulse transmissions
is chosen such that some of the original scatterers remain common to both
pulses (shaded areas of VI and V2), then these common volume sections will
produce similar sections of signals in El and E2 (emphasized sections of El and
E2 ). To calculate the time shift between these two similar sections of
signals, the signals are correlated with ea·ch other. This process is
illustrated in figure 3 assuming a point scatterer. If Ed t] and E2 [t]
represent the signals from two echoes received at different times from a
moving scatterer, then the correlation can be pictured as shifting El back in
time by some value of or and multiplying by E2 to produce the correlation
coefficient R[or]. Mathematically, this can be expressed as

R(or) - I E 1 [t+'r]E 2 [t] (3)

t

The value of or which produces a maximum in the correlation function R(or)

corresponds to the time shift tl - t z , and equation 2 can be used to calculate
the velocity. Using the same range gating techniques as Doppler, the velocity
vs. distance can be measured along a one dimensional scan line as shown in
figure 4, and is the real-time output of the current UTDC blood flowmeter.

Real-Time Data Acquisition Setup

Figure 5 shows the setup of the real-time system, which consists of an

ATL MK500 imager, a COMPAQ computer, and a custom-built ultrasound data
acquisition and residue number correlator (UDA-RNC) system. The UDA-RNC
consists of a TRW 50 MHz A/D and bus expander interfaced to a residue number
system (RNS) correlator unit. The high-speed hardware RNS correlator provides
the real-time capability for UTDC measurements [5]. The RF signal and the
cursor position are tapped from the MK500 and the RF signal is digitized at
a physical location corresponding to the cursor position in the image display.
The digitized echoes are placed in the RNS correIa tor memory and the
correlator produces time shift values, which are sent to the COMPAQ.

Procedure

The carotid artery of a normal human subject was imaged with the help
of sonographer and the axial velocity within the artery was calculated and
plotted by the real- time sys tem. Long axis measurements were made and the
measurement angle 0 was estimated from the ultrasound image. Measurements
were later made in the same subject with a commercial Doppler device for
comparison. Figure 6 shows the long-axis ultrasound image of the artery.
The cursor was placed at a location just before the front wall. The angle
of the measurement is very close to 90 degrees. This high angle is necessary
due to the unchangeable pulse repetition frequency of the MK500, which is set
at 1 KHz. The 1 KHz PRF rate limits the maximum axial velocities measurable
to less than 5 em/sec. Since the velocities in the carotid artery are
typically 100 cm/sec and higher, the measurement angle must be high to insure
that the axial velocities are under 5 cm/sec.

Experimental results

Figure 7 shows a typical axial velocity vs range plot of flow within the
carotid artery. The measurement was made near systole, where the velocities
are maximum. The vessel wall diameter as estimated from the plot agrees well
with the vessel width in the ultrasound image. The shape of the plot is

313
 Flow Velocity
Imaging Display
Display

Doppler
Control and
Data
COMPAQ 386120
I- _-:- _-:- _-:- .-:- .-:- -----:: .- - - - - - - l
Cursor Position . • I
,~u"". . [=:=J AJD Control Logic •
fiCjcl Og Igg 1 1-ww~i~~r~~~~__~Bo=a~rd~~ RNS Correlator
Subsystem
Ubl EJ@lI-R,-F_ --,

ATL MK500

Figure 5. Real - time UTDC blood flow measurement system.

Figure 6. Long-axis ultrasound image of a human carotid artery

3
Max Velocity = 2.89

1 2 3 4 5 6 7 8 9 10 11 12 13 14
Range (mm)
Figure 7. Axial velocity vs. range in a normal human carotid artery.

314
somewhat parabolic, except that it has a number of dips in it which most
likely are not due to the actual flow. There are a number of causes for these
dips. One is that stationary echo cancellation has not been incorporated into
the system. The presence of echoes reflected from stationary tissues can
corrupt the signal reflected from the moving blood and will negatively bias
velocity measurements. Another is the limitation of the MK500's pulse
repetition frequency. If the angle is not adjusted correctly and the axial
velocity goes beyond the 5 cm/sec maximum, then the echoes will decorrelate
and produce negatively biased estimates. In practice the adjustment of the
angle was difficult since a small change in the angle produces large changes
in the axial velocity at angles near 90 degrees.
The measurement angle is difficult to estimate precisely form the image
in figure 6. Assuming that it is between 85 and 90 degrees, the 2.89 cm/sec
peak axial velocity in figure 7 translates to approximately 66 cm/sec. The
measurement in figure 6 was taken somewhere between systole and diastole, and
the real-time display varied between zero and 5 cm/sec in time with the
cardiac cycle. The 5 cm/sec maximum translates to a peak systolic velocity
of approximately 100 cm/sec. Doppler measurements were also made on the same
subject with a state-of-the-art ATL Ultramark 9 for comparison. The Ultramark
9 displayed a peak systolic velocity of 110 cm/sec, which agrees well with the
UTDC measurements.

CONCLUSIONS

This prototype ultrasound time-domain correlation blood flowmeter

demonstrates that real time in vivo measurements in humans can be made. The
next version of this system will utilize an ultrasound imager capable of
higher PRF rates and will also incorporate stationary echo cancellation.
One disadvantage of the current system, as with all current Doppler
systems, is that no good method of measuring the measurement angle 0 exists.
This angle can in theory be extracted from the statistics of the ultrasound
echoes by the UTDC technique. The possibility of extracting the angle
information from the echoes is currently under investigation and will be
incorporated in future versions of the UTDC blood flowmeter.

Acknowledgements - The authors are grateful to sonographers Joyce Bender-

Schmale and Roberta O'Connor for assistance in imaging vessels and for support
from the National Institutes of Health, National Heart, Lung, and Blood
Institute (HL 39704).

References

[1] P.M. Embree and W.D. O'Brien, Jr., "Pulsed Doppler accuracy assessment
due to frequency-dependent attenuation and Rayleigh scattering error
sources," IEEE Trans. Biomed. Engineering, vo1. 37, no. 3, March 1990.

[2] Gill, R. W. (1985), Measurement of blood flow by ultrasound: Accuracy

and source of error. Ultrasound Ned. Biol. II, 625-641.

[3] P.M. Embree, "Volumetric bood flow via time-domain correlation:

experimental verification," IEEE Transactions on Ultrasonics,
Ferroelectrics, and Frequency Control, vol. 37, no. 4, May 1990.

[4] 1. A. Hein and W. D. 0' Brien Jr., "Volumetric measurement of pulsatile flow
via ultrasound time-domain correlation," Journal of Cardiovascular
Technology, vol. 8, no. 4, pp. 339-348, 1989.

[5] J.T. Chen, "Design and implementation of a high-speed residue number

system correlator for ultrasonic time domain blood flow measurement, n M.S.
thesis, Dept. of Electrical Engineering, University of Illinois, Urbana,
IL, 1990.

315
 COMPARISON OF ESTIMATION STRATEGIES FOR COLOR FLOW MAPPING

Katherine Ferrara * and V. Ralph Algazi

Center for Image Processing and Integrated Computing

University of California, Davis CA 95616

Several estimation strategies for the two dimensional velocity profile of a doubly spread target, and
specifically for the estimation of the two dimensional blood velocity profile have been proposed. An
emerging technology known as color flow mapping attempts to estimate the blood velocity field and present
the result as a color coded image, however, significant limitations exist in the quality of the velocity estimate
in currently used techniques. Because of the real time requirement associated with this technology, the
estimate of the velocity at each spatial position has a low sensitivity, and therefore the variance of the
estimate is very high. In addition, due to the requirement for a high pass filter which eliminates the
undesired high amplitude fixed targets, another significant problem in color flow mapping is the low
sensitivity to slow flow components.
In order to cvaluate the performance of an estimation strategy which coherently sums the signal
over the entire observation interval, we first consider the correlation of the received signal from a train of
short transmitted pulses, using a statistical signal model, and demonstrate that the received signal remains
correlated over a significant time interval. When the illuminated velocity distribution is small, frequently
the case when a short pulse is transmitted and slow flow components are illuminated, the signal may remain
correlated over the entire color flow observation interval. It is shown that using this entire observation
interval improves the velocity resolution, and thus the sensitivity to slow flow components.
Using this longer observation interval, we propose an alternative strategy to eliminate the fixed
target component. This strategy reduces the transition region of the velocity response, thus potentially
improving the sensitivity of the estimator to slow flow components.
Under the constrained conditions associated with color flow mapping wc compare the performance
of several strategies which include a narrowband Doppler shift estimation technique [I J, a strate/:,'Y which
involves the transmission of a wideband signal with the use of cross correlation for the velocity estimate [2]-
[3], and a mixed time-frequency strategy which uses both position and phase in order to estimate the blood
velocity [4]-[6]. Using this mixed strategy, nonperiodie signaling schemes can also be evaluated.
The theoretical evaluation of the signal correlation and the expected performance of the estimators
are confirmed with experimental data.

1.0 THE RECEIVED SIGNAL FROM THE BLOOD SCATTERING MEDIUM

In order to provide a basis for the comparison of various estimation strategies, a generalized model
for the received signal from the blood scattering medium using a transmitted signal with a significant
fractional bandwidth is considered in this section. This model [5] has the important feature that both the
period of the envelope and the center frequency of the returned signal contain information concerning the
velocity of the target, and can be used in velocity estimation. For a transducer center frequency wo' the
notation for the received signal r(t)=Re{r '(t)e(jwot)} will be used to differentiate the complex envelope
r '(t) from its instantaneous form. Two cylindrical coordinate systems are defined, describing the beam and

*Dr. Ferrara is also with the Department of Electrical and Electronic Engineering, California State
University, Sacramento, CA 95819

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 317
the vessel position. The scaUerer's initial axial, radial and angular beam coordinates are denoted z, r, and ~.
The beam coordinate system is centered a!. a!:l axial position which corresponds to the center of the sample
volume. For the vessel coordinate system z, r, and ~ are the cylindrical coordinates. Under the
assumption of laminar flow, the velocity profile v{r) is solely a function of the radial vessel coordinate.
The deterministic filtered complex envelope is represented by s'(t-d), where s'(t)=has'(t,z)*f '(t),
has'(t,z) is the filter which models the scattering response and the effect of propagation through tissue, f '(t)
is the complex envelope of the transmitted signal, and d represents the two way travel time to the center of
the target. The scaling of the velocity in the exponential is given by a = 2wJc, where c represents the
acoustic propagation velocity. The angle between the vessel and the beam axis is represented by a, and T
represents the transmitted pulse repetition period.
The model for the received signal, described by equation 1, consists of the sum over scatterers
indexed by i and pulses indexed by k of a product of terms. These terms are the amplitude Ai of the signal
from each scatterer, the lateral beam sensitivity b[ri(t)] of the ith scatterer, the delayed deterministic signal,
the phase of the signal from each scatterer, and the Doppler shift. We choose to normalize s'(t) such that
J 1s'(t) 12 dt over infinite limits equals one, and E t represents the filtercd transmittcd energy.

EXPERIMENTAL DATA: An experimental data set, collected by Paul Embree[3J, will bc used to
confirm the statistical assumptions of the model for the received signal. The data consists of 384 acoustic
echoes from Sephadex particles travelling within a straight plastic tube, with a maximum axial velocity of
0.16 m/s. The paramcters of the data collection system were given as follows: Transducer Center
Frequency: 5 MHz, RF Sampling rate: 50 MHz, Pulse Repetition Frequency: 7812.5 Hz, Transducer 3dB
Bandwidth: 2.5 MHz, Tube Diameter: 7 mm, Ultrasonic Measurement Angle: 45 degrees, Volume Flow
Rate: 281 m1/min, A-line length(1024 samples): 20.48 us, Acoustic Velocity: 1500 mis, Amplifier
Bandwidth: 40 MHz.

2.0 CORRELATION OF THE RECEIVED SIGNAL

In order to determine the optimal observation interval for color flow cstimation, thc correlation of
the received signal will be evaluated for typical operating parameters, and flow conditions. We assume that
the scatterers are identically distributed and that the lateral beam weighting is approximately zero at a
radius R'. We also assume that the distrihution of zi is uniform over [c· d'/2-M,c' d'/2+M], where M is a
distance which is much larger than the axial sample volume size. The result for the complex autocorrelation
[5] is a triple integral over the beam coordinates of the product of tcrms involving the lateral beam
sensitivity, the Doppler shift, and the deterministic signal envelope. The expression for the autocorrelation
is

I Cd '/2+M

cd'/2-M
t R'
Ch[c(,) J b[c(") J "p[j~( c )'00 a«-") J
:Ek s'(t-2z/c-kT[1 +2v(r )cos a/c]) :El s'*(u-2z!c-lT[1 +2v(r )cos ale]) dr d<I> dz (2)

The peak of the magnitude of the correlation can be used to estimate the velocity of the scatterers.
Evaluating equation 2 for a uniform axial velocity v and a short observation interval, the integral over z then
results in a waveform whose peak occurs at integer multiples of T[2v/c]. For experimental data, the axial
shift in the correlation peak has been shown to be a linear function of the correlation lag, and the slope of
this line accuratc1y predicts the axial velocity of the scatterers.

From equation 2, it can be shown that the interval over which the received signal can be considercd
to be correlated is limited by the distribution of illuminated velocity components. For a narrow velocity
distribution, the peak of the signal predicts the mean vc10city for a significant interval, which may be limited
by the transit time through the lateral beam width. Upon the illumination of a wide distribution of velocity
components, the correlation interval is decreased. For the following operating parameters, Table 1 shows
the decrease in the predicted correlation interval and experimental result. The center frequency, fo ' is 5
MHz, and the envelope of the received signal, denoted s'(t), is real and rectangular and of 400 ns duration,
with a beam vessel angle of zero degrees. The flow is modelled as laminar with an illllm ill a ted parabolic
profile, with the peak velocity provided.

318
 We emphasize that with the transmission of a wideband signal, the length of the correlated signal is
maximized, and for slow flow components this simple model predicts that the correlation is greater than the
observation interval in color flow mapping. Any estimation strategy which uses this correlated signal
interval will maximize the velocity resolution.

TABLE 1- THEORETICAL CORRELATION (normalized correlation> 0.1)

Peak velocity(m/s) 0.01 0.02 0.06 0.10 0.20

Correlated Signal Length 14.3ms 7ms 4.5ms 2.6ms 700us

For the experimental data introduced in section 1, with a velocity distribution of O.Olm/s, the
signal remains correlated for a time equal to the transit time through the lateral beam width. Near the side
of the vessel with an illuminated distribution of 0.06 mis, the signal remains correlated for 3.8 ms.

3.0 WALL FILTERS

The model summarized by equation 1 describes the received signal from the moving blood
scatterers. The true received signal also contains white noise, and the reflected return from fixed targets.
The amplitude of the return from these fixed targets is typically much larger than the return from the
moving target. Using the limited number of samples available in color flow mapping, it is difficult to
achieve the desired velocity resolution.

FIRST DIFFERENCE: A commonly used finite impulse filter uses the difference between adjacent
samples to remove the fixed component as shown in equation 3.

r fil'(t) =r'(t)-r'(t-T) (3)

WALL FILTER DERIVED FROM MLE FOR INTERFERING TARGET: An alternative filter
structure is proposed which estimates the fixed wall component, based on a model of the fixed target as a
complex normal random variable with an unknown mean, which is uncorrelated with the signal from the
moving target. Since the received signal from the moving target has a zero mean, the maximum likelihood
estimate for the complex amplitude of the fixed target can be shown to be the sample mean of the returned
signal. For P pulses, letting rr(t) indicate the product of the estimate of the fixed signal component and the
signal envelope,

rr(t)= lIP ~m [:(U)S'*(U-d-mT)dU [~ks'(t-d-kT)]. (4)

4.0 ESTIMATION STRATEGIES

In this section, the wideband maximum likelihood estimator, which uses delay and phase
information, as well as a cross correlation estimator and narrowband estimator are introduced. The
performance of thcse estimators will be discussed in section 5.

WIDEBAND MLE

Mixed estimation strategies coherently sum a number of properly delayed pulses, using both the
repetition period and doppler shift of the received signal to determine the scatterer velocity. One such
estimator, the wideband maximum likelihood estimator structure for a slowly fluctuating point target was
derived in [5] and is shown in Figure 1 with the incorporated wall filter. The likelihood, I(v), of a particular
velocity v is estimated and maximized over the range of possible velocity values. The expression for the
likelihood, lev), with rr(t) indicating the estimate of the fixed signal component is given by

I(v)= 1 ~k [~'(t)-rr(t» s'*(t-d-kT[1 + 2v/c]) exp[javt] dt 12. (5)

319
 r't

lIP fLmr'(U)S'*(u-d-mT) du

Lk s'*(t-d-kT[l +2v/c]) exp(jcrvT)

Figure 1. Wideband MLE with incorporated Wall Filter

The expected output of the wideband point estimator in the presence of a point target was derived in
[5), and has been modified to include the effect of the wall filter. This expression is given by:

EO(v)} =Er 1 Ek exp[jcrvkT) I~~t-2Z/C-kT(1 +2J3/c)) exp[-joJ3kT)- s'[t-d-kT) Em am exp[-joJ3mTj)

. s'*[t-d-kT(1 +2v/c))dt 12 (6)

where v indicates the axial velocity of the estimator, J3 indicates the axial velocity of the target, Er indicates
the power in the received signal, and am = l/P I s'[u-2z/c-mT(1 +2J3/c))s'*[u-d-mT) duo

TIME SHIFT ESTIMATION

In time shift estimation the estimate is based upon the shift in the rf signal or complex envelope
alone. The delay corresponding to the maximum correlation is used to estimate the axial target velocity by
equating the change in delay to an integer multiple of T[2v/c). The time delay estimator proposed by
Bonnefous[2) involves the correlation between the rf received signal from the kth transmitted pulse, and the
received signal from the next transmitted pulse, over a temporal window given by W. The expected value of
this estimator was given in [4).

NARROWBAND ESTIMATORS

Kasai[l) discussed an estimation structure based on the approximation vmean" 1/k'q,(T) where
<P(T) represents the phase of the autocorrelation of the received signal at lag T, and k' is a normalizing
constant. In order to provide a comparison to the maximum likelihood estimator of blood velocity, we
approximate the autocorrelator by a maximum likelihood strategy which uses the estimated correlation at a
single lag of one transmitted pulse period, averaged over a set of received data vectors. This strategy was
derived in [6), and is referred to as the Single Lag Estimator(SL). Using this estimator, we can directly
compare the global accuracy of a maximum likelihood estimator which uses only lag T, with the wideband
MLE which uses the correlation evaluated at multiple lag values.

5.0 DISCUSSION

We first consider the relative velocity resolution of the estimators, in the absence of a fixed
interfering target, and the sensitivity of the estimators to slow flow components, with the incorporation of
the wall filters. The signal envelope is assumed to be real and rectangular and of 400 ns duration, with a 5
MHz center frequent-)" sampling period of 200 us, and acoustic velocity of 1500 m/s.

The expected output of the estimators is evaluated in Figure 2. For the maximum likelihood
strategies, we note that the resolution of the estimators, as determined by the width of the mainlobe, is
significantly reduced by the use of an estimation strategy which coherently sums the received signal ovcr the
entire correlated observation interval. This improved resolution has been confirmed with experimental data
using the narrowband estimators and the wideband MLE in [4) and [6).

320
 0.8
Figure 2. Expected Estimator ."
Output in the absence of a g 0.6
fixed target and wall filter, :5
for the cross correlation v 0.4
6.
•
SL
CC-200us
estimator with 200 us and ~ + WMLE
o CC-1400us
1.4 ms between pulses, ~
0.2
and the SL and WMLE
with a total observation
interval of 1.4 ms. 0.1 0.2 0.3 0.4 0.5
Velocity(m/s)

Although the resolution of the cross correlation estimator varies with the time between pulses, it
can be shown that the resolution of a weighted average of the cross correlation estimates using all pulses in
the total observation interval of 1.4 ms must be between the two plots shown in Figure 2. Assuming thc
signal remains correlated, the best velocity resolution is obtained from an estimate with a pulse to pulse
interval of 1.4 ms. Averaging this estimate with those obtained from shorter pulse to pulse intervals will
decrease the estimator variance, but cannot improve the resolution. Subsidiary peaks occur with the rf
correlator and are significantly increased by a velocity gradient within the sample volume. These peaks
decrease the resolution of the estimator.

In [6], it was shown that a non periodic signaling scheme can be used with the WMLE to improve
the velocity resolution, without decreasing the frame rate. The proposed wall filter can be used with such a
non periodic scheme.
We next consider the effect of the wall filters on the signal and estimator amplitude from
scatterers with a range of velocities. For scatterers with a particular velocity, the relative amplitude of the
output from the first difference filter, is compared to the relative amplitude of the maximum likelihood
velocity estimate when using the ML wall filter, in Figure 3. We observe that the ML wall filter has a
narrow transition band, and relatively flat velocity passband in comparison with the first difference filter.
It is important to note the difference in the sensitivity of the two schemes to low velocity targets.
Although the cutoff velocity of each filter changes as a function of the pulse repetition rate, for a fixed
repetition rate, the ML wall filter improves the sensitivity. With the parameters discussed above, the
relative amplitude of the signal output from the first difference filter is reduced from its maximum by a
factor of 0.007, 0.027, 0.062, and 0.1 for scatterers moving at 0.02,0.04,0.06, and 0.08 m/s. The relative
amplitude of the estimator output using the ML wall filter is reduced by a factor of 0.047,0.315, 0.713, and
0.957 for scatterers moving at velocities of 0.02,0.04,0.06, and 0.08 m/s. Clearly this reduces the system
dynamic range required to detect such a signa\.
In addition, we note that the sensitivity of the cross correlation estimator to low velocity
components is also dependent on the A-line sampling ratc.

(l) 1.0
"0
;:l
~ 0.8
p.

Figure 3. Effect of the wall filters on the

signal amplitude for the first difference
"
.;;: 0.13
"0
filter, and on the estimator amplitude for the .~ 0.4
ML wall filter, using T=200 us. '@
S 0.2
o""
Z 0.0 #jL.~_'--~_,--~~,---...II...L"---~~
0.0 0.2 0.4 0.6 O.B 1.0
Velocity(m/s)
6.0 CONCLUSION

Using a statistical model and experimental data, it was verified that the shift in the correlation peak
indicates the illuminated scatterer velocity for an interval limited by the width of the illuminated

321
velocity distribution. Using this interval, the mainlobe of the wideband MLE was shown to be reduced in
comparison with the single lag estimator. In addition, the mainlobe and sidelobes of the cross correlation
estimator were shown to vary with the pulse to pulse interval.
Using this model for the received signal, a new filter was derived to eliminate the fixed signal
component, while maintaining sensitivity to low velocity scatterers.

ACKNOWLEDGEMENT

The authors wish to thank Dr. William O'Brien, Dr. Paul Embree, Dr. IImar Hein and the
University of Illinois Bioacoustics Center for the experimental data used in this paper.

REFERENCES

[1] Kasai, C., Namekawa, K "Real-Time Two-Dimensional Doppler Flow Mapping Using Ultrasound
Doppler," Recent Advances in Ultrasound Diagnosis 5, A. Kurjak, G. Kossoff eds., 1986, Elsevier Science
Publishers.
[2] O. Bonnefous, and P. Pesque, "Time Domain Formulation of Pulse-Doppler Ultrasound and Blood
Velocity Estimators By Cross Correlation," Ultrasonic Imaging 8, pp. 73-85,1986.
[3] P.M. Embree, and W.T.Mayo, "Ultrasonic M-Mode RF Display Technique with Application to Flow
Visualization," SPIE Vol. 768, International Symposium on Pattern Recognition and Acoustical Imaging,
1987.
[4] KW. Ferrara and V.R. Algazi, "Comparison of Estimation Strategies For The Determination of Blood
Velocity Using Ultrasound," Acoustical Imaging 18, ed. by Hua Lee, Plenum Press, 1989.
[5] KW. Ferrara and V.R. Algazi. "A New Wideband Spread Target Maximum Likelihood Estimator For
Blood Velocity Estimation Part One-Theory," IEEE Transactions on Ultrasonics. Ferroelectrics and
Frequency Control, January 1991, 1-16.
[6] KW. Ferrara and V.R. Algazi. "Improved Color Flow Mapping Using the Wideband Maximum
Likelihood Estimator," 1990 Ultrasonics Symposium, in press.

322
CALCULATION OF DOPPLER SPECTRA WHEN LAMINAR FLOW IS CROSSING

THE ACOUSTIC FIELD OF A TRANSDUCER AT ARBITRARY DISTANCES

T.Vontz
Fraunhofer Institut flir zerstorungsfreie Priifverfahren (lztP)
Universitlit, Geb. 37
6600 Saarbriicken 11
Gennany
now with SIEMENS AG
Central Research and Development Department
ZFEMEMS21
Otto-Hahn-Ring 6
8000 Mtinchen 83
Germany

INTRODUCTION

Ultrasound Doppler techniques are used for analyzing motional effects, e.g. in
clinical diagnostics of the cardiovascular system. All Doppler systems which are emitting
a wave of frequency fo calculate the object velocity v from the frequency shift fd of the
backscattered wave, due to the velocity component parallel to the sound beam axis, by the
classical Doppler equation

(1)

where c is the sound velocity and e the angle between the directions of flow and propaga-
tion of sound (Fig. 1). This equation is strictly valid only for plane waves.

Pulsed·Doppler:

----'~;mw;:---.,....-- v

Fig.l. Geometry

In the beginning of ultrasound Doppler measurements it was observed that Doppler

signals can be detected, in apparent contradiction to eq.l, even when the sound beam is at
right angles to laminar flow. The explanation of this phenomenon [Newhouse, et ai.,

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 323
1987 and Censor et al. , 1988] leads to the conclusion that a quasi triangular Doppler
spectrum is generated even when the beam axis is perpendicular to the flow. This spectral
shape can be seen to be the convolution of the transmitting and receiving aperture
functions of the transducer.
In these papers, the Doppler spectrum was calculated, starting from analytical soluti-
ons of the wave equation, for the special case when laminar flow is crossing the focus of
a sound field and it was shown that the velocity can be calculated from the spectral
bandwidth Bd, which is determined by the transverse velocity component v sine, by
applying the Doppler-Bandwidth-Equation:

. eW
0c
Bd= f. 2v sm F (2)

where W is the diameter of the focused transducer and F is its focal length.
For other positions of the sample volume, away from the focus, there exist no ana-
lytical solutions for the sound field and the problem has to be solved numerically. One
major aspect of this paper, besides the formulation and description of the process, is to
present a formula, valid for certain boundary conditions, which enables the user to
calculate the velocity from the spectral broadening, even if the angle of insonification is
9()O.
One possible general approach for L1.e calculation of Doppler spectra is given,
exercised for a focused transducer with round aperture. The acoustic field from near to
far field is calculated for monochromatic insonification. The pressure distribution and the
phases, respectively wavefronts, are gained by the Impulse-Response-Method. In ad-
dition to the modulation by the pressure distribution, the Doppler shifted frequency is
changing when the wavefronts are curved and a particle is moving through such a field.
The corresponding modulation of the received signal is calculated. This is being Fourier
transformed resulting in the theoretical Doppler spectrum. It shows, that the bandwidth of
the calculated spectra is nearly constant when the particles are moving through the focal
range or through the far field. This bandwidth is approximated by the Doppler-
Bandwidth-Equation. This is the same equation which was earlier derived mathematically
for the spectra, when a particle is moving through the sound field in the focus, where the
wavefront can be neglected. In the near field, the calculated spectra show higher
bandwidths. The applicability of the Doppler-Bandwidth-Equation, e.g. to calculate
blood velocities in the human body, is extended therefore from the focal to the far field
range.

CALCULATION OF THE ACOUSTIC FIELD

Here, the acoustic field is calculated by using the so called "Impulse-Response-Ap-

proach", as described for example by Stepanishen [1971], Lockwood [1973], Pentinnen
[1976] and Arditi [1981]. The calculations are carried out for focused transducers with
round apertures. This geometry is used often in conventional Doppler measurements in
medicine. Near- and far field points are being calculated for monochromatic insonifica-
tion, as an approximation for the excitation with long (> 5 cycles) pulses in a real
measurement. With the Impulse-Response-Approach the pressure distribution and the
phases are calculated. The wavefronts are calculated from the phases.
When a particle (e.g. a red blood cell) is crossing a sound field, the Doppler fre-
quency is shifted according to the angle of the particle direction with respect to the wa-
vefront normal and additionally by the modulation by the sound pressure distribution.
Here, pressure and wavefronts were calculated for a spherically focused transducer
of 5 MHz for 10 different distances from the focus for 256 points at each (Fig. 2a-b).
In the following, the sound pressure at the point r in the x-y plane at distance z from
the focal plane is denoted as gz(r). By reciprocity, the sensitivity of the receiver for a
point like scatterer is proportional to the square of the sound pressure at the location of the
scatterer, if the transducer is being used for transmission and reception (see, e.g., Hunt et
al. [1983]). The time dependency of the sound pressure results by the replacement of the
stationary location variable by the time dependent variable y=vt, which is representing the
position of the scatterer in the sound field.

324
 y[nun)
13~~--~~--~~~~--~-+
II
9
Amplitude 7

))))))
5
3
I
-I
-3
2 -5
-7
-9 ·16 ·12 -I -4 0 4 8 12 16 20 Z(mmJ
-11
-13 +----r---.-........---.----.r--""T""-..---+-.
10 IS 20 25 30 35 40 45 50 z+F(mmJ

Fig. 2a. Calculated sound pressure distribution Fig. 2b. Calculated wavefronts

DOPPLER SPEC1RA AT PERPENDICULAR INSONIFICATION

It is assumed that the received signal is analyzed by quadrature demodulation, there-

fore making it possible to distinguish between positive and negative frequencies, which
are due to signals stemming from particles moving towards and from the transducer. For
angles between 0 and 900 the frequencies are negative and for angles between 90 and
1800 the frequencies are positive. The angle 8 w between the direction of motion and the
wavefront normal is now depending on the y-position of the particle. 8 w can be found
from the derivative of the wavefront (Fig. 3).

-II!~---1 __~-----.. z Sound Axis

Fig. 3. Instanteneous Doppler angle 8 w(t)

The "instantaneous" Doppler frequency is

2v
O>i(t) = roo + (00 C cos8w(t) (3)

The corresponding time signal may be written as

(4)

where g;?(r,t) is the square of the sound pressure. The term COot is the time integral of the
excitation frequency, the integral of the instantaneous Doppler frequency shift is
following. For the perpendicular crossing a "line stream" of particles is assumed, which
is moving with a constant velocity exactly through the sound axis. For each of the chosen
ranges, the "received signal" is calculated from eq. (4). (00 may be set to zero, this is
corresponding to the demodulation of the real signal. In Fig. 4a-c some of the calculated
waveforms are shown.

325
 Amplitude
+-_......._ ........'---......_""'-_......._-+ 0.6 Phase[rad] Amplitude
20 +-_......._ ........'---"--""'--......._ _ 1.4
0.5
10 1.2
0.4
0.3
-10
o
............. •___ .-
fll(t)

0.2 ..' ".

' .
0.8
•. .... ~ .............. 0.1 -20 0.6
t'J'.._ _ _ _ _... 0 g ~(t)COsfll (~j.....
-30 0.4

-0.1
-40
-50 _____
J J
~g~(t) . 0.2
o
-I--......---..-.I.-..,...:...J....,....-""T'"---+- -0.2
~

-2.5 0 2.5 5 7.5 -60 -!--......---.--,.....-,....-""T'"---+- -0.2

-7.5 -5 -2.5 0 2.5 5 7.5
y(t) [mm] y(t) [nun]

Fig. 4a.z-Position 8 mm in front of the focus Fig. 4b.z-Position = focus

Phase[rad] Amplitude
20 +-_.......__'--_""'-_....._ ........'--_+0.35
10 0.3
o ~~

-10 fll(t) ............... ·· .•.•. 0.2

-20 / ~15

-30 0.1
-40 0.05

-50 ~~--"""""J-o
-60 +-_......_~1I-_,...._~yo!..---._ _"- -0.05
-7.5 -5 -2.5 2.5 5 7.5

y(t) [nun]

Fig. 4c. z-Position 12 mm behind the focus

SMHz;l; 0.6 SMHz;l;

0.8
-160 ---0
~ ~
0.6
0.6 .E
i 0.4

0.2
13.
~ 0.4

0.2
-

I .18dB~--=
0 0
-9 -6 -3 6 9 -9 -6 -3 ''- 0
f[kHz]
T 3 6 9

Fig. 5a. Doppler spectrum 16 mm in front of Fig. 5b. Doppler spectrum at the focus
the focus

n
0.8 SMHz;l;
_120

~ 0.6

t 0.4

0.2 l-
)
0
-9 -6 -3
hickr 3 6 9

Fig. 5c. Doppler SpectruIll 12 mm behind the focus

326
 It is seen, that at other ranges than the focus additionally to the modulation by the sound pres-
sure distribution gz2(t) a modulation is due to the phase changes $(t), i.e. the changing curva-
ture of the wavefront, while the particle is traversing the field (For non axial trajectories, the
three-dimensionality of the problem has to be considered [Vontz, 1990]).
In Fig. 5a-c Doppler spectra calculated by the Fourier transform of the waveforms from
eq. (4) are shown with fo = 5 MHz, W = 10mm and F = 28 mm. Particles move with a ve-
locity of v = I rn/s at different ranges z through the sound field.
Fig. 5a (5c) corresponds to the path which is closest (farthest) to the transducer. Fig.
5b shows the spectrum at the focus. In Fig 5b lines mark a signal amplitude of -18 and -24
dB. The bandwidth according to the Doppler-Bandwidth-Equation is marked by two arrows
and is 2319 Hz for the 5 MHz transducer. For this "signal-to-noise-ratio" the bandwidth of
the spectra for the different ranges were evaluated and presented in Fig. 6.

Bd[Hz)
5000

-e-Mcan(. 18124dB)
4000

3000

2000

1000

0
z[mmJ

I-
-20 -10 0 10 20 30
8 18 28 38 48 58 z+F(mmJ
F 'I
Fig. 6. The bandwidth Bd of the Doppler speclra when insonifying perpendicular, depending
on the distance (z+F) of the flow to the transducer.

The theoretical bandwidth is added for comparison as a straight line. Although the
spectra for the focus and for the far field ranges show quite precisely the theoretical band-
width, a smaller value results because the bandwidth is evaluated at -18 and -24 dB. The
bandwidths show the tendency for broader spectra in the near field and constant bandwidth at
the focus and in the far field. For the latter the bandwidth are fairly good approximated by
the Doppler-Bandwidth-Equation, under the condition that the flow is laminar and constant.

CONCLUSION

The calculated spectra show a constant bandwidth with respect to the position of the
flow in the sound field, as far as this position is close to the focal region or in the far field.
This bandwidth can be approximated by the Doppler-BandVlidth-Equation. The applicability
of this equation, which was shown earlier to be valid for the focus, is extended to the far field
range. In the near field the spectra show higher bandwidth.
Constant and laminar flow was assumed throughout the sample volume. Further
broadening effects by the electronical transmitter and receiver gate, deviations from recipro-
city of the transducers as well as the attenuation of sound were excluded. The described me-
thod could be extended to include those effects and to calculate Doppler spectra for any trans-
ducer and flow geometry and so to find the optimum transducer design for Doppler flow
measurement.

ACKNOWLEDGEMENT

The author gratefully acknowledges many valuable discussions with Priv.-Doz. Dr. W.
Arnold from the Fraunhofer Institute ffir zerstOrungsfreie Priifverfahren, Saarbrlicken, with
V.L. Newhouse from the Biomedical Engineering & Science Institute, Drexel University,
Philadelphia and with Prof. D. Censor, Electrical Engineering, University of Beer Sheva, Is-
rael.

327
REFERENCES

Arditi, M., Foster, S. and Hunt, J.W., "Transient Fields of Concave Annular Arrays",!l.l:..
trasonic Imafling 3, 37-61, 1981.
Censor, D., Newhouse, V. L., Yontz, T. and Ortega, H., "Theory of Ultrasound Dopp-
ler-Spectra Velocimetry for Arbitrary Beam and Flow Configurations", IEEE Trans.
on Biomed. Enfl., BME-35, 740-751, September, 1988.
Fish, P. J., "Doppler Methods", chapter 11, S. 338 - 376 in "Physical Principles of
Medical Ultrasonics", e. R. Hill (Ed.), Ellis Horwood (J. Wiley & Sons), 1986.
Hunt, J.W., Arditi, M. and Foster, S., "Ultrasound Transducers for Pulse-Echo Medical
Imaging", IEEE Trans. on Biomed. Enfl., Vol. BME-30, No.8, August, 1983.
Lockwood J.e. and Willette, J.G., " High Speed Method for Computing the Exact Solu-
tion for the Pressure Variations in the Nearfield of a Baffled Piston", 1. Acoust.
Soc. Am. Vol.53 (3),735-741, 1973.
Newhouse, V. L., Censor, D., Yontz, T., Cisneros, J.A. and Goldberg, B., "Ultrasound
Doppler Probing of Flows Transverse with respect to Beam Axis", IEEE Trans. on
Biomed. Enfl. BME-34 , 779-789, Oktober, 1987.
Penttinen, A. and Luukkala, M., "The Impulse Response and Pressure Nearfield of a
Curved Ultrasonic Radiator", l.Phvs.D: ADDl. Phys., Vol. 9, 1547 ff, 1976.
Stepanishen, P.R., "The Time -Dependent Force and Radiation Impedance on a Piston in
a Rigid Infinite Planar Baffle", 1. Acoust. Soc. Am. Vol.49(3), Part 2,841-849,
1971.
Vontz, T., Ph.D. thesis, University of Saarbrticken, 1990.

328
QUANTITATIVE FLOW MEASUREMENT

THROUGH DOPPLER ANALYSIS AT RIGHT ANGI,E

P.Tortoli, F.Valgimigli and V.L. Newhouse*

Electronic Engineering Department

University of Florence, Italy
* Drexel University, Philadelphia, USA

INTRODUCTION

Volumetric blood flow measurement represents one of the most

important goals of Doppler ultrasound flowmetry. Several methods have
been developed in order to reach the best possible accuracy. Most of
these methods involve the measurement of flow mean velocity, and of the
vessel area A. Since classical Doppler analysis involves an angle ,:)-
different from 90° between the vessel and 11\0 interrogating Doppler beam,
the moasurable component, v m' of mean velocity has to be reported to the
axial mean velocity through a multiplication by a factor llcos {Y. All
these parameters are then related to the instantaneous volumetric flow Q
through:

Q =A • vm I cos tr (1)

In the duplex approach,1 a B-scanner is used in conjunction with a

Continllous Wave (CW) or Pulsed Wave (PW) Doppler unit. In this case,
after assuming circular simmetry for the vessel cross-section, tho B-scan
image is exploited to measure the vessel diameter D and the angle ('Jr.
Mean velocity is derived by measurement of mean Doppler shift frequency.
Seve~a~ possible source of errors have been pointed out in this
approach.' For example, a partial insonation of the vessel would
involve a poor accuracy in the measurement Zf mean velocity as connected
to mean frequency of the Doppler spectrum. Limited axial resolution of
the pulse echo system then can determine an error which is important
especially for small vessels. However, the most critical parameter to be
measured appears the Doppler angle . In fact, a percentage error of 10%
can be related to an error o~ approximately 5° for (9-estimated 50° and of
just 2° for .y-estimated 70°. These considerations have so far suggested
to work at the lowest possible Doppler angle.

The possibility of extending Doppler unalysis to the case where flow

crosses the ultrasound beam at 90°, has been recently demonstrated. 6 • 7 In
the new approach, transverse velocity components are measured through n
measurement of the detected Doppler bandwidth. Moreover, it is
relatively simple to establish that the angle is effectively 90°, since
transverse orientation involves a nearly perfect spectral simmetry. which
is lost even for a difference of few degrees.

Acoustical Imaging, Volume 19

Edited by H_ Ermert and H.-P. Harjes, Plenum Press, New York 1992 329
 Based on these considerations, the possibility emerges of obtaining
quantitative information about the flow, even in the absence of an
ilccompanying imaging system. The angle is in fact known, and the diameter
can be directly estimated by the A-mode recording of echoes backscattered
to the same Doppler transducer. Finally. the flow velocity can be derived
trom thn signal spectrum.
In this paper, the new method is discussed. Its experimontal
verification by means of a multigate system equipped with a real time
spectrum analyser is presented. Preliminary results, obtained in vitro
for steady flow conditions are also shown.

METHOD FOR VOLUME-FLOW MEASUREMENT

Since quantitative flow measurement based on Doppler approach can be

reconducted to the measurement of angle cr.
cross-sectional area A, and
flow mean velocity. the methods used to determine each of these three
parameters are briefly discussed in this section.

Measurement of angle ~

The finite width of ultrasound fields produced by practical

transducers, causes the generation of a full spectrum of Doppler shift
frequencies even for an orientation of 90° between the flow and the
interrogating beam. T~is fact, which is usually referred to as intrinsic
spectral broadening, has been reconducted to a quantitative form by
Newhouse et al.? who have demonstrated that if flow of maximum velocity
vmax crosses at 90° the ultrasound beam produced by a circular
transducer of aperture Wand focal depth F, the Doppler spectrum width is
given by:

Bd = 2W/(FA) v max (2)

On the other hand, the classical Doppler equation predicts that mean
shift frequency f~ is zero: a symmetrical spectrum like that in Fig.la is
involved. This sl.mmetry is lost even for a difference of a few degrees
with respect to a right angle (see Fig.lb). This fact is in accordance
with Doppler equation where mean frequency is proportional to the cosine
of angle l~' so that it results sensitive to little variations. Spectral
symmetry thus provides a means for establishing the exact value of the
angle.

f\
11\
II \
J \ \
I t \ \
.-'0 ~ "IV ~-... ~ r'\. V f\-

(a) (b)

FIG.1. Typical spectra obtained for flow-to-beam-axis angles of

90° (a) and 88° (b).

330
Measurement of vessel diameter

Since the vessel under investigation is transversely oriented with

respect to the ultrasound beam, its diameter can be derived from the A-
mode recording of the received echoes. This method offers the additional
advantage of potentially allowing, in in vivo applications, one of the
techniques developed for tracking the motign 9 of the vessel walls
throughout the cardiac cycle to be exploited. ' Of course, the axial
resolution of the pulse-echo system inherently limits the obtainable
accuracy. In our case, the use of a SMHz probe involves a wavelength of
O.3mm which represents the best achievable accuracy. Results obtained by
measuring the internal diameter of a test latex tube, are within the
expected range (4.6mm against the expected 4.8mm).

Measurement of velocity

Equation (3) establishes a relation between the Doppler bandwidth Bd

and the maximum velocity component vmax of a transversely oriented flow.
Two necessary conditions thus em~rge in order to make possible the
application of the new method: a real-time spectrum analyser has to be
used for bandwidth measurement, and the detected maximum velocity has to
be related to mean velocity. Both these requirements are met with the use
of a multigate system capable of peI60rming real-time spectral analysis
at all the investigated range cells.
The multigate system can be used to control the flow velocity
profile: if it appears parabolic, like in Fig.2, it is sufficient to
measure the bandwidth detected for0r=90 o from the range cell located in
the center of the tube flow. In this case it can be assumed that
vmax=2,vmean' On the other hand, if the profile is flat, the two
velocities can be considered coincident.

L
_\.
: .: DB!'T!!
i! ., (1
j ~
"",,,Idly)
l~. .
~-J
..

l.-
I
----.
"~"~or,
! -
!
i··
'·1'1(1'/2 !:,[ PTlF/2 PllF/l
!. I" I i I : ,-'! : ! : , : ,..J...J ~ I : I I

FIG. 2. Laminar-flow velocity profile detected for t9--::!60° .

a}full spectral profile (for each range cell, the respective
spectral amplitude is reported)
b}full spectral profile (for each range cell, the respective
spectral amplitude is coded in different grey levels)
c}peak velocity profile d}mean velocity profile

331
 The dependence of Doppler bandwidth on flow velocity is demonstrated
in Fig.3. where the Doppler spectrum detected from the central range cell
is shown for different flow rates. It can be observed that the high-pass
filters have not been optimized for this application, since they reject a
large bandwidth (approximately 16% of the analysable range, which is
equal to the Pulse Repetition Frequency, PRF). Thus, if peak frequency
falls within the rejected range, it cannot be detected. This fact has
forced us to work with high velocities, which can yield turbulent flow
(as in the case of Fig.3c).

If\'"
'\ 01 -. 2 I/min

I \
J \
V ~~
" ~

1)2 1 . 47 1 / m 11'1

r,l3 : 1 lImin
I
I
-
... n
II \ I\
J 'vV 1'--

FIG.3. Typical spectra detected from the range cell located in the
center of a 4.8mm-diameter tube for different flow rates Q.

332
 As an alternative, a more proper use of the multigate system,11
involves the measurement of peak velocity within each of the range cells.
In this case a good range resolution is needed, so that the various
detected transverse velocity components can be considered independent
from each other. In other terms, the maximum velocity component within
each cell must not influence the spectral content of the adjacent cells.
As an example, Fig.4 shows the spectra obtained at four different range
cells located within the tube under observation. It is evident that the
bandwidth becomes narrower as the range cell approaches the tube walls.

'\ Dl=Omm
1\ fI
D2=O .4

I 1\
1/ \ I
) \ ) I \
/ \.. V \... ./ \.- vJ \...
,----- -

DJ=1.2 Dt) =1.6

1---- V\ r VI I\.
~ J ~~ "-f..../'r-- J ~J ~ -
FIG.4. Doppler spectra detected from range cells located at different
distances D with respect to the center of the tube.

This method has been preliminarily tested for two different steady-
flow rates (Ql=ll/min and Qz~1.51/min). Although the system has not yet
been optimized, especially in terms of signal-to-noise-ratio, the results
which have been obtained give an error of the order of 15%. In
particular, they involve a slight under-estimation, which can be related
to the difficulty of detecting tllo low velocities of flow near the walls,
due to the presence of high-pass filters.

DISCUSSION

First results of a new method for measuring the volume flow by means
of Doppler analysis at an angle~=90° have been presented. Although this
work is still at a preliminary stage (i.e., only steady-flow conditions
have been investigated, high-pass filters have not been optimized and
extensive measurements have to be made, capable of providing a
statistical determination of the attainable error), some attractive
features have been evidenced. For example, the difficulty in determining
the effective angle is removed, due to two concurring factors: at 90° the
spectrum is symmetrical, and even if an error of 1°-2° would be made, it
would not greatly affect the velocity measurement, since it is related to
sine:- 1 Moreover, the determination of velocity on the basis of maxi mum
instead of mean frequency can offer some advantages in terms of noise and
high-pass filters immunity.Z Inherent limitations appear concentrated in

333
the measurement of the vessel area, since it has to be assumed a circular
simmetry, and axial resolution can seldom be better than 0.1-0.3 mm.

ACKNOWLEDGEMENTS

The authors wish to thank Mr.F.Gucci and Mr.V.Mariotti for their

technical support. Valuable discussions with Dr.C.Atzeni are also
acknowledged.

REFERENCES

1. R. W. Gill, Pulsed Doppler with B-mode imaging for quantitative blood

flow measurement, Ultrasound Med. & Bio1., 5, p.223-235, 1979.
2. D.H.Evans, W.N.McDicken, R.Skidmore, J.P.Woodcock, Doppler Ultrasound:
Physics, Instrumentation and Clinical Application, John Wiley and
Sons, 1989.
3. P. J. Bendick, Factors affecting accuracy of quantitative blood flow
measurements by duplex ultrasound, 1990 IEEE Ultrasonics Symposium
Proc., Honolulu, December 1990.
4. D. H. Evans, On the measurement of the mean velocity of blood flow
over the cardiac cycle using Doppler ultrasound, Ultrasound Med. &
Bio1. ,11, p.735-741,1985.
5. D. H. Evans, Can ultrasonic Duplex scanners really measure volumetric
flow? In: Physics in Medical Ultrasound, JA Evans Ed., Chapter 19,
p.145-154, IPSM, London, 1986.
6. V. L. Newhouse, D. Censor, T. Vontz, J.A.Cisneros and B.Go1dberg,
Ultrasound Doppler Probing of Flow Transverse with Respect To Beam
Axis", IEEE Trans.Biom.Eng.,BME-34,pp.779-789, October 1987.
7. D. Censor, V.L. Newhouse, T.Vontz and H.V.Ortega, Theory of Ultrasound
Doppler Spectra Velocimetry for Arbitrary Beam and Flow
Configurations, IEEE Trans. on Biomedical Eng., BME-35, n.9, pp.740-
751, September 1988.
8. D. E. Hokanson, D.E. Strandness, C.W. Miller, An echo-tracking system
for recording arterial wall motion, IEEE Trans. Sonic Ultrasonics, SU-
17, p.130-132, 1970.
9. A.P.G. Hoeks, P.J. Brands, F.A.M. Smeets, R.S. Renemann, Assesment of
distensibility of superficial arteries, Ultrasound Med & Biol., 16,
p.121-128, 1990.
10. P. Torto1i, F. Andreuccetti, G. Manes, C. Atzeni, Blood-flow images
by a SAW-based multigate Doppler system, IEEE Trans. Sonics
Ultrasonics, SU-35, p.545-551, 1988.
11. A.P.G. Hoeks, R.S. Renemann, P.A. Peronneau, A mu1tigate pu1sed-
Doppler system with serial data processing, IEEE Trans. Sunics
Ultrasonics, SU-28, p.2~2-256, 1981.

334
 THE WIGNER DISTRIBUTION IN THE DOPPLER SONOGRAPHY

Olaf Sker1 1 , Ingrid Hartmann 2

1. Messen Nord GmbH, Rostock, Germany
2. Dep. of Electronic Eng., Rostock University
Rostock, Germany

INTRODUCTION
In the field of Doppler sonography one has to carry out
some spectrum analysis generally. Today the Fourier analysis
is the most used method. The spectrogram S(w,t) is currently
the standard method for the investigation of time-varying
signals s(t):

S (w, t) (1 )

wi th the t j me window h (t). This window is chosen to obtain

short segments of the signal without substantial changes of
parameters. If we can obtain such segments the spectrogram
gives a good time-frequency representation of the signal
energy. However, there exist a large variety of signals whose
spectra are changing so rapidly that finding a time window for
which the signal is more or less stationary is very difficult.
Addi tional to this problem the instantaneous spectra of the
signal at distinct times are required in some cases. In the
spectrogram the time window can not be shorted infini tly to
solve the mentioned problems.

THE WIGNER DISTRIBUTION

The Wigner distribution (or: W.igner-Ville-spectrum~ WVS)
was found to be a good way out. 1 ,;,:: The WVS is the Fourier-
transform of a special product function of the signal:

W (t ,W) = I (2 )

where the asterix denotes the complex conjugation. Although

the WVS is not a power spectrum exactly, it can be considere~
to be a power density spectrum at a distinct instant of time.
Hence the WVS can be used for time-frequency analysis of
Acoustical imaging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 335
nons ta t .ion~{~ signals. The WVS shows a lot of interesting
propert~es. ' The first order local moment according to the
frequency is of especially interest for Doppler flow
measurment:

w(t)
IOJ W
(t ,w) dw
(3)
I W(t,W) dw

This moment provides the "instantaneous" mean frequency

of the signal spectrum. In contrast to the local moment of the
WVS (eq. (3» the first order moment of the Fourier spectrum
P(w) gives the total mean frequency of the inspected interval 1
which we can also obtain from the WVS:

-
CAJ=
IwP(W) dw IIwW(t,w) dt dw
I P dw II W(t,w) dt dw
(4 )
(w)

We see that the first order moment of the WVS {eq. (3» gives
a better approximation of the instantan~ous mean flow velocity
than the moments of the Fourier method.

EXAMPLES
The first example shows the spectrogram (fig. 1) and the
WVS (fig. 2) of a blood flow signal received from a human
aorta brachial is. In the spectrogram we recoqnize the known
shape of a systole but it is smeared out in time and
frequency. The WVS shows - with the same resolution - a quite
better time-frequency representation of the systole.
Significant chanqes of the bandwidth are to be seen clearly.
This indicates significant changes of the flow profile and the
flow conditions at the peak of the systole.
At least a disadvantage of the WVS should be illustrated. The
fig. 3 shows the power density spectrum of a Doppler signal
obtained from a constant water flow in a pipe distorted by
insonating the pipe with an additional transducer at 1.6 kHz.
We find the Doppler spectrum of the flow and the spectrum of
the distortion. In the WVS (fig. 4) an additional component
occures centered between the spectra of flow and distortion
never found in the power spectrum. This additional component
shows the effec~ ~f cross terms in the WVS caused by its
bilinear nature.' They are not contained in the signal. The
cross terms can bring some problems wi th mul ticomponent
signals.

336
 nnr-----------------------------------------~~y.~ ~
~-L~~~~~~--~
: AIlRAOLI. SPG
irsLt : 56IM
Iast_t = 10788
li....... r = 25.S
= 512

Fig. 1. Spectrogram of a blood flow Doppler signal (top view).

r-------------------------------------------~~~.8M
~-L~~~~~~--~
: AIIRAOL1.1M
= S&72
10796
inarull.r : 25.S
I_LIIOb.r = 512

Fig. 2. Wigner-Ville-Spectrum of the same blood flow signal

(top view) .

337
 dltuet : D(JII~US.DAT
firsLt : m
lat..;c : 4522
Ilflgth : 4)9&

Fig. 3. Power density spectrum of a Doppler signal from a

water flow (a) distorted by insonating the pipe at
1. 6 kHz (b).

Fig. 4. Wigner-Ville-Spectrum of the distorted water flow

signal with the contributions of the flow (a), the
distortion (b) and the cross terms (c).

338
CONCLUSIONS
Because of the large computional complexity the WVS will
be applied only if the spectrogram gives not acceptable
results today. To calculate the data of one of the WVS shown
here it took a powerful PC (386 + 387) about 8 minutes. An
other problem are the cross terms shown in fig. 4. They can
bring difficulties with the interpretation of the time-
frequency representation. Thus the WVS is not the "ideal
solution for all problems".
The WVS will be a convenient tool for time-frequency
analysis of nonstationary signals, however. The increase in
computer power will gain the application of such complex
methods also for the process measurement.

REFERENCES
1. T.A.C.M. Claasen, W.F.G. Mecklenbrauker, The Wigner
distribution - a tool for time-frequency signal analysis,
Philips Journ. Res., 35:217-250, 276-300, 372-389 (1980)
2. ~. Cohen,Time-frequency distributions - a review,
Proc. IEEE, 77:941-981 (1989)
3. o. Skerl, W. Schmidt, The Wigner.distribution function and
its application for signal analysis, Proc. 7th Symp. on
Hydroacoustics, Gdynia-Stawiska, 5-29 ... 6-1-1990 : 233-238
4. M.G.J. Arts, J.M.G.J. Roevros, On the instantaneous
measurement of blood flow by ultrasonic means,
Med. & BioI. Eng., 10:23-34 (1972)

339
INTRALUMINAL DOPPLER-SONOGRAPHY:

ANALYSIS AND 'IN VITRO TEST' OF A NEW DEVICE

Th.Aoth, A.Brennecke, H.Conradi, A. Erbel, J. Meyer, W.v.Seelen

II. Med. Clinic,Johannes-Gutenberg Universitat Mainz

Auhruniversitat Bochum, Institut f. Neuroinformatik

INTRODUCTION

In treating patients with coronary heart disease it's necessary first to determine what in-
fluencethe stenose has on the coronary blood flow. This is a prerequisite for any invasive
treatment method. Coronary angiography explosures are only partially useful in attaining a
functional evaluation of the haemodynamic stenoses.
Thus varius methods have been developed for measuring the blood flow, but only one of
them is able continuously and selectively to measure blood velocity in the individual coronary
vessels: That is the Doppler-Sono-Catheter Method.
Aecently pulsed Doppler coronary catheter measurements of coronary vasodilator reserve
have been validated and used to assess vasodilator reserve in patients with multivessel
coronary disease, isolated single-vessel disease,and i~Batients after bypass surgery and
percutaneous transluminal coronary angioplasty(PTCA) . Using coronary-angiographic
methods it is only partly possible to assess the influence of stenoses. Therefore, in the field
of clinical coronary blood flow measurements the use of intraluminal Doppler sonography
could offer additional information.
The components of flow in the relatively large sample volume have different velocities. Since
the audio signal reflects a superposition of the velocities in the sample volume it is not
possible to measure, for example peak velocity by using zero-crossing techniques.
Moreover the method of zero-crossing-detection is known to be inaccurate in areas of
disturbed flow. Therefore, we propose, with the help of the knowledge of the geometry of
the ultrasonic tone burst, to determine velocity estimators by analysing the Doppler shift
audio signal with fast Fourier transform.
The purpose of this study was:
1) to define spectral estimators different from those that are offered by zero-cross
detectors.
2) to compare these parameters described by spectral analysis with conventional
zero-crossing methods for analysing the Doppler shift signal from an intracoronary
Doppler catheter.
3) to investigated the influences that cause the shape of spectral distrubution to vary.
4) shape invariant analysis of the spectral distribution with the objective of determining
haemodynamic parameters like the maximum blood velocity by robust and precise
estimators.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. Haxjes. Plenum Press. New York 1992 341
METHODS
Instrumentation
A special acquisition unit has been developed which allows on-line to analysis of the
spectral contents of the audio signal.The Doppler- catheters used are all based on the
original desi~n described by Hartley for measuring blood flow velocity with small
transducers •
The probe consists of a 3f catheter (1 .2 mm) which is activated by a commercially pulsed
transmitter-receiver(MILLAR). The carrier frequency is 20 MHz and the impulse repetition
rate is 62,5 kHz. The Doppler-shift is analysed in this unit by zero-crossing techniques
resulting in a mean and a phasic signal.
The acquisition unit consists of two modular A/D converters: one digitize directly the
dopplershift frequencies in a range below 20 kHz (sampling rate 100 kHz, resolution 12 Bit),
the other digitizes the RF - signal(sampling rate 100 MHz, resolution 8 bit). The audio
signals were filtered to remove high frequency components at the pulse repetition rate and
low frequency components below about 100 Hz.
For further processing, data are transferred via separate bus systems to an IBM/AT
compatible personal computer. The developed software processes and plots on-line high
frequency A-mode data and spectra of doppler shift frequencies.

Variabilty of ultrasonic beams

In a special setup where it is possible to position the transducer in a three dimensional

grid(x,y,z) in steps of 0.1 mm resolution in front of a metal spot, the geometry of the beams
of different transducers has been determined. The maximum amplitude of the reflected
signal is plotted as a function of the grid position.

Row model for blood flow measurements

Fig[1] shows a schematic diagram of the blood vessel phantom system. It consist a water
bath, and a fluid flow regulation system. A silicon tube with an inside diameter of
approximately 6 mm was used to mimic the blood vessel in order to mimize the effects of the
tube on the ultrasonic beam. For intraluminal measurements the catheter is centered in the
tube by a PTCA-guide wire.
The volumetric flow rate is determined by an EMF flow probe. This is the reference flow rate
used to estimate the accurary of ultrasonic Doppler-shift measurements.
The entrance length of the fluid is 1.5 m to get a steady laminar flow in the tube. Scattering
medium for the ultrsound echos is fresh pig blood.
Typical flow rates are between 100 ml/min up to 1500 ml/min.
Fig[1 b) is a schematic drawing of an external doppler measurement flow model. Under an
angle of 45 degrees the tip of the transducer is fixed in the wall of the silicon vessel. This
experimental setup has advantages because the catheter doesn't influence the
haemodynamics in the vessel.

Extraluminal
Catheter Intraluminal
Catheter

~SAMPLE
~ VOLUME
.Flow
",'''''ov'n

. ...... ""
WATER BASIN

1.5 ,.."

Fig[ 1). Schematic diagramm of the used flow model

342
 Data postprocessing

For shape invariante analysis of the spectral distribution with the objective of determining
haemodynamic parameters with more robust and precise methods, different common
envelop processors describing the shape of the Doppler spectrum are tested.
Fig[2] depicts an example of a Doppler spectrum. Lowpass and high pass filters were use to
suppress frequencies under 50 Hz and alias frequencies greater than 32 kHz.
To improve the perfomance, a threshold filter,which eliminates all signals below a certain
amplitude, are used.
Definition of parameters obtained from the Doppler spectrum:

Maximum frequency:
F is defined as the frequency below which k% of the power lies. The frequency can
b~axcalculated easily by measurement of the areas under the curve. The point at
which 90% of the area lies below is defined as the maximum frequency.
Median frequency:
Fmed is defined as the frequncy were the integral oller the spectrum covers 50 % of
the total area.
Mean frequency:
The mean Doppler frequency is the center of gravity in a given spectrum calculated
from the weighted sum of the amplitude elements.

Doppler· Spectrum Processors

r '''''''' (f) df= 100-k r·p(f) df
p(f ) Jo p 100 Jo

('mod (f)df=~(·p(f)df
Jo p 100 Jo

f modal fmox f Ip
fi h "'r

Fig[2]. Example of a power spectrum. Function of filters and estimators

RESULTS

Beam geometry
In current practice of Doppler ultrasound, lateral beam shapes and dimensions are rarely
well known to the user. Improved knowledge of beam properties will benefit the evaluation of
Doppler-shift measurements. For this reason three different Doppler catheters are
investigated. Fig[3] shows the characteristic geometry of three commercially available
pulsed Doppler transducers(one Mono-Rail and two DC-1 01 from Millar with an end
mounted Doppler crystal.

343
The Millar DC-1 01 produces a beam of minimal diameter of 1 .5 mm and diverges to a
maximal diameter of 3.5 mm. It has a focal zone at a distance of 2 mm. The beam of the
Mono-Rail probe, however, diverges continously and has no focal zone.

De am Geometry M-l01 Beam Geollleiry M-IOI

\~3DB 1.5

0.' 0.5

-0.5 "Distance -0.5 Dislance

~'796
-1.5 -1.5

-2 -, No. 795

Beam Geometry MormnAIL flo. 04510U

0.5··

-0.5 .
. Distance

-1·· _ _ _ _ _ _ _ _ _ 3db
-1.5

-2

Fig[3]. Characteristic beam geometry of different intraluminal catheters.The maximum

amplitude at the reflected signal is plotted as a function of the grid position. The width of the
lateral beam shape is determined by the 3 DB front.

Velocity measurement
A comparison of the two methods - detection of zero-crossing and spectral analysis of
intraluminal measurements is shown in Figs.[4].First of all, as clearly demonstrated, the two
approaches result in a gross underestimation of the true velocity, although the spectral
analysis is slightly closer to the real values.The measurements with the probe outside of the
experimental vessel, on the other hand, show a better match to the actual velocity Fig[5].The
mean velocities are slightly higher than the actual ones, since as a consequence of the
parabolic velocity profile the sample volume in the center of the tube detects mainly high
velocity flow regions. This shows that the probe inside the vessel severly disturbes the flow
characteristics.

344
 intraluminal: spectral frequency

45
kHz
40 -

35 spectral rIled

30 - spectral Illean

~ spectral max
25
2·true frequency
20 -
true frequency
15 -

10
N'" 50

o -r-~,--,-,-
o 10 20 30 40 50 60 70 80 90 tOO 110
\loloclly (em/s'

Fig[4J. Shows a diagram of Doppler-shift frequency as a function of blood flow velocity by

intraluminal measurement. Blood flow velocity is plotted along the x-axis. The black
line(true frequency) depicts the actual volume flow measured by time collection. For
a parabolic flow profile, the geometry predicts that the maximum velocity at the
center stream is twice the mean velocity across the entire vessel lumen. So we would
expect the computed max frequency in the sample volume to correspondend with
twice the actual frequency (2'true frequency).

external: spectral frequency

45
kHz
d
0
40 -
t
p
~ . 35 • I f spectral mean
e
,
•
.•
30 - spectral med

25
II! spectral max

2"true frequency
20 -
true frequency

10
N .. 50

o --T--,--T- j- T---T 1

o 10 20 30 40 50 60 70 80 90100110
velocity (em/s)

Fig[5J. Shows a plot of external measurement by spectral analysing.

SUMMARY

The improved knowledge of ultrasound beam properties allowed for an identification of

Doppler signal data with much better precision.
It has been shown how the presence of the Doppler catheter in the lumen severely affects
the haemodynamics in the vessel of an assumed parabolic velocity distribution.
The determination of the blood flow velocity using standard zero-crossing counting
techniques underestimates the mean velocity in the vessel grossly, particularly when the
sample volume is taken from disturbed blood flow.
Comparison of zero-cross-counter method with spectral analysis demonstrates that by
intraluminal measurement the determination of the peak velocity is more robust against
noise signals.

345
FFT analysis proves to be superior to the zero-crossing detection in the following points:
FFT analysis techniques are capable of detecting the characteristic spectral broadening.
The zero-cross method computes only an average velocity in the sample volume, actual
peak velocity cannot be measured. The peak velocity is not subject to error introduced by
lower velocity component.
Important low velocity components, which manifest themselfs as errors only in the
calculation of the mean velocity by the zero-crossing detector are easily detected by the
FFT analysis and can serve as diagnostic tools.

REFERENCES

1 .Kirkeeide,RI,Gould,KL,Parsel,L,Assesment of coronary stenoses by myocardial perfusion

imaging during pharmacologic coronary vasodilatation. VII. Validation of coronary flow reserve as
a single integrated functional measure of stenosis severity reflecting all its geometric dimensions.
JAM COLL cardiol 1 986; 7: 103-1 3

2. Sibley, DH, Millar, Hd, Hartley, CJ, Withlow, PL. Subs elective measurement of coronary blood flow
velocity using a steerable Doppler catheter.
J Am Coli Cardiol 1986;8: 1332-40

3.White,CW,Whright,CB,DotY,DB, et al. Does visual interpretation of the coronary arteriogram

predict the physiologic importance of coronary stenosis?
N Engl J Med 1984,819-24;

4.Hartley Cj,Cole Js. A single-crystal ultrasonic catheter tip velocity probe. Med Instrum
1974;8:241-3.

346
 PHYSICAL FOUNDATION OF ZERO CROSSING TECHNIQUES

Nicholas Thomas, Sidney Leeman, and Inigo Deane

Dept. of Medical Physics and Medical Engineering

King's College School of Medicine and Dentistry
Dulwich Hospital, London SE22 8PT, UK

INTRODUCTION

Measurement of the mean velocity of the blood flowing in a vessel is of some interest to a number of
medical specialties. With some assumptions about the scattering of ultrasound by blood cells, it may be
shown that the mean velocity of the (red) blood cells in a region of interest, V, is related to the mean fre-
quencY,(A), of the doppler shifted ultrasound waves scattered from that region [Roevros, 1974]. The latter
is a measurable entity, and may be expressed as:

W'" iWdW.wP(W) / iWdWP(W) (I)

where P( w) is the power spectrum of the scattered waves, and (A) denotes the (circular) frequency.
Estimation of V from (A) requires some additional information (such as the angle between the interro-
gating ultrasound beam and the direction of the blood flow), but it is assumed that, such knowledge is
available from other sources.

Many modern doppler ultrasound systems determine the mean frequency using digital processing
techniques, often via calculation of the power spectrum of the received signal by FFf routines. However,
it will be shown below that it is possible to achieve the same aim in real time, with time-domain processing,
from measurements of the zero-crossing rate ("OXR") of the received signal. Zero crossing techniques
have been much criticised for their inaccuracy in measuring the mean frequency [Lunt, 1975]. A new
algorithm is described below, which allows the exact estimation of the mean frequency of a short data seg-
ment, via a zero crossing technique, and a schematic design for a hardware realisation of the algorithm (at
present under test in our laboratory) is shown.

A number of physical effects associated with the propagation and scattering of the pulses used in
doppler imaging systems may affect the estimated mean frequency: in practice, interference effects may be
particularly troublesome [Leeman, Roberts and Willson, 1986]. It is suggested that the zero crossing
technique, while not immune to these problems, may allow, in certain cases, the possibility of recognising
and possibly correcting for, the interference artefact.

RELATIONSHIP OF OXR TO INSTANTANEOUS FREQUENCY

The signal produced by the receiving transducer, s (t), is necessarily bandlimited, and, hence, can be
written in the form [Voelcker, 1966]:
set) = a(t). cos{<I>(t)} (2)

Acoustical Imaging, Volume 19

Edited by H. Ermer! and H.-P. Harjes, Plenum Press, New York 1992 347
a (t) is a positive defInite time-varying function, conventionally called the amplitude, or envelope, of the
signal, while Ij> ( t) denotes the (time-varying) phase function. The time derivative of the phase function is
called the instantaneous (circular) frequency, and is denoted Ijl' (t). Both the envelope and the phase may
be unambiguously recovered from the signal itself, conveniently via the introduction of the analytic signal,
s(t) = set) + J'}{ {s} = a(t)e IW ) (3)
where j - Fl and 'Jl { s} denotes the hilbert transform of s ( t) [Bracewell, 1978).

It is easily seen from the properties of the cosine function in Eq. (2) that if the signal passes through
zero at two adjacent time locations, L N and L N >, , then the phase function at those two locations must
necessarily satisfy
<I>(-cN>,)-<I>(-cN)=mJ{ (4)
with m = '" 1 or O. It turns out that the case that m = 0 is not appropriate for the signals under con-
sideration, and it follows, on integrating Eq. (5), that

li~N>ldt.<I>'(t)1 =J{ (5)

Hence, it follows, by the mean value theorem, that

14i'1=n:/L'l. (6)

where & denotes the time interval between the two zero crossings under consideration, and g denotes the
mean value of g. Since the reciprocal of L'l. is a direct indication of the ("instantaneous") OXR, Eq. (6)
shows that the absolute value of the mean value of the instantaneous frequency ("IF") in an interval is
directly proportional to the mean OXR in that interval. Since the IF is a much more convenient entity (than
the OXR) to manipulate analytically, the theory that follows will be phrased accordingly.

RELATIONSHIP OF OXR TO MEAN FREQUENCY

In general, the ultrasound signals received during doppler investigations are non-stationary, and it is
appropriate to consider short data segments, and to investigate how the mean frequency of these changes
with time. A common way to determine (A) for any segment, is to use the FFT to calculate the power
spectrum and, thence, the integrals indicated in Eq. (1). Invariably, the segment will be windowed, in order
to improve the spectral estimate, and we shall consider this to have been done. It is convenient to assume
that the window function vanishes at the end points of the data segment: equivalently, it can be assumed
that the envelope of the segment is zero at the endpoints. Consider a segment commencing at t = t - and
terminating at t = t + : for this, Eq. (1) can be expressed in a hybrid fourier/time representation as:
'lV.w =
)0
r~ dw.w J'+
t-
dt.aw(t)eIW)e-/WI J'+
t-
dt' .aw(t' )e-iHI')eiwl'

(7)

Eq. (7) has been expressed in terms of the analytic signal of the data segment. The subscript, \,1", to the
envelope, is to indicate that the segment is appropriately windowed, and 'Ii is a normalisation factor:

'IV. = J'+ 1-
dt.a~(t)= l~ dw.P(w)
0
(8)

Bearing in mind that a w vanishes at the endpoints of the data segment, integration by parts yields:

J~+ dt. aweHd/dt{e -/WI} = - J~+ dt. {ci,,te H + J<I>' a,,tei~}e -/wl (9)

Substituting this expression back into Eq. (7) yields, after utilising a standard representation for the dirac
delta function, and after some further manipulation:

'lV.w= J~+ dt.a~(t)cI>'(t) (10)

Eq. (10) is an extremely interesting result. It suggests a parallel between the mean IF and the mean fourier
frequency, (A), providing the spectral amplitude is replaced by the temporal amplitude (envelope). Note
also that no approximations are made in arriving at this result, which is more appropriate than that derived
by Barber, Eberhard, and Karr [1985) for infInitely long data sequences only.

348
 It remains now only to replace by the OXR, as indicated by Eq. (6), and it follows that the mean
frequency of a (suitably windowed) data segment is given by the mean value of the OXR in that segment,
but only if the OXR is weighted by the square of the envelope. Where the envelope remains reasonably
constant, and/or where the IF hardly fluctuates, then the conventional result is regained, viz., that the mean
frequency is given by the mean value of the OXR over the time of interest. But typical doppler signals, as
shown in Fig. 1, show rapidly fluctuating envelopes, as well as a rapidly changing IF. It is hardly surprising,
therefore, that investigators have concluded that the OXR is a poor estimator of the mean frequency: the
correct procedure is to weight the OXR with the square of the envelope.

.
"0

~
!3 -0.5

-1L-------~ ______ ~ ______ ~~ ______ ~

o 10 15 20
tirne (ms)

Figure 1 - Doppler signal recorded from the carotid artery using a 4.8 MHz transducer.

A HARDWARE IMPLEMENTATION OF THE OXR ALGORITHM

Fig. 2 shows a schematic block diagram of a hardware implementation of the OXR algorithm
implied in Eq. (10), as constructed in our laboratory. The low pass filters are intended to provide the
windowing and integration required by the algorithm, but are very crudely implemented at present. Even
at this stage, the circuit is capable of reasonably following, in real time, the fluctuations in the mean fre-
quency of the tailored test signals used to evaluate the hardware. At present the accuracy of the device is
limited by the sub-optimal windowing provided by the lowpass filters, but the technique offers a distinct
advantage over a straightforward OXR detector. In principle, it is also more appropriate than more com-
plicated digital technology which performs full spectral estimation, if the only output desired is the
(time-dependent) mean frequency behaviour. A full evaluation of the hardware will be presented at
another forum.

PHYSICAL FACTORS AFFECTING THE OXR

The physical factors that affect the IF, and hence the OXR, are essentially the same as those that
influence the mean frequency, and have been overviewed by Leeman, Roberts, and Willson [1986). How-
ever, only interference effects (in echoes from the numerous scattering sites in blood) appear to be capable
of producing the rapid fluctuations in both envelope and/or phase which conspire to compromise the
integrity of a pure OXR mean frequency estimator. This contention is supported by simple simulations,
which demonstrate that small shifts in the relative locations of even two scatterers can produce large and
rapid fluctuations in both envelope and IF [Healey, Leeman and Forsberg, 1991]. Bearing in mind that the
doppler signal, by its very nature, must contain many overlapping, and interfering, echoes, it would appear
that it is primarily (destructive) interference effects which are resposible for the poor performance of OXR
estimators.

I'LLTIPLIER

~~~~E--\lALL£-----, ! U:1W-P",SS FILTER I

nCI~Ir !I
1'*'UT Sl~ ~ _ _ _ _ _J l. -~--~--.--~

, ~--------------,

~~ LOW-PASS F"ILTER 1-1 -----------------1

i ~
I
.J
L.... _ _ _ _ _I _ _ _ _ _

Figure 2 - Block diagram of hardware implementation of equation 10.

349
 It is interesting to explain, in an intuitive way, why an amplitude-weighted OXR can produce good
mean frequency estimates, even when the IF fluctuates wildly. A close inspection of (the downshifted real
data shown in) Fig. 3 will demonstrate that the very large excursions of the IF occur only when the envelope
dips down close to zero. It is for this reason that the envelope weighted OXR estimator gives accurate
mean frequency values: bizarre IF values are accorded such a low weight, that they make a negligible con-
tribution to the integral in Eq, (10)! This coupled behaviour of the IF and envelope is characteristic of
severe destructive interference effects [Healey, Leeman, and Forsberg, 1991], and may be proved to be a
generally valid feature via the complex zero representation of bandlimited signals [Seggie and Leeman,
1987].

20

15
I

"
t
c

10 15 20
time (ms)

1.5

.
1.
~

f
10 15 20
time ems)

Figure 3 - Instantaneous frequency (top) and envelope (bottom) of signal of figure 1, showing that the
instantaneous frequency 'spikes' correspond to where the envelope dips close to zero.

It should be noted that the envelope-weighted OXR algorithm provides a good estimate of the mean
frequency of the data segment in question (provided a suitable window has bcen used). It does /lot ensure
that the calculated mean frequency is a true indicator of the mean velocity, primarily because the interfer-
ence effects have added a non-doppler element to the spectral changes occasioned by the scattering that
produces the detected echo signal. True doppler shifts can be measured only when all spectral-corrupting
artefacts, including interference effects, can be corrected for, or eliminated. However it is interesting to
observe that the behaviour of the IF can be used as a "diagnostic" indicator of the data segments most likely
to have had their mean frequency corrupted by severe interference artefacts. In this way only "good" seg-
ments may be selected for a relatively accurate determination of doppler mean frequency shifts [Hoddinott,
Seggie and Leeman, 1987].

CONCLUSIONS

It has been shown that with envelope information the zero-crossing rate can be used to determine
mean frequency of pulse echo data segments exactly. A hardware implementation has been constructed
which can more accurately determine the mean frequency than the OXR detector alone. Although inter-
ference effects can produce large fluctuations in the instantaneous frequency, the position of these fluctu-
ations corresponds to where the envelope dips close to zero, and thus the mean frequency estimate is less
affected. However these fluctuations can be used to select data segments for accurate determination of the
mean doppler frequency shift.

350
ACKNOWLEDGEMENTS

The support of the MRC and the Wellcome Trust is gratefully acknowledged.

REFERENCES

Barber, W.D., Eberhard, J.W., Karr, S.G., 1985. A New Time Domain Technique for Velocity
Measurements Using Doppler Ultrasound, IEEE Trans. Biomed. Engng.,.32/3: 213-229.
Bracewell, R., 1978. "The Fourier Transform and its Applications", 2nd ed .. McGraw-Hill, New
York
Healey, A., Leeman, S., and Forsberg, F., 1991. Turning Off Speckle, In: "Acoustical Imaging", 19,
H. Ermert and H. Harjes, eds., Plenum Press, New York. 111 press.
Hoddinott J.e., Seggie DA., Leeman S., 1987. Towards Improving Pulse-Echo Attenuation Esti-
mates, In: " Ultrasonic tissue characterization and echographic imaging 7", J.M. Thijssen, ed., Commission
of the European Communities, Luxembourg, 65-73.
Leeman, S., Roberts, V.e., and Willson, K., 1986. Quantitative Doppler with ultrasound pulses, In:
"Physics in Medical Ultrasound", J.A. Evans, ed., IPSM, London, 134-140.
Lunt, M.J., 1975. Accuracy and Limitations ofthe Ultrasonic Doppler Blood Velocimeter and Zero
Cossing Detector, Ultrasound in Med. & Biol.,.1O: 1-10.
Roevros J.M.J.G., 1974. Analogue processing of e.w. Doppler flowmeter signals to determine
average frequency shift momentaneously without the use of a wave analyser, In: "Cardiovascular applica-
tions of ultrasound", R. S. Reneman, ed., American Elsevier, Amsterdam, 43-54.
Seggie, DA. and Leeman, S., 1987. Deterministic approach towards ultrasound speckle reduction,
Proc. lEE, A134: 188-192.
Voelcker, H.B., 1966. Towards a unified theory of modulation, IEEE Trans., 54/3: 340-353; and
54/5: 735-755.

351
NEW DEVELOPMENTS IN ULTRASONIC TISSUE CHARACTERIZATION

Frederic L. Lizzi

Riverside Research Institute

330 West 42nd Street
New York, NY 10036

INTRODUCTION

Ultrasonic tissue characterization (UTC) encompasses a broad range of signal

processing techniques applied to video or radio-frequency (rt) echo signals. l In our
laboratories, we have investigated several rf-signal analysis techniques that are based
on calibrated power spectra. 2 To obtain summary spectral parameters, we have used
linear regression analysis to determine spectral slopes, spectral intercepts, and residual
intercept uncertainties (measures of the goodness-of-fit to the spectrum). In
ophthalmology, we have employed these features in more than 2,000 examinations, and
we have established clinical data-bases to diagnose and monitor ocular tumors. 3 ,4 As
part of these studies, discriminant analysis has been used to classify and sub-classify
malignant melanomas, metastatic carcinomas, and choroidal hemangiomas. For
abdominal S and vascular 6 examinations, we have developed means for using these
spectral parameters to compute additional UTe features (e.g., attenuation and
heterogeneity indices) that are not affected by attenuation in intervening tissues. We
have also developed a mathematical framework 7 that relates spectral parameters to
physical scatterer properties.

Recently, efforts have been undertaken to improve our methods in several ways.
To expedite clinical utilization and include a broader range of examinations, we have
implemented a new acquisition, processing, and display system. The new system has
been interfaced with clinical ultrasound instruments that use manually-scanned
transducers, real-time mechanically-scanned transducers, and phased arrays. To
analyze tissue features that are not readily evaluated with our previous spectral
techniques, we have started to investigate additional tissue assays utilizing three-
dimensional (3-D) rf-data collected in parallel scan planes. Lastly, to improve our
understanding of how measured ultrasonic signals are related to tissue microstructure,
we have initiated simulations of ultrasonic backscatter based on acoustic microscopy
data.

This report presents an overview of some of the above topics. First, it describes
the operation of the new clinical system in terms of spectrum analysis evaluations of
abdominal tissues. Second, it describes one of our new tissue-analysis techniques,
which uses 3-D data to characterize the angular-dependent scattering from extended

Acouslicailmaging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 353
tissue layers of the eye and abdomen. Third, it presents a brief overview of how
acoustic microscopy is being employed for simulation studies of liver backscatter.

CALIBRATED POWER SPECTRUM ANALYSIS

We have developed a data acquisition, processing, and display system using AT-
equivalent personal computers (PC's) with 80286 or 80386 microprocessors to replace
our previous, slower minicomputer-based systems. The new systems incorporate a
LeCroy analog-to-digital converter (ADC) to digitally acquire rf-data from complete
single scans at real-time frame rates. Acquired data are transferred to extended PC-
memory for subsequent display and analysis.

The system is being employed at several collaborating medical centers using a

variety of commercial ultrasonic systems designed for specific organs. These include
lO-MHz ophthalmic systems, 7.5-MHz doppler-flow-imaging systems, and 3.0 to 5.0-
MHz abdominal scanning systems. We have also used the system with an experimental
clinical system incorporating 40-MHz PVDF transducers. To accommodate this diverse
range of center frequencies, scan-modes, phased arrays, and 3-D scan systems, we have
implemented a series of interface modules designed for specific ultrasonic systems. The
modules include needed electronic interface circuitry (e.g., isolation amplifiers) and
digital logic networks that accept system-specific scanning and timing signals, and
generate data-acquisition trigger pulses. These trigger pulses control rf-signal sampling
and digitization with the LeCroy ADC.

Data acquisition is controlled by our software package, DIGITIZE, which

prompts the user for ancillary patient data and system information, including transducer
identification and system gain settings. These data are included in data-file headers for
automatic calibration procedures applied during subsequent processing.

After a scanning session is completed, a second software package, GENSPEC,

is used for interactive viewing and analysis of acquired data. First, B-scans are
computed from acquired rf data, and a video montage is presented depicting the B-scans
obtained for a specified patient. Then, a mouse is used to select a particular scan for
analysis, and a region-of-interest (ROI) is demarcated within an enlarged representation
of the computed B-scan. Next, a specific sequence of processing options is selected,
via a menu, to analyze stored rf data obtained from the ROJ.

For liver examinations, the typical processing sequence automatically includes

the following steps. S,8 Calibrated power spectra are computed for the stored rf data
from eight sequential, partially overlapping tissue segments in the ROI; each segment
has a nominal 5-mm depth, and usually encompasses 30 scan lines. Within each
segment, rf data from each scan line are Fourier transformed with respect to range, and
spectral magnitudes are averaged in the cross-range direction. The resultant eight
power spectra are normalized with respect to a calibration spectrum (from a glass-plate
surface), and linear-regression parameters are computed over the spectral bandwidth,
which typically spans the 2- to 4-MHz range for abdominal examinations.

The linear regression parameters are then analyzed as a function of range to

obtain three derived parameters, S,8 which are automatically entered into a data-base
library. These parameters are: Y, the average spectral intercept (extrapolation of the
linear fit to zero frequency); a, the attenuation parameter estimate (computed from the
range-dependent rate-of-decrease of the spectral fit at the center frequency); and, AM,

354
 -20 V(dB) M.taltatie
Carcinoma R'9ion
(8/9 cal .. )
-30

2.00
~M(dB/MHz)

Primary Tumor R'9ion

(7/7ca ... )

.15
a(dB/em-MHz)

Figure 1. Relative values of Spectral parameters for abdominal tumors

a heterogeneity index (maximum positive departure of spectral slope from the

attenuation trend-line with respect to range). The three values are usually determined
for 10 regions from several scan planes, and average values are used for multiparameter
classification of diffuse liver conditions (such as cirrhosis) or focal lesions. Figure 1
shows how these three parameters define different classification regions in feature space
for primary and metastatic abdominal tumors.

As shown in our theoretical analyses, spectral slope and intercept values are
related to specific scatterer properties. 7-9 Slope is related to the effective scatterer size;
intercept is related to scatterer size and acoustic concentration. (Acoustic concentration
is defined as CQ2 where C is concentration, and Q is the relative acoustic impedance
of scatterers with respect to that of the surrounding medium.)

Our previous reports describe these relationships for conventional focused

transducers used to examine the eye and abdominal organs. We have now extended our
analysis to treat the phased arrays used for evaluations of venous thrombi. These
arrays typically employ a 7.5-MHz center frequency, and provide spectral coverage
between 4 and 9 MHz. The transducers utilize a rectangular aperture with a cylindrical
lens, and electronic time delays are employed for post-reception focusing. Figure 2
shows how the effective scatterer diameter affects the spectral slope and intercept values
when this type of phased array is used to examine tissues at a 50-mm range. In this
result, the value of CQ2 is lImm3 , and tissue microstructure is assumed to be
characterized by a gaussian spatial autocorrelation function, as described in ref. 7. As
in our previous results, the effective scatterer diameter is seen to exert a very
significant influence on both slope and intercept.

355
 -30 4

iii'
-50
----- -- -- -- 2 N
J:
~ ~--- :::E
Ii:
w
-70 SLOPE - - - - ............ 0 III
~
0
II: ................ , w
w -90 ~
-2 0
~ .... " .... ....
en
....-C - INTERCEPT ... ,, ....
-110
II: ,, -4
~
13w
-130
,, 0
w
~ -6
en ~
en
-150 -8
0 .05 .10 .15

EFFECTIVE SCA TTERER DIAMETER (mm)

Figure 2. Spectral parameters vs. scatterer diameter for 7.5-MHz phased array.

In examinations without significant attenuation in intervening tissues (e.g., in the

eye), these scatterer properties can be estimated directly from spectral data. In other
examinations (e.g., of liver) these properties can be computed if measured spectra are
corrected, using estimates of the frequency-dependent attenuation in intervening tissues
that are situated between the transducer and the analyzed tissue segment. Computations
of the statistical dispersion of scatterer properties are often not affected by intervening
attenuation, and the statistics of these properties can be used to evaluate the structural
heterogeneity of examined structures.

We have now used spectral procedures to establish data bases for examinations
of the eye, liver, and vascular thrombi. While spectral parameters have shown great
potential for diagnosis and treatment monitoring, we have found a number of situations
where additional information concerning tissue microstructure is important. For
example, tissues with extended surfaces or internal asymmetries can require quantitative
descriptions of cross-range tissue features, which are not directly assayed by our I-D
spectral techniques. Therefore, we are investigating additional tissue-characterization
procedures, as illustrated below.

SURFACE LAYER EXAMINATIONS

The spectral techniques described above are designed to analyze internal echoes
from tissue volumes. To examine extended surface layers, we are evaluating an
alternate analysis technique that employs 3-D data, acquired from parallel scan planes.
This technique documents the angle-dependencies of tissue backscatter in order to obtain
information regarding the surface roughness of tissue layers or surfaces.

This technique will be described in terms of ophthalmic examinations of

detached retinas or vitreous membranes. To conduct the analysis, the operator views
the linearly amplified B-scan data from each scan plane, and uses a mouse to bracket
the tissue layer anteriorly and posteriorly. A search algorithm, using specified

356
threshold values, analyzes each bracketed scan-line segment to determine the centroid
of the B-mode signal levels. The centroid locates the effective mid-point coordinates
(x and y) of the tissue layer within each scan plane. (The normal to the scan planes
defines the z axis.) When all scan planes have been analyzed, the 3-D angulation of
each surface segment is computed with respect to the incident beam, which is known
to be aligned along scan-line axes. The orientation of each tissue segment is
determined by computing the local value of the direction cosine between the beam axis
and the tissue-layer centroid. (The calculations involve the partial derivatives of the
centroid with respect to the x,y, and z directions.)

When these procedures are completed, the degree of angular dependence in

tissue backscatter is evaluated by comparing corresponding values of mean signal levels
and 3-D direction cosines, which define the beam's angle-of-incidence. Figure 3 shows
initial clinical results for a detached retina, which had been scanned using 20 parallel
scan planes separated by 0.5 mm. The figure plots the local mean B-scan signal
amplitudes (A) and corresponding direction cosines (D) for two paths along the retinal
surface. The high degree of correlation that is exhibited between these variables is
consistent with smooth tissue surfaces, which produce large angular dependencies in
ultrasonic backscatter. Results for detached choroids and vitreous membranes have not
shown significant correlations, indicating that their surface contours are irregular or
diffuse.

We are currently implementing 3-D scan techniques for abdominal examinations,

and we will employ the same technique to analyze surface characteristics of structures
such as the kidney and focal tumors. Thusfar, pilot data for the kidney show a
significant degree of angular dependence in surface backscatter.

SIMULATIONS EMPLOYING ACOUSTIC MICROSCOPY DATA

We have initiated studies using acoustic microscopy to help design improved

tissue-analysis techniques, and to help elucidate how ultrasonic echo signals are related
to tissue microstructure. These studies use a loo-MHz scanning laser acoustic
microscope (SLAM) to obtain 2-D phase interferograms of tissue specimens. As
described in other reports,10,l1 the phase lines in these images show points that exhibit
the same propagation times through the specimen. For samples with uniform
thicknesses, the phase interferograms can be used to compute the tissue's propagation
velocity with respect to surrounding saline solution.

In our studies, we first digitally process the SLAM interferograms to obtain 2-D
images that quantitatively depict propagation velocity throughout the examined tissue
specimen. The generation of these images involves a sequence of digital processing.
First, several interferograms from the same region are digitized and averaged to
suppress electronic noise. Second, contrast-stretching and special-purpose algorithms
are used to locate the central iso-phasal segment of each phase line, as shown
schematically in Fig. 4. Next, phase reference lines from the adjacent saline solution
are extrapolated to serve as references; a special-purpose algorithm then measures the
local shifts, b. s, from these lines and computes corresponding local values of
propagation velocity, v. The processing sequence is then repeated using phase points
shifted by 180 deg, to determine propagation velocities at additional points in the
specimen.

Information from the above operations is used with interpolation and smoothing

357
 1 1
\/0
'\

Ci
.{
'\
.
,'\

0
0 15 15
DISTANCE (mm) DISTANCE (mm)
Figure 3. Relative signal amplitude, A, and direction cosine, D, vs. distance
along surface of detached retina.

Iso-phasal
Interference
Line Saline
Solution

I
I
I
I
I
Extrapolated :
Reference~
I Tissue
I
I
Specimen

Figure 4. Schematic diagram of SLAM phase interferogram.

techniques to calculate propagation velocities for all points in the examined specimen.
Once these values are determined, a separate simulation program is used to compute
ultrasonic echo signals that would be returned from specified propagation paths within
the specimen. Several assumptions are made in these simulations. First, the pulsed
ultrasound beam is assumed to comprise a segment of a propagating plane wave; the
beam has a width W, and its central axis lies in the plane of the microgram. Second,
variations in tissue density are assumed to be negligible, so that scattering is due only

358
to variations in propagation velocity. 2 Third, the tissue propagation velocity at each
point is assumed to be constant over W in the direction orthogonal to the microgram
plane.

With these assumptions, the rf echoes from the specimen are computed using
a sequence of steps. First, an echo-signal impulse response is specified; in the current
example, this comprises a 1.5-cycle pulse with a center frequency of 10 MHz. Second,
the function l/v dv/dy is computed along the center of the propagation path, y. This
function, shown in Fig. 5, specifies tissue reflectivity along the beam's centerline.2
Third, the reflectivity function is convolved with the impulse response; the result is the
rf echo complex that would be measured with an extremely narrow beamwidth. Fourth,
the above procedures are repeated for all parallel paths within the beamwidth, W, and
the resultant signals are coherently averaged in the cross-range direction. The resulting
signal, shown in Fig. 5, is a function of time or, equivalently, propagation depth; it
simulates the rf A-scan, which would be obtained by using a transducer with a finite
beamwidth. (In the illustrated case, the beamwidth has been selected as 0.15 mm.)
The final steps involve applying conventional envelope detection procedures to derive

o
DISTANCE ( mm)

O.5f.1S
t---1

1.6

Figure 5. Relative values of simulation results for human fatty-liver specimen.

359
corresponding video A-scan signals. B-scan images are simulated by repeating these
procedures along parallel paths through the specimen, and using the results to generate
a cross-sectional image.

We have been using these techniques to examine how frequency, beamwidth,

and beam angulation affect rf signals and B-scan images for normal and diseased
tissues. As an example of our results, Fig. 6 shows histograms for video signals that
were computed for normal and fatty specimens of human liver using the beam
parameters described above. For the normal liver, the rf-signal histogram was found
to be similar to a Gaussian function. The video-signal histogram is seen to be similar
to a Rayleigh distribution; it exhibits a mean-to-standard deviation ratio (MSDR) of
2.01 which is close to the 1.91 value for Rayleigh statistics. These results are
consistent with the presence of many random scattering centers within the beam's
resolution element. 12,13 In contrast, the fatty-liver results showed significant departures
from these distributions. The video-signal histogram exhibits an MSDR value of 2.42,
and it is similar to a Rician function, expected when larger scatterers are present in
tissue. (The dashed lines in these figures show Rayleigh distributions calculated using
maximum likelihood procedures. 13)

NORMAL LIVER
MSDR = 2.01
P(V)

.. --- ......

EATTY LIVER
MSDR=2.42

P (V)

---

255
VIDEO SIGNAL AMPLITUDE, V

Figure 6. Histograms, P(V), for relative video-signal amplitudes, V.

360
 Such results are being used in our initial investigations of how backscatter is
related to underlying microstructural features of tissue. Future studies will examine
these topics in more detail as we develop better means of SLAM calibration, perform
parallel-plane sectioning, and examine larger tissue specimens.

SUMMARY

This report has summarized on-going efforts designed to improve several aspects
of ultrasonic tissue characterization. Technical improvements are being made to
expedite clinical applications using a wide variety of commercial scanning systems as
well as new high-resolution transducer systems. New tissue analysis methods are being
investigated to examine complex tissue structures that are not readily assayed with our
usual spectral procedures. To investigate fundamental topics in ultrasonic tissue
characterization, we are employing computer simulations that incorporate acoustic
microscope data. Eventually, these studies promise to provide a scientific basis for
improving our analysis procedures and for interpreting clinical data in terms of tissue
microstructure.

Acknowledgements

The many key contributions of colleagues at Riverside Research Institute,

Columbia University, the Medical College of Pennsylvania, and the Cornell University
Medical College are gratefully acknowledged, as is the diligent assistance ofB. Hopkins
and J. Danella in helping to prepare this manuscript.

Portions of this research were supported by Public Health Service Grants CA-
38400, HL-41874, EY-01212, and EY-03183 awarded by the United States National
Institutes of Health, DHHS.

REFERENCES

l. Greenleaf, J.F. (Ed.), Characterization of Tissue with Ultrasound, CRC Press,

Boca Raton, 1986.

2. Lizzi, F.L., Greenebaum, M., Feleppa, E.J., Elbaum, M. and Coleman, D.J.,
"Theoretical Framework for Spectrum Analysis in Ultrasonic Tissue
Characterization," J. Acoust. Soc. Am., 73:1366-l373, 1983.

3. Feleppa, E.J., Lizzi, F.L. and Coleman, D.J., "Ultrasonic Analysis of Ocular
Tumor Characterization and Therapy Assessment," Int. Union Physio!. Sci.!Am.
Physio!. Sc., NIPS, 3:193-197,1988.

4. Coleman, D.J., Silverman, R.H., Rondeau, M.J., Lizzi, F.L., McLean, I.W
and Jackobiec, F., "Correlations of Acoustic Tissue Typing of Malignant
Melanoma and Histopathologic Features as a Predictor of Death," Am. J.
Ophtha!. llO:380-388, 1990.

361
5. King, D.L., Lizzi, F.L., Feleppa, E.J., Wai, P., Yaremko, M.M., Rorke,
M.C. and Herbst, J., "Focal and Diffuse Liver Disease Studied by Quantitative
Microstructural Sonography," Radiology, 155:457-462, 1985.

6. Sigel, B., Feleppa, E.J., Swami, V., Justin, J., Consigny, M., Machi, J.,
Kikuchi, T., Lizzi, F.L., Kurohiji, T. and Hui, J., "Ultrasonic Tissue
Characterization of Blood Clots," Surgical Clinics of North America, 70: 13-29,
1990.

7. Lizzi, F.L., Ostromogilsky, M., Feleppa, E.J., Rorke, M.C., and Yaremko,
M.M., "Relationship of Ultrasonic Spectral Parameters to Features of Tissue
Microstructure," IEEE Trans. on Ultrasonics, Ferroelectrics, and Frequency
Control, UFFC-34:319-329, 1987.

8. Lizzi, F.L., King, D.L., Rorke, M.C., Hui, J., Ostromogilsky, M., Yaremko,
M.M., Feleppa, E.J., and Wai, P., "Comparison of Theoretical Scattering
Results and Ultrasonic Data from Clinical Liver Examinations," Ultrasound in
Med. & BioI., 14:377-385, 1988.

9. Feleppa, E.J., Lizzi, F.L., Coleman, D.J., and Yaremko, M.M., "Diagnostic
Spectrum Analysis in Ophthalmology: A Physical Perspective," Ultrasound in
Med. & BioI., 12:623-631, 1986.

10. Kessler, L. W., "Imaging with Dynamic-ripple Diffraction," in Acoustical

Imaging, G. Wade, Ed., New York: Plenum, Ch. 10, pp. 229-239, 1976.

11. Embree, P.M., Kalervo, M.U., Foster, S.G., and O'Brien, W.D., "Spatial
Distribution of the Speed of Sound in Biological Materials with the Scanning
Laser Acoustic Microscope," IEEE Trans. on Son. and Ultrason. SU-32, 341-
350, 1985.

12. Wagner, R.F., Insana, M.F., and Brown, D.G., "Unified Approach to the
Detection and Classification of Speckle Texture in Diagnostic Ultrasound," Opt.
Eng. 25:738-742, 1986.

13. Tuthill, T.A., Sperry, R.H., and Parker, K.J., "Deviations from Rayleigh
Statistics in Ultrasonic Speckle," Ultrasonic Imaging 10, 81-89, 1988

362
A FEW EFFECTIVE SIGNAL PROCESSINGS FOR REFLECTION-TYPE
IMAGING OF NONLINEAR PARAMETER N OF SOFT TISSUES

Takuso Sato, Eiichi Mori, Katsuya Endo,

Yoshiki Yamakoshi, and Mikiya Sase

The Graduate School at Nagatsuta, Tokyo Institute of Technology

4259 Nagatsuta, Midori-ku, Yokohama-shi 227, Japan

1. Introduction
The nonlinear parameter N (phase shift parameter) of a medium is considered to
be related closely to the state of tissue at both levels of molecules and cellsl),2),3),4).
Hence, it is expected as one of the most significant promising new parameters for
detection of disease such as cancer at their very early stages. As a concrete method the
system which uses the pumping wave to give pressure variation and the probing
ultrasonic waves to detect the resulting phase shift has been developed2 ).
Reflection-type imaging of the parameter is indispensable when we consider
medical use, since access to desired parts in human body must be realized.
In practical measurement of the parameter of soft tissues, however, the random
structures of tissues as the scatterers for ultrasonic waves give serious drawback to the
preciseness and reliability of the obtained images.
In this paper several effective signal processings to overcome these difficulties
are shown.

2. Principle and Construction of Reflection-type Phase Shift Parameter Imaging

System
The phase shift parameter N is defined by Eq.(l)

where Co is sound velocity, Po is density both under static pressure, and BfA is the
conventional nonlinear parameter. Then phase shift of ultrasonic waves of angular
frequency ffi for given pressure variation ~p over distance L is given as follows

~<1> = ro·N·~P-L (2)

Acoustical Imaging, Volume 19

Edited by H. Etmert and H.-P. Harjes, Plenum Press, New York 1992 363
 The schematic construction for the reflection type measurement of the parameter
is shown in Fig.l.
First, the burst probing wave is superimposed at the part of maximum pressure
~p+ of the pumping wave (step 1) and the phase evolution of the reflected wave is
observed as <1>+(x). Next, the probing wave is put at the part of minimum pressure
-~p_ of the pumping wave and <1>-(x) is obtained.
Then the phase shift ~<1>(x) generated by the pressure variation and accumulated
along the depth direction is given as the difference of these values as follows;

~<1> = <1>+(x) - G>-(x)

== ro f N-(~p+(x) + ~p_(x)) dx (3)

)xo
where
(4)

is "equivalent phase shift parameter" and it will be used in the following discussions
instead of N. The desired value N'(x) at the position x is derived as the derivative of
the phase shift ~<1>(x) as follows;

(5)

About one atm of pressure variation can be generated around the focusing point.
The probing wave's carrier frequency is 5.0 MHz and burst waves of about 3 wave
lengths is used.

Coaxially focused
ultrasonic transducer Bursted

+Lip+ : maximum pressure

of pumping wave

-~x

-Lip_: minimum pressure

of pumping wave
I

: r:rp+(x) STEP 1

~.
I .,;
.t::
:c
~ --r-------____~e_--~Li-rp~(~x~)~--~x
gj Xo
..c STEP 2
Il... I I

~X)~~p_
Fig.1 Schematic construction of the system

364
 3. Phase Detection and Signal Processings

3.1 Phase detection by quadratic method; The instantaneous phase of the reflected
probing wave is detected by using the conventional quadratic phase detector. An example
of the evolution of the detected phase change due to the pumping wave is case of a
uniform scattering object (spone in water) is as shown in Fig. 2(a). As the object is
uniform the expected phase shift should be a linear function of the coordinate. The result,
however, shows fairly large variation around the expected line.
This deviation seems to be resulted from, i) the change of sensitivity of the detector
by the random structures of the scattering object, ii) movement of scatters by the
pumping wave, iii) the lack of significant scatterers and iv) the additive and amplitude
dependent noises.
Effective signal processings to reduce these factors are shown in the followings.

3.2 Observed data oriented adaptive sensitivity correction (ASC); Let us assume that the
observed phase ACPobs is the product of desired real phase ACPreal and the sensitivity kl (x)
of the detector which reflects the deviation of the signal from the sinusoidal one by the
random scatterers as follows:

(6)

The sensitivity kl (x) is an object dependent function.

Now, let us give a constant delay, say Acpo, to the detected wave under the pumping
wave ~+ and the result is supplied to the same quadratic detector and take the difference
between it and that of without the delay. Although, ideally it must be a constant ACPo the
deviation observed in the result must be due to the random structure of the object under
observation and it will be written as follows:

(7)

where k2(x) is the sensitivity in the same meaning with kl (x). We may put k2(x) ==
k 1(x), since we are observing the same object. Then the desired phase shift A<j>real
is derived through the observed data oriented adaptive sensitivity correction (ASC) as
follows;
AA\ = k1{x) . A<j>real . AA\ ::: AA\ () (8)
'1'0 k ( ) '1'0 - 'I'real X
2 x Acpo

The results is shown in Fig.2(b).

3.3 Nonsymmetric order statistics filtering (NSOF); Now if we examine very closely
the result after ASC, the large deviations of phase around the desired one are seem to be
concentrated in the upper part.
This fact can be explained if take into account the movement of the scatterers by
the pumping wave's pressure. This movement will be in the opposite directions
according to the sign of the pressure. Then the resulting phase change has positive
extra terms due to the movement.

365
 L1cp (deg) L1cp (deg)
40 40

30 30

20 20

10 10

OL-~-L~ __L-~-L~__~ 0
o 10 20 30 40 (mm) 0 10 20 30 40

a) observed phase 0) ASC. is added to (a'

L1cp (deg)

*
L1cp (deg)
40
40 __ ~LAXNSOF AXO

30
----rI = 2.85mm 30
=2.85mm

20 20

10 10

O~~-L~ __L-~-L~__~ OU-~-L~ __L-~-L~__~

o 10 20 30 40 (mm) o 10 20 30 40 (mm)

c) NSOF. is added to (b) d) EBDS. is added to (c)

N' (x10· 12 s3/kg)

with
4.0 .s.B£M

2.0

O~~~~-LL-~-L~-ll~
o 20 30 40 (mm)

e) N' images
Fig.2

366
 Elimination of this deviation can be carried out by using nonsymmetric order
statistics filtering (NSOF). In this filtering the selection of data is based on the order
statistics and larger weight is given to the data in the lower part compared to these in the
upper part. The effect of this processing can be seen in the result of Fig.2(c).

3.4 Energy based data selection (EBDS); Now if examine the result from the view point
of the power of the reflected waves, the larger deviations are observed at the smaller
energy parts. So energy based data selection (EBDS) is considered. In this
processing, only the data which have power larger than a given level are selected.
A result of this processing is shown in Fig.2(d).

3.5 Sequential region

extension method (SREM);
The result of direct E
E
derivative of the phase • U">
N

d</>(X) shows quite a large

deviations around the
de sired value of N' as y Water
(a) Object (b)Intensit y Image
shown in Fig.2(e). In this
case the object consists of
42.0 (deg)
two N' parts.
Here sequential region
extension method (SREM)
is introduced. The basic
22.0 ~
idea is to extend the region o
of the same value of N' (c)Accumulated Phase (d) N' Image
from left side step by step as Shift Image LHp
far as the new data is within Fig.3 Images of Phantom
the standard deviation which
is defined as the function of the amplitude independent and dependent noises.
A result of this processing is also shown in Fig.2(e).

4. Experimental results

4.1 Images of a phantom; First, an object which consists of two parts of sponge
immersed in water and alcohol is observed. The image of this phantom which has two
different N' parts is shown in Fig.3. We can distinguish clearly two parts as expected.
The approximate resolutions estimated from these results are ~x == 5 mm, dy ==
5 mm, ~z == 3 mm and ~N'/N'max == 0.2.

4.2 Images of pig tissues in vitro; Images of a pig tissue sample which includes fatty
and lean parts were also obtained.
The results are shown in FigA. N' value of the fatty part has been considered to
be larger than that of the lean part.}) We can see this feature in the obtained N' image.

367
 ~----------------__ x

E
E
o
'"
,
I" ,~~:
, r'r
.~ ,,' "
· ~\
II. J'(.

'. (, I'"
,'"
'r '.
i

j'r\1;.(..,~Itt i'' .' ,

d ,l :I.<II · ,
y Water
(a) Object (b)Intensity Image

( x1O"~ s3/kg)
2.5

"T:
15.0 , .
o
I •

(c)Accumulated Phase (d) N' Image

Shift Image !lrp

FigA Images of a pig tissue sample

5. Conclusions

The principle and effects of several new signal processings to get stabilized
precise image of the nonlinear parameter N' in reflection mode are shown. These are
based on the close observation of the mechanisms of the interaction of ultrasonic waves
and tissues.

6. References

1. W.K.Law, L.A.Frizzel and F.Dunn, "Determination of the nonlinear parameter BfA

of biological media", Ultrasound Med. BioI. 11,307-318,1985,
2. T. Sato, Y. Yamakoshi and T. Nakayama, "Nonlinear tissue imaging IEEE
Ultras on. Symp., 889-900, 1986.
3. R.D. Apfel, "Prediction of Tissue composition from ultrasonic measurements and
mixture rules", J. Acoust. Soc. Am. 79, 148-152, 1986.
4. J. Zhang, M.S. Kuhlenschmidt, F. Dunn, "Influence of structural factors of
biological media on the acoustic nonlinearity parameter BfA", J. Acoust. Soc. Am. 89-
91, 1991.

368
CORRELATION BETWEEN HISTOLOGY AND HIGH
RESOLUTION ECHOGRAPHIC IMAGES OF SMALL SKIN TUMOURS

1. C. Bamber, C. C. Harland, B. A. Gusterson, P. S. Mortimer

Departments of Physics, Dermatology and Pathology

Institute of Cancer Research and Royal Marsden Hospital
Downs Road, Sutton, Surrey, SM2 5PT
England

INTRODUCTION

Skin cancer is already one of the commonest malignancies and its incidence is
increasing. Even in the U.K. its incidence is similar to that of colon and rectal cancer
combined, and is exceeded only by lung cancer in males and breast cancer in women. For
malignant melanoma the incidence in the U.K. nearly doubles every ten years. A
characteristic of the disease is that early diagnosis is essential for cure. The prognosis
depends on the depth of invasion, but it is excellent if the disease is caught early. Although
the mortality from skin cancer is low the high incidence generates a considerable diagnostic
problem, particularly in cases of the so-called dysplastic naevus syndrome. A reliable non-
invasive method for skin tumour diagnosis would have considerable application in
dermatology.

Although ultrasonic investigations of the skin have been performed in specialist

centres for some time, and substantial expertise has been amassed (e.g. see references 1.2,3),
the method is not in widespread use by the dermatological community at large. A great deal
of the published experience seems to have been with A-scan methods, B-scan sectional
imaging being a relatively recent introduction. Much of the previous work has been
concerned with skin thickness measurement or with pre-operative assessment of the depth
and extent of specific tumours, either by A-scan or B-scan methods. There is limited
discussion of tumour diagnosis, although at least one earlier study suggests that it may be
possible to distinguish between tumours of different type using information obtained by a
visual inspection of A-scan signals4 •

It would seem that there is a need for a broader based evaluation of this method of
examining the skin. Our long term aim is to contribute to such an evaluation, with the
eventual requirement of tumour diagnosis. This paper reports a pilot study in which 22 MHz
B-scan images were obtained from 16 skin lesions and a direct assessment was made of the
correspondence between features of the B-scan image and histological features obtained after

Acous/icallmaging. Volume 19
Edited by H. Ermerl and H.-P. Hatjes. Plenum Press. New York 1992 369
excising the scanned lesions. We were particularly interested in obtaining information which
would help us decide on the likely benefit of continued study, especially with regard to the
potential for applying quantitative methods of ultrasonic tissue characterization used
successfully in other areas5•6 •7,8,9.

MATERIALS, EQUIPMENT AND METHODS

The tumours examined were 7 benign melanocytic naevi, 3 basal cell carcinomata,
2 dermatofibromata, 1 neurofibroma, and 1 squamous papilloma. In addition a granuloma
resulting from reaction to a BCG vaccination and a viral wart were also examined. The
method involved drawing lines on the skin across the major and minor diameters of each
lesion. A Dermascan-C system (Cortex Technology ApS) was used to obtain a sequence of
closely spaced B-scan images parallel to and centred around the marked minor axis. This
instrument operates at a frequency of about 22 MHz and scans fast continuously and fast
enough to refresh the screen at about 3 frames per second. According to the manufacturers
literature the system possesses an axial resolution of about 50 !lID and a lateral resolution
of about 300 ~m. The system possesses sufficient echo signal to electronic noise ratio to
permit the display of the internal echo structure of tumours and offers the facility for a user
adjustable depth compensated gain so that the images may be corrected for sound
attenuation in the tissue. The image may be frozen on the screen and the scan plane can be
motor driven in an orthogonal direction suitable in principle for collection of a 3-D dataset.
The maximum field width for each B-scan is 22.4 mm. This may be reduced, in which case
the image is displayed with greater magnification in the lateral direction by pixel replication.
The maximum image depth is 13.43 mm. This can be reduced independently of the lateral
magnification, in which case the image is displayed with greater magnification in the axial
direction. However, for the axial direction, for a zoom factor of times 4 or less, the
magnification is increased by shortening the sampling interval of the analogue to digital
converter, which provides additional information. For greater zooms factors in the axial
direction pixel replication is again used. The image display is 6 bits deep, is 224 pixels in
the lateral direction and 256 pixels in the axial direction. Given the maximum scan width
and depth stated above, this pixel aspect ratio produces an image distortion in which objects
appear squashed in the lateral direction.

Between 3 and 9 images were recorded close to the central axis of each tumour, the
number depending on the variability seen from one image plane to another. The images were
transferred via a parallel interface to a microcomputer. They were then transferred to a
minicomputer for high quality display and hardcopy, after re-sampling and linear
interpolation in the lateral direction to correct for the asymmetrical scaling of the original
images. The lesions were excised, fixed in formalin, cut in half along the marked minor axis
and paraffin sections were obtained as close as possible to this cut surface on both halves
of the specimen. Sections were stained with VanGieson and with Haematoxylin + Eosin.
Direct comparisons between echographic and histological appearances were then made using
the pairs of B-scan and histological sections which appeared to most closely correspond to
one another.

Correspondence between the ultrasound and histological images was assessed (a) by
visually comparing the anatomical detail displayed on the B-scans with that on the
histological slides and (b) by comparison of visually scored semi-quantitative B-scan and

370
histological image features. The image features, although subjective, were estimated on a
40 point scale, independently by JCB for the ultrasound images and CCH for the histological
slides (Tables I and 11).

Table I. Ultrasound features (scored on a 40 point scale).

Feature Min Value Max Value

Int. echo strength None Max white

Int. echo uniformity Uniform Heterogeneous
Post. echo strength Total shadow Str. enhancement
Post. echo uniformity Uniform Heterogeneous
Edge echo strength Black edge Bright edge
Edge definition Fuzzy Sharp
Edge regularity Smooth Irregular

Max. depth diameter (mm)

Max. lateral diameter (mm)

Table II. Histological features (scored on a 40 point scale).

Feature Min Value Max Value

Collagen content None Uniform stained

Size collagen elements Small Large
Spacing collagen elements Close Sparse
Uniformity collagen elements Uniform Heterogeneous
Cellularity Few Cells Highly Cellular
Size of cells Small Large
Edge coll./str.com. content None Uniform stained
Edge definition Poor Good
Edge regularity Smooth Irregular
Int. str. corneum content None Uniform stained
Int. str. com. distribution Local Diffuse

Max. depth diameter (mm)

Max. lateral diameter (mm)

RESULTS

The general observations revealed that in all cases the lesion margin was reliably
defined. Sometimes the margin was considerably more clear, and the lesion was displayed
with better contrast, on ultrasound than on the histological section. There was excellent
agreement between ultrasound and histology at the gross architectural level, especially as
defined by the Van Gieson stain. The average echogenicity of both normal skin structures
and of internal tumour regions was seen to depend both on the total amount of collagen
present and on the typical size and packing of the collagen structures and, to a lesser extent,
on internal stratum corneum. In some cases it was the average size and/or alignment of the
scattering elements which seemed to provide the acoustic contrast permitting the lesion to

371
Figure 1. 22 MHz B-scan of a Figure 2. Van Gieson stained
dennatofibroma. Total image size is 22.4 mm Histological section corresponding to
(X) by 6.7 mm (Y). figure 1.

Figure 3. B-scan of a basal cell carcinoma. Figure 4. Van Gieson stained section
Image size is 22.4 mm (X) by 6.7 mm (Y). corresponding to figure 3.

Figure 5. B-scan of a dermatofibroma. Image Figure 6. Van Gieson stained section

size is 22.4 mm (X) by 13.4 mm (Y). corresponding to figure 5.

372
be seen against the dermal background. This is illustrated in Figs. I and 2, which show
better contrast for ultrasound imaging of a dermatofibroma than can be seen macroscopically
on the histological (Van Gieson) section. Although the total amount of collagen within the
tumour appeared similar to that in the surrounding dermis, high resolution examination of
the histological section revealed that the collagen within the tumour was fine, unevenly
distributed and randomly oriented compared to the nearly parallel fibre alignment in the
dermis. The texture of the echo pattern within tumours was also seen to correspond to
heterogeneity of the histological structures present or to fluctuations in size and spacing of
the scattering elements. Both calcium and localised elements of stratum corneum, when
present within tumours (e.g. as in hom cysts), gave rise to recognisable very strong echoes.
This is illustrated by the basal cell carcinoma in Figs. 3 and 4. Finally, acoustic attenuation,
seen as shadowing, was not always correlated with echogenicity. Very fine, densely packed,
structural elements can produce an echo poor but highly absorbing lesion (Figs. 5 and 6) .

.c 30

£WI~
f~_~
(j,
c
(])

~ 20
o
.c
&
(j 10

j o7o------1~0------=~------~w~----~~
a 5 10 15 20 25 30 35
Collogen Content Spacing of Collagen Elements

t30~) I
!:~
• •
(J) 20 :0. 30
o •
.c •
u •
;
~
(])

1;
10 .*"
.
.. .
0
a 10 20
'"
30 40
w 0~0--~5~---1O----1~5----~~---2=5--~30
Cellularity Collagen Heterogeneity

Figure 7. Examples of strong correlations between ultrasound and histological

features (Tables I and II). The open circle represents normal dermis and
the solid diamond, when present, represents subcutaneous fat.

These general observations were strongly supported by the scatter graphs of the
scored features, four examples of which are shown in Fig. 7. As other authors have found,
the tumour depth as measured by ultrasound agreed extremely well with that measured
histologically. Ultrasound tumour width was highly correlated with, but was typically about
50% greater than, the histological tumour width. This is likely to be due to elastic
contraction of the tissue after excision, suggesting that the in vivo ultrasound measurement
is probably the more reliable estimate of true tumour extent. Particularly good correlations
were obtained for internal echo strength versus collagen content (R = 0.81), internal echo
heterogeneity versus collagen heterogeneity (R = 0.86), and posterior echo heterogeneity
versus internal stratum corneum (R = 0.78). Strong negative correlations were obtained for
internal echo strength versus spacing of the collagen elements (R = -0.79) and internal echo
strength versus cellularity (R = -0.84). To obtain these correlations it was necessary to omit
from the analysis (and from the examples in Fig. 7) the two dermatofibromata and the
neurofibroma, the results from which were consistently atypical of the remainder of the data.
Interpretation of these preliminary observations must await their confirmation by studying
a much larger number of lesions.

373
CONCLUSION

We have confirmed previous reports that high resolution ultrasound B-scanning is

useful for assessing tumour dimensions in vivo. It was also found that the images contain
a substantial amount of information about tumour internal structure, particularly the pattern
of collagen and keratin. We conclude that there is a wealth of histologically relevant
information in high frequency B-scan images of skin tumours, much of which should be
amenable to quantification and warrants further investigation for use in differential
diagnosis. It should also be helpful and encouraging to other dermatologists to know that
a group such as ourselves, new to applying ultrasound in dermatology, can obtain reasonable
results on first attempt with the method.

REFERENCES

1. E.W. Breitbart, R. Hicks and W. Rehpenning, Possibilities of diagnostic ultrasound

in dermatology, Zeitschrift fur Hautkrankheiten, 61(8):522-526 (1986)
2. K. Hoffmann, S. el Gammal, U. Matthes and P. Altmeyer, Digital 20 MHz
Ultrasonography of the skin as a tool in preoperative diagnosis, Zeitschrift fur
Hautkrankheiten, 64(10):851-858 (1989)
3. J. Sondergaard, J. Serup and G. Tikjob, Ultrasonic A- and B-scanning in clinical and
experimental dermatology, Acta Dermatovener (Stockh), 65 suppl. 120:76-82 (1985)
4. e. Edwards, M.M. AI-Aboosi and R. Marks, The use of A-scan ultrasound in the
assessment of small skin tumours, Brit. J. Dermatology, 121:297-304 (1989)
5. J.e. Bamber and N.L. Bush, Quantitative imaging of acoustical and histological
properties of excised tissues, in: "Proc. 18th Int. Symp. Acoustical Imaging", Sept.
1989, Santa Barbara, Plenum Press, New York (in press)
6. E.J. Feleppa, F.L. Lizzi and D.J Coleman, Diagnostic spectrum analysis in opthalmic
ultrasound: a physical perspective, Ultrasound Med. Bioi. 12:623-631 (1986)
7. D. Nicholas, D.K. Nassiri, P. Garbutt and e.R. Hill, Tissue characterization from
ultrasound B-scan data, Ultrasound Med. Bioi. 12:135-143 (1986).
8. M.F. Insana, R.F. Wagner, B.S. Garra, R. Momenan and T.H. Shawker, Supervised
pattern recognition techniques in quantitative diagnostic ultrasound, in: "International
Symp. on Pattern Recognition and Acoustical Imaging", SPIE Vol. 768, Society of
Photo-optical Instrumentation Engineers, Bellingham (1987).
9. U. Rath, D. Schlapps, B. Limberg, I. Zuna, et aI., Diagnostic accuracy of
computerized B-scan texture analysis and conventional ultrasonography in diffuse
parenchymal and malignant liver disease, J. Clin. Ultrasound, 13:87-99 (1985)

374
INTELLIGENT ADAPTIVE FILTER IN THE DIAGNOSIS OF DIFFUSE AND FOCAL LIVER
DISEASE

J.S. Bleckl, M. Gebel l , R.B. Hebe1 2 , S. wayner l , K.J. Schmitt2,

S.T. Kruip2, M. Westhoff-Bleck and M. WOlf

lDivision of Gastroenterology and Hepatology

Medizinische Hochschule Hannover, Germany,2Medical
Engineering Group, Ultrasound Division, Siemens
AG Erlangen, Germany

INTRODUCTION

In clinical ultrasound the visual comparison of different parenchymal

textures is subjective and depends on observers experience. Visual
assessment of small differences in mean gray level can be altered by
scattering artifacts as speckle. Speckle, the fine mottled or granular
structures of ultrasound- pulse-echo images, degrades the low contrast
resolution. So Bamber and Daft (1986) developed an adaptive two
dimensional filter which uses local features of image texture to recognize
and maximally low-pass filter those parts of the image, which correspond
to fully developed speckle. This filter, which is similar to a
multiplicative noise filter developed by Lee (1981), uses the ratio of the
local variance of gray levels and the local mean as the speckle
recognition feature. Using a reference region with fully developed
speckle, this similarity measurement can be used to control the spatial
bandwidth of a smoothing filter of some kind, so that regions of the image
which closely resemble the fully developed speckle are replaced by a local
mean value and, at the other extreme, regions with properties which are
least similar to fully developed speckle are not smoothed.
This method offers the possibility to compare visually any texture with
any selected reference texture. The aim of our study was to test the
feasibility of these kind of filters in clinical ultrasound of the liver.

METHODS

Patients
In 73 patients subdivided into 7 groups (17 normal livers, 16 fatty
livers, 3 with acute hepatitis, 10 with chronic hepatitis, 4 with
hepatocellular carcinoma, 7 metastatic livers and 16 cirrhosis) we
investigated the similarity parameters RaiD, RaeaD and Raax. In all
patients with pathological findings the diagnosis was based on biopsy.

Acoustical Imaging, Volume 19

Edited by H. Ermen and H.-P. HaIjes, Plenum Press, New York 1992 375
Instrumentation

B-scans from the subcostal view of the liver were taken from a Siemens-
Sonoline US-System(l.5MHz, sector-scan), digitized to 512 by 512 pixels by
8 bit with an ITEX 100 Frame Grabber using a Compac-PC. Adaptive filtering
was performed in post- processing using a software-system written in the
language C. During our investigation instrumentation conditions remained
unchanged. For visual comparison we used unsharp masking filters. An
unsharp masking filter( ) provides a convenient way of allowing the degree
of smoothing to be controlled by the local features of image texture. This
is defined by

x' 1 • J = X + k (X1. J - x)

where x' is the new value of a pixel to be computed from the old value x,
and the local mean x
of the old values surrounding and including that
pixel. The constant k, is controlled by the measure of similarity used, R.

Ro - R.eBD I Ro from the actual image

k= - - - - - -
RmeBn,Rm1D,RmBX from
the reference tissue

For our investigation k is processed for a value less than or equal 1( k=O
for maximal smoothing, k=l for minimal smoothing). As a measure of
similarity the deviation of the ratio (R) of the local variance var(x) of
gray levels and the local mean x is calculated. A window of 9 by 9 pixel
edge length (L) was used both to calculate var(x) and x and to maximally
smooth the image.

var(x)
R

For every selected region of interest the minimal (Rm1n), mean (RmeBD) and
maximum value (R.BX ) of the similarity coefficient was processed. For
standardization one ROI of every patient was taken with a mean transducer
distance of Scm (the focal zone of the transducer) displaying about 1000
pixels. ROI's with vessel walls and artifacts were excluded. The results
of these measurements were used to create speckle parameters for several
pathological tissues.
Differences between the pathological groups for the computed values of R
were determined by variance analysis using the SAS-Statistic System with
the t-test(LSD) and a LSD- grouping.

RESULTS

Comparison between the similarity coefficients

Under standardized conditions (constant transducer distance and number

of pixels in the ROI) differences between the pathological groups could be
detected as demonstrated in Fig.l. Using variance analysis and t-test
(LSD)- grouping with Rmean and Rmax we could distinguish between 3
groups(p- level <0.05):
1: tissue with diffuse and homogenous changes as normal tissue,
fatty livers and acute hepatitis,
2: texture with connective tissue proliferation as chronic hepatitis
and cirrhosis,
3: texture with focal disturbances of parenchymal tissue as metastasis,

376
As demonstrated it was impossible to distinguish between normal texture
and tissue with diffuse and homogeneous changes as acute hepatitis and
fatty livers. In contrast these similarity measurements allow a
delimitation between this group and texture with focal disturbances of
structure such as metastatic livers, hepatocellular carcinoma, cirrhosis
and chronic hepatitis.

Visual effects of adaptive two dimensional filters

For visual comparison normal parenchymal texture of the liver was taken as
a reference using their statistical mean values (Rmln= 0.483, RmeBn =I.068
and Rmax =2.196) (Fig. 1). After adaptive filtering (AF) as a result of
similarity to the reference tissue normal liver parenchyma was totally
smoothed displayed. In contrast as a result of lacking similarity
echogenic structures as vessel walls and echopoor structures as vessel
lumina were enhanced displayed.

Acu lo H . Fally Normal Chron.H. Clrrh. Mo lal. HCC

R · lo cal var iance /l ocal mean

Fig.l. Similarity measurements (mean values: Rmean, Rmin, Rmax) of all

pathological groups: 16 patients with fatty Livers (Fatty), 3 with
acute hepatitis (Acute H.), 10 with chronic hepatitis (Chron. H),
16 patients with liver cirrhosis (Cirrh.), 4 patients with
hepatocellular carcinoma (HCC) and 10 patients with liver
metastasis (Metas.). The mean values derived from 17 normal livers
(Normal) served as reference for visual comparison.

It was impossible to distinguish between normal livers, acute

hepatitis and fatty livers because the filter processed a
completely smoothed homogenous texture for these three groups.
The relative mean brightness was easier to assess, and gradual
changes in mean brightness within the liver was more obvious.
Cirrhosis and chronic hepatitis showed unsmoothed areas with a

377
Fig.2. Normal parenchyma of the liver(2:1-enlargement) with vessel. After
AF with normal texture as reference the main part of parenchyma
excluding the vessel walls is smoothed.

Fig.3. 2:1- enlargement of a patient with chronic hepatitis(left). In the

present example a homogenous granular pattern can be observed, and
the overall intensity is slightly increased. After AF using normal
liver as reference, changes can be detected easily. In contrast to
the smoothed image of normal liver distinctive lesions representing
diffuse, mild fibrosis can be observed.

378
Fig.4. Hepatocellular carcinoma in a patient with preexisting liver
cirrhosis. After AF using the surrounding cirrhotic tissue as
reference, the tumor is enhanced displayed (right) .

streaky and grainy pattern. The enhancement of these structures

in the surrounding smoothed tissue could be a marker of
connective tissue proliferation.
Using normal texture as reference focal lesions as metastasis and
hepatocellular carcinoma were intensified. This effect was even more
pronounced if the adjacent tissue served as reference.

DISCUSSION

Over the last years several efforts have been made to reduce speckle in
ultrasound images (Dickinson, 1982; Bamber and Daft,1986). Bamber and
Dickinson attempted to smooth speckle by using an un sharp masking filter,
where the equivalent of the coefficient k is controlled by different
similarity measurements. Dickinson used the local mean to control k. This
filter would not have been able to cope with two different texture regions
which possess the same mean level, or with two regions of fully developed
speckle with different mean levels. Bamber's speckle recognition feature
was based on the ratio of local variance and local mean. His reference
region was taken from a specially constructed phantom consisting of the
randomly dispersed fine distribution of scatters known to produce fully
developed speckle. Applying on echocardiographic images Massay et al.,1989
published first prom1s1ng results.Although using the same similarity
measurement as Bamber we introduced a different reference feature, which
was derived from the mean statistical values of the liver parenchyma of
our healthy volunteers. This physiological calibration allows a smoothing
of normal liver texture whereas different texture remains unsmoothed
resulting in enhanced display.
Using this similarity parameter a differentiation between three groups was
possible: The first group included normal liver and liver with homogenous
changes such as acute hepatitis and fatty livers, secondly liver disease
with connective tissue proliferation (chronic hepatitis, cirrhosis) and at
least liver disease with focal lesions such as metastasis and

379
hepatocellular carcinoma. In how far a modification of the similarity
parameter might also be helpful in the diagnosis of acute hepatitis and
fatty livers still needs to be elucidated. In principle every pathological
texture could serve as reference, but with increasing R-values a more
aggressive smoothing is observed. Independent from the kind of underlying
tissue, e.g. healthy or cirrhotic liver, for the detection of focal
lesions such as hepatocellular carcinoma and metastasis the adjacent
tissue seems to be the best reference.

CONCLUSION

The ratio of local variance/local mean allows a differentiation of liver

disease with and without connective tissue proliferation. Using normal
tissue as reference to control an unsharp masking filter only connective
tissue and vessel walls remain unfiltered whereas normal parenchymal texture
is totally smoothed displayed. For the detection of focal lesions such as
metastasis or hepatocellular carcinoma reference tissue derived from the
adjacent tissue seems to design the best filter.

REFERENCES

Bamber, C.D., Daft, C., 1986, Adaptive filtering for reduction of

speckle in ultrasonic pulse-echo images, Ultrasonics,
5:41.
Dickinson, R.J., 1982, Reduction of speckle in ultrasound B-scans by
digital processing, in: Acoustical Imaging, ed., E.A. Ash
and C.R. Hill, Plenum Press, New York.
Lee, J.S., 1981, Speckle analysis and smoothing of synthetic
aperture radar images, Computer Graphics and Image
Processing, 17:24.
Massay, R.J., Logan - Sinclair, R.B., Bamber. J.C., and Gibson.
D.G., 1989, Quantitative effects of speckle reduction on
cross sectional echocardiographic images, Br Heart J,
62:298-304.

380
 ECHO CARDIOGRAPHIC IMAGE ANALYSIS BASED ON THE

EVALUATION OF FIRST ORDER SPECKLE STATISTICS

E. Steinmetz, R. Brennecke, 1. Schmidtmann t, R. Erbel

II Medical Clinic, Johannes Gutenberg- University, Mainz, FRG

t Institute for Medical Statistics and Documentation (IMSD), Mainz'

SUMMARY

Basic theoretical considerations on the statistical properties of the speckle phenomenon

indicate that a conventional quantization (intervals of uniform width) of the received and enve-
lope detected RF- signal is not adequate. We therefore propose a quantization scheme which
is based on the application of quantization intervals producing always the same conjidenCf;
level (adaptive quantization). The advantages are:

• homogenous distribution of speckle noise,

• reduction to about 10 - 20 significant quantization levels (with neglect able loss of mor-
phological information),

• quantitative measure (confidence level) of the separability of regions represented with

different quantization levels.

We furthermore succeeded in demonstrating, that the result of the adaptive quantization

method is equivalent to the effect of a logarithmic transformation of the envelope detected
signal followed by an equidistant quantization of the transformed signal. Application of this
method to echocardiographic images confirms, that the adaptive quantization quantitatively
improves the visual delineation of contrast enhanced areas.

INTRODUCTION

Fundamental physical investigations on the interaction of ultrasound waves with biological

material show that the granular appearance of echocardiographic images results from the scat-
tering of the incoming ultrasound beam by a large number of randomly distribu ted scatterers
[3J. The transducer collects the backscattered waves originating from different resolution cells
in different samples and performs a coherent superposition within each of these samples. The
random character of both the amplitudes and the relative phases of the scattered waves leads
to statistical deviations in amplitude and phase of the resulting signal. Theoretical investiga-
tions on this process predict a Rayleigh probability density function (pdf) for the envelope
detected amplitude of the received signal [1, 2J.

Acouslical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 381
 fRay(A; a) A exp {A2
= -2 --2
} (1)
a 2a
Since the signal-to-noise ratio (SNR) plays an important role in our considerations, we want
to point out that the Rayleigh pdf is distinguished by an a independent SNR, which is defined
by the ratio of the expectation of the amplitude E{A; a} and the square root of the variance
JVar{A;a}.
S N RRay = (_rr_)
4-rr 1/2 ~ l.91 (2)

According to results of our former investigations on the statistical properties of heart phase
triggered image series [5] we suppose in agreement with other groups [3,4] that the first order
behaviour of real time sector scans is governed by Rayleigh statistics.

MODEL

The family of Rayjpigh pdfs FRay = UUay(A; a) I 0 -:; a < oo} contains an infinite number
of densities which are characterized by different values of the parameter a. Since there is ouly
one free parameter available in this model (a) all information on the physical properties of
the irradiated material (e.g. density or size of scatterers) is collected in a. For this reason the
following statistical investigations are based on the assumption that the state of the material
inside a resolution cell is completely classified by the value of a. Attaching to every resolution
cell of a sector scan the appropriate a - value produces a distinct pattern for every heart
phase. We suppose that according to the cyclic movement of the heart these patterns show
periodic variations with completely identical a - patterns for equivalent heart phases.
Sector scans which are representations of a two dimensional array Aij of envelope de-
tected amplitudes do not exactly reproduce this behaviour. Although the underlying a -
patterns are completely identical, randomly distributed deviations appear between different
heart phase equivalent images. These random deviations between different images with an
identical a- pattern can be modelled for every location Pi} inside the sector with a, sequence
of independently a.nd identically distributed (Rayleigh distributed according to the underlying
a) reaJizations of a random variable A (amplitude).

POINT ... ESTIMATION OF THE UNDERLYING a -- PATTERN

The true a - pa.ttern, which in our model contains all information on the state of thp
irradiated material, is not at our disposal. Common ultrasound equipment only provides
randomly distributed envelope detected amplitudes which in Ollr approach serve as input, (h,ta
for the point estimation of the underlying a -- pattern. For this purpose we select N (N E
{1, 2, ... }) different heart phase equivalent images and collect amplitudes originating from
differellt positions Pi] in di fferent samples (AI, ... , ANli.i' The point estimation of a is then
performed foT' every sample inside the sector using eit.her the mean value of the amplitude

or the maximum likelihood estimator of a 2

N

((a- N )2)ij = 2~ L ((A"')ijf ---> E {((a- N )2)iJ = ((a)id·

"'=1

382
ADAPTIVE QUANTIZATION (AQ)

The characteristic broadening of the Rayleigh pdf (fig. 1 ) reflects the u- independellce
of the signal to noise ratio. Furthermore it indicates that the entropy derived from both the
original family of Ray leigh pd f's and all kinds of generalized con volu tions of identical RayJeigh
pdf's increases with increasing u. This in particular holds for thoRe pdf's which describe a
distribution of an estimator and therefore form a subset of the class of pdf's mentioned
above. Since the entropy is a measure for the uncertainty of an event, it is evident that a
conventional quantization of the estimators in intervals of similar width results in a rise of
the relative iufluence of speckle noise at increasing grey levels. The confidence in an estimated
value of u must therefore necessarily diminish with increasing grey levels.
With regard to the physical meaning of u it is desirable to refer to a quantizatiou scheme
which produces always the same confidence level for every quantization interval. We therefore
introduced an adaptive quantization (AQ) algorithm which divides the domain of an estimator
in a sequence of intervals with uniform confidence level. The boundaries of the i- th quantization
interval for both estimators are given by

if = [Ud~2,Uii~Q/2] Ui = Uu (i~()(/2/i~2Y (3)

-N
Ii = [2 -N IN , ai 211-",/2
ai lex/2
- N IN] ai
2 = au2 (-11-01/2
N 1-lex/2
N ) i (4)

(1 - n : confidence level (0: E (0,1», ,[} : I - quantile of the corresponding distrib ution,
ao : offset of the first quantization interval, N : size of underlying samples). The broa.dening
of both the Rayleigh pdf's and their generalized convolutions suggests increasing quantiza.-
tion intervals for increasing quantization levels. Application of the fundamental inequality
If'-a/2 ~ 1~2 to (3) and (4) confirms that our intuitive idea of an adaptive quantization is in
full agreement with theory (see fig. 2).

REALIZATION

As it is not possible to realize the whole variety of this quantization scheme with con-
ventional equipment (e.g. conventional AID converters), it is necessary to transform the ps-
timators in such a way, that a ("()uventional quanti7:ation (intervals of uniform width) of the
transformed estimators ha.s the same stochastic propertips ao the adaptive quantization of the
original estimators. III order to achieve the required conservation of stocha.stic properties, the
transformation function F has to map the quantization intervals of the adaptive quantization
method (3) and (4» onto intervals of uniform width (~; independent of a).

-N
[ a 1",/2' -N
U' 1- 0i / 2
] - -N --N
F(UI 1_ a j2) - F(CTl a /2) =~
-N
[ a 2 la/2 IN ' a 2 11-0</2
-N IN] i(a 2 i~()(/2IN) - i(a 2 i::/2IN) =~

It is obvious, that t.he loga.rithm

peA) = Co log ~ (5)
satisfies both conditions. The adjustment of this transformation to basic quantities of the
adaptive quantization completely defines parameters Co and b. They are functions of CTO and
a. pair of complementary I - quantiles. Further investigations on this transformation show,
that the families of pdf's of both the transformed maximum likelihood estimator and the
transformed mean value estimator are generated by u - independent shapes, which are only

383
shifted against one another due to differences between their CT - values. This behaviour, which
originates from the CT - independence of the central moments of each group of transformed
pdf\;, reflects the fact., that the logarithmic transformation converts the signal dependent
noise of the original estimators into additive noise. Thus, the entropy is constant within each
family of transformed pdf's.
This kind of treatment shows one essential disadvantage. The pure logarithmic trans-
formation maps values which lie below parameter b onto negative values. To overcome this
shortcoming, we make use of the equivalence between parameter b and the lower boundary of
the first quantization interval of the adaptive quantization method. Since there is no a priori
definition of the adaptive quantization below this boundary, we have the freedom to extend
the transformation to this area by an arbitrary modification of the original function (5). We
therefore propose a modified transformation of the following form (see fig. 3)

P( A) = { ~o log ~ (6)

RESULTS

We applied the quantization scheme of formula (3) to echo cardiographic sector scans
(N = 1) recorded from 5 dogs at 3 (listinct short axis views of the left ventricle, each showing
cont.rast enhanced areas of myocardial infarction. A visual delineation of contrast enhanced
areas (A[crn 2 ]) was performed in the original grey level images (GL) (represented with 256
grey levels) and the color coded representation of images gained from the AQ method (8 quant.
levels, CTO ~ L => confidence level ~ 30%). The measured areas range from 2cm2 to 6.5crr~2.
Comparing these !JlNI,SUrements with the real infarct size (Ap) determined by planimetry
from the pathology (Am~ = 0.2 + 0.98Ap, r = 0.95,p < 0.001, SEEcL = 0.7C'fIL 2 ; AAQ ==
0.04 + 1.02Ap, T == O.9H,]J < 0.001, S E RAQ = 0.39crn 2 ) confirms that the AQ method improves
t.he visual delineatioll of contra.st enhanced areas (SEEAQ < ,')EE(n).

Acknowledgement
This work wa,H supported by the Deutsche Forschungsgemeinschaft and the Robert Miiller-
Stiftung.

fRay (A;u)
0,06

~~----~T-~~----~A
127 2SS
Figure 1. Rayleigh probability density functions

384
 Gr~y Conventiona l
le'tll'el quantization

·191

·223

255 · 255 - 248

Figure 2. Conventional quantization scheme of a native image (left) in comparison to an

adaptive quantization (right) according to formula (3) (N=l, eTo = 1, conL level = 46%).

F (A)

Figure 3. Modified transformation function (dashed line) and pure logarithmic transformation
(solid line).

References
[1] J.W.S. Rayleigh, Theory of sound, Vol. 1. Dover Publications, New York, 1945

[2] J.W. Goodman, S'tatisticaL Optics, Wiley, 1985

[:1] C.B. Burckhard, S'peckLe in ULlmsound n rnode scans. IEEE '['rans. SOIl. UJtrason" Vu\.
SU25, No.1, I(i, Jan. ID7H

[4] R.F. Wagner, S.W. Smith, .T.M. Sendrik, H. Lopez, Statislics of Speckle in UUmsollTld
B-Scans. IEEE Trans. SOIl. UJtrason., Vol. 30, No.3, 156"163, May 198;1
[5] E. Steinmetz, R. Brennecke, et. aI., Statistical l'echnique8 for the Detection of Contmst
Material Zones in Echoca1'diographic Sector Scans. Computers in Cardiology, IEEE COIIl'
puter Society: 357-360, 1988

385
ECHO SIGNAL PROCESSING IN MEDICAL ULTRASOUND

L. Landini, F. Santarelli, M. Paterni, L. Verrazzani

Department of Information Engineering: E.I.T.,University

of Pisa, Pisa, Italy, and C.N .R. Institute of Clinical
Physiology, Pisa, Italy

A. Christ, H.J. Hein

Institut fur Angewandte Biophysik, Martin Luther

Universitat Halle - Wittenberg, Halle, Saale, Germany

ABSTRACT

When the resolution cell holds a few scatterers, the envelope

and the power spectral density (p.s.d.) of the backscattered
radiofrequency (r.f.) signal give useful informations on the
reflecting properties of the scatterers and their architecture.
Indeed, in such situations, the signal to noise ratio of the image
intensity deviates from the Rayleigh limit (SNR = 1), depeding on
the uniformity of the scattering cross section and on the
regularity in the tissue microstructure. Moreover, the
architectural properties of the medium can be recognized through
the presence of spectral peaks in the p.s.d. of the backscattered
signal that can be extracted by an approach similar to the complex
cepstrum. Thus "uniformity" and "regularity" in the scatterers
distribution can be inferred by a suitable echo signal processing.
The model has been tested by simulating practical situations,
in order to test the procedure for estimating model parameters
from actual data.

INTRODUCTION

In recent papers a lot of multiparameter methods have been

proposed to characterize tissues from statistical features of
B-scan texture 1. Particularly, the authors proposed to describe
tissue properties by three scattering features 2-4: the average
reflecting properties of the scatterers, the average spacing
between scatterers and the regularity in their position reflected
on the envelope and the p.s.d. of the r.f. signal. Such evidences
were established by starting from a model of echo formation from
tissues, based on a parametric gamma distribution law where the
scatterers concentration, their cross section and their spatial
Acoustical Imaging. Volume 19
Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 387
regularity were controllable variables. It was shown that if the
resolution cell holds a few scattering centres, a super-Rayleigh or
sub-Rayleigh behaviour of the amplitude statistics comes out as
function of the uniformity in the scatterers cross section and of
the regularity in their spacing. In particular it was shown that
if the cross section of the individual scatterers is spatially
uniform, the second moment of the squared envelope probability
distribution decreases with the average number of scatterers per
cell, simulating a specular effect. As far as the architectural
properties are concerned 3 , it appears that peaks in the p.s.d. of
the scattering process are correlated with the spatial
architecture, i.e., the mean interdistance between scatterers and
the regularity of their position, and can be related to the
parameters of the gamma model (average interdistance and order) .
The spatial architecture also affects the second moment which
decreases as the regularity increases. Non Rayleigh effects also
arise when the fluctuations in the number of scatterers per cell is
accounted. These results make evident the possibility of an
increase in the SNR imputable both to regularity in the
microstructure, and/or to low values of the concentration
associated with uniformity in the scatterers cross section.
In this paper we will propose an approach similar to the
complex cepstrum to assess the degree of regularity, through the
presence of spectral peaks in the p.s.d. of the r.f. image.

MATHEMATICAL BACKGROUND

The echo formation process from tissues can be modelled 2-3 by

delta functions, reproducing the scatteres spatial distribution,
filtered through a time invariant system representing the
measurement apparatus and including the average properties of the
scattering medium. In the model the scatterers interdistance may
be assumed as a random variable distributed according to the gamma
p.d.f. whose index n allows to change the variance or regularity of
the process: for n = 1 we have a quite random process (Poisson),
for larger n the process becomes more and more regular. In this
model the p.s.d. of the output process Y(f) for an average number
of scatterers <N> per resolution cell is given by 4:

Y(f) = IH(f) I 2 . X(f) ( 1)

where X(f) = [<N>(cra )2 + <a 2 > r(f)], is the p.s.d. of input

process and results in multiple echoes equally spaced of a quantity
corresponding to the inverse of the average interarrival time:
their sharpness is an increasing function of the order n; H(f) is
the frequency response of the system, ai is the amplitude of the
i-th scatterer. Eq. (1) evidentiates the possibility to separate the
spatial regularities properties, described by r(f), from the
uniformity in the cross-section which is represented by a
coefficient because the assumption of their independence on the
frequency. Because the autocorrelation of the backscattering
process is expressed as convolution between the autocorrelation of
the system response and the autocorrelation of the input process:
the cepstral technique 5 can be used to separate such convolved
signals. We recall that the cepstral analysis lies in determining
the logarithm of the Fourier transform of the received signal, and
taking the inverse transform, to obtain the "complex cepstrum".
Hence the complex cepstrum of the convolution of two signals equals
the sum of their cepstra:

388
 Log [Y(f)] = 2log IH(f) + log [X(f)] (2)

Since the log of a periodic waveform remains periodic with the same
repetition rate and log IH(f) I may be a slowly varying function,
the cepstral technique is convenient for exhibiting the spectral
periodicities. The separation is done by stripping out the gaussian
function, representing the system response, according to the
following procedure: we perform the autocorrelation of
Log[Y(f)]-KLog I H(f) I and we determine the K value which makes
the autocorrelation positive and with the minimum width,
corresponding to twice the spectral peak width. Even if the
scatterers are not resolvible, still the previous procedure can be
adopted: in fact, as the input process is regular, a peak falls
within the system bandwidth whose width decreases as n increases.

SIMULATION

In order to assess the spatial regularity through the presence

of spectral peaks in the p.s.d. of the r.f. image, sequences of
gamma-distributed numbers, with different interarrival time and
order, were generated; to each event a Dirac delta was associated,
whose area is varied according to a Gaussian distribution.

0
n -5
t - 250 ns

-17 dB --------
!S
~
ex:
o ~ ____ ____
~ ~~ ________ ~

o f (Mhz) 12.5 0 2 f (Mhz)

0
n -SO
t - 250 ns

'0
til
-17 dB \...:...::----_ .
..;-

Q.

~
ex:
0~____- 4____~~________~

o f (Mhz) 12.5 o 2 (Mhz)

Fig.l Examples of p.s.d. and autocorrelations after cepstral

technique with fc = 5MHz, B (-6 dB) = 1 MHz: a) n = 5, ~ = 250

ns; b) n = 50, ~ = 250 ns.

389
The sequences are filtered through a gaussian filter with a
central frequency fc = 5MHz and a bandwidth B(-6 dB) = 1 MHz in
order to take into account the frequency response of a commercial
measurement equipment. The p.s.d. is calculated and the cepstral
procedure outlined in the previous section is applied to obtain
Log[X(f). The regularity parameter n of the scatterer position can
be easily estimated by the equivalent duration ~ of the
autocorrelation, defined as the width of the rectangle with area
equal to the autocorrelation one above -17 dB. As far as the mean
interdistance between scatterers, it can be directly derived in the
Log[X(f)] domain from the frequency position of the peaks.
Obviously, if the scatterers are not resolvible, the mean
interdistance cannot be recovered in such way 3. Fig. 1 shows
examples of p.s.d. and autocorrelations averaged over one
hundred records for simulated signals. Note that the p.s.d. of
Fig. 1a appears as a noisy gaussian shape due to an irregular
distribution of scatterers within the resolution cell, as it is
confirmed by the low order (n = 5) of the distribution. On the
contrary, the p.s.d. of Fig. 1b shows a sharp peak corresponding
to an average interarrival time ~ = 250 ns, since it is relevant
to a regular structure simulated by n = 50. Note that the
autocorrelation width decreases as the order n increases (a => b) .

Table 1. ~ parameter evaluated on simulated data, a) non uniform

and b) uniform cross section.
(a) (b)
~ ~

<N> 6 4 6 4
~ (ns) 170 250 170 250

n
5 10.00 9.97 10.76 10.52
10 9.80 8.80 10.12 9.94
50 7.72 5.10 8.02 6.00
100 5.86 4.13 6.13 4.18

[0= 5 MHz B= 1 MHz

In Tab. 1 the results obtained by the second order analysis are

reported, relevant to random distributions of scatterers with
uniform and non uniform cross section of scatterers. The following
considerations can be extrapolated:
• the ~ parameter is able to differentiate regular from random
distribution of scatterers; regular distribution of scatterers
can be recognize through the ~ parameter;
• the ~ parameter is independent of the amplitude distribution of
the scatterers cross section.
These results can be associated with the first order
statistics of the speckle intensity. In a previous work 4 it was
shown that, when the number of scatterers per resolution cell is
reduced, the uniformity in the cross section and the regularity in
the space distribution entail a decrease of the normalized second

390
moment. Therefore, the combined use of first and second order
analysis seems able to distinguish the contribute to SNR due to
"uniformity" and "regularity" in the scatterers distribution.

CONCLUSIONS

To extract useful informations about the properties of a

scattering medium, an approach similar to the complex cepstrum has
been adopted. Such procedure has been proposed to assess the
spatial regularity through the presence of spectral peaks in the
p.s.d. of the r.f. image. If the resolution cell holds a few
scattering centres, a super-Rayleigh or sub-Rayleigh behaviour of
the amplitude statistics comes out in depedence of the uniformity
degree in the scatterers and the regularity in their spatial
architecture. Therefore, the results of the second order analysis
combined with the first order one are able to separate the
uniformity contribute in the scatterers cross section from the
regularity in their position. Thus, the simulation results prove
the proposed method attractive, when used in conjunction with the
second moment analysis, for classification purposes.

REFERENCES
1 M.F. Insana, R.F. Wagner, B.S. Garre, R. Momenan, and T.R.
Shawker
Pattern recognition methods for optimizing multivariates
tissue signatures in diagnostic ultrasound.
Ultrasonic Imaging, 8, pp. 165-180 (1986).
2 G. Giunta, L. Landini, L. Verrazzani
A stochastic model for biological tissues: effects of
scatterer regularity in ultrasonic backscattering.
Modelling and control in Biomedical Systems, Selected
papers from the IFAC Symposium, pp. 261-264, Venice,
Italy, 6-8 April 1988.
3 L. Landini, L. Verrazzani
Spectral Characterization of tissues microstructure by
ultrasounds: a stochastic approach.
IEEE Trans. Ultrason., Ferroelectr. and FreQuency
Control, Vol. 35, N. 5, pp. 448-456, 1990.
4 L. Landini, F. Santarelli, L. Verrazzani
Microstructural properties reflected on the envelope and
power spectral density of the RF image from tissue-like
phantoms.
Proc. of EUSIPCO-90, Fifth Eur. Signal Processing
Conference, Barcelona, Spain, September 18-21, 1990, pp.
935-938.
5 A.V. Oppenheim, R.W. Schafer, and T.G. Stockhom
Non linear filtering and multiplied and convolved
signals.
Proc. of the IEEE, Vol. 56, n. 8, pp. 1264-1297, 1968.

391
TEXTURE ANALYSIS OF B-SCAN IMAGES:

TRANSFERABILITY BETWEEN DIFFERENT ULTRASOUND SCANNERS

H.-U. Kauczor, M. Fein, I. Zuna, S. Delorme, N. Suhrn,

M.V. Knopp, G. van Kaick

Institute of Radiology and Pathophysiology

German Cancer Research Center
Heidelberg

INTRODUCTION

Tissue characterization based on texture analysis of B-scan

images provides objective parameters for the description of ultra-
sound images.
Texture parameters of B-scan images are based on first and
second order image statistics. Algorithms for the calculation of
these parameters have been developed (Zuna 1987). The data provide
reliable information about the structural and quantitative composi-
tion of different types of tissue as proven by histologic examina-
tion (Walz et al. 1990). The texture parameters have also been em-
ployed in clinical studies and revealed valid, objective, addi-
tional diagnostic information, e.g. in parenchymal liver disease
(Rath et al. 1985).
For routine clinical application a system of tissue character-
ization must be easy to work with and offer interactive individual
image evaluation. Additionally, the data obtained from B-scan tex-
ture analysis must be reliable, i.e. the results acquired on dif-
ferent ultrasound scanners must lead to the same or at least a sim-
ilar diagnostic gain. These properties would allow the implementa-
tion of systems for B-scan texture analysis in commercial ultra-
sound scanners in the future.
Therefore we studied the comparability and correlation of the
results of B-scan image texture analysis of the data obtained from
two different ultrasound scanners. For comparison we examined the
reproducibility of the objective image parameters to elucidate the
influence of the examination and the evaluation itself (observer-
bias) and the alterations due to the video card. Reproducibility
shows the validity of the chosen parameters and also represents an
indispensable prerequisite for the application of B-scan texture
analysis in follow-up studies.

MATERIALS AND METHODS

Ultrasound equipment

Examinations were performed on two different ultrasound scan-

ners: Hewlett Packard (HP) Sonos 1000, Acuson 128. All were
equipped with a 3.5 MHz sector probe.
Acoustical Imaging. Volume 19
Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 393
 Ini tially, study image parameters for the two machines were
subjectively optimized from visual aspect by the examining physi-
cian. The settings for pre-processing parameters, log compression,
time gain compensation (TGC) and the overall gain remained un-
changed for all examinations. Persistance was identical for the two
machines and set to "4". This represents a compromise between a
smooth visual aspect as used in clinical routine and the loss of
speckle structure or motion artifacts which may be induced by
higher persistance. Image depth was also identically set to 12 cm
with a single focus in the same depth in both scanners.
Data access to both was achieved by video cards installed on a
pc. These video digitizer cards provide a "near realtime" display
of the ultrasound images on the screen of the pc (5HZ). We employ a
spatial resolution of 640x480 pixels (identical to the screen it-
self) and a grey scale resolution of eight bits per pixel. For
postprocessing and calculation of texture parameters, all data were
transferred to a Unix workstation.

Volunteers

10 healthy volunteers (7 males, 3 females), aged between 20-40

years and without any symptom of drug abuse or metabolic disease,
were included in this study.
The abdominal ultrasound examination of each volunteer was
performed on both scanners consecutively and completed within one
hour. In addition, we repeated the examination on the HP Sonos 1000
after an interval of one week. Liver (left and right lobe sepa-
rately), pancreas, right and left kidney as well as the spleen were
scanned in an identical and standardized manner by the same physi-
cian. Scan orientation was chosen according to the best possible
display of the organ. Liver left lobe - transverse, liver right
lobe subcostal, pancreas transverse, kidneys and spleen
oblique. All images were acquired in inspiratory breathhold. Image
parameters, especially gain settings were not changed for different
organs.

Texture analysis system

A menu driven processing unit has been developed and imple-

mented in C using X windows and OSF Motif. It was installed on a
Unix workstation. Standardized image format (tif) opens the oppor-
tunity to any desired image transfer which is necessary for
widespread clinical use. Our software package allows a comfortable
interactive management of the acquired ultrasound images and of the
calculated data for the texture parameters. For image analysis the
following postprocessing steps have been realized:
Image display and postprocessing including grey scale, con-
trast and colour without altering the original image data.
Selection of a region of interest (ROI), rectangular and sec-
tor shape are available for comparison between linear and sector
transducers.
Calculation of tissue parameters, documentation and further
processing of the results. First and second order tissue parameters
are evaluated. These include:
greylevel statistics - "brightness",
gradient statistics - "microstructure",
cooccurrence matrix-parameters - "macrostructure",
run length-parameters "microstructure" (Schlaps et ale
1986).
In total 71 parameters are calculated for each ROI, from which
18 relevant parameters are included in further processing.

394
Evaluation

All images were evaluated by a physician using the ROI-tech-

nique. The ROls had to show typical parenchyma without large ves-
sels, because these represents, statistically, texture inhomo-
geneities. Organ margins or sites of difficult delineation were ex-
cluded from the evaluation to avoid partial volume effects or dif-
ferent kinds of artifacts. To ameliorate the stability of the re-
sults the individual ROI has to be as large as possible. Conse-
quently, the ROI size is limited by the particular organ, contained
between 500 (pancreas) and 3000 (liver) pixels. ROI size of images
of the same anatomical region, which were supposed to be compared,
were identical within a range of 10 %. Location of the individual
ROls was also in a similar depth (5 cm). For the comparison between
the two different ultrasound scanners a rectangular ROI shape was
chosen.

RESULTS

1) Comparison of different scanners

The comparison of the results of B-scan texture analysis of

ultrasound images of all abdominal organs obtained on different
scanners showed different off-sets for the tissue parameters.
However, a linear correlation was found for the parameters of
all four groups. The mean greylevel revealed the highest correla-
tion (r=0,74) (Fig. 1). The parameters of the gradient statistics
showed slightly lower correlations: r=0,56 for the mean gradient
and r=0,63 for the relative frequency of edge elements. The cooc-
currence- and the run length-matrix parameters also correlate very
strongly, e.g. contrast with a correlation coefficient of r=0,59.
All these correlations were highly significant (p<O, 0001) (Table
1)•

80

*
70 * I
c
0
V>
co
u 60
0

* * ** *
50
*
> * ** *
Q)

* *It* *'*
40 * ** * *~'*** * * **
*
c 30
* "'* * * * **
~ *
0
Q)
** " *
E
20

120 130 140 150 160 170 180 190 200 210 22 r

mean greylevel (hp)

Fig.I. Correlation of the mean greylevel between different scanners

395
 Table 1. Results

study Acuson - HP (n=59) 1st Week - 2nd Week (n=36)

Feature Correlation Coefficient Correlation Coefficient

Mean Greylevel 0,74 0,80

Mean Gradient 0,56 0,75
Relatve Frequency
of Edge Elements 0,63 0,72
Contrast 0,59 0,73

2) Comparison of different examinations

Results of tissue characterization were well reproducible

after a one-week-interval. Correlation of the mean greylevel was
found to be r=O, 8. Again the other parameters showed a slightly
lower correlation. Gradient statistics as judged by the mean gradi-
ent (r=0,75) and the relative frequency of edge elements (r=0,72)
were in the same range as parameters of the cooccurrence matrix:
contrast with a correlation of r=0,73 (Table 1). These results al-
ways were highly significant (p<O,OOOl).
These results show slightly higher correlations for the data
of the same volunteer acquired after a one-week interval using the
same scanner in comparison to the data of the same volunteer ob-
tained from different scanners on the same day.

DISCUSSION

Our data show that the ultrasound scanners alter brightness,

micro- and macrostructure of images. This may be due to the proper-
ties of the system, of the transducer and of the video card imple-
mented. These provide different offsets for the calculated texture
parameters. Processing, thus alteration of the ultrasound images,
however, is done in a similar manner by the weo scanners. There-
fore, despite different offsets, the results of B-scan texture
analysis are not impaired. Consequently, highly significant corre-
lations were found for texture parameters. Thus, the results of
texture analysis using first and second order image statistics ac-
quired by any ultrasound scanners are comparable.
The correlations for all groups of tissue parameters were sig-
nificant. Brightness as judged by the mean greylevel was the most
reliable parameter, showing the highest correlation. Micro- and
macrostructure, which can be evaluated by the other groups of first
and second order tissue parameters also revealed high, significant
correlations.
These results prove that the properties of the different scan-
ners, including system, transducer and video card, did not distort
the microtexture of the ultrasound image. The microstructure is in-
fluenced to different degrees, as shown by the different offsets.
Additional to the individual properties of the scanners, settings
of pre- and postprocessing parameters by the physician may have in-
fluenced the micro- and macrotexture.
The correlation of examinations within a one-week interval re-
veals slightly higher correlations than the comparison between the
both scanners. As quick changes wi thin the ultrastructure of the
abdominal organs in young healthy volunteers can not be presumed,
these differences are mainly caused by observer-bias during the
ultrasound examination itself or during the evaluation of tissue
parameters. The mean greylevel reveals to be the most stable para-
meter, whereas the reproducibility of the results of the other pa-

396
rameters was slightly lower. This observation can be attributed to
the different size and location of the ROIs.
Comparison of the results of the two parts of this study shows
better results for the examinations with a one-week-interval. It
can be concluded that this difference is solely due to the proper-
ties of the ultrasound scanner.
The implementation of systems for B-scan texture analysis by
linear data transformation in different commercial ultrasound scan-
ners seems possible providing comparable results. Our results are
based on healthy volunteers; a forthcoming study will have to en-
sure that our observations concerning the transformation of data
are also valid in patients with different parenchymal diseases.

CONCLUSION

Although different transducers create subjectively different

ultrasonic images, and subjective optimal visual settings may be
very different, the strong correlation of texture parameters shows
that our approach for tissue characterization is applicable to dif-
ferent systems with comparable results. In clinical routine the
physician will be able to perform his examinations, especially
during follow-up, employing an additional information based on
"objective" image parameters, and comparison of results is possi-
ble, even if different ultrasound scanners have been used.

REFERENCES

Rath U, Schlaps D, Limberg B, Zuna I, Lorenz A, van Kaick G,

Lorenz WJ, Kommerell B.: Diagnostic accuracy of computerized 8-scan
texture analysis and conventional ultrasonography in diffuse
parenchymal and malignant liver disease. J Clin Ultrasound 13: 87-
99, 1985.
Schlaps D, Rath U, Volk JF, Zuna I, Lorenz A, Lehmann KJ,
Lorenz D, van Kaick G, Lorenz WJ: Ultrasonic tissue charac-
terization using a diagnostic expert system. in: information pro-
cessing in medical imaging, Bacharach SL (ed) Martinus Nijhoff Pub-
lishers Dordrecht Boston Lancaster 343-363, 1986.
Walz M, Naves W, Zuna I, Schlaps D, Lorenz D, Tschahargane C,
Lorenz A, van Kaick G, Herfarth C, Lorenz WJ: Die Entstehung der
Ultraschallbildstruktur am Organ Schilddrtise - Ein quantitativer
histologisch - sonographischer Vergleich (abs). Ul traschall Klin
Prax 5: 237, 1990.
Zuna I: Computerized ultrasonic tissue characterization:
Methods and clinical use. In: Computer Assisted Radiology - CAR
'87, Lemke HU et al. (ed) Springer Berlin Heidelberg New York 155-
163, 1987.

397
 ULTRASONIC BONE TISSUE CHARACTERIZATION IN GAUCHER DISEASE TYPE I

11 Kaufman, A Chiabrera·, S. Fallot, JM Alves+, G Hermann, RS Siffert

and G Grabowski

The Mount Sinai School of Medicine, New York, NY 10029

·DIBE, l1niversity of Genoa, Genoa, Italy
+University of Sao Paulo, School of Engineering, Sao Carlos, Brazil

INTRODUCTION

Type I Gaucher disease is a genetic disorder afflicting between 5000 and 10,000 Ashkenazi
Jews in the United States. It is characterized by the deficient activity of the lysosomal
hydrolase, acid ,B-glucosidase. The progressive infiltration and replacement of the bone
marrow by "Gaucher cells· (lipid-filled macrophages) lead sequentially to diffuse osteopenia,
localized destruction, ischemic necrosis, and osteosclerosis. Degenerative changes in the
skeleton are the leading cause of disability in patients with type I disease, and some degree of
osteopenia and osteolysis occurs in virtually all patients. However, the extent of bone disease
also is markedly variable, which makes it very difficult to predict the course of the disease
once a diagnosis has been made.
The degree and severity of skeletal involvement is often difficult to assess by clinical and
radiographic evaluations. Prior studies have attempted to assess bone marrow involvement by
CT and scintigraphyl. The objective of the present study was to characterize quantitatively
the bone tissue state in Gaucher patients using a new method based on ultrasound and to see
if this technique could potentially be useful for monitoring the course of the disease.

MATERIALS AND METHODS

Four males and two females with Gaucher disease comprised the study group. They ranged
in age from 13 to 78 years, with a mean of 38. Five patients were evaluated using quantitative
computed tomography (QCT) of the lumber spine with aGE 9800 scanner. Four patients also
were evaluated using dual photon absorptiometry (DPA) of the lumbar spine using a Lunar DP3
scanner. The ultrasound measurements were made using a technique similar to that reported
by other researchers 2 • In this approach, the patient's foot was immersed in a water tank which
served as a coupling medium for the ultrasound energy. Two ultrasound transducers (Pana-
metrics Y314) each having a I MHz center frequency and 1.9 cm diameter, were coaxially
located on either side of the foot so that their central axis was in approximate alignment with
the central portion of the calcaneus. The transducers were separated by a distance equal to
twice the near to far field transition length, which in water corresponded to 6.1 cm. One
transducer served to transmit an ultrasound pulse into the water, through the heel of the foot,
and to the other transducer, which served as a receiver. The transmitting transducer was
excited by a 2 J'S voltage pulse. The received ultrasound waveform was colIected on a digital
storage oscilloscope (Lecroy Model 9400) at a 50 MHz sampling rate, and transferred to a
microcomputer for storage and off-line data analysis. An ultrasound pulse which propagated
through water only was also collected and served as a reference in the signal analysis. The
waveforms were processed using the discrete Fourier transform (FFT) and an estimate of the
heel's frequency dependent attenuation slope, B = ,Bd, over the frequency range 200-600 kHz
in dB/MHz was obtained using a least-squares straight line fit. A pictorial representation of

Acous/icallmaging, Volume 19
Edited by H. Ermer! and H.·P. Harjes, Plenum Press, New York 1992 399
the overall processing approach is shown in Fig. 1. As can be seen there, a log linear frequency
amplitude transfer function model is assumed for the heel. Note that B is measured in
nepers/MHz (or dB/MHz), f3 is in units of nepers/cm-MHz, f is the frequency in MHz, and
d, the width of the heel, is measured in centimeters. In Fig. I, p/t) and poet) represent the
ultrasound waveform before and after transmission through the heel, respectively. In practice,
p.(t) and p (t) are the waveforms received after transmission through water only and heel,
r~spectivelY. Pi(f) and P o(f) are the Fourier transforms of Pi(t) and poet), respectively, and H(f)
is the tissue transfer function.

A minimum of four independent measurements, obtained by removing the foot entirely

from the water tank and then replacing it, were acquired from the right heel bone for each
patient and averaged to produce the final estimate of bone ultrasonic attenuation slope B.
The precision of the estimate was defined as the ratio of the standard error of the mean B to
the mean.

DISCUSSION AND CONCLUSION

We have used a relatively new means to non-invasively and safely assess bone tissue. The
measurement, in contrast to those techniques which utilize ionizing radiation and measure bone
mass alone (e.g., DPA and QCT), provides information about trabecular architecture, bone
quality, and bone mass as well, although it is not yet possible to directly relate the latter
features to the measured ultrasound signal parameters. Nevertheless, there was a significant
correlation between the slope B and bone mass as measured by QCT. Further research should
provide a better understanding of the relationship between ultrasound attenuation slope Band
various physiologic states related to Gaucher and other bone related diseases. The eventual
clinical utility of this method will be judged by its ability to accurately diagnose bone
involvement in various diseases, as well as for monitoring courses of treatment.

-I d I--

-cnJ\t- P; (1)
Input Pulse
0 J\.r-
Bone
Tissue
Po (1)
Output Pulse
[C}-

I P., (f) I
IH (f) I IfITt)T
Model: IH (f) I ~ e- 1ld1fl ~ e- 8111

Use least-squares fit to obtain B

Figure 1. Overall processing framework used for ultrasound bone tissue characterization.

RESULTS

The values of frequency dependent attenuation slope B obtained from the six patients
ra?ged from a low of.4.9.7 dB/MHz to a high of 107.2 dB/MHz, with a mean of 75.3 dB/MHz
wl.th an averag~ pr~clS1on of 2.9 percent. A plot of bone density using DPA and QCT versus
!11S pr.esented m FlgS. 2 and 3, respectively, and the complete data set from this experiment
mcludmg age and sex, is shown in the Table. '

400
 110

100 R2= 0.47

90
N
:r:
:::!: 80
"-
[]J
"'C 70
'---'
[]J
60

50

40
0.600 0.800 1.000 1.200
DPA [gm/cm2J
Figure 2. Relationship between Band DPA for four Gaucher patients.

110
0

100 R2= 0.85

P ( 0.01
,....., 90
N
:r:
:::!: 80
"-
[]J
"'C 70
'---'
[]J
60

50

60 80 100 120 140 160 180

aCT [mg/cc]
Figure 3. Relationship between Band QCT for four Gaucher patients.

401
 TABLE
Patient Age Sex B OCT DPA

1 36 F 64.8 147 0.76

2 13 F 49.7 N/A N/A
3 25 M 74.4 N/A 1.26
4 32 M 102.1 168 1.06
5 41 M 107.2 182 1.18
6 78 M 53.8 55 N/A

REFERENCES

l. G. Hermann, J. Goldblatt, R.N. Levy, et al., Gaucher's disease type 1: assessment of bone
involvement by CT and scintigraphy, A J Roent. 147:943 (1986).
2. C. M. Langton, S. B. Palmer and R. W. Porter, The measurement of broadband ultrasonic
attenuation in cancellous bone, Eng in Med. 13:89 (1984).

402
 APPLICATION OF ULTRASOUND TIME-DOMAIN CORRELATION TO THE AGEING OF PORCINE

MUSCLE FOR THE FIRST TWENTY-FOUR HOURS POST MORTEM

I.A. Hein, J. Novakofski, L. Nostwick, W.D. O'Brien, Jr.

Depts. of Electrical and Computer Engineering

and of Animal Science, University of Illinois
Urbana, IL, 61801, USA

INTRODUCTION

The Ultrasound Time-Domain Correlation (UTDC) technique has been

developed at the Bioacoustics Research Laboratory at the University of
Illinois in order to estimate blood flow velocity in vessels [1] [2]. This
technique compares different ultrasound echoes via digital correlation to
produce a normalized correlation coefficient. The correlation coefficient
has a value between zero and one and indicates the similarity between
echoes.

The UTDC technique has recently been applied to the determination of

the ageing of porcine longissimus muscle 24 hours post mortem. The muscle
structure undergoes various changes as the nerve and muscle cells die and
eventually enters rigor mortis. Muscle specimens from the loin section of
pigs were procured from a slaughterhouse and placed in a room-temperature
saline bath within an hour after death. The muscle specimens were imaged
with a commercial ultrasound imager and ultrasound echoes reflected from the
sample were digitized over a 24 hour period. The UTDC technique has been
applied to the digitized echoes to determine whether changes wi thin the
muscle can be discerned from ultrasound echoes.

ULTRASOUND TIME DOMAIN CORRELATION TECHNIQUE

The UTDC technique is illustrated in Figure 1 to determine the

similarity of two RF ultrasound echoes El and E2 • If both echoes are
digitized and the digital length of each echo is N points, a normalized
correlation coefficient R(1,2) between the two echoes can be calculated.
The value of the correlation coefficient R can vary between zero and one and
is an indicator of the similarity of the echoes. A value of one indicates
the echoes are identical and a value of zero indicates they are totally
dissimilar.
If a muscle specimen is insonated by ultrasound and the reflected
echoes digitized and stored over time, the shape of the echoes will change
as the specimen undergoes change. The calculation of the correlation
coefficient between different echoes can then be used as a measure of the
change in the muscle over time.

Acous/icallmaging, Volume 19
Edited by H. Ermerl and H.-P. Hatjes. Plenum Press, New York 1992 403
 N-1 Digitized

~:)1(i)EJi) Points
1=0
R(1,2) =

Figure 1. Calculation of the similarity of two ultrasound echoes El and

E2 . The correlation coefficient R(l,2) will have a value
between zero and one, indicating the similarity of the echoes.

DATA ACQUISITION

Figure 2 illustrates the RF ultrasound data acquisition setup. An ATL

MKSOO commercial imager has been modified such that the RF signal can be
extracted and digitized. The physical location of digitization can be set
by adjusting the cursor position on the MKSOO image display. The RF signal
is digitized by a custom-built SO MHz AID and the digitized echoes are
stored on the hard drive of a COMPAQ 386/20 personal computer. The digital
length of the stored echo is one Kbyte, which corresponds to a 1.S cm
physical length in the tissue. The muscle sample is placed in a water tank
filled with a normal degassed saline solution at room temperature and imaged
with the ultrasound transducer. The cursor is adjusted such that an area
within the muscle specimen will be sampled and digitized. Once sampling is
completed, the COMPAQ computer calculates and plots the correlation
coefficient vs time for the collected echoes.

EXPERIMENTAL PROCEDURES

Longissimus muscle sections were procured from the University of

Illinois Meat Science slaughterhouse at the time of slaughter of a porcine
subject. The longissimus sample was moved from the slaughterhouse to the
Bioacoustics Research Laboratory as quickly as possible (approximately 30
minutes) and the specimen was placed in the degassed saline bath.
Experiments were performed with the muscle sample free and also vacuum
packed in plastic wrap.
Ultrasound echoes reflected from the longissimus sample were acquired
at one minute intervals for the first 3.S hours of the experiment and then
at ten minute intervals from 3.S to 24 hours.

CORRELATION PROCESS

The correlation coefficient vs time after death is calculated for echo

pairs with different echo spacings. The echo spacing time is defined as ~
and describes which echo further on in time the current echo is correlated
with. An echo that is acquired at time t is correlated with the echo
acquired at time t+~ and the correlation coefficient R[E(t),E(t+~)l vs t is
plotted for different values of ~.
It was assumed that most of the change in the muscle will occur in the
few hours directly after death, hence the ultrasound echoes were acquired
at the high resolution rate of once a minute for the first 3.S hours. Thus

404
 Correlation
results
[Il.Jf)_
5MHz <=>
Transducer
Longissimus
Sample

COMPAQ Digitized
386/20 Echoes

Tank filled with degassed

saline solution
ATL MKSOO Imager

Figure 2. RF ultrasound data acquisition syst~m.

the echoes were correlated at spacings of ~~l min, 5 min, 10 min, 30 min,
and 60 min for this time period. Echoes were then acquired at 10 minute
intervals from 3.5 to 24 hours, and the 1 minute and 10 minute interval data
sets were combined to produce a data set from 0 to 24 hours with 10 minute
intervals. For this data set, echoes are correlated at spacings of ~ ~ 10
min, 50 min, 100 min, 300 min, and 600 min for the entire 24 hour period.

RESULTS

Soonge: Before an actual longissimus muscle sample was procured from

the slaughterhouse, an experiment with a biologically inert material was
first performed to validate the stability of the acquisition system. A
natural wood sponge was soaked in the water bath for 24 hours prior to the
experiment, and then ultrasonic echoes were acquired as explained
previously. Since the sponge is inert, there should be no change over time
for reflected ultrasound echoes and the correlation coefficient should be
near unity for all echo spacings. The results of this experiment are shown
in Figure 3. In all cases except the extreme echo spacing of ~~600 minutes,
the correlation coefficient varied between 0.95 and 1.0. In the extreme case
of 600 minutes (10 hours), there may have been some slight motion or bubble
formation in the sponge, which produced a slight lowering of the correlation
coefficient.

Porcine Longissimus: Figure 4 shows the results of a vacuum-packed

porcine longissimus muscle experiment. The 0 3 . 5 hour, 1 minute
resolution plots show some general trends occurring in the first few hours
of death. One observation is that not much is happening over time periods
less than ten minutes. The correlation coefficient remains fairly close
to unity for ~ spacings of 1, 5, and 10 minutes; i . e., when an echo is
acquired and compared with an echo acquired 10 minutes later, not much
change has occurred .
At ~ spacings of 30 minutes and 60 minutes, however, the muscle appears
to be going through some distinct changes. The correlation has somewhat of
a cyclic behavior. It rises and peaks at 90 minutes, then falls and peaks
again at 180 minutes. This is not a spontaneous twitching type activity of

405
 o - 3.5 hours. 1 min resolution o - 24 hours. 10 min resolution
l'OO~
I!J.= 1 min
0.75

1.00~
1!J.=5min
0.75
5l
~1'00~ l'OO~
8c: 0.75
I!J.= 10 min
0.75
I!J.= 100 min
o
1ii
~ l'OO~ 1.00~
8
0.75
1!J.=30mln
0.75 t I!J. = 300 min
l'OO~ Im~
0.75~min 0.75
o 30 60 90 120 lSO li\o
I
240 02404720 960
I I
1200
I
1440
Time (min) Time (min)

Figure 3. UTDC analysis of change occurring in a natural wood sponge over

a 24 hour time period. The correlation coefficient remains near
unity, indicating no change.

o - 24 hours, 1q min resolution

1.00
3.5 hours. 1 min resolution
Io- . . . -. . . . . . .
I!J.= 1 min
~ "~ 1.00 I
: I!J.= 10 min
0.75 o.soI
1.00
0.75
I ....' . ·· 4" ' ..........
1!J.=5 min
1.00+

o.so!
: 1!J.=50 min

E
.!II
1 OO
' I ~ I!J.= 10 min - "- 1.00!

~~::I ~
I!J.= 100 min
o'SOI
6 0.75 0.00 ,
i
::t~
1!J.=30min
t: o.so
8

Iml o.oo! '

0.25

A : B

,~A=~
1.00
0.75

O.SO .S> ~600ml"

I 3110 0.00 LO--2....40--4110-.......7....20--9...
60--1""'200>---1....
440
o 60 120 180 240
Time 'rom Death (min) Time from Death (min)

Figure 4. UTDC analysis of the change occurring in porcine longissimus

muscle 24 hours post-mortem.

406
the muscle but is a gradual change occurring over hours. The reason for
these smooth changes may be due to the processes involved in the death of
the muscle, which go beyond the 3.5 hour 1 minute resolution data set.
The actual death of a muscle consists of three main stages. The first
is the death of nerve cells controlling the muscle. As the nerve cell dies
and uses up ACh, it causes the muscle fibers to contract. The muscle fibers
themselves take a much longer time to die and have plenty of ATP available,
so they can contract and relax in response to the nerve cell death. The
second stage is the death of the muscle cells. This is due to the ATP being
consumed trying to maintain the resting membrane potential. As the ATP
becomes low, Na ions leak into the cell and produces action potentials,
which in turn causes contractions in the muscle. Finally, when the ATP is
used up, permanent cross - bridges form between the muscle fibers and the
muscle becomes totally inert [3] [4]. It is possible that the variations in
the correlation coefficient are due to contractions and relaxations in the
muscle to these effects.
The 0 - 24 hour 10 minute resolution plots show two distinct regions
for all ~ spacings. There seems to be a considerable amount of change from
death up to 10 hours after death (region A). This is particularly true for
the ~-50, 100, 300, and 600 minute plots where the correlation coefficient
is varying and under 0.5. This means that echoes acquired during this time
correlated with echoes acquired 50 minutes to 600 minutes later have a large
degree of change, indicating the muscle is actively changing over this time
frame. After 10 hours (region B), the correlation coefficient levels off
near unity, indicating that there is no further change in the muscle.
A total of three porcine experiments have been performed, both free and
non-vacuum packed, with the same general trends. One experiment with a
bovine longissimus muscle has also been performed. The same trend has been
observed for bovine longissimus, except that the plateau of the correlation
coefficient (region B in Figure 4) to near unity occurs a few hours earlier
than with the porcine longissimus.

CONCLUSION

These preliminary studies indicate that ultrasound time-domain

correlation can be used to assess the ageing of muscle tissue post mortem.
The results suggest that porcine longissimus muscle is in active change up
to ten hours after death of the subject. This type of analysis has
potential application in the livestock industry where the ultrasonic grading
of meat is highly desireable.

ACKNOWLEDGEMENT'

This work supported by the Department of Commerce and Community Affairs

grant 1-5-39828.

REFERENCES

[1] P.M. Embree, "Volumetric bood flow via time-domain correlation:

experimental verification," IEEE Transactions on Ultrasonics,
Ferroelectrics, and Frequency Control, vol. 37, no. 4, May 1990.

[2] I.A. Hein and W.D. O'Brien Jr., "Volumetric measurement of pulsatile
flow via ultrasound time-domain correlation, It Journal of Cardiovascular
Technology, vol. 8, no. 4, pp. 339-348, 1989.

[3] J.F. Price and B.S. Schweigert, The Science of Heat and Heat Products,
Westport, Connecticut: Food & Nutrition Press, Inc., 1978

[4] A.M. Pearson and R.B. Young, Huscle and Heat Biochemistry, New York:
Academic Press, 1989.

407
 ATTENUATION MEASUREMENT WITH TRANSMITTED AND REFLECTED
ULTRASOUND - A COMPARISON OF DIFFERENT METHODS

G.Weisser, M.Fein, I.Zuna, A.Lorenz, W.J.Lorenz

Institut fUr Radiologie and Pathophysiologie
Deutsches Krebsforschungszentrum
Heidelberg

Introduction
Ultrasonic attenuation is considered a characteristic
parameter of the interaction between sound and tissue. It has
been measured via many different techniques particularly in
the liver. Problems of ultrasonic attenuation measurement are
the instability of the resulting parameters and the
fundamental question whether in vitro results (measured with
transmitted ultrasound) are relevant to in vivo
investigations (measured with reflected ultrasound) [1-3]. In
this study we performed in-vitro measurements with reflected
and transmitted ultrasound to avoid problems according to
different conditions during the measurements. The differences
between attenuation parameters in respect to the
determination method were examined.
A measure unit was built to determine the ultrasonic
attenuation with transmitted ultrasound consisting of
focussed single element transducers and a plain steel
reflector. The measure unit gave also the capability for an
accurate diffraction correction for a sector scanner.
In-vitro measurements were made with a phased array
scanner of the latest generation (HP-Sonos1000) from regions
of several phantoms and mammalian liver tissue. Immediately
after scanning the specimens under saline solution the
selected regions were excised and measured with transmitted
ultrasound.

Material and methods

System adjustments
For measurements with reflected ultrasound a phased
array scanner with a 3.5 MHz sector probe (128 piezo
elements) was used. Within the machine the signal of each of
the 128 elements was amplified dependent to the related depth
(time gain compensation). Then all 128 signals were added in
a summation node according to the beam direction and selected
focus (field characteristic) .

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 409
 To acquire the image data the envelope of all signal
lines was digitized with 10 MHz and 8 bit resolution lsing a
LeCroy digitizer.
The reconstruction of the ultrasound signal was done by
an inversion of the two preprocessing steps of the machine:
a. Diffraction correction (DFC, field characteristic)
A tissue mimicking phantom was placed under the
transducer in a basin filled with degassed water. The angle
between the transducer and the phantom surface was changed
from -30° to +30° by 10.0 +/- 0.5° and from -10° to 10° by 5°
[4,5]. The distance of the transducer to the phantom surface
varied between 20 and 100mm in steps of 10.00 +/- 0.05mm. The
transducer position was corrected in the vertical and
horizontal plane for different angles to compensate
parallaxis and to measure an identical region of interest
(ROI) for all images.
After recording a complete set of 81 images all settings
were repeated and a second set of images were measured for
precision control.
The obtained data were transfered to a Unix workstation
and the parameters were calculated using a menu driven
software package under X Windows, which allows an interactive
selection of the ROI.
The ROls were placed 5mm under the phantom surface with
a size of 10mm depth to 10° width. The mean intensity of
backscattered ultrasound was calculated.
b. Time gain compensation (TGC)
The TGC was measured from 10 to 100mm in steps of 2.00
+/- 0.05mm. The transducer position was fixed in a position
of 0.0 +/- 0.5°. Two images were recorded for each position.
For parameter calculation the size of the selected ROls
was reduced to 2mm depth. All signal lines were corrected
wi th the diffraction correction before calculating the mean
backscattered intensity in the ROI.
A tissue mimicking phantom from Radiation Measurements,
Inc. Model 413A was used to control the resulting matched
dB
filters. It had an attenuation of 0.70 +/- 0.05 em MHz and a
speed of sound of 1540 +/- 10 ~. Ten images were recorded.
For evaluation of the attenuation 4 different ROls were
selected from each image: in two different depths (3-6cm and
6-9cm) and in two angles (+/- 20°).
Transmission measurements
A single element transducer from Picker Inc. with 3.5
MHz and a usable range from 50 to 100mm was used.
The plain steel reflector was adjusted at the measured
focus and perpendicular to the axis of the transducer.
The echoes were digitized with a Rohde&Schwarz
oscilloscope and transfered to a PC. The envelope and
spectrum of all pulses were calculated. The speed of sound in
the water basin was measured separately. The frequency
independent and dependent attenuation, speed of sound and
width of the slice were calculated. The frequency range of
the single element transducer was comparable to the range of
the phased array scanner (2.5MHz to 4.5MHz).

410
Comparative measurements
The liver specimens were stored for 24 hours at a
temperature of 4° C immediately after slaughtering. After
rewarming to 20° C the whole liver was scanned with the HP-
Sonos1000. For each liver 12 ROls were placed in bubble free
areas under the surface of the specimen avoiding visible
structures. The ROI size was about 25mm depth and 15 degrees
width.
The region was then excised using a special knife and
placed on the steel reflector. From each slice 8 regions were
measured. The transducer was adjusted in the horizontal plane
for undistorted signal shape within each region (max.+/-lmm).

A second tissue mimicking phantom (phantom #2) was

scanned with the HP-Sonosl000. The region was excised and
measured as described above.

Results

Diffraction correction
The differences between the values of two ROls at
identical positions were less than 0.5%. Figure 1 shows the
3-dimensional plot of the data.

Time gain compensation

The resulting data is shown in figure 2 as solid line.
Please note the different intensity scale (50dB) to the
diffraction correction plot (8dB) .

Intensity <dB>

-2

-4

-6

- 8

120

Ang l e

-40.00

Figure 1. Diffraction correction matrix

411
 Intensity <dB>

60

50 ---

10 20 30 40 50 60 70 BO 90 100 110

depth <rnrn>

Figure 2. Time gain compensation: measured results as solid

line, data given by the manufacturer as dotted line

Phantom #1
The attenuation coefficient was determined by three
different methods:
1. The mean slope was calculated with a linear regression for
all signal lines of each ROI [1,3].
2. The signal was median filtered before fitting with a
straight line.

3. The peaks within each signal line were detected and fitted
with a straight line (envelope peak decay) [6].
The mean values of all three methods are shown in the table
below. The differences between the different methods were
less than 1.5% for each region.

Table 1. Results for phantom #1 (reflected ultrasound)

Mean±SD Depth Depth All

dB 3 - 6 cm 6 - 9 cm Depths
em'MHz
Angle
20 0 0.65±0.06 0.SO±0.10 0.73±O.11

Angle
-20 0 O. 75±0.11 0.74±0.04 0.75±O.OS

All
Angles 0.70±0.10 O.77±0.OS O.73±O.10

412
 Table 2. Comparative measurements: transmitted ultrasound

number width speed attenuation attenuation

Mean of frequency envelope
±SD regions domain
measure- cm !!! dB dB
ments s cm MHz cm MHz
Liver S
#2 16 1.17±0.OS lSSS±S 0.42±0.lS 0.39±0.OS

Liver S
#3 16 1. 03±0. 05 lS69±17 O.S9±0.OS 0.SS±0.14

Phantom S
#2 16 1.49±0.02 964±13 1.S0±0.06 1.S6±0.07

Table 3. Comparative measurements: reflected ultrasound

number of attenuation attenuation attenuation

Mean±SD ROIs mean filtered peak-decay
lines dB dB dB
points cm MHz cm MHz cm MHz
12
Liver #2 47±11 0.34±0.07
290±26 0.36±0.04 O.33±0.OS

12
Liver #3 31±7 O.49±0.lS O.Sl±0.16 0.49±0.lS
270±4S

20
Phantom #2 SS±2 1.43±0.09 1. 43±0. 11 1.4S±O.OS
299±19

Comparative measurements incl. phantom #2

The results are shown in the tables.

Discussion

The lateral profile of the diffraction correction matrix

showed a depression around zero degree. This illustrates a
non-ideal compensation of the physical effects by the
manufacturer. The deviation from the mean intensity is less
than 1dB for all angles in a given depth and less than 4 dB
in axial direction.
The effect of the diffraction correction matrix on the
attenuation coefficient must be valued in relation to the TGC
because the slope of the TGC curve is about five times higher
than the slope of a line in the diffraction correction

413
matrix. Our measurement was only comparable with the data
given from the manufacturer for a depth between 3cm and 9cm.
After the consideration of all presented signal
corrections the attenuation coefficient of phantom #1 of 0.73
+/- 0.10 cmd~Hz was in good agreement with the specification of
the manufacturer.
The results from the measurements of phantom #2 and the
liver specimens are comparable in their mean values for the
attenuation coefficient. The stability of the calculated
values is directly dependent to the number of data points for
the transmission measurement and the number of ROls, lines
and points in the reflection measurement.

Conclusion
for attenuation measurements with phased array scanners
the TGC and diffraction correction must be measured with
an exact reproduction of the region of interest.
ultrasonic signal analysis with phased array scanners can
give excellent results in attenuation measurements.
measurements with transmitted and reflected ultrasound
can give comparable results in the evaluation of
frequency independent attenuation.

Literature

[1] S.B. Garra, T.H. Shawker, M.F. Insana, R.F. Wagner In

vivo attenuation measurement: methods and clinical relevance,
Proceedings of the sixth EC workshop, Paris Ultrasonic Tissue
characterisation 6, 87-100, 1986
[2] T. Lin, J. Ophir, G. Potter Frequency-dependent
ultrasonic differentiation of normal and diffusely diseased
liver, J.Acoust.Soc.Am. 82 (4), 1131-1138, 1987
[3] M. Afschrift, C. Cuvelier, S. Ringoir, F. Barbier
Influence of pathological state on the acoustic attenuation
slope of liver, Ultrasound in Medicine & Biology 13, 135-139,
1987
[4] J.M. Thyssen Effects of diffraction on the estimation of
attenuation in biological tissues, Ultrasound Attenuation in
Biological Tissues, Proceedings of the fourth EC Workshop,
Harrogate Ultrasonic Tissue Characterisation 4, 41-50, 1984
[5] P. Laugier, G. Berger, M. Fink, J. Perrin Diffraction
correction for focused transducers in attenuation
measurements in vivo, Ultrasonic Imaging 9, 248-259, 1987
[6] P. He On the Estimation of Acoustic Attenuation
Coefficient from Peaks of Echo Envelope J.Acoust.Soc.Am. 83,
1919-1926, 1988

414
 ULTRASONIC TOMOGRAPHY OF LARGE, ATTENUATING OBJECTS

N. Sponheim, I. Johansen, and J.J. Stamnes

Norwave Development A.S

P.O. Box 316, 1324 Lysaker, Norway

INTRODUCTION

The aim of our work is to develop an ultrasonic mammograph, and we present

here some experimental results on biological tissue. We also briefly describe the
hybrid inversion algorithm and our experimental set up, which have been presented
earlier [1,2,3].

INVERSION ALGORITHM

Figure 1a shows the measurement geometry. A line source generates a

cylindrical wave that penetrates the object, and the diffracted field is measured
along a circular arc. We use a line source, instead of a plane-wave source, because
it is difficult to make a plane wave in a small tank [4]. The measurement geometry
also reflects that the water tank is to be used for clinical measurements of the female
breast. For this geometry we have earlier used a generalized diffraction tomography
algorithm [2], which is based on numerical integration. But since this is rather time
consuming, we have developed the hybrid FBP algorihm [3], which we use in this
paper.
For each view we first backpropagate both the background field and the total
field by inverse diffraction to a straight line through the center. This is done mainly to
avoid backpropagation of Rytov data, which introduces errors [3,5]. After
backpropagation we compute Rytov data, which are given by:

(1 )

where P, Po, and Pr are the total field, the background field, and the relative field,
respectively. Finally, we use the filtered backpropagation algorithm to reconstruct
the image [6,7]. The image or object profile we thus obtain is given by:

O(r) =:21(~
k02 - 1 ) (2)

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. Harjes. Plenum Press, New York 1992 415
 b
a
measuremen
curve
Rytov data

-+- --I;-,.:-+iI'F-rl-- -- x

® source

Fig. 1. a) Measurement geometry. b) The water tank.

where k(r) is the (possibly complex) wavenumber of the object, and ko is the
wavenumber of the background. If k(r) is complex, the object is attenuating.

EXPERIMENTAL SETUP

Figure 1b shows the water tank. Below it we see the mechanics that rotate the
source holder and the hydrophone holder inside the tank. The hydrophone and the
source are attached to the left and the right holder, respectively. The object is
immersed in the water from above, and the image plane is the horizontal plane
containing the source and the hydrophone. A CW-burst of frequency 3.6 MHz is fed
to the source, and the received signal is detected as a complex wavefield. We use
25 views and 1024 measurement paints for each view and control the
measurements by a PC, in which the results are stored.

TEST OBJECTS

The test objects, shown schematically in Figure 2, are cut out of pure meat or
muscle tissue. The smaller object has a cross-section of 20 mm by 25 mm and
contains a hole that is 5 mm in diameter. The larger object is 45 mm wide and
contains two holes. From the reconstruction we get the complex object profile of Eq.
(2), which for a weak scatterer divides into a real and an imaginary part where the
real part represents the change in velocity:

R [O( )] - c(r) - Co _ 1600 - 1480 - 008 (3)

e r - Co - 1480 -.

Thus, the velocity of muscle tissue is about 1600 mis, which is 8% higher than
the velocity of 1480 mls in the water. The imaginary part of the object profile
represents the losses per wavelength:

1 1 1
Im[O(r)] = 2rc Ao a(r) = 2rc 0.4 mm . 0.023 mm = 0.0015 (4)

The losses are about 2 dB/cm MHz, giving an image value of only 1.5 per mill,
which is so low that it will be vulnerable to noise.

416
 II
25 mm 45 mm
20 mml.;.: )} . . j5 mm 20 mm[ :9 .<·OJ15 mm
Fig. 2. Schematic view of test objects, which are cut out of pure meat.

PHASE UNWRAPPING PROBLEMS

Figure 3a shows a measurement for one of the views of the smaller object. The
amplitude and the phase of the relative field are shown along the measurement
arc. We can see many 21t-jumps in the phase and large diffraction ripples at the
edge of the object. Figure 3b shows the same relative field after backpropagation
to the center. We still have the 21t-jumps in the phase, but the diffraction ripples
have been significantly reduced. Figure 3c shows the Rytov data of the same field.
The real part is the unwrapped phase. Although this view seems to have been
unwrapped correctly, most of the other views contained unwrapping errors. The
imaginary part is the logarithm of the amplitude and is small compared with the real
part. To show the imaginary part better, it is magnified in Figure 3d, from which we
see how noisy it is.

RECONSTRUCTIONS

Figure 4a shows the real part of the reconstruction of the smaller object. The
image display is 70 mm by 70 mm, and the geometry of the reconstructed object is
correct. The contrast values in the white area are 6-7.5%, which are a bit lower than
the correct value of 8%. The deviations are probably due to the phase unwrapping
errors. But the hole has the same velocity as the background, as it should. Figure
4b shows the imaginary part of the reconstruction. We can see the same geometry
here. But the image value of 1.5%0 has drowned in noise. The object we see is
more due to a change in the texture. Figure 4c shows the absolute value of the
reconstruction.

Figure 4d shows the real part of the reconstruction of the larger object with two
holes. The geometry is fairly well reproduced also in this case. The contrast values
in the white area are about 7%, as for the smaller object. Figure 4e shows the
imaginary part of the reconstruction of the larger object, which does not contain any
useful information at all. Figure 4f shows that the absolute value of the
reconstruction of this object, gives a good description of the geometry.

NOISE CONSIDERATIONS

We have had problems with noise, in particular in the reconstruction of the

weak imaginary part. To analyse the influence of noise we express the measured
signal as a sum of several terms:
00

P = Po + P 1 (Po) + P2 (P 1 ) + 2: Pn(P n-1) + NT + NM (5)

n=3

417
a c
2.89 ~-- --~'-'--~---,,---'-'------'---
0.08 ,------=~=~~---""_l
!~~~
2.32 c -0.08 -, , Imaginary

1.75 ., ~mpllt:Jde ~ -0.23

ttl
118 -. ;\ !t!4hll I' -0.39
a 51r/"..t\,.. /'",\fV I' ~! ; 'I \ /

!
. 1
-0.54

-::::~~
-0.70

-0.85
J 'm co. \

;: \N
-1.11 pi
,

-1.68 -I
-2.25 1

-2.82 ;------ T
22 42 62 8.3 103 123 144 154 184
- -I
205
-1.47 +--,----
11
---,~~~---,--,----,-
21 31 41 51 62 72 82 92 102
millimeters
millimeters

b d
2.85 T' -------. --------.- ------- -. ---I 0.09 ,--------,-------~

2.27 J I 0.08
'I !
1. 58 l.
!
'mpli',d.
J
I il ' I
0.07 -:
,

'.09-~"'" """,,,, ..I"'~~~ 0.05 -i

'''''. I
0.50 1 I 0.04 -j
I
-0.09 1/~_J--"V'~~ 0.03 -I
I Imaginary

_::~ t~v\~~~~~~
-0.58l ph". \ ,

-1.27
1
-1.85 _!. I, 1

-2.45 --j -0.02 i

I
-3.04 +-------,----,-----,----------,---' -0.04 +-,--,-------,--,----,--,---,--i----r-,-----j

11 21 31 41 51 62 72 82 92 102 a 10 20 31 41 51 51 72 82 92 102
millimeters
millimeters

Fig. 3. a) Measured relative field along the circular arc in Fig. 1a.
b) Backpropagated relative field along the straight line through the center in
Fig. 1a.
c) Rytov data obtained from Eq.(1) and the field in Fig. 3b.
d) Magnified version of the imaginary part of the Rytov data in Fig. 3c.

Here P, Po, P 1 , P2 , Pn, NT, and NM are the total received signal, the
background field, the 1st-order scattered field, the 2nd-order scattered field, the nth-
order scattered field, the thermal noise, and the mechanical noise, respectively. In a
first-order model only P1 can be considered as signal. With the exception of Po, the
remaining terms represent noise. The mechanical noise can be reduced by a
proper design. Thus, we ignore it here. The thermal noise should be no problem in
tomography, since all the averaging and the use of continuous signals eliminate it.
But the higher-order scattering terms give a signal-dependent, correlated noise,
which is a limiting factor.

CONCLUSIONS

Through our experiments we have found a limit for how large a test object can

418
 a d

b e

C f

Fig. 4. The reconstruction display is 70 mm x 70 mm and contains 7 equally spaced

grey levels.
a) Real part of object I. d) Real part of object II.
b) Imaginary part of object I. e) Imaginary part of object II.
c) Absolute value of object I. f) Absolute value of object II.

419
be, when it 'is made out of biological tissue, namely about 20-30 mm, or 50-75
wavelengths. Thus, we can conclude that we have been able to image biological
tissue of a size of 50-75 wavelengths. To image the female breast we have two
possibilities:
1. Develop higher-order inversion algorithms.
2. Confine the breast between two plates as in x-ray mammography.

AKNOWLEDGEMENTS

This research was supported by the Royal Norwegian Council for Scientific
and Industrial Research (Grant IT 662.23249) and by NATO Grant 0577/88.

REFERENCES

1. N. Sponheim, I. Johansen, and A. J. Devaney, Initial testing of a clinical

ultrasound mammograph, in H. Lee and G. Wade (eds.), Acoustical Imaging, Vol.
18, Plenum Press, 1990.

2. L.-J. Gelius, I. Johansen, N. Sponheim, and J. J. Stamnes, A Generalized

Diffraction Tomography Algorithm, J. Acoust. Soc. Am. 89, 523-528, 1991.

3. N. Sponheim, L.-J. Gelius, I. Johansen, and J. J. Stamnes, Quantitative results in

ultrasonic tomography using line sources and curved detector arrays, IEEE
Trans. UFFC. 38, No.4, July 1991.

4. N. Sponheim and I. Johansen, Experimental results in ultrasonic tomography

using a filtered backpropagation algorithm, Ultrasonic Imaging 18, 56-70, 1991.

5. I. Johansen, L.-J. Gelius, B. Spjelkavik, N. Sponheim, and J. J. Stamnes, Exact

and approximate scattering data for testing the filtered backpropagation (FBP)
and a hybrid FBP reconstruction algorithm, in H. Ermert and H.-P. Harjes (eds),
Acoustical Imaging, Vol. 19, Plenum Press, 1991.

6. A. J. Devaney, A filtered backpropagation algorithm for diffraction tomography,

Ultrasonic Imaging 4, 336-350, 1982.

7. A. J. Devaney, A computer simulation study of diffraction tomography, IEEE

Biomed. Eng. BME-30, 377-386, 1983.

420
 REAL-TIME IMAGING WITH AREA-ARRAY TRANSDUCERS USING
ANALOG WAVE-FIELD REPRODUCTION AND AN APPLICATION
IN TRANS CRANIAL SONOGRAPHY

Hans J. Einighammer

Neurologische Klinik, Medizinische Einrichtungen

der Heinrich-Heine-Universitat, Moorenstr. 5
4000 DUsseldorf 1, FRG

INTRODUCTION

In echosonographic imaging area-array transducers prove to be neces-

sary (i) when beam tilting and focussing must be performed in both lateral
directions without movement of mechanical components, and (ii) when phase-
and amplitude- distortions caused by impediments in the vicinity of the
probe have to be corrected. An example of the necessity of both of these
system features is the diffraction-limited imaging of brain structures
through the skull bone.

The method of electronic sector-scanning (1,2) formerly used for

this purpose, does not utilize the whole area of the acoustic window of
the object. It is, however, necessary to use the greatest possible imaging
aperture, in order to obtain the maximum lateral resolution. In direct
imaging this presupposes focussing in both directions and correction of at
least the phase aberrations, which become more disturbing as the aperture
width increases. In CT-similar image processing (3,4,5) it is possible to
improve the quality of brain pictures by combining different sector scans,
successively taken out of the limited angular region of the window, but
this time consuming procedure leads to the loss of real-time ability.

In the present paper a model system for sonography through refracting

and sound-attenuating impediments is described, which is very adaptable
concerning aperture and which employs acoustic field sampling, analog
signal processing and image formation with ultrasound in real time.

THE BIDIRECTIONAL ACTIVE ULTRASONIC CAMERA

The imaging principle used can be shortly described as: Forming a

real image of the object with ultrasound by means of an electronic inter-
face. An early application of this concept is known as the "acousto-
electronic" lens, which was used as an analogical calculator for the
phase-control and -delay functions of a sector-scan device (6,7). We have
developed the method further for two-dimensional arrays and with special
regard to a relatively high transmit power and a relatively high receiving
sensitivity of the system.

Acouslicallmaging. Volume 19
Edited by H. Ermert and H.·P. Harjes. Plenum Press. New York 1992 421
 The function of the system is shown schematically in Fig. 1. The
area-array tranducer which is in contact with the object and consists of N
elements, is called the object probe, is connected elementwise via N
amplifier units of the converter electronic with a second array of the
same kind, called the projection probe, which is coupled with a water
line. A linear point array with M elements or a two-dimensional transducer
matrix, called the image probe, is positioned at the end of the line.
These three probes are all emitters as well as receivers. The amplifier
l~its of the converter also work bidirectionally, i.e. there are two
switching states: signal transmission from the object- to the image-side
(receiver mode) and transmission in the reversed direction (transmitter
mode) •

Object Probe Projection Probe Image Probe

• • •

~----~vr------~
Converter Water Tank

Fig. 1. Function of the Bidirectional Active Ultrasonic Camera.

Object wave W is reproduced via the electronic converter
in the water tank and focussed (Wi) onto the image probe.

First of all let us consider how the image of an axial object point
Po, already emitting a spherical wave, will be formed (without bone). The
vibrations being detected by the elements of the object probe are trans-
mitted via the amplifiers to the corresponding elements of the projection
probe. According to the Huygens-Fresnel principle new wave-fronts are
generated, whose form can be determined by the configuration of the probe
elements. For example, when we use identical configurations, one of the
generated waves in the principal lobe of the antenna function in the far
field corresponds to the continuation of the original object wave. This
reproduced wave can be considered as the zeroth-order wave which would be
generated by diffraction at the sampled aperture.

After insertion of a converging lens L a real image Pi of the point Po

and a certain field around could be formed according to the laws of geo-
metrical optics. But the time delay components, being necessary in any
case for bone correction, can also take over the function of the imaging
lens, so that the lens can be dispensed with. Here the time delays were
realized by adjusting the projection probe elements mechanically in the
direction of the optical axis.

In this way also a simultaneous formation of the image of a larger

object field is possible (6,7), in our application, however, for reasons
of a high contrast of the small structures the scanning principle is
retained. In order to reach the resolution limit, insonation must also be
applied with the greatest possible aperture. Consequently the transmitter
beam is strongly focussed. For this purpose in the transmitter modus the
Itoptical lt rays are reversed in direction and the functions of tranducers
and amplifiers are inverted. Therefore the system can be understood as a

422
bidirectional camera, which is active because a ft wave amplifierft, located
in the plane of the objective lens, amplifies the passing waves.

In this way the acoustic signal-to-noise ratio in the water line,

compared to that obtained with conventional imaging via water delay, is
quite considerably improved: The disturbing reflex from the bone or from
the projection probe can be kept very small, when a small-amplitude
transmit wave only undertakes the task of phase-correct triggering of a
perfectly new transmit pulse, so that the main impulse power is produced
in the converter. Furthermore the ultrasonic transmitting power can be
much higher than the power which could be obtained with a single element
of the image probe, because of the larger area of the object array-
transducer. By pulse-renewal unwanted impuls prolongations are also
avoided. In the receiver mode the amplitude of the reproduced wave can be
brought into a convenient range. The realized converter attains about 170-
fold amplification of the sound amplitude for 2 MHz sinus-vibration.

In the scanning procedure of the model system a lineal object region,

perpendicular to the axis, is scanned by activating the elements of the
image probe (M = 32, spacing: 1.5 mm). By using the depth of focus, an
axial region can be visualized as with a Linear-B-Scope. But the image
probe also can execute a scanning motion e. g. in order to build up a C-
mode image perpendicular to the axis. The scanning unit is no longer
electronically but only acoustically coupled to the rest of the system.
Typical geometrical parameters of the camera are: Focal length of the
effective lens f;:::: 6 cm and magnification v;:::: 4.

A good approximation of the wavefront which has to be reproduced also

signifies a good side-lobe suppression. However it would be unrealistic,
in view of the expense of a great number of channels, to try to achieve
complete suppression by an element spacing of A/2. In this compromise 19
disk-type ceramic elements (2 MHz) with a diameter of 4.4 mm and a just
sufficient thickness-to-width ratio were chosen and arranged hexagonally
with a shortest distance of 6.5 mm. According to the beam characteristic
of a piston, R(y) = 2 J., (koa.sin y)/koaosiny, where y denotes the angle
0

to the axis, J1 the first-order Bessel function, k = 2rr/A the wave number
and a the radius of the piezo-elements, the beams of the object probe are
too narrow to be superimposed adequately in the object distance. The
elements therefore were positioned appropriately obliquely. This measure
also was taken with the projection probe, but rather for mechanical
reasons. Based on the approximate half-width of R(y) a lateral viewing
field of only 11 mm results. Axially the field is therefore also limited
to 11 mm by a time window.

POINT SPREAD FUNCTION

To estimate the effects of the side lobes, the (lateral) point image
of the effective lens was calculated in the approximation for sinus vibra-
tion. The complex amplitude in a point P1 of the image plane results from
the superposition of the elementary waves emerging from the area array, by
means of the integral

ir.,.
e
A(P.., ) cos rodf coBoR(()l:: -;- (cos k·r - iosin k.r)
r
N

where B(Pa ) denotes the amplitude of the area-element df of the emitting

area F, r the distance between Pa and P." Y the angle to the normal of df

423
 ,,0,....----- - -- - - - - - - - - - - - - - - - - - . ,

0,8

1,0

0,8

0,6 •
•

0.4
30 40 50

0,2
x/mm

• • • • •
30 40 50
Fig. 2. Point spread function for the X- and Y-direction (image di-
stance 28 cm). Solid curve: Theory. Dotted curve: Measured
values. Array- and point-image-orieiltation is indicated.

and c a constant. The contribution of a single transducer-element to the

wave field is already known by R(y). Furthermore since the N elements are
emitting with same amplitude and the point of intersection of the element
axes can be assumed to be in the object plane, the expression is
simplified for calculation according to the right side of the above given
formula. The amplitude of sound pressure in PA then results as Ipl=i{A·~.

One expects an interference pattern with hexagonal symmetry, as with

diffraction at the corresponding two-dimensional grating. The theoretical
curves given in Fig. 2 as the result show the course of the point spread
function along the X- and Y-axis as well as all image lines obtained from
this by 60°-rotation. The complete point image - here obtained by simu-
lation with light - is also shown.

Impulse sound was used in the measurements (bandwidth 2 MHz), and the
maximum amplitude of the wave trains was determined, whose form changes
outside the main lobe. For the main lobe the result (see Fig. 2) conforms
well with theory. Outside the lobe the measured curve is less modulated
than the calculated one. The deviations are due to the externally
decreasing coherence of the trains, which has been disregarded theoreti-
cally.

424
 The point spread function of course becomes effective twice, at
transmission and reception. The corresponding function of the total
imaging process cannot be given in general terms, because it is not
object-invariant. Favourable conditions without side-lobe disturbance
exists when the reflecting object is smaller than the distance of the
maxima in the insonation point image. The use of area-array transducers
would be much restricted, if there were not also ways to carry out side-
lobe suppression for objects greater than the lobe distance and ways to
enlarge the viewing field. But about methods suited for this purpose shall
be reported later.

The correction of bone refraction was carried out using the phase
compensation technique according to Ref. 8. The deformation of the wave by
a skull specimen was compensated for by measuring each phase in the
channels by auxiliary insonation with a monoprobe from the opposite side
of the head, and then making a correction to an aimed value calculated
from the position of the auxiliary tranducer. This was carried out by
mechanical positioning, but is also possible with electronic and adaptive
methods. The amplitudes were only corrected coarsely, so that variations
up to about 25 per cent remain.

b
d

3mm
f

Fig. 3. Selection of image results (See text).

In order to obtain the best axial resolution, the bandwidth of the

system should be as great as possible. The frequency characteristic of the
bone, having been already investigated (9), is given, but that of the
transducers has to be maximized and that of the electronics has to be
matched. This problem has not been solved in the scope of this paper.
Consequently the pictures still suffer from axial interferences (speckle)
which impede the interpretation of structures smaller than 3 mm.

A selection of image results is given in Fig. 3. The lateral two-

point resolution test in Fig. 3(a - c) reveals a resolution of 1.5 mm
according to Rayleigh's criterion (3b). Fig. 3(d) and 3(e) show the effect
of bone compensation on a point object in a skull specimen. The raster of
nylon filaments (water-bath) in Fig. 3(f) with a spacing of 3 mm can still
be reproduced without axial interferences. Recordings of in-vivo taken
pulsating structures in the posterior part of the fissura longitudinalis
of an adult test person demonstrate the stable operation of the electro-
nics and a good overall signal-to-noise ratio under conditions of weak
input signals. Bone compensation is not demonstrated in this case, because
the success of the correction could not be well verified with an unknown
object and a critical distance of 3 mm for speckle effects. For similar
reasons brain pictures like Fig. 3(g) were taken with reduced aperture.

425
CONCLUSION

The task was to image weak ultrasonic reflexes with an area array
under unfavourable conditions due to an irregular attenuating and refrac-
ting impediment. The concept of a Bidirectional Active Ultrasonic Camera
was realized, which allows a high acoustic transmit power as well as a
high recelvlng sensibility. The lateral resolution according to the
calculated point spread function was arrived at experimentally (1.5 mm),
bone refraction compensated for on a specimen, and image information
recorded with good contrast from pulsating brain vessels. Because of the
side lobes the viewing field is restricted to a small region of interest.

The system bandwidth is still too small, in order to achieve adequate

axial resolution. Axial structures smaller than 3 mm cannot be interpreted
reliably because of interferences (speckle). Therefore the instrument has
not yet been applied clinically. After realization of shorter pulses
should one discuss the effects of pulse lengthening (10), which probably
limit axial resolution in skull sonography. The results obtained with this
system will also be useful in other fields of application or for digital
solutions of the problem of image formation with area arrays.

ACKNOWLEDGEMENTS

I wish to thank Prof. H.-J. Freund for the continued support of

"ultrasound" in the clinic, Prof. G. Mollenstedt und Prof. P. Holler for
encouragement and positive assessment, and Dipl. Ing. W. Schicks for
extensive electronic work. This study was supported by the Deutsche
Forschungsgemeinschaft SFB 200/D4. Thanks to generous funding by the
Minhorst-Kristallchemie Company it could be brought to a conclusion.

REFERENCES

(1) J. C. Somer: Electronic sector scanning for ultrasonic diagnosis.

Ultrasonics 6, 1968, 153-159
(2) H. J. Freund, J. Somer, K. H. Kendel, K. Voigt: Electronic sector
scanning in diagnosis of cerebrovascular disease and space-
occupying processes. Neurology 23, 1973, 1147-1159
(3) H. J. Einighammer, H. J. Freund, M. Hennerici, N. Rohde: Entwicklung
eines computerisierten Sector-Scan-Systems zur intracraniellen
Diagnostik. BMFT Forschungsbericht T 83-006, 1983
(4) V. Engelmann: Untersuchungen zur Ultraschall-Compoundabbildung des
Hirns mit einem rechnerunterstUtzten Sector-Scanner. Med. Thesis,
DUsseldorf, 1983
(5) N. Spitzner: Uber die klinische Erprobung eines rechnergestlitzten
Ultraschall-Sector-Scanners am Erwachsenenschadel. Med. Thesis,
DUsseldorf, 1986
(6) C. Bruneel, B. Nongaillard, R. Torguet, E. Bridaux, J. M. Rouvaen:
Reconstruction of an acoustical image using an "acousto-electro-
nic" lens device. Ultrasonics 1977, 263-264
(7) F. Haine, R. Torguet, C. Bruneel, E. Bridaux, G. Thomin, B. Delannoy:
Electronic analogical devices of sector scan imaging. Acoustical
Imaging 9, 1979, 57-63
(8) D. J. Phillips, S. W. Smith, O. T. von Ramm, F. L. Thurstone: A phase
compensation technique for B-Mode echoencephalography. Ultrasound
in Medicine 1 (Ed. by D. N. White, Plenum Press), 1975, 395-404
(9) F. J. Fry, J. E. Barger: Acoustical properties of the human skull.
J. Acoust.Soc.Am. 63, 1978, 1576-1590
(10) D. N. White, G. R. Curry, R. J. Stevenson: The acoustic characteri-
stics of the skull. Ultrasound in Med. a. BioI. 4, 1978, 225-252

426
 IMPROVEMENT OF LESION DETECTION
BY ECHOGRAPHIC IMAGE PROCESSING

I.T.M. Verhoeven and I.M. Thijssen

Biophysics Laboratory, Institute of Ophthalmology

University Hospital St. Radboud
Nijmegen, The Netherlands

INTRODUCTION

The texture of echographic images of scattering media is characterized by speckle.

The phenomenon of speckle formation is due to the relatively narrow bandwidth of the
transmitted ultrasound pulses and the constructive and destructive interference of echoes
backscattered by a volume of tissue which occurs on the surface of the receiving
transducer!. The presence of speckle, causing a mottled or granular echographic image,
degrades the apparent resolution in the images and it interferes with the visual assessment
of small contrasts in grey level or in texture. However, changes in mean grey level and in
texture pattern indicate diffuse parenchymal diseases or focal lesions (e.g., metastatic
tumours) within an organ. Therefore, early detection of these changes is of great clinical
importance.

Image processing techniques used to improve the visual detectability of abnormalities

in echographic images can be divided into two major classes. First of all, speckle reduction
or grey level filtering techniques are used to reduce the variance of the distribution of the
grey levels in an image, thus allowing a better assessment of changes in the mean grey
level. To limit the reduction of spatial resolution induced by these filters, adaptive
techniques can be used. These techniques, employing the locale image properties to control
the settings of the filter, result in both speckle smoothing in regions with a homogeneous
texture and preservation of spatial resolution (e.g., preserving the contours of organs)2.

The second class of image processing techniques consists of parametric imaging

techniques. Here parameters, resulting from the local analysis of the echographic image, are
displayed in a two dimensional fashion, thus creating a new type of image. This new image
may reveal abnormalities more clearly than the original B-mode image. The improvement in
detecting the abnormal regions may result from an enhanced intensity contrast or from
revealing areas which differ only in second order speckle characteristics which are not
visually perceptible. It may be mentioned that also parameters resulting from the analysis of
the radio frequency (rf-) signals can be employed in this manner. Besides displaying each
parameter separately, also a combination of parameters can be displayed. Cluster techniques
or colour coding can be used to combine several parameters into a new one to be displayed.
This method is called tissue type imaging because the displayed parameter itself is not
resulting from the analysis but is a signature of the tissue resulting in the parameters used
in the combination.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 427
SIGNAL-TO-NOISE-RATID IMAGING

Statistics of Echographic Images

One of the image parameters used for the purpose of creating a parametric image,
which will be discussed here, is the signal-to-noise rati0 3 ; the mean of the intensity of the
echo-strength over its standard deviation.

The probability distribution function of the intensity image for fully developed speckle
is given by an exponentiaI 1.4:

I
1 e -~
IT!) _ _ hO (1)
J\ 2cp ,
Where I is the power of the backscattered pressure and cp is dependent on the signal power.
Now the mean (first moment), /1-, and standard deviation (square root of second central
moment), (J, are given by:

(2)

So the pixel (or point) signal-to-noise ratio becomes:

SNR 1 - /1-1 -1 (3)

(JI

SO, in the case of fully developed speckle, the signal-to-noise ratio contains no information
about the tissue but is a constant (Rayleigh limit). Only the mean value of the intensity
remains proportional to the backscattered signal, and therefore to the number density of
scatterers.

In the case of a relatively low number density of scatterers, i.e., sub-Rayleigh

statistics, the exponential p.d.f., eq.l, no longer applies to the intensity image. Now, the
point-signal-to-noise ratio can be described byS

(4)

where k is a constant representing the relative variance of the scattering strength of the
scatterers, V, is the sampling volume and n is the number density of scatterers. In this
paper the scatterers are assumed to have uniform backscatter properties resulting in a k-
value of 1. If the scatterers do not have identical strengths, their apparent density deduced
from the signal-to-noise ratio will be lower than the actual density.

Also the signal-to-noise ratio of the amplitude or envelope image can be used. The
first order statistics of the amplitude image and of the intensity image, just being the
squared amplitude, exhibit the same qualitative behaviour. In figure 1 the amplitude signal-
to-noise ratio is plotted versus the scatterer number density6. In this figure, the points
indicate measurement of the signal-to-noise ratio from computer simulated B-mode scans,
while the drawn line is fitted through these points and runs to a limit of 1.91 set by the
Rayleigh statistics. The signal-to-noise ratio is monotonously dependent of the number

428
 scatterer density (cm-3)

Fig. 1. The amplitude Signal-to Noise Ratio, with a theoretical

limit of 1.91 set by Rayleigh statistics, as a function of the
number density of scatterers.

density of scatterers and therefore, below the Rayleigh limit, this SNR can be used as a
tissue signature representing this number density of scatterers.

Application

The SNR-image is a 2-dimensional representation of the local signal-to-noise ratios in

a B-mode image. Using a sliding window technique, each pixel of a SNR-image is given
the signal-to-noise ratio value calculated in a window surrounding the corresponding pixel
in the original B-mode image. As with many image processing techniques there is a trade-
off between preservation of spatial resolution, which requires small windows, and precision
of the calculated local signal-to-noise ratio, which increases with increasing window size. It
can be shown? that the signal-to-noise ratio of the SNR-image is proportional to the square
root of the window size:

SNRSNRirnage"'" IN [1.4+ 0:] (5)

This equation (eq.5) was derived for fully developed speckle.

This SNR-imaging technique was applied to images of computer simulated B-mode

scans? An area of 4 by 4 cm (256x256 pixels) was located in the focal zone of a
transducer. In the centre of the medium a circular lesion with a diameter of 1.8 cm could
be simulated. Within the lesion, the number density of scatterers and the echo strength of
the scatterers could be varied independently.

An simulation with an isoechoic lesion, i.e., equal mean scattering amplitude level in
lesion and background, is shown in figure 2. The lesion differs from the background only
in number density of scatterers, resulting in a lesion texture which only differs from the
background texture in its second order speckle characteristics (i.e., speckle size). The
background contains a number density of scatterers of 5000 cm· 3 , corresponding to
approximately 10 scatterers in the resolution cell, while the lesion contains a number
density of 500 cm· 3 (sub-Rayleigh statistics). Although hardly visible in the original B-mode
image, the corresponding SNR image (figure 3), using a 5 X 15 pixel window
(corresponding to 2 X 1 the speckle dimension in the axial and lateral directions,
respectively), reveals this kind of lesion quite clearly. So the signal-to-noise ratio, being a
first order statistical parW1eter itself, is an adequate parameter to reveal changes in second
order speckle characteristics in echographic images.

429
 Fig. 2. Simulated B-mode image contammg an isoechoic central
lesion with number density of SOO/cm3 •

Discussion

The echogenicity of lesions tends to change from hypoechoic to hyperechoic as the

lesions grow8 • At a certain stage they will be isoechoic and very difficult to detect. When
the lesion texture differs from the background texture, due to a lowered number density of
scatterers, SNR imaging could improve the visual detectability of these lesions as
demonstrated. However, the SNR is insensitive to changes in echo strength and, therefore,
detection of lesions which only differ in reflectivity is not possible. For this reason, a multi
parameter approach (tissue type imaging) has to be considered, where an additional
parameter is used to detect changes in echogenicity.

Fig. 3. SNR image of figure 2. Lesion visible as a hypoechoic

region (low SNR corresponds to dark regions).

430
REFERENCES

1 C.B. Burckhardt, Speckle in ultrasound B-mode scans, IEEE Trans. Sonics Ultrasonics
SU-25, 1-6 (1978).
2. J.C. Bamber and C. Daft, Adaptive filtering for reduction of speckle in ultrasonic puls-
echo images, Ultrasonics, 41-44 (1986).
3. J.T.M. Verhoeven and J.M. Thijssen, Improvement of lesion detection by echographic
image processing: The signal-to-noise-ratio imaging, Ultrasonic Imaging, 12, 130 (1990),
abstract only.
4. J.W. Goodman, Statistical properties of laser speckle patterns, in: Laser speckle and
related phenomena, J.C. Dainty, Springer, Berlin (1975).
5. E. Jakeman, Speckle statistics with small number of scatterers, Opt. Eng., 453-461
(1984).
6. B.J. Oosterveld, J.M. Thijssen and W.A. Verhoef, Texture of B-mode echograms: 3-D
simulations and experiments of the effects of diffraction and scatterer density, Ultrasonic
Imaging, 142-160 (1985).
7. J.T.M. Verhoeven and J.M. Thijssen, Improvement of lesion detection by echographic
image processing: The signal-to-noise-ratio imaging, Submitted: Ultrasonic Imaging.
8. T. Kamachi, S. Sakaguchi, D Kurokawa and M. Okumura, Ultrasonic findings of
hepatocellular carcionoma smaller than 3 cm in diameter, Jpn. J. Med. Ultrasonics, vol.
15, 209-214 (1988).

431
 TURNING OFF SPECKLE

A. J. Healey, S. Leeman, F. Forsberg

Dept. of Medical Physics and Medical Engineering

King's Collcge School of Medicine and Dentistry
Dulwich Hospital, East Dulwich Grove, London SE22 8PT, UK

INTRODUCTION

One consequence of the coherent nature of the transmitted ultrasound pulse, is the well-known speckle
artefact, which occurs in virtually all medical ultrasound images and can perceptibly degrade their clinical
information content. The phenomenon perceived by the observer as speckle, is the severe reduction of
signal envelope by (destructive) interference effects [Seggie and Leeman, 1987]. The successful removal of
this artefact is therefore important if the full potential of medical ultrasound imaging is to be realised, and
the acceptability of a speckle correction procedure (for medical ultrasound images) will be greatly
increased if it can be implemented on a real-time basis.

The degree of speckle is conventionally quantified by the magnitude of some index (as yet, not univer-
sally agreed upon) derived from the statistical properties of the image (not echo!) amplitudes from a region
of interest [Burkhardt 1978]. Consequently, the success of a speckle reduction technique is generally
assessed by the resulting change in the same statistical parameter. Since this paper utilises computer
simulations, an "ideal" image (devoid of the speckle artefact) may be adopted in assessing the validity and
efficacy of the correction technique. The ideal envelope is obtained by compounding images of the scatterer
sequence, each component image being generated by randomly changing the scattcrer phase.

A number of techniques are available for processing the backscatter cd signal in attempting to remove
the speckle artefact before display. Conventional methods fall broadly into two categories, filtering
[Bamber, Cook-Martin, 1987], [Castellini e/ al 19881 and compounding [Gehlbach 1987], [Galloway et ai,
1988], [Trahey et ai, 1987], . This paper introduces an algorithm to compensate for severe interference
effects, and this may help in presenting underlying structure more clearly and go some way towards
removing the speckle artefact.

ZERO ADJUSTING DESTRUCTIVE INTERFERENCE EFFECTS

The proposed speckle reduction algorithm involves two stages. The first achicves local identification of
the speckle artefact by processing of the temporal phase of the received signal; and the second involves
computation of an additive local correction which is combined with the affected rhta segment's original
envelope. Once the short data segments requiring processing have been identified (stage 1), the correction
procedure may be applied independently to each short A-line segment (stage 2).

Processing stage 1: Identifying Speckle

Strong destructive interference effects are identified by large deviations from the carrier frequency in
the instantaneous frequency of the received rf A-line [Leeman et ai, 19871.

Acouslicallmaging. Volume 19
Edited by H. Ermert and H.-P. Harjes. Plenum Press. New York 1992 433
 Isolated Analytic Ec ho

Two Scatterer Model

zeros

Figure 1. Z-transform of the analytic signal from an Figure 2. Z-transform of a two scatterer convolu-
isolated echo. tional model.

Zero Adjusted

samples

Figure 3a. Simple Zero adjustment procedure. Figure 3b. Inverse domain envelope signals. Ideal -
Total conslruclive interference; Actual - A-line
envelope, Adjusted - ZAP processed envelope.

Processinl: stal:e 2: "ZAPpinl:" Speckle Interference

Once recognition has identified speckle in a data segment, a section of rf A-line data may be removed
for processing. The removal procedure should ensure that a sufficient amount of data is extracted, ie the
extent of the local speckle is encapsulated, and that spurious edge effects are minimised. To these ends a
hanning window of one pulse length width is used to window the selected region for further processing.

The correction procedure attempts to modify the relative phase between local backscattered pulses to a
situation of much reduced destructive interference. This is achieved by a zero adjustment procedure ("ZAP")
which identifies and manipulates those complex zeros of the z-transform of the data segment, which are
effectively responsible for the appearance of severe destructive interference.

Figure 1 shows the zero's of the all zero z-transform model of the analytic signal associated with an
isolated echo. Convolution in the time domain is equivalent to multiplication in the z-domain, ie addition
of roots (zeros). The z-transform of a two scatterer reflector sequence, r[n] ~ den] + aden - no] is,
-'-
R(z) = 2.: (d[n] + aden - no])z-" which has roots which are simply, z = _a"O

Figure 2 shows the zero plot of the z-transform of a two scatterer convolutional model. Any zeros which
appear close to the angle representing the carrier frequency of the pulse( w,) are therefore contributions
from the reflector sequence. A zero with an angle close to w, corresponds to an angle of IT between over-
lapping pulse components and hence maximum destructive interference, during their period of overlap.

434
This situation will be one of severe destructive interference if the zero is close to w on the unit circle.
Adjustment ("ZAP") of this zero to a location it would occupy with much reduced dest~uctive interference
is then the aim of a corrective zero adjustment procedure.

A Simple ZAP : A simple ZAP procedure operating on a windowed rf A-line data segment is to simply
rotate the isolated ZAP zero closest tow, on the unit circle by an angle (signal bandwidth/4) away from
UJ c' This operation is based on the principle of moving the influence of the ZAP zero to a location in the
z-domain it would occupy for diminished interference. Since speckle is a consequence of severe destructive
interference, this situation may be reversed by changing the phase angle between the reflectors producing
the local speckle byn. This situation is approximated by the rotation procedure. The signal is then trans-
formed (by polynomial expansion) back into the inverse domain. To provide a corrected envelope for the
windowed section, the difference between this signal envelope and the original signal envelope is then
added to the A-line envelope.

Multi ZAP's: Multi ZAPping encompasses procedures which are not restricted to the isolated ZAP zero
closest to UJ c on the unit circle. A more accurate zero manipulation may be achieved by searching for a
'companion' zero to the ZAP zero. A companion zero is a zero present in the bandwidth of the signal which
has comparable distance from the origin to the ZAP zero. Such a zero will also be contributed by the
reflector sequence. A better estimate of the ideal signal may then be obtained by manipulating the zeros by
retaining the distance between the zeros but making them symmetrical about the lineUJ ,. The effect of this
procedure on the two scatterer model of figure 2, is shown in figure 3.

Noise: The effects of additive white noise to the A-line signal will be manifest in the z-domain as a shift
in the location of zeros. As the z-transform evaluated on the unit circle yields the fourier transform it is
evident that the location of zeros which contribute to large signal values will be least affected by noise.
Hence, fortunately, the z-transform zeros which need to be ZAPped are least affected by noise.

Resolution: As processing is limited to severe destructive interference areas the overall resolution of the
image is not disturbed. Moreover, the bandwidth of the modified segment is not significantly affected by
zero ZAPping even in modified segments.

SIMULATION RESULTS

Simulation model

As indicated above, it is difficult to assess the efficacy of a speckle reduction technique with real data
because the underlying scatterer distribution, and hence the ideal image, arc not known. It is thus appro-
priate to investigate any new proposed technique with the aid of computer simulations based upon a rela-
tively simple model for a pulse-echo data sequence. While good results with such simulations cannot
guarantee a similar performance with real data, they can at least provide some assurance that the speckle
reduction technique is not basically flawed.

The computer simulation utilises the widely accepted and conventional "convolutional" model for the rf
A-line. The received 20 pulse-echo signal, s [i , j] , is considered to be formed by the convolution of a
n,
'pulse', p [i. with a "reflector sequence", T [i , n.
s[i.j]~ p[i,;]®r[i.j] ( 1)
wherei, J denote the 2D spatial variables, and ® indicates the convolution operator.

The two dimensional pulse was modelled on measurements of actual pulses. The shape of the pulse is
assumed constant throughout the image. The reflector sequence is conventionally chosen to be a set of
delta functions.

The (envelope detected) point spread function of the imaging pulse, the simulated B-Scan and the
scatterer phantom are shown in Figures 4a, b & c. The aim of a speckle reduction technique should clearly
be to additively and selectively supplement the actual envelope at those locations where speckle is manifest,
while leaving other regions (which may, in fact show some signs of interference artefacts, but not so severe
as to be perceived as speckle) unchanged. No attempt is made to explicitly incorporate ultrasound attenu-
ation effects into the simulation, since they do not materially influence the development of a speckle
reduction procedure.

435
 b

Figure 4. a) Imaging pulse envelope detected point spread function. b) Simulated B-Scan. c) Phantom data
used for generating [b). d) Simulated B-Scan from [a) after zero adjustment processing. e) Ideal image
obtained from 32 compounds. f) Maximum image obtained by convolution of the absolute reflector
sequence with the envelope detected pulse.

436
 Simulations involved constructing rf A-line data as described above. The location and correction pro-
cedures were then applied. A further processing stage was performed to filter the additive correction lat-
erally, to the lateral resolution of thc original image, before addition to the original image. Results from the
multi ZAP described above are shown in figure 4d, and can be compared directly to the scatterer phantom
in figure 4c. The compounded ideal image is shown in figure 4e. As fully developed speckle is not prevalent
throughout the entire image, an image comprising of total constructive interference is shown in figurc 4f,
for comparison.

CONCLUSION

A novel two stage algorithm has been described that attempts recognition of speckle regions determi-
nistically and (given certain model restrictions) can compensate for severe destructive interference on a
deterministic basis. Processing results have been restricted to computer simulations in this paper to best
judge performance of a new correction procedure by exact knowledge of the test phantom and calculation
of an 'ideal' image.

The processing stage requires no a priori knowledge of the pulse or phantom data and is robust to noise.
The parameters required (w c and the signal bandwidth), can be calculated directly from the rf A-line data.
It has the advantage of application only to image regions pinpointed as being corrupted, and may be applied
on an individual A-line basis.

The recognition stage may be performed by analogue circuitry. The correction stage requires locating
and manipulating a single root of the z-transform of the selected segment in the case of the simple ZAP,
and a small subset of roots for multi ZAP's. The signal processing involved may be performed quickly using
current DSP technology. Processing lends itself to a loosely coupled parallel implementation due to A line
independence and also segment independence. These features implying a feasible real-time implementa-
tion.

ACKNOWLEDGEMENTS

The Scientific and Engineering Research Council, and the Wellcome Trust are gratefully acknowledged
for their financial support.

REFERENCES

Bamber J.e., Cook-Martin G., Texture analysis and speckle reduction in medical echography, 1987, Inter-
lIatjollal SVl1lPO£jl1ll1 on Patten! Recogllition alld Acoustical Imaging ed L A Ferrari Proc. SPIE vol. 768
(Bellingham: SPIE) pp 120-127.
Burckhardt, e.B., Speckle in Ultrasound B-Mode Scans, IEEE Transactjom on Sonjcs and Ultrasonjcs, vol.
SU-25 (1) 1978, pp 2-6
Castellini G., Labate D., Masotti L., Monnini E., Rocchi S., An adaptive kalman filter for speckle reduction
in ultrasound images The joun!al ofnuc/ear and aWed Kjences July-Sept. 1988
Galloway R L, McDermott A, Thurstone F L, A Frequency Diversity Process for Speckle Reduction In
Real-Time Ultrasonic Images IEEE Tramactiom onllltrawnjcs Ferroe/ectrics. and Frequency CQlltrol. vol.
35 (1) 1988 pp 45-49
Gehlbach S M 1987 Speckle Reduction Processing International SYl1lDosjum 011 Patten! ReCQgnjtjoll and
Acoustical Imaging ed L A Ferrari Proc. SPIE vol. 768 (Bellingham: SPIE) pp 178-84
Leeman S, Seggie D A. Speckle Reduction via Phase Inten/atjonal Symposjum Oil Patten! ReCQgnilion and
Acoustical Imagi1lg ed L A Ferrari Proc. SPIE vol. 768 1987.
Seggie D A and Leeman S 1987 Deterministic Approach towards speckle reduction lEE Proc. 134, A188-92
TraheyG E, Allison Smith S Wand Von Ramm 0 T 1987 Speckle rcduction achievable by spatial com-
pounding and frequency compounding: experimental results and implications for target detectability l.!lli:I.:
national Symposium 011 Patten! ReCQgnitioll alld Acoustical Imaging ed L A Ferrari Proc. SPIE vol 768
(Bellingham: SPIE) pp 185-92

437
 PHYSICAL CHARACTERIZATION OF MICROBUBBLE BASED ULTRASOUND

CONTRAST AGENTS

H.-J.Schmidt*, R.M.Schmitt*, A.Irion +, B.Bresser*

* Fraunhofer Institute for Nondestructive Testing

St. Ingbert, Germany
+Byk Gulden Pharmaceuticals
Konstanz

INTRODUCTION

During the past few years the application of microbubbles

in the lower micron range as ultrasonic contrast agent has
become more and more interesting. This is due to the fact that
microbubble based contrast agents became commercially avail-
able and that progress was made concerning some of the main
problems for the use of microbubbles as contrast agents, for
example bubble size and bubble lifetime.
The bubble diameter should be less than or equal to 6 ~m
because only these very small bubbles are able to pass the
capillaries with a diameter of about 6-8 ~m.
The bubble lifetime has to be long enough for the
microbubbles to pass the lung after venous injection. After
the passage of the lung the presence of the microbubbles in
the left heart and from there in the arterial system leads to
an increase of the contrast in the arterial vessels and the
arterial perfused tissue.
Besides these two parameters, bubble size and lifetime,
there are other parameters which are also important when
ultrasonic contrast agent's are used for image enhancement:
backscatter properties, velocity of sound and attenuation.
The backscattered amplitude of the ultrasound signal is
the source for the contrast of the image of the ultrasonic
system. To quantify the quality of the ultrasonic contrast
agents, it is necessary to determine it's backscatter
property. It is important that the backscattered amplitude is
high enough to achieve a certain amount of contrast but at the
same time the echoes that pass the contrast agent labelled
regions should be big enough to display the structures that
are located behind the contrast agent. Therefore it is
necessary to estimate the attenuation of the ultrasound signal
by the contrast agent. Especially the absorption of the
ultrasound by the microbubbles leads to a loss of amplitude
without a gain of backscattered signal. Therefore it is im-
portant to balance the relation between backscatter and
attenuation. Large changes in the velocity of sound due to the
presence of the microbubbles could affect distance measure-
ments.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.·P. HaJjes. Plenum Press. New York 1992 439
NUMERICAL SIMULATIONS

For the understanding of the physical properties of the

bubbles it is very important to notice that all the properties
mentioned above are determined by the effect that the bubbles
are oscillating under the influence of ultrasound. These
oscillations, especially their frequency-radius-dependence and
the influence of the surface tension cr, the density p and the
viscosity ~of the surrounding fluid on the oscillations are
very important for the understanding of the acoustical
relevant physical parameters. To quantify these effects of the
behaviour of the bubbles was simulated by solving numerically
the differential equation describing the motion of the bubble
with a radius RO (see Equation 1) by means of a Runge-Kutta-
Algorithm in a driving sound field Plcosffit /3/.

Solving this equation over a wide range of frequencies Wi

(100 kHz to 10 MHz) and calculating the normalized maximum
bubble radius leads to an overview about the osillation
behaviour of a microbubble. Figure 2 shows the result for a1-
~m-bubble under different conditions.

0
1.4
~0
p:: 1.2 ,._+--+----;1___,-'
-t--+-+-_::-;6_11
~
I : [ I
l-t-----i--+--+-++-+-f-+-ji-; i
Q)
"0 0.8 -t-----i--+--+~ ~~r-~-+--~,-'~
~ 0.6 H-f-+----i! j
!
!
! !
"i3..
S
<: 0.4 Ii
i\;--+--+-! 1i I '
I I
!
Q)
:> 0.2 I I
:0
«l
03 0
p::
0 2 3 4 5 6 7 8 9 10
Frequency [MHz]

Fig.1. Normalized maximum bubble radius for a microbubble

at different ultrasound amplitudes Pl (A: 0.1 bar,
B: 0.5 bar)

In this picture it is shown that the bubble oscillations

increase dramatically if the ultrasound frequency is equal to
the resonance frequency. At higher amplitudes (B) also higher
harmonics appear.
This oscillation behaviour is used in the two-frequency-
method originally developed by Newhouse 1 and his coworkers for
diameter measurements. We estimated the diameter distribution
of the microbubbles by extending this method for measurements
in the lower micron range. The ultrasonic contrast agent

440
consists of encapsulated microbubbles with diamet er s from 1 to
15 ~ m. More than 98 % of the bubbles are smaller than 7 ~ m.
The : ifetime of the bubbles at shelf concentration was about 1
min ute .

MATERIALS AND METHODS

The next figure schematically shows th e experiment al

setup used for the evaluation of the parameters' backscatte r ,
attenuation and sound velocity. Velocity of sound and
attenuation in contrast agents were estimated in tran sm issi on
mode experiments. The transmitting broadband tran s ducer wor-
k in g at a center frequency of 4.6 MHz was driven by a Metrotek
pulser and produced a broadband pulse with a 6 dB fractional
bandwidth o f 6.6 MHz. The receiving transducer had a center
frequency of 5 MHz with a 6 dB fractional bandwidth of ab ou t 4
MHz.

•
JI
(: II 11--
( \ II
,,,,,,,,,
,,,,,.,,,
,'/'",.",
,,~~~~

\ /
c pump )
( heating system )
, ,;;:::::::
-f
\.
thermometer

___ r-- !.{ chamber with contrast agent

~t transducer

pulser
I
::::.. ~
, ........... :::: ,
,
::---... ,
( water tank ) ,,,
I transducer
I

I ,
I

'n"igger
I receiver I ,
,I
I ,I
I gate ----------------------------- I

,I
I

I oscilloscope I spectrum
I
ana1yzerl I timer
I
Micl"ovax I
Fig.2. Schematical drawing of the experimental setup used
for the evaluation of the physical parameters

The r e ceived signals were amplified, gated and then fed t o a

HP 3585 A spectrum analyzer. The spectrum analy ze r was ho oked
up to a microcomputer system for further data processing and
display. The backscatter measurements were done in the pulse-
echo-mode where the transmitting transducer served as a

441
 -10
rl
cO
>-I I::Q
.j.J "d
0 ~-20
OJ
0..
(j)

0
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E
en
OJ
gOJ -30
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..c:
.j.J >-I
·H OJ
>-I lH
cO lH

0
01 ;S -40
H

-50
2 3 4 5 6
Frequency [MHz]
Fig.3. Mean value and standard deviation for 8 measurements
of the logarithmic spectral differences (LSD)
(Mean ± SD, N = 8, Dilution 1:1)

receiver too. All experiments were performed in an especially

designed measurement chamber made of lucite with removeable
walls for the different purposes.

RESULTS

a) backscatter

The logarithmic spectral differences (LSD) were determined by

subtracting the logarithmic bubble spectrum from the
logarithmic reference spectrum which was gained from a perfect
reflector.
The graph shows that the LSD of the backscattered signals are
almost frequency independent. This is in accordance with the
theory of Commander and prosperetti 2 . which states that
bubbles in a high concentration behave like a new coherent
scattering medium with properties which are approximately the
mean values of the two weighted components air and surrounding
medium. Bubbles in a very low concentration behave like single
oscillating incoherent scatterers.

b) attenuation

For the evaluation of the attenuation the LSD were

measured by comparing the spectrum of the transmitted
ultrasound signal for the ultrasonic contrast agent with the
spectrum of the transmitted signal for the water filled
measurement chamber without any attenuation. The mean value
and the standard deviation for 8 measurements of the LSD in
the range of 2-6 MHz are shown in figure 5. One can observe a
little decrease in the logarithmic differences (note the
sign). This is equal to a decrease of the attenuation of the
ultrasound signal as a function of frequency. It is

442
 o
1_ ~
rl
Cd
H
r:Q
'0
-2
-4
...... _ ... :.. :::.: ::: .. :. :::~~ .... ;,:~,
.j...J
~ , __ _ J' J
~
(]) -6 ------ .. _---_ .................. ::." ... .
P..
Cj)
-8
Ul
U
u -10
(])
-ri
Ei ~
..c:::
.j...J
(])
H
-12
-ri (])
H
Cd
'H -14
'H
tJ1 -ri
H
o a -16
-18
-20
2 2.5 3 3.5 4 4_5 5 5_5 6
Frequency [MHz]
Fig _4 _ LSD between the reference signal (no attenuation)
and the transmission signal through the contrast
agent (a fitted curve is displayed too)

Influence of Microbubble Concentration

on Ultrasound Velocity
( Mean ± SD; N = 8 )
1600

1550

1350 ~ .............. + ......... < ......... + ..............•........... I··················.

o 10 20 30 40 50 60 70
Time [s]

Fig.5. Velocity of sound as a function of time in a

microbubble based contrast agent

c) Velocity of sound

interesting to note that for this particular ultrasonic

contrast agent and the frequency range investigated the
attenuation at 2 MHz is about -5 dB while the attenuation at 6
MHz is about -2 dB _ This is contrary to the properties of
biological tissues. The attenuation coefficient normalized to
a distance of 1 em and based upon the assumption of a linear
relation between attenuation and frequency is -3.6 dB/MHz/em
for the undiluted ultrasonic contrast aqent.

443
The last step in the investigations was the evaluation of the
velocity of sound in the microbubble mixture. Figure 5 shows
the time dependency of the mean value and the standard
deviation for 8 measurements of the sound velocity. The
velocity of sound is rapidly increasing due to the decreasing
microbubble conc·entration. The mean velocity at the beginning
of the measurement was 1378 m/s. This is in accordance to the
model that microbubble based contrast agents behave as a homo-
genious medium at high concentrations with a changed ultra-
sound velocity.

CONCLUSIONS

The main facts that we got during our work of evaluating the
backscatter, the velocity of sound and the attenuation in the
frequency range of 2 - 6 MHz are:
- The backscatter transfer function for high concentrated UCA
was -27 dB below the value of the perfect reflector and
almost frequency independent.
The changes in the velocity of sound were in the range of
about 10 %.
The attenuation coefficient ranged up to -3.6 dB/MHz·cm for
the undiluted contrast agent and decreased as a function of
frequency. This is in contrast to the assumption that
microbubbles are Rayleigh scatterers. A possible explanation
for this is drawn from the following considerations:

The scattering behaviour of the bubbles is dominated by the

resonance effect. Every ultrasound frequency is principally
scattered by those microbubbles which have the corresponding
resonance frequency and which are therefore resonating.
Smaller bubbles have higher resonance frequencies. Therefore
the scattering at higher frequencies is dominated by smaller
bubbles with smaller scattering crossections and vice versa.

The main conclusions are:

1.The physical properties of microbubble based contrast agents

are determined by the oscillation behaviour of the
microbubbles.
2.The comparison of the backscatter transfer function with the
calculated backscattered amplitude under the aSfiumption of
coherent scattering shows similar results. This leads us to
the opinion that microbubbles based UCA's behave physically
at high concentrations as a new, coherently scattering
medium with changed acoustical properties and at low
concentrations like single, incoherently scattering oscil-
lators.

444
LITERATURE

1. V.L. Newhouse, P.M. Shankar: "Bubble size

measurements using the nonlinear mixing of two
frequencies", JASA 5:75 (1984)
2. K.W. Commander, A. Prosperetti: "Linear pressure
waves in bubbly liquids: Comparison between theory
and experiments", JASA 2:85 (1989)
3 W. Lauterborn: "Numerical investigations of nonlinear
oscillations of gas bubbles in liquids", JASA 2: 592
(1976)

445
 EFFECTS OF SPECKLE REDUCTION PROCESSING

ON ULTRASOUND B-MODE IMAGES OF SKIN TUMOURS

J.e. Bamber, D.e.Crawford, D.A.Bell, e.e.Harland,

B. A. Gusterson, P. S. Mortimer

Departments of Physics, Dermatology and Pathology

Institute of Cancer Research and Royal Marsden Hospital
Downs Road, Sutton, Surrey, SM2 5PT, England

INTRODUCTION

Current ultrasonic echo imaging systems permit the display of fine but artefactual
image detail (speckle), which is caused by interference at the receive between echoes from
structures which are too close to be separately resolved. We have reviewed previously
various methods for reducing speckle in medical ultrasound images and have reported a
method of adaptive filtering, which uses a statistical analysis of the image to recognise and
suppress (by smoothing) those parts of the image which correspond to speckle l ,2. We have
also embarked on several studies designed both to anticipate and to evaluate the likely
practical diagnostic consequences of this alternative method of displaying the ultrasound B-
mode information. In one of these a computer simulation is used to generate low contrast
lesions in a speckle background3 • These are used as test images in perceptual experiments
for evaluating the effect of speckle reduction on the visual detectability of such objects.
Direct clinical evaluation projects are also now underway, for which a fast processing
system was assembled4 and filtering techniques which compensate for the signal processing
in the ultrasound scanner were developed5 • However, apart from answering specific
questions such as arise when one is interested in measuring linear or area dimensions of
objects6, it is difficult to obtain anything other than qualitative feedback from short clinical
trials. The present study was undertaken to take advantage of an opportunity to assess the
performance and effects of the speckle filter on a series of images of skin tumours, under
circumstances where the lesions were due for excision and it would in principle be possible
to examine the correspondence between the image structures removed or preserved by the
filter and the histological structures actually present in the regions imaged.

MATERIALS, EQUIPMENT AND METHODS

This study was conducted using images from the same series of 16 skin tumours
described in a companion paper?, in which details of the imaging, excision and staining of
the skin tumours are also provided. Digital B-scan images were recorded directly from the
parallel computer interface of a Dermascan-C (Cortex Technology ApS) 22 MHz scanner

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.·P. HaJjes. Plenum Press. New York 1992 447
and processed on-line in about 6 seconds using an Imaging Technology System 151 and a
Tandon (IBM-AT compatible) controller. As described elsewhere 4 ,5 processing was
conducted with an algorithm which recognises speckle regions using a single feature, f (in
this case the variance), calculated over an 8 x 8 pixel moving window, The speckle variance
depends on the mean scattering level in a manner which is entirely determined by the
physics of incoherent scattering and by the signal processing in the scanner. Where regions
of tissue structure are imaged the local variance will usually be greater than this predicted
speckle (i.e, reference) value, f spec ' The dependence of the speckle variance on mean level
was measured for the Cortex scanner using specially constructed tissue phantoms which
provided speckle images of varying mean leveL The result, shown in Fig, 1, is a look-up
table for transforming a measured mean level into a speckle reference variance, against
which measured variances from the images to be processed may be compared, The shape
of the curve shown in Fig,1 is interesting and unlike those obtained from a number of
general purpose (3 to 7 MHz) ultrasound scanners 5 , The initial steep rise (close to a square
law dependence on the mean) is suggestive that the signal processing is close to linear for
low signal amplitudes and the rapid reduction in variance for high signal levels may be due
to early clipping of the signal by the 6 bit display memory, However, we have not yet
performed a study to confirm these assumptions,

3000
Q)
() 2500
c
o 2000
g 1500
"0
()
1000

.3 500

20 40 60 so 100 120 140 160 180 200 220 240 260

Local Mean

Figure 1, Measured variation of the average local (8 x 8)

variance of speckle as a function of its mean leveL

In brief, the filtering algorithm in this fast clinical implementation involves the
following steps, where each step generates a new image, 1) Calculate the local (8 x 8)
moving mean, J.l, of the input image, 1. 2) Calculate fspec by transforming J.l according to Fig.
1. 3) Calculate the local (8 x 8) value of the feature, f, directly. 4) Calculate the speckle
similarity coefficient, k = (f - f,pec) / (fstruct - fspec ), where fstruct is a user adjustable structure
reference for the variance feature. 4) Calculate the output image, 0 = J.l + k (I - J.l).

The choice of a symmetrical 8 x 8 filter kernel was determined by processor

hardware as the closest available fast convolution window size to include at least 2 speckle
cell widths and is applied to the digital data taken directly from the scanner, where the axial
and lateral sampling is in approximate proportion to the axial and lateral resolution. Such
sampling, although producing a distorted image if displayed directly, produces an
approximately symmetrical speckle cell which is easy for the filter to deal with (Fig. 2).
Therefore, for all images, speckle reduction was applied prior to our off-line scan conversion

448
Figure 2. B-scan of a compound Figure 3. Speckle reduced display of
melanocytic naevus. Total Image the image in Fig. 2.
size 22.4 mm (X) x 13.4 mm (Y).

Figure 4. Image of Fig. 3 after scan Figure 5. Van Gieson stained

conversion. histological section corresponding to
Figs. 2, 3 and 4.

Figure 6. Benign melanocytic naevus, Figure 7. Image of Fig. 6, speckle

conventional display. reduced display.

Figure 8. Two melanocytic naev ii , Figure 9. Image of Fig. 8, speckle

conventional display . reduced display.

449
process which, as described in the companion paper7, involved re-sampling and interpolation
so as to display undistorted images. Fig. 3 shows a speckle reduced version of Fig. 2, which
is shown after scan conversion in Fig. 4.

ANALYSIS

Visual comparisons were made between the speckle reduced images, the original (but
scan converted) B-scans and the histological sections, so as to identify the histological nature
of the regions which the filter chose to smooth. Mean grey levels before and after filtering
were compared digitally. Tumour depth and width before and after speckle reduction were
compared by displaying the images sequentially and noting whether there appeared to be a
shift in the position of the tumour margin. Finally, during visual scoring of the B-mode
features for correlation with histology7 a subjective impression was formed as to whether
such scoring was easier using the original images or the speckle reduced images.

RESULTS AND DISCUSSION

The subjective appearances of the B-scans and the histological sections strongly
suggested that all histologically related information that was ultrasonically resolvable was
preserved in the filtered images. As a corollary to this; it was observed that the regions
rendered as a smooth grey by the filter tended to occur in the subcutaneous fat, some
(though not all) of the dermis and in those tumours that were uniform and densely cellular.
These regions did indeed correspond to areas where the histological detail was finer than
the 50 l..Im x 300 Ilm resolution cell of the scanner. Fig. 4 shows the processed image of a
compound benign melanocytic naevus, for which the unprocessed scan and the histological
section are shown in Figs. 2 and 5 respectively. Microscopic inspection of the histological
section demonstrated that the smoothed regions inside the tumour in Fig. 4 corresponded to
uniform cellular regions whereas preserved regions corresponded to regions of internal
stratum corneum and collagen. Figs. 6 to 9 show further examples of moles, indicating that
the tendency for these tumours to be cellular and uniform in nature often results in a very
smooth internal echo level after processing.

Textural variations within tumours, corresponding to internal tumour heterogeneity

were preserved. This can be seen in the reduced speckle display of the basal cell carcinoma
of Fig. 10 and the dermatofibroma of Fig. 11, for which the original image and the histology
are presented in Figs. 3 and 4 of the companion paper7. Characteristic differences in texture,
such as between heterogenous and homogeneous tumours (e.g. compare Figs. 10 and 7) or
between the internal echoes of a lesion and the surrounding dermis, appeared to be enhanced
in the reduced speckle display. Figs. 8 and 9 illustrate a case where speckle reduction was
regarded as enhancing the fact that the echo texture of the dermis appears more
heterogeneous than the internal tumour regions. Figs. 12 and 13 illustrate the opposite
situation where the greater heterogeneity of echoes within the basal cell carcinoma, as
compared to the dermis, appears enhanced in the reduced speckle display.

As would be expected, the mean grey level within speckle regions remained
substantially unaltered by the processing (generally not changing by more than 3%, with no
directional bias) but the standard deviation within such regions was often reduced by as
much as 75%. Speckle reduction appeared to have no obvious effect on the visual judgement
of tumour depth and width. However, it was felt that the processing made it easier to judge
the positions of lesion margins (see, for example, the BCG granuloma shown in Figs. 14 and

450
15). Therefore, in the future, a controlled blind study may reveal a smaller vanatIOn in
values for such dimensions when a reduced speckle display is used. It was also our
impression that the processing made it easier to judge other features in Table I of the
companion paper7, such as echo strength and uniformity. Again, a controlled study with a
large number of tumours would enable testing to see whether speckle reduction reduces the
variance of such visually scored features and improves correlations such as those displayed
in Fig. 7 of the companion paper.

Figure 10. Reduced speck le display of a Figure 11. Reduced speckle display of a
basal cell carcinoma. Original display and dermatofibroma. Original image and
histology Figs. 3 and 4 of companion histology in Figs. 1 and 2 of the
paper7. companion paper7.

Figure 12. Original display of B-mode Figure 13. Reduced speckle display of
image of a basal cell carcinoma. the basal cell carcinoma in Fig. 12.

Figure 14. Original B-scan of a BeG Figure 15. Reduced speckle display 01
vaccination granuloma. the BCG granuloma shown in Fig. 14.

Careful observation of which regions are smoothed and which are not, in the reduced
speckle display, can be thought of as being a method for providing tissue characterization
information, which is a theme discussed at greater length elsewhere in these proceedings 8.
Benign moles, for example, were noted from the amount of speckle smoothing as containing
a greater amount of fine, unresolvable structure than many of the other lesions examined.
This approach to tissue characterization, where the feature used to classify image texture is
used to alter and enhance the already familiar B-mode image, is an alternative to the

451
parametric imaging approach in which unfamiliar images of the feature itself are viewed
directly9. There is likely to be considerable merit in both approaches. For the future, these
observations give encouragement that computer analysis and quantification of B-mode
texture features may provide a useful aid to distinguishing between histologically different
types of skin tumours.

CONCLUSION

The images displayed with reduced speckle were regarded by the dermatologists as
easier to interpret since the filter had provided assistance with the task of distinguishing
informative from uninformative detail. In general such help is likely to be particularly
important in a new and developing subject such as ultrasound imaging in dermatology,
where the extensive training in image interpretation received by radiologists is not yet
available. Under such circumstances it is especially important that the images are displayed
in a manner which makes them as easy to interpret as possible and that there be minimal
variation in image appearance between one scanner and another. The results presented in this
preliminary study suggest that the reduced speckle display method described represents a
step in this direction, with no sacrifice of important image information related to true tissue
histology.

REFERENCES

1. J.e. Bamber and G. Cook-Martin, Texture analysis and speckle reduction in medical
echography, in: "Pattern Recognition and Acoustical Imaging" (Ed. L. Ferrari) SPIE
Publn 768:120-127, SPIE, Bellingham, WA (1987)
2. J.e. Bamber and e. Daft, Adaptive filtering for reduction of speckle in pulse-echo
images, Ultrasonics, Jan. '86:41-44 (1986)
3. H. Lowe, J.e. Bamber, S. Webb and G. Cook-Martin, Perceptual studies of contrast
texture and detail in ultrasound B-scans, in: "Medical Imaging II", SPIE Publn
914:40-47, SPIE, Bellingham, WA (1988)
4. J.e. Bamber, D.S. Bell, D.e. Crawford, G. Cook-Martin, C.R. Hill and J.V. Phelps,
Fast image processing systems for evaluating the clinical potential of ultrasound
speckle suppression and parametric imaging, in: "Medical Imaging III: Image
Processing" (Eds. R.H. Schneider et al) SPIE Publn 1092:33-39, SPIE, Bellingham,
WA (1989)
5. D.C. Crawford, D.S. Bell and J.e. Bamber, Implementation of ultrasound speckle
filters for clinical trial, in: "Proc. IEEE 1990 Ultrasonics Symposium", ISSN 1051-
0117:1589-1592, IEEE, New York (1990)
6. R.J. Massay, R.B. Logan-Sinclair, J.e. Bamber and D.G. Gibson, Quantitative effects
of speckle reduction on cross sectional echocardiographic images, Brit. Heart J.
62:298-304 (1989)
7. J.e. Bamber, e.c. Harland, B.A. Gusterson and P.S. Mortimer, Correlation between
histology and high resolution echographic images of small skin tumours (companion
paper in this volume)
8. J.T.M. Verhoeven and J.M. Thijssen, Improvement of lesion detection by
echographic image processing (paper in this volume)
9. J.S. Bleck, M. Gebel, R.H. Hebel, S. Wagner, K.J. Schmitt, S.T. Kruip, M. Wolf and
F.W. Schmidt, Intelligent adaptive filter in the diagnosis of diffuse and focal liver
disease (paper in this volume)

452
 B-SCAN-SONOGRAPHY IN DERMATOLOGICAL ROUTINE DIAGNOSTICS

Klaus Hoffmann, Harald Schatz, Stephan el Gammal,

Peter Altmeyer

Dermatological Department of the Ruhr Universitat

Bochum in st.Josef'Hospital

In dermatological routine diagnostics, as yet, only few technical procedures

have been made available to support macroscopic diagnostics. Conventional
sonographical instruments have not been suitable for this purpose, since they
are of too low resolution or are producing only a one-dimensional amplitude
image of reflecting signals. Only recently high-frequent ultrasound imaging
systems with sufficient axial and lateral resolution as well as the possibi-
lity of a two-dimensional image display have been made available.

Internists, gynecologists and most other specialists are using sonographical

instruments with frequencies of approx. 5 - 10 MHz, since information about
inner organs is needed, and fine tissue details are of minor importance. The
fact is: The higher the frequency, the smaller the depth of penetration . with
high frequencies, however, smaller details may be recognized.

The dermatologist needs micromorphologic information about the skin - but only
the relatively low depth of penetration of a few millimeters. These require-
ments can only be accomplished by instruments working with a suitably high
frequency of at least 15 MHz megahertz = millions of hertz [1]. They are
named "high-resolution" scanners. Besides the high resolution, only two-
dimensional imaging, the so-called b-scan, allows topographic orientation in
the skin. Instruments complying with these requirements are now available [2].

USE OF SKIN SONOGRAPHY

Primarily the b-scan was used for the pre-operative determination of the tumor
thickness in malignant melanoma and tentatively for the determination of the
depth of expansion of burn lesions. After improvement of the scanners further
applications followed, like assessment of the induratio penis plastica,
examination of the testes, evaluation of the atrophying effects of cortico-
steroides on the skin, and quantification of the infiltrate in type IV
reactions. Particularly important is the follow-up of the progress of the
scleroderma by means of skin sonography. Clinical routine is the diagnostics
of lymph nodes and tumors by means of medium-frequent ultrasound instruments
3.5 - 7.5 MHz. After appropriate training this diagnostics also may well be
performed by dermatologists. A highly specialized sonographical application in
dermatological research is ultrasound microscopy. It works with frequencies
above 150 MHz and allows to study the reflex behavior of individual cells in
vitro at a resolution of approx. 1 ~m.

Acoustjcal lmagjng, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 453
INSTRUMENT~

At present the European market offers two b-mode scanners working with fre-
quencies of 20 MHz, which are suitable for dermatological applications. Both
systems proved reliable in our routine diagnostics: "Digital Ultrasound
Imaging System 20 MHz [DUB20)" (taberna pro medicum, Liineburg, FRG) and
"Dermascan C" (Cortex Technology, Hadsund, DK). In both instruments computer
systems are incorporated allowing image analysis and image arrangement as well
as b-scan display. Since the human eye can only differentiate 64 grey levels,
both instruments assign the echo amplitudes to pseudo colors. This color
coding to 256 color grades allows better differentiation of the individual
structures on the monitor. Bright colors correspond to high and dark ones to
weak reflection. The lateral resolution reached by the scanner is approx. 200
~m, the more important axial resolution is approx. 80 ~m.

SONOGRAPHICAL ANATOMY OF. THE SKIN

with the entry echo, generally found in the sonogram as a horizontal echo-
dense band, the scanner displays the impedance jump from water to epidermis
together with epidermal reflections [9). The thickness of the entry echo,
therefore, is not exactly identical with the thickness of the epidermis. The
entry echo is generally followed by the corium represented rich in echoes. It
may be intermingled with echopoor areas corresponding to hair follicles.
Correlation of the thickness of the corium in the sonogram with histometric
measurements is possible. In some body regions there is a small margin rich in
echoes on the bottom brim of the corium. Possibly this is caused by a stronger
tension of the corium in this area and/or by the sweat gland depot. The
subcutis is presented poor in echoes. It is often interlaced by parts high
echogenic parts corresponding to connective tissue septa. The sometimes also
visible muscle fascia are presented echo-rich as well.

SKIN THICKNESS

From literature only few information about the skin thickness of human skin in
vivo is available. Sonography can be used as a non-invasive measuring tech-
nique for screening examination. Thick skin can be found at the top and bottom
parts of the back, at the scapula, and at the chin. At these parts a "flaky"
echo pattern is regularly noticed in the bottom corium without a sharp limit
to the subcutis. The flaky "snowdrift-like" reflex pattern of the corium in
these regions complicates the limitation of structures poor in echoes.
Basically the fact is: The richer in echoes and more homogeneous the corium,
the more simple the interpretation of the image. However, it is a mistake to
digitally amplify the echo amplitudes to get an apparently better image. In an
overdriven image fine tissue structures cannot exactly be differentiated or
classified.

The skin in the armpits, at the volar side of the upper- and forearms as well
as at the back of the hands is particularly thin. These statements are valid
for both sexes, whereat female probationers throughout showed thinner skin
than male ones. The skin of children is sonographically poorer in reflexes and
thinner than that of adults.

SONOGRAPHICAL PHENOMENA

Reflex behavior of the corium and the epidermis is correlating with skin
tension. Strained skin shows essentially more reflection than unstrained
skin [4). Skin of older human beings, therefore, often impresses by a
reflex pattern without any contrast.

454
Changes in the upper corium as found in actinic elastosis or in the skin of a
rosacea patient impress by a band poor in echoes situated beneath the entry
echo.

Among cysts, major arteries, and solid basalioma frequently a "dorsal sub-
tumoral sound amplification" can be found. This phenomenon is caused by a
reduced absorption of the signal in these structures. Crusty or hyperkeratotic
overlays may as well absorb as reflect the sound increasingly. Subsequently
this results in a "dorsal sound reduction" among these areas or even a "total
sound shadow". During the examination of exophytic skin tumors the sonogram
frequently shows an interruption in the lateral, upward and downward sloping
margins of the entry echo. This is caused by a lateral scattering of the
signals striking the margins of the tumors. A scattering of the signal may
also be observed with very uneven skin surfaces as for instance with papillo-
matous nevus-cell nevi. This is particularly disturbing since tumors are
mostly echopoor and with the loss of an entry echo a leading structure for
orientation is missing.

aISTOLOGICAL CORRELATION OF THE SONOGRAPHICAL FINDING

Only the exact correlation of the sonogram with the fine tissue section
enables us to study skin sonography [8]. It has to be considered that skin
thickness measures from histological section generally have higher values than
those measured in vivo. Among other things this is caused by the reduced
tension of the biopsy after the excision. During preparation of the histolo-
gical material with dehydration steps and deparaffining, the tissue shrinks
and a reduced skin thickness can rather be expected. Obviously the thickness
of the biopsy having increased by the reduced tension is predominating the
shrinkage artefacts resulting from the histological preparation. Besides it
has to be considered that the histological section is as thick as approx. 7
~m. The scanner, however, sums up structures of a width of approx. 200 ~m for
a sectional image. Therefore, an absolute correlation of sonogram and fine
tissue section cannot be expected while performing thickness measurements or
comparing morphologic structures.

EXAMINATION PROCEDURE

To execute consecutive follow-up examinations a well conceptualized catalog of

images should be built up. The following examination procedure is recommended:

The patient should be well-informed about the nature and execution of the
examination since his assistance is necessary.
Standardized examination conditions should be maintained always and at
any time. settings of signal strength, amplification of reflex amplitudes
etc. should be maintained as far as possible. If these have to be changed,
a sonogram in the "normal setting" should always be made for comparison.
It is recommended that during the examination the patient keeps a laying
position. The skin to be examined should be moderately strained. For
better display of structures it may be necessary to examine the skin at
different tensions.
For the correlation sonogram to fine tissue section it is inevitable to
determine the levels to be examined.

The sonographical finding should include the following basic items besides the
usual patient data and the examination date:

Clinical diagnosis of the finding to be sonographically examined.

Exact anatomical description of the area.
How many section levels were examined in which axis?

455
 Reflex behavior and thickness of the entry echo of epidermis, corium, sub-
cutis and muscle fascia have to be thoroughly described.
If available structures of interest (STOI) or regions of interest (ROI)
have to be investigated further in pathological as well as physiological
skin conditions.
ROI and STOI are to be described according to situation, size, limita-
tion and reflex behavior.

The final valuation of the findings is made under consideration of the clini-
cal information.

~KIN T{JMORS

For a long time, sonography has been used in the check-up of metastasizing
neoplasms for the detection of metastases. In dermatological tumor follow-ups
mostly the inguinal and axillary lymph nodes are examined. With these applica-
tions generally 3.5 - 7.5 MHz scanners are used.
According to current knowledge melanoma as well as their metastases are
represented poor in echoes [5,6,8,11]. Besides the low echogenity, melanoma
reveal no characteristic sonographical features. However, it was shown that
the sonographical evaluation of the tumor thickness correlates well with the
histometrical one, although the tumor thickness measured sonographically is
often slightly higher. Responsible is the inflammatory infiltrate situated
below the tumor which often cannot be differentiated from tumor parenchyma
[7]. Tumor thickness measurements are also limited by the resolution capacity
of the instruments. Since high-resolution ultrasound instruments with 20 MHz
enable an axial resolution of only approx. 80 ~m, a definite sonographical
image of the malignant melanoma with the possibility to evaluate the depth of
invasion are only possible from a Clark level II. Fig.1 shows the sonogram of
a superficial spreading melanoma. The tumor parenchyma (T) does not cause any
sound reflections. The disruption of the entry echo (E) is an artefact due to
dispersed reflections. The histologically verified inflammatory infiltrate
below the tumor is sonographically presented as a zone of sparse eChogenity
(solid arrows).

sonography of the melanoma, however, is of great importance for pre-operative

diagnostics. By non-invasive determination of the vertical tumor thickness the
surgeon receives important information for planning the operation procedure.
Computer supported reconstruction programs allow exact determination of tumor
surfaces and the tumor volume from 3D-reconstructions obtained from sonograms.
By means of these two parameters the invasive tumor mass may be postulated as
a prognostic criterion.

Today it may be assumed that most neoplasms of the skin present themselves as
structures poor in echoes. Individual characteristics, however, may be ob-
served more often with certain neoplasms than with others. The basalioma, for
instance, often shows inhomogeneously distributed, weak internal echoes and
sometimes a sound amplification below the tumor [7]. Fig.2 is an example for
the sonographical characteristics found in basalioma. The tumor is echo-poor,
but with a few internal echoes (arrows). The corium is shifted towards the
subcutaneous tissue (C).
From own experiences sonography has its diagnostic place in the assessment of
morphea-like basal cell carcinoma. Generally the tumor can be well confined,
since tumor stroma and tumor parenchyma sonographically are presented as a
"unity". In some cases the actinic elastosis, also poor in echoes, compli-
cates the demarcation. In these cases forced extension of the skin during the
examination is sometimes helpful. By this tension the echogenity of the
actinic elastosis is increased and the tumor, poor in echoes, can be
demarcated. A definite diagnosis on the basis of the sonographical image only
is not possible. For instance, nevus-cell nevi completely without echoes or

456
 Fig.l. Sonogram of a superficial spreading
melanoma. T = tumor parenchyma, E = entry echo,
S = subcutis, outlined arrow = artefact, solid
arrows = inflammatory infiltrate.

malignant melanomas with strong internal reflexes can be found. The

sonographic image of a nevus-cell nevus is shown in Fig.3. Above the entry
echo a hair was detected (H). Right below is the hair follicle (big arrow).
The nevus (N) is presented echo-poor with only a few internal echoes (small
arrow). In the subcutis (S) we find two high echogenic trabeculae of
connective tissue.
Well to differentiate from other skin tumors are verrucae seborrhoicae. They
are expressed by a clearly distributed entry echo and a sound shadow.

457
 Fig.2. Sonogram of a basalioma. T = tumor, E
entry echo, S = subcutis, arrows internal
echoes.

INFLAMMATORY DERMATOSES

So far, the clinical assessment of inflammatory skin diseases was only

possible by palpation and visual examination. Hereby, with the estimation of
infiltrates for instance, different evaluators may come to different and
subjective conclusions. A similar situation we have with the assessment of
scleroderma by means of conventional methods.

458
 Fig.3. sonogram of a nevus-cell nevus. H =
hair, N = nevus, S = subcutis, large arrow =
hair follicle, small arrow = internal echoes.

Thickness measurements of skin folds at the sclerodermia plaque are unreliable

and radiographic methods and repeated biopsies are straining the patient
intolerably. Here the new high-frequent scanners are of great help. The
sonographical thickness measurement of the sclerodermia plaque correlates well
with the standardized radiological methods and is a valid measure for the
follow-up of progression. The progression of the sclerosis in patients with
progressive systemic sclerodermia can be observed in the distance of skin to
bone at the fingers [10). Particularly useful is sonography in localized
sclerodermia. Here we take consecutive sonograms on designated skin sites in
different locations.

459
Another example for the value of high-frequency sonography is psoriasis
vulgaris. Due to the fact that infiltrates are presented poor in echoes and
hyperkeratoses are displayed echo-rich it is practical to follow the course of
the disease with sonography. The entry echo of the psoriatic plaque is clearly
broadened. It generally followed by an area poor in echoes corresponding to
the acanthosis and to a dense inflammatory infiltrate. The corium below is
intermingled with only a sparse infiltrate. This leads to a reduction of the
echoes below the plaque.

For the sonographical quantification of inflammatory infiltrates in the skin

the echo poorness of the infiltrate is utilized or the inflammatory thickening
of the skin is measured. While examining type IV reactions upon recall
antigens a good correlation of the conventionally and sonographically measured
papule is the result. One advantage of sonography is the ability to exactly
quantify the reaction in the axial direction which is not possible clinically.
One disadvantage is that at this time a differentiation of edema and infil-
trate is not actually feasible, since both are echo-poor structures. Computer
supported automatic image analyzing systems may possibly help with this
application. Already today the exact measurability of the infiltrate allows
follow-up studies of chronic inflammatory dermatoses like lichen ruber planus
or severe kinds of atopic dermatitis. The use of sonography with the above
indications is only possible by using the most up-to-date versions of
instruments.

OUTLOOK

As an optimal solution a real time scanner featuring a 3.5 - 7MHz, a 20 MHz, a

70 MHz as well as a 150 MHz transducer would be desirable. With these frequen-
cy ranges most of the dermatological applications could easily be carried out.
Regretfully it is not to be expected that sonographical instruments of this
kind will be available in the very near future. In the routine diagnostics in
dermatological clinics ultrasound instruments should already be part of the
basic equipment.

References

1. Alexander H, Miller DL 1979 Determining skin thickness

with pulsed Ultrasound. J Invest Dermatol 72: 17-19

2. Breitbart EW, Muller CH, Hicks R, Vie1uf 0 1989 Neue Ent-

wick1ungen der Ultraschalldiagnostik in der Dermatologie.
Akt Dermatol 15: 57-61

3. Buhles N, Altmeyer P 1988 Ultrascha11mikroskopie an Haut-

schnitten. Z Hautkr 64: 926-934

4. Dines KA, Sheets PW, Brink JA, Hanke CW, Condra KA, Clen-
denon JL, Goss SA, Smith JS, Franklin TO 1984 High fre-
quency ultrasonic of skin: experimental results, Ultrason
Imaging 6: 408-434

5. Hoffmann K, el-Gammal S, Altmeyer P 1989a 20 MHz B-scan

Sonographie an Handen und FliBen in Handsymposium. In: Alt-
meyer P et al Hrsg Dermatologische Erkrankungen der Hande
und FuBe. Editiones Roche, Basel, S 285-300

460
 6. Hoffmann K, el-Gammal S, Matthes U, Altmeyer P 1989b 20
MHz-Sonographie der Haut in der praoperativen Diagnostik. Z
Hautkr 64: 851-858

7. Hoffmann K, Stucker M, el-Gammal S, Altmeyer P 1990 Digi-

tale 20-MHz-Sonographie des Basalioms im b-scan. Hautarzt
41: 333-339

8. Murikami S, Miki Y 1989 Human skin histology using high-

resolution echography. J Clin Ultras 17: 77-82

9. Querleux B, Leveque JL, Rigal J de 1988 In vivo cross-

sectional ultrasonic imaging of human skin. Dermatologica
177: 332-337

10. Serup J 1984 Quantification of acrosclerosis: measurement

of skin thickness and skinphalanx distance in females with
15 MHz pulsed ultrasound. Acta Derm Venereol Stockh 64:
35-40

11. Strasser w, Vanscheidt w, Hadedorn M, Wokalek HF 1986 B-

scan Ultraschall in der Dermatologie. Fortschr Med 25: 495-
498

461
UTILIZA TION OF SURF ACE ACOUSTIC WAVES AND SHEAR ACOUSTIC
PROPERTIES FOR IMAGING AND TISSUE CHARACTERIZATION

Armen Sarvazyan, Andrew Scovoroda * Du§an Vu~eli6

**

Institute of Theoretical and Experimental

Biophysics, Acad. Sci. USSR, Pushchino 142292, USSR
* Research Computing Center, Acad. Sci. USSR
** Pushchino, 142292, USSR
Insti tute of General and Physical Chemistry
Belgrade, 11000, Yugoslavia

INTRODUCTION

Conventional acoustic methods of medical diagnostics are

based on the application of bulk compressional (longi tudinal)
waves. Propagation of compressional waves :i n biologi cal
tissues has been extensively studied and discussed in the
literature. But there are only very few studies on the other
modes 1 .9{1 acoustic waves in tissues such as shear or surface
waves
Difficulties in the investigation and utilization of
shear acoustic waves are caused by their extremely high
attenuation in tissues and also by a number of unusual
mechanical properties of tissues making them significantly
different from other objects in which shear waves can
propagate.
Fig. 1 shows the dependence of veloci ties of various
types of acoustic waves on the value of the Poisson ratio, "
of the media. The value of (J for solids is typically wi thin
the range of 0.2 0.4 which means that the velocities of
different types of waves are of the same order of magnitude.
The value of (J for biological tissues is about 0.4999, v,,,ry
close to the extreme value of (J equal to 0.5. This means that
the velocity of compressional waves is about two orders of
magnitude higher than that for all other types of wav,s. This
ratio is large in a wide range of frequencies up to 10 Hz, in
spite of a large dispersion of the velocity of shear waves in
tissue (Fig. 2). The velocities of these "slow" waves in soft
tissues are determined mainly by shear modulus which is a
character~sfiic of tissue sensitive to its functional state and
structure' . Because of the high information value of shear
elastic properties of tissues a number of methods for
evaluating these properties have been developed. One of such
metho~s ~s6 ~afodl2'n the measuring surface wave propagation
velocl ty , " , .

Acousticallmagillg. Volume 19
Edited by H. Ermert and H.-P. Harjes. Plenum Press. New York 1992 463
 0,8 Liver
-:0 80
>' 0,6 E
-
>
4 ~60
u
0
0,4 a; 40
>
0,2 ...........
. . . . . . . . ..
....... ,"
m20
.J::.
t.f) _ee
~~~:::: ~:~:::. ~:~:::~:;: 0
o 0,1 0,2 0,3 0,4 0,5
0,01 0,1 1,0 10
Frequency ( MHz)
100
6
Fig. 1. Fig. 2.

Fig. 1. Ratios of the propagation velocities of different

types of waves to the longitudinal wave velocity, VI'
as functions of Poison's ratio, (T, of the media. The
line 1 corresponds to the Lamb wave in the thin
plates, line 2 is for the longi tudina1 wave in thin
rods, line 3 is for shear wave and line 4 is for the
Raileigh, surface, wave velocities.

Fig. 2. Frequency dependence of the velocity of shear waves in

liver: 0 - data from Ref. 3; • - our data

For detecting shear elasticity of internal tissues other

approaches are used. They are based on the an~lysi s of the
changes in the images of tissues obtained by conventional
ul trasonic methods under the conditions when the tissue is
:,ubjected to :P3s:r~nical vibrations from an external or
lnternal source

IMAGING OF SURF ACE ACOUSTIC PROPERTIES OF SKIN FOR MEDICAL

DIAGNOSTICS

In the region close to 0=0.5 typical for soft tissues,

velocities of shear and surface waves differ by only 4%,
therefore the measurement of surface wave propagation
velocities yields a? approx~~,t~o value of shear modulus.
Described in the 11terature ' devices for determining
surface wave velocity in tissue are not sufficiently flexible
to be used for medical purposes in clinical conditions. They
comprise complicated electronic instrumentation and circuitry.
The construction of probes excludes a possibili ty for the
measurements in the most parts of human body and each
measurement takes a long time.
We have developed a new device for medical diagnostics
based on the ~~e of surface waves and called ASA - acoustical
skin analyzer . ASA is a hand - held instrument providing
easy measurements at any required area of the human body.
The device comprises a probe with one transmitting and
two receiving flexural bimorphous piezotransducers provided
with tips to contact examined tissue and mounted by elongated

464
shafts serving as delay lines to a body of the probe. To
eliminate the error caused by the pressure dependence of
tissue elasticity the pt'obe is supplied by an element which
automatically allows the measurements only when the probe is
pressed against tissue with a standardized force adjusted
wi thin a predetermined range. One measurements takes a few
secon~s. The device operates at the frequencies of the order
of 10 Hz.
Investigations carried out on volunteers and patients
having various dermatological and other diseases have revealed
significant acoustical heterogeneity and anisotropy of skin.
The value of surface acoustic wave propagation speed in skin
usually varies within 20-100 mls in different areas of the
body. Various dermatoses, skin cancer, inflammatory processes
in superficial tissues and a number of other diseases can be
detected by imaging the distribution of surface acoustic wave
velocities in a chosen area of skin.
The pattern of distribution of the velocities of a
pathological process and imaging of surface acoustic
properties can be efficiently used in diagnostics and for the
assessment of treatment efficacy (Fig. 3) •

ApPROACHES TO TISSUE CHARACTERIZA TION IN MEDICAL IMAGING IN

TERMS OF SHt:::AR ELASTICITY

Shear viscoelastic properties of tissue are directly

related to the palpatory "hardness" or "softn-::ss" of tissue
and are significantly changed during various inflammatory or
malignant processes. Attempts to characterize shear mech a nical
properties of tissue in acoustical imaging based on th e
analysis of mechanical response to internal or external source
3 Vs
(m/s)

80
(1)
60

40

20

Fig.3. Imaging o f the elasticity of

skin in terms of surface
wave velocity. Th e area 3 em
x 3 em of the s kin of a
patient with mycosis
fungo ides before (1) and
after (2) therapy is shown.

Fig.4 . Mathematical simulation of

remote detection of shear
elasticity of tissue in
medical imaging. See text.

465
 ·
of deformatlon 12-15 have b een semlqua
. l1 ' t '
atlve an d emplrlca.
.. 1
Further development of these approaches require solution of an
inverse problem, i.e. reconstruction of distribution of
mechanical properties of tissues from the registered
mechanical response of imaged structures.
Theoretical analysis of this problem and computer
simulation of the response of mechanically vibrated tissue
models enabled us to solve boundary problems for a system of
partial differential equations describing dynamic behavior of
the model. An example of solving of inverse problem is shown
in Fig. 4. The upper part of the Fig. 4. represents the model
which has been calculated: a gel phantoHl enclosed in a solid
frame and having two inclusion, one harder o.nd the second
softer than the surrounding media. The middle part shows the
results of solving the direct problem. i.e .• the pattern of
the relative displacements (or velocities) of particles of the
model under the action of the vibrator. The lowest part
represents the distribution of the Young's modulus values
calculated from the data of the middle figure.
It is shown that mechanical characterization of internal
tissues obtained from the changes in the geometrical or
dynamic features of the image can be used in various types of
acoustic imaging instruments as well as in some other
modalities of medical imaging such as CT or MRI.

REFERENCES
1. A.P. Sarvazyan, V.I. Pasechnik and S.E. Shnol, Low
Velocity of sound in gels and protoplasmatic structures,
Bi o·'f i z i k a, 13: 587 ( 1968 )
2. A.P. Sarvazyan. Low-frequency acoustic characteristics of
biological tissues, Polymer Mechanics. 4:594 (1975)
3. L.A. Frizzell, E.L. Carstensen and J.E. Dyro, Shear
properties of mammalian tissues at low megahertz
frequencies, J. Acoust. Soc. Am .• 60:1409 (1976)
4. E.L. Madsen. H.J. Sathoff and J.A. Zagzebski, ULtrasonic
shear wave properties of soft tissues and tissuelike
materials. J. Acoust. Soc. Am., 74:346 (1983)
5. R.O. Potts. D.A. Christman and E.M. Buras Jr., The
dynamic mechanical properties of human skin in vivo, J.
Biomechanics, 16:365 (1983)
6. P.L. Dorogi. G.M. Dewitt and E.M. Buras Jr.,
Viscoelastometry of skin in vivo using shear wave
propagation. Bioeng. Skin, 2:59 (1986)
7. B.R. Davis. E. Bahniuk. J.K. Young. C.M. Barnard and J.M.
Mansour. Age-dependent changes in the shear wave
propagation through human skin, Exp. Gerontology, 24:201
(1989)
8. D. Vu~eli6 and A.P. Sarvazyan, Surface acoustic waves in
medical diagnostics. Proc. 13th Int. Congr. Acoust., Vol.
4, p. 171. Belgrade (1989)
9. J.M. Pereira, J.M. Mansour and B.R. Davis, Analysis of
shear wave propagation in skin; application to an
experimental procedure, J. Biomechanics. 21:745 (1990)
10. V.V. Kazakov, B.N. Klochkov and P.K. Chichagov, The study
of dispresive characteristics of a wave on a human body,
in: "Methods of vibrational diagnostics of rheological
properties of soft materials and biological tissue", V.A.
Antonets Ed., Inst. Appl. Physics Publ.. Gorky. p. 35
(1989)

466
11. T.N. Pashovkin and A.P. Sarvazyan, "Mechanical
characteristics of soft biological tissue, Ibid., p. 105
12. A.P. Sarvazyan, V. Ponomarjev, D. Vu~e1i6, G. Popovi6 and
A. Vexler, "Method and device for acoustic testing of
elastici ty of biological tissues, U. S. Patent 4.947.851
8/1990
13. M. Tristam, D.C. Barbosa, D.O. Cosgrove, D.K. Nassiri,
J.C. Bamber, C.R. Hill, Ultrasonic study of in vivo
kinetic characteristics of human tissues, Ultrasound Med.
BioI., 12: 927 (1986)
14. R.M. Lerner, S.R. Huang and K.J. Parker, Sonoe1asticity
images derived from ultrasound signals in mechanically
vibrated tissues, Ultrasound Med. Bio1., 16:231 (1990)
15. Y. Yamakoshi, J. Sato and T. Sato, Ultrasonic imaging of
internal vibration of soft tissue under forced vibration,
IEEE Trans. Ultrasonics, Ferroe1ectrics, Frequency
Control. 37:45 (1990)

467
 ULTRASOUND BASED DIAGNOSIS OF THE IMMUNE REACfIONS IN TRANSPLANTED

KIDNEYS

T. Greiner, M. Jakobs, K. Eiden, M. Pandit.

University of Kaiserslautem, Germany
J. Mauruschat, F. W. Albert.
Hospital of Kaiserslautem, Germany

1. Introduction

Ultrasonic (US) imaging offers the possibility of early diagnosis of tissue changes and
characterization of tissues by examing the specific echo structure. Although the application of
various methods for examining the liver has been studied quite exhaustively /EuroWork89/, other
organs, however, have been more or less neglected.

One such organ is the kidney, where especially transplanted kidneys are of medical
interest. The aim of this paper is to investigate the applicability of various image processing
techniques for examining kidneys, in order to develop a suitable method for the diagnosis of
immune reactions which are accompanied by tissue changes.

2. Diagnosis of immune reactions in renal transplants

The ultrasound diagnosis of the immune reactions in transplanted kidneys is a challenging

task. Until now two methods are used. First, the visual appearance of the echographic image, i. e.
shape, size, echogenicity and homogenicity of the parenchym and the medullary borders
/ChangNeu81/. Second, Fleischer et al. /Fleischer89/ suggested a method based on the RI-index of
blood flow measurements in the examined kidneys.

Among the appearing immune reactions the most important reactions are the acute and
chronic rejections of the transplanted organ. Two medical tasks are of main interest, the early
recognition of the immune rejections in various patients and the determination of the time-
dependent function state of one single patient. Ultrasound based methods are still not sufficient and
often an additional blood examination or a biopsy is required.

3. Computer based tissue Characterizations

The visual appearance of an US image is mostly characterized by the granular impression

of the tissue structure, termed 'speckles'. The theory of texture analysis offers a powerful method
for describing and analysing US images by means of Digital Signal Processing.

Acouslicalimaging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 469
Basically two approaches are available for tissue characterization:

- the statistical approach (statistics of grey-levels) and

- the structural - statistical approach (statistics of speckle characteristics).
While a statistical solution has proved to be useful for tissue characterization a structural-statistical
has not been investigated, yet. A full statistical description is motivated by a lack of obvious strong
patterns, which are, in the contrary, available.in US images. Hence a structural-statistical solution
should detect fine details better.

3.1 Statistical approach

Statistical approach means modelling the image of the tissue as a realization of a random
process. Assuming a stationary process model and considering first and second order statistics,
important features are the probability density function pix) (first order statistics) and the
autocorrelation or autocovariance function (second order statistics).

The probability density function p.(x) of the received US-amplitude x(k,l) can be described
by a Rayleigh density function (1).

Px(x)

In general, the consideration of the density-parameter ex as an important tissue parameter

is not sufficient.

An important feature of second order statistics is the autocorrelation function or

considering signals with zero mean, the autocovariance function (ACV) (2).

1
MN LL
k 1
x(k,l) (2)

with k,l - pixel coordinates

M,N - region size

Generally, the ACV has proven to be a powerful diagnosis help /ChuI89/.

3.2 Structural-statistical av.proach

A structural-statistical texture analysis /Abele82/ leads to a decomposition of the analysed

texture in its dominating texture elements, calied 'textons' /Julesz81/. Therefore a
structural-statistical description achieves isolation of the texture primitives and a statistical
description using statistics of the features of the textons. While the ACV is more of an averaging
feature, the single texture element statistics carries also local information. Hence an ultrasonic
image is described by features of its different speckle patterns.

Here an extension of the texton-theory is presented by considering not only grey-levels

(which corresponds to first order moments), but also various other statistical characteristics, e. g.
the higher statistical moments, as the basis of forming the 'statistical textons'. Thus in the first
step, the image to be analyzed, is partitioned to 'statistical textons', whereby each of these contain
a region with a prescribed statistical characteristic. Then again the statistics of the features of the
'statistical textons' are analyzed:

470
 Interesting texton features are shape and size. The texton model characteristics are
displayed in three different ways:

- 2-dimensional area moment description

- 3-dimensional moment description
- 3-dimensional model parameters

The first and second method uses the moments mpe (3) and central moments Ilpr (4) of the grey
level intensity function f(k,l). The 2-dimensional solution considers only the 2-d area extension of
the texture elements, whereas the 3-dimensional method uses the full 3-d information of the
pattern.

mpI 1:1: kP 1 I f(k,l) (3)

k 1

IJ.PI 1: 1: (k-ko)P (1-1 0 ) I f(k,l) (4)

k 1

with ko, 10 - center of the texture element

The model analysis, proposed, uses a 3-dimensional model zp(k,l) of the speckle pattern s(k,I) and
minimizes the mean square error ezs(k,I) (5) between the model and the speckle. A suitable model
is a parabolic ellipsoid zp(k,l) (6) /Grosky86/.

e zs = 1:1: (s(k,l) -zp(k,1»2 .... Min. (5)

k 1

with ko. 10 - center of the parabolic ellipsoid

Important primitive size independent measures are

- the ratio perimeter2/area of the selected elements and

- the numerical eccentricity of the area axes of the ellipsoid model

To get a full geometry independent feature extraction lHu62/ and /Zhou88/ suggested a few
geometric invariant moments derived from invariant algebra. These features are composed of the
moments and are invariant against scale, translation and rotation.

3.2.1 Segmentation

The texture elements are isolated by a segmentation process. To achieve a segmented

image, different solutions are considered. Mostly two methods are used, namely the 'Split and
Merge' algorithm based on 'Quad-Trees' and the 'Region-Growing' method, followed by a
merging process. Because the 'Region-Growing' approach is more adaptive to an unknown texture
appearance and is easier in implementation we selected this method.

4. Results

The US-pictures were taken by a commercial US-scanner equipped with a curved array
operating at a centre frequency of 3.5 MHz. The basis for the investigations was an ensemble of
26 patients.

471
 Fig. la. ACV of a well working kidney Fig. lb. ACV of a kidney with an acute rejection

Figs. la. and lb. show the ACV plots of kidney images, not visually diagnosable. The
plots are logarithmed and already smoothed with a window function. Examination of the ACV run
reveals that the curve in the neighborhood of the main peak follows an exponential law; by taking
logarithms one obtains a linear run near the main peak and visible side peaks. As the main result
it can be seen that a well working kidney shows a slight slope and less side peaks.
The best discrimating results of the structural-statistical approach were achieved by the
analysis of the 'statistical textons', especially the variance values showed a sufficient
discrimination. Figures 2a. and 2b. show the corresponding results of the two dimensional area
analysis of the 'variance textons'. A well working kidney shows larger areas of constant variance
at different values. The other 'variance texton' features leaded to simi liar results with slight
differences. Also the results of the ellipsoid modelling of both texton types were very impressing.
But it must be pointed out, that the consideration of all other 'grey-level' texton features was not
successful!.

The analysed 'Regions of Interest' used for the methods above were normalized with a
linear histogram transformation before the analysis started. The normalization process supresses the
influences of the US-device like contrast and average intensity.

Furthermore the diagnosis of the immune rejections was performed with images obtained
by individual patients over a period of time. Even in this case the time-dependent onset of an
immune rejection could be predicted with the proposed approaches.

a o

Fig. 2a. Density of the 'variance textons' of Fig. 2b. Density of the 'variance textons' of
a well working kidney a kidney with an acute rejection

472
5. Concludin2 remarks

In this paper it has been demonstrated that the ultrasound based diagnosis of the immune
reactions, mainly the immune rejections, of transplanted kidneys is possible. The employed
methods are based on the theory of texture analysis using a statistical and a structural-statistical
approach. The suggested methods proved to yield correct diagnosis in all 26 cases employing
blood examinations and biopsy.

Although the ACV results seem to be sufficient, the structural-statistical approach still has
additional potential for the characterization of the different types of immune reaction in the
transplanted organ. This will be the task of further investigations in connection with the analysis
of different textures and tissue models, theoretically achieved.

6. References

/Abele82/ Abele, L., "Statistische und strukturelle Texturanalyse mit Anwendungen in der
Bildsegmentierung", Dissertation, Munchen, 1982

/ChangNeu81/ Chang, G., Neumann C. H., "Die Rolle des Ultraschalls bei der postoperativen
Untersuchung von Nierentransplantaten", Ultraschall 2, 1981

/ChuI89/ Chul Hwa Paik, Fox, M., "Fast Hartley Transforms for Image Processing", IEEE Trans.
on Med. Imaging, Vol. 7, No.2, June 1989

!Ernst76/ Ernst, D., Bargel, B., Holdermann, F., "Processing of Remote Sensing Data by a Region
Growing Algorithm", Proc. of the 3rd Int. Joint Conf. on Pattern Recognition, Coronado, 1976

!EuroWork89/VIII-th European Workshop on Ultrasonic Tissue Characterization and Echographic

Imaging, October 1989, Nijmegen, The Netherlands

/Fleischer89/ Fleischer, A c., Hinton, A A, Glick, A D., Johnson, K. J., "Duplex Doppler
Sonography of Renal Transplants. Correlation with Histopathology", J. of Ultrasound Med., 8,
1989

/Grosky86/ Grosky, W. I., "A Pyramid-Based Approach to Segmentation Applied to Region

Matching", IEEE Trans. on Pattern Analysis and Machine Intelligence, Vol. PAMI-8, No.5,
September 1986

/Hu62/ Hu, M. K, "Visual Pattern Recognition by Moment Invariants", IRE Trans. Inform. Theory,
Vol. 8, 1962

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vol. 290, March 1981

/Zhou88/ Zhou, Cheng, "Generalized Invariant Moment Theory and Image Recognition", SPIE Vol.
1027 Image Processing II, 1988

473
ULTRASOUND VELOCITY IMAGING BY A PULSE-ECHO TECBBIQUB

W.C.A. pereira1 S. Leeaan2 and J.C. Kachado 1

1 Biomedical Eng. Program - CDPPE/UFRJ, CEP21945
P.D.Box 68510, Rio de Janeiro, RJ, Brazil
2 Dept.Med.Physics and Med.Eng.- King's College
Dulwich Hosp.,E.Dulwich Grove, London SE22-8PT

INTRODUCTION

Quantitative imaging with ultrasound (US) transmission

methods has been made by several scientists (Greenleaf et
al.,1974, Jakowats and Kak,1976, Glover and Sharp,1977). In
some contexts - medical application in particular - transmis-
sion methods are inadequate and pulse - echo methods have to be
developed (Johnson et al.,1978, Norton and Linzer,1981, Azimi
et al.,1985, Rao,1987). Efforts are still being made towards a
US quantitative tissue characterization (Shung, 1990).
This paper presents a pulse-echo method for mapping the
unknown US wave velocities and thicknesses of a layered medium.
A brief discussion of the theory, and laboratory results with a
simple layered phantom are presented.

THEORETICAL FORMULATION

The method consists of insonifying a layered medium with

an US pulse and receiving the reflected wave in several differ-
ent positions. The transmitter (Tx) and the receiver (Rx) are
aligned in parallel to each other (fig.l). By measuring the
time-of-flight (TOF) for each echo arrived on every Rx posi-
tion, the distance of each layer interface, related to the face
of the transmitting transducer, and the wave speed in the
medium between consecutive interfaces can be obtained. For this
let's consider a layer of thickness Z with the transducers
touching on one of its sides (fig.l). A focused Tx emits an US
pulse and the echo from the end of the layer is received by Rx
positioned at places Xl (called Rxl) and X2 (called Rx2). The
TOF's of the pulse from Tx to Rx, the focus position and the
distances Xl, X2 are used to obtain Z and the velocity C ac-
cordinq to equations (1) to (5):

Ta = F/C + (2Z F)/(C cos(81» (1)

Th = F/C + (2Z F)/(C cos(82» (2)

Acoustical Imaging, Volume 19

Edited by H. Ermer! and H.-P. Hatjes, Plenum Press, New York 1992 475
 Tb/Ta = (P + (2Z-P)/COS(82» / (P + (2Z-P)/COS(81» (3)
cos(81) = Z/[(ZoX1/(2Z-P»2 + Z2 ]1/2 (C)

cos(82) = Z/[(ZoX2/(2Z-P»2 + Z2 ]1/2 (5)

1z 1
.L C

1
FIGURE 1. Configuration of the transmitting/receiving trans-
ducers with respect to a layer of thickness Z where:

Z layer thickness Ta TOF of the echo to Rxl

F Focus position of Tx Tb TOF of the echo to Rx2
Xl distance Tx to Rxl 91 Reflection angle for RXl
X2 distance Tx to Rx2 92 Reflection angle for Rx2
C US wave speed in layer

Once Z and C are determined for the first layer a similar

set of equations can be derived to the next layer (including
those values of Z and C just estimated). For the i-th layer of
a N-Iayer phantom a generic recursive equation can be written
using the preceding values of Z and C calculated to the other
i-l layers. It is important to observe that theoretically only
two TOF measurements are needed to determine Z and C. However,
only one pair of measurements can give large errors for Z and C
and to minimize it we collect other data with Rx placed at
different positions (Xl, X2 ••• Xn). Equation (3) is then applied
to the pairs of echoes obtained in positions (Xl,X2),
(Xl,X3) ••• (Xl,Xn). The estimation of Z and C is obtained from
the Zis and CiS calculated with these pairs.

MATERIAL AlII) IIBTBODS

The transmitter is an Aerotech 1.9 MHz / 19mm diameter

ceramic transducer with a focus region between 60 - 120 mm from
its face. The receiver is a MEDICOTEKNISK Institut miniature
PVDF hydrophone of .6mm of diameter (from Denmark). The layer
materials considered for the experiment are water and epoxy.
The water layer is 150 mm thick and is placed between the
transducers and a 9.9mm thick epoxy layer. To generate the US
pulse an HP3335 (Hewlett-Packard) Synthesizer Generator feeds a
1.9 MHz sine wave into a burst generator build in the Biomedi-
cal Eng. Program - PEB/COPPE/UFRJ. The pulse width is set to
2.5 microseconds and to a repetition rate of 500 Hz. The US
pulse is amplified by an ENI RF power amplifier model A300-40PA
an then excites the Tx. The echo received by the hydrophone has
3 stages of amplification: an RF amplifier build in the

476
PEB/COPPE/UFRJ, a 4th order Butterworth band pass fi1ter 1.8
MHz to 2.2 MHz and an HP8447F amp1ifier. The tota1 amp1ifica-
tion is about 500 times and the echo is p1ugged into a TEK2220
Digita1 storage Osci110scope to be samp1ed in 500 MHz. Via a
GPIB interface the samp1ed echo goes to a 386 IBM/PC compatib1e
computer where the equation (3) is imp1emented in FORTRAN77
1anguage. In this imp1ementation, the time de1ays between the
TOF's measured are estimated via a cross-corre1ation procedure.
The devices Tx, Rx and the epoxy 1ayer are immersed in a
water tank, bui1d in the PEB/COPPE/UFRJ and equipped with a
movab1e arm driven by a step motor of .225 mm/step that can be
contr011ed step by step. The Rx is attached to this arm. The
experimenta1 setup has to be carefu11y a1igned. The TX and Rx
faces have to be in the same p1ane and this p1ane has to be
para11e1 to the face of the epoxy 1ayer.

RESULTS ARD DISCUSSIOB

One experiment was made with a distance Tx - water/epoxy

interface of 150 mm. Rx was p1aced at 10 different positions
with the Tx - Rx distance ranging from 14 mm to 36 mm. In
fig.2 it is shown an examp1e of an echo from the epoxy 1ayer
captured by the Rx, samp1ed at 500 MHz.

ft.& ... icroseconds 8.8

sCUIIPl.ing :l'a t;e: 5l1li Mtz

FIGURE 2. A typica1 echo received from the water/epoxy inter-

face. Vertica1 sca1e with arbitrary va1ues.

There is one important point in this experiment: the foca1

region of the Aerotech is 10ng and 1ies between 60 mm to 120 mm
from its face. Eq.(3) requires a definite va1ue for the foca1
position. So it's necessary to find where it is. This point can
be thought as a us punctua1 source. To achieve this goa1 it was
prepared a direct transmission experiment where the hydrophone
(face to face with Tx), in a water medium, measured the TOF's
of the wave signa1s arriving from Tx. These signa1s were cap-
tured at the TX far fie1d and a10ng a 1ine perpendicu1ar to the
transmitting transducer. The TOF data was processed with a 2-
dimensiona1 Least Mean Square Method and it was found the pair
(-2.15 mm, 79.28 mm) as the focus. The va1ue 79.28 mm fa11s
within the nomina1 range. The va1ue -2.15 mm is somehow unpre-
dicted and suggests some misa1ignment in the experimenta1 setup

477
or in the irradiated beam related to the geometric transducer
axis.
After collecting the echoes received by Rx from the
water/epoxy and epoxy/water interfaces, equation (3) was
applied with the fo~ obtained by transmissiog. Table I shows
results for Tx - 1 s interface and Tx - 2 n interface dis-
tances, thicknesses and US velocities obtained for water (items
1, 1A) and epoxy (items 2, 2A). The Tx - interfaces distance
error is understood as the difference (absolute value) between
real and estimated position of the interface. The same is true
for the velocity and thickness errors.

TABLE I. Results for water and epoxy layers

I EXPERIJID1'.r I 1-water 11A-water I 2-epoxy I 2A-epoxy I

ITx-interface
distance (mm) I 150.00 I 150.00 159.90 159.90 I
-------------------------------------------------------------
IFOCUS position
(mm)
l!'X
Fz (mm)
-2.15
79.28
-5.83
62.97
-2.15
79.28
-5.83
62.97 I
-------------------------------------------------------------
Estia.o.rx-interf. I
Idistance (mm) 144.17 I 149.13 156.01 161.73 I
Idistance Error(%)I 3.89 0.58 2.43 1.14 I
-------------------------------------------------------------
Ius ve1oc. (m/sec)I 1488.92 I 1488.92 I 2593.40 I 2593.40 I

IEstimated Kean
Ve10city (m/sec)
USI 1431.74
I 1481.93
I 2902.91
I 3079.74
IVe10city Error(%)I 3.84 0.47 11.93 I 18.75
IThickness (mm) I 150.00 I 150.00 9.90 9.90 I
-------------------------------------------------------------
IEsti•• thickn.(mm)I 144.17 I 149.13 11.30 I 12.01 I
-------------------------------------------------------------
I Tbicknes.Error(%)I 3.89 0.58 14.13 I 21.31
-------------------------------------------------------------
It pair of echoes I 3 3 3 3 I

From optics theory it is well established that every plane

specular reflection has a virtual focus behind the reflector.
studying misalignment effects in the experiment it was possible
to see that small alignment errors can change significantly the
position of the virtual focus.
It was used the time delay data of the experiment to find
where the virtual focus should be. Equation (3) was again used
now with this other focus values (-5.83 mm, 62.97 mm). Items 1A
and 2A in Table I show the results.

478
Analyzing these results some conclusions can be taken:
1. The equation derived based on simple geometrical optics
explains satisfactorily the US propagation/reflection of the
experiments, so far.
2. Equation (1) that calculates the US velocity is too noise
sensitive. It can be seen in Table I (items 2, 2A) that small
errors in the estimation of the Tx-interface distance (around
1%) result in errors around 20% for the epoxy US velocity.
3. There is an effective virtual focus to each experiment
and its similarity to the real focus depends strongly on the
quality of the alignment of the devices involved.
4. In the experimental setup there are some Tx-Rx distances
where some dramatic distortions - due to diffraction - happen
to the echo. These echoes affect cross-correlation results and
have to be purged out from the final average.
5. In this experiment for Rx1-Rx2 distances around 2mm to
5mm tiDe delay differences are too small and eq.(3) doesn't
work well. For Rx1-Rx2 distances beyond 23 mm the waveforms
degrade significantly and the cross-correlation fails again.
However there is a Rx1-Rx2 range where eq.(3) works reasonably
and the estimation is stable.
Next step we are pursuing is to do more complex experi-
ments with multilayered phantom, testing higher frequencies.
ACKNOWLEDGEMENTS
The authors wish to thank the Brazilian Agencies CAPES, CNPq for
the financial support.

BIBLIOGRAPHY

AZIMI, M. and KAK, A.C.(1985), Multiple Scattering and Attenua-

tion Phenomena in Diffraction Imaging., Technical Report,
TR-EE-85-4,School Elec. Eng., Purdue Univ.
GLOVER, G.B. and SHARP, J.L. (1977), Reconstruction of Ultra-
sound Propagation Speed Distribution in Soft Tissue: Time-
of-Flight Tomography., IEEE Trans. Sonics and Ultrasonics,
volume SU-24, july.
GREENLEAF, J.F., JOHNSON, S.A., LEE, S.L., HERMAN, G.T. and
WOOD, E.H. (1974), Algebraic Reconstruction of spatial
Distributions of Acoustic Absorption within Tissue from
their Two Dimensional Projections. in Acoustical Hologra-
phy, volume 5,New York: Plenum Press, pages 591-603
JAKOWATZ Jr, c.v. and KAK, A.C. (1976), Computerized Tomography
Using X-Rays and Ultrasound, School Elec. Eng., Purdue
Univ., West Lafayette, IN, Res. Rep. TR-EE 76-26.
JOHNSON, S. GREENLEAF,J., TANAKA, M., RAJOOGOPALAN, B., and
BARN, R. (1978), Quantitative Synthetic Aperture Reflec-
tion Imaging with Correction for Refraction and Attenua-
tion: Application of Seismic Techniques in Medicine,IEEE
Biomedical Symposium Proceedings.

479
NORTON, S. and LINZER, M.(1979), Ultrasonic Reflectivity Tomog-
raphy: Reconstruction with Circular Transducer Arrays.,
Ultrasonic Imaging, volume 1, pages 154-184.
RAO, K.S., SRINIVASAN T.M. and RAINA, J.P.(1986), A New Reflec-
tion Tomography Technique, IEEE - Eighth Annual Conference
of the Eng. in Med. and BioI. Society, pages 1056-1058.
SHUNG, K.K. (1990), Basic Principles of Ultrasound Tissue
Characterization in "Noninvasive Techniques in Biology and
Medicine", S.E.Freeman, E.Fukushima and E.R.Greene, Eds.,
San Francisco Press, pages 205-217.

480
 THREE-DIMENSIONAL SHADED SURFACE RECONSTRUCTIONS
OF CARDIAC AND PARACARDIAC STRUCTURES

Ralf Hammentgen and Stephan el-Gammal*

Medizinisehe Klinik (Direktor: Prof Dr. med. D. Rieken) und
*Dermatologisehe Klinik (Direktor: Prof Dr. med. P Altmeyerj der Ruhr-
Universitiit Boehum, GudrunstraBe 56; W -4630 Boehum, FRO

INTRODUCTION
The medical ultrasound imaging systems in use today make two-dimensional sections
of different organs available. By rotating, translating and tilting the B-scan applicator, a
sequence of ultrasound images is available which is eventually processed and
synthetically reassembled by the brain of an experienced examiner to give him a
spacial understanding of structure interaction. Presently, this intraindividual
imagination cannot be objectified and therefore cannot be documented.
This study intends to prove that the combination of serial B-scan sections - obtained
from transesophageal echocardiography (TEE) or intravascular ultrasound (IVUS) -
with our program ANAT3DIM [1, 2] allows to objectify and to document three-
dimensional topographic information from ultrasound images.

PATIENTS and METHODS

In the past decade three-dimensional surface reconstructions have been introduced
into biology and medicine. Different methods (e.g. computertomography, NMR, ultra-
sound, histology, immunehistochemistry, TEM) can produce serial sections with a de-
fined thickness which are easily reconstructed as 3D line models. Biological structures
however are delimited by surfaces. Therefore, it is often not sufficient to use line mo-
dels combined with hidden-line algorithms. If, for example, the section pile is oriented
perpendicular to the viewer, no information can be gathered from the line model.
Using surface triangulation algorithms and hidden-surface removal it is possible to stu-
dy computer models from any arbitrary point of view.
3D-RECONSTRUCTION METHODS. First all objects are reconstructed in their true
dimensions, allowing exact volume and surface calculations. By automatically choo-
sing the appropriate magnification according to the structures selected, the objects are
then transformed into an integer space. This procedure makes it easy to study very lar-
ge and/or very small objects always with an optimal resolution. To analyze structure
interaction, different presentation-modes are also necessary (surface reconstruction,
wire-model, line-model, point-cloud). By combining these different presentation mo-
des, structures within structures are easily studied .. On the other hand in-depth sha-
ding and/or surface shading by a virtual ~oint light source improves picture interpreta-
tion considerably. The program ANAT3D M [1, 2] meets these requirements.

Acous/icallmaging, Volume 19
Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 481
STEREO TECHNIQUES. By tilting the objects 2-4 degrees, stereoscopic image pairs
can be obtained, comparable to the wax-plate reconstructions in the past. Red/green
techniques allow true 3D models in black-and-white, while polaroscopic techniques
enable true colour 3D models. Alternatively perspective views can be printed as hard
copies or can be projected with a stereoprojector.
ULTRASOUND AND 3D-MODELLING. In principle, two different reconstruction
procedures are conceivable, voxel reconstructions and contour area reconstructions.
Voxel reconstructions use volume elements to describe the total image stack. Methods,
like CT- and NMR-imaging showing little artifacts, have been used successfully for
voxel reconstructions. Up to now, 3D reconstructions of ultrasound images exhibited
multiple artifacts due to signal attenuation and reflection phenomena. Therefore 3D
voxel reconstructions were less suited for ultrasound. This study demonstrates, that
contour-surface reconstructions help to eliminate these artifacts prior to recon-
struction significantly.
The cardiac and paracardiac structures were reconstructed by transesophageal
echocardiography [3] using an ALOKA biplane TEE-probe which was stiff enough to
supply serial transversal sections while moving within the esophagus. For each section
the angle of rotation and the distance to the teeth were documented and used to cor-
rect its orientation in space. To minimize respiration artifacts, all registrations were
conducted in expiration, respecting identical ECG-phases.
Analogously the blood vessel walls were reconstructed from B-scan serial sections
obtained from a CVIS intravascular imaging-catheter (20 and 30 MHz) in-vivo.

RESULTS
A normal descending aorta can be reconstructed as a tube. Reconstructions of
pathologically changed aorta furthermore exhibit the arteriosclerotic plaques (Fig. 1) in
the vessel wall. The volume of this aortic segment is 37 ml, the plaque volume 11 ml;
therefore its mean obstruction amounts 30%_
Transesophageal imaging can provide information about certain parts of the spinal
cord by scanning through the intervertebral disks (Fig. 2). The intervertebral disk, the
nucleus pulposus, the vertebral canal, the spinal cord, the four spinal roots, and the
central canal of the myelon could be differentiated and reconstructed (Fig 2).
Furthermore we studied serial transgastric short-axis planes of the left ventricle at
end-diastole. In our case, the end-diastolic volume (118 ml) was calculated to lie within
the physiological range (Fig. 3).
By using an intravascular imaging-catheter we were able to plausibely reconstruct
central arteries and veins. Existing plaques were easily differentiated and could be
measured in their obstruction-volume (in the 3D-models). In the region of plaques, the
thickness of the neighbouring media was reduced.

DISCUSSION
The above mentioned results show, that an successful reconstruction from serial
ultrasound B-scan sections using either a TEE-probe or intravascular catheter is
possible. The limiting factor is not the computer software but the geometric precision
of the applicatorholder. Wollschlager [4] proposed an echo-CT-method, which provides
precisely positioned serial sections using special equipment which makes the
examination complicated. The method proposed by our study is simple and is at least
suited to study regions of interest. As shown by our reconstructions (Figs. 1-3), the
ordinary commercial probes exhibit obviously enough stability after blocking the

482
a b c
Fig. I. Arteriosclerotic plaques in the aorta
of a 62 year old man reconstructed from 15
serial TEE B-scan sections. Outer vessel wall
(wire-frame), arteriosclerotic plaques (in -depth
shaded surfaces). Fig. la+b: The complete
vessel with arteriosclerotic plaques, side view
(Fig. 1b). The vessel in Fig. lc has been fur-
ther turned along its longitudinal axis. Fig.
1c: The blood vessel is half opened, exhibi-
ting the plaques which project into the vessel
lumen (arrow).

Fig. 2. The cervical spinal cord scanned

through the intervertebral disk, reconstructed
from 5 serial TEE B-scan sections. With the
transducer placed into the esophagus, the ul-
trasound beam passes through the interverte-
bral disk (ID) and nucleus pulposus (N) to
reach the spinal canal (S), the myelon eM)
with its four spinal roots (R) and its central ca-
nal (C).

483
 --=--=-- '----...""""=='"""-'-

Fig. 3. Left ventricle of the heart reconstructed from 9 serial TEE B-scan
sections. The images were registered respecting identical ECG-phases
(diastole). Outer ventricle contour (epicard; 0), inner ventricular surface
(endocard; I), heart apex (A). Fig. 3a: Only little information can be gained
from this contour-line model. Fig. 3b: The antero-Iateral and posterio-medial
papillary muscles (M) are connected with the ventricular wall and the mitral
valve (not represented). Fig. 3c: Contour-surface model showing the endocard
(shaded surface mode; I) and the epicard (wire-frame mode; 0). Fig. 3d: The
front wall of the left ventricle has been deliberately omitted, exhibiting the
inner surface of the ventricle.

steering wheels. After accessing the reproducibility and validity of plaque volume and
surface calculations, a follow-up of plaque regression and progression might be
possible. Even the cardiac output could be evaluated, as has been stated -by Martin [5]
who used a rotation-reconstruction method.
High-frequent (>=20 MHz) transducer miniaturisation has made significant technical
progress. In the last years, fine catheters using a rotating mirror - like a radar system -
have become commerciaIIy available. This endosonographic technique can help to
study organs which incorporate or which lie adjacent to bigger blood vessels at
significantly higher resolution than CT - or NMR -imaging. When an intravascular
catheter is placed into the vena cava inferior, for example, it should be easily possible
to study luxations of the intervertebral disk in the lumbal region at high resolution.

484
CONCLUSION
Commercially available transesophageal and intravascular ultrasound probes and
catheters enable in combination with the program ANAT3D'M to obtain objective 3D
topographic information which can be documented and quantified, thereby opening
the door to new diagnostic and therapeutic implications.

REFERENCES
1. S. el-Gammal, P. Altmeyer and K. Hinrichsen, ANAT3D: Shaded three-dimen·
sional surface reconstructions from serial sections, Acta Stereol Suppl 8/2:
543-550 (1989).
2. S. el-Gammal, ANAT3D: On-line computer demonstrations of shaded three-
dimensional models under Microsoft Windows, in: "Brain - perception -
cognition," N. Elsner and G. Roth, ed., Georg Thieme Verlag; Stuttgart, New
York; p 530 (1990).
3. R. Hammentgen, "Transosophageale Echocardiographie: monoplan - biplan. Atlas
und Lehrbuch," 1. Auf\', Springer- Verlag; Berlin, Heidelberg, New York, London,
Paris (1991).
4. H. Wollschlager, A.M. Zeiher, H.P. Klein, W. Kasper, S. Wollschlager, A. Geibel
and H. Just, Transosophageale Echo Computer Tomographie ("Echo-CT"): eine
neue Methode zur dynamischen 3D-Rekonstruktion des Herzens. Biomed Tech
(Berlin) Suppl 34: 10-11 (1989).
5. R.W. Martin and G. Basheim, Measurement of stroke volume with three-
dimensional transesophageal ultrasonic scanning: a comparison with
thermodilution measurement. Anesthesiology 70: 470-476 (1989).

485
 ARTIFACT RESISTANT GRAY SCALE WINDOWS IN CLINICAL ULTRASOUND OF THE
LIVER

J.S. Bleckl, M. Gebel 1 , M. westhoff-Bleck 1 , and U. Ranft 2

lDivision of Gastroenterology and Hepatology
Hannover Medical School
2Division of Biostatistics
Heinrich Heine Universitat, DUsseldorf

INTRODUCTION

Perception of complex structures independent from viewing angle and

distance demonstrates the superiority of the human eye compared to every
computed system. Thus qualitative image improvement can only try to
improve information presentation of images offered to the retinal
receptor-cortex system. In ultrasound images obtained from the subcostal
view of the liver the parenchyma consists of a range of 80 -100 gray
levels. The human eye being capable of differentiating up to 35 gray
levels in moving images! looses offered information content to a great
extend.
In order to m1n1m1ze this loss of information content due to scotopic
vision two distinct feasible methods have been realized: 1) contrast
enhancement on the level of the AD-transducer z • 3 due to gray level
spreading; 2) using post processing procedures4.~. Up to now gray scale
window operations (GSWO) as a modifier of the look -up table (algorithm to
map the input gray level to the output gray level) are of limited clinical
value. To our opinion this is caused by two major reasons: 1) an optimal
window position still has to be defined; 2) there is only poor knowledge
about artifact or1g1n. This can partially be explained by the fixed
position of GSWO being unable to adjust adequately the changing conditions
of ultrasound images. As a result artifacts and pseudo1esions 3 occurred.
Depiction of fine interface differences in diffuse and focal parenchymal
lesions requires dynamic adjustment of GSWO. Therefore in order to find
the best window position and form we investigated a set of GSWO which
might be useful in clinical practice.

KETHODS

For digital analysis a purpose built data acquisition and processing

system was used equipped with a Picker LS 1000 gray scale real-time
scanner with a 3.5 KHz linear array transducer. Processing of acquired
data was performed by an image display system interfaced (linear
AD-converter) to an EPR 1300 (Kru~p Atlas E1ektronik. 16 bit) computer

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 487
using an image resolution of 120 by 512 pixels (256 gray level values).
For analysis images from the subcostal view and 4:1 enlargement of
parenchymal texture (2.5cm x 5cm regions of interest, ROI) were obtained
from 12 healthy volunteers (normal liver function, no clinical signs of
liver disease, 6 female and 6 male, age 26.2±7.6 years K±SD). The
instrumentation conditions remained unchanged (constant focal zone
(maximum at Scm), dynamic range (40 dB), adjustment of monitor- contrast
and brightness, time gain compensation (mean».
In order to define the gray level (GL) range of our windows we investi-
gated the brightness of anatomical structures of the liver such as veins,
vessel walls, parenchymal texture, abdominal muscles with fascias and the
reflection area of diaphragm/lung. In Post- processing we investigated 3
groups of GSWO:
The common linear gray scale windows (1) spread the GL of the original
image ranging from dark gray values(UG) to bright gray values(OG) with a
histogram dependent variation of UG and OG (la). The linear histogram
dependent window(lb)transforms the original image to a mean(K) intensity
of 100 with a standard deviation(Q) of 40 GL using the mean(H) and the
standard deviation(sd) of the original.
(1) Xout= S*(X1D-Gd + G2
X1D =GL-Input
255 OG+ UG 255 Xout=GL-Output
(la) S= Gl= G2=---
(OG-UG) 2 2

Q
(lb) S=- G1=H,
sd
The non linear gray scale windows(2) could be changed by the inflection
point a and an amplification factor b(-0.34~bsO.34). Positive values for b
resulted in suppressed intensity of gray scale levels(Fig.1) up to a.
Beyond this point an adverse effect was observed.
a
(2a) Xout= ------(1- e(b*XID» x=O,l"a
1- e(a*b)
X1D - a

(2b) Xout=a +
255 - a
-----*
1- e(-s*b)
[
1- e
(-a*b*-----
21111 - s )1 ;x=a+1,. ,255

The third GSWO group produced an equipartition(3) of gray values frequency

h{i) over the whole gray level spectrum.
X1D
255·I h(i)
1=1
(3) Xout= --___________
21111
I h(i)
1=1

For evaluation of common gray scale window characteristics, we used the

results of our morphological observations. For each GSWO the brightness of
the resulting image, the changes in the histogram and the mean slope of
morphological gray scale ranges such as the parenchyma (SP), in the GL-
range of vessels (SV) and the overlapping GL- range (SO) with parts of
vessels and parenchyma were calculated.

488
RESULTS

Morphological gray level parts.

Beginning with the brightest gray level and then going on step by step to
darker ones resulted in display of following anatomical details in
succession(Fig.1): diaphragm/lung interface, fascias of abdominal muscles
and then the muscles itself, vessel walls, parenchymal texture and at
least vessel lumina. In optimal subcostal images in B-mode scan as well as
in the subcostal histogram it was possible to mark selectively echopoor
corpuscular structures as blood «lS±S\ percentile) and echogenic
structures as connective tissue and vessel walls (>69±6% percentile).
The morphological investigations allow the distinction of five different
gray level ranges: 1) Dark part (DP) with GL lower than the normal
histogram GL- spectrum (GL <48 were compressed in the AD-converter in the
unprocessed image, 2) parenchymal part (PP) excluding vessel walls ,
3)overlapping part (OP) of parenchymal texture with echogenic areas and
vessel walls, 4)part of big vessel walls (VP) without parenchyma, 5)part
of fascias (FP) and the diaphragm/lung interface.

Assessment of common window features

A shifting of pixel intensity from the PP and op to DP was associated with
a loss of parenchymal information, the occurrence of echopoor pseudo-
lesions and increased vessel wall contrast. On the other hand echogenic
pseudolesions occurred in the region of the diaphragm/lung interface, the
vessel walls and the fascias of muscles if more than 16% of the pixel
intensity shifted into the FP range. Slope reduction of more than 20% in
one or more morphological ranges lead to a homogenous display resulting in
contrast reduction.

NUMBER OF PIXEL
3000 r----------------------------------------------,
DP PP OP VP FP

2500

2000
small vessel walls
< >
1500
big vessel walls
< :>
1000
fascies of muscles
< :>
500 diaphragm/lung echo
< :>
0
0 50 100 150 200 250
GRAY LEVEL

~ PARENCHYMAL-ROIC4:1) - SC-HISTOGRAM

Fig.1. Morphological GL- ranges in the histogram. DP= dark part with
GL<48, PP=parenchymal texture (GL49-91), op= overlapping
part (GL22-124), VP= vessel walls (GL125-169) and FP=facies and
diaphragm/lung interfaces (GL>169). The mean histogram distribution
of 12 healthy volunteers is subdivided in 4:1- parenchymal regions
of interest and the subcostal view.

489
Tab.1. 5 windows (M10-M21) with their algorithm (1-3 as proposed in
methods) and input parameters(XA= begin of the histogram, XE=end of
the histogram). After GSWO the changes of the mean slope in 3
GI- areas SP (parenchyma = PP+OP), so (over- lapping area = OP) and
SG (vessels = OP+VP) and the mean brightness (mean± SD) were

Window/ Description / SP SO SG brightness

algorithm Input parameters 49-124 92-124 92-169

Originals - 1. O±O. 0 1. o±o. 0 1.0±0.0 84.6± 7.1

H10 (3) absolute frequency h(i) 3.0±0.2 1.6±0.8 0.9±0.5 130± 0.8
Hl4 (2) a=median, b= +0.022 1. 5±0.1 1.4±0.1 1.3±0 . 0 91. 7±11.2
MIS (2) a=median, b= -0.050 0.3±0.1 0.2±0.1 0.4±0.1 70.8±0.35
Hl7 (la) Ug=XA, Og=XE 1. 7±0. 9 1. 7±0.8 1. 8±0.6 58.5±24.2
M21 (lb) Gl=H, G2=100, S=40/sd 1.5±0.2 1. 5±0. 2 1.6±0.1 99.3±0.67

GRAY LEVEL (OUTPUT)

250 ~

HISTOGRAMS IN BLOCK -FORM

200
D FP Original ~11!!1!!111!!1II111!!1II!11l1l1l1l11ll1l11t:::t~ lI
§ VP
SOP t.l21111111111111!!111111111111I1t:::::::~·-:::r;ij i PH VI+)
IIIlIIIlIII PP
_ DP
t.l14111111111!1111111111111111111111t=:~:::J·;:.·.1 I PH v(.)
Ilomog.nl~tlon artltect•

• cllopoor M15 -tiIlIIlIIIllIIllIIllIIllIIllIIllIIllIIlIIIllIllIIllIW PH VI-)

p ••udole.'on..........._
,r -- - - - ,

M16
M17 _JJl!illruru1111 PH VI+)
....
local glare
,...------,
M10 _1111111111:::::1'- :,;,:::;:;1 iPH V(-) GRAY LEVEL (INPUT)
o~'-~----~--~----~----~
o
I I I I

0.. 25.. 50 .. 75.. 100.. 50 100 150 200 260

.. ot 61440 PIXEL DP I PP lop i VP FP

Fig.2 Examples of 5 histogram dependent GSWO applied on an image

wi th a median of GL 70. The gray scale was di vided into 5
morphological parts(as proposed in Fig.1). After using GSWO we
calculated the mean percentage of pixels in the five intensity
parts (expressed as histograms in' block form in % of 61440 pixels
before and after GSWO, 12 subcostal view images of the liver. The
visual effects after GSWO got the following codes Parenchyma
(P)- and vessel- display (V) could be worse(-), similar (=) or
better(+). Different forms of artifacts could be distinguished:
homogenization, echopoor pseudolesions and local glare.

490
Fig.3 Examples of GSWO applied on a subcostal liver view: a:unchanged
image, b: best linear GSWO (M21), c:dark pseudolesion(M17),
d:general glare(algoritm 2 with a=240 and b=-0.02) and e: best
non-linear GSWO(M14).

Improved display of parenchymal texture and vessels without artifacts was

achieved best using the linear histogram dependent window M21. This GSWO
processed a mean brightness of GL100 with a constant slope factor (about
1.5) in all morphological ranges. With non-linear windows from the
exponential type(2) a contrast enhancement of all essential morphological
structures was difficult (M15,Fig.2). This can be explained by the fact
that the slope factor changes in all morphological GL-ranges. As a result
echopoor and echogenic pseudolesions occurred. The non-linear windows(type
3) using equipartition of gray levels(M10) also produced these artifacts.
Using low positive amplification factors (M14) and an inflection point
positioned at the 40-50%- percentile of the original an increased contrast
of vessel walls could be observed whereas parenchymal texture display was
unchanged.

DISCUSSION

Until now contrast enhancement by means of selected gray scale window

techniques as used in computer tomography failed to be established in
clinical ultrasound which can be explained by the lacking adaptability
under changing conditions of ultrasonic images. In our study in order to
develop windows useful in clinical practice images were obtained from 12
healthy volunteers and not from liver phantoms. Therefore first
investigations of the brightness of morphological structures in the
subcostal view of the liver were necessary. This enabled us to study the
correlation of visual perception of these structures as a function of
GSWO- form and position, changes in histogram and mean brightness.
The brightness is a very important point influencing contrast. In GSWO's
causing subliminal illuminance 1 of the retinal receptive fields, these
fields become broader resulting in decreased contrast resolution. This
would explain loss of information content in darker parenchymal texture

491
(M17) and formation of echopoor pseudolesions 2 caused by pixel intensity
shifting into the DP- GL-range of the histogram. Thus windows lacking gray
level suppression would avoid these artifacts.
Contrast perception can also be diminished by occurring glare, which may
be either focal or general. It can be observed when the depicted display
is illuminated in critical intensity resulting in an overall lateral
inhibition of the receptive field which impairs detail perception. GSWO's
with a shifting of more than 16% of pixels with medium intensity into the
FP-range may serve as examples for general and focal glare (M10).
According to the Weber-fechner's law contrast perception is best when
images are presented in medium intensity. This explains the feasibility of
the linear histogram dependent GSWO M21 with a mean brightness at GL100 as
the best window investigated. With the definition of the upper and lower
window limit individual windows can be designed for any anatomical detail
to be depicted mainly.
Image improvement with non-linear windows (of the exponential type) is
difficult, because changing slopes in the different morphological
GL-ranges are a problem for GSWO-planning. The processed images are
displayed partially subliminal or in focal glare. As a result an increase
in simultaneous contrast occurs. Only the window M14 could be used as a
vessel selective window without parenchymal artifacts which is explained
by a low amplification factor and an inflection point positioned at the
40% or 50% percentile of the original histogram.
Full frame histogram equalization 3 ,e (M10) generated so many echogenic
artifacts that we cannot recommended them as useful GSWO.

CONCLUSION

These data enable us to use automatically adjusted artifact resistent

GSWO. Using a standardized view of an organ, morphological investigations
can optimize the window position. The investigated non linear windows and
windows using equipartition of gray levels produced echopoor and echogenic
pseudolesions as well as a homogenization of the whole image. Only window
M14 which was characterized by an inflection point positioned at the
median of the histogram and by a low positive amplification factor,
resulted in a better vessel wall display without artifacts. The linear
histogram dependent window M21 characterized by a mean brightness about
GL100 and lacking gray level compression produced the best artifact
resistent display of parenchyma as well as vessel walls of the liver.

REFERENCES

1. E. Krestel, Physiologie des Sehens, in: Bildgebende Systeme fur

die medizinische Diagnostik, Verlag Siemens AG, Berlin-
Munchen, (1980).
2. M. E. Bernadino, J. L. Thomas, G. B. Mayes, An Initial Experience
with Post- Data Processing in Hepatic Sonography, American
Journal Radiology, 136(3):521(1981).
3. D. Nicholas, Pre- and Postprocessing of images held on
temporary storage devices, in: Medical Ultrasonic Images,
C. R. Hill, A. Kratochwil, ed., Exerpta International
Congress Series No.541, Amsterdam-Oxford-Princeton(1981).
4. J. M. Thijssen, B. J. Osterveld, R. F. Wagner, Gray Level
Transforms and Lesion Detectability in Echographic Images,
Ultrasonic Imaging, 10:171 (1988).
5. A. Rosenfeld, A. C. Kak, in: Digital Picture Processing,
Academic Press, New York- San Francisco-London (1976).

492
 A SIMULATION STUDY OF STRUCTURAL SCATTERING IN
ULTRASONIC B-MODE IMAGING

E.G.M.P. Jacobs, J.M. Thijssen, B.J. Oosterveld

Biophysics Laboratory, Institute of Ophthalmology
University Hospital st. Radboud
6500 HB Nijmegen, The Netherlands

INTRODUCTION
The analysis of echographic images by means of compu-
ters is paid attention to since the last decades. Tissue
models have been introduced for better understanding the
interaction of ultrasound with tissues. By computer simula-
tions, the theoretical knowledge of image formation has been
greatly improved. As a first step for the characterization
of liver tissue by image analysis a homogeneous tissue
model, with randomly distributed point-like scatterers, was
applied. However, this approach to ultrasonic imaging of
liver tissue does not incorporate the so-called structural
scattering. This structural component of the scattering can
be related to the dimensions of the liver lobules. These are
surrounded by the colageen rich triads of Kiernan which form
a hexagonal matrix. Earlier studies (Sommer et al., 1981,
Fellingham et ale 1984) showed a clinical application for
this parameter to differentiate diffuse liver diseases. The
assesment of this mean scatterer distance is based on either
the statistical analysis of the spatial autocorrelation
function or the analysis of the power spectrum (Fellingham
et ale 1984, Insana et ale 1986, Wagner et ale 1987).
In this paper three-dimensional simulations of a liver-
tissue model are presented. For well known transducer pro-
perties and tissue model characteristics, the mean scatterer
distance can be estimated as well the structural- and the
diffuse backscattering intensities. The accuracy and the
precision of these parameters were investigated by systema-
tically varying the model parameters. The tissue was modeled
by a homogeneous, non-attenuating medium with point-like
scatterers. The structural scattering is incorporated by a
cubic matrix structure with a mean scatterer distance of 1.0
mm. The matrix orientation, relative reflection strength, as
well as the positional uncertainty of the scatterers are
systematically varied. Since, in real liver several orienta-
tions of lobular structures relative to the transducer beam
are present in a single B-mode scan, the scans were simula-
ted having a defined range of matrix orientations.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 493
 In this paper the effects of the model characteristics
on the estimated parameters are presented and conclusions
related to future clinical applications are given.

THEORY
Coherent summation of echoes at the transducer surface
is equivalent to a random-walk in 2-D space (Goodman, 1975).
If the number of scatterers in a sampling volume exceeds a
certain limit the rf-signal from such a medium can be char-
acterized by a circular Gaussian amplitude p.d.f. The
envelope, A, is distributed according to a Rayleigh p.d.f.
and the intensity has an exponential p.d.f. The signal-to-
noise ratio (SNR) of the amplitude and intensity images
equals 1.91 and 1.0, respectively. Second order statistics
describe the speckle dimensions (e.g. oosterveld et al.,
1985).
The structure in biological tissues is more complicated
for several reasons. The average scatterer spacings are less
regular than has been assumed so far. This could imply that
structure may partly be resolved and partly be unresol ved
(specularity). Two dimensional simulations were caried out
by Tuthill et al. (1988) for investigating the effects of
the SNR due to a structural component in the scattering.
Wagner et ale (1987) worked out the second order statistics
for this mixed version. The envelope, A is distributed
according to a Rice p.d.f. if the number density exceeds a
certain limit. When different scatterer spacings occur
simultaneously an new complication is introduced. Further-
more, the statistical parameters depend on the orientation
of the structure relative to the transducer axis.

SIMULATIONS
The simulations were performed with a software package,
developed at our laboratory. The algorithms used were des-
cribed in earlier papers (Van Kervel et ale 1983, Verhoef et
ale 1984, Oosterveld et ale 1985). The software package was
extended with algorithms for the generation of a 3-D cubic
matrix of point-scatterers. The orientation of the maxtrix
wi th respect to the beam could be changed and is described
by rotation angles ~ and e with respect to the x- and
Y-axis, respectively. For computational reasons we only
investigated the statistical parameters by varying e, set-
ting f{J to zero. The position uncertainty of the scatterers
in the matrix is expressed in percentage of the mean
scatterer distance. We varied the position noise systema-
tically between 0 and 20%. For a realistic comparison with
liver tissue we used an average scatterer distance of 1. 0
mm. The rotation angle e was varied between 0 and 45
degrees. The origin of the coordinate system is located in
the focus of the transducer. Futher details of the simula-
tions are: transducer diameter a=13 mm; surface velocity
weight function: [1-(r/a)4], where r is the radial distance;
focus F=8. 0 cm; the transmission spectrum has a Gaussian
shape with a central frequency of 3.5 MHz (0.7 MHz standard
deviation). The sampling rate of the time wave forms was 50
MHz. The diffuse scattering component was modelled by ran-

494
domly positioned point scatterers with a number density of
7500/cc. The relative reflection strength of the diffuse
scattering component was defined 1. o. The relative reflec-
tion strength of the structural component was varied between
0.3 and 1.5. The geometrical configuration is shown in fig.
1. For each relative reflection strength five independent
simulations were carried out to give a good estimate of the
mean and standard deviations.

x-axis

z-axis

Fig. 1. Geometry of the simulations. A-scan radius

indicates radius of -20 dB beam cross sect-
ion. Scan volume around focus, dimensions:
4x2x1. 2 cm3 •

ANALYSIS OF THE TEXTURE

The generated B-mode images were analysed by methods
described in literature. The structural and diffuse compo-
nents of the scattering were estimated by the methods des-
cribed by Wagner et al., 1987. The squared envelope was
calculated and the ratios I./I d and O'(I.) lId were estimated. I.
and Id are the mean structural and diffuse backscattering
intensities, whereas, O'(I.) is the standard deviation of the
(resolved) structural scattering intensity. The average
structural distance d was estimated from the spectrum of the
ACF (Nicholas 1982, Wagner et al. 1987).

RESULTS
This section will give an overview (c.f. Jacobs et al.
1991) of the obtained simulation results. In figure 1 the
ratio I./Id is plotted as a function of the relative reflec-
tion strength for a non-rotated matrix. For 5 and 10% posi-
tion uncertainty there is a significant increase in I./Id as
result of an increase in the relative structural reflection
strength. However, at a 20% level of position uncertainty no
significant increase is found. The rotation effects of the
cubic matrix are plotted in figure 2.

495
 6 r-----------------------------------------------,
5

}- ___ ->- -I
_-= - - -1=---=: ~- ..:. --
0.2;', 0.50 0.75 1.00 1.25 1.50

---------,
Relative Scattering strength
--- --------_ .. _ - - - - - -

PositIOnal Twise --- 5% - - - 10% - - 2lffl

- - - - ~-~---~---- --

Fig. 2. The ratio l./ld as function of the relative

reflection strength, for the position uncer-
tainties of 5, 10 and 20%.

""
.:::::
~
/
I
0

0 5 10 15 20 25 30 35 40 45
THETA

LI _P_os_i_ti_o_n_a_l_n_oi_s_e_: _~~~_-_ _5_%_ _ _ _1_0%_ _- - - 2~

Fig. 3. The ratio l./ld as function of the rotation
angle S, for the position uncertainties of 5,
10 and 20%.

496
Table 1. structural scatterer spacing estimated from power
spectrum of envelope signal. Inserted (true) spac-
ing 1 mID. Columns: position noise of structural
scatterers: 5,10 and 20 percent.
-------------------------------------------------------
Rota. 5% 10% 20%

o 1.010 +/- 0.000 1. 010 +/- 0.005 1.5 +/- 0.5

0-45 0.920 +/- 0.002 0.97 +/- 0.05 1.57 +/- 0.21
-------------------------------------------------------

All parameters show a periodicity of 90 degrees which

is in agreement with the cubic matrix geometry. We have
investigated the assessment of the mean structural distance
for a single orientation as well as for a mUlti-orientation
case. In Table 1 the results are listed.

DISCUSSION

The introduction 6f "positional noise" on the position

of the structural scatterers reduces the magnitude of the
effects on the first and second order statistics due to this
structural component in the scattering. The mean structural
scatterer distance of the matrix structure can still be
estimated at a level of 10% position uncertainty. This
parameter can even be assessed in a B-mode scan with multi-
orientational conditions and may be considered therefore a
usable and reliable parameter for clinical studies.

REFERENCES
Fellingham, L.L., Sommer F.G., 1984, Ultrasonic
characterization of tissue structure in the in vivo
liver and spleen. IEEE Trans. Sonics Ultrason., SU
31:418-428.
Goodman, J.W., 1975, statistical properties of laser speckle
patterns, in: "Laser speckle and related phenomena"
J.W. Dainty, ed., Springer, Berlin, 9-75.
Insana, M.F., Wagner R.F., Garra B.S., Brown D.G.,
Shawker T.H., 1986, Analysis of ultrasound image
texture via generalized Rician statistics. opt.
~, 25:743-748.
Jacobs, E.M.G.P., J.M. Thijssen. A simulation study of
models with structural scattering Biological
tissues. Ultrason. Imag. (submitted).
Nicholas, D., 1982, Time-frequency-domain analysis:
one-dimensional phantom studies. Phys. Med. Bioi.,
27:665-682.
Oosterveld, B.J., Thijssen J.M., Verhoef W.A., 1985, Texture
of B-mode echograms: 3-D simulations and experiments
of the effects of diffraction and scatterer density.
Ultrason. Imag., 7:142-160.

497
Sommer, F.G., Joynt L.F., Carroll B.A., Macovski A., 1981,
Ultrasonic characterization of abdominal tissues via
digital analysis of backscattered waveforms.
Radiology, 141:811-817.
Tuthill, T.A., Sperry R.H., Parker K.J., 1988, Deviations
from Rayleigh statistics in ultrasonic speckle.
Ultrason. Imag., 10:81-89.
Van Kervel, S.J.H., Thijssen, J.M., 1983, A calculation
scheme for the optimum design of ultrasonics
transducers, Ultrasonics, 21:134-140.
Verhoef, W.A., Cloostermans M.J.T.M., Thijssen J.M., 1984,
The impulse response of a focused source with an
arbitrary axisymmetric surface velocity
distribution, J. Acoust. Soc. Am., 75:1716-1721.
Wagner R.F., Insana M.F., Brown D.G., 1987, statistical pro-
perties of radio-frequency and envelope-detected
signals with applications to medical ultrasound,
J. opt. Soc. Am. A., 4:910~922.

498
 IMPLEMENT A TION OF THE SCANNING TOMOGRAPHIC
ACOUSTIC MICROSCOPE FOR MULTIPLE-ANGLE TOMOGRAPHY

Richard Y. Chiao*t and Hua Lee**

* Department of Electrical and Computer Engineering

University of Illinois
Urbana, Illinois 61801, USA

** Department of Electrical and Computer Engineering

University of California, Santa Barbara
Santa Barbara, California 93106, USA

Abstract - In a recent paper we presented the formulation of multiple-frequency tomogra-

phy with the Scanning Tomographic Acoustic Microscope (STAM) [1]. Because of the
limited range of frequencies available, the STAM is not ideally suited for multiple-
frequency tomography. In this paper we review the tomographic reconstruction algorithm
and present the implementation of multiple-angle tomography. In addition to the projec-
tion phase correction required for multiple-frequency tomography [1], multiple-angle
tomography also requires registration and alignment of the tomographic projections. By
addressing the projection phase error and alignment problems, we have successfully
implemented the STAM for multiple-angle tomography, and experimental reconstructions
of a two-layer specimen are presented to demonstrate the feasibility and capability of the
STAM.

INTRODUCTION
The Scanning Laser Acoustic Microscope (SLAM) was developed for high resolu-
tion, real-time imaging in biological tissue analysis and non-destructive testing. At an
operating frequency of 100 MHz, the SLAM can image thin specimens with high resolu-
tion [2]. However, with most specimens of interest, two factors contribute to the degra-
dation of the SLAM image. With a finite propagation distance from the scattering plane
to the detection plane, the effect of diffraction appears. Diffraction results in an out-of-
focus effect in the SLAM image. In addition, the superposition of wavefield information
scattered from different depth planes also contributes to the resolution degradation.
Because of diffraction and the overlapping of depth planes, the SLAM image is
significantly degraded when the specimen is complicated in the depth direction.
The Scanning Tomographic Acoustic Microscope (STAM) has been developed to
extend the capabilities of the SLAM to image specimens with variations in the depth

t Presently with GE Corporate Research and Development Center, P. O. Box 8,

Schenectady, NY 12301, USA

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 499
direction. With the replacement of the SLAM receiver with a quadrature detector, the
STAM is capable of detecting both the magnitude and phase of the acoustic wavefield
[3]. The Back-and-Forth Propagation (BFP) algorithm is used as an efficient algorithm to
obtain tomographic reconstructions at well-defined depth planes [4]. This algorithm is
well suited to the STAM because of the planar-scanned data acquisition and the limited-
angle configuration. Mathematically, the BFP algorithm is the least-squares estimate of
the plane-of-interest given the incident wavefields and transmitted wavefields. Physically,
the BFP can be viewed as a focal-plane algorithm for diffraction tomography, whereby
the effects of the out-of-focus planes are blurred out [5].
The emphasis of this paper is on the implementation of the reconstruction algorithm
given the data acquisition constraints of the SLAM. In addition to the projection phase
correction which is required for multiple-frequency tomography [1], multiple-angle
tomography also requires registration and alignment of the tomographic projections.
Because the transducer is fixed in location, the projections are acquired by rotating the
specimen using the rotational-scan method [5]. The rotational-scan method requires the
subsequent registration and alignment of the projections. We describe methods for the
estimation of the relative position of the projections and the subsequent alignment of the
projections. A problem associated with projection registration is that of non-uniform
sampling in the x and y directions which distorts the projections and prevents the proper
alignment of the projections. We present an algorithm to estimate the sampling ratio
from two projections. We have successfully implemented the STAM for multiple-angle
tomography, and we show reconstructions of a two-layer specimen using experimental
data to demonstrate the resolution improvement.

DATA ACQUISITION AND TOMOGRAPHIC RECONSTRUCTION

Figure 1 shows the STAM data acquisition system which consists of a SLAM sys-
tem with its receiver replaced by a quadrature receiver [3]. The object plane is located at
Zo, the incident plane wave is denoted by u(x,y,z), and the transmitted wavefield is
denoted by v(x,y,z). After being modulated by the specimen, the transmitted wavefield
imparts dynamic surface ripples on the gold-plated coverslip [6]. A laser beam is raster

Knlle-edge
Oelectlon

L.

w,

NO Com_

Fig. 1 STAM data acquisition system.

500
 scanned over the reflective surface to pick up the wavefield infonnation. At each point in
the raster scan, the laser beam is angularly deflected by the surface ripples. The instan-
taneous angular deflection is converted to an intensity signal by positioning a knife-edge
to block out part of the reflected laser beam [7]. At this point the spatial wavefield distri-
bution is encoded in a temporal intensity-modulated laser signal. A photo-detector placed
after the knife-edge converts the laser light signal into an electrical signal, which is then
fed into the quadrature receiver. The output of the quadrature receiver is digitized for
computer processing.
The insonification wave (with sinusoidal time variation suppressed) can be written as

u(X,y,Z) = 110 exp(j21t(fxi x + fyiY + fziz», (1)

where 110 is the amplitude of the plane wave,

fxi = sin(q>)cos(8)/A., (2-a)

fyi = sin(q»sin(8)/A., (2-b)

fzi = cOS(q»/A, (2-c)

and A is the acoustic wavelength. The spatial frequencies fxi and fyi depend on the
insonification angle of the plane wave as well as the acoustic wavelength. At the object
plane z = Zo, the wavefield is modulated by the object transmittance t(x,y), and the
transmitted wavefield is given by

v(x,y,Zo) = u(x,y,Zo) t(x,y). (3)

In the Fourier domain Eq. (3) can be written as

V(fx,fy;Zo) = 110 exp(j21tfziZo) T(fx-fxi,fy-fyi). (4)

Thus the transmitted wavefield is proportional to the object transmittance function modu-
lated by fxi and fyi. The wavefield v(x,y,Zt) detected at the receiving plane is related to
v(x,y,Zo) by

(5)

where V(fx,fy) is the Fourier transfonn of v(x,y), and H is the propagation transfer func-
tion given by

. _ { exp[j21t(zt - Zo)-V 1IA.2 - fx 2 - f/ ], (6)

H(fx,fy,Zl - Zo) - 0, otherwise.

In multiple-angle tomographic processing, several projections obtained with different

insonification angles (q> and 8) are combined to fonn the tomographic reconstruction. The
Back-and-Forth Propagation (BFP) algorithm is an efficient algorithm for obtaining tomo-
graphic reconstructions at well-defined planes. This algorithm is well suited to the data
acquisition geometry of the STAM because of the planar scanned data acquisition and the

501
limited projection angles available. Given a set of N projections vk(x.y,zl)' k=1.2 •...•N.
the reconstruction equation for the BFP algorithm is given by [4.5]
N ..
L u k(x.Y.ZO)vk(x.y.ZO)
t(x,y) = k=l N (7)
L IUk(X.Y.ZO)12
k=l

where vk(x.y.ZO) is obtained by back-propagating vk(x.y,zl) back to the object plane (see
Eq. (5)). Equation (7) is the least-squares estimate of the object transmittance given the
incident and the transmitted wavefields at the object plane. The BFP tomographic recon-
struction algorithm is conceptually equivalent to focal-plane tomography [5] and filtered
back-propagation [8].
Substituting Eq. (1) into Eq. (7). we obtain
~ n
t(x.y) = L wk(x.y) (8)
k=l
where

(9)

and uo(k) are complex normalization constants. The complex exponential in Eq. (8) can
be interpreted as demodulation in view of Eq. (4). Thus. the BFP algorithm is the super-
position of back-propagated and demodulated received wavefields.
In the Fourier domain. wk(x.y) is given by
_ fT(fx.fy). (fx+fx/ k})2+(fy+fyi(k})2 < 1IA.?
(10)
Wk(fx.fy) - LO. otherwise.

This shows that each projection recovers spatial frequencies of the unknown object
I

transmittance within a circular region centered at (-fxi.-fyi). The superposition of

different projections improves the resolution by improving the signal-to-noise ratio and by
extending the region of recovered spatial frequencies.

ALGORITHM IMPLEMENTATION
Figure 2 shows the complete block diagram of the BFP reconstruction algorithm.
This block diagram applies to both multiple-frequency and multiple-angle tomography
with the exception that projection registration and alignment is unnecessary for the
former. We have already discussed back-propagation and demodulation in the previous
section. The complex superposition process is very sensitive to phase errors in the indivi-
dual projections [1]. We have previously identified the quadrature phase error [9]. which
is a spatially-varying phase error between the real and imaginary components of each
complex projection. and the initial phase error [1], which is a constant phase offset
between projections. Methods for correcting the phase errors have been presented in
association with multiple-frequency tomography and will not be repeated here. The
remainder of the paper will focus on projection registration and alignment for the imple-
mentation of multiple-angle tomography.

502
 Tomographic Projections

Tomographic Reconstruction

Fig. 2. Complete block diagram for STAM processing.

A. Projection Registration and Alignment

Two methods for changing the insonification angle for multiple-angle tomography
have been examined [5]. In the rotational scan method, 9 is changed from projection to
projection, while in the linear scan method CI> is changed from projection to projection.
Each method has its advantages and disadvantages in term of resolution. The range reso-
lution of the linear scan method is better than that of the rotational scan method, but the
azimuth resolution of the linear scan method is non-uniform in the x and y directions.
We implement the rotational sqm method largely due to convenience since the rotational
scan method can be implemented by rotating the specimen instead of the transducer, and
the transducer on the SLAM is fixed in location. Further hardware modification to allow
the transducer to move may result in greater spatial frequency diversification and better
tomographic reconstruction. However, the range of possible CI> is narrow since it is lower
bounded by normal incidence and upper bounded by the critical angle from water to the
coverslip [6].
While implementing the rotational scan method by rotating the specimen circum-
vents the problem of the transducer being fixed in location, it creates new processing
problems. If the specimen is rotated by angle 90> then the projection must be rotated by
-90 to obtain the same projection obtained by rotating the transducer. The problem is the
rotation axes and rotation angle for the specimen is known only approximately, so it is
necessary to estimate the exact position of the specimen from the detected projections. It
has been shown in simulations that the precise alignment of the projections is crucial to
the reconstruction [10].
One method for estimating the relative position of projections is now described. We
use the redundant information between projections to estimate the relative position of the
projections. The most direct method requires the determination of corresponding feature
points in the two projections. In some images it may be simple to find a set of

503
corresponding feature points from two projections (e.g. our grid and wire data in Section
N), but this is certainly not to be expected in general. For the general case it is neces-
sary to create a set of reference points on the acquired projection. Three pixel-sized point
on the coverslip at the outer boundary of the detection region would be sufficient. Since
the points are located on the coverslip, they would be sharply focused in the detected pro-
jection, and they are located near the outer boundary of the detection region to minimize
interference with the received wavefield.
Assuming that we have a set of corresponding feature points, we can use the follow-
ing algorithm to determine the exact rotation and translation between the two projections.
We derive the algorithm based on the idea of fitting a coordinate system onto the point
distribution. Let the two corresponding sets of points be qi and q'i for i=I, ... ,N. (Lower
case and upper case bold letters are vectors and matrices, respectively.) The two point
sets can be related by
(11)

where t is the translation vector, and R is the 2x2 rotation matrix

[
cosO sinO 1
R = -sinO cosO J. (12)

The mean vectors (centroids) of the two point sets are given by
1 N
m=-l:qi (I3-a)
N i=l
1 N
m' = - l : q'i' (13-b)
N i=l

The centroids are related by

m' = Rm + t. (14)

To estimate the rotation between the projections, we first shift the centroid of each point
distribution to the origin to remove translation [11]
Pi=~-m (I5-a)

(I5-b)

Let e be the sum of the distance squared from the feature points to a line passing through
the origin with normal vector n. Then e is given by
N
e = l: (p?n)2 (16)
i=1

504
where Q is the 2x2 covariance matrix
_ 1 N T
Q- N l: Pi Pi' (17)
i=1

To find the best-fit coordinate system we minimize e over D. The minimum of e is given
by the Rayleigh quotient to be the smaller eigenvalue ~ of Q [12]. The corresponding
eigenvector v2 is the best fit line through the feature points. By comparing the best fit
lines through the two sets of feature points. the rotation angle between them can be
obtained in terms of the elements of Q and Q' as
1 -1 2Qu -1 2Q' u
tan29 = -2 (tan Q Q - tan Q' Q')' (18)
20- 02 20- 02

Because of the ambiguity in the sign of the eigenvector. the angle 9 can only be
determined to 9 or 9+1t. This ambiguity can be resolved by using additional a priori
information about the range of values that 9 can take. After the rotation is estimated. the
translation can be determined from Eq. (14). This method of estimating the rotation is
equivalent to comparing the principal axis of the two distributions of point features [13],
and it is also the least-squares estimate of the rotation and translation given the set of
corresponding points [14]. After the rotation and translation between the two feature dis-
tributions are estimated. the projections can be aligned by translating. rotating. and inter-
polating the projection values onto the sampling grid.

B. Non-Uniform Sampled Projections

In this subsection we consider the alignment of projections that are sampled at
different rates in the x and y directions. This data acquisition error distorts a projection
by stretching one direction with respect to the other. which prevents the projections from
proper alignment for superposition. Given the corresponding points qi and q'i for i=I •... N
in two projections, the relationship between the two sets of points is now given by
q'i = S (R S-1 Qi + t) (19)

where

(20)

and a is the unknown sampling ratio to be determined. If a > 1 then the projection
corresponding to Q' is sampled denser in the x direction and consequently the image is
expanded in the x direction. Using Eqs. (14) and (20), the centroids of the two point sets
are related by
m' = S (R S-1 m + t). (21)

Similarly, using Eqs. (17), (19). and (21). the covariance matrices Q and Q' are related
by
S-1 Q'S-1 = R S-1 Q S-1 RT. (22)

505
Since R is a rotation matrix, it is orthogonal. Consequently, the eigenvalues of S-l Q S-l
are identical to the eigenvalues of S-l Q' S-l [12]. Since the sum of the diagonal ele-
ments of a matrix is equal to the sum of its eigenvalues [12], we can write the following
equation

(23)

from which a. can be solved as

(24)

Notice that the sampling ratio can be obtained simultaneously with the rotation angle esti-
mation discussed earlier because both are derived from the covariance matrices Q and Q'.
After the sampling ratio is obtained, the projections are resampled to square sampling
grids.

EXPERIMENTAL RESULTS
The specimen is composed of two layers separated by 0.3 mm. The top layer is
made of two wires, and the bottom layer is a metal grid. The specimen measures about 1
mm in diameter. When mounted in the SLAM, the top layer is 0.6 mm below the cover-
slip (receiving plane). The SLAM image of the specimen is shown in Fig. 3. As can be
see, the image is blurred because of diffraction, and in addition, the two layers interfere
with each other. The experiment for multiple-angle tomography consists of 36 projec-
tions, evenly spaced from 8 = 10° to 8 = 360°. Figures 4 and 5 show some of the)nter-
mediate results in the tomographic reconstruction of the top layer. Figure 4 shows 2
representative projections before the projection alignment step, and Fig. 5 shows the same
projections before the superposition step. Figure 6 shows the multiple-angle tomographic
reconstructions for the top and bottom layers, respectively.

Fig. 3. SLAM image of the sample.

506
 Fig. 4. Multiple-angle projections before alignment.

Fig. 5. Multiple-angle projections before superposition.

507
 (a) Top layer (b) Bottom layer
Fig. 6. Multiple-angle reconstructions.

CONCLUSION
In this paper we presented the implementation of the STAM for multiple-angle
tomography and showed experimental reconstructions. We first reviewed the STAM data
acquisition system and the BFP algorithm. Subsequently, we discussed the implementa-
tion of the BFP algorithm for multiple-angle tomography. The complete block diagram
for the reconstruction algorithm was presented, and projection alignment was discussed in
detail. The method presented utilizes corresponding feature points from the projections to
estimate the two-dimensional rotation and translation required for alignment. Projection
alignment of projections distorted by the difference of sampling rates in the x and y
directions is also discussed. Experimental reconstructions for a two layer specimen are
shown and compared to traditional SLAM images. The results demonstrate that
significant resolution improvement can be achieved by tomographic processing.

ACKNOWLEDGEMENT
This research is supported by the National Science Foundation under Grants ECE
91-96020 and MSS-9020556.

REFERENCES
[1] R. Y. Chiao and H. Lee, "Initial Phase Estimation and Tomographic Reconstruction
for Multiple-Frequency Acoustic Microscopy," Acoustical Imaging, vol. 18, H. Lee
and G. Wade, Eds., New York: Plenum, 1991.
[2] L. W. Kessler and D. E. Yuhas, "Acoustic Microscopy - 1979," Proc. IEEE, vol. 67,
no. 4, April 1979, pp. 526-536.
[3] Hua Lee and Carlos Ricci, "Modification of the Scanning Laser Acoustic Microscope
for Holographic and Tomographic Imaging," Applied Physics Letters, 49(20), pp.
1336-1338, November 1986.

508
[4] Hua Lee, Carl Schueler, Gail Flesher, and Glen Wade, "Ultrasonic Planar Scanned
Tomography," in Acoustical Imaging, vol. 11, J. Powers Ed, New York: Plenum,
1982, pp. 309-323.
[5] Z. C. Lin, H. Lee, and G. Wade, "Scanning Tomographic Acoustic Microscopy: A
Review," IEEE Trans. Sonics Ultrason., vol. SU-32, Mar. 1985, pp. 168-180.
[6] L. W. Kessler, P. R. Palermo, and A. Korpel, "Practical High Resolution Acoustic
Microscopy," Acoustical Imaging, vol. 4, G. Wade, Ed., New York: Plenum, 1972,
pp.51-71.
[7] R. L. Whitman and A. Korpel, "Probing of Acoustic Surface Perturbations by
Coherent Light," Applied Optics, vol. 8, no. 8, Aug. 1969, pp. 1567-1576.
[8] Z. C. Lin, H. Lee, and G. Wade, "Back-and-Forth Propagation for Diffraction
Tomography," IEEE Trans. So nics Ultrason., vol. SU-31, 1984, pp. 626-634.
[9] R. Y. Chiao, H. Lee, and G. Wade, "Image Restoration and Wave-Field Error Remo-
val in Holographic Acoustic Microscopy," Proceedings of 1989 IEEE International
Conference on Acoustics, Speech and Signal Processing, 1989, pp. 1508-1511.
[10] A. Meyyappan, "An Iterative Algorithm and Refined Data Acquisition for Scanning
Tomographic Acoustic Microscopy," Ph.D. Dissertation, Dept. of Electrical and
Computer Engineering, University of California at Santa Barbara, 1989.
[11] T. S. Huang, S. D. Blostein, and E. A. Margerum, "Least-Squares Estimation of
Motion Parameters From 3-D Point Correspondences," in Proc. IEEE Con!. Com-
puter Vision and Pattern Recognition," 1986.
[12] B. Noble and J. W. Daniel, Applied Linear Algebra. Englewood Cliffs: Prentice-
Hall, 1977.
[13] M.-K. Hu, "Visual Pattern Recognition by Moment invariants," IRE Trans. Informa-
tion Theory, February 1962, pp. 179-187.
[14] K. S. Arun, T. S. Huang, and S. D. Blostein, "Least-Squares Fitting of Two 3-D
Point Sets," IEEE Trans. Pattern Anal. Machine Intell., vol. PAMI-9, no. 5, Sep-
tember 1987, pp. 698-700. IRE Tmns. Infonnation Theory, February 1962, pp.
179-187.

509
SAM INVESTIGATIONS: THE STRUCTURAL BASIS OF CELL SURFACE

STIFFNESS OF CULTURED CELLS

H. Luers 1 , J. Bereiter-Hahn.1 and J. Litniewski 2

lCinematic Cell Research Group, J.W. Goethe Universitat

D-6000 Frankfurt/M, Germany
2Department of Ultrasonics, Institute of Fundamental
Technological Research, 00-049 Warsaw, Poland

INTRODUCTION

Even in culture, living cells exhibit a variety of shapes.

Generation and maintenance of form is primarily a mechanical
process, regardless of the underlying molecular reactions.
This means that local changes in the stiffness of cytoplasm
have to be expected.
Acoustic microscopy in the GHz range is a usefull tool for
detection of stiffness variation in cells because of its high
spatial resolution and sensitivity. The acoustic image of a
cell contains information about visco-elastic properties,
density, topography (Hildebrand et al., 1981).
However, the influences of these parameters are not
independent from each other. Different methods have been
developed to extract the information on thickness and
mechanical properties of cells (Litnieswki a. Bereiter-Hahn,
1990; Kundu et al., 1990).
Litniewski and Bereiter-Hahn (1990) developed a method for a
quantitative analysis of attenuation and longitudinal sound
velocity using a single acoustic image taken at a focus level
several wavelengths above the cell surface. The contrast of
these acoustic images of cells is mainly produced by
interferences of reflections from the cell surface and from
the substratum. Contrast differences reflect variation in
elasticity of the cell surface. Thus by measuring reflection
differences acoustic impedance variation of the cytoplasm is
revealed. Assuming a constant density of cytoplasm, sound
velocity can be calculated. For a calculation of Young' s

Acoustical Imaging, Volume 19

Edited by H. Ermett and H.-P. Hazjes, Plenum Press, New York 1992 511
modulus the poisson number has to be used. This ratio,
however, is not exactly known for cytoplasm. Therefore we
prefer to use values of sound velocity as indicators directly
related to "stiffness" rather than giving exact values for
"elasticity".
The mechanical properties of cells measured with the SAM
have to be related to the arrangement of macromolecular
structures. Bereiter-Hahn (1987) qoutes tension of the
cortical cytoplasm as the main factor responsible for the
elastic properties of the cell surface. The boundary of
cytoplasm and culture medium is formed by a complex of the
plasmamembrane and an intimately attached meshwork of actin
fibrils interconnected by various associated proteins. This
cortical layer envelopes the cell and determines the
mechanical properties of the periphery. Therefore it can be
assumed that differences in organization of the cortical
cytoplasm produces differences in stiffness. This stiffness
differences can be revealed by mesurements of sound velocity.
Local stiffness variation of the cortical cytoplasm are
supposed to underly shape changes and locomotion of cells
(Bereiter-Hahn, 1985).
In the present study the relation between the organisation
of the actin cytoskeleton and stiffness of cortical cytoplasm
has been investigated. Sound velocity was measured in
different areas of undisturbed XTH-2 cells. Than contraction
of the actomyosin followed by a destruction of the actin
fibrillar system was induced by the calcium ionophore
ionomycin and the alterations of acoustic parameters have
been recorded. Ionomycin causes a calcium influx into the
cell (Kauffman et al., 1980) and by that contractions of the
actomyosin fibrils are initiated wich are followed by a
destruction of F-actin and microtubules.

MATERIAL AND METHODS

An ELSAM microscope (Wild-Leitz, Wetzlar, FRG) operated at 1 GHz and 27

Co has been used. Following the method of Li tniewski and Berei ter-Hahn
(1990) images are obtained with defocussed lens. The amount of
defocussing was usually 12 lIm above the glass surface. The acoustic
parameters of the glass substratum have been determined: longitudinal
velocity is 5.87 km/s and density 2472 kg/m 3 . Sound velocity in culture
medium was assumed to be equal to water: 1.51 km/s (27 CO). Density of
the cytoplasm was assumed to be constant and equal to 1030 kg/m3.
Endothelial cells from an established cell line (XTH-2) (Schlage et

512
al., 1981) were cultivated in amphibian culture medium (according to Wolf
and Quimby, Gibco, Glasgow, UK). In case of treatment with ionomycin the
culture medium has been replaced by a serum free saline (similar to
amphibian culture medium) with 1 ~M ionomycin (Sigma, St. Louis, USA) and
1.5 mM calcium. Ionomycin is a ionophore with high specifity for calcium
(Kauffman et al., 1980).
In addition to SAM the effect of ionomycin on the cytoskeleton was
revealed by fluorescence microscopy. After fixation of the cells the
structural changes of F-actin and microtubules were detected with TRITC-
phalloidin and indirect immunofluorescence.

RESULTS AND DISCUSSION

Acoustic properties of untreated XTH-2 cells

Untreated XTH-2 cells in subconfluent cultures are

characterized by a layer of thin peripheral cytoplasm
(thickness < 1 pm) and a dome shaped centre (up to 8 or 10
pm). Along the scanning line (Fig. 1a) traversing these
regions the acoustic parameters of the cell have been
determined, following the method of Litniewski and Bereiter-
Hahn (1990).
In the thin peripheral parts sound velocity is rather high
(up to 1. 66 km/s - Fig. 1b). At the transition region to
the dome shaped centre (see arrows in Fig. 1b) in most cases
a decrease of sound velocity is found ( down to 1.51 km/s) ,
while in the marginal cell body sound velocity increases
again (up to 1. 74 km/s). In the very center no reliable
measurements could be made because of ~he attenuation caused
by the thick layer of cytoplasm and scattering by many
inclusions in this region.
The high stiffness in the cell periphery (as revealed by
the high sound velocity) corresponds to the large amount of
cytoskeletal elements per unit area. The basal layer of actin
fibrils is closely apposed to the dorsal cortical filamentous
meshwork beneath the cell membrane. At the transition region
(lamella/cell body) the close connection between the dorsal
parts of the membrane associated fibrillar meshwork loose
their intimate contact to the basal fibrillar layer. This
zone is characterized by low stiffness. The dome shaped cell
centre is assumed to result from the equilibrium between the
positive intracellular hydrostatic pressure and the
counteracting tension at the surface. This hypothesis could
explain the relatively high stiffness (sound velocity) in
this area.

513
 thickness (11m! sound velocity [km/s!
6 .;..:..:.:..::..:..:.:..:..::.;:.:.....:..:-~------------=-.:--r 1.8

1.76

1.7

3 1.65

1.6

1.55

L-~~~~LU~_L- _ _-~~~~~-L-~1.5
~ ~ ~ ro M ~ ~ 00 _ ~ ~

1 distance (11m! b

thickness (11m! sound velocity {km/s!

6 1.8

5
I 1.75
I
1.7

3 I f" v' - 'I'

~
1.65

2
/ "" l"-
1.6

V
1.55

o
~ ~ ~
I
~ ro
I w ~ ~ 00 _
~
~ ~
1. 5

~~~-- 2 distance [lIml b

thickness (11m] sound velocity (km/s!

a 3
30 40 50
rG 60 70 80 90

distance !lIm]
100 110 120 130

b
140

Fig. 1. (a) Acoustic image of an untreated XTH-2 cell on glass, Z = 12,

1 GHz. The upper line represents the amplitude of the SAM signal recorded
along the scan line traversing the cell (lower line). (b) Distribution of
acoustic parameters of the cell along the scan line in Fig. 1a. In the
peripheral parts sound velocity is relatively high. Arrows indicates the
transition region (lamella/cell body) where a decrease of sound velocity
is found.
Fig. 2. (a) Acoustic image of the same cell as in Fig. 1a after 30 s
incubation with ionomycin. Ionomycin induce an increase of contrast of
the interference fringes. (b) Thickness of the cell is reduced, an
increase of sound velocity is found, most prominent in the cell body.
Fig. 3. (a) After 4 min incubation with ionomycin a diminished contrast
can be observed. (b) In the cell body the sound velocity is deacreased
while in the very periphery the the values changed only slightly.

514
Chanqes of acoustic properties induced by ionomyci~

The time course of ionomycin effects on stiffness is

biphasic. A transient increase in the contrast of the
interference fringes immediatly after addition of ionomycin
is followed by a deacrease. This contrast changes corresponds
to a transient increase in sound velocity and thus in
stiffness, which is most prominent in the cell body and the
more central parts of the lamella (Fig. 2b). The subsequent
decrease in stiffness also affects primarily this regions
while in the very periphery stiffness either slightly
increases or decreases (Fig. 3b).

The observed sequence of changes can be explained by

induction of contraction of the actomyosin meshwork and - as
a consequence of very high cytosolic Ca 2 ' concentration - a
subsequent depolymerisation of the actin fibrils. This
contractions results in an increase of tension in the
cortical cytoplasm and thus in stiffness. On disassembly of
the cortical layer by depolymerisation of F-actin stiffness
becomes markedly weakened. stress fibres and stress fibre
like arrangements as they are found along the margins of
cells in culture are supposed to be in a contracted state and
thus these structures do not undergo further contractions. In
addition these peripheral fibrils are known to be more
resistive against destruction than the more central parts of
the actin fibrils (Bershadsky et al., 1980).

The relative high values of sound velocity at the edge of

the cell (Fig. 3b) corresponds to an accumulation of actin in
this region.

Ionomycin causes a total depolymerization of the

microtubules. There is no correlation between the
organization of microtubules and the relative high values of
sound velocity at the edge of the cell.

CONCLUSION

According to these observations the actin fibrillar system

can be regarded as the main factor controlling the stiffness
of cytoplasm. Local contractions increasing the stiffness of
the cortical cytoplasm have been detected by SAM.

515
ACKNOWLEDGEMENTS

This study was supported by an A. v. Humboldt fellowship to

J. L. and by grants from the Deutsche Forschungsgemeinschaft
to J. B.-H.

REFERENCES
Berei ter-Hahn, J. (1985). Architecture of tissue cells. The structural
basis wich determines shape and locomotion of cells. Acta
biotheoretica. 34.
Bereiter-Hahn, J. (1987). Scanning acoustic microscopy visualizes
cytomechanical responses to cytochalasin D. J. of Microscopy. 146,
Pt. 1, 29 - 39.
Bershadsky, A.D., Gelfand, V.I., Svitkina, T.M., Tint, I.S. (1980).
Destruction of microfilament bundles in mouse embryo fibroblasts
treated with inhibitors of energy metabolism. Exp. Cell Res. 127,
421-429.
Hildebrand, J., Rugar, D., Johnston, R., Quate, C. (1981). Acoustic
microscopy of living cells. Proc. Natl. Acad. Sci. USA 78, 1656 -
1660.
Kauffman, R.F., Taylor, R.W., Pfeiffer, D.R. (1980). Cation transport and
specifity of ionomycin. J. Biol. Chem. 255, 27 - 35.
Kundu, T., Bereiter-Hahn, J., Hillmann, K. (1990). Measuring elastic
properties of cells by evaluation of scanning acoustic microscopy
V(z) values using simplex algorithm. Biochem. J. (submitted).
Litniewski, J., Bereiter-Hahn, J. (1990). Measurement of cells in culture
by scanning acoustic microscopy. J. of Microscopy, Vol. 158, Pt. 1,
95 - 107.
Schlage, W., Kuhn, W., Bereiter-Hahn, J. (1981). Established Xenopus
tadpole heart endothelium (XTH) cells exhibiting selected properties
of primary cells. Europ. J. Cell Biol., 24, 342.

516
 ULTRASOUND MICROSCOPY OF BIOLOGICAL STRUcruRES WITH
WEAK REFLECTING PROPERTIES

Hartmut Kanngiesser, Max Anliker

Inst. f. Biomedizinische Technik & Medizinische Informatik
ETH/Uni Zurich
Moussonstr.18 CH-8044 Zurich

ABSTRACT
1. A new reflection type ultrasound microscope is presented. It has been par-
ticularly designed to allow fast imaging, high lateral and improved axial resolution with
optimal signal-to-noise ratio.
2. The images of biological objects document a good axial resolution, which allows
a spatial analyses of the mechanical properties of the object. For investigations of thin
samples such as cell cultures, specimen carriers with minimal reflection properties have
been developed.

------------~------/

Fig. 1. Construction of the microscope system:

LM = Light Microscope, ILM = Inverse Light Microscope, USM = Ultrasound
Microscope, PKL = Phase Contrast Light Source, OC = ObjeCt Carrier,
L = Leveling Unit, H = Housing, D = Damping Unit.

Acoustical imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 517
THE MICROSCOPE SYSTEM
Mechanical aspects
The system shown in Fig. 1 permits investigations of an object with 3 different mi-
croscopes, the ultrasound microscope, which has access to the object from above and
two light microscopes, which have access to the same object from above and
underneath. The latter can operate with trans- or epiillumination with phase contrast or
without contrast enhancement. Investigations using the different microscopes can easily
be compared.
The entire system is integrated in a housing, which provides an atmosphere suit-
able for sensitive biological objects in similar manner as does an incubator. To suppress
internally or externally generated disturbances, the system is placed on a mechanically
damped table. The object can be moved in relation to the microscopes with different
translators.
Electrical aspects
Fig. 2 shows the simplified block diagram of the microwave electronic circuit.
Very short windows for pulse emission and receiving are used to obtain an axial
resolution, which is better than the resolution of the acoustic lens itself. For the
generation of these pulses special GaAs switching circuits have been developed.

Trans-
ducer

3
Temperature
,------, Sensor
Temp.
Curve
Programmable
Attenuator

Manual
\7
r
60 dB Adjust

To Detectors

Fig. 2. Simplified block diagram of the microwave electronic.

The microwave source synthesizes a highly stable signal, from which wave pack-
ages are generated with switch 1. These are amplified to a power of 33 dBm and con-
nected through switch 2 with the circulator. Switch 2, in off position, provides an excel-
lent matching and a very high insulation to avoid reflections and interferences with the
object echo. Switc):I. 3 couples the object echo to the detection path and protects the at-
tached GaAs low noise amplifier from electrical reflections of the emitted pulse.

518
 A directional coupler connects a small fraction of the microwave signal, which is
adjustable in phase and amplitude, to the detection path. In this m~nner the effects of
all parasitical reflections, electrical as well as the acoustical ones insIde the lens, can be
minimized. The GaAs switch 4 generates the short detection window.
It is necessary to compensate the temperature dependent damping of the coupling
water, to obtain quantitative measurements of the mechanical properties. The tempera-
ture of the water is measured in proximity of the lens. According to a stored tempera-
ture curve a programmable attenuator is driven.

Specification of the microscope:

Scanning accuracy: < 0.1/Lm
Scanning speed: up to 3 images/sec.
Line frequency: up to 200 Hz
Number of pixels: 1024*1024
Resolution at a frequency of 1.5 GHz and a pulse width of 1.1 ns:
lateral: 0.54/Lm
axial: 1.26/Lm

noise figure: 2.5 dB

Noise equivalent power reflection coefficient (at 37°C):

INVESTIGATING OF BIOLOGICAL STRUCTURES

The aim of this work was the imaging of echoes of biological objects from a
specified layer.

reI. echo amplitude in dB

10 , :

8-~------

6 -----

4 --~ -- -~- --~

2~---L--~-- __J -_ _ ~_ _ _ _~ _ _ ~

50 100 150 200 250 300 350

% weight of softener

Fig. 3. Echo amplitude of soft pvc versus amount of softener. Applied materials are Poly
vinyl chloride high molecular and softener DOS (Bis 2-ethylhexyl sebacate).

519
 During the investigation of thin samples, for example cell cultures, there are al-
ways problems of interferences between the echo of the object and the generally much
stronger echo of the carrier. To diminish these disturbances, object carriers with very
low reflection coefficient have been developed. The best results have been obtained
from glass carriers coated with soft PVc. Fig. 3 shows the echo amplitude of such a car-
rier, versus the amount of softener. The minimum of reflection is in the range of the re-
flections of a cell culture. It is about 18 dB lower than the reflection of the surface of a
polystyrene petri dish.
To give a partial overview of the capabilities of the microscope the following three
examples will be presented.

Fig. 4. Cell culture ~Vero-cells) grown on soft pvc. Scanned area of each image is
100*100 pm and the distance between the images 1 pm.

Fig. 5. Cell culture (Vera-cells) grown on soft PVC. Scanned area in x-z-direction (B-
scan) is 100*20 pm2.

520
 A cell culture grown on a soft PVC carrier is shown in fig. 4 in nine different lay-
ers. These images can be used for 3-dimensional visualization. Fig. 5 shows an image,
scanned in x-z-direction (B-scan), of such a cell culture. Sections of arbitrary thickness
can be used to investigate tissues. Fig. 6 shows the section of human skin around the
epidermis.

Fig. 6. Section of human skin. Scanned area is 500*500 pm2.

CONCLUSION
1. This microscope provides a high resolution in both axial and lateral directions.
2. It is sufficiently sensitive to detect echoes from soft tissues with an excellent signal to
noise ratio.
3. Quantitative spatial characterization of the mechanical properties on microscopic
level is possible.
4. A set of images obtained from different depths of the objects is suitable to generate
3-dimensional images.

521
REFERENCES

[1] Lemons RA and Quate c.P.

Acoustic Microscopy
Physical Acoustics Vol.l4, 1979

[2] Johnston RN., Atalar A, Heiserman J., Jipson V., and Quate C.F.
Acoustic microscopy: Resolution of subcellular detail
Proc. Natl. Acad. Sci. UltraschallA, Vol. 76, No.7, pp. 3325-3325, Juli 1979.
Biophysics

[3] Hildebrand J.A, Rugar D., Johnston R N., Quate C.F.

Acoustic microscopy of living cells
Proc. Nat. Acad. Sci. U.S., vol. 78, 1656-60,1981

[4] Hildebrand J.A and Rugar D

Measurement of cellular elastic properties by acoustic microscopy
Journal of Microscopy, Vol. 134, Pt 4, June 1984

[5] Litniewski Jerzy and Bereiter-Hahn Jiirgen

Measurements of cells in culture by scanning acoustic microscopy
Journal of Microscopy, Vol. 158, Pt 1, April 1990

[6] Daft C.M.W; and Briggs G.AD

The elastic microstructure of various tissues
J. Acoust. Soc. Am. 85 (1), January 1989

[7] Kolosov O.V., Levin V.M., Mayev RG. and Senjushkina T.A
The use of Acoustic Microscopy for Biological Tissue Characterization
Ultrasound in Med. & BioI. Vol. 13, No.8 pp. 477 - 483, 1987

[8] Atalar A
Acoustic reflection mikroskopie
Diss. Stanford University, Dez. 1978

[9] Anna Th.

Anwendungen der Ultraschall-Mikroskopie aufbiologische Objekte
Diss. ETH-Ziirich Nr. 9022

522
 ACOUSTIC IMAGING OF THE MITOTIC SPINDLE
IN DIVIDING XTH2-CELLS

A. Linder, S. Winkelhaus, and M. Hauser

Lehrstuhl fur Zellmorphologie, Ruhr Universitat
Bochum, POB 102148, 4630 Bochum

INTRODUCTION

The process of separation of the genetic material during

cellular division is called mitosis and is common to all eu-
karyotic cells.
When mitosis starts, the DNA as carrier of the genetic
information has already been duplicated. Individual DNA mole-
cules are, however, surprisingly long; in many organisms
their lengths exceed a meter while the DNA-molecule is only
about 2 nm thick. A process of compaction is therefore essen-
tial for a proper process of transport during mitosis. The
duplicate presence of these so called chromosomes is often
evident in the double-stranded nature of each chromosome. The
duplicated parts of a chromosome, the "chromatids", are gene-
tically identical and are linked together until mitosis on-
set.
There is generally at least one constriction on a chro-
mosome, the so-called "centromere", which will become the
site of attachment to the machinery which will move the chro-
mosome during mitosis. Chromosomes are not self motile, and
their organized movement is accomplished by the "mitotic
spindle", an array of fibers that interacts with the chromo-
somes, to effect their movements. This array of fibers,
mainly consisting of long hollow cylindrical polymers of the
acidic protein tubulin about 20 nm in diameter, is assembled
in the cytoplasm of each cell during the prometaphase stage
and reaches its functional design in the metaphase stage,
where the duplicated chromosomes become centered in the equa-
torial plane. Movement to the spindle poles starts in ana-
phase, where the spindle undergoes a partial disassembly and
also far-reaching rearrangements. From other experimental
evidences it is believed that the motor molecules which are
responsible for chromosomal movement are localized at the at-
tachment sites (the centromere region) of the spindle fibers
to the chromosomes. Concomittantly, this centromere region is
also thought to be the place of spindle fiber breakdown i. e.
the disassembly site of the tubulin heteropolymers (1-5).

Acouslicailmaging. Volume 19
Edited by H. Ermert and H.-P. Haljes. Plenum Press. New York 1992 523
APPEARANCE OF MITOTIC SPINDLES OF LIVING CELLS IN THE SAM
Scanning acoustic microscopy (SAM) using high frequency
ultrasound produces images with submicron resolution. The
contrast observed in acoustical images depends on the acou-
stic properties (i.e. stiffness, density and attenuation) of
the living cell (6-9). It is therefore a suitable tool for
examining the rearrangements of the rigid mitotic spindle du-
ring the division of living cells.
When in the acoustic microscope at 1.3 GHz the focus is
placed near the spindle axis the interference fringes usually
delineating the cells profile are not longer prominent and
instead the reflectivities of the spindle appar~tus become a
dominant feature. On a substrate not far exceeding the acous-
tic impedance of living cells, the observation of the living
spindle is possible at a wide range of focus positions. Se-
parating reflectivity and attenuation (absorption) by spindle
structures is difficult and is additionally complicated by
the fact that the position of focus slowly changes by mo-
vements of the mitotic cell in the z-axis.
For our purpose, however, observations of changes in re-
flectivity will at the moment be more important than the pre-
cise knowledge of reflection and attenuation coefficients.
Metaphase Stage of Mitosis
The determination of changes in spindle structure is
best approached by looking first at the fully formed mitotic
apparatus found during metaphase. Depending on focus position
at metaphase of mitosis, the chromosomes of the equatorial
plate appear as a zone of either high or low reflectivity and
also the slightly rigid spindle structure is to visualize
(fig.1a). Especially, the so called polar asters appear pro-
minent and interestingly also sites of high mechal1.ical stress
(fig.1b). This is the case at the centromere regions of the
chromosomes where the motor molecules are believed to exert
high mechanical tension forces on single bundles of microtu-
buIes centered to this small plates of 0.2 pm in diameter. As
in the case of the stress fibers in interphase cells, which
are about 0.5 pm in diameter, these attachment sites revealed
themselves as a good test structure for the resolution capa-
bili ty of an acoustic microscope examining biological spe-
cimens.
Low concentrations of the mitotic poison nocodazole,
which produces the complete disassembly of the mitotic
spindle fibers, lead to a sudden reduction of local reflec-
tivity, indicating a diminished elastic modulus in this area.
As a consequence, the high order of the chromosomes and the
stiffness of this plate appear weakened and finally the di-
viding cell is rounding up (fig.2).
Application of taxol, however, a drug which stabilizes
spindle fibers and leads to the assembly of additional micro-
tubular fibers, causes not only a significant shortening of
the spindle apparatus - due to certain rearrangements of the
spindle fibers - but also a remarkable change in contrast si-
tuation can be visualized (fig. 3a).

524
Fig. 1 Metaphase stages of XTH2 cells; besides
both spindle poles (large white arrow)
and the equatorial plane, the insertion of
microtubules at the centromere region is
clearly visible (small white arrows)
Bar: 10~m

Fig. 2 After an incubation time of 10 minutes

with nocodazole (fig. 2a) the stiffness of
the equatorial plate decreases while after
30 minutes (fig.2b) the chromosomes are des-
aggregated and the cell has rounded up.
Bar: 10~m

525
 At different focus positions of the metaphase stage, the
bright spots indicating sites of high mechanical stress cen-
tered to the chromosomal centromers appear slightly more pro-
minent (fig.3b). The additional assembly of microtubular fi-
bers in the polar areas of the spindle show a remarkable in-
crease in reflectivity or absorbance depending on focus posi-
tion. This is also valid for the rest of the spindle body,
which now, compared to the surrounding cytoplasm, exhibits an
enhanced contrast (fig.3a). After a short time, the chromoso-
mes in the equatorial plane become slightly dislocated due to
increasing tension forces of the mitotic spindle.

Fig. 3 Taxol-treated XTH2-cells (metaphase). Note

the enhanced contrast of the spindle body
especially in the area of the polar asters
(fig. 3a) (large white arrows). The inser-
tion of microtubules at the centromere re-
gion (small white arrows) is slightly more
prominent. Bar: lOpm

Metaphase-Anaphase Transition

When the cell enters anaphase, that means the start of

chromatid movement to the spindle poles, the chromosome an-
chored microtubules shorten by depolymerization. Since in ge-
neral these motions are rather slow, ranging vom 0.1 to 1
~m/sec, they can be easily observed by the acoustic micros-
cope. Anaphase onset is accompanied by an increasing
inhomogeneity of the mechanical properties of the spindle fi-
bers at the chromosomal front migrating polewards (fig. 4) .
The chromosomal front is obviously preceeded by a zone of al-
tered reflectivity (fig.4a), caused by a weakened stiffness.
In this case it is visualized by the bright contrast that is
due to a diminished elastic modulus of spindle fibers . These
changes in acoustic properties coincides with the earlier
mentioned breakdown of spindle fibers in the centromeric re-
gion.

After taxol application (not shown), however, these mo-

vements stop abruptly by the drug induced stabilization and
as a consequence, the contrast at the chromosomal front
remains unchanged .

526
Fig. 4 Metaphase-anaphase transition stages.
Anaphase onset is indicated by slow
os c illations of the equatorial plane in
the z-axis. In fig. 4a the open arrows
point to a zone of enhanced reflectivity
which preceeds the chromosomal front.
The cleft appearing in the equatorial
plane (fig. 4b, white arrowheads) broa-
dens with anaphase progression (fig . 4c-d) .
The white arrows indicate the polar region
of the spindle body. Bar: lOpm

527
CONCLUSIONS

The process of cell division is accompanied by various

changes in reflectivity and attenuation at the different sta-
ges of mitosis which could be observed with the SAM. There-
fore this investigation demonstrates the suitability of the
method in following the macromolecular changes of living
cells.

REFERENCES
1. D.E. Koshland, T.J. Mitchison, and M.W. Kirschner, Pole-
wards chromosome movement driven by microtubule
depoly~~rization in vitro, Nature 331:499-505 (1988)
2. J.R. McIntosh, and M.P. Koonce, Mitosis, Science 246:
622-628 (1989)
3. T.J. Mitchison, Mitosis: basic concepts, Curro Opinion
Cell BioI 1:67-74 (1989)
4. H. Fuge, Traction fibers in chromosome movement: the
pros and cons, BioI. Cell. 66:209-213 (1989)
5. K.E. Sawin, and T.J. Mitchison, Poleward microtubule
flux in mitotic spindles assembled in vitro, J. Cell.
BioI 112:941-954 (1991)
6. J.A. Hildebrand, D. Rugar, R.N. Johnston, and C.F.
Quate, Acoustic microscopy of living cells, Proc.
Natl. Acad. Sci. USA 78:1656-1660 (1981)
7. J.A. Hildebrand, and D. Rugar, Measurement of cellular
elastic properties by acoustic microscopy,
J. Microsc. 134:245-260 (1984)
8. M. Hoppe, and J. Bereiter-Hahn, Applications of scanning
acoustic microscopy - survey and new aspects, IEEE
Transactions on Sonics and Ultrasonics SU-32:289-301
(1985)
9. J. Bereiter-Hahn, and N. Buhles, Basic principles of
interpretation of scanning acoustic images obtained
from cell cultures and histological sections, in:
Imaging and Visual Documentation in Medicine, K. Wam-
steker (ed.), Elsevier Science Publishers (1987)

528
 PREPARATION TECHNIQUES IN ACOUSTICAL AND OPTICAL MICROSCOPY
OF BIOLOGICAL TISSUES, A STUDY AT 5 MHz AND 1.2 GHz

A.F.W. van der Steen1, M.H.M. Cuypersl, I.M. Thij ssen 1,

G.P.I. Ebben2, P.C.M. de Wilde2

1Biophysics Laboratory, Institute of Ophthalmology

2Department of Pathology
University Hospital, St. Radboud
6500 HB Nijmegen, The Netherlands

INTRODUCTION

A great number of studies has been performed on the estimation of acoustical

properties of tissues in vitro. A problem which arises when tissues are investigated in
vitro is autolysis which causes gaseous inclusions in the tissue and a degradation of the
tissue (Bamber and Nassiri 1985). This can be solved by fixation of the tissue
immediately after excision. Bamber et al. (1979) investigated the influence of various
fixatives on the acoustic parameters of tissue. Presently there is a tendency to apply
higher frequencies to enhance the resolution of the acoustical images. With acoustic
microscopes it is possible to image sections at a cellular level. For this purpose the
thickness of sections should be 2-10 I'm. The standard cutting techniques which are
used for optical microscopy should be employed then. In the studies presented here the
influence of diverse fixatives and the preparation needed for various cutting techniques
on the acoustic properties of liver tissue and on the quality of the images of an acoustic
microscope are investigated. A quantitative study was performed at 5 MHz and a
qualitative study at 1.2 GHz.

METHODS

The quantitative study ~ MHz)

Tissue processing. First the influence of paraffin embedding, needed for slicing,
was investigated. For this study the livers of 8 white New Sealander rabbits (4 to 5
months old, weight 2.5 to 3.0 kilograms) were manually cut into slices of
approximately 5 mm thickness. 21 slices were measured less than 1 hour after sacrifice
of the rabbits. Then they were fixed in a degassed physiological 4 % buffered formol
solution for 1 week and then measured again. Subsequently the slices went through a
paraffin cycle and were measured again. Finally the slices were Hematoxylin-Eosin
(HE) stained and measured again. During the histological processing extreme care was

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 529
 polyethylene
membrane 3].ll1l

reference silJIlal

a l tenua ted and

time shifted
signal

gate

gated scatter
signal ( +40 dB)
____J~nIJ\ ~
-'~l rl tV'
''--___
Fig. 1 Principle of the measurements in the qualitative study.

taken that no gas could enter the slices. Furthermore the slices were cooled to 6 °C for
24 hours and then stabilized at room temperature prior to each of the last three stages to
remove gaseous inclusions caused by eventual autolysis processes (Cloostermans et al.
1986; Bamber and Nassiri 1985). All measurements were performed at room
temperature (20 ± 2°C).

Instrumental set up. The instrumental set up has been described in detail
elsewhere (van der Steen et al. 1991). It consists of a pulser (Aerotech Laboratories,
UTA 3), a focused broadband transducer (Panametrics, V308, central frequency 5
MHz, diameter 23 mm, -10 dB bandwidth 5 MHz, focused at 6 cm), a receiver
(Panametrics, 5052 PR), a 5th order Bessel low pass filter (-3 dB at 15 MHz), a
transient recorder (Biomation, 8100), a computer (Digital Equipment Corporation, PDP
11134), and an XYZ-translation system (Marzhauser GmbH, Oxmin=L:lymin=l Jl.m,
Ozmin=O.l Jl.m) in which the transducer was mounted.

Data acquisition. The slice of liver was put on a glass block mounted on the
bottom of the watertank. The transducer was positioned in such a way that the liver was
scanned in the focal zone. The slices were covered with a stretched polyethylene
membrane (thickness 3 Jl.m) which is practically transparent for 5 MHz ultrasound. The
acquisition procedure is illustrated in Fig. 1. It was similar to the acquisition described
by Foster et al. (1984). First the backscattering was measured (trace 1), using the
receiver at the highest gain. A C-scan was made in the XY -plane. covering 100

530
measurement positions in a 5 * 20 rectangle (total area 2.5 by 6.0 mm). A second C-
scan was made at a lower gain (trace 2), acquiring the glass plate reflection through
the slice. Then the liver was removed and a reference acquisition was made of the glass
plate reflection (trace 3). For all histological processing conditions the same parts of the
liver specimens were examined.

Data processing. The local velocity c(x,y) was estimated from the time of flight
measurements of the glass plate reflection with tissue l2(x,y), the membrane reflection
tt(x,y) and the reference glass plate reflection to(x,y) and the known velocity in the
physiological saline solution Co (1520 mls (measured». The local thickness of the slice
d(x,y) was calculated from c(x,y) and l2(x,y)-tt(x,y).

The attenuation spectrum was obtained from the glass plate reflection with and
without the tissue interposed using the substitution method (Verhoef et al. 1985). The
attenuation spectrum was calculated in dB/cm and characterized by a linear least
squares fit over the -10 dB bandwidth of the transducer (1.9 - 6.9 MHz), yielding the
attenuation at 4.4 MHz and the slope of the attenuation spectrum.

The backscattering was obtained from the rf-signal acquired at the highest gain.
As much windows of 64 sampling points, with 50 % overlap, as possible were gated,
excluding the membrane and the glass plate reflection, using a double shaped cosine
bell (Bloomfield 1976). Windows which contained specular reflections were omitted.
The spectrum of each window was normalized relative to the spectrum of a glass plate
reflection acquired at a position corresponding to the centre of the backscattering
window. After this the normalized spectra were corrected for attenuation. Then all the
spectra obtained from 10 adjacent rf-lines were averaged, thus obtaining 10 averaged
spectra out of 100 positions. The backscatter spectra were calculated in dB/cm and
characterized by a linear least squares fit from 1.9 to 6.9 MHz, yielding the intercept at
o MHz and the slope of the backscatter spectrum.
The qualitative study (1.2 GHz)

Tissue processing. Thirty sections of liver tissue obtained from three white New
Sea1ander rabbits were prepared in ten different ways and then measured. The sections
were fixed in a 4 % buffered formalin solution or a 70 % ethyl alcohol solution. They
were cut in two ways, namely using a cryostat, or dehydrated, embedded in paraffin,
cut, deparaffinized and then hydrated again. They were measured not stained, stained
by a HE solution or by a Toluedin Blue solution (TB). The sections from each set of
ten were cut adjacent to each other. From each section corresponding regions were
selected for measurements. In this way it was possible to investigate nearly the same
region under different histological circumstances.

SAM. The tissues were investigated using an Elsam (Leitz, GmbH) scanning
acoustic microscope. This is a SAM according to the Lemons & Quate principle
(Lemons and Quate 1974). When this SAM is applied on solid materials a surface
reflection image is generated. Because the tissue sections have an acoustical impedance
that is close to water, a major part of the sound will penetrate the tissue and thus a
reflection image of the glass slide, on which the section is mounted, is generated. For
this reason the acoustical attenuation is imaged.
The SAM is used with a 1.2 GHz transducer. It produces images of 512 x 512 points
covering an area of approximately 0.25 mm2 • After finishing the acquisition of the
acoustical image, an optical reflection image of exactly the same region is produced.

531
 a b

Fig. 2 Examples of images produced by the ELSAM. All images cover an

area of approximately 0.5 x 0.5 mm.
a: an optical reflection image of a cryostat cut, form. fixed, HE-stained
section. b: an acoustical reflection image of the same section. c: an
acoustical reflection image of an adjacent paraffin embedded cut,
deparaffinized, alc. fixed, HE-stained section.

RESULTS

The results of the quantitative study are presented extensively in another paper
(van der Steen et al. 1991). Summarizing these results are:
The fixation induced a small decrease of velocity of sound, an increase of the
attenuation parameters, and no change of the backscatter parameters. The paraffin cycle
introduced rather dramatic changes in all parameters. Additional HE-staining further
increased the attenuation, leaving the other parameters intact.

The results from the qualitative study are illustrated by fig. 2. Fig. 2 shows an
optical reflection image (a) and an acoustical reflection image (b) of a cryostat cut,
alcohol fixed, H.E. stained section and an acoustical reflection image of a paraffin
embedded cut, deparaffinized, formalin fixed, H.E.-stained section (c). In the lower left
corner a vein is visible, in the lower right corner a biliary duct. These are surrounded
by collagen which is dark in image 2b (high attenuation). In the upper right corner
parenchimal tissue is visible. The acoustical image in fig. 2b displays a lot of detail. In
the parenchimal tissue the cell nuclei can be seen and the above mentioned structures
are easy to distinguish. The paraffin section gives hardly any detail at all.

532
CONCLUSIONS

Both the 1.2 GHz and the 5 MHz study yield the same major conclusions. It is
possible to fix tissue with Formalin without damaging the tissue too much. The paraffin
cycle introduces such large changes in the acoustic properties of tissue that it should be
avoided at all times when tissue is prepared for acoustical microscopy. Other cutting
techniques should be applied.

Acknowledgements: This project is financially supported by a grant of the Dutch

Cancer Society.
The authors want to thank Mr. J. van den Berg and Mr. J. van Oyen of Philips Physics
Laboratories Eindhoven for making available their acoustic microscope and for their
help.

REFERENCES

Bamber, J.C.; Hill, C.R.; King, J.A.; Dunn, F. Ultrasonic propagation through fixed
and unfixed tissues. Ultrasound in Med. and BioI. 5: 159-165; 1979
Bamber, J.C. and Nassiri D.K. Effect of gaseous inclusions of the frequency
dependence of ultrasonic attenuation in liver. Ultrasound in Med. and BioI. 11:
293-298; 1985
Bloomfield, P. Fourier analysis of time series: an introduction. New York: John Wiley;
1976: 80-85
Cloostermans, M.J.T.M; Mol, H.; Verhoef, W.A.; Thijssen, J.M. In vitro estimation
of acoustic parameters of the liver and correlations with histology. Ultrasound in
Med. and BioI. 12: 39-51; 1986
Foster, F.S.; Strban, M.; Austin, G. The ultrasound macroscope: initial studies of
breast tissue. Ultrasonic Imaging 6: 243-261; 1984
Lemons, R.A. and Quate, C.F. Acoustic Microscope-Scanning Version. Appl Phys.
Lett. Vol 24: 163-165; 1974
van der Steen, A.F.W.; Cuypers, M.H.M.; Thijssen, J.M.; de Wilde, P.C.M.
Influence of preparation on acoustic parameters of liver tissue, a 5 MHz study.
(submitted to Ultrasound in Med. and BioI.) 1991
Verhoef, W.A.; Cloostermans, M.J.T.M.; Thijssen, J.M. Diffraction and dispersion
effects on the estimation of ultrasound attenuation and velocity in biological
tissues. IEEE Trans. BME. 32: 521-529; 1985

533
 ACOUSTIC VELOCITY DETERMINATION

IN CYTOPLASM BY V(Z) SHIFf

J. Litniewski. J. Bereiter-Hahn*

Dept. of Ultrasounds, Institute of Fundamental Technological Research

Swi~tokrzyska 21, 00-049 Warsaw, Poland

Cinematic Cell Research Group, J. W. Goethe University

Senckenberganlage 27, D-6000 Frankfurt/M, Germany

INTRODUCTION

The scanning acoustic microscope (SAM) working in the reflection mode allows to determine
mechanical properties of biological samples 1•2 . At GHz frequencies the resolving power of the micro-
scope is sufficient to investigate cells on glass or plastic in culture 3•4 • Previous studies revealed the possi-
bility to measure the distribution of sBecific impedance and attenuation coefficients of living or fixed cells
from the acoustic microscope image 5. Assuming a constant density of the cytoplasm we have obtained
velocity distributions and the surface profile (thickness) of the cell. We have also observed that an
increase of acoustic velocity in the cytoplasm depends on the amount of polymerized actin. Thus, the
velocity is directly connected with the mechanical state of the cell 5. The method presented here is also
assigned for velocity determination. Comparing to the previous method another physical effect is used -
the shift of V(z) curve. No preliminary assumptions for the cell parameters are required.

DESCRIPTION OF THE METHOD

The analysis of V(z) relation can be made following "geometrical acoustics" 6.7. When the micro-
scope is focused below the surface of an investigated sample, two waves (creating the SAM signal) are
considered, the geometrically reflected wave and the wave reradiated by the Leaky Rayleigh Wave
(LRW). In a first approach the investigated surface is assumed to be plane and solid. The phase
difference (CP12 = CPl - CP2) between the waves which are summing up and create the signal, is a linear
function of Z (Z - distance between the focal plane and the investigated surface): CPl2 = A(Co , VJJ . Z;
where Co - speed of sound in the coupling fluid, VR - LRW velocity.

When the investigated surface is covered with a parallel, thin liquid layer (cell), two additional
phase factors (F, Fo) have to be introduced:

CPl2 = A(Co , VJJ . Z + F(d) - Fo(C , VR , d),

C - speed of sound in the layer (cell), d - thickness of the liquid layer.

In this case the V(z) curve is shifted on the z-axis 8 and the value of the shift (6z) can be calcu-
lated according to the formula:

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 535
 Fo(C , V0 - F(d)
!!>z = ---A---

When the thickness of the layer equals a multiple of Al2 (A. - wavelength in the layer) and values of
Co, VR and frequency are known, the shift l!1z depends only on the sound velocity in the layer (C) and
can be used for the determination of this velocity. Variation of the shift (l!1z) with velocity (C) for three
values of the layer thickness are presented in Fig. 1.

As a cell model, the plano-parallel liquid layer situated on the glass surface has been used. It was
assumed that the wave reflected from the surface of a layer (cell) does not disturb velocity measurements.
There are two reasons justifying this assumption. The amplitude of this wave is small in comparison to
the amplitudes of the waves considered in the model (value of the specific impedance of the cell cyto-
plasm is close to the impedance of the coupling fluid, also the reflecting surface of the layer is situated
farther apart from the focal plane than the surface of a substratum). When a maximum of the interference
fringe is formed the waves reflected from the surface and from the substratum are in phase and they
always sum. However, this results only in a small increase of the amplitude of the geometrically reflected
wave and has no influence on a position of a V(z) curve on z-axis.

To exemplify the method measurements have been performed using XTH-2 cells grown on a glass
substratum and fixed with glutardialdehyde. The scanning acoustic microscope (ELSAM) was operated at
1.5 GHz. First we have recorded an image of the cell together with the amplitude of the acoustic signal
received from the microscope along one defined scanning line (Fig. 3). The microscope was focused
above the cell substratum what assured that the wave reflected from the cell surface and from the substra-
tum were of the same order of magnitude. The interference fringes shown in Fig. 3 result from summa-
tion or subtraction of these waves. In the areas of the cell where bright interference fringes are created
the thickness of the cell is precisely equal to a multiple of A/2 (A - longitudinal wavelength in the respec-
tive cell region). Four points on a scanning line were chosen for farther investigations. One, indicating
the substratum and three points determining areas of the cell where the thickness equals to the successive
multiples of A/2. .

Then, the microscope was focused below the substratum between the first V(z) mInImum and
maximum. One hundred acoustic signal distributions along the chosen scan line were recorded, focusing
the waves 0.1 11m deeper below the substratum each time. The signals collected from the microscope
were stored in a matrix form (100 lines, 512 points a line). For a fixed point on a scanning line the
amplitude of the signal from successive distributions plotted as a function of the focus position creates
the V(z) curve. Drawing the columns of the data matrix, corresponding to the chosen four points, we
have obtained four V(z) curves (Fig. 2) - the curve for mere substratum and three curves for the cell at
the thickness values equal to Al2, A and 1.5 A respectively.

~f----------~--~~----~r---------~

M~ ________-+________ ~~ ________ ~

M~-- ______~...________~bo__~____~.
ue use use 2.08
epeed of eound (kmta(

Fig. 1. Shift of V(z) curves as a consequence of the velocity variation in three layers of different thick-
ness (multiples of f,j2).

536
 0.2 IJffi 0.5 IJffi

THO<r-ESS • 112 11. THIO<r-ESS • A.

• • 10 ...
0.55 IJffi
V(Z)

THO<NESS = 3/2 'A

Fig. 2. V(z) curves (vicinity of the first maximum) found for the mere substratum (solid line) and for
three points of a cell (successive interference maxima). The shift between the V(z) curves is a
measure of the acoustic velocity in the cell.

Fig. 3. Acoustic microscope image (1.5 GHz) of an XTH-2 cell together with the distribution of the
amplitude of the microscope signal along the scanning line. The microscope was focused 6 11m
above the substratum.

537
 1.81 km/s

CELL

• i

o
i
60 IJ{O

Fig. 4 The cell profile found along the scanning line marked in Fig. 3. Values of the velocity deter-
mine from the V(z) shift are marked on the picture. The profile (thickness distribution) was cal-
culated using velocity values measured in the interference maxima.

RESULTS AND ERROR ANALYSIS

The V(z) curves, drawn in Fig. 2 show the position shifts on z-axis in respect to the curve for the
substratum only. The values of these shifts were compared with the values obtained from the model cal-
culations (Fig. 1). This allowed to calculate values of the sound velocities.

For the cell presented in Fig. 3 we have measured velocity in three points. In these points the
thickness of the cell was equaled to 1../2, A. and 1.5 A and the values of velocity were found to be 1.83,
1.90 and 1.81 km/s respectively (Fig. 4). For the calculations we have assumed value 1.48 km/s for the
speed of sound in the coupling fluid (distilled water) and 3.1 km/s for Rayleigh waves velocity in the
glass substratum. The mean error of measuring the velocity in a cell depends on the errors of determina-
tion of these parameters and was equaled to ± 0.04 km/s. For error analysis we have assumed a very
high, non-limiting accuracy of a mechanical Z-positioner.

The velocities obtained here are in the range of velocities measured with other methods 4. For the
determination of these velocities no any preliminary limits on their values have been imposed and no
other assumptions of cell parameters were required.

REFERENCES

1. 1. Bereiter-Hahn, Scanning acoustic microscopy visualizes cytomechanical responses to cytochalasin

D, Journal of Microscopy 146:29 (1983).
2. J. Bereiter-Hahn, J. Litniewski, K. Hillman, L. Kraphol, L. Zylberberg, What can scanning acoustic
microscopy tell about animal cells and tissues?, in: "Acoustical Imaging vol. 17", Plenum Press,
New York (1989).
3. J. Hildebrand, D. Rugar, Measurement of cellular elastic properties by acoustic microscopy, Journal
of Microscopy 134:245 (1984).
4. J. Litniewski, J. Bereiter-Hahn, Measurements of cells in culture by scanning acoustic microscopy,
Journal of Microscopy 158:85 (1990).
5. J. Litniewski, J. Bereiter-Hahn, H. Luers, Cell investigations with scanning acoustic microscope, in:
"Symposium on Ultrasound in Biomeasurements, Diagnostics and Therapy", Madralin, Poland
(1990) (in press).
6. W. Parmon, H. Bertoni, Ray interpretation of the material signature in the acoustic microscope,
Elec. Lett. 15:21:684 (1979).
7. H. Bertoni, Ray-optical evaluation of V(z) in reflection acoustic microscope, IEEE trans. on Sonics
and Ultrasonics SU-31:2 (1984).
8. J. Litniewski, On the possibility of the visualization of velocity distribution in biological samples
using SAM, IEEE trans. on Ultrason. Ferroelctr. Frequency Contr. UFFC-36:1 (1989).

538
ACOUSTICAL MICROSCOPY APPLICATIONS FOR LIVING CELLS INVESTIGATIONS

T. Tommasi, A. Cambiaso, G. Buzzoni, M. Granarola, and B. Bianco

Biophysical and Electronic Engineering Department, University of Genoa

Via Opera Pia llA, 16145 Genova, Italy

INTRODUCTION

Several authors 1,2,3 have shown that scanning reflection acoustic microscopy operating in the
GHz range is a powerful tool for observing living cells adhering to a substrate in culture; the related
procedure is somewhat similar to reflection contrast optical microscopy 4.
Acoustic images contain information relevant to cell topography and cell attachment sites. Computer
processing of digital acoustic images results in a great enhancement of these two features. Moreover,
further information can be gained by comparing experimental data with those obtained by modelling
and computer simulating the whole process of acoustic image formation.
Such a model will be described in the next section. This description will be followed by specific
examples of cell image processing and by comparisons between experimental and computer simulation
results.

A CELL MODEL FOR IMAGE ACOUSTIC FORMATION

Simulations have been performed to evaluate cell images acquired by acoustic microscopy.
To this end, a model is needed in order to obtain the acoustic reflection coefficient R(8) which is
directly related to the microscope response V(z) , via an integral operator. Here z represents a given
displacement between the lens focus and the upper sample surface, and 8 is the angle between the
wave direction and the lens axis.
The cell is modelled as a layered object on a substrate, e.g. quartz, polystyrene; the simplest
model consists of a coupling medium over the cell, usually water, a layer of cellular material, a thin
layer of water between the cell and the substrate 1,2. This model can be modified to observe the
importance of some cell structures in the acoustic reflectance formation ( e.g., the elastic properties
of the membrane) . Another application is aimed at the detection of cell-substrate attachments. For
this task, it is sufficient to assume some sites of the thin layer of water to be made of a material with
different physical properties from those of the cell considered : actually, cell substrate attachments
are characterzed bi higher density and greater velocities for acoustic waves, so determining different
elastic properties .
The materials of the layered model are defined by density, transverse and longitudinal velocities, and
attenuation coefficients. We calculate R(8 ) under the hypothesis that materials are lossy with respect
to elastic waves,Le. we assume that they exhibit attenuation; this fact is accounted for by replacing
the usual Lame' constants with complex parameters, involving both viscous coefficients:

Acous/icallmaging, Volume 19
Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 539
 J.L '" = 11 + jro v ro angular frequency
cp volume viscosity
A. '" = A. + jro ( cp -2/3 v) v slip viscosity

The reflectance function is calculated by using a procedure similar to the one described by
Brekhovskikh 5 , and V(z) is evaluated under the hypothesis of paraxial approximation 6.
Data on water and substrate parameters are well known, while no precise cell values are available;
hence, cell data are chosen by considering a cell as a water layer approaching to a solid, that is , by
assuming a slightly higher density and also a transverse velocity.
In acoustic images of cells two different focus positions provide noticeable infonnation: the focus can
be on the substrate or approximately on the cell surface.
In the first case cell-substrate attachments are detected. Attachment sites are clearly visible in both
simulations and actual experiments, as, by focusing on the substrate, the major contribution to the
reflection coefficient is given by cell- substrate area. On the other hand, the increasing density and
the presence of a transverse velocity in cell attachment sites induce a different acoustic impedance
that enhances the contrast among materials.
If the focus is on the cell surface, images show interference rings, due to interference effects between
waves reflected from the top of the cell and the substrate. A simple but significant analysis can be
simulated by taking the cell thickness to be a multiple of A.l4, where A. is the used wavelength. As a
consequence, destructive and constructive interferences are obtained with respect to the thickness.
Infonnation on actual interference rings can be utilized to detennine the topographic contour of the
cell.

RESULTS

Acoustic images and V(z) curves were compared with simulated data, obtaining satisfactory
results.
The experiments were perfonned using an ELSAM (Leica) acoustic microscope operating in the
frequency range 0.8 GHz to 2.0 GHz. The acoustic images, digitized by means of a DT28S1 High
Resolution Frame Grabber (Data Translation), were processed on an HP360 graphic workstation.
Fibroblasts and PC12 cells ( induced to differentiate by adding the nerve growth factor (NGF»,were
employed in the acoustic investigations; they adhered on various materials (polystyrene, glass,
polyimmide, silicon) .
Simulation and image processing programs were developed in Fortran and C languages on an HP360
minicomputer.
Simulations were accomplished to analyze acoustic image fonnation, in particular interference
patterns and adhesion sites.
As image gray levels are directly related to V(z) magnitudes, simulated V(z) have been computed so
as to investigate the curve modifications due to a cell. Figure 1 shows V(z) diagrams obtained in three
different cases: a single substrate, a multilayer representing a non-adhering cell and an adhering one.
The acoustic parameters for the materials employed were the following: quartz (Vt=3670 mIs,
VI=S72Om/s, p=26S0 Kg/m3) used as a substrate; cell (Vt=lS0 mis, V1=1700 mis, p=lOS0 Kg/m3);
cell adhesion sites (Vt=300 mis, VI= 1800 mis, p= 1150 Kg/m3). To analyze the interference fringes
appearing in acoustic images when focusing approximately on the cell surface, other simulations were
carried out. As a result, oscillating curves of the microscope responses to different cell thicknesses
were obtained. Figure 2 shows these curves: they were obtained by computing V(z) at a fixed z
position with respect to the substrate surface, and by considering the following simple structure: a
substrate, a thin layer of water, and the cell.
The curves, representing the transducer responses versus the cell thickness computed at different
values of cell attenuation, show the oscillations corresponding to the interference fringes in the images,

540
 25
(a) substrale
20 (b) cell on su bslra le
(c) cell wilh adhesion
sile
15

'"
0
10
~

'>
5
, ;
\.-",

-5
-7.5 - 5.0 -2.5 0.8 2. ~

Z [um]
Fig. 1. v (z) simulated curves for three different cases: (a) a single layer of quartz;
(b) a 2.5 11m thick cell over a quartz subtrate, with 0.11lID layer of water
between the cell and the substrate; (c) the same as (b) but cell-substrate
adhesion is assumed.

:J
0

Q.J
JJ

CJ ")
:-1
:./')
OJ
~

:I:

OJ
(a)
(b)
(c)
(d)
(e)
o L -_ _ ~ _ _ _ _L -_ _ _ _ _ _ _ _ _ _ _ _ ~ _ _ _ _L -_ _ ~ ____ ~ __ ~ ____ ~ ________ ~

c.o 0.5 .0 1.5 /.() 2.5 3 .v

n.

Cell thickness [urn]

Fig. 2. Simulations of V(z) response as a function of a cell thickness. The focus

is set at 1.8 IlID above the substrate. The curves correspond to different
attenuation coefficient {a) for cell velocities: (a) 0=0.0 m- I , (b)
0=5. 104m- I , (c) 0=1. Hi' m- I , (d) a=2.1cr m- I , (e) 0=4.105 m- I .

541
 Gray
Levels
250

200

150

100

50

~~~~~~~~~~---L--~~~~~~~~~~~~~~~X
o 50 100 150 200 250 300 350 400 450 500 550 600 650 700

Fig. 3. A fibroblast image obtained by focusing on the cell surface (left). From
interference rings a topographic reconstruction is perfonned (right).

and confinn that interference rings are due to increases in the cell thickness equal to A./4 multiples.
In this way ,it is possible to use actual fringes to perfonn a 3D reconstruction of a cell shape, as shown
in Figure 3. The original image in Figure 3 represents a fibroblast adhering on a polystyrene substrate.It
is obtained by focusing on the surface of the cell at 1.2 GHz, operating at 35°C, using the cell culture
medium as coupling medium. The horizontal side of the image is about 100 J.IlIl. In the processed
image in Figure 3, gray levels represent the cell thickness obtained by interpolating the thicknesses
derived from the interference rings.
Figure 4 show the results of two image simulations, compared with actual images of fibroblast cells.
The simulated cell is composed of six vertical stripes of increasing thickness (from left to rigth) and
an adhesion site is placed along the upper edge of the cell. The images are taken with the focus on
the substrate (left) and on the cell surface (right).
The present investigation of cell-substrate adhesion sites yields useful results. Figure 5 shows a
PC12 neurite adhering to polyimmide: the focus is on the substrate. Different gray levels along this
structure can be directly associated with adhesion sites. This infonnation can be utilized for the
characterization of the coupling of neurons to solid-state microelectrodes7 .

CONCLUSIONS

Acoustic cell images point out two types of structures : interference patterns and cell-substrate
attachment sites.
The first are useful for a topographic analysis of a specimen. The employment of the second can be
interesting in applications requiring evaluations of the adhesion areas and of the quality of the
attachment. Such applications may be used to characterize the electrical connection between living
cells and microelectrodes for extracellular potential recording.
The comparison of simulations and experimental results allows one to assess the model efficiency

542
Fig. 4. Comparison between simulations and images of fibroblast cells adhering
on glass. Adhesion sites (left) and interference fringes (right) are visible
when focusing on the substrate and on the cell surface respectively.

Fig. 5. Acoustic image of a PC12 neurite adhering to polyimmide, taken by

focusing on the substrate

543
and, in particular, to control the values of cell parameters, leading to a precise characterization of the
elastic physical properties of biological specimens.
So far, cells have been modelled as a homogeneous material, but it could be of great importance to
obtain detailed infoonation on the acoustic response of particular cell structures,e.g. internal organelles
and the nucleus. To this end, a more accurate model is under investigation, forthe purpose of achieving
a better comprehension of the process of acoustic image foonation in the case of biological materials.

ACKNOWLEDGEMENTS

Work supported by the Italian Ministry for the University and Research (MURST)

REFERENCES

1. J.A. Hildebrand and O. Rugar, "Measurement of cellular elastic properties by acoustic microscopy" ,
J. Microscopy, vol. 134, pp. 245-260, (1984).
2. J.A. Hildebrand, "Observation of cell-substrate attachment with the acoustic microscope", IEEE
Transactions on Sonic and Ultrasonics, vol.SU-32, pp. 332-340, (1985).
3. J. Bereiter-Hahn, "Scanning acoustic microscopy visualizes cytomechanical responses to
cytochalasin-O", J. Microscopy, vol. 146, pp. 29-39,(1987).
4. O. Gingell and I. Todd, "Interference reflection microscopy: a quantitative theory for image
interpretation and its application to cell-substrate separation measurement", Biophys. J. , vol.26,
pp. 507-526, (1979).
5. Brekhovskikh, "Waves in layered media", Academic Press, New York, (1960).
6. A. Atalar, "An angular spectrum approach to contrast in reflection acoustic microscopy", J. Appl.
Phy., vol.49, pp. 5130- 5139, (1978).
7. M. Grattarola, A. Cambiaso, S. Cenderelli, M.Tedesco, "Capacitive measurements in electrolyte
insulator semiconductor systems modified by biological materials", Sensors and Actuators, 17, pp.
451-459, (1989).

544
SYNTHETIC APERTURE FOCUSSING TECHNIQUE:

STATE OF THE ART

V. Schmitz, W. Muller, G. Schafer

Fraunhofer-Institut fUr zerstOrungsfreie Prufverfahren
Saarbrucken - Germany

INTRODUCfION

Ultrasonic inspection is one of the most promising nondestructive testing methods

applied during manufacturing, pre service and in-service inspection of components like
pipes, vessels or steel plates. Starting from manual inspection the research and deve-
lopment during the last years lead to modern remote controlled and ,LL-processor con-
trolled equipments with a wide variety of implemented signal processing algorithms. This
article is concentrated upon the discussion of one of these signal processing algo-rithms,
the so-called "Synthetic Aperture Focussing Technique = SAFT". The reason why more
and more institutions enter this technique is the capability to get the highest information
content on position, inclination, size and shape of single or of multiple scatterers like
inclusions, voids or cracks in real industrial components.

The original ultrasonic application of SAFT followed from the radar experience
11/. In the area ofNDT, Frederik/2/from the university of Michigan startet 1974 and de-
monstrated the first digital implementation of one-dimensional SAFT 1976. In medi-cal
imaging, the Mayo Clinic demonstrated this method 1975. Both systems used broadband
pulses, direct data recording and coherent summation to demonstrate the feasibility of
digital SAFT. The extension to three-dimensional data sets involved ex-tensive changes
in data collection, processing and display techniques. Starting 1977 a "Program for the
Field Validation of SAFT" was undertaken at Southwest Research Institute /31 unter the
sponsorship of NRC (Nuclear Regulatory Commission) with the aim to produce a SAFT-
UT-system which was suitable for use during site examination of acutal nuclear power

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 545
plants. In the meantime this method has been adopted and further developed by IzfP/
FhG at Saarbriicken /4/, University of Kassel /5/, Danish Welding Institute/6/, KEMN
Netherlands /7/, Mitsubishi Electric Corporation/8/.

FUNDAMENTALS OF SYNTHETIC APERTURE FOCUSSING TECHNIQUE

SAFT has been developed both for one-dimensional scanning which results in a
two-dimensional image and two-dimensional scanning, which allows a volumetric re-
presentation of the image from different perspective angles or as side view, end view or top
view image.

A typical data collection scheme is shown in fig. 1. A probe with a wide open beam
angle scans across the surface of the component and at each probe position, the high-
frequency A-scan is recorded as amplitude versus time. Each pointlike reflector produces
a collection of echoes which form a hyperbolic curve. Due to the SAFT-algorithm the raw
A-scans are time-shifted and added in phase at the correct location of the reflector and out
of phase beside the reflector. The lateral extension of the image spot is independently from
the range and wavelength and equal to 1/2 of the size of the probe diameter. The axial
extension is equal to the pulse length. Therefore if ever possible broadband probes are
used. In NDT typical contact technique probes have sizes of 1/4 or 1/2 inch, typical pulse
lengths are 2 to 5 cycles .

.;r.
..,..
...,..
~
Ra.. Dat" PI"OCU5Cd Data

Probe Probe

Actual Sound Field Sound-Field ~imu)ated

after SAFT'-Processing

L.. =-
~.R

D
- sin .. ~ ~I (2 L..)

Res d= fiD ",. R

A L... D = D
2L... -A- 2

Fig. 1. Lateral Resolution of SAFT

546
 REALIZATIONS

Realtime-Ultrasonic SAFf System for Inspection of Nuclear Reactor Components

Pacific Northwest Laboratory continued the work started in the mid 19708 by
University of Michigan to produce a system that - in connection with a manipulator -
collects, processes and displays SAFf- information at the reactor site. The final field
system consists of the data acquisition system that uses a PDP 11/23 for scanner con-trol,
pulse synchronization and controls the digitization of the signal. The data are digi-tized by
a Lecroy digitizer up to a rate of32 MHz. The unprocessed data are trans-fered to the DEC
VAX l1n30 host processor. This host processor transports the data to the special
developed realtime SAFf processor which accelerates the SAFf pro-cessing to achieve
real-time operation. Each slave PCU card (68000 CPU) performs a partial summation and
returns the result to a global memory. Finally a RAMTEK dis-play is used as a graphics
monitor.

The critical part of the system working in 3D is the computer time which con-sists
of a large number of fetch-and-sum operations. The number of operations is rela-ted to
the beam opening angle, probe step size and temporal sample rate. For a typcial inspection
there may be 3 x 1()6 summations per cubic inch of material which have to be multiplied
by a factor of 500 if a volume of 10 inch x 10 inch x 5 inch has to be in-spected.

The following features can be selected to speed up the system into real time
operation:

* Selective processing to cut off low amplitude signals like noise (-20 dB).
This can speed up the system by a factor of 40

* Simplification of the demodulation or envelope detection which has to be

performed after the SAFf process but before displaying the results. In this
case the valley of the rf-signal are filled in by the largest value of neighbour-
points which ly in a distance of up to 1/2 wavelength.

* Reduction of the sample rate of the output file by a factor of 3 which is

sufficient to sample the demodulated signal.

The performance goal of the system has been 10 A-scans per second. Two cases
have been tested, the first is the shear wave illumination at 2.25 MHz of a 1.25 inch thick
material, the second the testing of a material depth range between 4 inch and 11 inch with
45° shear waves. In the first case full processing with the VAX 11nSO resulted in 7 A-Scans/
s, with -20 da selective processing in S A-Scans/s and the projected confi-guration with
realtime SAFf-processor would be 23 A-Scans/s. The thick carbon steel block could be
inspected with 0.4 A-scans/s with full processing, 1 A-Scan/s with -20 dB selective
processing and with the projected configuration there are estimated 10 A-scans/s.

547
Ultrasonic Imaging with Zero-Offset SAFf

The company KEMA-Netherlands uses a FFf-version of SAFr developed by

TNO Institute of Applied Physics - Delft. The zero-offset approach means that the
transmitter is identically with the receiver. With this arrangement the propagation of the
acoustic pulses from the probe to the material defect and back again can becal-culated and
an image can be processed. But there are possible different wave paths caused by mode
conversion or by back wall mirroring which give additional image points which disturb the
exact image. Therefore an other algorithm has been deve-Ioped which uses separate
transducer for transmission and reception: the multi-offset technique. One application is
the imaging of crack-like defects with an orientation perpendicular to the back-wall.

Supersaft Ultrasonic Image Reconstruction

like in the preceeding developments the SUPERimposed SAFf analysing technique

has been developed for accurate sizing. The data acquisition system is based upon the P-
Scan unit in the analyzing mode. The speciality of this system is the ability to superimpose
up to four reconstructed images obtained by different probes with different insonification
angles. The calculation scheme is performed in the time-domain.

Line SAFf with Personal Computer

Starting 1981 a PC based version of SAFf in the time domain has been developed. The
concept is based upon a remote controlled data acquisition of the complete set of high
frequency data using conventional contact technique probes. The hardware consists of a
modified ultrasonic unit USD 10 by Krautkramer, an IBM PC AT computer, a FIFO-
DMA-Interface and a scanner with scanner control unit. The FIFO-DMA-interface
transfers rf-data with a transfer rate of 1 MByte!s from the USDI0 to the PC. The SAFr
reconstruction can be performed for pulse echo with longitudinal or with shear waves, for
plane surfaces or for cylindrical surfaces such like an i.d. or an o.d. inspection of pipes. The
average reconstruction time for one rf-A-scan with 2 kByte depth is about 1/4 s.

Ultrasonic Imaging based on 3D-FJ'-SAFf

The university of Kassel developed another version of the SAFf algorithm which
can be derived mathematically from the formalism of the Inverse Scattering. This version
uses the FFT-algorithm and performs the necessary calculations in the frequency domain.
A 3D-reconstruction in a volume of 128 x 128 x 64 voxels can be performed within 3 to 8
minutes. To achieve this goal, a Mercury 16 MFLOPS array-processor for floating point
signal processing is used in connection with a personal computer. An interactive graphical
walk-through allows intuitive understanding of 3D defect geometries on-site. The presentation
is in realtime. To improve the lateral reso-Iution, the transmitted pulses can be selected as
Golay sequences.

548
 PRACfICAL APPLICATION FOR NON-DESTRUCTIVE TESTING OF
INDUSTRIAL COMPONENTS

The advantages of Synthetic Aperture Focussing Methods can be best demon-

strated in thick walled industrial components like pressure vessels in power plants, thick
pipes or in turbine rotors used for the generation of electrical power. Three examples shall
demonstrate the benefit of this ultrasonic analyzing method for crack sizing, application
to a pressurizer with internal inclusions and turbine inspection with cloud like defects.

An - in situ - example concerns the analysis of a defect in a pressurizer of a nuclear

power plant. Due to the high lateral resolution and the capability to use signals which are
reflected by the contour of the vessel to image the inner surface of the vessel together with
the thickness of the cladding, the reflector could be identified to be non-surface connected
and not cracklike - fig. 2.

vess~1

.
I
\
\
I \
I
//
- .\...

Fig. 2. Inspection of a Pressurizer with Synthetic Aperture Focussing Technique

Image Formation of Cladding and of Inclusion

Large significant internal defects in forgings such as rotor shafts and similar
components can be easily detected. Much more problematic are very small defects that
connot be fully avoided. If these small defects occur in clusters, their size, the distances
between the defects and the overall size is of interest. Besides sizing - the wavelength is
large compared to the dimensions to be imaged - SAFT can perform this task. In one
example, one circumferential scan consisted of 4096 probe positions, one A-scan had 2
kByte depth anq the image space of 900 mm x 900 mm was divided into 2000 x 2000 pixel
points - fig. 3.

549
Fig. 3. SAFf-Application to Turbine Inspections with S-Shape-like Nonmetallic
Inclusions and with Cloude-like Indications

FUTURE DEVELOPMENTS

In the past an intensive research and development was performed to speed up

SAFT - imaging systems. On the one hand extensive electronic circuit boards have been
developed by /8/, on the other hand different algorithm have been used either in the time
domain or in the frequency domain. Mostly the equipment allows to scan one line and to
process the data into a B-scan image which allows to extract the most criti-cal features of
material defects, that is the depth extension of cracklike defects. In this case the direction
of the probe movement should be oriented perpendicular to the plane of the crack, which
is normally unknown. Therefore the goal of NDE is to scan two-dimensionally and to
process the data into a volume which allows with a walk-through to select the boundaries
ofthe defects. Two systems have been developed allowing a 3D-imaging, thatis the system
by NRC which processes the data in the time-domain and the 3D-imaging system by
University of Kassel which processes the data in the frequency domain. While an array
processor is adapted to fast FFT-transforma-tions no special processor exist to adapt to

550
actual probe position into the image space, before new data are transmitted at the next
probe position.

Applications in the steel manufacturing industry are turbine rotors with cylindrical
shape. In this case due to diameters of up to 2 m, a huge amount of data has to be processed.
The University of Kassel developed a version of the FFf - SAFf for this special purpose
where the FFf-transformations are replaced by Hankel-trans-formations. A prerequisite
for the data acquisition unit is, that the number of probe positions around the circumference
of 3600 is 2i with i = 0 1,2,3,4,5 ... , which can be fulfilled by special incremental encoder.

LITERATURE

1. D.W. Prine 1972: "Synthetic Aperture Ultrasonic Imaging" in Proceedings

of the Engineering Applications of Holography Symposium; Society of
Photo-Optical Instrumentation Engineers
2. J.R. Frederick, R.C.Seydel, FAirchild; "Improved Ultrasonic Non-Destruc-
tive Testing of Pressure Vessels"; University of Michigan; Nuclear Regula-
tory Commission Report NUREG-0007-1
3. Hall, Doctor, Reid, Littlefield, Gilbert: "Implementation of a Real-Time
Ultrasonic SAFf-System for Inspection of Nuclear Reactor Compo-
nents"Acoustical Imaging, Vol. 15; ISBN 0-306-42565-3, p. 253-266
4. W. Miiller, V. Schmitz, G. Schafer: "Recent Experiences in NDE of Reac-
tor Pressure Vessels with LSAFT";Proc. of the 8th Int. Conf. on NDE in the
Nuclear Industry, Kissimmee, Florida, USA, Nov. 1986, p. 263 - 274
5. K. Mayer, R. Marklein, K.J.Langenberg, T. Kreutter: " 3D-Ultrasonic
Imaging System Based on FT-SAFT"; Dept. Electrical Engineering, FB 16,
University of Kassel; D-3500 Kassel, FRG, April 1989
6. Willy D. Kristensen, Erling Nielsen, Sven E. Iversen and Svend A Lund:
"SuperSAFf Ultrasonic Image Reconstruction", Non-Destructive Testing,
Proc. 12th World Conf. on NDT, Amsterdam, April 23-28, 1989,p. 267-269,
ISBN 0-444-87450 X
7. G.M.van Dijk, R. Hunik, U.Stelwagen, S. Terpstra, J.Vogel: "Ultrasonic
Imaging ith Zero-offset Synthetic Aperture Focussing Technique". Non-
Destructive Testing, Proc. 12th World Conf. on NDT, Amsterdam,
April 23-28, 1989,p. 170 - 175, ISBN 0-444-87450 X
8. H. Sumitani, Y. Ozaki, T. Tomoda, M. Tanaka: "Real-time Synthetic
Aperture Ultrasonic Scroll-Imaging System and Imaging Experiment for
Nuclear Power Plant NDT"; 9th Int. Conf. on NDE in the Nuclear Industry,
Tokyo, Japan, April 1988, ISBN 0-87170-345-9; p. 401 - 405

551
VOLUME ACQUISITION AND VISUALIZATION
OF HIGH-FREQUENCY ULTRASOUND DATA

U. Netzelmann, R. Herzer, H. Stolz, and W. Arnold

Fraunhofer-Institute for Nondestructive Testing
University, Bldg. 37
6600 Saarbrucken, Germany

INTRODUCTION
For nondestructive testing of modern ceramic components and other new
materials, very often an inspection of the full sample volume is required.
Conventional C-scan and B-scan images provide information on single slices
or layers of the samples, but usually many of these scans are required to
achieve a good comprehension of the full internal structure of the specimen.
A time-saving alternative to C- and B-scanning is a full-volume measurement.
In this work, we report on a volume acquisition system for high-frequency
ultrasound inspections in the 10 MHz to 100 MHz regime. A powerful graphic
workstation with modern visualization software is used to represent the
ultrasound volume data.

HIGH-FREQUENCY ULTRASOUND VOLUME DATA ACQUISITION SYSTEM

A high-frequency ultrasound (HF-US) system has been developed for the
frequency range of 10 MHz to 100 MHz (Fig. 1, left part). It is based on an
rf-system described earlier /1/. Great care has been taken for optimizing
the signal-to-noise ratio in order to allow detection of smallest inclu-
sions in ceramics down to a size of approximately 30 ~. For excitation of
the ultrasound either a commercial broad-band spike generator (Kraut kramer
USH 100) or a home-made narrowband transmitter is available, the latter
allowing to generate high-frequency bursts in the range of 10 MHz to 200 MHz
with pulse lengths of 1 to 199 periods. Focussing broadband polymer probes
are used /2/. Conventional C-scans are obtained by gated integration of the
rectified rf-signal or by a peak detector with a minimal gate width of 3 ns.
For B-scanning and for the volume acquisition, we use a transient digitizer
(LeCroy) with a sampling rate of 400 MHz and 8 bit resolution. For a volume
measurement, the full A-signal pulse-echo response is digitized at each
point of a meander xy-scan. The scanning system as well as the digitizer is
controlled by a software written by us, which is running on a PC (HP
Vectra). Sophisticated organization of the data transfers is necessary to
achieve a fast overall measurement time. At the moment, this time is
typically 20 to 30 percent longer than the overall measurement time for a
C-scan with the same size and resolution. Raster sizes of 200 x 200 points
laterally and 200 digitization points in the time axis are used presently.
Therefore, an amount of 8 Megabytes of volume data has to be searched for
defects or sample characteristics subsequent to the acquisition.

Acouslicallmaging. Volume 19
Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 553
 Ethernet

Personal Computer A(x,y,t)

...I\r-- Workstation A(x,y,t)

Data t • Synch. Application

US-Transm. Transient Accelerator

Trig.
Narrow-/ ~ Digitizer
Broadband A(t)
Interactive
Hardcopy ~ Graphic
Visualization

C-Scanner t;t'_ y
x
Controller JI
Jl/prObe

o-~~
~

·!it
Fig. 1 Schematic diagram of the high-frequency ultrasound equipment used
Mou se

for acquisition and visualization of ultrasound volume data

ULTRASOUND DATA REPRESENTATION WITH MODERN VOLUME RENDERING TECHNIQUES

Analysing large volume data sets by loading separate C- or B-scan
extracts from a file to the graphic screen would be time-consuming and would
make a interpretation of the relative position of features in different
planes difficult. Advanced volume visualization software packages have
become available which allow an efficient, interactive and real-time
representation of volume data. We are employing a SUN 370 SPARC workstation
with a TAAC-l graphic processor (application accelerator) (Fig. 1). The
graphic processor is equipped with 8 Mbytes of internal memory and allows
2-D and 3-D adressing modes for fast volume data access. The video output of
the processor is inserted by hardware into a window on the graphic screen of
the workstation. The measurement data are transferred by an Ethernet link
from the PC to the workstation. Different visualization techniques are
available, for which examples are given in the following.
Slicing technique
As an example we present a volume measurement of a slab of a
Zr02 -ceramic (50 mm x 50 mm, thickness 4 mm), which has been measured by
using a 50 MHz polymer probehead and broadband excitation. The sample has
three grooves of 0.5 mm depth at its back side. In the left halves of Fig.
2, the measured volume is represented by a cube in perspective view. The
left surface of the cube corresponds to the 50 mm x 50 mm xy-scanning plane,
the axis going from left to right is the time (or depth) axis, with a length
of 2 ps. Ultrasound was incident from the left side.

554
Fig. 2 Ultrasound data representation of a Zr02-ceramic by using ~l1e
slicing technique: B-image (upper part), C-image (middle part),
image under an arbitrary cutting angle (lower part)

555
 Fig. 3 Ultrasound data representation of a SiSiC-ceramic using the
ray-casting technique

In the slicing technique, the absolute amplitude values are represented

by a colour scale. At the outer surfaces of the cube, the entrance echo and
the backwall echo is visible at the left or right side of the front surface,
respectively. The cube can be turned by mouse control in any orientation.
The interior of the sample is inspected by moving one of the surface planes
into the volume. Fig. 2a shows a B-image cut making the three grooves on the
back side of the sample visible. The cutting plane can be extracted and is
displayed separately without perspective distortions in the right halves of
Fig. 2. Turning around the cutting plane by 90 degrees irnrnidiately results
in a C-image representation (Fig. 2b). In a short time all possible B- and
C- images of the sample can be studied by "traveling" through the volume
with the cutting plane. Cutting is possible under arbitrary angles (Fig.
2c), allowing to correct for small misalignments of the sample or to bring
flat and inclined defects into the image plane.
Additional image processing can be applied to the slices obtained. The
measurement volume can be reduced to the regions of interest by several
cuttings. A cursor allows to quantify defect positions as well as local
signal amplitudes.

Ray casting technique

An alternative representation is possible by using the ray-casting

technique. Here, within a mathematical model image rays are sent through the
volume and are projected to the image plane. Depending on the imaging
strategy, the maximum or the integrated scattering amplitude along the ray
is converted into a grey value, leading to an x-ray-like image. In a more
sophisticated approach, different intervals of amplitude values are assigned
to substances with selectable optical properties like colour or
transparency. This artificial object is illuminated by a moveable light
source and a realistic image is produced. A result of such a ray-casting
image is shown in Fig. 3, where a SiSiC-ceramic sample with many pores or

556
inclusions has been measured. These features have not been expected by the
manufacturer. The experimental parameters and the sample geometry were the
same as in the example mentioned above. In a further step, many of such
views with the sample turned around slighty between each can be combined to
generate a movie of the rotating object.

DEFECT SIZE ESTIMATION BY THE BORN INVERSION ALGORITHM

The availability of the complete ultrasound volume data allows one to
extract sample properties exploiting the physical principles of ultrasound
scattering. As one example, algorithms in order to size defects in
industrial samples can be applied. It has been claimed that one-dimensional
inverse Born scattering algorithms are working for a big class of inclusions
/3/. We have tested the Born inversion algorithm to size small inclusions of
iron oxide, chromium oxide or pores in A1 2 0 3 ceramics. The critical sizes to
be detected are less or equal 100 pm and are often smaller than the acoustic
wavelengths used in the HF-US regime. Defects therefore appear diffraction
limited in the images. The scattering A-signals from the defect have first
been deconvoluted with the frequency response function of the transducer by
using a backwall echo signal. Then the frequency response function of the
defect was inserted into the inversion formula, giving an effective defect
radius. The first results show, that reliability of the method suffers
strongly from the limitations of the Born approximation and from bandwidth
limitations in the experiment. Results turn out to be sensitive to the
selected deconvolution strategy.

CONCLUSION
We have demonstrated, that acquisition of high-frequency ultrasound
volume data is possible in a time not significantly longer than the time
required for a conventional C-scan. By employing modern visualization
techniques one is able to produce a surprisingly comprehensive and clear
representation of the internal structure of the sample. Advantages compared
to earlier techniques of volume representation are given by the real-time
image processing, by the higher image quality and by the universality of the
software used, allowing to visualize data produced by all kind of techniques
generating volume information. With ultrasound volume data acquisition, no
early data reduction is required. This allows us to apply size estimation
algorithms based on the physics of ultrasound scattering at points unknown
at the time of measurement. In the future, we will apply synthetic aperture
techniques to the volume data before the visualization in order to improve
the quality of the acoustic images.

ACKNOWLEDGEMENT
This work was supported by the German Ministery of Research and
Technology within the Material Research Programme.

REFERENCES

1. S. Pangraz, H. Simon, R. Herzer, and W. Arnold, Proc. 18th Int. Symp.

Acoust. Imag., Santa Barbara 1989, to be published,
Plenum Press, New-York 1991
2. S. Pangraz and W. Arnold, Ferroelectrics 93, 251 (1989)
3. R. B. Thompson and T. A. Gray, Rev. Progr. Quant. NDE 1, 233 (1982)

557
 ULTRASONIC DEFECT IMAGING DY A PROBABILISTIC APPROACH

Jiaping Zhang

Dept. Diomedical Engineering

Southeast University
210018 Nanjing, China

INTRODUCTION

With conventional ultrasonic inspection, human factors

strongly influence inspection results, and so personnel must
experience a special training before they are allowed to
perform ultrasonic inspections on material structures. Another
characteristic of conventional ultrasonic inspections is
amplitude-dependent defect sizing, i.e., the judgement on the
defect size is made from the amplitudes of reflected signals
from defects accordingto different codes in different
countries. The sizing results by amplitude-dependent methods
usually appear to be inconsistent from case to case, since the
amplitudes of reflected signals are obviously affected by many
practical factors, such as coupling conditions on the structure
surface and small variations in the shape and orientation of
the defect itself.

Instead of amplitude-dependent methods, time-of-flight

methods can be used to improve defect sizing accuracy and
consistency from case to case. However, in practical
applications, the existing techniques which are mainly based on
time-of-flight (TOF) measurement are greatly limited. One of
the reasons is that scattering signals must be first
interpreted by setting amplitude thresholds, moving transducers
or other human interventions designed to avoid false TOP
indications from mode-converted waves and random noises. With
regard to the most commonly used pulse-echo mode, not only
errors in the TOP values but also errors in the incident angles
can give rise to substantial deviations in defect locating and
sizing.

In this paper, by considering the randomness of noises and

TOF measurement errors, a probabilistic approach has been
proposed to overcome the above difficulties in defect locating
and sizing in the pUlse-echo mode. The sizing results are
presented in two-dimentional images similar to B-scan images.
Thses can be convenviently recognized and recorded. The whole
procedure from TOF data collection to final image presentation
can be automatically carried out for practical inspections. In

Acouslicallmaging. Volume 19
Edited by H. Ermert and H.-P. Ha:tjes. Plenum Press. New York 1992 559
the following sections, it is at first explained how TOF data
are collected when a tranducer is scanned along a line. The
principles of the probabilistic approach are then described,
including the capability of the approach to discriminate random
noises and TOF measurement errors. Finally, sizing results for
oblique side-drilled holes and are demonstrated with high
sizing accuracy.

TOF DATA COLLECTION

As shown in Fig.1, a transducer which excites a pulsed

ultrasonic wave field with an effective directionality is
scanned along a line on the surface of the inspected structure.
At scan positions p(xi'Yi) (i=1,2, ... ,H), the transducer
receives not only directly back-scattering waves from defects,
but also mode-converted waves due to boundaries as well as
random noises, and so the received signals, which are called A-
scan signals ai (t) (i=1, 2, ... , H) , are usually rather
complicated.

0r---------~~~------------------~-

surface

: pixel

:;'
..
defect

Fig.1 Arrangement for TOF data collection

To every A-scan signal ai(t) (i=i=1,2, ... ,M), we apply

envelope peak detection algorithm in the time domain and obtain
TOF data tjj (j=1,2, ... ,Nj j Ni is the number of detected
envelope peaks in the ith A-scan signal). See Refs t ,2. for
further details about the envelope peak detection algorithm for
TOF data collection.

Because no amplitude threshold is set when TOF data are

collected along a scan line, considerable noises can be present
leading to spurious TOF data. Furthermore, TOF measurement
errors are also unavoidable due to various factors. From scan
position to scan position on the same scan line, both noises
and TOF measurement errors can be regarded as random variables.
Therefore, any function in which TOF appears as an independant
variable is in fact a probabilistic function.

SIZING PRINCIPLES

Suppose that a TOF value tij has been recorded in the

pulse-echo mode at a scan position p(xi 'Yi)' It is well-known

560
that the location locus of the unknown scatterer can be
described as the following equation:
2 2 2
(x-xi) +(y-Yi) =(v.tij /2) (1 )

where v is the velocity of the incident and scattered waves

which is at least approximately known in terms of the type of
the material being examined. The location locus is
geometrically expressed by the solid circular arc Aij shown in
Fig.2.

If another relevant TOF value tkt has been recorded from

the same unknown scatterer at another scan position p(x~,y~) on
the same scan line, the location of the unknown scatterer can
theorectically be obtained from the following system of
equations:

(2)

Note that accurate knowledge of the angles of incidence are not

needed.

As described in the preceeding section, the solution of

Eqs.(2) is influenced by random noises and random measurement
errors in collected TOF data. Therefore, the location of the
unknown scatterer cannot be accurately and consistently
determined from Eqs.(2) using only the TOF values recorded at
any two different scan positions on the same scan line. In
order to suppress the influences of random noises and random
measurement errors in the TOF data, a probabilistic approach
must be applied for defect locating and sizing.

With the conditions on the subscripts appearing in

Egs. (2) :

O< I i-k I <M' ,

{ i , k= 1 , 2 , ... , ~f, (3 )
j=1,2, ... ,Nj ,1=1,2, ... ,Ni

where M'is approximately predetermined by the predicted number

of relevant TOF values on a scan line and indicates that not
only adjacent scan positions are used to solve Eqs.(2), a group
of probabilistic solutions which are distributed on the
incident plane can be consecutively obtained from Eqs.(2).
After the incident plane is digitized into pixels (as shown in
Fig.!) and the number of probabilistic solutions in every pixel
is calculated, we have an image, which is called a probability
image. The size of the pixel is generally equal to or a little
smaller than the scan step.

If the accurate solution of Eqs.(2) is the intersecting

point of two solid circular arcs Ajj and A~l as shown in Fig. 2,
the probabilistic solution of Eqs.(2) should situate in the
probability range S which is sided with four dashed arcs
(Aij +E), (Aij -E), (Ak-t +E) and (A~t-E) in Fig.2. These four
dashed arcs are defined by (1) by adding or substracting the
probable maximal measurement error from the accurate TOF value.
Therefore, the size of the probability range depends on the
probable maximal error in TOF values. The relative positions of
two corner-points, C 1 and Cz, where the deviation of the

561
probabilistic solution from the accurate solution tends to be
greatest, are determined by the scan positions and define the
direction of the probability range. If the unknown scatterer
situates at the intersecting point which is the center of the
probability range, the probability range 'rotates' around the
exact location of the unknown scatterer when two scan positions
'move' along the scan line, because the unknown scatterer
behaves as a focusing point within the synthetic aperture of
the scanning transducer. For example, when one scan position
'move' from p(x; ,n) to P(xi+'" ,Yj"W\) and the other from
P(XK 'Yl<) to p(x\<+y\ 'YKT'" ), the probability range 'rotates' from
S to S', as shown in Fig.2.

Fig.2 Geometrical Principle of the probabilistic approach

for plane scan surface

Suppose that a constant probability value is assigned to

every probability range which corresponds to the one of
probabilistic solutions from Eqs.(2) and (3). The overlapping
of two relevant probability ranges (S and S' in Fig.2) and the
sum of their probability values then make the probability
values larger in the pixels which present smaller deviations
from the exact location of the unknown scatterer. In this way,
if a series of relevant TOF values, which are obtained with the
direct scattering waves from the same unknown scatterer at
different scan positions in the synthetic aperture, produce a
series of relevant probability ranges which have different
directions and the common center at the exact location of the
unknown scatterer, the overlapping of these relevant
porobability ranges and the sum of their probability values

562
results in a probability peak at the exact location of the
unknown scatterer in the probability image. On the other hand,
random noises can be regarded as white noises, and the
corresponding probability ranges where the probabilistic
solutions situate lead to homogeneous backgound noises as
contrasted with the probability peaks at the exact locations of
unknown scatterers in the probability image. Therefore, with
the probability image, the accurate locations of unknown
scatterers can be obtained by the peak identification
algorithm.
As the tips of crack-like defects and the illuminated
faces of void-like defects in the ultrasonic field serve as
unknown scatterers, the sizes of crack-like or void-like
defects can be determined by locating the unknown scatterers
with the previously described probabilistic approach.

From these analyses, the probabilistic approach has at

least the following three prominent advantages:

(1) deleting the requirement for accurate knowledge of the

incident angle of ultrasonic waves, (2) suppression of random
noises and improvement of the signal-to-noise ratio (SNR), and
(3) minimizing the influences of errors in TOF measurement on
sizing accuracy.

AUTOMATIC DEFECT LOCATION AND SIZING

With the probabilistic approach, automatic defect location

and sizing are carried out as shown in Fig.3. Unlike the
imaging techniques which require full A-scan signals, such as
SAFT, the data of TOFs and the corresponding peak amplitudes of
the envelopes in A-scan signals are stored for future uses.
Because the number of the total data in an A-scan signal with a
time coverage up to 1.0 (ms), which is enough for the
inspection of thick-wall structures, can be resonably limited
at a level, such as 2x256 words, the storage capacity is
greatly saved by avoiding recording of full A-scan signals.

multi-channel Tor data

transmitter/ collection
receiver
f
f
scan I
pOSitions •
I
: transducer! J
J
12':.r~m:.t.::.s
inspected structure
Fig.3 Implementation of the probabilistic approach for
automatic defect location and sizing in practical
inspections

563
 Ican

y
....
...
...

Fig.4 Testblock with seven oblique side-drilled holes

under the scan line

"'0.,r------~------....,

II •

...
...
,. .
o

II' '41
SCI" ( ... )
,85 ZZ4
" 07. ... Ic&n ( sa

~ 0.00 l~O.OO SfJl,~oo'""' ]~o.DO .PO.DO 'SO.OO ~ 0.00 ·'po. 00 .~o. 00

g C "" d

~ ?-
""
_.
1-.
"0 1 __ .
2_. 2_.
) l _o.
~
"'8
4 -'
5-, 10, , ~
:g
4-'
5..-'0 9-
6/'
,.x
6'- ,
7'-
"
x 7-'
• 8
~ ~ '8

"" ""

"'"~ 11 (~59.0, 77 .0) I I ~'12S9.0, n.OII

( 3 (258.0, 99.011 (4:(257.0,106.011 "'"" [13l (251.0, 71.011
(2S •. 0, 99.0) 1
I ~ (251.0, n.ol I
14 (259.0,104.011
"" ( 5 (259.0,111.011 16,(~5'.O,l~0.011 "" IS (159.0,111.011 (6 (~5a.o,ll1.0) I
l7 (157.0,lH.OII 11:(~61.0,147.011 17 ,255.0,1l6.011 II (~61.0,146.011

"
19 (111.0,121.011 110:(297.0.111.011 (101.0,111.011
~ [g
g
""
Fig.5 TOF values versus scan position (a and b) and the
corresponding images for locating and sizing seven
holes two left figures (a and c) are the results
with a 1 MHz conventional transducer; two right
figures (b and d) are the results with a 2 MHz
conventional transducer.

564
 The solid flow chart in Fig.3 can be realized on-line, and
the dashed lines representthe operation or the package
completed before starting the defect location and sizing. Whole
procedure may run automatically. With the probabilistic
approach, if the scan surface is plane, only four
multiplicatons are required to obtain a probabilistic solution
of Eqs.(2). From the subscipt condition (3), it can be deduced
that the existing probabilistic solutions for every TOF value
can reach M', so a TOF value costs 4xM' mUltiplications. If M',
the predicted number of the relevant TOF values, is supposed to
be 5 with a scan step 1.0(mm) and the total TOF data are
100,000 with a scan line length 500(mm), 2,000,000
multiplications are requred to obtain a sizing image of 512x512
pixels.
As the final sizing result is presented as an image, it is
convienent to analyze the integral distribution of all defects
under the scan line.

SIZING RESULTS

The arrangement of seven oblique side-holes in the

testblock is shown in Fig.4, and Fig.5a and Fig.5b show TOF
data versus scan position on this testblock on this testblock
with 1 (MHz) and 2 (MHz) conventional transducers with a
directionality of about 35-55 degrees with x-axis. With the
probabilistic approach, the sizing results are correspondingly
shown in Fig.5c and Fig.5d.

In TOF data diagrams Fig.5a and Fig.5b, the significant

level of random noises and measurement error is noticed. As
contrasted with these TOF diagrams, random noises are
completely eliminated and high accuracy are present in sizing
images as shown in Fig.5c and Fig.5d.

SUMMARY

From data collection to image presentation, the whole

procedure of defect location and sizing runs automatically with
the probabilistic approach, which greatly reduces the effects
of human factors on results. The capability to suppress the
influences of random noise and measurement errors by the
probabilistic approach makes it possible to apply this approach
directly to practical inspections, as demonstrated in the above
sections.

As the theoretical basis described in Section 3 is not

limited to structures with plane surface, defects under curved
surfaces, such as surfaces of nozzels, can also be detected and
analyzed by the probabilistic approach. Further practical
inspections should be carried out for a lot of structures.

REFERENCES

1. 3iaping Zhang and Yu Wei, Flaw Plane Identification: A New

Imaging Technique in Nondestructive Testing, NOT Int.,
20(6), 355-358 (1987)
2. B.Grohs, O.A.Barbian, and W.Kappes, ALOK-Principles and
Results Obtained in DDT, in "Defect Detection and
Sizing", Proc. A Specialist Meeting, Vol.2, 689-719 (1983)
3. 3.D.Achenbach, A.K.Gautesen, and H.McMaken, "Ray Methods
for Waves in Elastic Solids", Pitman Publ., London (1982)

565
 EXPERIMENTS AND EXPERIENCES USING FILTERING AND DATA REDUCTION

TECHNIQUES FOR IMAGING IN NONDESTRUCTIVE TESTING

L.v. Bernus, F. Mohr, T. Schmeidl

Siemens AG, Erlangen

H. Ermert, M. Pollakowski
Ruhr-Universitat, Bochum

M. Kroning, V. Schmitz

FHG IzfP, Saarbrucken

K.J. Langenberg, M. Berger

Gesamthochschule Kassel

INTRODUCTION

The theory of quantitative ultrasonic imaging places high demands on the

data to be collected. When using imaging techniques in the field, restrictions
have to be faced which are imposed by the physical limitations of transducers or
by limits on computer memory in terms of sampling density. In order to overcome
these limitations it can be helpful to incorporate a priori knowledge in to the re-
construction algorithm, e.g., by application of filter techniques. Filtering is a con-
venient way to select the minimum necessary information to be sampled, stored
or evaluated. The following filter techniques are investigated here:

• FIR filter in the time domain

• ALOK i, k filter
• K-space filter
• Image processing

RECONSTRUCTION ALGORITHMS

Different imaging techniques have been investigated using a common source

of data, the KWU-HOLO instrument. All these techniques can be classified as dif-
fraction tomography. FT-SAFT (Fourier Transform Synthetic Aperture Focussing)
was developed by the University of Kassel [1]. It requires a planar two-
dimensional measurement aperture and broadband pulse-echo ultrasonic trans-

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 567
mission and reception. The recorded data are immediately transfered into the
memory of an array processor, Fourier transformed with regard to time and with
regard to the two aperture coordinates, mapped into the three dimensional
Fourier space of the volume containing the defect concerned - the K-space - and
finnally processed into object space with a three-dimensional inverse Fourier
transform. Filters can be applied in a straight forward way in K-space. Forthe pur-
pose of this investigation FT-SAFT was used restricted to two dimensions, the co-
ordinate X of the linear aperture and the coordinate Z normal to the surface of
the inspected specimen.

L-SAFT (Line-SAFT) as used in the present investigation was developed by the

FHG-lzfP [2]. L-SAFT requires a one dimensional measurement aperture. Broad-
band pulses are applied and digitized in the time domain on reception. The
image is produced by two-dimensional time domain back-propagation and by
calculation of the envelope using Hilbert transformation.

The Broad Band Holography instrument (KWU-HOLO) was developed by

Siemens in cooperation with the Universities of Bochum and Erlangen [3]. This
can handle up to 128 aperture points located at any geometrically well described
aperture. Broadband pulses, sampled in pitch catch or pulse echo mode, are fil-
tered by a programmable FIR-filter, split into a real and an imaginary part by
Hilbert transformation and back-propagated in the time domain using a pre-
calculated distance table Ti and weighting factors Gi. The image is generated by
taking the absolute value of the accumulated signals.

It is not the intention of this investigation to provide systematic experimental

comparsion of the three imaging methods. Theoretical investigations show that
the three methods are essentially equivalent [1]. A number of differences in terms
of handling are nevertheless obvious. FT-SAFT appears to be the fastest method
for handling large 2D apertures. Both L-SAFT and Broadband Holograpy form
potential on-line techniques as they back-propagate in the time domain and are
therefore able to accumulate each scanned signal immediately after reception. In
the case of KWU-holo, this possibility is exploited to realize a continous recon-
struction mode, generating a scrolling image.

INVERSE FILTER

If optimum axial resolution is desired, the transmitted signal should generate

echoes which are as short as possible. This leads to the concept of inverse filter-
ing. To design the inverse filter, knowledge of the system transfer function and
use of an appropriate window function are necessary [3]. The KWO-Holo FIR filter
has been programmed to use a Tukey or Kaiser window. The transfer function is
influenced by the reflector type. This means that the reference reflector used to
adjust the inverse filter must be selected with care. The ideal point reflector can
be approximated by a cylindrical hole for 2D reconstruction algorithms. The dia-
meter of the hole should be large enough to allow separation of the satellite
echo caused by waves surrounding the circumference of the hole. On the other
hand the reference reflector can also be selected in order to match to the flaw
type anticipated in the specimen under test.

Comparing the signal before and after inverse filtering it is obvious that a
considerable reduction in echo signal duration is achieved in the case of a pulse
generated by an undamped or not well damped transducer. Symmetrization of
the received pulse can be achieved for a well damped transducer. Use of the
inverse filter enhances the reproducibility of echo pulse shapes for the varions
cables, transducers, etc. The influence of the inverse filter on the reconstructed
image in shown in Fig. 1. An austenitic weld was inspected using a well damped
60 degree longitudinal pitch and catch 2 MHz transducer. The reconstruction
shows two reflectors located closely together at the left fusion line of the weld.
As this weld forms part of a round robin program the real shape of the flaw(s) is
not yet known. The color coding ofthe image was adjusted in two different ways.

568
The full representation of image dynamics shows noise and reflectors. The 6 dB
drop method shows all amplitudes above half the maximum amplitude of the
smaller of the two reflectors. Filtering clearly reduces the noise and the influence
of scattering caused by the austenitic material then becomes visible. The am-
plitude of the smaller reflector is enhanced by the filter and this IS shown best In
the 6 dB drop representation. The latter effect might possibly be influenced by
the reference reflector selected.

IMAGING WITH REDUCED DATA GENERATED BYTHE ALOK i, k FILTER

The ALOK technique was introduced in order to combine defect detection

and analysis capabilities in a single instrument capable of performing large-scale
component inspections. The principle behind this is the characterization of an in-
dication by the time of flight. This is possible because the raw data set is reduced
before storage by an on-line filter based on simple feature analysis techniques.
After analog/digital (A/D) conversion all maximum half-wave peaks in every A-
scan are subjected to further processing. The so called i, k algorithm is used for
precompression so as to select only the relevant signals [4]. The algorithm takes
into account the response function of the probe to a single transducer. Within the
A-scan a local maximum of physical significance is identified by the rise time of i
half wave peaks and the decay time of k half wave peaks. Only the amplitude and
the time of flight for the local maximum are subjected to further processing.

The original RF-signal can be partially reconstructed from the reduced ALOK
data. The first step is to fill the time delay between the stored peaks with zero
valued data points. The triangle functions generated in this way can then be
further processed using either bandpass filters or by convolution with the trans-
ducer pulse response (see Fig. 2). In the cas~ of FT-SAFT, a two-dimensional band-
pass filter (the "saft-window") is applied in K-space. Setting of this filter is
performed by comparing the ALOK-data with original RF-data. The best settings
for the given 45° 2 MHz transducer were achieved by limiting frequency to 2.5 ±
1.25 MHz and reducing the beam spead to 42 ± 30 degrees. Comparing FT-SAFT
reconstructions from RF-data and from ALOK-data it was obvious that the axial
resolution is about the same. Echoes from both notches could be recognized in
both cases using appropriate filter parameters. In terms of lateral resolution the
reconstructions from RF-data showed clear advantages.

In order to investigate the influence of the i, k filter parameters, the two close
indications shown at Fig. 1 were reconstructed from datasets with different k
values. Using k = 2 the two indications could still be separatet which was not
longer possible using k = 4.

Reconstructions of ALOK data in the time domain can be performed using the
FIR filter of the KWU-holo instrument. Both possibilities (bandpass filtering and
convolution) have been investigated (see Fig. 2). There are no significant dif-
ferences evident between reconstructions performed with the two different
methods. This could result from the fact that it was not possible to set the upper
limit frequency for the bandpass filter to a level higher than 3 MHz at the given
spatial sampling density of 0.5 mm, otherwise this would have generated
artefacts. This is about the upper limit frequency for the transducer pulse respose
signal used for convolution. The convolution method was chosen as the only
one for further investigation. Signals from notches separated by 2 mm and by 3
mm have been reconstructed (see Fig.3). Comparing the reconstructions, the
shadowing of the second notch by the first notch is evident for 2 mm separation.
Both notches are visible in all cases. As the comparision of reconstructions shows
(see Fig.3), ALOK data have to be convolved with the original transducer pulse
response to achieve improved lateral resolution.

A test specimen incorporating a natural crack being cut from a test weldment
was selected to check the imaging possibilities using ALOK data. Fig. 4 shows the

569
 -~k---
FUll REPRESENTA TION 6 dB DROP·METHOD
OF IMAGE DYNAMICS FOR EVALUATION

I'IIRD I • . . . ... . . ... ... , ..... . ~ •• • , • • •

GEOMETRY
34
ALOK RAWQATA.
C(H.I(1Yi:O Wl l 14

.......,..,..
TRANSCU:ER IIMPUlSE

20

Fig. 1. INFLUENCE OF INVERSE FILTERING Fig.2. PULSE SHAPE AFTER

EXAMPLE: AUSTENITIC WELD CONVOLUTION: 3 POSSIBILITIES

RF· DATA ALOK·DATA ALO!<· DATA

WITH INVERSE FILTER WrTHOUT FILTER CONVOLVED

,
"
.
.
.
•
Lit

Fig. 3. COMPARISON OF BROADBAND HOLOGRAPHY AND ALOK

EXAMPLE: NOTCHES WITH VARYING DISTANCE

570
 eoo

Fig.4. ANA LYSIS OF A CRACK, GEOME TRY OF INSONIFICATION

FILTERED RF · DATA FILTERED ALOK - DATA

CENTER FREQUENCY 2 MHz

BANDWIDTH 2 MHz
ANGLE OF INCIDENCE 45 degree
BEAM SPREAD 20 degree

(""'J

Fig. S. CRACK ANAL YSIS, COMPARISION OF FT-SAFT RECONSTRUCTION

USING RF- AND ALOK DATA

__
I ~ ~ A '~A_"I
soea. OPERATOR
.~.o
Q.g..zo
_0
--- I~I
I
I ~~~ I
1
.~.~

-1."'
It Co.
"
t_

,_,.1111
~. ...
NORJH 0PEAA.'fClf=t

~ ~ ~
.,...,
NCJR'Trr\.';CT c)pc-AA~

• •1 ,

'< • J
~

If,"ft;
~ '('f

,, '1 .,.I
-, "y"' .
1,-'
, 1/ 1 1 )
Fig. 6. CRACK ANALYSIS, EVALUATION OF DEFECT SHAPE BY IMAGE
PROCESSING

571
flaw geometry as indicated by scanning from one surface of the test specimen.
The FT-SAFT reconstruction is shown in Fig. 5. Using ALOK data the best recon-
structions is achieved with a bandwidth of 2 MHz ± 1 MHz a beam spread of 45
degrees ± 10 degrees. This reconstruction shows less facets than the reconstruc-
tions from RF-data. Variation of k in this case shows nearly no influence on the re-
construction of ALOK Data (see Fig. 5).

At this point the question arises as to how to evaluate images, e.g., to measure
the crack length. The 6 dB drop method was investigated as simplest quantitative
evaluation procedure. The reconstructions of ALOK-data and of RF-data showed
about the same crack depth which was corresponding well to the geometrical
value of 55 mm. This reconstruction of ALOK data is difficult to interpret due
to the poor lateral resolution. This problem could possibly be solved by scanning
with a combination of two transducers in opposite directions e.g. + 45 degrees
and -45 degrees as usually performed for NDT inspection of weldments.

QUANTITATIVE EVALUATION OF RECONSTRUCTIONS BY IMAGE PROCESSING

To date, perfect imaging of the total flaw geometry and its quantitative para-
meters is not possible. Only images of the acoustical reflectivity of the volume un-
der test (e.g. the reflecting facets of a crack) can be provided in the case of iso-
tropic and homogenous materials. The visualized distribution of reflectivity has
to be translated into a picture, which describes the flaw for further evaluation,
e.g., fracture mechanics evaluation. Image processing might constitute a helpful
tool here to generate such a picture [5]. To fill in the missing information for the
original data, a priori knowledge has to be implemented implicitly or explicitly in
selection of the steps and parameters for the image processing algorithm.

The crack shown in Figs. 4 and 5 has been investigated to demonstrate the
possibilities of image processing based on the same dataset as used above. The
L-SAFT image was averaged in order to close the gaps between the visualized
crack factes. The Sobel operator was then used from two sides in order to
enhance vertical edges (see Fig. 6). After further averaging the resulting data
were transformed into a binary image. Finally, a thinning operation was applied
to the image in four and in eight directions. The result of eight directional
thinning shows a crack branch at the right side of the flaw which was not
illuminated by ultrasound and therefore makes no sense whereas the four direc-
tional thinning gives meaningful results.

LITERATURE

[1] K.Mayer, R.Marklein, J.J.Langenberg, T.Kreutter: Three-dimensional imag-

ing system based on Fourier transform synthetic aperture focusing tech-
nique. Ultrasonics 1990 Vol. 28 July.

[2 W.Muller, V.Schmitz, G.Schafer: Recent Experiences in NDE of Reactor Pres-

sure Vessels with LSAFT; Proc. of the 8th Int. Conf. on NDE in the Nuclear In-
dustry, Kissimmee, Florida, USA, Nov. 1986, p. 263-274.

[3] L.v.Bernus, M.Kr6ning, J.Regn, G.Prokoph, H.Ermert: Detection and imaging

of defects especially in scattering materials with small UT transducers using
Broad Band Holography, Review of progress in quantitative nondestructive
evaluation, vol. 8A, Plenum Publishing Corporation, 1989.

572
[4] O.A.Barbian, W.Kappes, F.Hoh: Simplification of the evaluation of inservice
inspections using the ALOK-techniques. 11. World conference on NOT, Las \
Vegas, Nevada, USA, Nov. 3-8,1985; Vol. III, 1473 ff.

[5] W.Muller: Wirkungsweise bildverarbeitender Methoden auf typische Pruf-

probleme der Reaktorsicherheit; im Berichtsband Bildverarbeitung fur
Akustische Verfahren der Werkstoffprufung; IzfP Seminar 15,/16.10.1990;
IzfP; Universitat, Bau 37; 6600 Saarbrucken.

573
ULTRASONIC IMAGING OF DAMAGES IN CFRP-LAMINATES

wolfgang Hillger
German Aerospace Research Establishment (DLR)
P.O. Box 3267, D-3300 Braunschweig, FRG

INTRODUCTION
High performance materials such as carbonfiber reinfor-
ced plastics (CFRP) are attractive materials for aircraft and
aerospace components. Their application to primary aircraft
structures requires the knowledge of damage incured after fa-
brication or in service [1].
CFRP laminates are inhomogeneous and anisotropic materials; a
2 mm laminate consists of 16 layers of fibres, each with a
thickness of 0.125 mm. The sequence of stacking is determined
by design requirements. Therefore ultrasonic attenuation in
composites is relatively high. The scattering by the fibres
reduces the signal to noise ratio [2],[3]. The time of flight
of a 2 mm thick laminate is only 1.3 J-Ls, therefore a high
axial resolution of the flaw detector is required. The thick-
ness of CFRP-components may vary from 2 to 40 rom, the one-
shot dynamic range of a through-transmission measurement
easily reaches more than 60 dB. For these components of CFRP
and other new materials a new ultrasonic inspection system
has been developed [2]. This paper describes the system and
its capability of imaging damages in CFRP-laminates.
HIGH RESOLUTION ULTRASONIC SCANNING SYSTEM
The ultrasonic scanning system HF-Scan 2000 consists of
a three axes stopping motor controlled manipulator with a re-
solution of 5 micros and scanning area of 800 * 700 * 200 mm,
a digital ultrasonic flaw detector HFUS 2000, an 100 MHz
real-time oscilloscope, a spectrum analyser, a 386- PC with
VGA grafics and a colour and laser printer.
The ultrasonic flaw detector HFUS 2000 provides high resolu-
tion inspections in the frequency range from 1 to 100 MHz and
is of modular design [4]. Fig. 1 shows the block diagram of
the new equipment. The amplitude and the time of flight can
be evaluated within three gates. The single shot peak detec-
tor 2051 provides two amplitude measurements in two different
gates in 32 1-dB steps into the high frequency mode (up to
100 MHz) or one amplitude measurement in 64 1-dB steps (up to
10 MHz). The combination with the module 2055 provides an A-

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 575
 2082
COMPUTER INTERFACE
BUS
1
2023 2024 2025 2051 2095 2040
~2060
ATTN MAIN-AMPL INTERFACE PEAK TIME OF STEPLESS 2061
:lL
~ f] f--
IN [>r- TRIGGER!
TIME OF
FLIGHT!
DETECTOR FLIGHT
COUNTER ~
GATE!
.-J-L
GATE
OEPTH-
CONT f? CONTROL

11 ~
SPECTRUM
OSCILLOSCOPE
ANALYSER
J
Fig.1. Block diagram of the ultrasonic flaw detector
"HFUS 2000"

scan digitizing with a time resolution from 10 to 160 ns.

Each A-scan consists of 256 samples.
In order to get a short cable length to the (PVDF-) transdu-
cer, the pulser preamplifier is built separately from the sy-
stem. This gives a very high bandwidth combined with a high
signal to noise ratio. The preamplifier is programmable in
amplification and frequency ( 9 frequency channels 1-80 MHz
and a broadband channel 1-120 MHz).
A fast bidirectional 32-bit parallel interface with
optocouplers is the connection to the computer.
A very important factor is the software (produced by IBT,
Darmstadt) which provides not only the manipulation and set-
tings of the ultrasonic flaw detector but also the storage of
data and imaging of test results in A-, B-, C- and D- scans.
The pull down menus provide a very easy handling with many
help functions. The scanning system measures up to 20,000 am-
plitudes and 10,000 time of flight values per second. The re-
sults can be plotted in 16 grey levels (corresponding to the
dB-steps of the peakdetector) by a laser printer or in 16
pseudo colours. A real time contrast enhancement and other
imaging processing give clear presentations of results.
TYPICAL ULTRASONIC IMAGES OF DAMAGED CFRP LAMINATES
Fig.2 shows a typical C-scan of an impact damage. The
multi- directional CFRP-Iaminate has a thickness of 4 mID. A
10 MHz focussed transducer was used. The centre of the dela-
mination is marked by an amplitude decrease because the im-
pact has damaged even the surface of the specimen. The dela-
mination region is divided in several parts separated by
light lines. Also the amplitude is not constant within the
impact region. Further information about the damage gives the
B-scan (Fig. 3) which was produced along a line through the
centre of the impact. The B-scan clearly describes the diffe-
rent depths of the delaminations marked by dark lines. This

576
 32 30 28 26 24 22: 2~ 18 16 14 \2; 10 o [~d8]

Fig.2. C-scan of an impacted CFRP-specimen

high resolution inspection technique does not only give the

depths of the delaminations but also displays the layers in
the specimen. The backwall echo can only be observed in the
defect free region on the right side of the B-scan. These B-
scans clearly give details for the design of CFRP laminates
and for repair of aircraft parts.
Fig.4 shows a D-scan of the same specimen. A D-scan dis-
plays the different depths of the delaminations. The look up
table is calibrated in j.Ls. The different depths areas are
clearly displayed.
Fig. 5 describes a CFRP-specimen with 2 mm thickness
which has undergone loading in fatique. The damages are dela-
minations and also areas with cracks. Delaminations are par-
allel reflectors to the surface. Cracks produce only scatte-
ring of sound, they can only be detected in through-transmis-
sion techniques (reflector plate echo). Fig. 5 is a composite
C-scan produced by through-transmission technique and echo
technique. If the amplitude of the reflector plate echo
(through-transmission technique) decreases below -25 dB , the
echo amplitude from the gate for echo-technique (gate between
surface and backwall-echo) is used for the C-scan. Therefore
the full informations from damaged CFRP-specimens are dis-
played : the areas with cracks and the regions with delamina-
tions. The special technique clearly shows that the cracks
are also situated at the edge delaminations.

577
 ''" ,. 25 ,. 40 45 5.
.'-~- .. .
~ ' "' ': ~ .- " ....

' -...
'6

- -=..-
....:. - - - : . - - 7
: =-- - ---
- .-
- - "-

32 30 28 26 24 22 20 1$ 16 " 12 10 (-dO )

Fig.3. B-scan of an impacted CFRP-specimen

0.00 0.50 1.00 1.$.0 2.00 uo 3.0D 1.50 4.00 ( tJ,S 1

Fig.4. D-scan of an impacted CFRP-specimen

578
 24 32 40 48 56 64 72

Fig.5. Composite C-scan of a CFRP-specimen loaded in fatique

SUMMARY

An ultrasonic imaging system based on the flaw detector

HFUS 2000 was developed. This inspection system of modular
design is working in the frequency range from 1 to 100 MHz
and fills up the special requirements of new materials. The
dynamic range is up to 64 dB or 2 * 32 dB. An extremely high
axial resolution is reached by a PVDF-foil transducer with a
short cable to the pulser/preamplifier which is builtin a
separate case. The software "US-Scan" with pull-down menus
provides presentations of A-, B-, C-, and D-scans and hardco-
pies in 16 false colours and up to 32 grey levels.
C- and D-scans of CFRP-specimens clearly show the areas
and the depths of damages, the high resolution B-scans yield
a "view" through the laminate in cross-section direction and
display the layers and delaminations.
REFERENCES
1. W. Hillger, Ultrasonic testing for damage analysis on CFRP
laminates, in : Non-destructive Testing of fiber rein-
forced Structures, ESA-TT-1019, January 1987.
2. D.J. Hagenmaier, R. H. Fassbender, Ultrasonic inspection
of carbon-Epoxy composites, Materials Evaluation, 43,
April 1985, pp. 556-560
3. Y. Bar-Cohen, NDE of Fiber-Reinforced Composite Materials-
A Review, Materials Evaluation, 44 , March 1986, pp. 446-
454.
4. Hillger, W.: uS-Inspections of CFRP-Laminates with high
resolution. Non-Destructive Testing, Proc. of the 12th
Conf. on NOT, Amsterdam, April 23-28, 1989, Vol. 2, pp
156-1566

579
 IMAGING OF DEFECTS IN THIN-WAI.I.ED TUBING USING
ULTRASONIC TIME-OF-FLIGHT

W.R. Fundamenski*, M.P. Dolbey and M.D.C. Moles

Ontario Hydro Research Division

800 Kipling Avenue, Toronto, Ontario, Canada M8Z 5S4
*Now at University of Toronto

ABSTRACT

Zr-Nb reactor pressure tubes are the primary pressure boundary of

CANDU reactors. They are inspected for flaws by immersion ultrasonics,
using a double-skip head and focussed transducers. These pressure tubes
are 4.2 mm thick, and access is from one side only. At the moment, the
main concern is flaws on the same surface as the transducers, but reliable
sizing of these flaws has proved difficult. This paper describes a new ap-
proach using the standard focussed transducers in pitch-catch.

Detailed, high amplitude B-scans of notches of various shapes and of

tight fatigue cracks were made. Using this approach, images of diffracted
signals from the sharp tips exhibited a characteristic and predictable "X"
pattern. This characteristic "X" was enhanced using pattern recognition to
produce high amplitude defect tip signals. As with other time-of-flight ap-
proaches, accurate defect depth measurements are obtained. Measured
depths agreed to within ±0.1 mm of the actual depth of the notches, and to
within ±0.2 mm of the estimated depths on fatigue cracks. A preliminary
theory for the generation of the "X" is presented.

INTRODUCTION

CANDU pressurized heavy water reactors contain several hundred

horizontally mounted zirconium alloy pressure tubes, which hold the natu-
ral uranium fuel bundles. These pressure tubes are separated from the sur-
rounding calandria tubes by garter spring spacers. Pressure tubes are in-
spected by a computer-controlled, high speed inspection system called
CIGAR ({2hannellnspection and Gauging Apparatus for Reactors)/1/.

CIGAR uses eddy current for detecting garter springs, a servo-incli-

nometer for measuring pressure tube creep sag, normal beam ultrasonics
for measuring wall thickness and tube diameter, and shear wave and nor-
mal beam ultrasonics for full volumetric inspection. The CIGAR flaw detec-
tion head consisted of two axial and two circumferential 45° pulse-echo

Acoustical Imaging, Volume 19

Edited by H. Etmert and H.-P. Hatjes, Plenum Press, New York 1992 581
transducers, plus a central normal beam transducer. The shear wave
transducers are 9.5 mm diameter active element, 10 MHz, highly damped,
and focussed at 33 mm in water. For reactor inspections, the shear wave
transducers are pulsed by a Krautkramer-Branson KB6000 flaw detector,
and gated peak amplitudes are stored. For detailed inspections on flaws, full
B-scan data can be collected, typically using an Adaptronics pulser card and
a Sonomatic AID receiver board. For detailed scans, the transducers can be
re-connected so that pitch-catch scans can be performed.

TIME-OF-FLIGHT DIFFRACTION (TOFD)

TOFD relies on sizing flaws by accurately measuring the time of ar-

rival of low amplitude diffracted signals from flaw tips, rather than by mea-
suring signal amplitudes as specified by most codes. The technique was
originally developed for contact inspections of thick-walled steel reactor pres-
sure vesselS/2f, and has been developed into a commercial system.
TOFD has been supported by several theoretical models using finite
difference methods and diffraction theory/3/. The TOFD approach has been
shown to give very accurate results on round robin trials such as PISC II
and the DDT trials/4/. For practical applications, considerable signal pro-
cessing is required due to low signal amplitudes: mostly signal averaging
and Synthetic Aperture Focussing (SAFT) are used.
For thin-walled CANDU reactor pressure tubes, flaws must be sized to
within ±0.1 mm for structural integrity purposes. Access is from the inside
of the tubes only. Initial work addressed sizing defects on the outside of the
tubes by TOFD/5/, using higher frequency, unfocussed transducers in a sin-
gle skip pair at a variety of angles. Extensive digital signal processing was
required: signal averaging, SAFT and a variety of techniques to make sig-
nals more readable for the operators. Overall, the program was successful
in that outside surface defects could be sized in the laboratory to within the
±0.1 mm required.

INSIDE SURFACE DEFECTS

The current program involved sizing defects on the same side as the
inspection head, ie. the inside surface. In practice, due to the shallowness of
the defects, a double skip pitch-catch technique was required, as shown in
Figure 1. Standard CIGAR transducers and module were evaluated on a se-
ries of machined notches and laboratory-made fatigue cracks.

RESULTS

Figures 2a and 2b show the response from a typical notch scanned by

CIGAR transducers in high resolution pitch-catch B-scan mode. Even at
low amplitude, characteristic features can be observed, while at high ampli-
tude (Figure 2b) a distinct "X" pattern emerges. Similar patterns appeared
for fatigue cracks, though the fatiguing process tended to produce multiple
small cracks. A signal processing technique (named FTC - ~ocussed
Transducer .Qompensation) was developed to enhance the characteristic "X"
pattern.

582
 time = (water path I vel. In water) +
(tube path I vel. In tube)
time difference = time - time
wall TOFD
FIGURE 1. Ray trace representation of
Time of Flight Diffraction

4.''''..- - - - - - - - - - - - - - - ,
a) main signal =
100%FSH

f.-".<"'o">A.p-~-~----_.._t++4:fl..""""~"""'tlP-~_"'Tf>__"'"i b) main signal =

100% FSH + 18 dB

*FSH = Full Screen

.......- 4 Height Amplitude
Time of Flight
FIGURE 2. High and low amplitude B-scans

583
 a) Before FTC

b) After FTC

Time of Flight
FIGURE 3. Before and after FTC on a high amplitude B-scan,
for a 1.5 mm deep rectangular notch

a) Before FTC

b) After FTC

FIGURE 4. Before and after FTC on a high amplitude B-scan,

for 5 mm long fatigue crack (estimated depth 1.3 mm)

584
 0 Rectangular notches 1f
I:;. V shaped notches y
4.0 0 Segment notches ""'-J""

.c
+ Fatigue cracks
T
C. 3.0 /
~ /

~:J /
rzf

~ 2.0 d'
~ /
0/

1.0
¥
~,il
~

1.0 2.0 3.0 4.0

Actual or Estimated Depths (mm)

FIGURE 5. Results (measured depth vs. actual depth),

for focussed 10 MHz transducers

585
 Focussed transducer compensation is a method for increasing the sig-
nal to noise ratio of certain echoes in the B-scan image. Using the heuristi-
cally determined X-shaped echo locus which appears in a scan over a defect,
it is possible to time-shift groups of A-scans so that they may be coherently
added. This summation results in the constructive interference of in-phase
echoes and the result is an increased signal to noise ratio from which time of
flight measurements may be made more simply.
Figures 3a and 3b show B-scans of a typical notch, before and after
FTC. Improved signal amplitudes and clearer identification result from
processing. Figures 4a and 4b show a pressure tube with multiple fatigue
cracks (estimated as 1.3 mm deep) before and after FTC. Increased signal-
to-noise ratio and better identification result.
Figure 5 shows a plot of flaw depths measured by TOFD vs. measured
or estimated (for cracks) flaw depths. The results show that TOFD measure-
ments are accurate to within ±O.l mm for notches and ±O.2 mm for cracks
with depths up to half the tube wall thickness.

DISCUSSION
During reactor inspections, one of the major problems is to identify
and differentiate the double skip shear TOFD flaw responses from mode con-
versions and other waves. By performing FTC in a Position-Time window
where the characteristic "X" response is expected to occur, flaw tip signals
can be enhanced allowing more reliable detection and improved temporal
resolution. Another advantage for CANDU reactor inspections is that the
CIGAR transducers are standard equipment, so no further downtime is re-
quired for changing inspection heads.
From a physics viewpoint, theoretical work on imaging flaw tips with
focussed transducers, based on wave physics equations, has shown indeed
that the X-patterns are predictable and are caused by plane wave-edge wave
interaction. As the flaw tip radius becomes small relative to the wave
length, the plane wave-plane wave component of the response (ie. specular
reflection) is reduced and the lower amplitude plane wave-edge wave compo-
nents (the X-pattern) become dominant. Consequently, the X-pattern helps
identify sharp flaw tips and its well-defined shape can be justified as the
basis of the FTC method of enhancing these low amplitude responses.

CONCLUSIONS

1. A characteristic X-pattern which results from the interaction of a fo-

cussed transducer beam with sharp flaws permits identification and
sizing of such flaws to within about ±O.2 mm.

2. The X-pattern is theoretically predictable, and has been made the basis
of a signal to noise enhancement method called Focussed Transducer
Compensation.

586
ACKNOWLEDGEMENT
This work was funded by the CANDU Owner's Group (COG) under
wpm #3513 in Working Party #34.

REFERENCES
1. M.P. Dolbey, "CIGAR: An Automated Inspection System for CANDU
Reactor Fuel Channels", Kissimmee, Florida, USA, 17-20 November
1986, Published by ASM International.
2. M.G. Silk, "Transfer of Ultrasonic Energy in the Diffraction Technique
for Crack Sizing", Ultrasonics, Vol. 17, 1979, p. 113.
3. L.J. Bond, "Methods for the Computer Modelling of Ultrasonic Waves
in Solids", Research Techniques in NonDestructive Testing, Vol VI,
Ed. R.S. Sharpe, 1982, Academic Press, Chapter 3, p. 107.
4. P.J. Highmore, A. Rogerson and L.N.J. Poulter, "The Ultrasonic
Inspection of PISC II Plate 2 by the Risley Nuclear Laboratories",
British Journal of NDT, January 1988, p. 9.

5. K.-E. Lindenschmidt, M.D.C. Moles and A.N. Sinclair, "Sizing Cracks

in Thin-Walled CANDU Reactor Pressure 'lUbes Using Crack-Tip
Diffraction", 17th Symposium on NonDestructive Evaluation, San
Antonio, Texas, April 17-20, 1989, sponsored by NTIAC.
6. H.D. Mair - private communication. To be published.

587
 ULTRASONIC IMAGING OF IMPACT DAMAGED COMPOSITE PANELS

B. D. Davidson*, J. E. Michaels**, V. Sundararaman*,

and T. E. Michaels**

*syracuse University
Department of Mechanical and Aerospace Engineering
Syracuse, New York, USA 13244

**Panametrics Automated Systems Division

102 Langmuir Lab, 95 Brown Road
Ithaca, New York, USA 14850

ABSTRACT

A series of tests were performed using ultrasonic techniques and

signal processing methods for nondestructively characterizing impact
damage in graphite/epoxy laminates. Composite panel specimens were
subjected to controlled impacts which produced little or no damage on the
front surface, but resulted in extensive internal damage in the form of
matrix cracks, fiber fractures and delaminations. Three dimensional
representations of this damage were generated using various ultrasonic
techniques. The accuracy of the nondestructively generated damage repre-
sentations were assessed by comparison with destructive inspection.
Excellent correlation between the nondestructive and destructive images
were obtained, except in those areas where excessive damage near both
surfaces effectively shielded existing mid-surface damage from ultrasonic
interrogation.

INTRODUCTION

Low velocity impact damage has been identified as one of the most
critical damage tolerance concerns for laminated composite materials
[1,2]. Such impacts may induce extensive internal damage without accom-
panying external, visually evident damage, and may significantly degrade
the strength, stiffness and life of a composite structure [1-5]. In this
work, results are presented for nondestructive imaging of impact damage in
composite panels using ultrasonics. Nondestructive evaluation was per-
formed primarily using pulse-echo methods, and defect depth was ascer-
tained from the time-of-flight of the pulse-echo response. The accuracy
of the nondestructively ascertained damage states were assessed through
destructive sectioning techniques. It is shown that these ultrasonic
methods produce exceptional accuracy for the identification of damage in
impact damaged composite panels.

Acouslicallrnaging. Volume 19
Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 589
SPECIMEN PREPARATION

Laminates with a layup of [±45/0 2/±45/0 2/90/0/±45/90/0]s were fabri-

cated from Ciba-Geigy R6376/C6K graphite/epoxy. This material is supplied
in unidirectional tape with a thickness of approximately 0.005 inch
(0.136 mm) per ply. The layup is essentially the same as that used in
[5], and is representative of a fiber dominated application such as a wing
skin. The fabricated laminates were cut into 5.5 inch (140 mm) square
panels and fully clamped over a 4 inch (101.6 mm) square opening. The
center of the panel was located below a drop tube containing a 1 inch
(25.4 mm) diameter, 4.88 lb (2.22 kg) steel rod with the impactor end
machined to a 1 inch (25.4 mm) diameter, semi-spherical surface. Impact
energies were varied by varying the drop height.

The results presented herein are for a panel subjected to an

132.8 in-Ib (15.0 Nm) impact. This energy was very close to the "barely
visible damage threshold" in that higher energies caused damage which was
readily apparent by visual inspection.

NONDESTRUCTIVE EVALUATION OF DAMAGE

Ultrasonic pulse echo methods were used to evaluate a 2.5 inch by

2.5 inch (63.5 mm by 63.5 mm) square area that encompassed the damaged
region of the panel. Figure 1 shows a C-scan image of the specimen that
was taken from the top surface with a 10 Mhz, 0.25 inch (6.35 mm) diameter
transducer with a 0.75 inch (19 mm) focal length. The data acquisition
equipment was a Panametrics Multiscan system based upon a 25 MHz waveform
digitizer. The signals were half-wave rectified prior to digitization.
A single surface-referenced gate was set that extended from immediately
after the front surface echo to past the back wall echo. The X and Y plot
axes in Figure 1 and subsequent figures are labeled in inches relative to
a (0,0) reference location. The grey scale represents time-of-flight to
the peak signal reflection, with lighter shades corresponding to later
times. Note that the delaminations increase in size with increasing
distance from the impact surface.

Additional C-scans of the damaged area are presented in Figure 2.

These C-scans were taken from the top surface with a 30 Mhz, 0.25 inch
(6.35 mm) diameter transducer with a 1.25 inch (19 mm) focal length, which
gave sharper images than the 10 MHz transducer. The data acquisition
equipment for these scans was also a Panametrics Multiscan system, but the

,,

Figure 1. C-scan of damaged area.

I •

• • 4-______~-----r--__--~----~~~;d
..
, / ..
590
digitizer frequency was 100 MHz. The signals were half-wave rectified
prior to digitization. Twenty-seven surface-referenced gates were set up
over the reflected signal, where each gate corresponded to a ply inter-
face. This was done simply by dividing the distance between the front and
back surface reflections evenly by 27; the resulting gates were approxi-
mately 0.09 usec in duration. The reflected signal strength within each
gate was plotted for the panel area of interest.

The results presented in Figure 2 represent the 4th-9th interfaces

which correspond to the following front surface/back surface ply orienta-
tions: 0/45, 45/-45, -45/0, 0/0, 0/90, and 90/0, respectively. Note that
at each interface the delamination orientation corresponds to the direc-
tion of the back surface ply bounding the delamination (i.e., the fiber
angle of the interface ply which is further away from the impact site).
This is consistent with what has been reported in previous investigations
of this type [3,4].

Due to the "shielding effect" of near surface delaminations, one is

unable to ascertain from the images in Figure 2 the complete extent of the
deeper delaminations. For example, the delamination at the -45/0 inter-
face could be elliptical, lemniscate shaped [3], or "pie-shaped" as it
appears in the image. The pie-shaped delaminations, where the delamina-
tions progress through the thickness of the laminates in a "corkscrew"
like manner, have been observed in impact tests of quasi-isotropic lami-
nates [4], and have resulted in a damage initiation rule for this configu-
ration [6]. However, note the small, bright spot in the center left of
the image of the -45/0 interface: it suggests that the delamination does
indeed continue below the delaminations at the previous two interfaces.

Delaminations below the midplane were virtually impossible to detect

from the front surface scans due to the net shielding effect of the
delaminations at the first 14 interfaces. However, these delaminations
were readily apparent by scanning from the back surface. Delaminations
near the mid-surface which were shielded by front and back near-surface
delaminations were virtually impossible to detect. It was also impossible
to assess the exact shape of those delaminations where only the edges were
detected as a result of shielding. This suggests that to create an exact
three dimensional representation of damage from ultrasonic images requires
some type of a damage initiation rule.

Finally, note that there is no damage between the two 0 degree plies.
During manufacture, the interfacial region between two plies of the same
angle becomes less distinct, thereby reducing the propensity for inter-
laminar delamination at these locations.

B-scans of the damaged area are presented in Figure 3. These scans

correspond to a section cut along the specimen at y=0.75 inch (refer also
to Figures 1 and 2.) Figure 3 presents scans taken from both the front
and back surface using a 30 MHz transducer with the RF waveforms digitized
at 100 MHz. Note that the scans distinctly show all ply interfaces, and
are therefore very useful for ascertaining the exact depth of a given
defect.

The shielding effect of the near-surface delaminations is very

apparent in the B-scan images. The delamination that is nearest the
surface both blocks the ultrasonic energy from reaching deeper layers and
generates reverberations that mask any reflections that may arrive from
deeper damage. The multiple echoes caused by sound reverberation are
readily identifiable because they appear as a wave train consisting of
equally spaced wavelets with monotonically decaying amplitudes.

591
 , . ... :II ,'~ c " r SJ
, .
Figure 2a. C-scan of interface 4 Figure 2b. C-scan of interface 5
(0/45) (45/-45)

I I I I , I

Figu C-scan of interface 6 FigUl C-scan of interface 7

(-45/0) (0/0)

, a

,
I IHC"'[~ I

"

.,., ,, I I
x I IHCfI'E'S,

Figure 2e. C-sc :' n of interface 8 Figure 2f. C- 5can of interface 9

(0/90) (90/0)

592
 10'
SlIRffll((

I'

I,

l!. 50 2; ~ 10' 80l I 01'\

II PI[ I vsrr J 'SuFlFj'l.C[ suft,,,cr

Figure 3a. Top surface B-scan Figure 3b. Bottom surface B-scan
taken along y=O.75 taken along y=O.75

Figure 4. section cut of laminate Figure 5. Magnified view of damage

along y=O.75 along y=O.75

593
DESTRUCTIVE EVALUATION

Destructive evaluation of the state of damage was performed using

standard metallographic techniques. A view of the damage along the
section y=0.75 from x=1.26 to x=1.44 is presented in Figure 4, where
x=1.26 corresponds to the bottom of the figure and x=1.44 corresponds to
the top. The left hand side of the figure corresponds to the top surface
of the laminate and the right hand side to the bottom. Figure 5 presents
a magnified view of a subsection of Figure 4. The arrows on the figures
point to identifying damage features that are common to both views.

Figures 4 and 5 may be compared to the B-scans of Figure 3 and the

C-scans of Figure 2. Note that the delamination nearer the front surface
toward the bottom of Figures 4 and 5 is at the 9th interface, and the
delamination nearer the back surface toward the bottom is at the 8th
interface (from the back). This corresponds exactly with the information
in the B-scans of Figure 3. Also note that in both the C-scans and the
B-scans only those delaminations nearest the free surfaces are evident,
whereas near the top center of Figures 4 and 5 a delamination may be ob-
served near the laminate mid-surface which is shielded from ultrasonic
interrogation. However, the "tips" of this delamination were identifiable
from the C-scans, indicating that the three dimensional state of damage
could likely be assessed from the ultrasonic images given a suitable
damage initiation rule.

CONCLUSIONS

Ultrasonic imaging of impact damaged composite laminates has been

performed and its accuracy assessed by comparison with destructive tech-
niques. In general, C-scans of the laminate with time gates set to
correspond to the location of ply interfaces gave accurate three dimen-
sional damage representations; however, accurately describing "shielded"
damage remains a problem. For the moderately thick laminate studied, it
was found that a 30 MHz transducer gave optimum results for both the
B scans and C-scans. B-scans of the damaged region corroborated the
C-scan results. Information in the B-scans beyond the first "event" was
difficult to interpret due to the effect of multiple reflections.

ACKNOWLEDGEMENTS

The authors would like to acknowledge the support of the Department

of Mechanical and Aerospace Engineering at Syracuse University, and the
assistance of Russell A. Long of Panametrics in running many of the ultra-
sonic tests.

REFERENCES

1. Demuts, E., Whitehead, R. S., and Deo, R. B., Composite Structures,

4, 1985.
2. Dorey, G., Proceedings of the ECCM VI/ECCM 2, 3, 1987.
3. Guynn, E. G. and O'Brien, T. K., Proc. of 26th AIAA/ASME/ASCE/AHS SDM
Conf., 1985.
4. Gosse, J. H. and Hause, L. R., Progress In NDE, 7B, 1987.
5. Davidson, B. D., Proc. of 31st AIAA/ASME/ASCE/AHS SDM Conf., 1990.
6. Gosse, J. H., and Mori, P. B. Y., Proc. Am. Soc. for Compo 3rd Tech.
Conf., 1988.

594
 ULTRASONIC NONDESTRUCTIVE EVALUATION OF DAMAGE EVOLUTION

IN COMPOSITE MATERIALS

Elena BiagiO, Andrea Corvi*, Leonardo MasottiO

° Dipartimento di Ingegneria Elettronica, Universita di Firenze

Firenze - Italy
* Dipartimento di Meccanica, Universita di Ancona
Ancona - Italy

INTRODUCTION

Nondestructive evaluation of mechanical properties of the materials

requires the synergism of at least two important components: 1)
nondestructive testing procedures capable of detecting and distinguishing
all flaw or damage influencing the evaluation of the mechanical behavior
and 2) physical-mathematical models able to identify which flaws and
damages are important and to predict the residual life of the
material/structure. The mechanical serviceability is based upon knowledge
of the detected damage and its effect.

The application of nondestructive evaluation procedures to composite

materials is presently in a rough state. Not only problems exist in
developing Non Destructive Techniques for detecting and characterizing
damage, but presently no complete understanding has reached of the damage
condition in composites that leads to final catastrophic failure event'.

At present no failure criterion analogous to Fracture Mechanics for

homogeneous materials exists for composites materials 2 ,3. In fact the
damage in these materials is an extremely complex phenomenon corning from
different and often interconnected failure mechanisms due to the material
heterogeneity and anisotrophy.

The process of damage accumulation involves a number of damage modes

including: matrix cracking, delamination and fiber fracture which
initiate, grow and interact to form a complex network of details called
"damage state".

Two are the aims of the activity presented in this paper. The first
one is the investigation of the damage phenomenon through its correlation
with the damage state in composite laminates. The second one is the
monitoring of damage by means of a compared use of two different
nondestructive measurement techniques, which are able to give
complementary information: the Ultrasonic (US) techniques and Acoustic
Emission (AE) detection.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 595
 The ultrasonic observation of damage evolution through the analysis
of the local modification of the structural constituent elements was
carried out. A particular ultrasonic echo signal spectral data imaging
technique 4 ,5 and the relative spectral amplitude energy evaluation
associated to each constituent lamina of the laminate during tensile tests
were used. In a previous work6 was discussed the powerfulness of the
applied US method to furnish a suitable acoustic image of the internal
structure in composite materials.

The ultrasonic investigation technique (US) was carried out in

concert with the Acoustic Emission (AE) which is able to give information
related to the damage history of the whole laminate. By combining these
two independent measurement methods, a key for the damage investigation
and interpretation is proposed.

The damage monitoring was performed during characterization tensile

tests in accordance with standard procedure on carbon epoxy laminates with
different stacking sequences.

MATERIALS AND METHODS

The tensile tests were carried out on carbon-epoxy laminates with

different stacking sequence. The material was the pre-preg Lamiflex 800
04 0201. The specimens were manufactured in accordance with the ANSI/ASTM
D 3039.

The choice of an appropriate geometrical shape of the specimen

permitted to simplify the test procedure and the results' interpretation.
The experimental procedure permitted to analyze only one geometric and
loading configuration. A data extrapolation method will be then necessary
to extend the results to every kind of structure and load system. In
figure 1 the experimental positioning of the employed transducers over the
specimen is reported. It can be seen: the US transducer and its delay
line, the AE detector and two strain gages mounted in the axial and
transverse specimen direction.

US transducer

AE detector stic delay line

Strain gages
Fig.l Measurement transducers disposal over the specimen

596
 The tests were performed in displacement controlled mode by using a MTS
810 testing machine. The strain was measured by the use of strain gages
and the data acquired by a HBM UPM 60 gage system interfaced with pc.

The AE system consisted of a B&K chain and employed an

electromechanic detector attached in the center of the specimen under test
with a coupling medium. The AE signal exceeding a selected threshold level
was processed to extract the mean-square voltage which is a sort of
measure of the signal energy content 7 •

The US measurement system components: pulse generator and receiver

are broadband devices which can readily operate up to 40 MHz, the
ultrasonic transducer had a central frequency equal to 20 MHz and a -12
db bandwidth equal to 10 MHz. An 8 bit digital oscilloscope with a maximum
sampling frequency of 400 MHz was used for the radio frequency acquisition.
A particular transducer holder 8 was designed to use the ultrasonic pulse
echo technique by means of a dry contact between transducer and specimen.
The signal processing was carried out by means of a pc. The analysis was
performed in the frequency domain to outline the interference effects on
the echo signal due to structural variation under tensile test. The
ultrasonic echo signals were gated with a set of 310 ns Hanning windows
mutually shifted of 40 ns. A Fast Fourier Transform algorithm was applied
to obtain the amplitude spectra of every time-gated signals. The result
of this spectra succession over the investigation depth appeared as a
"continuous" spectral mapping. The obtained spectral images were
characterized by seven vertical columns which were related to seven

Fig.2 Ultrasonic spectral data image. The vertical columns are

referred to seven different load conditions; the horizontal
axis of each column represents the 15-25 MHz frequency range;
the specimen depth is reported on the vertical axis; the
spectral amplitude modulates the chromatic code

597
different load condition, the horizontal axis of each column was assumed
to represent the 15-25 MHz frequency range, the specimen depth was
represented along the vertical axis, the spectral amplitude was used to
modulate the chromatic code.

More synthetic information was obtained by the analysis of shape

variation of the echo signal spectral energy4 of each constituent ply for
different values of the strain to ultimate-strain ratio. Measurement of
specimen thickness have permitted to select the time portion corresponding
to each ply on the radio frequency signal. A Fast Fourier Transform was
performed on each portion of the signal and the energy of the spectral
amplitude was computed. Material structural variations induce different
ultrasonic wave attenuations and shape modulations (scalloping) on the
amplitude spectra6 . Proper evaluation of these structural effects can be
assessed by using a reference amplitude spectra. Appropriate reference
spectra were obtained for each kind of lamina of the laminates in unloaded
conditions.

A preliminary investigation was carried out on single fiber-

orientation specimen in order to assess mechanical and acoustic behavior
of unidirectional plies under tensile stress 9 . Results have permitted to
link the damage observed in multiple fiber-orientation laminates to the
damage evolution of each constituent lamina. In this way, damage
nucleation and damage mode could be assessed.

EXPERIMENTAL RESULTS

Tests were run on specimens with different stacking sequences, for

the sake of brevity only the results obtained for the [90 2 /-45 2 /+45 2 l 8
laminate are reported in this paper.

24
-Go O-deg ply·

----- - 45-deg/+45-deg ply·

>-
18
-- - 45-deg/+45-deg ply
O-deg ply

...
Cl
CD
c 12
CD
CJ)
:=l

a
0,0 0,2 0,4 0,6 0,8 1,0
strain/ultimate strain
Fig.3 [902/-452/+452l8 laminate. US spectral energy
related to the constituent specimen plies vs strain
to ultimate-strain ratio. The star superscript (*) is
referred to the US transducer most close plies

598
 40 ~------------------------------------~

30

>-
...CIJ
C)

i 20
CC
w

10

0,0 0,2 0.4 0,6 0 8 1,0

strain/ultimate strain
Fig.4 [9°2/-452/+452]8 laminate. AE energy related to
the constituent specimen plies vs strain to
ultimate-strain ratio. The star superscript (*)
is referred to the US transducer most close plies

In figure 2 the image of the ultrasonic echo signal spectral

amplitude content during tensile test is reported. In fig. 3 the energy
of the ultrasonic spectral amplitude for all the constituent plies is
displayed in arbitrary units vs. the strain to ultimate-strain ratio.

A strong modification of the spectral amplitude can be noted in the

lower portion of fig.2, which corresponds to the -45-deg, +45-deg lower
plies of the specimen with respect of the ultrasonic wave path. An
important initial damage event is located at the interface between these
two plies. As the external load increases, the damage grows affecting the
whole thickness of the -45-deg and +45-deg plies. The same damage
behavior, although less relevant, is also noted for the upper -45-deg,
+45-deg plies. Observing the US energy shape of the third group of laminae
(see fig. 3) a strong decrease can be noted at 60% of the normalized
deformation. An increase in the spectral energy related to the first O-deg
ply can also be noted in fig. 3. This fact could be imputed to the growth
of O-deg ply stress state caused by the load re-distribution following the
progressive damaging of +45-deg, -45-deg plies. This statements seems to
be in accordance with the shape analysis that can be performed on the AE
energy graph reported in fig.4. A single energy peak typical of the 45-deg
lamina failure mode can be noted at 60% of the normalized deformation
while the final catastrophic failure is driven by the O-deg ply. The above
analysis of the US and AE energy data was carried out on the basis of the
results of preliminary investigation.

CONCLUSIONS

Experimental results indicate that the analysis of the echo signal

spectral energy constitutes a suitable approach to characterize the
morphological local variations that occur during damage evolution.

599
 Combination of global damage information obtained from the AE
technique with local material evolution, assessed using the US technique,
provides a fundamental tool for damage evolution analysis in composite
materials. Further analysis of AE and US data, together with the
application of mechanical models of the material, are necessary to
completely characterize the damage state.

REFERENCES

1. w. w. Stinchomb, "Non destructive evaluation of damage accumulation

process in composite laminates", Composite Science and Technology
n025, (1986), pp. 103-118.
2. D. H. Harris, S. E.Groves, "Damage modeling in laminated
composites",IUTAM/ICM Symp. Yelding, Damage and Failure of
Anisotropic Solids, Grenoble France, (1987)
3. w. S. Carswell, "Damage mechanics and composite behavior",
Composite Structures, nOlO, (1988), pp. 335-342.
4. L. R. Rabiner, B. Gold, "Theory and application of digital signal
processing", Prentice Hall, Inc. Englewood Cliffs, New Jersey,
(1975), pp. 687-691.
5. F. L. Lizzi, M. Ostromogisky, E. J. Feleppa, M. C. Rokke, M. M.
Yaremko, "Relationship of ultrasonic spectral parameters to feature
of tissue microstructure", IEEE Transactions on Ultrasonic and
Frequency Control, (1986), Vol. Uff.-33, n03.
6. E. Biagi, G. Castellini, L. Masotti, S. Rocchi, "Ultrasonic
spectroscopy of composite materials", Ultrasonic International,
Madrid, (1989), Conference proceedings, pp. 56-64.
7. R. Mohan, G. Prathap, "An acoustic emission energy analysis and its
use to study damage in laminated composites" Journal of Non-
destructive Evaluation, vol.1, n04, (1980), pp. 225-232
8. E. Biagi, S. Rocchi, D. Vangi, "An apparatus for non-conventional
ultrasonic testing of composite laminate", Experimental Techniques,
March-April, (1990), pp. 178-181.
9. E. Biagi, A. Corvi, S. Reale, L. Tognarelli, "NDT damage monitoring
and characterization during tensile tests on composite laminate"
accepted for: ICCS/6, Paisley, 9-11 September, (1991).

600
ULTRASONIC IMAGING
OF THE ASPHALTIC CONCRETE SURFACE LAYER

Romuald Jan Sztukiewicz

Institute of Civil Engineering
Technical University
Poznan, Poland

INTRODUCTION

The surface layer of flexible pavement is directly exposed to

traffic and atmospheric effects. It is usually made of asphaltic concrete
characterized by its viscoelasticity. During exploitation of pavement,
deformation of the geometric surface layer takes place. Deformations are
secondary changes and result from the changes which take place in the
surface layer. To describe the changes in the surface layer, one should
use the methods which define the present form in a synthetic manner,
taking into account a possibly large number of relationships which
influence this condition. In the author's opinion, ultrasonic testing
methods possess such possibilities.
In the Civil Engineering Institute of the Technical University of
Poznan, the author is conducting works in the field of applying
ultrasonic methods for describing the condition of the surface layer of
flexible pavement. He is also observing the changes which take place in
the surface layer in time, using both destructive and non-destructive
methods. In his article for the 17th International Symposium on
Acoustical Imaging,l he described the structure of the surface layer, the
essence of the ultrasonic surface method, and the technology of taking
measurements. He also presented the testing results acquired in the years
1984-86, along with their interpretation. The purpose of this work is to
present the testing results from 1984-89 in the form of an ultrasonic
image of the surface layer of flexible pavement. The autor also intends
to demonstrate the influence of traffic lanes and measuring sections on
the parameters of the ultrasonic longitudinal wave propagation by means
of variance analysis.

THE EXPERIMENTAL SECTION

The experimental section was demarcated in a newly-built, two-
roadway Serbska Street in Poznan. Exploitation of the street began in
November, 1984. In each roadway, 3 measuring sections were made at the
distance of 30m from each other. In each measurig section in each of the
3 traffic lanes, 3 measuring fields were spaced. In each measuring field,
distribution of ultrasonic longitudinal wave propagation velocity was
determined by means of measuring the time of wave propagation 6 times
(Fig.I).

Acoustical lrruzging. Volume 19

Edited by H. Ermert and H.-P. HaIjes. Plenum Press. New York 1992 601
 =
Se c ti on :;........:6:...-_ _ _ _ _ _ _ _-::5=-_ _ _ _ _ _ _ _-::4=--.
i_-
:c
_NORTHERN 1 -
-_CARRIAGEWAY ~=_ 2 ~: I
10>=
@- 0= 3 0 = II
1+ + • I
I~·-·-·-·-·-·~·-·-·-·-·-·~·-·I
SERBSKA STREET

Fig. 1. Schematic diagram of the experimental section 2/1/3 (section 2,

traffic lane 1. measuring field 3).

While taking measurements. constant distance between the ultrasonic

transducers was maintained. From November. 1984 till September. 1989 the
author took measurements 16 times. Each time he took measurements in 54
fields. determining the parameters of ultrasonic longitudinal wave
propagation in the form of wave velocity c'L and variability coefficient
~c·L. The exemplifying results of ultrasonic longitudinal wave velocity
and of variability coefficient in time function in the form of an
ultrasonic image of the surface layer for sections 2 and 6 are shown in
Figures 2 through 5.

VARIANCE ANALYSIS
Influence of traffic lanes and measuring sections on ultrasonic
longitudinal wave propagation velocity c'L
Having received the results in 6 measuring sections in the form of
an ultrasonic image of the surface layer. the author undertook to
demonstrate the influence of traffic lanes and measuring sections on
ultrasonic wave velocity by means of variance analysis. For this purpose,
for each measuring field, in the period from 1984 till 1989 he determined
the values of an average ultrasonic longitudinal wave velocity. Then the
general population was divided according to two criteria: A - traffic
lanes, and B - sections. They were assigned the r=3 and s=6 measurements
of A and B factors' influence. Therefore. rxs=18 groups were
discriminated. From each of these groups, simple samples were drawn. each
composed of m=3 observations. where each observation was considered as
the average result received in the period 1984-89.
In this work. the values of feature X (propagation velocity) were
determined by xijk (i=1,2 ... ,r; p=1,2 .... s; k=1,2, ... m) observed while
drawing the k th observation from the group determined by the ith
measurement of factor A and the j th measurement of factor B. Hence. the
model of the two-factor variance analysis has the form 2 ,3:
x = p + Ji +!l.j + Oij +~ijk (1)
ijk Iv
It was assumed that the quantities)1' d.. i, f->j and ~ij are not random,
while %ijk are independent, random variables with distribution N (0, (j )
(random error). ~ i=pi - P parameters are called the effects of the first
factor measurement influence,~j= pj -~ parameters are.called t~~ ef~ec~s
of the second factor measurement Influence, and fInally, tIJ= oZl ~J=
=pij-pi-pj+p parameters are called the effects of the first and second
factors' co-operation. Model (1) permits to verify 3 kinds of null
hypotheses against corresponding alternative hypotheses.

602
 u
o V \ "', y ..... -- .:; J7
~ e'L
QI [m/s 1
>
~ 3500
u
c:: 3300
0
Ul
0
'-
+-

:J I J
1 2 3 I. 5 5 7 8 9 10 11 12 13 1 15 15
1981. 1 1985 1985 1987 1988 1989
Time

r~g.2. Diagram showing ultrasonic wave velocities changes in time

function for section 2

u
o ,
QI cL
>
QI [m/s 1
>
0
~
3500
u
c 3300
0
v~ I
Ul
0
'-

:J
7 I
1 2 3 4 5 5 7 8
I,
9 10 11
I
12
,I
13 11. 15 16
,
-7

1981.1 1985 I 1986 I 1987 1988 I

1989
Time

l'lg. 3. Diagram showing ultrasonic wave velocities changes in time

function for section 6

603
 'TI-...... ~ .- - L , 1/
l ' JI
--1I;::;r-..:; - '- 1IT7 lo
I
c ~,,_- -~, /- t-- ~
-
o
o
L-
2.0 .... I - J/.. ""11'
rv
'-
r-r
"T.L1l - -., - -"1
'f +
o
> I ,I, ,II I, I I I ~l J J
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
198/1 1985 1 1986 1 1987 1988 1 1989
T i me

Fig.4. Diagram of variation coefficient changes in time function for

section 2

Lane

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
198/1 1985 1 1986 1 1987 1988 1 1989
Time

Fig.S. Diagram of variation coefficient changes in time function for

section 6

604
 Then the values necessary for drawing up the variance table were
calculated. Variance table analysis authorized the rejection of the
hypotheses which said that traffic lanes and sections did not influence
ultrasonic longitudinal wave propagation velocity. There is also a strong
co-operation between traffic lanes and sections in terms of influencing
the average ultrasonic wave velocity.
After determining the average ultrasonic wave velocities in each
measuring section, it was found that the maximum wave velocity occurred
in the second measuring section (3383 mis, exceeding the general average
by 65.2 m/s), while in the sixth section the minimum wave velocity was
obtained (3238.4 mIs, 79.7 mls lower than the general average). In a
similar manner, calculations for traffic lanes were done. It was found
that the second traffic lane had the greatest influence on wave velocity
(it was 27.7 mls lower than the general average velocity of 3318.0 m/s).
The first traffic lane, strongly correlated with wave velocity, caused
its increase by 24.8 m/s.
Influence of traffic lanes and measuring sections on the variability
coefficient ~c'L of ultrasonic longitudinal wave propagation velocity
Variance analysis authorized the rejection of hypotheses which said
that traffic lanes and sections did not influence variability
coefficient. After determining the average variability coefficients of
wave velocity in each measuring section. it was found that the maximum
coefficient had been obtained for the second measuring section (1.453
exceeding the general average of 1.313 by 0.14), while in the sixth
section the minimum value of variability coefficient was obtained (0.113
lower than the general average). Calculations for traffic lanes were done
analogically. The second traffic lane had the strongest influence on
variability coefficient (0.066 greater than the general average
coefficient). For the third traffic lane, the value of variability
coefficient is 0.063 lower than the average value of variability
coefficient.

CONCLUSIONS
On the basis of the measuring results obtained in the 6 measuring
sections in the form of an ultrasonic image, and on the basis of variance
analysis, it was found that:
1. Average velocities of ultrasonic longitudinal wave propagation
parameters are influenced by both traffic lanes and measuring
sections. This influence is more essential for traffic lanes than for
measuring sections.
2. There is a strong co-operation between traffic lanes and measuring
sections.
3. Sections 2 and 6 are the most characteristic both in wave velocity
analysis and in variability coefficient (Figures 2 through 5).
4. In wave velocity analysis, traffic lanes 2 and 1 are the most
characteristic. while for variability coefficient traffic lanes 2 and
3 are the most characteristic.

REFERENCES
1. R.J.Sztukiewicz. Testing Surface Layer of Pavement with an Ultrasonic
Method, 17th International Symposium on Acoustical Imaging. Conf.
Proc., Plenum Press. New York. vol. 17, 413:417 (1988).
2. W.Volk. Applied Statistics for Engineers. McGraw - Hill (1969).
3. D.Bobrowski, K.Mackowiak-tybacka. Wybrane metody wnioskowania
statystycznego. Wyd. Polit.Pozn. (1988).

605
 NEW DEVELOPMENTS IN SCANNING ACOUSTIC MICROSCOPY

J. Attal, L. Robert, G. Despaux, R. Caplain, and J.M. Saurel

Laboratoire de Microacoustique SDI/CNRS 5978

Universite de Montpellier II - Place Eugene Bataillon
34095 Montpellier- Cedex 05 FRANCE

INTRODUCTION

The Scanning Acoustic Microscope (SAM) has become a useful new instrument for non
destructive testing applications by its ability to penetrate optically opaque materials on a
microscopy scale. Quantitative measurements has been added to the imaging capability
known as acoustic material signature A. M. S. also called V(z).

The litterature abounds in examples where this technique can be operating. We can
sketch a non exhaustive list of problems which have been solved over the last few years by
using imaging and V(z) technique with amplitude and phase : (I) surface wave velocity
measurements mainly Rayleigh waves, with in some cases an accuracy of 10-5 and as
consequence: high sensitivity to anisotropy 1 and surface residual stresses 2 thin film
thickness measurements using dispersion curves 2, (II) V(z) inversion for complete
reflectance evaluation 3, (III) roughness removal, contrast and depth resolution
enhancements, (IV) cracks evaluation with their orientations in surface or in depth 4 ,(V)
delamination of thin or thick layers, (VI) surface or interface topography etc .....

Phase display can enhance by at least a factor of ten the accuracy of the amplitude
measurements, nevertheless no much work has been reported using this capability. This can
be explained by a relative difficulty of experimental set-up and signal processing which
require special cares.

Among the new possible interests of the instrument are the determination of the
different modulii (Young, Shear and Poisson coefficient) of a layer deposited on substrate or
a thin plate. This requires measurements of the longitudinal velocity with an accuracy
similar to that of Rayleigh velocity. In many cases we can show that it is possible to get
valuable results on layered systems when optimizing the experimental conditions.

Adhesion is an other problem which can be solved by acoustic microscopy. Transverse

waves in bulk materials are known to be more sensitive than longitudinal for this type of
defects so as Lamb waves for layers on substrate.Their efficiencies are incidence sensitive
and specific lenses have to be deSigned to get through this problem.

Acousticallmaging, Volume 19
Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 607
 Dark field acoustic microscopy (DFAM) initiated in the mid seventies at Stanford with
off-axis detection of the beam can be now applied to enhance the effect of discontinuities on
surface acoustic propagation within the first wavelength below the surface.
At last, a new concept of acoustic microscopy is coming which operates in the near field
conditions in super resolution mode. The gain in resolution relative to the wavelength could
reach a factor more than 10 with a new scope of applications in high absorbing materials
such as composite or biomedical tissue. Pushing up this technique it is conceivable to make
a tunneling acoustic microscope considering the non propagating solutions as done in Optics,
but it will take a certain delay before this technology can be operating.

In this paper we will present some of these new applications.

EXTENTION OF THE ACOUSTIC SIGNATURE V(z)

A large part of the progresses accomplished in acoustic microscopy comes from the
industrial partners who are still pushing up the investigations beyond the actual
possibilities of the instrument. For example, accurate measurements of the velocity on non
planar surfaces in order to follow their quality control, residual stress or annealing
process are still on request. Fortunately cylindrical or spherical surfaces are more
common and the deviation from V(z) established for planar surfaces can be easily done.
More fundamental is the determination of the longitudinal velocity in order to have complete
information on elastic parameters.

1. General formulation for spherical convex and concave surfaces

The phase difference for spherical convex or concave objets, Llq" is derived following the
same principle as that of planar surfaces, taking into account the difference in wave paths.
The reflected wave represented by ray 2 in fig. 1 reaches the transducer following the arch
ACB rather than the straight line normally taken for planar surfaces. Axial waves (ray 1)
are reflected back at normal direction, thus following the same path. After calculations the
phase difference between ray 2 and ray 1, Llq" for convex or concave spherical surfaces was
found to be:

Transducer

1 2
2

Reflecting
z

Fig 1 Simple ray approach to get the V(z) signature on curved surface

608
 t-..t!.=4..1Lf { . [ (±rcos~:;:(r2cos2~+z2+ 2rZ)1/2)2_ Z2]
'Y V.I' r SIn ~.arc cos 1 - 2 r (r+ z)
lq
+ r cos ~ ± (r2 cos2 ~ + z2 + 2 rz) 1/2 +z }

the upper sign is referred to convex surface, VR is the Rayleigh velocity, f the frequency, z
the distance from the focal plane and SR the Rayleigh critical angle. This expression gives
the variation of t.cp with the specimen defocus z and the curvature radius. It enables us to
determine the spacing t.z between two successive maxima (minima) for constructive
(destructive) interferences when t.cp = 2n1t or (2n + 1) 1t respectively.

The complete development has been published elsewhere 5 . It has been shown by signal
processing the FFT of the V(z) that it can be possible to find the exact Rayleigh velocity with
a good accuracy depending on the radius of curvature and its own precision. Table I sums up
these measurements on stainless steel balls. The operating frequency was 130 M Hz and the
focal length of the lens 2 mm.

Table I Parameters and properties of stainless steel balls.

Velocities deduced from FFT peeks (m/s) corrected velocities

r (mm)
plenersurfeces (V R) convex surfaces (m/s)

2. 75 2978 2787 2992

4. 0 2978 2838 2987
6. 0 2978 2898 2976
10.0 2978 2920 2977

2. Skimming modes generation and efficiency

So far, in quantitative measurements only Rayleigh modes have been extensively

considered whereas very few workers mention the existence of skimming modes and in any
case with an efficiency more than 20 dB down referred to Rayleigh. The difficulty in
observing these modes comes from their mixing with Rayleigh or other spurious modes and
are sensitive to the large impedance ratio between solids and liquid couplants. Fig. 2 shows a
cross section of the acoustic transducer assembly with a large-opening-angle lens. For
simplicity, only two surfaces modes are represented by rays 1 and 2 for leaky Rayleigh and
skimming longitudinal waves respectively; each mode is excited at its own critical angle SR
or SL and propagates at its characteristic velocity VR or VL respectively.
The V(z) curves of such a representation would include both modes, but only the most
efficient (Rayleigh) mode would clearly appear; therefore, one has to suppress it to make
longitudinal waves more visible. This can be acheived by cutting the aperture angle of the
lens to a value between the longitudinal and Rayleigh critical angles.
Theorical FFT computations of V(z) obtained by simulation with a 50° and 9° half
aperture lenses show in fig. 3 the significant improvement of longitudinal skimming modes.
Experimentally, we have used a lens with a curvature of 1.5 mm radius and a half aperture
angle of about 10° at an operating frequency of 156 MHz. Skimming modes are well
observed experimentally on both sapphire and SiC samples with both water and mercury as

609
 Transducer.

1 2 3

,
1
\
Ref lecting ---';~,.-doJ,!:,oo..r----~
obiect '
',. ' z
-. -F:'-~ _.Focal plane.-*
Fig 2 Schematic diagram of the acoustic transducer for Rayleigh and skimming
longitudinal modes

LONG ITUD IN AL MODE

RAYLEIGH MODE

o 20 40 60 80 o 20 40 60 80
Fig 3 FFT spectra of V(z) curves for water/sapphire at lens opening angles
of 50 0 and 90

coupling liquids in good agreement with theory. Furthermore, the amplitudes with mercury
are more enhanced due to the good impedance matching between this liquid and most of solids.
FFT spectra of such curves show sharp and clear peaks from which longitudinal velocities
for sapphire and SiC were found to be 11097 m/s and 12448 m/s respectively, in good
agreement with litterature.

3. Loading effects on generalized Rayleigh waves and skimming

modes

To investigate further the influence of coupling liquid densities on velocity and efficiency
of surface waves we have measured the Rayleigh velocity and the longitudinal skimming
velocity on bulk tungsten using successively water then mercury. More details will be
published soon but we can make the following observations deduced from the complex
reflectance function (fig A ) as the density only of the liquid is varied.

- At low liquid densities we observe a sharp peak corresponding to Rayleigh waves velocity.

- As the density is increased, the Rayleigh peak becomes broader, its amplitude decreases,
then we notice a splitting at densities similar to that of mercury. The right part of the twin

610
 a

c
Fig 4 FFT Spectra of V(z) curves for
tungsten with several liquid densities
a)d=1 b)d =4
c) d=1 0.25 d) d=10.3 e) d=20
The liquid velocity is 1500 m/s

611
peaks gives the skimming shear velocity of the material with less than one percent accuracy;
this has been demonstrated on several types of samples.

- Beside of that, we notice a strong increase of the amplitude of the longitudinal skimming
modes which are quasi undetectable for low liquid density at 50° aperture lens. The
accuracy of the measurements of this longitudinal mode, directly deduced from to the FFT,
becomes more questionnable as the spatial frequencies decrease to a large extent. However
no significant shift of skimming modes has been observed.

4. Expression of the different modulii using longitudinal and Rayleigh

velocities and their dispersion curves

Under isotropic assumptions we can express the Young modulus E, the shear modulus G
and the Poisson coefficient v from the Rayleigh and longitudinal velocities according to the
following formula :

3y2_4y2
E = P y2 L T G = P y2
T VJ.-y2' T
L T
2 y2 - y2
v = T L
2 (yi - Yl)

Note that the Rayleigh velocity can be related to longitudinal and transverse velocities
according to a third power equation in V2 which has been simplified by Viktorov 7 to the
following expression

The agreement with the experimental values obtained from static measurements are
remarkly good for bulk materials. In case of a layer on substrate it seems possible to get a
good approach of these modulus according to the dispersion curves for Rayleigh and
longitudinal modes.
The following example has been developed in order to know the potentiality and the limit
of the method for a coating of chromium on steel. Only theoretical results are given
assuming a perfect bonding. The two bonded materials have exactly the same impedance in
normal direction and no Lamb waves can be observed. We have plotted in figures 5 and 6 the
theoretical dispersion curves for Rayleigh and skimming modes as a function of the
thickness/ A. shear.
The Rayleigh dispersion curves with water coupling shows a continuous shift of the
velocity from that of the substrate (steel) to the layer. For thicknesses above one shear
wavelength one can measure pratically the Rayleigh velocity of the layer itself.
With mercury coupling the behaviour is different since only skimming shear modes are
concerned. A switch from steel to chromium velocity is observed as the thickness is
increased.
With skimming longitudinal mode, both water and mercury couplings exhibit the same
kind of variations which are closer from the skimming shear modes observed previously.
However, the amplitude of the FFT peak for mercury coupling seems to be modulated as
the thickness is increased which produces some inaccuracy in the velocity determination of
the layer. More developments have to be done in order to clarify this modulation.

612
 VI. VI (m/s)
4000
6800
VI (m/s)
6700 3900
6600 3600
6500 3700
6400 3600
6300
6200
,.• Hg coupling 3500
H2O coupli,,! 3400
,.• Hg coupling
H20 coupling
6100 3300
6000 3200
5900 e/A.(shear) 3100
e/,\(shear)
5600 3000
0,0 0,2 0,4 0,6 0,8 1,0 1,2 1,4 1,6 1,8 0,0 0,2 0,4 0,6 0,8 1,0 1,2 1,4 1,6 1,8

Fig. 5 Dispersion curves of the Rayleigh Fig. 6 Dispersion curves of the longitudinal
velocity (water coupling) and transverse skimming velocity fro the same layer
velocity (mercury coupling) for a layer of chromium on steel.
of chromium on steel.

Note that the wavelength is referred to the shear mode in chromium.

2 180 2 180
'dELDED LONG SMOOTH LONG

o o
----------------------.
-18
~--~
O~-~"""",-~"""",-~--~....I o o~-~--~--~--~~
o 20 40 60 80

2 180 2 180

-.
'dELDED SHE AR SMOOTH SHE AR

,
,,.,.----- .. 'o-
,,'"
/".-- -- ...........
............ ,
f ........

-------' o
_______ J
o

o
Fig, 7 Angular characterization of the reflection coefficient for an aluminium-epoxy
resin interface with welded and smooth boundary conditions in the case of
longitudinal incident and reflected and shear incident and reflected .
------ phase amplidude

613
 As for bulk material it is possible to obtain the different modulii (Young, shear) from
the dispersion curves assuming ideal bonding. If not so, it is to predict a discrepancy with
the real values except for thicknesses greater than A..

ADHERENCE- EVALUATION

With an appropriate model of adherence between two materials it is possible to compute

the reflection coefficient in module and phase relative to good and bad adhesion for a
multilayered medium. The purpose of this part is not to develop the theory of rigid and
smooth bondings which can be found in more fundamental papers 8 but to extract the most
significant results to design a transducer for acoustic microscopy.

According for instance to Pilarski's model 9 relative to smooth and rigid bonded
aluminium-resin interfaces, it seems that transverse incident waves are more sensitive to
smooth boundary conditions than longitudinal waves. We see in figure 7 that a maximum
change in amplitude can be detected around an incidence angle around 30 degrees with
respect to the normal of the interface. At this step two ways of investigation can be followed
to characterise the acoustic properties of a bonding :

- By imaging : a good focusing of transverse waves is required to make the output

transducer signal sensitive to the bonding quality. As seen in a previous paper 10, strong
aberrations occur for transverse waves in solids when a converging beam coming from a
spherical lens passes through a plane solid-liquid interface. To remedy this problem
aspherical lenses were designed for a given material and depth to focus. According to data
published and our modelisation, transverse incidence angles up to 40 degrees in the
aluminium-epoxy interface can account the adhesion properties. Between the two types of
adhesion, we can hope a 10 dB change resulting from integration in amplitude and phase of
the reflection coefficient over the total angle.

- By V (z) analysis in defocus position : leaky Lamb waves are very sensitive to the quality
of the bonding and layer thickness. As shown in figure 8 dispersion curves are significantly
changed according to the adhesion conditions. V(z) techniques allow us to get informations
from these leaky Lamb modes as shown in figure 9 obtained on a stainless steel plate.
However, as far as the number of modes increases we can notice more complexity in
interpreting the V(z) which moreover are frequency sensitive. In order to clean some of
them out, we must narrow the incident beam at optimized directions which improve the
efficiency of particular modes.

CONCLUSION

This paper has shown some of the multiple applications still possible using acoustic
microscopy techniques. Due to high potentiality of the complex reflection coefficient
established for a multilayered material, different ideas can be developed generally leading to
special transducer design or new method of signal processing. The near field acoustic
microscopy seems to give an other way of thinking with new kinds of sensors, signal
processing and physical interpretation of the constrast of the images with also new field of
applications.

614
 Dispersion curves- L
AI(.965)/Adh.(.127)/AI(.S65)
(a)
6

5~
4

3
\
0 2 4 6 8 10
Dispersion curves-H
-"' AI('965)/Adh.(.127)/AI(.9651
:l.. ( b)
"- 6
E
E

:~
>-
'=u
0

'"
:>
OJ
"'0
<:
3
a.. 0 2 4 6 8 10

Dispersion curves
(C) AI(O.965)
6

3
0
Frequency (MHz)

Fig. 8 Dispersion curves for two bonded aluminium plates : (a) and (b) with slightly
different elastic properties of the adhesive layer, (c) totaly disbonded (after A.K.
MAL et aI 7 ). The thicknesses of the two aluminium plates are: 0.965 mm and the
adhesive layer: 0.127 mm

Fig. 9 V(z) and FFT curves for a plate of stainless steel showing the different Lamb modes
(thickness is 70 j.J.m, frequency 130 MHz).

615
REFERENCES
1. J. KUSHIBIKI and N. CHUBACHI, Material characterization by line-focus beam
acoustic microscope, IEEE Trans SU32 : 189 (1985).
2. K. LIANG, S.D. BENNETT, B.K. KHURI-YAKUB and G.S. KINO, Precise Phase
Measurements with the Acoustic Microscope, IEEE Trans SU32 : 266 (1985).
3. K. LIANG, G.S. KINO and B.T. KHURI-YAKUB, Material characterization by the
Inversion of V(z), IEEE Trans SU32 : 213 (1985).
4. J.M.R. WEAVER, M.B. SOMEKH, A.D. BRIGGS, S.D. PECK and IlETT, Applications of the
Scanning Reflection Acoustic Microscope to the Study of Materials Science, IEEE Trans
SU32 : 189 (1985).
5. Z. HADJOUB, A. DOGHMANE, R. CAPLAIN, J.M. SAUREl and J. ATTAl, Acoustic
Microscopy investigations of non planar surfaces, Elect. Lett. 27 : 537 (1991).
6. Z. HADJOUB, K. ALAMI, A. DOGHMANE, J.M. SAUREl and J. ATTAl, Acoustic
Microscopy, skimming modes generation using small aperture lenses, Elect. Leu.
(accepted).
7. E. DIEUlESAINT and D. ROYER i.o. Ondes Elastiques dans les solides ed : Masson et Cie :
187 (1974).
8. A.K. MAL, P.C. XU and Y. BAR-COHEN, Analysis of Leaky Lamb waves in bonded plates,
Int. J. Enging. SU 27 : 779 (1989).
9. A. PILARSKI and J.L. ROSE, A transverse-wave ultrasonic oblique-incidence technique
for interfacial weakness detection in adhesive bond. J. Appl. Phys. 63 : 300 (1988).
10. J. ATTAl, A. SAIED, J.M. SAUREL and C.C. lY, Acoustic Microscopy: deep focusing
inside materials in. Acoustical Imaging (Plenum Press), vol. 17 : 121 (1988).

616
 IIVERSIOI OF V(z) DATA II THE SCAlNIIG ACOUSTIC MICROSCOPE (SAM)

TO DETERMINE MATERIAL PROPERTIES OF A LAYERED SOLID *

ZUliang Yu, Siegfried Boseck

Physics Department, University of Bremen

P.O. Box 33 04 40, 2800 Bremen 33, F.R. Germany

ABSTRACT
A systematic inversion scheme is proposed for the characterization of the material pro-
perties of a layered solid from measured V(z) data by SAM. The approach is based on the
perturbation of V(z) function and two iterative proceduces: the well-known damped least-
squares [DLSj method and the pseudo- second-derivative [PSDj method. By using these
methods, we have successfully obtained the inversion solutions of V(z) inversion problem
from the theoretical simulation test and from a practical measured V(z) data. Furthermore,
the generalized inverse approach is also applied to V(z) problem in order to provide the
designer with some useful means for evaluation in the inversion course.

1 FORMULATIOI OF THE PROBLEM

Information about the properties of material in SAM can be obtained in the form of V(z)
function. At present, the V(z) effect is well-understood phenomenon, and various models (
the "direct problem" ) have been put forth to explain how it is related to acoustic material
properties. On the other hand, the problem of determining the structure properties of a
tested specimen associated with a given V(z) data by SAM ( "inverse problem" ) was so far
rarely discussed in the V(z) literature. In the layered solid case, V(z) inversion problem can
be stated as follows: For a layered solid with known material properties of the solid and some
layers, the thickness dl , density PI> P-wave velocity OJ, and S-wave velocity /31 of lth layer are
unknown. For a given set of V(z) data measured by SAM at specified frequency w, determine
the unknown model parameters dj, PI, OJ, /31 of the lth layer. The subscript I in what follows
we shall omit for brevity.
Let V(z,w, Yo; X) denote a data vector in the V-z space with m components, where Yo
is a known parameter vector, and X is an unknown parameter vector in the model space with
n components. V are each functionally related to the X in a known way
(1)
·Pa.rt of the Doctor Thesis Z. Yu.

Acouslicallmaging, Volume 19
Editedoy H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 617
 If the functions Ai(Zj) are linear in zj, we may write the problem in matrix form
V=AX (2)
If the functions Ai(Xj) are not strictly linear, but vary smoothly enough, they can be
linearized using Taylor expression and ignoring second and higher order terms, about some
initial parameter vector Xo. Doing so we get a linear equation
~V=A~X (3)
where ~V is a residual data vector, ~X is a parameter change vector, and A is an m X n
matrix with elements Ai; = ~Ixo. For simplicity, we shall proceed using the notation of
J
equation (2) at any stage of the calculations for a system, with the substitutions of ~V for
V, ~X for X. Because of the non-linearity of the V(z) problem the coefficient matrix A in
(2) is a function of the model vector X, and the problem (2) must be solved iteratively. The
residual vector is linearized about the current iterate.

2 IXVERSION THEORY
2.1 Damped Least-Squares Method OOLS]

The least-squares solution of (2) satisfies the normal equation

ATAX=ATV (4)

and a solution is
(5)
Equation (4) must be solved in each iteration step in order to get the new starting vector
X(k+1) = X(k) + X.
Troubles arise from the computation of the inverse of AT A . Instabilities occur when the
matrix A is ill conditioned. Levenberg (1944) and later Marquardt (1963) showed that the
above instability could be controlled by modifying the normal equation (4) by
(6)
where A is the damping factor, and I is the identity matrix. An estimate of the model
parameter change vector is
(7)
The damping factor A must primarily be chosen in such a way that the convergence is satisfied
S(X(k+l» < S(X(k» (8)
where S(X) = VTV is the residual sum of squares.

2.2 Pseudo-Second-Derivative Method [PSD]

In the standard Levenberg-Marquardt technique for non-linear least- squares [DLS] a
same damping factor A is applied to all components of the solution vector X. In this way, the
least linear variable limits the iterative step of all the others. In practice, however, this does
not have to be so. It is best that each independent variable has a step depending also on its
linearity: if a variable is less linear than the others its step will be reduced without limiting
the others. The result is that a more rapid convergence can be achieved in the inversion
course. Dilworth (1978) proposed the pseudo-second-derivative method, which modified the
normal equation to the below form

(9)

618
where B is a diagonal matrix with elements

and (10)

where 11, are the residual data errors. The second homogeneous derivatives 1J2f),/IJ:z:j are
added to the principal diagonal elements of the resolution system matrix in order to im-
prove convergence, and the mixed derivatives are not included owing to the considerable
computation effort involved. An estimate X is given by
(11)

2.3 Matriz DeComposition and Generalized Inverse

The problem (2) can be also approached according to the matrix decomposition and
generalized inverse method. Following LanCZ08 (1961), a matrix A can be factored into the
product
(12)
A is the diagonal matrix having as diagonal elements the q ordered largest common non-
zero eigenvalues of AT A and AAT. The columns of W are the corresponding q nth order
eigenvectors of AT A , while U is similarly constructed using the corresponding q mth order
eigenvectors of AAT. The generalized inverse of matrix A, following Jackson (1972), is

(13)

where A-I is the inverse of the diagonal matrix A. An unique estimate X can be computed
X = HV == WA- 1 U T V (14)

Corresponding to DLS and PSD methods, the matrix decomposition expressions can be
given

(15)

and

(16)

Combining equations (2) and (14) we get X = HAX == RX, R=HA is called the
resolution matrix. In a similar way, left multiplying (l4) by A we get V = AHV == SV,
S=AH is the information matrix. R and S matrices can provide the interpreter with very
important and useful means for evaluations of the results in the inversion course. Therefore,
the generalized inverse method, though requiring more computational labour, can give more
information about the inversion course.

3 IUMERICAL RESULTS

A computer program for the inversion scheme described above has been developed. The
dominating feature of the program is its flexibility, and it can be used in either of two basic
operational modes: a direct iterative DLS and PSD inversion modes, and a generalized in-
verse mode. The inversion program was first tested by means of PSD method for processing
a simulated V(z)-data from theoretical calculation with a known parameter set of a single
layered half-space. The model is a chromium (layer) / stainless-steel (half-space) with struc-
ture properties given in Table 1. The starting parameter set of the chromium layer differs
from the actual set by a relative error of 50% for two of the four parameters. The V(z) curves

619
 Table 1. Iteration solutions of the V(z) data by the PSD and DLS methods

i
tI"
(I'm)
PIt
(g/cc)
a"
(11m/a)
{J"
(im/a)
IlMS
(dBl
Model panmeter set:
water 1.0000 1.5090 0.0000
chromium 3.0000 7.0000 6.6080 4.0050
steel 7.9000 5.9800 3.2970
Iterative results of
chromium:
starting values 0 4.5000 4.0000 5.5000 4.1000 0.3741
PSD solution: 15 2.9995 6.9930 6.6119 4.0045 0.0001
DLS solution: 15 2.6268 7.5855 5.8787 4.1992 0.0596
30 2.9812 7.0688 6.5824 4.0074 0.0018

for the two sets of parameters are shown in Fig.1. The selection of the damping factor ~
was as follows: starting from a very low value ( actually 0.05 ) we solve the system. If root-
mean-square (RMS) of the residual data errors decreases we take the step as good, whereas if
RMS increases we double ~ until IlMS decreases. After 15 iterations the final solution, which
coincides with actual model up to four significant digits (see Table 1), illustrated also in Fig.l
was obtained. Fig.l and Table 1 display that the final solution is very well in correspondence
with the exact; set.

-2 +I--->-----+I---+---_+_
-20 -10 o
Ztllm)

Figure 1. V(z) curves obtained from calculations with the actual parameter set (solid line)
and the starting parameter set (dotted line) and from inversions with PSD (solid line) and
DLS (dashed line) methods.

Next in order to illustrate the differences between the PSD and DLS methods, we have
also used the DLS method to solve the same problem. After 15 iterations, the final solution
(see Table 1: k=15) illustrated also in Fig.1 was obtained. The accuracy of the solution can
be improved through further iterations ( see Table 1: k=30 ). The effectiveness of the two
methods is shown in Fig.2, in which the value of log(RMS) is plotted against the number of
iterations. By comparison, it is apparent that the PSD method converges much more rapidly
than the DLS method. In the PSD method the presence of the second derivatives in the
resolutive system ensures that each independent variable has a step depending also on its
linearity. In the inversion problem of V(z)-data the matrix B elements ( see Eq.10 ) differ
considerably from each other, 80 that the convergence with the PSD method is much more
rapid than the case with the DLS method.

620
 1:( ... -........ .
...........-............•...
.........
.
~.

-8

-10 +-_---+-_---+_---l>--_--+-_~---.­
o 10 15 20 25 30
Number of the iterations ~

Figure 2. Comparison of the rates of convergence of PSD (solid line) and DLS (dashed line)
methods.

.j
-10

>

-20

- 200 -100
Z (um)

Figure 3. Measured V(z) eurve for an aluminium (layer) I epoxy (substrate) with frequency
of 0.2 GHz.

Table 2. Inversion of measured V(z) data

d p a [J RMS
(11 m ) (glee) (kmls) (kmls) (dB)
Water 1.0000 1.4980 0.0000
Epoxy 1.2000 2.2000 1.1000
Aluminium:
upper borders 20.0000 8.0000 8.0000 4.0000
lower borders 5.0000 2.0000 4.0000 2.0000
trial grids 3 3 3 3
solution 9.3315 2.7051 6.3187 3.1403 0.0840

621
 Finally, an example of the inversion of a set of measured V(z)-data is presented. The
measured curve obtained by Olympus SAM is given in Fig.3. The specimen is an aluminium
(layer) /epoxy (substrate). The properties of the water and the epoxy are given in Table
2. The thickneu and the properties of the aluminium are to be determined. First, the
sharp perturbation of the measured data is smoothed by use of filtering method, an inproper
measured zone was removed by comparison of the repetitive measured data, we have then
obtained the inversion solution ( see Table 2) by means of PSD method. The actual thickness
d of Aluminium is 10.0 JIm with 10% .error. The solution values of aluminium properties are
in the area of the published values. The corresponding V(z) curve is shown in Fig.4. It is
apparent that the result is satisfactory.

-10

"
>
-20

-200 -100
Z(j.lml-

Figure 4. V(z) curve obtained from inversion with measured data in terms of the PSD
method.

4 COIICLUSIOIIS

Based on the examples shown here we are sure that the presented iterative procedures in
this paper are able to produce the layered structure models, and to characterize their elastic
properties from the measured V(z) data by SAM. The iterative process involved is quite
stable. By comparison, the PSD method converges much more rapidly than the DLS method
when great nonlinearities are present as is the case in the V(z) problem. These techniques
can be also generalized to find the multilayered model structure parameters and to utilize for
determining the cohesive properties of a bonding plate.

References

Dilworth. D. C.• 1978. Appl. Opt. 17: 3372-3375.

Jackson, D. D., 1972, Geophys. J. R. astr. Soc. 28: 97-109.
Lanczos, C., 1961, Linear differential operators, D. Van Nostrand, London.
Levenberg, G., 1944, Quart. Appl. Math. 2: 164-168.
Marquardt. D. W.• 1963, J. Soc. Indus. Appl. Math. 11: 431-441.

622
 DESCRIPTION OF ELASTIC DISCONTINUITIES WITH

THE SCANNING ACOUSTIC MICROSCOPE

X.Q. Shen* and S. Boseck

Department of Physics, University of Bremen

2800 Bremen 33
W.Germany

ABSTRACT

A structure related optical transfer function of an acoustic reflection scanning microscope (SAM) is
experimentally determined by an ultrathin wire of metal and straight edges of different. metal materials.
Several types of elastic discontinuities of bulk specimen are analysed by the characteristic distribution
of their amplitudes and phases in the Fourier domain.

IMAGE FORMATION

An amplitude contrast formation without phase shift can be obtained near the focus. The focus point
is adjusted on the surface of the specimen and the SAM system scans the object from point to point.
The SAM provides firstly in this wayan incoherent image and the image is the convolution between
the intensity of object and the impulse response function. With the increasing of defocus the diameter
of the sound spot on the specimen surface is extended. For one point image the concentric spherical
ultrasonic longitudinal reflection wave is coherent. The image therefore secondly becomes a square of
the convolution between complex amplitude of the object and point spread function. The image for-
mation procedure in both cases is different. The image intensity transform in the incoherent case is
linear, but in the coherent case is principally nonlinear. For the images by defocus the coherent effect
(Halo effect) will be coupled with the complex amplitude contrast produced by acoustic impedances of
object materials in the surface. A phase contrast formation can be observed, when a thin 2d edge of two
materials is imaged by the defocus. The image formation depends on the interference of the reflection
wave of the different parts in the surface. The V(z) contrast is caused by Rayleigh surface wave of the
materials created in the uppermost layer of the specimen if the incidence angle of the ultrasonic wave
is larger than the Rayleigh angle. With the V(z) effect the system is highly nonlinear with respect to
materials. For our investigations the Rayleigh-surface wave of the materials is suppressed by using a
small aperture acoustic objective and we estimate approximately the SAM as a linear imaging system.

DETERMINATION OF TRANSFER FUNCTION OF A SAM

The transfer function of a SAM depending on the defocus is experimentally determined. With the
help of a thin 2d edge composed of two materials and some bulk edges of different metals the profile
signals of a SAM by the defocus are measured. These specimen are used to determine the transfer
function for the different imaging conditions and the material dependence. The flat of the edge surface
is prepared with the accuracy of 1 p.m. The specimen contain continously all the spatial frequency. At
these dimensions the condition of Shannon's sampling theorem corresponding to the resolution limit of
the SAM is fulfilled. A thin wire with the diameter of d < 5pm is used approximately as a line mass
function in our experiment.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 623
If the thin wire is thin enough in relation to the resolution of a SAM, the output measurement of the
thin wire can be approached as a line spread function I(x). The line spread function can be described
by using the impulse response function hex, y).

J
00

I(x)=t5(x)®h(x,y) = h(x,{3)d{3
-00

The Fourier transform is performed for the linear spread function

J
00

I(€) = F{ hex, (3)d{3} = H(€, 0)

-00

The one dimensional Fourier transform of the line spread function is equal to a section of a two dimensio-
nal transfer function H(€, 0). In this way the transfer function can be determined without the knowledge
of the impulse response. Practically it is impossible to determine directly the impulse response of the
system and it is also difficult to determine exactly the line response function. A line response function
can be obtained by a step function step(x'). The step response or edge response e(x') can be described
as

e(x') = I(x') ® step(x') = J'"

-00
I(o:')do:'

and
d
I(x') = -e(x')
dx'
The above equations show that the line response function is the derivation of the edge response function.
The edge measuring method has a high sensitivity and the preparation of the specimen is relatively easy.
Two kinds of the edges are used in the experiment to determine separately the transfer functions in
the case of using a 2d specimen and in the case of using a bulk specimen. The edge response is
derived and Fourier transformed. The transfer function of a SAM is described by modulation transfer
function(MTF) and phase transfer function(PTF) i.e. OTF = MTF· exp(jPTF) Some experiments
are made as follows:
1) A 2d edge composed of a carbon layer ( 60nm ) on glass
is measured. The resultant phase contrast forma-
PROfiLE OF EDGE tion is obtained. As for near the focus the sy-
stem provides an incoherent illumination from spot
z - +5 ....
to spot. The profiles of the edge are almost free
I-OOwn of structure. With the increasing of defocus the
extended sound spot reflects interferential longitu-
I • -5 UM
dinal waves from the two parts of the materials.
I - -to wn
The over- and underswinging of the edge profile is
emerged and the pase edge is visible. The edge re-
I · -" .... sponse function is somehow like the behaviour of
I - -20 UIII
a weak transparent edge in the optical imaging sy-
stem. The corresponding transfer function includes
1 - -B_ mainly the phase changes.

-~
I--.JD .... 2) A bulk edge of the metal is used to determine
the transfer function of a thick specimen. The cur-
I · - .....
ves near the focus provide a well defined profiles of
the edge and the image has the amplitude contrast.
With the increasing of the defocus the diameter of
the sound spot on the specimen surface becomes
extended and the SAM provides a coherent point
(- ) image. The contrast meanwhile will be overlayed
additively by the phase contrast (Fig.I). Beyond
Fig.1 The bulk edge profiles of z = -iOpm. the profiles of the output measurement
a defocus series of steel have a slowly varied sinusoid oscillation with a fast
attenuation. The profiles are more like the beha-
viour of a high contrast edge in optical imaging system. The profile curves are asymmetrical. The

624
 ~asy Defocus -10 ~ Defocus = -10
S)fII
'.2 240 1.2

1.0 .eo '.0 ------ 0

/ I '20 -30
0.8 / o.a
I eo -eo
t.... 0.1 t.... t.... 0." lL.
I--
I--
::::;; 0.'
I--
a... I--
::::;; 0.'
-110
a...
-eo -'20
0.2
-'20
0.2
-'50
0.0 -.ao 0.0 -.ao
-0.2 -240 -<>.2 -210
0.0 0.' 0.2 0.3 0.' 0.0 D•• 0.2 0.3 d.'

Spatial frequency (cycles/um) Spatial frequency (cycles/um)

~ Defocus = -10 ~ Defocus = -10

'.2 '.2

1.0 --------- 1.0 0

-30 -30
0.8 0..
-00 -eo t....
lL. D." L..... t.... 0."
I--
::::;;
-to I--
a... I--
::::;; -eo I--
a...
d.'
-.20 0.'
-120
0.2
-'50 0.2
-'50
0.0 -.ao 0.0 - - - -- -.ao
-0.2 -210 -<>.2 -2'0
0.0 A.' 0.2 0.3 0.' 0.0 0.1 0.2 0.3 0.'

Spatial frequency (cycles/um) Spatial frequency (cycles/um)

~
asy
Defocus = -20 ~5Yl1IDefocus = -20
'.2 240 1.2

1.0 .ao 1.0 0

r _I 120 -30
0.1 0.1
I I
eo L..... L..... 0."
-10
lL.
L..... 0." I
I-- I 0 I--
a... I-- -eo Ii:
::::;; a.' :::::;;
I -00
0.'
-'20
0.2 0.2 -ISO
-120
0.0 -.10 0.0 -'80
-0.2 -240 -<>.2 -2.0
0.0 0.' 0.2 0.3 D.' 0.0 0.' 0.2 0.3 0.4

Spatial frequency (cycles/um) Spatial frequency (cycle./um)

~ Defocus = -20 ~ Defocus -20

1.2

'.0
0
1.2

'.0
,, ;; ~
I II
0

-30 I -30
0.1 o.a I I
-10
L..... L..... 0.'
I -10
u..
L..... D." ~
I-- -10 I--
a... ~ \
-to
Ii:
:::::;; 0.0
-.20 0.0
\ -\20
0.2 -.SO
0.2
II -'50
0.0 - - - -- -,80 0.0 -'80
-0.2 -210 .....2 -2'0
0.0 0.1 0.2 0.3 0.0 0.0 A.. D.2 D.l 0.4

Spatial frequency (cycles/um) Spatial frequency (cycles/um)

Fig.2 MTF (solid line) and PTF (dotted line) of three elastic
discontinuities with the same meterial and of numerical
symmetry and asymmetry.

625
overswinging effect on the side of the metal is visible. The underswinging at the opposite side can not
be recognized because of the water absorption. In order to avoid the water absorption on the deep
side of the edge and the intensity centre deviation caused by the coherent effects the profile signal is
numerically symmetrized and centred at the spot which indicates the edge. Fig.l shows the profile
curves of a bulk edge of a defocus series. The transfer function in this case becomes real and the phase
shifts about 180° and 0°. The transfer function with and without the consideration of the nonlinear
effects of the water absorption is shown in the Fig.2.
3)The material dependence of transfer function for a bulk specimen without the Rayleigh surface wave
is investigated. Some sharp edges of different materials of a SAM under same imaging condition are
measured. The materials include steel, gold, copper, braze and aluminium with different elastic proper-
ties. The results show that the transfer function does not depend on the materials but on the wavelength
of the ultrasonic signal, the defocus and the pupil function of the imaging system.
4)In order to support the consideration of edge measuring method the following experiment was made:
A thin wire of tungsten with a diameter d S; 5j.Jm is used approximately as a line function at the sound
frequency of 0.4 GHz. The thin wire situated in water is put in the centre of the concentric spherical
wave. The reflected wave of a thin wire is principally symmetrical. The signal to noise ratio (SjN)
is high from the defocus z = OJ.Jm to about z = -15j.Jm, but the SjN is reduced beyond z = -20j.Jm
because the most acoustic energy is absorbed by the water and the reflected wave becomes weak. It is
in agreement with the impulse response derived from a bulk edge. The profile signal of the thin wire
approximately as a line response function is directly Fourier transformed. The MTF of the high spatial
frequency is attenuated as the thin wire can not be approached as a line 6 function. The PTF is about
180° and 0° and this means that transfer function for 3d specimen is essentially a real function.

ELASTIC DISCONTINUITIES

The elastic discontinuities can be determined by using Fourier transform method. The Fourier spectrum
of an acoustic micrograph is the object spectrum distribution modulated with the transfer function of
a SAM. It describes a product between the Fourier characteristics of an elastic discontinuity and the
transfer function of the system. If the test object approaches to a 6 function, the transfer function of
a SAM will be directly read out in the Fourier domain. With the knowledge of the transfer function
three types of elastic discontinuities under the same imaging condition are investigated see Fig. 2. A
sharp edge (+15°) and a smooth edge (-15°) of steel (Rayleigh wave suppressed) are measured. The
image spectra of slanting edges at the focus position have nearly the same spectrum as a straight edge.
With the increasing of the defocus the interaction of the incident wave upon the slanting and straight
edge is changed and the interference of the reflected wave is also altered. The results show the distinct
differences at defocus positions from z = -5j.Jm to z = -20j.Jm. If the defocus is more than z = -25j.Jm
because of a low SjN the spectra oscillate and the differences are inferior because of the limitation of the
transparent depth of acoustic wave and the low SjN. The experiments show that the incident semiangle
of a SAM must be greater than the slanting angle of a slanting edge.

CONCLUSION

The contrast formation of a SAM has been analysed. The transfer function of a SAM for a phase
contrast object can be determined by a thin edge. The transfer function of a thick specimen is de-
termined by a bulk edge function. The results show that the transfer function does not depend on
the material but on the wavelengh of the ultrasonic signal, the defocus and the pupil function of the
imaging system. This is of interest for the image processing and the reconstruction of elastic disconti-
nuities under a certain defocus. With the Fourier method the elastic discontinuities can be distinguished.

REFERENCES

(1] H.B/ock, S.Boseck, G.Heygster Optik 86(1990)27-37

[2] H.B/ock, G.Heygster, S.Boseck Optik 82(1989)147-154

*) Part of dissertation.

626
 ACOUSTIC PARAMETER MAPPING OF LAYERED MATERIALS

USING A LAMB WAVE LENS

A. Atalar, 1. Degertekin and H. Koymen

Electrical and Electronics Engineering Department

Bilkent University, Bilkent, Ankara, Turkey 06533

ABSTRACT
Lamb wave lens is a new acoustic microscope lens suitable for imaging layered structures.
With properly adjusted frequency it excites a single mode in such solids. Measuring the
return signal as a function of frequency results in a material specific V(f) curve showing the
excited modes as peaks. The peak frequencies are very sensitive to layer properties. It is
possible to map the peak frequency at every point in the form of an image. The obtained
peak frequency image is a direct mapping of material parameters. In this paper, we describe
this new imaging method for the layered structures using the Lamb wave lens. We show
that imaging system can identify and image slippery interfaces. Theoretical and experimental
results are presented.

I. INTRODUCTION
Scanning acoustic microscope can characterize materials quantitatively [1] with ability to
measure adhesion properties [2], elastic constants [3], plastic deformations [4] and piezoelectric
performance [5]. However, in many cases, interpretation of conventional acoustic images is
not straightforward. For example, subsurface images of layered solids are typically cluttered
by the presence of many simultaneous modes in the object. The Lamb wave lens, introduced
earlier [6], can be used as the lens of an acoustic microscope to obtain subsurface images in
such solids with emphasized sensitivity for selected layers. As opposed to the conventional
spherical acoustic microscope lens which excites acoustic waves at all incidence angles on the
object surface-hence, generating all possible waves in the layered structure, the Lamb wave
lens excites acoustic waves with a fixed incidence angle and can generate only one mode. With
only one mode present, the obtained images are easy to interpret. Since the critical angle of
a layered material depends on frequency, it is possible to selectively excite the leaky modes
by matching the fixed incidence angle with the corresponding critical angle at a particular
frequency. If the received signal amplitude, V, is recorded as a function of varying frequency,
f, one obtains a unique V(f) curve [7] which is highly dependent on elastic parameters of
the layer, of the substrate and the quality of the bonding. The relation between the material
properties and the V(f) curve can be expressed analytically. By a suitable mapping, the
elastic parameters can be obtained from V(f). The repetition of this procedure at every
image point yields a parameter image of the object subsurface. Note that, while a conventional
V(Z) measurement requires a mechanical scanning in Z direction, V(f) measurement can be
accomplished without any movement and hence can be done very fast.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 627
 ·i-- a--i.
r--f===::!:::~:===:::::illt:::::::;--Transducer .--_~_-.

Lens rod
f

__-""T" Blocked

Matching
dl-r---~
Layer
V(f)
d 2 A::j~~
Liquid
Layer
Subsllate ~FOCUS
!
4_---;1= I
Figure 1. Geometry of the Lamb wave lens and Imaging System
In this paper, we first summarize the theoretical analysis of the V(J) characterization
technique. We give an expression which relates the signal output to the object, and to the
parameters of the lens. We describe the Lamb wave lens imaging system which scans the
layered material while detecting the maximum of V(f) at every pixel. We present images of
some layered materials obtained with this system.

II. LAMB WAVE LENS RESPONSE

Focused Rayleigh-like waves or focused generalized Lamb waves can be generated by the Lamb
wave lens shown in Fig. 1. The spherical cavity of the conventional lens is replaced by a conical
recess. The incidence angle of generated conical waves is chosen to be a critical excitation
angle for a mode of Lamb waves, and almost all the energy is converted to a leaky Lamb wave
mode. The excited evanescent Lamb waves converge and focus at the intersection of the cone
axis with the object surface. The amplitude of the signal received at the transducer can be
found by an application of the angular spectrum technique [7]. Referring to Fig. 1, we write
the angular spectrum, U{, due to transducer of radius a at z = 1 as

where k." ky and kz are the components of the kl (wavevector in the lens rod) vector in x,
z
y and directions. The scalar potential, ut,
at the same plane can be found by the inverse
Fourier Transform of U{. Limited aperture of the conical surface makes the field distribution
between R1 and R2 significant. We use the ray theory to find the field at the surface of the
conical refractor surface. The field at the plane 3, ut,
is approximately

with r' = (r + R 2 tanth tan(th - 82 ))/(1 + tan 81 tan(81 - 82 )), k1 sin 81 = k2 sin 82 , and
d1 = (r' - Rt} tan 81 and d2 = (R2 - r') tan81 / cos(81 - 82 ), Here, k2 is the wavenumber in
the liquid medium. The reflected angular spectrum at the same plane, Ui, is given by

628
where ut( kx, ky) = F {ut( x, y)} and R is the reflection coefficient of the object. Reflection
coefficient for a liquid-layered-solid interface can be calculated easily [8]. It is also possible
to evaluate [7] the reflection coefficient at a similar interface with a slippery bond (disbond)
between the layer and the substrate. Since the problem has circular symmetry, the voltage
output, V, of the transducer due to reflected field can be found from

where kr = (k; + k~)(1/2) is the radial, k~ is the z component of k2.

III. V (I) CURVES

The output signal, V, of the Lamb wave lens reaches a maximum at the frequency where the
angle of incidence matches a Lamb wave mode critical angle. As the frequency is scanned,
a characteristic V(f) curve is traced where the peaks signify the existence of modes. The
V(f) curve is highly dependent on the phase transitions of the reflection coefficient. Since,
any perturbation of elastic or physical parameters such as the thickness, density or elastic
constants of the layer causes a shift in the position of the phase transitions, a shift in the
positions of V(f) peaks is also expected.
Inversion of V( Z) of the conventional acoustic microscope results in the information
about the critical angles of the object. To be able to perform this inversion operation, the
phase of the received signal must be available in addition to the amplitude. On the other
hand, the critical angle information is directly obtained from the V(f) curves without a need
for inversion. The positions of the V(f) peaks, which correspond to critical angles for Lamb
wave modes, are most affected by the nature of the bond (good / disbond / delamination)
and by the shear elastic constant and density of the layer.
The sensitivity of V(f) to the bond strength at the interface in a layered material is
investigated by using a Lamb wave lens working at 5-9 MHz frequency range in a scanning
setup. The samples are made of copper layers on steel substrate. Copper layer is deposited
onto steel by means of electroplating. It is a well known industrial practice to use copper
cyanide solution initially in the plating process, and then the regular copper sulfate solution,
to ensure a strong bond between the deposited layer and the steel substrate [9]. Well defined
areas with poor bonding strength are produced at the interface by making use of this process.
After cleaning the substrate, the areas at which adhesion is to be avoided are masked and then
the material is plated in copper cyanide solution. Later, mask is removed from it and plating
is resumed in copper sulfate solution. The samples are plated to a thickness of approximately
650 microns, and then surface ground to the required level.
In Fig. 2, the calculated V(f) curves are compared with measured ones. It depicts the
V(f) variation for three possible interface types. The V(f) measurements made at two spots
on a sample with 0.6 mm thick copper layer, one, where the bond is good and the other where
a poor bond is induced. The comparison of experimental results with theoretical curves shows
that the poor bond is actually a slippery bond. In Fig. 3, a similar comparison is presented
for a different sample. In this case, the induced poor bond is a delamination where an air
pocket exists between the layer and the substrate. In both samples, no indication of bond
quality is apparent optically. The good agreement between calculated curves and experiments
implies that the technique provides precise measurements.

IV. PEAK FREQUENCY IMAGES

Information contained in V(f) cannot easily be summarized in an image. Spectral shape
of V(f) is determined by the reflection coefficient at the interface, and is therefore directly
related to the type of bond at that location. Mapping one of the sensitive features in V(f) as
a function of position will reveal images of mechanical properties of the interface.

629
 3.0
- - Good Bond
....... Slippery Bond
------ DelaITIinated Bond
o Exp. (good bond)
• Exp. (slippery b.)

2.0

...-..
.....
">

1.0
0

0.0
4.0 6.0 8.0 10.0 12.0

f (MHz)

Figure 2. Calculated and measured V(f) curves for a good bond and a disbond (slippery
boundary) (0.6 mm Cu layer on steel). In calculations, for Cu Cll = 2.24ell, C44 = 4.6e10
and p = 8930; for steel Cll = 2.74ell, C44 = 8.0ge10 and p = 7900 in MKS units.

One way of displaying part of this information is to plot the amplitude of the received
signal for every pixel with fixed frequency excitation. If the frequency of excitation is chosen
such that the amplitude difference between different types of bond is maximized, such as
7.9 MHz in the case of Fig. 2, the resulting image will display the regions of different bond
strength successfully. Fig. 4.a depicts the amplitude image of the sample described in Fig. 2.
The induced region of disbond is a 1 cm by 1 cm square and its boundary is clearly identified.
The most significant morphological change in V(f) is the shift in the frequency of the
maximum of a particular mode. In the frequency range of interest there is a maximum at
8.1 MHz for an interface with a good bond, while the maximum of the same mode is shifted
to 9.7 MHz in a region of disbond (Fig. 2). Hence the frequency of the peak value is a good
differentiator of bond quality. At every image point, the frequency of excitation is swept and
a local maximum of the received signal around 8 MHz is searched. Then a "peak frequency
image" (PFI) is formed by plotting the spatial distribution of these frequencies. The PFI
of the same sample is given again in Fig. 4.b. It can be observed that in the center of the
disbond region the peak frequency is stabilized.

CONCLUSIONS
The Lamb wave lens can easily identify bonding problems in laminated structures. Moreover,
it can differentiate the nature of the problem in the bond. This differentiation is established
by a swept frequency measurement technique, V(f). Imaging of such interfaces can either be
made at a fixed frequency or by mapping the frequency of maximum response in the form

630
 8.0
- - Good Bond
....... Slippery Bond
------ DelaIllinated Bond
"Exp. (good bond)
• Exp . (delaIllinated b.) ..
r ....
6.0
I. \
[ i
1
.!
\\ :
• I \ :"

;- 4.0 •
!I \fi
I •
. i .f\
. I! ./ \
. .
f \
""
I

"
i! f
! '\
2.0 ": i \
f:J i \
I [J : \
I D
"
!
: 'b
C \
\
Or::b0 \
....... \ '.
'- --,-/,.....::...,<.
0.0
4.0 6.0 8.0 1 0.0 12 .0

f (MHz)

Figure 3. Calculated and measured V(J) curves for a good bond and a delamination (0.5 mm
Cu on steel).

a b

Figure 4. a. Amplitude image of 0.6 mm Cu layer on steel at 7.9 MHz, b. Peak frequency
image of the same region. Peak frequencies are mapped to gray levels with 0.1 MHz intervals:
Darkest 7.8 MHz, brightest 8.6 MHz. (width of images are 2 cm)

631
of a PFI. For fixed frequency imaging the operating frequency must be properly selected for
maximum contrast. Moreover, since a contrast inversion is possible with varying frequency,
care must be exercised in interpretation. PFI is in general more successful and less confusing
for delineating the regions of differing bond strength. Used as an alternative lens for scan-
ning acoustic microscope, the Lamb wave lens can complement the existing capability of the
microscope for quantitative characterization.

References
[1] B.T. Khuri-Yakub, P. Reinholdtsen, C-H. Chou, P. Parent, and C. Cinbi§ "Amplitude and
phase acoustic microscopy and its application to QNDE," in H. Shimizu, N. Chubachi,
and J. Kushibiki, eds., Acoustical Imaging, volume 17. Plenum Press, 1988.

[2] R.D. Weglein "A study of adhesion by acoustic microscope," in Pmc. of IEEE 1987
Ultrasonics Symposium, pp. 823-826, 1987.
[3] G.M. Crean, A. Golanski, and J.C. Oberlin "Effective elastic constants of thin-film
tungsten-silicide from surface acoustic wave analysis," Appl. Phys. Lett., vol. 50, pp.
74-76, 1987.
[4] I. Ishikawa, T. Senba, H. Kanda, K. Katakura, Y. Tani, and H. Sato "Experimental
observation of plastic deformation areas, using an acoustic microscope," IEEE Trans.
Sonics Ultrason., vol. 36, pp. 258-263, 1989.
(5] R.G. Mayev, O.V. Kolosov, K.A. Atayev, and V.M. Levin "The investigation of local
piezoelectric properties of piezoelectric transducers by acoustic microscopy," in Proc. of
IEEE 1988 Ultrasonics Symposium, pp. 775-777, 1988.
[6] A. Atalar and H. K5ymen "A high efficiency Lamb wave lens for subsurface imaging," in
Proc. of IEEE 1989 Ultrasonics Symposium, pp. 813-816, 1989.
[7] A. Atalar, H. K5ymen, and 1. Degertekin "Characterization of layered materials by the
Lamb wave lens," in Proc. of 1990 Ultrasonics Symposium, 1990.

(8] D.B. Bogy and S.M. Gracewski "Reflection coefficient for plane waves in a fluid incident
on a layered elastic half-space," J. Appl. Mech., vol. 50, pp. 405-414, 1983.

[9] F .A. Lowerheim "Electroplating," in Kirk-Othmer Encyclopedia of Chemical Technology,

volume 8, pp. 826-869. 3. edition, 1979.

632
THICKNESS MEASUREMENT OF PASSIVATED METALLIZATION
LAYERS BY SAW DISPERSION

Jens Krause, Bernhard Schwierzi

universitat Hannover
Institut fur Halbleitertechnologie
0-3000 Hannover 1, Appelstr. lla

INTRODUCTION
One important field of application for acoustic microscopy
is the characterization of layers in semiconductor technology.
Thickness measurement is possible from opaque layers in a non-
destructive way without the need of edges. The measurements
require a pad of 40·40 ~m2. This leads to a spatial resolution
of the same magnitude. In search for further applications it
seemed to be of big interest for technology to try the expan-
sion of this method on buried layers.

THEORY
Using the V(z)-option of a commercial available acoustic-
microscope, we interpreted the SAW-speed obtained from the
periodicity of the recorded curves for thickness measurements.
In this way we avoided numerical problems in comparsion with
the calculation of a reflection function from the V(z)-curve 1 •
Layer thickness measurement by SAW speed dispersion
requires the theoretical prediction of a wave speed vs. layer
thickness relation in the appropriate thickness range for a
given sound frequency.
In the case of one thin layer on a semi-infinite solid it is
possible to modify the Raleigh solution for surface wave propa-
gation with boundary conditions including the influence of the
thin layer. These calculations result in a second- or fourth-
order.polrnom giving the desired SAW speed vs. layer thickness
relatl.on •
When the layer to be analysed is buried under a Si0 2 passiva-
tion of known thickness the theoretical approach described
above is not valid.

Acoustical [maging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 633
It is necessary to formulate the problem in terms of Thomson-
Haskell layer matrices describing the relation between
potentials, stress and displacement in the different layers.
Each layer i is represented by a 4*4 matrix a j including the
transformation of potentials into stress and displacement by
matrix t and reverse by t- 1 • Wave propagation through the layer
is described in e.

a.=t.·
1 1
e.·
1
t.-
1
1 For.l

The composition of matrices a j and the substrat matrix t-\ubst

resul ts in a total matrix A = t-\ubst· II j (a j ) representing the
behaviour of the system.
The roots from a sUbdeterminant of matrix A: det(A jj ) , i,j=1,2
represent possible SAW-mode propagating on surfaces and inter-
faces of the analysed system .

SAMPLES
To get samples with various metallization thicknesses on
silicon wafers, we used two methods:
1) After deposition of a metal layer, we slowly lowred the
sample down into a selective chemical etchant, so that the
variety of etching time resulted in a variety of remaining
metal thickness.
2) We used the inhomogenity of sputtering process, to produce
a variety in thickness.
After metallization we prepared an edge to allow the control of
acoustomicroscopic results with a surface profilometer
(Dektak).
Finally the metallization was covered by PECVDa or sputter-
deposited Si02 •

EXPERIMENTAL
We determined the SAW speed by V(z)-measurements with a
commercial scanning acoustic microscope (ELSAM by Leitz,
Wetzlar). The microscope is equiped with a spherical lens for
IGHz sound frequency allowing a z-scan width of 60 ~m.
The V(z)-curve is digitized in 512 pixels of 8 bit precision
and recorded on a PC (Fig.l).
The SAW speed is extracted from the periodicity of the V(z)
curve by a FFT based algorithm. Prior to transformation the
instrument function namely the first maximum of the curve is
subtracted. To get better frequency and therefore SAW-speed
resolution in the transformed spectra, the remaining curve of
350 pixels is put into a dummy vector of 2048 zeros. A Hanning-
window4 covering the V(z)-values in the final curve avoids
rippel in the transformed spectra (Fig.2).

BPlasma enhanced chemical vapour deposition

634
 v
Hanning -window

OL---------~4H~---------z

L -_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _..... Z

Fig.l V(z)-curve as recorded Fig.2 V(z)-data before FFT

In a mesh-plot of the Fourier-transformed V(z)-curves (Fig.3)

vs. layer thickness (Fig.4), the peak representing the princi-
pal periodicity of the curves is visible. The SAW-speed is
related to the period length For.2 5 :

Intensity

1
--;.==;:::==:::;;===
JVV~Az (2V~Z)2
V SAW =
-

vo=soundvelocity(water)
v = sound frequency
~z=period length
v SAW =SAW - speed SAW-speed
Fig.3 Fourierspectrum of V(z)-
For.2 curve

RESULTS
Uncovered Layers
For the calculations of the SAW-speed we took the required
material parameters as Lame-constants 1, ~ and density p from
literature6 • The variety of parameters for thin layers is
neglected by using bulk values.
In the case of a uncovered tungsten layer on silicon(lOO) , a
second peak appears in the mesh-plot for thicknesses about
190nm (detail a in Fig.4). The peak can be interpreted as a
second SAW-mode.
The Tiersten2 theoretical dipersion formula for Love-waves For.3
is a relation between thickness h and SAW-speed v (v is also
included in k). For the example of W on si the dispersion curve
calculated with For.3 is plotted in Fig.6. A pair of expe-
rimental SAW-speeds (2 peaks in Fig.4 & Fig.S) is put into the
dispersion relations for Raleigh- and Love-waves. There is a
good agreement between theoretical and experimental data.

635
 Int ensity

········!·········L.······+·········:········· r· · . ·
-----_ ................... .

4000 S('JOO 6000

SAW-speed [mls]

Fig.4 Fourierspectra of V(z)- Fig.5 Fourierspectrum of V(z)-

curve vs. thickness in a curve vs. SAW-speed
mesh-plot scaled in [m/s]

h=

* layer parameters Love-mode

V2 shear -wave veloci ty
11 Lame-constant
kwavenumber Raleigh-mode
1900m
For.3 o O:l 0.4 0.6 O!
Thickness [11m]

Fig.6 Experimental SAW-speeds

in theoretical
dispersion relations

Passivated Layers
If layers are covered by a passivation (in our experiments
400nm-l~m) the thickness measurement is still possible, i.e. we
found a thickness dependence of SAW-speed. For the theoretical
prediction of the experimental result the application of the
Thomson-Haskell-method7 is necessary. Fig.7 shows a mesh-plot
for a tungsten layer with a thickness gradient on silicon
covered by 500nm SiO~ passivation. The movement of the major
peak with thickness 1ndicates the changing SAW-speed. In Fig.8
the experimental dispersion relation extracted from the data,
plotted in Fig.7, is compared with theoretical values delivered
by the theory described above.

636
 SA W-speed [m/s]
~r.-~--~--~-------------.

4200

3~O~~--~I=OO~--~2~OO~---=~300~~

Thickness [nm]
Fig.7 Fourier transformed Fig.8 Theoretical and
V(z)-curves vs. experimental
W-Iayer thickness dispersion relations
(Won si under Si02 )

CONCLUSION
It is possible to measure the thickness of covered layers with-
out the need of standards. The theoretical approach to predict
the SAW-speed is in good agreement with experimental results.

REFERENCES
1. T.Kundu, A.K.Mal, R.D.Weglein, "Calculation of the Acoustic
Material Signature of a Layered Solid", Jour. Acoust. Soc.Am. ,
77 (2), 2/1985
2. H. F. Tiersten, "Elastic Surface Waves Guided by Thin
Films",Jour. of Appl. Phys., Vol. 40, Nr. 2, 2/69
3. J. W. Dunkin "Computation of Modal Solutions in Layered,
Elastic Media at High Frequencies", Bull. Seis. Soc.Am.,
Vol. 55, No.2m, 4/1965
4. S.D.Stearns, "Digitale Verarbeitung analoger Signale",
Oldenbourg, Munchen Wien 1984
5. Andrew Briggs, "An Introduction to Scanning Acoustic
Microscopy", Oxford Science Publications, 1985
6. B. A. Auld, "Acoustic Fields and Waves in Solids", Wiley-
Interscience, New York, 1973
7. N.A. Haskell, "The Dispersion of Surface Waves on Multi-
layered Media",Bull.Siesm.soc.Am.,43,1953

637
 FORMATION OF THE IMAGES OF SPHERICAL OBJECTS

IN ACOUSTIC MICROSCOPY

Oleg Lobkis, Pavel Zinin

Institute of Chemical Physics

USSR Academy of Science
Kosygin 4, 117334, Moscow, USSR

KEYWORDS: acoustic microscopy, scattering, sphere.

INTRODUCTION

The problem of sound wave diffraction on sphere belongs to the

fundamental problems of acoustic. This problem arise in acoustic
microscopy when non-plane objects (such as spherical defects in solids,
bubble, drops, biological cells, inclusion in composite materials etc) are
investigated. At present there are a lot of experimental papers devoted to
the investigation of spherical specimens in acoustic microscopy ( Weglein
, 1981; Edwards and Jarzynski, 1983; Poirier and Cheeke, 1982; Poirier et
al., 1984; Sherar et al., 1987; Stockman and Nicholson, 1986; Stockman
et al., 1989; Pavlin et al., 1990). Unfortunately the theory of acoustic
microscopy of such objects is not practically developed. Until now only
the theory of the convergent beam scattering on sphere and disk placed
directly in the center of curvature of spherical transducer ( Kanevskii
1977; Zinin et al., 1986) or the sphere located on the acoustical axes
and in the focal plane of transducer (Lobkis and Zinin ; 1990, Ueda and
Morimatsu , 1990) has been considered. In order to investigate the
processes of the acoustic images formation, it is necessary to know the
solution of the problem of the focused beam diffraction on such objects
placed in any points near a focal region. In the present work we have
solved this diffraction problem for spherical objects. We have obtained
this solution in Fraunhofer approximation in the form of a superposition
of spherical wave functions. Geometry of the system of our interest is
shown in Fig. 1.

THEORY

Focusing transducer with an aperture angle a and radius of curvature

f irradiates the acoustic wave and receives waves scattered from objects.
The center of a sphere is placed at a distance r from the acoustic
transducers axes and at a distance z from the focal plane. We show that
the 2 solution of diffractifn problem in the Fraunhofer approximation
(kr If « 1, kz If « 1, ka If« 1, where k - wave number

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 639
 x y

Fig.1. Geometry of the system ( a spherical transducer, receiver and

spherical object.)

in immersion liquid) gives the next expression for the output signal of
the acoustic microscope.

00 n
Z Vo
V(r,z) _\\ ( -1) n A (Z -0 ) 12 (r, z) , (1)
run om run
1-casaL L
n=O m=O

i(Zkf-rr/Z)
where Vo =Z rruo f
2
e (1-casa) - is a signal from the rigid
plane surface, placed in the focal plane,

ex
m
-ikzcase
I (r,z) e Pn (case J (kr sine ) sine de
nm
Jo m

(r,e,~) - spherical coordinates originated in the transducer center of

curvature, Uo - oscillating velocity of particles on transducer surface, A
- constants derived from boundary conditions, p(case) - normalized asso-
ciated Legendre polynomials, oom - Kronecker symbol, J(x)-cylindrical Bes-
sel function.

V(Z) CURVES FOR SPHERES

In order to emphasize the features associated with the sphere scatte-

ring of the focused beam and to exclude the resonance effects, let's first
consider a case of the rigid sphere. When the sphere radius is much smal-
ler than the length of acoustical wave (ka«1), the dependence of the out-
put signal V(z) arising during the scanning along the acoustical axes has
one maximum. This maximum is obtained when the sphere radius coincides

640
 VIVo

0.75

\
\

0.50
2
\
\
\
0.25

0.00
_/

-40 -20 o 20 40
kz
Fig 2. V(z) curves for rigid spheres of various radii.
1 - ka =5, 2 - ka =15, a = 60°.

with the focus of transducer. The wave irradiated from different points
of transducer falls and reflects from spherical objects in the3sam~ phase.
Anal¥sis of equation (1) shows that in this case V(z,r) ~ (ka) (Wi-
3(ljz - lj~)/2/k2), where WI is potential of the field of transducer, ljz is
the axial particle velocity, ljr is the radial particle velocity. As the
sphere radius increases, the second maximum appears on V(z) curves. This
maximum appears when the front surface of particles coincides with the fo-
cal plane. The distance between the two maxima of curves is accurately
equal to the radius of sphere a. The calculated normalized V(z ) signal of
the acoustic microscope as a function of distance between the focal trans-
ducer plane and the center of sphere ( V(z ) curve) is presented in Fig 2.
The V(z) curves for drops with different sizes are presented in Fig.3.
When ka is small, usually one large maximum on V(z) curve is presented.
Three peaks arise when radius of sphere is increased (ka»8). The extreme

40
kz
Fig.3. V(z) curves of different size oil drops (pl=O.93 g/cm 3 , cl=1.77
o 3 5
10 5 cm/s) in water (p =1.0 g/cm, co=1.5 10 cm/s). 1) ka = 14 2) ka = 14.8
a = 60°.

641
 0.10 VIvo

0.05
,, ,," ,
1
', ," '
"
\~I
' \

10 15 20

kr
Fig.4. VCr) curves of oil drop in water (ka = 14) of different localiza-
tiononzaxes.1)kz= 0, 2)kz=-/-{a. a=60°

peaks appear when the incident wave is focused on the front and back sides
of the sphere. Central maximum appears when the focus point coincides with
the sphere center. In this case spherical wave falls almost in the same
phase on the surface of sphere. Due to the resonance effects this peak
disappears when the size of sphere coincides with the wave length (2ka =
nn, where k is the wave number in the material of sphere, n is integer).

IMAGES OF SPHERES

Images of particles in the acoustic microscope are formed when the

acoustic beam is scanning the objects in the off-axes plane. Because of
the transducer symmetry the image of the sphere can be characterized only
by one curve VCr) for every z . These curves for oil drops of different
localization on z axes are shown in Fig.4.
Due to the diffraction effects the acoustical images of drops are rep-
resented as white and black rings. The similar rings are observed in acou-
stical images of steel sphere (Weglein, 1981), biological microobjects
(Hildebrand et al. ,1981) and defects in solids (Poirier and Cheeke, 1982;
Poirier et al., 1982). Using VCr) curves we can design the images of sphe-
re in acoustic microscope V(x,y) (x,y are coordinates of focal plane).
Such image of small drop (ka=5) is represented in Fig.5. In this picture
the height of surface points is proportional to the output signal of acou-
stic microscope V(x,y).
The developed theory gives us an opportunity to investigate the effect
of geometrical and elastic properties on the acoustical images formation.

Fig.5. Image of oil drops in water (pi=O.93 g/cm 3 , ci=1.77 10 5 cm/s,

ka = 5) a = 60 o.

642
REFERENCES
Edwards.P.L .• and Jarzynski J .• 1983. Scattering of focused ultrasound by
spherical microparticles. J. Acoust. Soc. Amer .• 74 : 1006.
Hildebrand J.A .• Rugar D .• Johnston R.N .• and Quate C.F .• 1981. Acoustic
microscopy of living cells. Proc. Natl. Acad. Sci .• USA. 78: 1656.
Kanevskii I.N .• 1977. Focusing of Sonic and Ultrasonic Waves. Nauka.
Moscow (in Russian).
Lobkis O. I .• and Zinin P.V .• 1990. Imaging of spherical objects in acoustic
microscope. in "Mathematical Modeling and Application of Diffra-
ction Phenomena". Proc. of All-Union Scientific Seminar. Moscow.
59 (in Russian).
Pavlin C.J .. Sherar M.D .• and Foster S .. 1990. Subsurface ultrasound mic-
roscopic imaging of the intact eye. Ophthalmology. 97: 244.
Poirier M.• and Cheeke J.D.N .• 1982. An Acoustic microscope for subsurface
defects characterization: Fringe pattern recognition and contrast
enhancement by digital color-encoding. Proceeding of the 1982 IEEE
Ultrason. Symp .• IEEE. N. Y.• 2 :640. -.
Poirier M.• Castonguay M.. Neron C .. and Cheeke J.D.N .• 1984. Nonplanar
surface characterization by acoustic microscopy. J.Appl.Phys.
55 :89.
Sherar M.D .• Noss M.B .• and Foster F.S .. 1987. Ultrasound backscatter
microscopy images the internal structure of living tumor sphe-
roids. Nature. 330 :493.
Stockman A .• and Nicholson P.S .• 1986. Ultrasonic characterization of
model defects in ceramics (partI): Voids in glass - Theory and
practice. Mater. Eval .• 44 :756.
Stockman A .• Mathieu P .• and Nicholson P.S .. 1989. Ultrasonic characteri-
zation of model defects in ceramics (Part 3): spherical inclusions
in opaque crystallized Glass - theory and practice. Mater. Eval.,
47 :356.
Ueda M. and Morimatsu E .• 1990. Analysis of echoes from a sphere which
includes the directivity of a transmitter and a receiver,
J. Acoust. Soc. Am .• 87 :1903.
Weglein R.D .• 1981. Acoustic microscopy of curved surfaces, Appl. Phys.
Lett.. 38 :516.
Zinin P.V .• Lobkis 0.1. and Maev R.G., 1986, Scattering of ultrasound by a
disk in the focal region of acoustic microscope. Sov.Acoust.]. ,
32 :428.

643
 ACOUSTIC SCANNING MICROSCOPE

FOR INVESTIGATION OF SUBSURFACE DEFECTS

Konstantin Maslov

Institute of Chemical Physics

USSR Academy of Science
Kosygin st. ,4, Moscow, 117334, USSR

KEYWORDS: acoustic microscopy, NDE testing, flaw detection.

INTRODUCTION

The scanning acoustic microscope has a wide range of application. With

the development of pulse wave acoustic microscope it became possible to make
sub-surface observation without pretreatment such as polishing of the sample.
A precise classification of a defects according to type, position and size
can be made. And quantitative evaluation of surface acoustic wave velocity
of the material can be easily and directly obtained. To close the gap bet-
ween the conventional immersion technique and the high frequency ultrasonic
microscope we developed an scanning ultrasonic device worked in the frequen-
cy range of 5-50 MHz which is very simple, reliable, flexible and easy to
use, and has resolution better then 0.05 mm.

THE INSTRUMENTATION

Fig. 1 shows the block diagram of the acoustic microscope. The ultra-
sonic equipment, the precision scanner, the IBM PC AT compatible computer
plus the control software for scanning movement, ultrasonic unit adjustment
and display processing are all components of it which are matched to each
other. An electronic system of microscope designed as a standard IBM PC AT
expansion card with single remote preamplifier unit and has no manually ad-
justable parts. It is installed in computer and work independently although
fully programmable from computer. Current state of all adjustable parameters
of a microscope are displayed on screen of computer monitor simultaneously
with A-scan image of reflected signal and help message. An ultrasonic system
working with both pulse wave and burst wave with gate delay times from 20 ns
to 80 /J.s.

Scanner

We developed a precise scanner having a step width of the drive system

of 0.05 mm aCrOSS fast scanning axis and 5 /-lID aCross slow axis, with scan-
ning area 120 mm x 320 mm. It is a deck top device with maximum dimensions
of 200(H) x 510(W) x 430(D) mm. In spite of immersion of investigated sample
in bulk water filled tank we use a continues stream of liquid in a place of

Acouslicallmaging, Volume 19
Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 645
 HIGH FREQUENCY ULTRASONIC SYSTEM PLUG-IN MODULE
I I
5. Demodulator 4.Record.key 3.RF amplifier
f-+ -+- generator r----
I
t I
6.DC amplifier l.RF 2. Function
oscillator --+ generator r-
I
+ I
f-+
t
7.Data 8. Interface and control logic
acquisi tion
f-+

IBM PC AT COMPATIBLE COMPUTER

SCANNER 9. Stepper
motors r-
II [J Lens

10.Power
amplifier l-

t
11. Preamp I ifier
r----

Fig. 1. Block diagram of the acoustic scanning microscope.

ultrasonic probe. The light-weight probe holder enables precise manual ver-
tical adjustment of the probe. When scanning in XV-plane there is a minimum
of mass forces and moments which guarantee a precise and oscillation free
movement at a high scanning speed up to 300 mm/s. If investigated sample
allow to be in a mechanical contact with probe it is possible to adjust dis-
tance according to the sample surface and so to test not perfectly flat sam-
ples. If it is not possible. the support on which the test object is positi-
oned can be adjusted in all planes by screw adjusters so that the part is
easily and precisely aligned.

Ultrasonic probes

To achieve a maximum possible resolution we develop a set of ultrasonic

probes carefully designed for different materials and different penetration
depth. The lithium niobate transducer is used, tightly attached to quarts
buffer rod. The low quality factor of transducer allow to use a very short
ultrasonic pulse and easily separate different reflected signals from each
other. As a result better sensitivity and resolution is achieved. Fig. 2

646
 (a) (b)

B.5 ern

Fig. 2. C-scan of crack in glass plate. (a) Pulse wave, lens was focused
on the glass plate surface (contrast was intensified on a factor
of 64); (b) Pulse wave, under surface focusing , Rayleigh wave
reflected signal detection; (c) Burst wave near the first V(z)
curve minimum. Test frequency 25 MHz. Print-out is made by an HP
laser jet printer (black and white).

shows three different C-scans of a crack in 1.3 mm glass plate when diffe-
rent reflected peak detection. Probes have a different focal length varied
from 2 to 15 mm and different aperture angles from 20° to 60° according to
ultrasonic velocity in tested samples. With all probes focal diameter of t h e
order of single wavelength can be achieved. Same probes have been spe ciall y
developed for tr a nsversal wave only investigation for maximum spatial res o -
lution and maximum penetration depth.

Operating the microscope

Data evaluation is made on line by the computer with every scan line.
Operating the scanner is especially easy due to the presentation of C-scan
on the display with superimposed cursor which shows the actual position of
the probe. The corresponding A-scan allow operator carefully adjust recei-
ving system of microscope. The C-scan is presented on high resolution dis-
play in 16 colors. An amplitude, integral, weighted integral, or transit
time presentation can be produced . Some special measurement procedures su c h
as 0.005 mm step scanning, and B-scan imaging are availabl e . Using optiona l
100 MHz oscilloscope it is possible to measure a transit time with th e pr e -
cision of less then 0.1 ns with is enough for precise absolute measur e ment
of surface acoustic wave velocity . And user also can write his own data
acquisition procedure using the simple build-in command language or, for
faster measurements, using any of high level computer languages.

The original data of each C-scan and B-scan pattern or A-scan pattern
at chosen point can be stored along with collection of all adjustable ultra -
sonic system values and labels, and can be recalled at any time later. It i s
possible to change a color allocation for amplitude values, chose palette,
blow up any part of image, store an image in one of standard formats used by
videspread image painting programs or store any image crossection as ASCII

647
 8.5 C~

Fig. 3. C-scan of soldering of 0 . 6 mm thick silicon crystal to

tungsten support. Test frequency 50 MHz.

data file for future analysis. All images can be printed by large variety of
printers as halftone or quasi-3-dimensional pictures using our own softwar e
or by any commercially available program for printing of color image.

APPLICATION

The principal result of the investigations using acoustic scanning mic-

roscope is a C-scan image were high resolution is due to focusing of ultra-
sound. So, only limited depth measurements is possible and advantages of a
microscope is completely utilized when plane arrangement of discontinuiti es
is expected. Fig. 3, fig. 4 and fig. 5 shows C-scan images of the layered
structures for different fields of industrial application of the microscope .
Fig . 3 . shows C-scan of bonding region of 0.6 mm thick silicon crystal with
tungsten support of very high power diode. Note the dark boundary of a

1 C~

Fig. 4. C-scan of diffusion welds of two aluminum plates. Test

frequency 25 MHz.

648
 Fig. 5. C-scan of internal structure of ceramic molded IC.
Both pictures (a) and (b) show the internal structure
images observed from the back side. Center area shows
bonding adhesion of chip and ceramic. Test frequency
25 MHz.

highly reflected bright regions of defects cased by interference of ref-

lection signals from free surface in defect and from high impedance tungsten
layer. To improve resolution high aperture lens was used and a transversal
wave reflection peek was detected. Fig. 4. show C-scan of diffusion welds of
two layers of aluminum of a detail used in aircraft industry. The thickness
of upper layer is 2 mm., lower layer is 1 mm thick. Welding regions are uni-
formly dark. Defects looked like bright spots in a welding regions. Low ape-
rture lens is used and longitudinal wave peek detected to diminish of influ-
ence of free surface of lower layer which is close to the welding region.
Fig. 5. shows two C-scans of chip bonding region in ceramic molded IC. Very
low aperture lens is used to avoid a very high Rayleigh reflection from
ceramic surface and to diminish spherical aberrations cased by very high
ultrasonic velocity in ceramic.

The possible areas of the microscope are:

Bonding tests on contacts in the electrical industry and on integrated

circuits,

Determination of flow structures of specimens made of high-tensile

ceramics or of powder metal,

Check of metal specimens for degree of purity,

Determination of bonding structures of metal/ceramic bonding and of

ceramic layers,

Testing of diffusion welds,

Bonding test on plastic layered material,

Testing for delaminations on composite material which is subjected to

shock,

Biophysical and biomedical investigations.

649
 STUDY OF STRUCTURE AND PROPERTIES OF HIGHLY ANISOTROPIC MATERIALS BY

ACOUSTOMICROSCOPICAL METHODS

V.M. Levin, R.G. Maev, K.1. Maslov, T.A. Senjushkina,

I. G. Grigorieva, I. Baranchikova

Centre of Acoustic Microscopy

Institute of Chemical Physics
USSR Academy of Sciences, Moscow, USSR

KEYWORDS: acoustic microscopy, anisotropic materials, graphite.

The acoustic images are usually worsened by anisotropic effects. There

are two reasons for this. Firstly the dependence of phase velocity in ani-
sotropic medium on the propagation direction results in defocusing of the
convergent acoustic beam inside the sample. Secondly the direction of ray
velocity determining the direction of the energy transfer differs from the
direction of phase velocity.

It seems that the increase of material anisotropy results in decreasing

of possibilities to use the acoustic microscopy for the visualization of the
internal structure. However, it isn't true. In this paper we show that a
high level of the acoustic anisotropy provides the unique possibility to
produce high quality acoustic images of internal structures of anisotropic
specimens at significant depth. Lateral resolution of acoustic microscope is
order of the wave length in immersion liquid for any depth inside the
sample. Combination of C- and B-scanning enables to reconstruct the 3d-
picture of internal structures in the specimen volume and to develop methods
of NDE testing of highly anisotropic materials. The use of short pulses give
the possibility to measure local values of appropriate com- ponents of the
elastic module tensor.

PRINCIPLES OF ACOUSTIC MICROSCOPY OF HIGHLY ANISOTROPIC MATERIALS

Proposed method is based on the special manner of the convergent beam

propagation in very anisotropic body. The matter is that the beam propa-
gation is determined by energy transfer described by the ray velocity
vector. The acoustic anisotropy is represented by slowness surfaces formed
by the end of the wave vectors k for every possible directions of the wave
normal n.The form of the surface determines the ray velocity direction: it
coincides with the direction of the external normal to the slowness surface
at the point corresponding to the chosen direction n.It's essential that for
highly anisotropic materials there are nearly plane areas on the slowness
surface. This means that the direction cones with the single direction of the
ray velocity for different wave vectors exists.

Let assume that the convergent acoustic beam enters from immersion

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 651
liquid into an anisotropic specimen. In the immersion the beam can be regar-
ded as a set of plane wave with different wave vector directions. After re-
fraction the analogous set of waves with wave vectors inside a certain di-
rection cone is appeared in the specimen. If these vectors belong to a plane
area of the slowness surface, this set forms the parallel, well collimated
beam in the specimen. Its propagation direction is determined by the direc-
tion of the normal to plane area on the slowness surface. Moreover there
aren't phase aberrations for this beam: all the waves belonging to the beam
have the same phase shift.

Thus the convergent beam in the immersion transforms into the well col-
limated beam in the anisotropic specimen when passing the interface. Diver-
gence is absent and the beam penetrates deeply inside the specimen. The la-
teral size of the collimated beam is defined by the size of the acoustic
spot produced by the convergent beam on the front surface of the specimen.
When the front surface is placed at the focal plane of the acoustic lens,
the lateral size of the collimated beam is order of the acoustic wave length
in the immersion. This value defines the lateral resolution of the micro-
scope when scanning the lens parallel to the specimen surface. Naturally,
there is a critical depth after which the divergence effects must be taken
into account. But if it's bigger than the specimen thickness, we can say
about "projector" propagation of the collimated beam inside the specimen.

To get acoustic images at varied depth in the traditional scheme of

the acoustic microscopy we shift the beam focus. In our case this results
in increasing of the acoustic spot on the surface of the specimen, in broad-
ening of the collimated beam, and in worsening the lateral resolution. For
scanning down the depth we propose to use the time scanning (B-scanning):
changing the position of the electronic gate we can receive ultrasonic
pulses reflected from inhomogeneities placed at different depth.

Using very short exciting pulses we can combine C- and B-scanning and
reconstruct 3d-picture of the internal structure of the specimen. Such short
pulses give us the possibility to measure delay time of reflected impulses
and to evaluate the inhomogeneity position in respect to surface. Contrary
the pulses reflected from the back surface of the specimen allow us to find
local value of the ray velocity g.

(a.) C (8 )
so !P

60·
tieL;,
10- 1J.,s/rm
~o

a 8
0 30 80 .90
Fig. 1. Propagation of longitudinal waves in graphite. ( a ) Cut of the
slowness surface; ( b ) dependence of the ray velocity g direction
on the wave normal n direction, ~ - angle between g and C-axis,
~ - angle between nand C-axis.

652
 (a) C (6) l'
90

60

10 2.0 JO 30-

\ .J 81)
Do 30 (fa 90

Fig. 2. Propagation of transverse waves in graphite. (a) and (b) are the
same as in Fig. 1

The method is effective for studying of highly anisotropic materials

only. It's application criterion is the existence of large quasiplane areas
in the slowness surface. The solid angles of the cones of the wave vectors
corresponding to these areas must be compared with the acoustic lens aper-
ture . The method must be perspective for quasi-2d-crystals (graphite, HTS-
materials, etc), for ferroelastics near ferroelastic transition, ordered
composites, matrix metals,etc.To demonstrate the advantage of the proposed
method we shall report the results of our studding of the defective struc-
ture of quasicrystalline graphite -highly oriented pyrographite (HOPG).

STUDY OF INTERNAL STRUCTURE OF HIGHLY ORIENTED PYROGRAPHITE (HOPG)

Physical properties of HOPG are close to graphite monocrystal one's. It

is hexagonal layered structure with C-axis perpendicular to the plane of
layers. High elastic anisotropy is caused by the different nature of inter
atomic interaction in the plane of a layer (covalent bonds) and between
layers (Van-der-Vaals's forces). This causes the high acoustic anisotropy of
graphite. The cuts of the slowness surfaces by the plane passing through the
C-axis are shown in Fig.la for quasi longitudinal waves L and in Fig 2a for
slow quasi transverse waves ST. Three dimensional surfaces arise by rotating
these curves around the C-axis. Third acoustic mode is pure shear wave with
polarization in the layer plane. It isn't excited when the acoustic beam
passes from liquid to the graphite specimen.

For L-waves the slowness surface is similar to a rod. The velocity

along the C-axis is equal to Ciz = 4 105 cm/s. The velocity of waves propa-
gating on the layer plane is essentially greater Ciz: Cip = 21.6 10 5The
slowness surface of ST-waves looks like a top with axle of spinning along
the C-axis. The velocity of ST-wave propagating along the C-axis or on the
layer plane is anomalously small: cstz=cstp= 0.34 105 cm/s. Both slowness
surface include large plane areas. Therefore for both modes the ray veloci-
ties are direct along the C-axis or perpendicular to it (Fig.lb and Fig.2b).

Consider the passing of the focused beam from immersion liquid (water)
into graphite specimen of the natural orientation (with C-axis perpendicular
to the specimen surface). The beam axis is parallel to the C-axis. The waves
incident under small angles excite L-waves in the specimen. Their ray velo-
cities lie in the C-axis and equal to Go=4 105 cm/s. For incidence angles e
larger than the longitudinal critical angle 91 (for water 9=3.97° ) acoustic
energy in graphite is transported with transverse waves only. Refracted wave
vectors belong to the plane central part of the top - the ST-wave slowness

653
surface. These waves have the same ray velocity Go=4 10 5 cm/s and directed
along the C-axis. The transverse critical angle and leaky Rayleigh wave are
absent. According to the calculation about 40% acoustic energy of incident
beam penetrates into the graphite specimen. Focusing the incident beam at
the front surface of the specimen we cause the thin collimated beam propa-
gating in graphite perpendicular to the specimen surface. After the reflec-
tion from the back surface or from any defect the collimated beam goes back,
refracts,and is registered by piezotransducer.

We studied the HOPG samples produced by Research Institute of Graphite

(RIG, Moscow) and by Union Carbide Corp. (UCC). Sample thickness was in the
ranee 0.75-2.5 mm, sizes -up to 30x40 mm 2 . The mean angle disorientation was
0.5 _1 0 (RIG) and 20' (UCe). Two acoustic microscopes were used - industrial
microscope Elsam and laboratory widefield microscope. Working with Elsam we
used the operation frequency f=100 MHz and maximum scanning field 0.8x10 mm~
Operating characteristics of electronic part of the microscope are necessary
for interpretation of obtained data. In the Elsam the wide exciting pulse
( duration Tex= 100-150 ns),the wide gate with fixed width T=500 ns and
integration detector are used. Gate position is changed step-by-step with
step length ~t=33.4 ns. In the wide field microscopes the working frequency
f=50 Mhz is used. The microscope makes it possible to visualize the whole
area of the specimen. The advantage of this microscope is the possibility to
operate with exciting pulse width, width and position of the gate. In our
study we used very short exciting pulses (about 40 ns) and different width
of the gate.

Using the wide-field microscope we confirmed the "projector" manner of

the propagation of the focused beam in graphite experimentally. For non-
defective sample (thickness L=O.76 mm) the signal registered by transducer
is the equidistant consequence of pulse with time distance between them
equal to the time of the double passing through the specimen with the speed
Go= 4 10 5 cm/s (Fig.3). First pulse corresponds to the reflection from the

Fig. 3. Acoustic images of the front and back surfaces of non-defective

graphite sample made with the wide-field microscope. On the back
surface the cross is scratched. Letters in images correspond to
letters near peaks in the oscillogram of the received signal.

654
Fig. 4. Three-dimensional reconstruction of internal defect structure of t h e
graphite sample with Elsam; (a) optical image; (b) - (d) acousti c
images when consecutive shifting the gate to larger delay time.

front surface of the specimen, second one - to the reflection from the ba c k
surface, and each of followings - to the consecutive rereflections from
these surfaces. Choosing width and position of the gate we produced acous tic
images of the front surface of the specimen and acoustic images of its ba c k
side using as first reflected pulse as following rereflefted impuls e s. The
cross was scratched on the back face of this specimen. It is seen in the all
five images of the back surface of the specimen very well.

The main elements of the defect structure of HOPG's samples ar e delam i-

nations. Ultrasound is very sensitive to this kind of defects. Reflection
from delamination takes place when the delamination thickness is more than
ten atomic radii . Usually there is complex system of delaminations in the
sample volume. We tried to reconstruct the 3d-picture of delamination syst e m
in the specimen. The optical image and the consequence of acoustic images of
the HOPG's sample 2.5 mm thick are given in Fig 4. Graphite is not tr a nspa-
rent for light . Therefore the structure of the specimen surface is s ee n on
the optical image only, including the subsurface delamination. Acoustic
image were made by means of consecutive shifting of the gate in the direc -
tion of larger delay time. First acoustic image corresponds to the standard
gate position and gives the structure of the specimen surface and of the
subsurface layer. As the gate shifts the defects lying more deeply take p a r t
in the image formation . Correspondingly the number of details seen in acous -
tic images rises. When shifting the gate the effect of the inverse contra st
is observed for some details of the images. It is caused by the withdrawal
of the reflected pulse from the gate frame or, may by, the interference of
reflected and rereflected pulses by the integrating detector of the Elsam if
both these pulses are in the gate frame.

655
 EXPLORATION OF THIN WALL TUBE DEFECTS

BY A NOVEL ULTRASONIC SHADOW MICROSCOPE

Xuan-Min Yang, Ming Yi, Jin-Fu Gan

The Department of Physics

NanJing University
NanJing 210008, China

INTRODUCTION

In industry production, the traditional UT method for checking tube

defects is based on the reflected echo. As a matter of fact, it is based on
receiving the signal of diffracted acoustic wave echo from the edge or the
small points of the defects. Usually, the signal is too small to be
distinguished from the noise. Even by increasing the number of
transducers or acoustic paths, the reliability is only up to 70--80%. Such
as Bottcher[l] reported their experiments by using second transducer to
receive the transmitted ultrasonic amplitude, they still received the
smaller forward scattering signal from grain boundaries. On the other
hand, "Eddy current method" has high speed, but the reliability and the
resolution are not satisfactory.

We have proposed a potential method called "Ul trasonic wave shadow

methocf' which has much higher reliability for real purpose. Lots of
benefits will be followed surely according to the theory and our experiments.

THEORY

The method is based on ultrasonic transmission measurement for which

the emitting and receiving transducers are set on opposite sides of the
tube under study. The transducers are arranged by the geometric acoustic
ray path of the shear wave shown in Fig.I. The ultrasonic waves from the
emitting transducer TI are refracted at the surface of the tube, then
propagate in the tube wall, exit at the opposite side of the tube surface,
and received by the receiving transducer Tl.

Fig.1

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Haljes, Plenum Press, New York 1992 657
 In principle, almost all the ultrasonic waves will be reflected at the
crack surface (with the groove in the metal) and the attenuation of the
ultrasonic wave in the air is very high. It is impossible to penetrate a
thin gap of 0.08 mil[2], which also has been identified by our laboratory.
Therefore, the transmission of the ultrasonic waves being intercepted by
the gap-flaw will be reduced.

1. The Transmission of Sound Depending On The Depth of Crack

Fig.2a and Fig.3b show the ideal figures of the transmission of ul-
trasonic waves through different of cracks as the tube is rotated.

Fig.2b shows that there are a couple of valleys at 6k and - (9", which
depend on both of width and depth of the shallow crack.

Fig.3b shows that there is a narrower peak at €I. between two valleys of 6'...
and - ~ as the crack depth is deeper. In Fig.3b, the peak only depends on
the depth of crack.

Fig.4 shows the linear relationship between the transmitted ultrasonic

amplitude and the crack depth. The little non-linear part for the shallow
crack is caused by the empty region of the ultrasonic waves at the top of
the tube wall.

2. Resolution

The resolution depends on the parameters of transducers. We have

used focused transducers with frequency of 20 MHz, focal length of I"
and aperture of 0.125". Therefore, the resolution is about 40 mil
along the longitudinal direction of the tube shown as Fig.5.

3. The Benefits of Shear Waves

At the boundary between the liquid and solid, mode conversion of longi-
tudinal waves to shear waves can take place with corresponding changes

~ (a)

amplitude amplitude

--~--

I I
I I
I I
I I
I I
I I
I I (b)

-fJ a 80 +6 a angle -fJa 80 +6a angle

Fig.2 Fig.3

658
 amplitude

T.

depth
Fig.4 Fig.5

of speed (Fig.6(a». Snell's law is valid here:

v" /SIN~ = Vss/SINf = VSL/SINp (1)

where V , Vss and Vs are the speed of longitudinal waves in the liquid,
of shear waves and longitudinal waves in the solid respectively.

Because of VSL > Vss, only shear wave exists in the solid, that is Zr
tube here, if the incident angle ~ of the emitting ultrasonic waves is
larger than the critical angle ~c, where ~c is satisfying the equation of:

SIN J.. c = Vl /VSL (2)

That is to say that only one kind of modes exists in the Zr tube
shell (Fig.6(b», so it is easy to be distinguished by time resolution.

Another interesting phenomenon is that for the thin gas-filled gaps

(crack), ultrasonic waves can penetrate through them by two different
mechanism. They are amplitude transmission(Ta) and Rayleigh transmission
(Tr). The amplitude transmission is caused by the finite and not negli-
gible displacement of longitudinal waves and the Rayleigh transmission
obeys the theory of Rayleigh strictly. Therefore, the whole transmission
T is given by:

T = Ta + Tr (3 )

In very thin gas gaps, Ta is much larger than Tr ,for shear waves, the
transmission T almost equals Tr, because Ta exists only for longitudinal
waves. Obviously, the transmission of shear waves is much smaller than that
of longitudinal waves, that is:

T(shear) « T (longitudinal) (4)

This is why we adopted the shear waves here for our UT purpose.

RESULTS AND DISCUSSION

In our experiment, the diameter of tube is 1/2 inch. The thickness of

the wall is 32 mil. The results just coincide with our prediction. The
ultrasonic shadow method is particularly suitable for checking the defects
(mainly for crack) of thin wall tube which has smooth regular circular shape,
uniform radius and thickness for following reasons:

659
 I

~,'
liquid
solid ~liquid
~,
I y "-
l.?-_....
I _ solid
I "" longitudinal I -
shear i shear
wave wave
(a) (b)
Fig.6

a. The method always receives a normal amplitude of signal except

there are defects in the tube. By using GPD device to detect the peak
value of pulse signal if there exists defect in the tube, two symmetrical
negative valleys will appear at certain angle as the tube is rotated. It
is easy to distinguish the signal from the noise.

b. It can detect the defects which depends on both depth and width if
the defect is very near the surface of the tube. The sensitivity is less
than 1 mil.

c. We can check the crack depth from 3 till 20 mil linearly when the
crack is deeper which is really necessary in production.

d. In our experiment, the resolution in the longitudinal direction is

40 mi 1.

e. The best benefit is that it is more reliable than ultrasonic echo

method or eddy current method for checking cracks.

f. It has higher speed than ultrasonic reflective pulse method which

needs longer time to wait the echo pulse.

ACKNOWLEDGMENT

The Authors wish to express their thanks to Dr. Fred C. Schoenig and
Dr. David J. Landry in G.E. for their support of this project. Mr. XueSong
Qi and WenYong Miu started important first experimental set up and second
one. Then ZhaoHui Zhu, Yue Yang fulfilled it.

We also wish to thank Prof. Ting Li for his kind help and giving many
valuable suggestions in all of the process.

REFERENCE

[1] M.G. Silk, Nondestructive Test, Vol. III, Chapter 2, p.57.

[2] Szilarb, J. Ultrasound, Penetration Through Very Thin Gas
Embedded In Solid Bodies, In Proceedings Of The 4th International
Conference On Non-destructive Testing, London, 1963 Butterworth ,London,
1964, pp 159-161.

660
 IMAGING PROPERTIES OF THE SCANNING ACOUSTIC MICROSCOPE (SAM)

E. Forgber, A. Gadomski and S. Boseck

Physics Department, University of Bremen

P.O. Box 33 04 40, 2800 Bremen 33, F.R. Germany

Part of the Doctor Thesis E. Forgber / A. Gadomski

ABSTRACT

A model of the imaging process in SAM for small and large aperture objectives is presented. Incorpo-
rating a nonlinear system behaviour, comparisions of simulations and measurements are given.

1 INTRODUCTION

SAM is a confocal imaging system with the arrangement similar to the general scanning microscope
type 2 [1] shown in fig. 1. The ultrasonic beam in SAM experiences a huge variation of acoustic velocity.
In consequence the single refracting surface of the ultrasonic objective focuses the beam nearly to the
diffraction limit and in the case of large aperture lenses the sample's reflectance function depends on the
angle of incidence. VVhen focusing into inner parts of an object, visualizations of the internal structure
are distorted by a defocused image of the surface structure. As a basic requirement for the exploration
of an isolated layer in a multi layered object, we investigate the imaging properties of defocused surface
structures.

2 IMAGING WITH SMALL APERTURE LENSES

The reflection coefficient in general depends on the angle of incidence, but it can be approximated
as a constant for small angles. The electrical echo signal e, (x, y, z, j) measured at the transducer is
determined by the convolution of the point spread function (PSF) h and the object function go(x, y) [4]

es(x, y, z, J) = h(x, y, z, j) * go(x, y, f) (1)

with operation frequency f and defocus z. The index s denotes single frequency operation, since (1)
does not yet include the pulsed excitation of the lens.
The PSF h of a confocal (or type 2) scanning microscope is given by the product of the PSF hi and
h2 of the objective and collector lenses [2]

h(x,y,z,j) = h i (x,y,z,J)h 2 (x,y,z,j). (2)

Assuming reciprocity for small aperture lenses, the PSF hi = h2 is given by the acoustic amplitude
distribution insonifying the object. This field distribution is computed by numerical evaluation of
diffraction integrals. The numerical computation includes a lateral shift of the transducer (see fig. 2),
thus modeling symmetry defects of the lens.
Since SAM is operating in pulse-echo mode, the electrical transducer excitation voltage exhibits a
discrete line spectrum. In our microscope ELSAM (Ernst Leitz Scanning Acoustic Microscope) the low
frequency lenses considered here are driven by short electrical pulses [5]. The transducer/lens system

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 661
 objective collector

coherent coherent
source etector
Figure 1. The geometry of the imaging part of SAM.

X offsel .
2 rTrans --: transducer

r'
I

.I

specimen

Figure 2. Schematic diagram of the acoustic objective.

then performs evanescent oscillations at its eigenfrequency. A block diagram of ELSAM for operating
frequencies 50 - 800 MHz is shown in fig. 3.

Considering the complex spectrum S(!) of the oscillating lens, the received echo signal e(x, y, z, t)
can be expressed as
n
e(x,y,z,t) = Le,(X,y,Z,Ji)S(!i)ei21<j,t (3)
i=l

As shown in fig. 3, the received echo pulse (3) is amplified and subsequently demodulated, integrated
and finally displayed or stored in digital memory. The demodulation is performed with an amplitude-
modulation detector, which extracts only the envelope of (3) ignoring the provided phase information.

eenv(x, y, z, t) = Envelope{e(x, y, z, tn. (4)

The envelope detection in (4) causes the imaging process to be nonlinear. The real valued image
signal b(x, y, z) stored in an image memory is obtained from (4) by time integration

b(x,y,z) = ~ '7Teenv(x,y,z,t)dt. (5)

to

3 IMAGING WITH LARGE APERTURE LENSES

When imaging with a large aperture lens the angular dependence of the reflectance function of the
sample cannot be neglected. In consequence the object function depends on the space coordinate and
angle of incidence:

go(x,y) =} go(X,y,Oi/),.,(J/),.). (6)

662
 Speci men

W-I~ • (I) li'A~k.

~
Figure 3. Block diagram of ELSAM for the frequency range 50 - 800 MHz.

It is necessary to consider separately the reflection of each component of the incident spectrum. In
other words the investigated specimen is sampled with a spatially varying sampling probe depending on
the local reflectance function. Thus, the condition of isoplanatism is violated. For samples for which the
surface topography is the only significant feature it is justified to assume that the reflectance function
is space invariant. This assumption allows the separation of the object function go( x, y, a/ >., j3 / >.) into
two parts:

(7)
where the function go2(CX/>.,j3j>.) =
R(cx/>.,j3j>.) is simply the object's reflection coefficient. The
function gol (x, y) describes the phase and amplitude of the normal beam. The amplitude of the electrical
echo signal can be described by the convolution of the object function gol(X,y) and the modified point
spread function h(x,y) = h lm (x,y)h 2(x,y) where

(8)
SAM is according to equation (1) nearly aberration free for in-focus imaging and there is no transfer
of phase information from the object to the image [3]. The presence of the component R( a/ >., j3 / >.) in
equation (8) means additional phase deviation of the reflected wave front and enables imaging of phase
structure of the sample when the lens is focused on its surface.

4 RESULTS

4.1 Imaging with Small Aperture Lenses

A comparision between measured pinhole images and simulations using equations (1) to (5) is shown
in fig. 4. Defocused images of the pinhole show a lack of cylindrical symmetry which is due to fabrication
errors of the lens. This error is incorporated in the model by introduction of a lateral transducer offset
Yo!!,,' oj 0 (see fig. 2). Single frequency simulations, setting n = 1 in (3) fail for large defocusing while
multifrequency simulations show good resemblance with measured data.

4.2 Imaging with Large Aperture Lenses

Small and large aperture lens imaging is compared in fig. 5 . The phase structure of the object
IS clearly visible only in the case of large aperture lens imaging. Because of the non-linear signal
transformation in the signal processing part of SAM the only possibility to verify the introduced theory
is to calculate the intensity distribution in the image of the chosen sample and compare with images
obtained by SAl\I . It has been done for the radial grid. The fig. 6 shows results of calculation and
measurement for two different focus positions. The calculated and measured images are similar, the
contrast reverse takes place at the same spatial frequencies.

663
Figure 4. Comparision of simulated and measured images of a platinum pinhole (diameter 6.6 /-lm).

Figure 5. Ultrasonic images of the radial grid, left: small aperture lens, right: large aperture lens.

664
 Figure 6. Comparision of measured (left) and simulated (right) images of a radial grid.

5 CONCLUSIONS

The imaging process in SAM is in general influenced by the reflection coefficient R(O) and therefore
space variant. Isoplanatism is ensured in two cases. Usage of small aperture lenses allows the assumption
of angular independence of the reflection coefficient. When working with large aperture lenses the
angular dependence of R(O) has to be considered, space invariance is recovered only for objects with
constant lateral distribution of R(O). Although the confocal lens system has linear imaging properties,
the whole microscope behaves nonlinear due to the signal processing, which ignores the phase information
included in the echo signal. Because of the space variance and nonlinearity of ELSAM imaging, a
system transfer function cannot be used to describe its imaging properties. Therefore linear image
restoration algorithms as inverse or Wiener Filtering can only offer approximate solutions. To improve
these techniques, restoration algorithms should iteratively adapt the transfer function to the actual
object distribution to cope with nonlinearity and shift variance of the imaging system.

References

[1] C. J. R. Sheppard, T. Wilson: Image formation in scanning microscopes with

partially coherent source and detector. Optica Acta 25, 315-325, 1978.
[2] C. J. R. Sheppard, T. Wilson: Image formation in confocal scanning microscopes.
Optik 55, 331-342, 1980.
[3] C. J. R. Sheppard, T. Wilson: Effect of spherical aberration on the imaging
properties of scanning optical microscopes. Applied Optics 18, 1058-1063, 1979.
[4] R. A. Lemons, C. F. Quate: Acoustic Microscopy. (W. P. Mason, ed.),
Physical Acoustics 14, 1-92, 1979.
[5] A. Atalar, M. Hoppe: High-performance acoustic microscope.
Rev. Sci. Instrurn. 57 (10), 2568-2576, 1986.

665
 IMAGING OF CRYSTAL DEFECTS BY SOUND-BEAM TOPOGRAPHY

USING WAVELENGTHS IN THE SUBMICROMETER RANGE*

Th. Aeugle and O. Weis

Abteilung Festkorperphysik
Universitat Ulm
0-7900 Ulm, Germany

METHOD
Sound-beam topography has been demonstrated recently at frequencies
of 24 and 35 GHz as a very sensitive method for imaqino crystal defects
in highly perfect quartz plates of 10 and 15 mm thickness (Edel et al.,
1986) .
Sound-beam topography is performed with a usual pulse-echo equipment
using piezoelectric surface excitation and a crystal temperature of some
Kelvin. A special electromagnetic coaxial resonator (Ulrich and Weis,
1978) is applied which produces narrow sound beams and allows to move the
area of excitation and detection by means of two step motors in a scan
motion across the crystal face. Fig. 1 shows schematically this configu-

1.L x -CUT QUARTZ

2.L THICI<NESS: 10 mm
lL 2K

35 GHz

10 IIJSI 20 TlME-
SOUND BEAM

ORIFICE , COUPLING
\ PIN

fj 15

/
T\
O.6mm
.l i
/
I

Fig. 1. Excitation and detection of movable sound beams at 35 GHz.

* Supported by Deutsche Forschungsgemeinschaft
Acoustic<Jllmaging, Volume 19
Edited by H. Etmert and H.-P. HaIjes, Plenum Press, New York 1992 667
ration. The dielectric field outside the coupling hole has normal as well
as tangential components at the surface of the x-cut quartz. Hence, sound
pulses of all three polarizations are excited and detected. The smallest
coupling hole manufactured in the 35 GHz reentrant cavity has a diameter
of 0.6 mm (Fig. 1). The widths of excited beams can be measured by means
of a 20 )1m wide diamond scratch at the rear side of the crystal. By mo-
ving the beam across this scratch, a scattering dip appears in the echo
amplitude (Fig. 2) from which a beam width of 180 )1m is deduced for the
longitudinal sound beam. Since the wavelength is only 163 nm, an extreme-
ly high collimated sound beam is excited.

SOUND-BEAM TOPOGRAMS
Local changes of echo amplitudes can also be produced by crystal de-
fects in the volume. Scanning the crystal face with the coupling hole and
transferring the observed echo amplitudes to a grey-scale image produces
a sound-beam topogram within some hours of measuring time. The lateral
resolution is determined by the beam width, the sensitivity to defects
rises with decreasing wavelength.
Sound-beam topograms of an X-cut quartz are presented in Fig. 3. As
expected, the 35 GHz topogram for the first longitUdinal echo shows more
details than the 24 GHz topogram. On the other hand, the first T1 echo is
more influenced by crystal defects than the first L echo. This may partly
be due to the shorter wavelength, partly due to the complexer structure
of the excited transverse sound beams which must have, as a consequence
of the field distribution in Fig. 1, a zero amplitude in the center and
a jump of phase by TI across the beam. The cloudy background, appearing in
a different way in the 24 and 35 GHz topograms, is probably produced by a
small detuning of the resonator due to the reaction of dielectric modes
of the crystals. The oblique line pattern in the topograms of Fig. 3 can
be identified with defects produced during the growth process at the ed-
ges between r- and z-faces (Edel et al., 1986).
Sapphire is a nonpiezoelectric crystal. A piezoelectric transducer
layer is therefore necessary in sound-beam topography. For pulse-echo
experiments with longitudinal sound, a sputtered ZnO layer with a thick-
ness of half a wavelength can be used (Aeugle et al., 1991). The topo-
grams of Fig. 4 reveal that a Verneuil gro\'Jn sapphire shows a lot of
crystal defects, whereas the investigated HEMEX-~rown sapphire is by far
more homogeneous. This is expected from the different kinds of crystal-
growth processes. But we observed a much stronqer decay of echoes in the
HEMEX crystal. Since the surface finish of the Verneuil crystal is much
better, it is unclear at present, whether surface roughness or impurities
are responsible for the observed higher damping in the HEMEX sapphire.

SOUND SCATTERING
AT A SCRATCH
20jJm

=::~1-.::;--- --- X
--
180 \1m

----J.. Ii>;r- 0.6 nun

DIAMETER CUARTZ
35 GHz
ORIFICE OF
35 GHz REENTRANT CAVITY
o [mm) 2
BEAM POSITION-

Fig. 2. Method and result of beam width measurement at 35 GHz.

668
 X-CUT QUARTZ
(BRAZIL TWIN) 1. L ECHO 24 GHz
__------~~ .-~ . ._r_~~
THICKNESS: 10 mm
SCAN AREA: 50x10 mm 2

RESONATOR
35 GHz
TYPE: REENTRANT

STEPS: /IX = /lY = 100 iJm

ORIENTATION:

1I!!ItI~~~;;;;.•J.T~1 ECHO
35
Illrt;WIIIJi.111 GHz

Fig. 3. Sound-beam topograms of an X-cut quartz. Diamond scratches for

beam width measurements are to be seen at the right and left side.

c-CUT SAPPHIRE
No. Vl VERNEUIL GROWN
THICKNESS: 15 mm
SCAN AREA: 45x15 mm 2

TRANSDUCER
LAYER: ZnO

1 GHz
RESONATOR
TYPE: REENTRANT

STEPS: /lX=/lY=100iJm

35GHz
ECHO: 1. L
NO.H1 HEMEX GROWN

35 GHz

Fig. 4. Sound-beam topograms of two different grown c-cut sapphires. The

Verneuil grown crystal shows two surface fractures as black areas.

669
 Y-CUT LiNb0 3
No.1 1. T1 ECHO
THICKNESS: 19.6 mm
SCAN AREA: 20.7x10.3 mm 2

RESONATOR 1 GHz
TYPE: REENTRANT

:r~\
STEPS: ... x =...y =100 I-lm

..
..
~~~.
..'" 4a,
..
' '
~'~ :"':!J::'
~
...

Fig. 5. Sound-beam topograms of an V-cut LiNb0 3

1\\-.
..,.,
. . ..
• #' • ••

~. ,~ A ' ....-.•~ ~ !fl 21. GHz

Lithiumniobat appears homogeneous if scanned with the first Tl echo

at 1 GHz (Fig. 5), but shows stranqe patterns at 24 GHz. We sugqest that
the mechanical treatment durinq cutting and polishing produces misorienta-
tions of the permanent dielectric polarization which lead to distortions
in the wavefronts of the sensitive Tl-pulse. We also observed a splittinq
of a single echo into a narrow train of echo pulses. This may be explained
by an additional excitation and detection of sound near the surface due to
such abrupt c1anqes of the piezoelectric constants. Further investigations
are necessary to explain definitely the observed phenomena.
A crystal of Lithiumniobat (Fig. 6) shows a similar behaviour already
at 1 GHz. No echoes could be detected with the crystal at 24 and 35 GHz.

TOWARDS HIGHER RESOLUTION

The excellent beam collimation at 35 GHz suggests itself to reduce the
beam width further in order to get a higher lateral resolution. An essen-
tial reduction of the diameter of the coupling hole of a reentrant cavity
seems not attainable. Therefore, we looked for other kinds of resonators
with highly concentrated electric fields and developed a planar Hertzian
resonator (Aeugle and Weis, 1988) which can be produced by lithography and

Li To03 NO.1 l.L ECHO X CUT 1.T1 ECHO 1 GHz

CRYSTAL
DIMENSIONS:

20.0 mm

26.6mm
19.5mm NO.1 l.L ECHO Z CUT lTl ECHO 1 GHz

RESONATOR J
TYPE: REENTRANT

STEPS : "X;,,,Y=150 fJm

Fig. 6. Sound-beam topograms of a LiTa03-crystal at 1 GHz.

670
 is capable to serve even at higher frequencies. Fig. 7 shows the experi-
mental arrangement and some results of pulse-echo experiments with a Her-
tzian resonator working at 35 GHz. The whole resonator is smaller than
1 mm and is produced on a glass substrate of 150 wm thickness. The loop
of the resonator couples inductively to the magnetic flux of the funda-
mental TEla mode of a Ka-band waveguide. In resonance, all power of the
incoming wave is absorbed. The measured quality factor is about 50 at
room temperature and about 100 at 4.2 K. The electric field is concentra-
ted in the 35 wm wide gap of the resonator and can be used for sound ex-
citation. A measured pulse-echo train can be seen in the inset. A HEMEX
sapphire with ZnO transducer layer is used. By moving the sound beam
across a 4 wm broad diamond scratch a beam width of only 38 wm can be
measured which corresponds nearly to a five times higher resolution in
comparison to a reentrant cavity. The electric field strength limits the
electric field in the resonator. The excitation area is reduced by a fac-
tor more than 20. Hence, the beam power is extremely small in comparison
to experiments with a reentrant cavity. We hope that this reduction can
be compensated by using a FM/CW method instead of the pulse-echo method.

'l u
35GHz

.,
c:... . .l'
T'1 t<1t - 't..l "

Fig. 7. Hertzian resonator for excitation and detection of 35 GHz sound

beams with a measured beam width of only 38 wm

REFERENCES
Aeugle, Th., and Weis, 0., 1988, Piezoelectric Surface Excitation and
Detection of GHz-Sound Waves using Planar Structures: Hertzian- and
H-Slot Resonators, Z. Phys. B - Condensed Matter 71, 149.
Aeugle, Th., Bialas, H., Heneka, K., Pleyer, W., 1991,lLarqe Area Piezo-
electric ZnO Film Transducers by RF-Sputtering, Thin Solid Films,
200, in print.
Edel, H., Bialas, H., and Weis, 0., 1986, Sound-Beam Topography of Cry-
stal Defects, Z. Phys. B - Condensed Matter 64, 437.
Ulrich, H., and I~eis, 0., 1978, Excitation and Detection of Narrow, Mova-
ble Hypersound Beams in the GHz-Range, Z. Physik B - Condensed Mat-
ter 29, 185. -

671
 ACOUSTIC MICROSCOPY FOR MATERIAL CHARACTERIZATION

T. Kundu 1 , M. A. Awal 1 and A. Mahalanobis2

1 Department of Civil Engineering and Engineering Mechanics, Univ. of

Arizona, Tucson, Az-85721, USA

2Department of Electrical Engineering

University of Maryland, College Park
Maryland 20742, USA

INTRODUCTION

Acoustic microscopes have been used widely for last two decades for different
purposes. Material scientists used this apparatus for measuring velocity and
attenuation of surface waves in a material in an attempt to obtain the elastic properties
of the material [Kushibiki et al.(1983)] and to measure anisotropy in a material
[Kushibiki et al.(1982)]. Using this instrument scientists also measured the coating
thickness in a material [Weglein (1982)], detected internal cracks in metals and
ceramics [Weaver et al.(1985)]. detected delaminations in electronic integrated circuit
(IC) chips [Miller(1985)]. Biologists are also using this apparatus for obtaining elastic
properties of living and dead cells [Kundu, Bereiter-Hahn and Hillmann (1991)].
Researchers in the field of applied mechanics, mathematics and physics carried out
several analytical and numerical investigations on acoustic microscopy [Atalar(1978),
Weglein(1979). Kundu, Mal and Weglein(1985)] to help experimentalists to analyse
their experimental data and obtain important informations.

Most of the theoretical and experimental investigations on acoustic microscopy

have been carried out at high frequency (>100 MHz), because the microscope
resolution is high at high frequency. However, the signal penetration property is poor
at high frequency, hence the conventional acoustic microscopy research has been
limited to the near surface material property measurement or near surface defect
detection. Recent theoretical investigations [Kundu (1988a)] showed that the low
frequency « 10 MHz) acoustic microscopy can be used very effectively in the fields
of mechanical engieering, materials science and fracture mechanics for measuring and
detecting cracks and defects which are located not necessarily very close to the
surface. Such a low frequency acostic microscope has been fabricated at the
University of Arizona. It produced some interesting experimental results which are
presented in the following sections.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 673
REFLECTION BY ISOTROPIC MATERIALS

The micrsocope is first tested by analysing the reflected signals from 50 mm

thick copper (Cu) and aluminium (AI) plates against theoretical predictions. Time
histories and frequency spectra of the reflected signals are shown in Fig.1 a for two
different incident angles (8) 20 and 35 degrees. It is interesting to note that at 0.7
MHz (transducer resonance frequency) spectral values of the reflected signals from
the AI plate is lower than the Cu plate at 8=20 deg. but the situation is reverse at
8=35 degree.

Expressions of reflection coefficients (R) of isotropic plates as well as half

spaces immersed in water are available in the literature [Kundu(1988b)]. Using the
expression given in Kundu(1988b) R is obtained for Cu and AI plates and half spaces
immersed in water for 0.7 MHz signal frequency. Density (p), longitudinal or P-wave
velocity (a) and shear or S-wave velocity (13) of AI are given by 2.77 gm/cc, 6.37
km/sec and 3.16 km/sec respectively, and those for Cu are 8.93 gm/cc, 4.66 km/sec
and 2.26 km/sec. Water properties are given by p=1 gm/cc, a=1.5 km/sec and {j=0.
R as a function of e computed for the half space (top figure) as well as for the 50 mm
thick plate (bottom figure) are shown in Fig.1 b. One can see from these plots that at
20 deg. Cu reflects more acoustic energy and at 35 deg. AI reflects more energy for
both half space and plate reflectors. This is what we observe experimentally also in
Fig.1 a at 0.7 MHz. Hence, we can rely on our experimental setup and experimental
values.

REFLECTION BY ANISOTROPIC MATERIALS

To check whether the microscope is sensitive to the direction dependent

material properties, a two mm thick graphite epoxy composite plate is used as the
reflector. The composite is made of unidirectionally oriented graphite fibers in epoxy
matrix. Reflected signals are recorded when the incident waves propagate along the
a b
1.5 dO' 1 --~4 aon. ... c.tIN. ......ca

!\
2

o
-2

~ o~--~~----~~
o 50 0 0.5
time ( ].I sec) frequency (MHz)
4 X 104

Or---~IUI~------~

-2

-40~--------------'50

Fig.1. (a) Experimentally obtained reflected signals from AI-plate (solid lines) and Cu-
plate (dotted lines) at 8=20" (top row) and 35° (bottom row). Left column: time
histories, horizontal scale is given in microsecond; right column: frequency spectra,
horizontal scale is in MHz.
(b) Theoretically computed R for AI (solid lines) and Cu (dotted lines) half space (top)
and plate (bottom) at 0.7 MHz Signal frequency.

674
fiber direction (0 deg. direction) as well as perpendicular to the fiber direction (90 deg.
direction). Fig.2a shows the experimentally obtained reflected signals for 9= 35 and
60 degrees. A significant difference in the reflected Signals in two directions can be
noticed here. Therefore this microscope is very sensitive to the direction dependent
material properties.

A computer program is now being develped to compute the reflection

coefficient of a general anisotropic plate. However, even in absence of that program
one can obtain some approximate idea about the expected nature of the reflected
Signals by simply recognizing that graphite fibers are much stronger than the epoxy
matrix, hence P-wave velocity along the fiber direction should be much higher than
that across the fiber (90 degree) direction. Waves should also attenuate more in the
90 degree direction. So material attenuation should also be included in the analysis.
Material attenuation in an isotropiC material can be incorporated by introducing a
quality factor 'q' [Xu and Mal(1987)].

Recognizing the strong influence of the fiber direction on the P-wave velocity
a, it is taken as 10.1 km/sec to apprximately compute R in the 0 deg.(along the fiber)
direction and a is equated to 3.6 km/sec for computing R in the perpendicular
direction. R is computed for the signal frequency 0.7 MHz, plate thickness 2 mm and
q=109 in the 0 deg. direction and 10 in the 90 deg. direction. p and {3 are taken as
1.578 gm/cc and 2.1 km/sec respectively. R thus computed is shown in Fig.2b. We
can see from this figure that for both 9=35 and 60 degrees R in the 90 deg. direction
is smaller than that in the 0 deg. direction, as observed experimentally also. However,
the differences in relative magnitudes of the reflected signals is much higher in the
experimental results than in the theoretical plots. This is because the theortical plots
are not for an anisotropic specimen but for two isotropic specimens in which effect
of the anisotropy has been approximately captured by changing the P-wave velocity
and attenuation. Clearly one cannot expect accurate theoretical prediction of the
experimental values by this simplified approximate analysis.

b
DO'ITIDLINB: 90 DEO. DDtBC110N

.t
.............•
.../

.
.2

Fig.2. (a) Reflected signals from single layer graphite-epoxy plate at 8=30" (top row)
and 60° (bottom row). Solid and dotted lines are for along the fiber (0") and across
the fiber (900 ) directions respectively. Time is in microsecond and frequency is in
MHz. (b) Theoretical prediction of R for anisotropic plate reflector. Solid and dotted
lines are for C1' and goo directions respectively.

675
REFLECTION BY DAMAGED AND UNDAMAGED MULTILAYERED COMPOSITES

To investigate the internal damage detection capability of the apparatus an

eleven layer fiber reinforced composite plate is used as a reflector. Each layer is
made of graphite fibers in epoxy matrix and has a thickness of 0.3 mm. Fibers are
oriented in 0 deg. and 90 deg. directions in alternate layers. A total of six 0 deg. and
five 90 deg. layers make the entire plate. A part of the plate is damaged by an impact
loading. If top surface of the layer number 1 is struck by the projectile (impact
loading), layers close to the bottom surface of the plate are damaged more because
of the stress wave reflection by the free bottom surface [Joshi and Sun (1985)]. Thus
damage in terms of microcracks and delaminations are observed more in layers 8
through 11. Experimentally obtained reflected signals are shown in Fig.3a for 9= 30
and 60 degrees. Acoustic signal over the damaged part is more for 9=30 deg. than
that over the undamaged part. The situation is reverse for 9=60 deg.

R is also computed theoretically for the eleven layer reflector at 0.7 MHz signal
frequency. p, a and f3 for 0 and 90 degree layers are taken identical to those given
in the previous section. When the material attenuation is ignored one obtains
variations of R as shown in the top figure of Fig.3b. R of the damaged composite is
computed by changing a and f3 values of the bottom layer to 5 and 1 km/sec from
10.1 and 2.1, km/sec respectively. The justification of this change is that if the bottom
layer is most severely damaged then wave velocities through this layer will be
Significantly reduced. Note that R of the damaged composite at 9=30 deg. increases
as observed experimentally. However, if we assume that there is no attenuation in the
material then at 9=60 deg. R for both damaged and undamaged composite should
be same theoretically. However, experimentally we see that the reflected signal from
the undamaged part is slightly higher than that from the damaged part. This
observation can be explained if we recalculate R by introducing some attenuation in
the layers of the damaged composite. Curves thus obtained are also shown in the
b

o
·1
• • • • • • ,. 80
-20L - - - - - - - - Jso N21Mft. . . . . . ~

time (fl ,sec)

..
00 • • ..:.~ • .:.. • . 7O 80

Fig.3. (a) Reflected signals from undamaged (solid lines) and damaged (dotted lines)
composites for 9=35° (top row) and 60° (bottom row). Time is in microsecond (left
column), frequency is in MHz (right column). (b) Theoretical predictions of R from
undamaged (solid lines) and damaged (dotted lines) composites. Top figure is for
no attenuation in the damaged composite, bottom figure is with attenuation in the
damaged composite
676
right figure by dotted lines in Fig.3b. The fine dotted line is obtained when the
material properties (ex and f3) of the bottom layer are changed to 5 and 1 km/sec in
addition to introducing the attenuation. The coarse dotted line is obtained when only
the attenuations of the layers are changed (q=10 for top six layers and q=5 for
bottom 5 layers) without changing any other material properties.

CONCLUSION

In addition to what is reported here it is found that the microscope is capable

of generating V(z) curves of isotropic and composite plates which match well with the
theoretical predictions. It can also predict the shape of internal defects in a material
when the reflected signals are passed through SDF filters and analysed by advanced
Signal processing techniques. Due to the page limitation of this paper those results
are not presented here

ACKNOWLEDGMENT

Partial support of this research under NSF grant number DMC-8807661 is

gratefully acknowledged. The first author would also like to thank the Alexander von
Humboldt foundation of Germany for their partial support.

REFERENCES

Atalar, A, 1978, An angular spectrum approach to contrast in reflection

acoustic microscopy, J. Appl. Phys., 49:5130.
Joshi, S. P., and Sun, C. T., 1985, Impact induced fracture in a laminated
composite, J. Compos. Mater., 19: 51.
Kundu, T, 1988a, Acoustic microscopy at low frequency, ASME J. Appl. Mech.,
55:545.
Kundu, T., 1988b, On the nonspecular reflection of bounded acoustic beams,
J. Acoust. Soc. Am. 83:18.
Kundu, T., Bereiter-Hahn, J. and Hillmann, K., 1991, Measuring elastic
properties of cells by evaluation of scanning acoustic microscopy V(z) values using
simplex algorithm, Biophysical Journal, in press.
Kundu, T., Mal, AK, and Weglein, A.D., 1985, Calculation of the acoustic
material signature of a layered solid, J. Acoust. Soc. Am., 77:353.
Kushibiki, J., Matsumoto, Y. and Chubachi, H., 1983, Material characterization
by acoustic microscope with line-focus beam, Acoustical Imaging, Pub. Plenum Press,
New York, 13: 193.
Kushibiki, J. Ohkubo, A., and Chubachi, N., 1982, Material characterization by
acoustic line-focus beam, Acoust. Imaging Publ. Plenum Press, New York, 12: 101.
Miller, A J., 1985, Scanning acoustic microscopy in electronics research, IEEE
Trans. Sonics & Ultrasonics, SU-32:320.
Weaver, J. M. A., Somekh, M. B., Briggs, G. A. D., Peck, S. D., and lIett, C.,
1985, Application of the scanning reflection acoustic microscope to the study of
Materials Science, IEEE Trans. Sonics & Ultrasonics, SU-32:302.
Weglein, A.D., 1979, A model for predicting acoustic material Signature, Appl.
Phys. Letters, 34: 179.
Weglein, A.D., 1982, Non-destructive film thickness measurement on industrial
diamond, Electronics Letters, 18: 1003.
Xu, P.-C., and Mal, AK., 1987, "Calculation of Green's functions for a layered
viscoelastic solid," Bull. Seism. Soc. Am., n:1823.

677
TRANSMISSION ACOUSTIC MICROSCOPY

INVESTIGATION

Roman Maev, Oleg Kolosov, Vadim Levin, Oleg Lobkis

Institute of Chemical Physics

Academy of Sciences of the USSR
Kosygin Str., 4, Moscow, 117334, USSR

KEYWORDS: scanning acoustic microscopy, output signal.

INTRODUCTION

The nature of acoustic contrast, i.e. the connection of the amplitude and phase of the
output signal of the acoustic microscope with the local values of the acoustic parameters of the
sample (density, elasticity, viscosity) is a central problem of acoustic microscopy. Two
approaches have become established to the analysis of formation of the output signal of the
microscope. In one of these approaches (C. Quate, 1978; A Atalar, 1979; H. Wikramasinghe, 1979)
the converging beam is regarded as an ensemble of plane waves and its interaction with the
sample is described by the methods of Fourier optics. The output signal is expressed in an
integral manner through the coefficient of reflection at the immersion liquid-sample interface
(reflection mode) or through the coefficient of transmission through the sample (transmission
mode) The coefficients of reflection and transmission carry the basic information concerning the
acoustic properties of the sample. Such an approach provides a possibility of constructing a strict
quantitative theory of output signal formation for objects with plane boundaries. Mathematical
difficulties confine the applicability of this approach, in the main, to numerical calculations. The
ray approach (R. Wilson and R. Weglein, 1984; W. Parmon and G. Bertoni, 1979), based on
geometrical optics, appears to be descriptive. Within the framework of this approach the focused
beam as an ensemble of rays interacting with the object. The incident rays are reflected and
refracted on the object boundaries in the usual manner: some of the rays, falling on the interface
at definite angles, excite side waves in the sample; outflowing surface waves or waveguide modes
(of Sezawa or Lamb type), etc. Propagating along the surface of the sample, such waves are re-
radiated again in-to the immersion liquid and participate in the formation of the output signal
of the microscope.
A considerable number of studies have been devoted to the formation of the output signal
of the reflection scanning acoustic microscope. For the transmission microscope this problem has
remained almost unstudied. Consideration was given only to the formation of the microscope
output signal only for an infinitely thin object, without taking into account the real from of the
coefficient of transmission (H. Wikramasinghe, 1983). Accordingly, no analysis has been made of
the mechanisms of acoustic contrast in the transmission mode. Some factors, defining the
contrast, may be indicated in a general form only: reflection on the boundaries of the object with
the liquid; attenuation of the ultrasonic signal in the sample; aberrations because of refraction
effects on the sample boundaries; re-reflections in the sample and resonance effects; the existence
of outflowing waveguide and their participation in the formation of the output signal of the
microscope, etc. The development of the ideas concerning the formation of the output signal of
the scanning acoustic microscope (SAM) must also provide a theoretical foundation for the
creation of methods for measuring the local physico-mechanical characteristics of the objects
under study.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 679
 At the first stage it is important to study theoretically and experimentally the formation
of the output signal when the geometry of the lens system varies in the absence of an object (for
instance, in the case of varying distance between the acoustic lenses).
The formation of an output signal at the receiving spherical focusing transducer in the
case of different axisymmetric acoustic fields falling on it was considered in (Gavrilov L. et aI.,
1988; Levin V. et al., 1990). It was show, in particular, that if the radiator is a similar spherical
transducer, the signal at the receiver is proportional to the field created by the radiator in the
centre of curvature of the receiver, Le. for such a system the output transducer is analogous to
the point receiver. The system of two spherical focusing transducers, discussed in the publication
cited above, is actually a simplified model of the confocal lens system of the acoustic microscope.
The presence of refracting surfaces, as well as aberrations of the acoustic lenses, complicate to
some extent the analysis of the confocal system of the microscope.

THE OUTPUT SIGNAL IN THE ABSENSE OF THE OBJECT

When the aberrations of the receiving lens are small, the signal at the recelvmg
transducer in the case of mutual dispacement of the lenses is equal (naturally, with an accuracy
to the proportionality factor) to the potential of the field which is created by the radiating lens in
the focus of the receiving lens (Maev R et al., 1991). This result may be used for experimental
verification of the structure of the acoustic field in the neighbourhood of the focus, this being a
complicated problem in the acoustic microscopy because of the small size of the focal area.
Experimental investigation of the confocal system of the TAM was carried out on an
independently manufactured laboratory mockup of the TAM with the working frequency of the
420 MHz. Acoustic lenses with the radius of curvature of about 500 \lm and aperture angle of 45·
were polished out in the end faces of two cylindrical sound conductors, made from All.03 single
crystals with an axis parallel to the axis C of the crystal (the length of the sound conductor is 20
mm; diameter, 6 mm).
At the end faces of the sound conductor, opposite to the lenses, CdS transducers with a
diameter of 2 mm were disposed. The electric channel of the TAM provided a possibility for
registering the amplitude of the microscope output signal in the case of the dynamic range of the
50 dB.
The geometry of the lens system (of the mutual disposition of the acoustic lenses in the
case of their plane-parallel travel) was measured of a three-coordinate two-stage positioner of
the lens system with a course mechanical feed (displacement 5mm) and a fine piezoelectrical feed
(displacement -10 \lm), the components of the displacement vector (defocusing) being measured
with three mutually perpendicular displacement transducers (DT -310, "Messtechnik" Co., FRG)
with the accuracy of 0.1 \lID. The output analogue signal of the transducers, proportional to the
displacement of one of the lenses, was fed to the coordinate input of a display or of an aoutomatic
recorder, which gave an opportunity for studying, say, the field distribution in the focal area of
the TAM in the plane perpendicular or parallel to the acoustic axis of the transmitting lens.

1.0 A(z)

0.5

r.\lm

Fig.1 Normalized output signal A for axial Fig.2 Normalized output signal A for off-
displacement of lenses (z - distance between axis displacement of lenses ( r - distance
focuses of the lenses, dashed line - theory, between acoustical axes of the lenses,
solid line - experiment). dashed line - theory, solid line - experiment).

680
 Comparing the one-dimensional dependences of the TAM output signal on the
displacement along the axis r (in focal plane) and z (along acoustical axis), obtaied on the given
apparatus, with those calculated theoretically), a good coincidence for the main maximum can
be noted (fig. 1,2).

FORMATION OF THE DEPENDENCE OF THE OUTPUT SIGNAL OF THE TRANSMISSION

ACOUSTIC MICROSCOPE ON THE LOCAL PROPERTIES OF PLANE-PARALLEL OBJECTS

As the focused beam passes through a thin plate, the rays, after being refracted twice,
emerge from the plate in parallel to the initial directions, but shifted with respect to them. The
value of this shift depends on the incidence angle of the ray. As a result, the rays falling at
different angles will be collected at different points of the acoustic axis; accordingly, the focus of
the converging beam after passage through the plate shifts and becomes blurred. Since the cone
of rays detected by the receiving transducer narrows because of the cone blurring, the level of the
output signal. The magnitude of the output signal variations, caused by refraction, depends on
the ratio of sound velocities in the immersion liquid and in the sample. This effect is one of
sources of acoustic contrast for the transmission spectroscopy.
Two more physical phenomena arising in the interaction of the focused beam with the
plate affect the value of the microscope output signal: reflection on the sample boundaries and
attenuation in the sample itself. We shall give particular attenuation to sample with small
modulus of shear (biological samples, polymeric films, etc.) in view of the possibility to construct
a simple physical model and of the practical importance of the transmission acoustic microscopy
for the investigation of such class of objects (Maev R., 1988).
The effects caused by the refraction of the focused beam may be used for measuring the
local visco-elastic properties of the sample. We have proposed a novel method of such
measurements (Kolosov 0. et al., 1986; Kolosov O. et aI., 1988), employing the dependence of the
microscope output signal A on the distance z between receiving and transmitting lenses. In the
absence of an object the output signal in the lens system of the transmission microscope is
maximal when the foci of the lenses coincide; as the lenses shift, the signal declines rapidly,
undergoing usual diffraction oscillations. If an object in the form of a plane-parallel plate is
placed in the path of the focused beam, the rays falling on the plate under different angles 0,
after having passed the plate, are collected on the acoustic axis of the lens in the point shifted
with respect to the initial focus of the emitting lens by /jz

/jz = d(J - tg'/l /tge) ,

where d is the plate thickness, '/I - is the angle of refraction in the object. The small e (paraxial
approximation) /jz does not depend on e and it is determined by the ratio of the velocities of
longitudinal sound in the liquid Vim and in the object liz

/jz = d(J - ViMnJ. (2)

For sound beams with a small angular aperture it may be assumed that for the
transmitted beam there arises a new position of the focus, whose shift is described by
formula (2). Determining the value /jz from the curves A(z), the local velocity of sound in the
sample may be found from this formula (2), while the value of the coefficient of transmission
may be found measuring the ratio of the maxima on the curves A (z). From the value of the
transmission coefficient, taking into account the coefficient of reflection , it is possible to
estimate the local value of ultrasound absorption in the sample. The possibility the sound
velocities and absorption by such a method confirmed experimentally on polymeric films of
collagen fibres, etc. (Maev R., 1988)
In the acoustic microscope, however, high-aperture beams are usually used, which
undergo considerable aberrations, when passing through the object under investigation. The
trailing points of the refracted rays for different e are located, according to (1), in different
points of the acoustic axis. The length of the segment defined by these points is comparable with
their shift M. Therefore, for the interpretation of the experimentally obtainA(z) - curves a more
detailed theory of formation of the transmission acoustic microscope output signal is required.
For the realization of this program, a general equation has been derived for the output signal A
of the microscope, which relates in an integral the output signal with the coefficient of
transmission through the plate T.

681
GENERAL EQUATION FOR THE OUTPUT SIGNAL OF THE TRANSMISSION ACOUSTIC
MICROSCOPE

Assuming within the framework of the simplest approximation that the field created by
the focusing lens is an ensemble of the plane waves lying within the angular aperture of the lens
em, the output signal is determined by the character of the angular dependence of the coefficient
of transmission T(e,d) within the angular aperture em of the lens system (Maev R. et al., 1991):
em
A(z,d) = BJ T(d, e) exp{ik(z-d) case} sine de. (3)

The coefficient of transmissfon T in the general case has a complicated dependence on e,

determined by the possibility of resonance effect. We shall confine ourselves to the simplest case
of objects with a small modulus of shear and a longitudinal acoustic impedance close to the
impedance of the immersion liquid. For such objects it turns out possible to construct a consistent
quantitative theory of the formation of the output signal A and of the dependence A (z).

FORMATION OF THEA(z) - DEPENDENCE FOR OBJECTS WITH SMALL MODULUS OF

SHEAR

We have considered samples, in which the velocity of shear waves Vt is essentially

smaller than the velocity of longitudinal waves ~. Since the coefficient of sound absorption is
inversely proportional to the cube of the corresponding velocity of propagation (Xl - V- 3, for
these samples a considerable absorption of the shear waves, appreciable exceeding the absorption
of the longitudinal waves, is characteristic. In view of this fact the contribution of the shear
waves to the coefficient of transmission T(e) may be neglected. Just such a case is realized for a
large number of polymeric and biological systems, if water is used as the immersion liquid. Here
the densities and velocities of the longitudinal sound in the samples and in the immersion have
close values and the ratio of their longitudinal impedances is close to 1. Under these conditions
the reflections of the longitudinal waves from the sample boundaries and, correspondingly, the
resonance effects in the sample may be neglected. Then for sufficiently thin samples d < 1/(Xl ,
in which the absorption of the longitudinal sound may also be neglected, the coefficient of
transmission T(e,d) turns out to be equal to the phase factor, corresponding to the change of the
phase of the falling wave during its single passage through the sample
(4)

Since the aperture em is limited, the phase lP(e) is expanded in the powers a small
parameter X = 1 - case:
(5)

where lP0 = k[z-d (1- VimlVt) 1(Bukhny M., et aI., 1990).

For lenses with a small aperture (em < 15+25°, x < 0.1) in the expansion (5) only the first
term may be left. In this case the expression for the shift of the main maximum of A(z) exactly
corresponds to the paraxial approximation considered in (1) on the basis of ray concepts. If the
attenuation of ultrasound in the sample is disregarded, the value of the main maximum does not
depend on the sample thickness d. This means that in the paraxial approximation attenuation of
the signal due to aberration does not occur.
For a more accurate determination of dependence between the position of the main
maximum and the acoustic properties of the object it is necessary to take into account the
flowing expansion in (5), quadratic in x m' especially for lenses with the angular em - 25°- 45°.
The amplitude of the output signal is expressed in this case through Fresnel's complex integral.
It is convenient to investigate the character of the A(z) - dependence by using geometrical
constructions on the basis of Cornu's spiral. Such an investigation makes it possible to derive an
expression for the position of the point of symmetry of the curve A (z), dependent only on the
sample thickness d and the ratio Vz/Vim :

(6)

Let us considerin more detail the shape of the curve lA(z)1 at different thicknesses of the
plate. Thus, in the case of moderate thickness d < 3A/x2(J-JIllVim) the curveA(z) is close in its

682
 character to the plot of the function lsinCz-zo)l/ Cz-zo) : it has a clearly pronounced main
maximum, disposed in the point of symmetry z = Zo and sufficiently rapidly declining side
maxima. For such samples the A(z) - dependences, as in the case of using the paraxial
approximation, are close to the diffraction curve, but with a refined position of the main
maximum (according to (6)). In the case the minima of the curve lA(z)1 are not equal to zero; as d
grows, their values increase. The value of the main maximum, which at small d does not depend
on d, begins to diminish as the thickness d grows, and the maximum itself broadens.
For objects having a greater thickness, when d»3A/x2(1-VzlVim) on the curve lA(z)1
on the both sides of the pointz - Zo there arises a wide region of appreciable values of the output
signal with the width Az - (1- V v'Vim)(l - cos em) d Yt/Vim approximately equal to the
distance between the trailing points of the paraxial extreme rays of the focused beam, defined by
Equation (1). Within this region the amplitude of the output signal experiences underoscillations.
Outside this region the signal declines rapidly. Such type of theA(z) - curves originates only for
the samples, whose thicknesses are great: thus, when em - 20°, the thickness of the sample must
exceed 4000;\. The possibility of investigating such samples is not obvious, both in view of purely
structural design features of transmission microscopes and because of strong absorption of the
focused beam in the sample.
Thus, for the class of objects considered by us, in the experiment there be observed only
the A(z) - dependence with a definitely pronounced main maximum, the position of which is
determined from (6) with an error of the order of x 2. When em - 40° , this about 6%; when
em - 25°, the error is 1% only. With the same accuracy we can calculate from (9) the local velocity
of longitudinal sound in the sample, the scale of the locality being comparable with the
resolution of the microscope and, depending on the frequency employed, varying from to tens of
microns. The above-described character of theA(z) - dependences, obtained from the plots on the
basis of Cornu's spirals, was also confirmed by the results of our calculations of the A(z) -
curves collagen samples of different thickness (Yt = 1.74 .105 cm/s, Vt = 0) and water
(~m -1.5 ·1()f> cm/s) as the immersion liquid.
The results set forth above constitute a theoretical basis for application of the
transmission acoustic microscopy for quantitative measurements of the local elastic properties
of materials (Maev R et al., 1991). These techniques were used by us in the experimental
investigation of the viscoelastic properties of polymers and collagen samples.

REFERENCES

Atalar, A, 1979, A physical model for acoustic signatures. JAppl.Phys., 50:8237.

Bukhny M., Kolosov 0., Levin V., Maev R, 1990, Formed A (z) - dependence in transmission
acoustic microscope. JASA Cin press).
Gavrilov LR,Dmitriev V.N.,Solontsova LV., 1988, Noncontacting method for investigating the
the sound fields of focusing ultrasonic transducer, JASA. 83:1167.
Kolosov 0., Levin V., Maev R, Senjushkina T., 1986, Acoustic microscopy of collagen tissues. In
book "Biomechanics" (in four volumes) Riga, USSR, 1:200.
Kolosov 0., Levin V., Maev R, Senjushkina T., 1987, Investigation of viscoelastic properties of
biopolymers using transmission acoustic microscope. Proc. V Soviet-FRG symp. "New
methods and instruments for microcopy" Moscow, 141.
Levin V.M.,Lobkis O.l.,Maev RG., 1990,Investigation of structure of acoustical fields by spherical
focusing transducer, Sov.Phys.Acoust.,36:696.
Maev R, 1988, Acoustic microscopy. Real states and perspectives. Review. Bulletin of USSR
Academy of Sciences, 2:74.
MaevR, 1988, Scanning acoustic microscopy of polymeric materials and biological substances-
Review Jour. Archives of acoustics,13:13.
Maev R,Kolosov 0., Levin V., Lobkis 0.,1991, Investigation of transmission acoustic microscope,
J. Microscopy (in press).
Parmon W., Bertoni H., 1979, Ray interpretation of the material signature in the acoustic
microscope, Electr. Lett. 15:684.
Quate C.F., Atalar A, Wikramasinghe H. 1978, AM with mechanical scanning. Review. Proc. IEEE
§1!,67:1092.
Weglein RD., Wilson RG., 1984, Characteristic material signature by acoustic microscopy, Electr.
Lett., 14:352.
Wickramasinghe H., 1979, Contrast and imaging performance in the scanning acoustic
microscopy. J. Appl. Phys., 50:664.
Wickramasinghe H., 1983, Scanning acoustic microscopy. A Review. J. Microscopy., 129:63.

683
 ACOUSTIC MICROSCOPE FOR MEASURING ACOUSTIC PROPERTIES
BY MICRO-DEFOCUSING METHOD

Noriyoshi Chubachi, Hiroshi Kanai, Toshio Sannomiya,

and Toshihiro Wakahara
Department of Electrical Engineering
Faculty of Engineering, Tohoku University
Aramaki-aza-Aoba, Sendai 980, Japan

INTRODUCTION

In the literature, much work has been reported on measurement and imaging by
acoustic microscopy. In a typical method of quantitative measurements[1], the phase
velocity and the propagation attenuation of a leaky surface acoustic wave(LSAW) are
determined from the interference period ~z and the slope of the V(z) curve, respectively.
When the propagation attenuation of a sample is large, sufficient defocused distance
necessary for such analysis cannot be attained.
In order to overcome this and other problems, we propose a new method to de-
termine the acoustic properties of a sample by analyzing V(z) values measured in the
micro-defocusing range (~z ~ a wave length in water). We also propose a new-type of
ultrasonic transducer to be applied to this micro-defocusing method. In this paper, we
described the principle of the method and the new-type transducer. Then, the principle
is confirmed by experiment.

ORDINARY V(z} ANALYSIS AND ITS PROBLEMS

Let us consider the simplest case of one LSAW mode. When the sample is brought
close to the acoustic lens by a distance z, (z < 0) from the focal plane, the transducer
output of V(z) detected at the ultrasonic transducer is dominated by two components;
one component VL(z) is the transducer output due to the acoustic wave propagating along
path (#0) directly reflected from the surface of the sample, and the other component
VI(Z) is the transducer output associated with the waves propagating along path (#1)
due to the LSAW component propagating on the boundary. Thus, the transducer output
V(z) is expressed by
V(z) = VI(z)+ VL(z). (1)
Let us assume that V(z) be sampled at the interval oz, that is, z = n· oz, where n is the
sample number (n = 0,1,2, ... ). Based on reference[1] which uses the ray theory along the
paths #0 and #1 in the water or on the boundary, each of these two components is
expressed by a damped complex sinusoidal as follows:
(2)
PI = exp(2-y. oztanB LsAw - 20iwOZ/cosBLSAW) x exp(j2k w coslhsAW' oz),
PL = exp(-20i w OZ) x exp(j2kwoz),
kw, kLSAW , and BLSAW are the wave number in water, the wave number of the LSAW
on the boundary, and the critical angle for the LSAW, respectively. Let quantity Vw be

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Ptess, New York 1992 685
the longitudinal velocity in water and VLSAW be the phase velocity of the LSAW. Then,
kw = 21rf /vw , kLSAW = 21rf /VLSAW, and 8LSAW = sin-1(vw/VLSAW), where f is a frequency.
The quantities a w and -yare the normalized attenuation factors for the longitudinal wave
in water and for the LSAW, respectively. OL and OJ are the assumed complex constants
describing the amplitude and phase characteristics of VL(Z) and VJ(z), respectively, at the
focal plane (z = 0). Due to the interference between VL(Z) and VJ(z), the amplitude curve
/V(z)1 = /VLCz) + Vi(z)1 has a few dips in the measured defocusing range. By letting the
phase difference between VL(Z) and VJ(z) be equal to 21r, the dip interval ~z is described
by ~z = 1r/(I-cos8LSAW)kw. Using Snell's law, VLSAW is obtained by the measured ~z. In
an ordinary system[I], VLSAW is determined from the dip interval ~z, which is obtained
by applying the FFT on the V(z) curve measured by an acoustic microscope. The
attenuation -y of the LSAW is determined from the slope of the interference amplitude
/V(z)l·
For fused-quartz and other samples, the interference period ~z is usually more than
several wave lengths in water. In order to detect the interference period ~z from the
V(z) curve using the FFT as well as to determine the slope 1} of the In/V(z)1 curve, it is
necessary to measure the V(z) curve at a defocus range of several times the interference
period ~z. As a result, the maximum width of the beam-spot covers a measurement
area more than several tens of times the wave length in water. Thus, it is difficult to
measure the acoustic properties of a sample with a high resolution by the conventional
acoustic microscope system.
Moreover, when the propagation attenuation of a sample is large, sufficient de-
focused distance to measure the acoustic properties by periodicity analysis cannot be
attained. From the results of theoretical analysis[2], there is a large amount of variance
in the estimation of the frequency fo when the FFT is applied on the sinusoidal wave
which has only about one period. Therefore, it is necessary to develop a new method
not depending on the FFT to determine acoustic properties of the LSAW from the V(z)
curves measured in the micro-defocusing range.

PRINCIPLE OF MICRO-DEFOCUSING METHOD

From Eq. (2), each component of LV1(z), InIVi(z)l, LVL(z), and In/VL(z)1 varies on
the straight line. Let define their gradient as follows:

6 = 8LVJ(z)
def
8z = 2kw cos8LSAW • (3a) c ~f 8LVLCz) - k
<"L - 8z - 2 w. (3b)
def 81n IVi(z)1
'f/J = 8z =-2-yztan8LsAW+2awz/coslhsAW. (3c) 1}L ~f 81n/VL(z)1 = -2a w. (3d)
8z
Using Snell's law, VLSAW is obtained from the gradient eI of Eq. (3a) by

VLSAW = VI - VW
(eJvw/41rj)2
. (4)

Thus, if VJ(z) is obtained separately from V(z) and VL(z), VLSAW is determined by sub-
stitutin~ the gradient eJ into Eq. (4) after obtaining the value of Vw from either the
relationl3] between temperature and Vw or from the measured gradient eL of VL(Z) in
Eq. (3b). The normali~~d factor -y for the LSAW is determined from the gradient 1}J
of In/VJ(z)1 by using either the relation aw/p = 25.3 x 1O-17 s2/cm[4] or the measured gra-
dient 1}L = -2aw in Eq. (3d). Therefore, both VLSAW and the attenuation properties of
the LSAW are obtained from the V(z) curves measured in the micro-defocusing range
without relying on periodicity analysis methods such as the FFT.

A NEW-TYPE ULTRASONIC TRANSDUCER

For the purpose of obtaining the two components VL(Z) and Vi(z) separately, a new
type of transducer ("butterfly" transducer) is introduced into a conventional point-foe us-
!:>eam (PFB) lens transducer system as shown in Fig. 1. The transducers are divided
mto a center part and the pair of surrounding parts. The radius a of the center part
and the inner radius b and the outer radius c of the surrounding parts are determined as
follows. Let R denote the distance of path (#1) from the z-axis as shown in Fig. 1. In
terms of VLSAW, R is described by R =r sin[tan- 1 { vw/( v'VLSAW - v~ - VwVLSAW /V.)}] , where

686
T is the radius of curvature of the PFB lens and v. is the longitudinal velocity in lens.
By taking into account some margin, the radii band c are determined from the range of
expected VLSAW values of the samples to be measured. The radius a is determined so as
to make a as close as possible to b.
For the study of anisotropic materials, several directional transducers have been
proposed in the literature[5] such as the bow-tie[6] and the oblong[7] transducers in PFB
microscopes to obtain directional images with high resolution. In the bow-tie transducer,
the effect due to beam steering is not considered. In the oblong transducer, for LSAW
with high phase velocity the resolution for detecting directionality is reduced.
In- this paper, the butterfly-shaped transducer
is proposed and the circular center electrode is sur-
rounded by a pair of fan-shaped components with the
angle ¢, of which centers 0' do not coincide with the
center of the whole of the transducer. As shown in
Fig. 1, the eccentric radius d is determined from the
position of the point A where the longitudinal wave in
water reaches the sample at the incident angle (hSAW
and the LSAW starts to propagate on the boundary
with power flow angle ¢. For the defocus distance
z around where the measurement data is obtained,
let d satisfy the relation d = z tan 0LSAW. Using the
transducer, the two components VL(Z) and Vr(z) are
obtained separately by controlling the transducer out-
put as described below.
ACOUSTIC : ': : ZnO TRANS-
LENS ' <t . , DUCER
SIGNAL PROCESSING FOR SEPARATING VL(z) R :, , :
AND Vr(z)
: I
c •
Let Vo(z) and Vl(z) be the complex responses i l:
of the central and fan-shaped transducers to the in-
put amplitudes 10 and 11 • Since the acoustical wave
propagates through the lens, water/sample, and back
to the lens in sequence, these propagation paths are
divided into three phases as shown in Figs. 2( a),
2(b), and 2(c), respectively. In the first and third
phases in Figs. 2(a) and 2(c), the diffraction effect
cannot be neglected. Let the complex coefficients
{H;j,Gj;},(i = 0,1;) = L,I) denote the transfer system Fig. 1. Cross-sectional and top
due to the diffraction. The complex coefficients HL(z) views of the proposed
and Hr(z) in Fig. 2(b) denote the transfer system due new-type of butterfly
to the two components VL(z)(path #0) and Vr(z)(path transducer. The elec-
#1) in Eq. (2), respectively. Thus, the output Vo(z) trodes are divided into
and Vl(z) are described as follows: two parts.

Vo(z) = (IoHoL + 11 HlL)HL(z)G LO + (IoHor + I1HlI)Hr(z)Gro

Vi(z) = (IoHoL + I1HlL)HL(z)GLl + (IoHor + ltHlI )Hr(Z)GIl (5)

10
1\ II
I \ II
: \ I I
I I( I
I I ~ I
I, , I

"

777777777777.
Fig. 2. :rhe propagation paths of ~aves are divided into three phases (a) in the lens, (b)
III water/sample, and (c) III the lens. Complex coefficients {Hoj , G;j}, (i = 0,1;) =
L, I), HL(z), and Hr(z) denote the corresponding transfer systems.

687
In these equations, HL(z) and Hr(z) are equivalent representations of VL(z) and V[(z),
respectively. By defining the complex constants {Cij = (IoHodhHI;}Gij}, (i = L, Ijj = 0,1),
Eq. (5) can be written in matrix form.

Cro) (VL(z») (6)

CIl V[(z)·

Using Eq. (2), the sampled Vo(n· oz) and Vi(n. oz) at the interval oz are modeled by

Vo(n· oz) = C~oPr. + C}opj, (7a)

Vi(n· oz) = Cbpr. + C}IPj, (7b)

where {Cl j = Cij . Ci }, (i = L,Ij j = 0,1). By applying Prony's method[8] simultaneously to

the observed Vo(n.oz) and Vi(n.oz), both poles PL and Pr and their complex amplitudes C~o,
Cjo, C~l> and Ch are estimated by solving twice the linear simultaneous equations derived
by minimizing the average power of the difference among the terms in the right-hand
and the left-hand sides of Eqs. (7a) and (7b). Using the resultant coefficients,

( '?"l(Z») ~f (VdZ)/CL) _ ~ ( Ch -C}o) (Vo(z») (8)

VJ(z) V[(z)/Cr - D -Cb C~o Vi(z)

where D = C~oCh - qoCb. The gradient eL, er, 'TJL, and 'TJI are not affected by the
constants l/CL or l/Cr in Eq. (8). Thus, once the coefficients C~o, C~l> qo, and CII are
determined using the procedure described above, Vl(z) and Vf(z) can be obtained from
the observed outputs VQ(z) and Vi(z) of the proposed transducers from Eq. (8), and then
the phase velocity VLSAW and the propagation attenuation 'Y can be determined.

EXPERIMENTAL RESULTS

Figure 3 shows the measured Vo(n. oz) and VI(n. oz) for a sample of fused quartz
and the estimated Vo(n. oz) and Vi(n. oz) modeled in Eq. (7). Each of them are multi-
plied by exp(-j2k~ozf3),((3 = 0.96), where k~ is obtained from temperature. By multiplying
exp(-j2k~oz(3), each of the phases LPL and Lpr is decreased from 2kwoz and 2kwoz cos (hSAW
to 2(kw - k~(3)oz and 2(kw cos IhsAW - k~(3)oz, respectively. Employed frequency f is 200
MHz. By applying the non-linear least square optimization technique using the pa-
rameters obtained by Prony's method as initial values, satisfactory results are obtained
because both of the measured and the modeled data coincide well in phase and ampli-
tude.

:g:;gr~czl" WoCzll '1 l !Ydzll

iII-20
::::'--40 ,
-
]
~ +: --~-----------~
~ _~ J~~(z)~~F- (a)
n,~L~VL~CZ~l~~==~L
:g~~gf~j : : --J
.b
~+:
50 100
..... ~
~ _~ -l~-cz)-~--------'~
150 200
DEFOCUS DISTANCE z (I'm)

Fig. 3. The characteristics of the mea-

(b)
!]*L 50 75 100 125
DEFOCUS DISTANCE z (I'm)

Fig. 4. Two components V{(z) and Vf(z)

sured Vo(z) and VI(z) and the esti- obtained separately from the mea-
mated Vo(z) and i\(z) in Eq. (7). sured Vo(z) and VI(z) using Eq.
(8).

688
 By substituting the resultant complex coefficients into the right-hand side of Eq.
(8), the two components V{(z) and Vf(z) are obtained separately from the measured Vo(z)
and V1(z) as shown in Figs. 4(a) and 4(b), respectively. Each term are multiplied by
exp( -j2k~8z/3), (/3 = 1). The phase characteristics are represented by almost straight lines,
which means that both components V[(z) and VL(z) are successfully obtained from the
transducer outputs VQ(z) and V1(z). By determining the average gradient eL and e[ of
LV{(z) and LVf(z) in the defocusing range from 30jlm to lOOjlm, the phase velocity Vw and
VLSAW of fused quartz are obtained as Vw = l496m/s and VLSAW = 34l4m/s, respectively,
which are reasonable values. Thus, the principle of the micro-defocusing method is
successfully proved by the experiments.

CONCLUDING REMARKS

This paper proposes a new method to obtain acoustic properties by analyzing the
transducer outputs which are measured within the micro-defocus range. Some experi-
ments confirm the principle for separating VL(z) and Vj(z) from Vo(z) and Vi(z) measured
by a new-type of ultrasonic transducer which has two electrodes. The determination of
attenuation properties and sample anisotropy by applying the micro-defocusing method
is currently under investigation.
The proposed micro-defocusing method has the following special merits.
(1) In conventional methods[l], it is necessary to measure V(z) curves in the defocusing
range several times the interference period Az. In the proposed method, however,
both acoustic properties can be determined from the V(z) curves measured in the
micro-defocusing range within Az. Therefore, it should be effective in measuring the
acoustic properties of samples with large propagation attenuation such as biological
tissues or bones.
(2) Since the necessary defocusing distance is very short, the acoustic properties can be
obtained for each micro area of the sample with high resolution.
(3) When the additive noise in V(z) is random Gaussian noise, the noise component in
phase LV[(z) is also approximately random Gaussian noise. Thus, by applying the
least square technique to the determination of the gradient ([, unbiased estimates
can be obtained. Moreover, by increasing the sampled number N within the micro-
defocusing distance, the variance of the estimates is decreased in proportion to lIN.
These desirable characteristics cannot not be obtained in the FFT analysis.
(4) In high SIN cases, all gradients are determined by measuring VQ(z) and Vi(z) only
at the two defocusing points Zl and Z2. This property is useful in constructing an
acoustical imaging system because the two-dimensional distribution of the acous-
tic properties of a sample is determined by measuring V1(z) and Vo(z) only at two
defocused planes z = Zl and z = Z2 near a focal plane.
Thus, the acoustic microscope system constructed based on the proposed method is
expected to play a significant role in the fields of acoustical imaging and ultrasonic
micro-spectroscopy.

REFERENCES

[1] J. Kushibiki and N. Chubachi, Material characterization by line-focus-beam acoustic

microscope, IEEE Trans. SU-32:189 (1985).
[2] H. Kanai, N. Chubachi, and H. Suzuki, A study on spectrum estimation -A method
to evaluate accuracy of periodicity analysis of short length signal using FFT-,
Proc. Spring Annual Meet. Acoust. Soc. Jpn. (March 1991) [in Japanese).
[3] M. Greenspan and C. E. Tschiegg, Speed of sound in water by a direct method,
J. Res. Nat. Bur. Stand.59:249 (1957).
[4] J. M. M. Pinkerton, The absorption of ultrasonic waves in liquids and its relation to
molecular constitution, Proc. Phys. Soc.B20:129 (1949)
[5] J. A. Hildebrand and L.K. Lam, Directional acoustic microscope for observation of
elastic anisotropy, Appl. Phys. lett. 42(5):413 (1983).
[6] D. A. Davis and H. L. Bertoni, Bow-tie transducers for measurement of anisotropic
materials in acoustic microscopy, IEEE Ultrason. Symp. proc.:735 (1986).
[7] N. Chubachi, et. al., Acoustic images observed by directional PFB microscope,
18th Symp. Acoust. Imag.(1989).
[8] J. D. Markel et. al., "Linear prediction of speech", Springer, Heidelberg(1976).

689
OBSERVATION OF MICROCRACK DAMAGE IN Al z 0 3 -CERAMICS BY SCANNING ACOUSTIC

MICROSCOPY AND SMALL ANGLE X-RAY SCATTERING

S. Pangraz*, E. Babilon+, and W. Arnold*

* Fraunhofer-Institute for Nondestructive Testing
University, Bldg. 37, 6600 Saarbrucken, FRG
+ Institute of Reactor Materials, Forschungszentrum JUlich
KFA, Postfach 1913, 5170 JUlich, FRG
present address: IngenieurbUro flir Ursachenermittlung
Preusweg 74, 5100 Aachen, FRG

INTRODUCTION

In some coarse-grained monolithic ceramics such as alumina one can

observe an increase in crack resistance with increasing crack length
(R-curve behavior). Amongst the mechanisms which are postulated to
contribute to the increasing crack resistance of alumina is the energy
dissipation by formation of microcracks in a damage zone around a macro-
crack. As this microcrack formation gives rise to a reduction in all
elastic modulus, it should be possible to study the existence of such
microcracking by measuring the appropriate sound velocity in materials
exhibiting R-curve behavior. We undertook such measurements together with
Small Angle X-Ray Scattering experiments.

MICROCRACK MODEL

The R-curve behavior describes an increase in crack resistance with

increasing crack length. Because plastic deformation as known for metals
in a zone around the crack tip is negligible for brittle materials like
ceramics, other explanations for the R-curve behavior of ceramics must be
considered. Load induced changes in the microstructure at the crack tip
and in the wake zone are postulated, causing microcracks at the grain
boundaries of the brittle material 1 ,2. Microcracking occurs when the
superposition of the applied stress and the residual stress caused by
anisotropic thermal expansion coefficents is larger than the fracture
stress. The microcracks are arranged inside a frontal damage zone
(Fig. 1). Microcracks represent a damage of the material, causing a
reduction in the elastic moduli of the material, and therefore in the
sound velocity of the damaged zones 1 ,2.

EXPERIMENTAL RESULTS

We have investigated by Scanning Acoustic Microscopy (SAM) and by

Small Angle X-Ray Scattering (SAXS) a stable grown crack (crack length
- 1.9 rom) in a polished short Double-cantilever-beam (s-DCB) specimen
made out of Al z 0 3 -ceramics of type AF 997 (manufactured by Desmarquest)

Acouslicallmaging, Volume 19
Edited by H. Etmert and H.-P. Harjes, Plenum Press, New York 1992 691
showing mainly intercrystalline crack behavior. Information on the
material can be taken from the following table:

Purity Density Grain Size Bending Young's Crack

Strength Modulus resistance Ro

98.5% 3.8 g/cm 3 10 - 30 J.lIn 300 MPa 365 GPa 20 J/m2

Ro is the initial crack resistance of the unloaded s-DCB-specimen 3 •

In order to obtain the Rayleigh wave velocity (v R ), we have carefully
measured V(z)-curves at the unloaded sample close to the wall and the tip
of the macrocrack. For the measurements we used a spherical lens working
at 1.8 GHz with a 20 J.lIn radius of curvature. The temperature of the
couplant water was 60 °C. At each measurement point five V(z)-curves were
taken, and the calculated values of the Rayleigh wave velocity were
averaged. The measurement points were selected such that no inhomogeneity
like pores could influence the V(z)-curve. The obtained results were
averaged with the one from the nearest neighbouring measurement points to
smooth out the scattering of the data. The spatial resolution for
V(z)-curves is given by the maximum spot size of the acoustic beam which
is approximately 10 J.lIn for the lens employed.

Macrocrack

Microcrack

Process zone

Fig. 1. Schematic representation of a process zone containing microcracks

around a macrocrack in ceramics

The results of vR measurements along the crack towards the crack tip
are shown in Fig. 2. Obviously v R is reduced close to the crack wall and
the crack tip relative to the undamaged material. With increasing
distance from the notch the reduction of the Rayleigh wave velocity
becomes larger and two different zones of damage appear. Zone I closest
to the crack wall has a maximum reduction of 10% of surface modulus at
the crack tip (dotted lines). The size of this zone is approximately
100 J.lIn. Zone II (dashed lines) with a size of - 400 J.lIn shows a constant
v R which is 5% less than the one in the undamaged material. These
findings corroborate and extend the measurements taken earlier on other
samples 4 •

Two different zones of damage were also found by Small Angle X-Ray
Scattering (SAXS) (Fig. 3)5. Here, the measurement effect is based on
local differences of the electron density arising from inhomogeneities
with respect to the matrix. Because all these inhomogeneities like pores,
cracks, grain-boundaries, give a non-separable contribution to the scat-
tered X-ray intensity, load-induced scattering can only be determined by
comparing the scattered intensities of the loaded sample with an unloaded

692
reference sample. The difference is a measure for the microcrack density,
because phase transformation can be excluded. The so measured microcrack
distribution shows two different zones which have the same sizes as the
zones discerned from V(z)-curves.

Relative Raylelghwave velocity [VR,d/VR,u I

1.00
0.98

--.- ....... ,. ,. ..
0.96
0.94 . r~·"''''..... ... ....
, ......... -".
0.92
,A--.'
0.90
........... ,,,, /
---
,~""'.--
505
.• e ..
........... - .,' ._r
..'."
....'
.

o 100 200 300 400 500

Distance from crack wall [1Jfl11

Fig. 2. Measured reduction of the Rayleigh wave velocity as obtained by

evaluating V(z)-curves along a macrocrack of 1.9 mm length in a
s-DCB-sample of Al 2 0 3 -ceramic type AF 997

DISCUSSION
A possible explanation for these two zones can be found in the
stress field built up around the macrocrack during loading. In this state
the material will be damaged due to microcracking and the grade of damage
depends on the magnitude of the stress field.
The surface of the crack wall is under the used loading conditions
stressfree, but the stress field increases rapidly into the volume up to
a maximum value, then decreases with l/vr 6 (Fig. 4). We therefore get a
region with high stress concentration and large stress variations, cor-
responding to zone I followed by a region with quite constant stress
field, corresponding to zone II. In zone II due to the superposition of
the applied stress field with the residual stress the total stress can be
locally larger than the critical stress arne where microcracking occurs.
For a certain distance from the main crack wall the total stress is
locally too small to generate an appreciable number of microcracks. It is
remarkable that the reduction of the Rayleigh wave velocity becomes
larger with increasing distance from the notch towards the crack tip.
This can be interpreted as an increase in material damage in agreement
with the argument derived from the microcrack model that the process zone
size or the microcrack density should increase in order to explain the
increasing crack resistance with increasing crack length l ,

693
 *300
~
·iii
c:
CD
~ 200 Length of measuring path
o

e
~ .1mm
.2mm

.~ 100
'0
CD
U)
as
~ O+--------r------~----~~~======~
.E 0 100 200 300 400
Distance from crack wall I IJm J
Fig. 3. Measured increase of the microcrack density obtained by SAXS

Stress
,.
/
/\\, ..........
.. ------_/

Ome
°appl. ----------- z~ne II Zone II I undamaged
material

Distance from crack wall Distance from crack wall

Fig. 4. Schematic comparison of the stress distribution normal to the

crack wall at a macrocrack with the measured curves of reduction
of the Rayleigh wave velocity

Rayleigh waves are elliptically polarized surface waves which have

longitudinal as well as shear displacements, but the shear displacements
are dominant. Therefore, we assume that the reduction of the shear
mOdulus at the surface is predominantly measured by V(z)-curves. Under
the presence of microcracks the Young's modulus is reduced which in turn
leads to a reduced shear modulus in the following way2,7:

Gm (Em
) (10 + v o +v )
) /10 (1o
(1)
G=E
Here, Vo is Poisson ratio, G is the shear modulus, E is the Young's
modulus and the subscript stands for damaged (for alumina Vo - 0.23). The
reduction in the elastic properties depends on the microcrack density p,
given by7,8:

694
 45 (2 - v )
o (2)

By inserting the measured reductions of G into Eqs. (1) and (2), p

in the two damaged zones can be calculated to be 13% of all grain
boundaries for zone I near to the crack wall and to be 5% for zone II. In
both cases the maximal reduction of the Rayleigh wave velocity was used
to calculate G and hence p.

Shielding of the crack

The stress intensity factor K is a measure for the crack driving

force. When K reaches a critical value the macrocrack propagates. The
ratio of the stress intensity factors of the material containing
microcracks (~) to the undamaged material (K) depends on the loading
conditions, on the reduction of the elastic moduli, on the microcrack
orientation, on the microcrack density, and on the shape of the process
zone 2 . For ~/K < 1 the macrocrack is shielded. This ratio has been
calculated for different microcrack orientations and densities 2 . With our
measured data for p ~/K is equal to 0.89 for stationary cracks with
nucleation at a critical mean stress and isotropic orientated micro-
cracks. For the case of anisotropic microcracking with the microcrack
planes perpendicular to the stress direction and a stationary crack, the
ratio is equal to 0.76. This means that for perpendicularly orientated
microcracks the Shielding is two times larger as for the same isotropic
orientated microcrack density. In this context it is interesting to refer
to the argument 2 that the knowledge of ~/K does not allow one to discern
the crack resistance because the crit~cal ~ where spontaneous crack
growth occurs is unknown.

Increase of crack resistance

In contrast it has been supposed 1 that the increase in crack resi-

stance J R can be expressed, following the strain energy density criterion
of the process zone:

Em
J =2'VLR (3)
R aPE - E
m m
I

where 2~ is the size of the process zone, 2y is the surface energy, p is

the rnicrocrack density, am is the rnicrocrack length, and E and Em are the
Young's moduli with and without microcracks, respectively. The surface
energy of alumina is approximately 1 J/m2 . With this value and the
measured sizes of zone I and II, and with a mean microcrack size of
20 pm, the crack resistance J R of the two zones can be calculated with
Eq. (3) to be - 5.5 J/m2 for zone I and - 23 J/m2 for zone II,
respectively.

Imaging of microcracks

We could not image any microcrack during the measurement. An

explanation for this could be that the microcrack density is too small.
With the Acoustic Microscope only the surface-near region can be
investigated. The microcrack density Ps at the surface should be
proportional to p2/3 yielding at most 5.5% for zone I with the highest
microcrack density. Therefore, the chance to detect a microcrack is
indeed small. Another explanation is given by the microcrack density p
itself? :

(4)

695
where N is the volume density of the microcracks and <a> is the averaged
microcrack length. We can only calculate the total microcrack density p,
but we do not know whether the microcrack length a is equal to the grain
boundary length as assumed1 , or whether there are only a number of local
separations along the grain bounda'ries with a single separation length
much smaller than the grain boundary itself, but of a total length of
approximately the grain boundary. According to this, the extent of the
microcracks could be smaller than the resolution of the Acoustic
Microscope in two dimensions. Then they were not visible in the acoustic
image, but nevertheless they represent a reduced restoring force for the
Rayleigh wave, and a corresponding reduction of the elastic properties
ensues.

SUMMARY
The microcrack model yields an increase J a in crack-resistance.
Considering the value of the observed increase of the crack resistance,
it appears that J a is too small to explain the whole R-curve. Therefore,
also other effects must play a role such as the contribution to the
energy dissipation by the friction of the rough intercrystalline broken
crack walls 9 ,lO. In our opinion both models describe parts of the
reality. In this paper we have concentrated our discussion only on one
aspect of increasing crack resistance. In a previous paper4, we have also
reported effects which are in line with the crack wall interaction
mode1 9 ,lO.

ACKNOWLEDGEMENT
We thank Leica, 0-6330 Wetzlar, FRG for cooperation and S. Ganz and K.
Kramer for technical assistance. This work has been supported by a grant
within the "Material Research Programme" of the German Ministery of
Science and Technology.

REFERENCES
1. F.E. Buresch, Materialprufung 29, 261 (1987)
2. J.W. Hutchinson, Acta Met. 35,-r605 (1987)
3. R. Steinbrech, A. Reichl, and W. Schaarwachter, 90th Annual Meeting
of the American Ceramic Society , Cincinatti, OH, to be published
4. A. Quinten and W. Arnold, Mat. Sci. and Eng. A 122, 15 (1989)
5. E. Babilon, F.E. Buresch, G. Kleist, and H. Nickel, in E. Czoboly
ed., Proc. Euro. Conf. of Fracture 7, Budapest, 1988, &MAS, Warley,
552 (1988)
6. H. Tada, P.C. Paris, and G.R. Irwin, The Stress Analysis of Cracks
Handbook, Del Research Corporation, St. Louis (1973)
7. R.W. Zimmerman, J. Mat. Sci. Lett. 4, 1457 (1985)
8. J.B. Walsh, J. Geophys. Res. 70, 38-(1965)
9. R. Knehans and R. Steinbrech~ Fortschritts. Ber. Deutsch. Keram.
Gesellsch. 1, 59 (1985)
10. R. Knehans and R. Steinbrech, J. Mat. Sci. Lett. 1, 327 (1982)

696
CONTINUOUS WAVE TRANSMISSION MEASURING

SCANNING ACOUSTIC MICROSCOPE

A. Kulik, P. Richard, S. Sathish, G. Gremaud

Ecole Poly technique Federale de Lausanne

Institut de Genie Atomique, CH-1015 LAUSANNE
Switzerland

INTRODUCTION

Sensitive measurements of small changes of attenuation

of bulk ultrasonic waves are often used in many physical
acoustics applications (such as dislocation dynamics l ).
Scanning Acoustic Microscopy (SAM) offers a potential to
perform such measurements with a good spatial resolution.
In fact, classical V (z) measurements of the Surface
Acoustic Wave (SAW) velocity can be done precisely using
sufficiently thick samples 2 . But SAW can be excited only in
material having sufficiently high SAW velocity insuring that
Rayleigh critical angle is smaller than opening angle of the
lens, and SAW attenuation measurements are very difficult,
mainly due to the predominant coupling liquid loading.
Moreover, necessity of using cylindrical lenses in order to
have good precision, does not permit to reach a good spatial
resolution.
In this paper we propose a spherical lens - sample -
planar transducer configuration. This system allows the study
of materials in which SAW are difficult to excite, and
permits also the use of thin samples. In biological materials
such transmission mode allows one to measure the attenuation,
even when first interface echo (water-sample) is buried in
noise. This method has also the potential to study localized
nonlinear parameters such as BfA 3

CONSTRUCTION OF THE SAM

Our system is based on a Network Analyzer (HP8753B) and

is in fact an extension of the CW reflection setup (SAMCRUW)
described earlier 4 . As planar receiving transducers, wide
bandwidth LiNb03 transducer having active diameter of 3.5 rom
were used for biological applications and 9~m PVDF (Penwalt)

Acousricallmaging. Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 697
films were used for the first tests in the field of material
science. Commercial lenses from Leica and Olympus were used
as the emitting transducers.

We use the swept CW measuring mode of s21 transmission

parameter between the lens and the planar transducer.
Equivalent pulse echo response is calculated using the
Inverse Fourier Transform. Connection with the computer
(HP9360) is done using GPIB interface. Sample movement XYZ9
is controlled by a handheld slave computer, where both manual
and programmable instructions are processed and realized.

Simple, manually operated straining stage has been

added, in which the force is applied to the sample through a
spring of known constant. Applied force can be simply
determined from the screw displacement.

BIOLOGICAL APPLICATION

Aim of this work was the comparison of the acoustic

properties of the arteries of normotensive (Wistar-Kyoto Rat:
WKY) and hypertensive rats (Spontaneously Hypertensive Rat:
SHR). Samples were cut perpendicularly to the aorta using a
cryotome (Anglia Scientific AS600). Care was taken in order
to insure the reproducibility and a uniform thickness of
50 ~m. In order to localize artery wall, CW images were done
(Fig. 1).

Fig. 1. Transmission (a) and Reflection (b) CW images of the

studied artery. Working frequency: 200 MHz, scanned field:
1.6 x 1.6 mm2 .

698
 Measurements of the attenuation were carried, using the
amplitude of the transmitted waves outside the sample and on
the sample. Such a method is prone to errors coming from the
nonuniform thickness of the sample. However measurements are
feasible even in difficult experimental conditions, where
reflection from the liquid-sample interface is almost
impossible to detect. Attenuation as a function of position
was measured as shown on Fig 2a and 2b.

Attenuation [Np . m- 1 . Hz- 2 1 10- 13 Attenuation [Np . m- 1 . Hz- 2 1 10-13

30 30

20

10

O~ __ ~ ____- L____J -____ L-~~~

o
a Position [flml b Position [flml

Fig. 2. Measured attenuation as a function of position on the

aorta wall: a) normotensive WKY rat, b) hypertensive SHR rat.
Note higher attenuation near the internal wall in the result
b) .

One can observe a clear difference between normotensive

(Fig 2a) and hypertensive (Fig 2b) rats, the latter
exhibiting almost twice a high attenuation near the internal
wall of the artery. Hypothesis of a higher fat content near
the internal wall of hypertensive rats has been emitted in
order to explain these results. However, since only few
experiments were performed, results have to be taken with
caution.

PHYSICAL METALLURGY APPLICATION

In metallic samples, ultrasonic attenuation is often

correlated with the dislocation dynamics. Dislocations
dissipate the ultrasonic energy proportionally to the fourth
power of the free length of the dislocation segments and to
the square of working frequency in the MHz range. In very
pure metals (5N to 6N) as Al or Pb, ultrasonic measurements
were realized, putting in evidence interactions between the
dislocations and more or less mobile defects. The defects act
as weak pinning points, dividing the vibrating dislocations

699
into short segments (Fig 3a) and leading to a low ultrasonic
attenuation.
By applying a static (or very low frequency periodic)
stress to the sample, dislocations are curved by depinning
from the point defects (Fig 3b), which leads to a strong
increase of the ultrasonic attenuation. But defects are
attracted by the dislocation and can slowly migrate near the
room temperature, so that dislocations will be pinned again
after a more or less long time (Fig 3c), leading to a
decrease of the ultrasonic attenuation as a function of time.
Such measurements of the ultrasonic attenuation and velocity
were performed using bulk samples 1 .

a b c

Fig 3. Schematic representation of a dislocation pinned

between strong pinning points (x): a) Only ultrasonic stress
is present and the dislocation is divided into short
vibrating segments by the weak pinning points (0). b)
Instantaneously after the application of the static stress
the dislocation is curved and depinned from the weak pinning
points. c) Defects are migrating, being attracted by the
curved dislocation.

We tried to make analogous measurements using

transmission acoustic microscope. Transmitted amplitude
through the sample (Pb 5N, 0.3x3.5 mm crossection, annealed
2h at 280 C ) was recorded as a function of time (Fig 4) .

On applying a force of IN we observed a sudden drop of

the received amplitude - corresponding to the increase of
attenuation. The previous attenuation value was reached after
a few minutes, confirming the fact of defect migration.
Improvements of the mechanical and electrical stability will
be necessary, in order to avoid erratic variations of the
amplitude, observed in the last phase of the experiment.

700
 Transmitted Amplitude [A.U]

o 2 3 4 5 6 8
Time [min]

Fig. 4. Transmitted amplitude through Pb5N sample, as a

function of time. The arrow indicate the instant when a
static force was applied to the sample.

CONCLUSIONS

Transmission Scanning Acoustic Microscope (TSAM) is

proposed, constructed using easily available components. This
instrument is able to measure spatial and time variations of
the longitudinal wave attenuation, extending the field of SAM
applications. This method is specially suitable for studying
the acoustic properties of thin specimens and of low velocity
materials as polymers and biological tissues.

REFERENCES

1. G. Gremaud, M. Bujard, W. Benoit, The coupling technique:

A two-wave acoustic method for the study of dislocation
dynamics, J. Appl. Phys. 61: 1795 (1987).
2. J. I. Kushibiki and N. Chubachi, Material Characterisation
by Line-Focus-Beam Acoustic Microscope, IEEE Trans. Sonies
and Ultrasonic, SU-32: 189 (1985).
3. L. Germain, R. Jaques, and J. D. N. Cheeke, Acoustic
microscopy applied to nonlinear characterisation of
biological media, J. Acoust. Soc. Am., 86: 1560 (1989)
4. A. Kulik, G. Gremaud, and S. Sathish, Continuous Wave
Reflection Scanning Acoustic Microscope (SAMCRUW), in:
"Acoustical Imaging, Volume 17", H. Shimizu, N. Chubaehi,
J. I. Kushibiki, Plenum Press, New York (1989).

701
RESTAURATION OF DEFOCUS SED IMAGES OF GLASS/WATER-EDGES AND

CHROMIUM/GLASS-EDGES IN SCANNING ACOUSTIC MICROSCOPY (SAM)

H. Siebel and S. Boseck

Physics Department, University of Bremen

P.O. Box 33 04 40, 2800 Bremen 33, ER. Germany

ABSTRACT

The following experiments will show the effect of linear filter processing on scanning acoustic micro-
graphs controlled by Linfoot image quality criteria. For calculation micrographs of a glass/water-edge
(amplitude object) and a chromium-on-glass-edge (phase object) were taken at defocusses of z=O to
z=-95 Jlm in 5Jl steps by a Leitz ELSAM using a 400 MHz lens without V(z) effect. It will be shown
that image processing in SA:'>I is successful! and that the results are in agreement with a discussion of
Linfoot image quality criteria.

COHERENT OPTICAL IMAGE PROCESSING

The imaging properties of an optical system can be described by elements of linear system theory.
Here the image function g(x,y) is the convolution of the object function o(x,y) with the point spread
function (PSF). In terms of the Fourier transform this is the product of the object spectrum O( u.v)
with the optical transfer function (OTF) =
H( u,v) with the result:

G(u, v) = H(u, v). O(u, v)

If the OTF is known, the image can be restaurated by filtering with the inverse OTF:

O'(u,v) =G(u,v)· H(~,V)

were O'(u,v) is the Fourier transform of the restaurated image o'(x,y). This deconvolution is per-
formed in a coherent optical processor (COP) (see[4J), by using a synthetic hologram as a filter. The
principle of a 4-f COP is shown in Fig.l. The Fourier transform of the object is produced by the lens L 1
into the focal plane. In this Fourier plane the filter is placed. The second lens L2 transforms the product
of the filter function and the object spectrum into the outputplane, where the restaurated image can
be observed. The filter is produced by a modified STROKE technique [4J (Fig.2) In this technique the
filter is drawn by a precise oszillograph (STEM-unit of EM). The filter is a holographic plate and it
consists of two types of fringes. At the first type a grating is copied onto the plate, and in the second
part the same grating is shifted half a period. This causes a phase shift of 11' in the first diffraction order
of the hologram at those spatial frequencies which are related to the area of the second type.

2 DIGITAL IMAGE PROCESSING

In digital image processing several techniques like histogram-modification or geometrical operations

can also be applicated as digital deconvolution connected with the Fast Fourier Transform (FFT) [2J.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 703
The success is limited by the properties of the FFT and by digitizing the image. some catchwords are
sampling theorem. alialising and ringing. The filterfunction which we use is a WIE:\ER-filter D(u.v),
which takes the signal/noise ratio C(u,v) into concideration.

H·(u. l')
D(u, v) = C(u, v) + 1 H(u, v) 12

3 CALCULATION OF THE OPTICAL TRANSFER FUNCTION COTF) OF A SAM

For the deconvolution of images the knowledge of the OTF is necessary. In the case of real phase
filtering it is sufficient to know the zeropoints where the the changes in contrast occur. If the object
is a radial grating the zeropoints can be mesured directly from the image. The OTF can also be cal-
culated by offering an object containing continously all spatial frequencies as given by a line function
in form of an edge [1]. The differentiation of the image results the line spread function (LSF), which
is the integral of the pointspread function. The Fourier transform of the LSF is a section through the
2-dimensional OTF. Assuming a rotational symmetric PSF the OTF is purly real, the pha5e can only
take the values of 0 or 1r. In this case the 2-dimensional OTF is the rotation of the I-dimensional OTF.
If the PSF is rotational symmetric the profile of the edge is centresymmetric to the spur of the edge.
which i.e. is a chromium/glass-edge (Fig.3). This object, which consists of a thin chromium layer on
glass. is a flat 2- dimensional structure in opposite to a glass/water-edge which is an 3-dimensional
object. The OTF of a glasS/Inter-edge is complex because the profile is not centresymmetric (FigA).
By calculation the OTF for the glass/water-edge from the symmetrisized profile it can be shown that
the resulted OTF is real [5] and that the zeropoints correspond with those points were the phase of the
complex OTF intersects the 90 degree line. The data needed for optical phase filtering are the zeropoints
of the OTF or, in the complex case, the spatial frequencies where the phase intersects the 90 degree line.

object- frequency- reconstruction -

plane plane plane

IlASER ~f=~~::t==~~~-=----
g= a0h L1 / 0' L2 a'(x, y)
G=O·H
Fig.I. Coherent optical processor.

HP GR

11V.(I~Il-i GR=Grating
fil ter HP=Holographic plate

Fig.2. Method for producing filters.

704
 4 IMAGE QUALITY CRITERIA
To compare the image g(x,y) with the object o(x,y) some image quality criteria as fidelity F, corre-
lation quality K and relative structure content S ca.n be used [3]. The fidelity messures the average of
the difference between the image and the object, the correlation quality describes the central contrast
of a spreaded point and the relative structure content is proportional to the varia.nce of the picture. By
Fourier tra.nsform and assuming white noise for object, which Fourier spectrum is constant, the criteria
depend only from the OTF. Here, in SAM, the OTF depends of the object and also do the quality
criteria. The definitions for the image plane (x,y) and for the Fourier plane (u,v) are:

F =1 [ [(g(x,y) - 0(x,y))2 dx dy
J J 02(X,y) dx dy F =1_ [[11-H(u,v)l2'IO(u,v)l2dudv
J JIO(u,v)12 du dv
o(x,y) . g(x,y) dx dy [ [ H(u,v) 'IO(u,v)j2 du dv
K= J 02(X ,y) dx dy K= JJ IO(U,li)j2 du dv
[ [ g2(x.y) dx dy [[ IH(u.v·O(u.v)1 2 du dv
s= J J 02(x ,y) dx dy s= J
J IO(u,v)12 du dv

0) PROFILE 0) PROFILE

1.CO ~
. ~.J
3~ 0503
~

~ i
0.00 0"".'0~~~2~o"".0~~~~"'Oi.-0~~~5""0.-0~~~8""0
().Lm)

b) MODULATION TRANSFER FUNCTION b) MODULATIC~J TRANSFeR FUNCTION

w
1.00 i w
1.00 3
00.75 00.75
:::> :::>
I- I-
12 0.50 i2 0.50
:::; :::;
<: 0.25 <: 0.25

0.10 0.20 O.JO O.~O 0.10 0.20 O.JO OAO

SPATIAL FREQENCY (l/J.Lm) SPATIAL FREOENCY (1 /J.Lm)

c) PHASE TRANSFER FUNCTION c) PHASE TPANSFER FUNCTION

180 180

If) If)
w
w
w
w
a:: a::
<;> <;>
w w
o o

0.10 0.20 O.JO 0.40 0.10 0.20 0.30 0.40

SPATIAL FREOENCY (1 /J.Lm) SPATIAL FREOENCY (1 /p.m)

Fig.3. Profile and OTF for a chromium/ FigA. Profile and OTF for a glass/water-
glass-edge, defocus z= -40Jlm. edge, defocus z= -40Jlm.

705
5 RESULTS

The calculated quality criteria for the mesured OTF of a glass/water-edge and a chromium/glass-
edge are shown in Fig.5. The fidelity F and the correlation quality K decreases strongly between z==
-15 and -50!-'m. In this area different defocussed object planes are better distinguished as at greater
focuspositions. Phase filtering can be simulated by multiplicating the OTF with a special filterfunction.
From the deconvoluted OTF the quality criteria can be calculated. The results are shown in Fig.6. In
both cases, glass/water and chromium/glass, the quality has enhanced. This can be compared with the
results of the optical and digital image procedure.
In Fig.7 the results of the optical filtering mesured with a densitometer are shown. Because the contrast
depends strongly on the process of film development and densitometrical parameters the profiles are
normalized on maximal contrast. In the case of the chromium/glass-edge the deconvolution causes a
decreasing of the distance between the major extrema and therefore an enhancement of the phase edge.
The deconvoluted profile of the glass/water-edge shows a strong overswinging caused by the broad ze-
ropoints in the filter function which are necessary to suppress the noise in the zeropoints of the OTF.
In this case the optical deconvolution was not successful!. In Fig.S the results of the digital image
processing are shown. The filtered image of the chromium/glass edge now shows the same effect, decre-
asing of the distance between the major extrema. The profile of the glass/water-edge gets steeper and
narrow. In agreement with the comparison of the calculated quality criteria for the original OTF and
the deconvoluted OTF, the digital image processing is a good method for restauration of defocussed
images in SAM. The optical way is only in some special cases successful!.

0) b)

0.50 ~
COR RELATION OUALITY (1) 0.60 } \ ' . C:)RPELt>,TION OUAL:TY (1)
FIDELITY (2) ~ ,;DE~ITY (2)
RE~. STRUCTURE CONTENT (3) ~:\ "EL STRUCURE CONTENT (3)
\

~li.:~::- ..
\
0.40

o 40

0.20 020 • ~~~ -:---:-~--,--:-~-;(3)

\;",.~
j ~ \ ,', ~~ ;- :. .- ~ ... (1)

0.00
1
".
...- ..-----~ • (2)
,
j . ~ , (2)
0 80 100 0.00 6 2'0 40 60 8'0 1'60
-z Cum)
Fig.5. Quality criteria calculated from the OTF
a) chromium/glass-edge
b) glass/water-edge.

0) CORRELATION QUALITY b) CORRELATION QUALITY

DECONVOLUTED DECONVOLUTED
ORIGINt>,L ORIGINAL
OAO 0.40

0.20 0.20

--- ---, ..... ... -- .....-.

\

0.00 -±O""""""""""""2:C:0"""~""""40rrn""""'~6TO~"""""""80f'TT'~~100 0.00 6"" 2'0" , .\)'" "s\)' ali'"'' ",60

-z Cum) -z Cum)
Fig.6. Quality criteria calculated from the
deconvoluted OTF
a) chromium! glass-edge
b) glass/water-edge.

706
 :: : t::::~~1'\,- -
a) - DECONVOLUTED b) - DECONVOLUTED
1.00 .. --- ORIGINAL
, '/

o
w J
~
~
~
,'~
I
OR'G'NAL
>-
~
...J
W
e::
J '
i t" .,.J.
~ 1 '~y.:
,," 'so 00' , ,
000 000
. 0.00 20.00 ' , " ~0.00" , , "60.00 '" 'so.oo 0.00 20.00 ~ooo' '80.00
(""m) (""m)
Fig.7. Resul ts of the optical processing
a) chromium/glass-edge, z=-40j.l
b) glass/water-edge, z=-40j.l.

Vi
Z
~
0.90

0.40
a)

i
J

7'/ .... ,'\ ........ "....

~JV\;"-.J
! I
I
:\
1
, - - ORIGINAL

I\
\
-PHASE FILTERED

:
1
I \
l
I'

~
vi
z
w
>-
~
0.90

0,40
-
b)

I,
jj 1"---. .j(\l (j\

r -7,,~/ '\
\
,
- WIENER FILTERED
-- ORIGINAL

g j \ 1
\

1 \
-0.1 Co.-+.'o:-rr-~~~20T'.0~~~~.OT.O~-~~SOT'.0~~~8~O'.0
-0.10 +1
0.0
~~~~~~-r,~~~-~--r-~--r-~-~
20.0 40.0 6'0'.0 80'0
Cf.'-m) Cf.'-m)

Fig,8. Results of the digital processing

a) chromium/glass-edge, z=-40j.l.
b) glass/water-edge, z=-40p.

REFERENCES
[1] H. Block, G.Heygster, S.Boseck, Determination of the OTF of a reflection scanning acoustic
microscope (SAM) by a hair crack in glass at different ultrasonic frequencies, Optik 82, 4 (1989)
147-154
[2] R.C. Gonzalez, P. Winz, Digital Image Processing, Addison-Wesley, 1977
[3] E.H. Linfoot, Qualitatsbewertung optischer Bilder, Vieweg, 1960
[4] E. Reuber, W. Kunath, H.Block, B. Schmidt, S. Boseck, Improvements in the use of synthetic
holograms for high resolution micrographs of a 100 kilovolt electron microscope, Scanning
Microscopy Supplement 2 (1988), 68-70
[5] X. Shen, S. Boseck, Description of Elastic Discontinuities with the SAM 19th International
Symposium on Acoustical Imaging, April 3-5, 1991, Bochum, Germany

707
NONDESTRUCTIVE MONITORING DAMAGE IN COMPOSITES
USING SCANNING LASER ACOUSTIC MICROSCOPY

A. C. Wey, L. W. Kessler, and H. L. M. dos Reis*

~onoscan, Inc., Bensenville, IL 60106, U.S.A.
Department of General Engineering, University
of Illinois, Urbana, IL 61801, U.S.A.

ABSTRACT
Several Nicalon fiber reinforced LAS (lithium alumino-
silicate) glass matrix composites were tested to study the
relation between the residual strength and the different
amounts of damage. The samples were fatigued by four-point
cyclic loading at a 5 Hz rate at 500 0 C for a different number
of cycles. 10 MHz SLAM images were taken to monitor damage on
the samples. Our SLAM results indicate that there were
defects already existing throllghout the sample before fatigue,
and the resultant damage pattern from fatigue could be related
to the initial defect distribution in the sample. Finally,
the fatigued samples were fractured and the residual strength
data could not be explained by the cyclic fatigue alone.
Rather, the damage patterns evident in the SLAM images were
needed to explain the scatter in the data. The results show
that SLAM is useful in nondestructively monitoring damage and
estimating residual strength of fatigued ceramic composites.

INTRODUCTION
Numerous efforts have been expended in the development of
ultrasonic nondestructive methods to characterize the damage
in composife2 I§aterials and to evaluate their mechanical
properties. " Several methods have shown potential to
respond to the development of damage states and provide
quantitative parameters which monitor the damage development.
However, the complexity of damage makes the interpretation of
the results in terms of mechanical properties degradation very
difficult, if not impossible.

Scanning laser acoustic ~icroscope (SLAM) was first

reported by Korpel et al in 1970. Since then SLAM has becgm6
an important NDE tool in a wide range of applications. '
SLAM is a through-transmission instrument that combines the
use of high frequency ultrasound with a scanning laser
detector to produce real-time, high resolution images of the
interiors of materials.

Acoustical IfMging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 709
 SLAM illuminates the sample with a continuous plane wave
of ultrasound. As ultrasound travels through, defects in the
sample spatially alter its transmission. This results in a
nonuniform wave pattern at the other side of the sample, which
can be detected by a low power scanning laser beam. The
variations in ultrasound transmission are displayed on a TV
monitor where the bright regions correspond to defect-free
areas of high transmission, whereas, the dark and gray areas
correspond to regions of high attenuation attributed to
defects or changes in elastic properties. Each SLAM image is
produced in 1/30 second. SLAM enables us to "see" in real
time defects inside an optically opaque specimen. "Seeing"
the geometrical distribution of all kinds of damage helps us
understand the collective effect of various damage modes on
degradation in mechanical performance of fatigued specimens.

EXPERIMENTAL PROCEDURE
The test specimens had a matrix material composition by
weight of 15% Li 2 0, 20% A1 2 0 3 , and 65% Si0 2 (lithium alumino-
silicate), reinforced with a volume fraction of approximately
45% silicon carbide (NICALON) fibers. The specimens were
machined to have dimensions of 63.5 mm x 9.53 mm x 3.18 mm,
with fibers oriented parallel to the longest dimension.
The specimens were fatigued for different numbers of
cycles by four-point bending at 500 °C. Damage due to cyclic
fatigue loading was applied on a MTS fatigue testing machine
at a rate of 5 Hz. The four point-bending test fixture and
the dimensions are shown in FIgure 1. The applied sinusoidal
force had a minimum value of 111 Newtons and a maximum value
of 778 Newtons creating an applied sinusoidal bending moment
between the loading pins with a minimum of 67.2 N-cm and
maximum of 470.7 N-cm. Six groups with different number of
fatigue cycles were prepared. Table 1 shows the number of
specimens and the number of cycles per group.
A 10 MHz SLAM system was used to generate images for each
specimen, recording fatigue damage. The SLAM images were
digitized with a resolution of 256 x 240 pixels and stored on
an IBM PC-AT computer. The field of view for a 10 MHz SLAM
image is 35 mm x 26 mm, requiring two SLAM images to display
the 63.5 mm long specimen.
To quantitatively determine the residual strength of the
fatigued specimens a four-point bending test was performed
where the load was monotonically increased until failure of
the specimen occurred. An ATS 1100 Twin Screw Universal
testing machine was used with a constant cross head speed of
3.175 mm/min. The residual strength, defined as the maximum
load supported by the specimen until failure occurs, is listed
in Table 1.

RESULTS AND DISCUSSION

The data of the residual strength measurement listed in
Table 1 are plotted in Figure 2 as a function of number of
fatigue cycles, showing lack of correlation between the number
of fatigue cycles and the amount of damage. It suggests that

710
Table 1 Fatigued ceramic composite specimens
with different residual strength.

Numbe!' S~.men Maximum Be:lcing Stress

of Cvcles Nan:!e rd'Sn (MPa)

1-1
1-2 63.92 440.73
o 1-3 72.31 498.55
1-4 65.26 449.97
1-5 70.15 483.66

2-1 41.85 288.56

25,800 2-2 46.38 319.78
2·3 56.52 389.66

3- 1 56.90 392.32
51,600 3-2 48.44 333.97
3-3 62.05 427.79

4-1 .10.67 280.40

77,400 4-2 32.93 227 .02
4-3 67.77 432.75

5-1 54,84 378.13

104,320 5-2 45,94 316.76
5-3 '!'2.73 294.59

6-1 58.68 404.55

116,100 6-2 5083 350.46
6-3 .15.94 316.76

LCACING
?INS
LeAD!NG L _..J
C,;?

U.COING
CAP r- - i

r..,

I ~j ~6- 1 l/e
.
-6
~ [] I'I
9 ? If
1/3"

Fig. 1 Four-point bending test fixture.

711
knowing the loading history of the specimens is insufficient
to determine the residual strength of a fatigued composite.
Instead, the initial defects in each test specimen prior to
fatigue must be taken into consideration when explaining the
resultant fatigue damage and estimating their residual
strength. The initial defects might have been caused by
variations during the manufacturing process.
The existence of various defects in virgin specimens
could be confirmed by the SLAM images of specimens in Group 1
which were randomly selected as a control group and remained
unfatigued. Figure 3 shows the SLAM images for the virgin
group. Displaying in the SLAM images, delaminations between
plies completely blocked the transmission of ultrasound and
resulted in dark appearance, while damage such as matrix
microcracking and fiber/matrix debonding scattered ultrasound
and would appear in gray. For example, matrix cracking and
fiber-matrix debonding can be found in the SLAM images for
specimens 1-1 and 1-2, while Specimen 1-3 displays matrix-
fiber disband in the central region. Specimens 1-4 and 1-5
had delaminations at both ends which might have been caused by
cutting and machining in the preparation of the specimens.
Figure 4 shows the SLAM images for the specimens in Group
2 which were fatigued for 25,800 cycles. Comparing the SLAM
images for virgin specimens (Group 1) with that for fatigued
ones (Group 2), the fatigued specimens generally show more
intense damage than virgin specimens. Specimens 2-1 and 2-2

500 I 1-6

460
• 1-5

• 1-4
.,. 1-2
.4-3
m 420 _ .3-3
6-1
•
~
- 83-1
til
-2-3 5-1
380 -
•
til
I.L:
f:1tr.
•
6-2

.6-.
c.!l
z
H 340 -
A
z~ ·3-2
- 82-2
I'Q
5-2
S
;:;::
H
300 -

- 8 2- 1 • 4-1
•
5-3
~ 260 -

-
• 4-2
220 I I I I I I I
0 20 40 60 80 100 120

Nlli'ffiER OF FATIGUE CYCLES, xlOOO

Fig. 2 Residual strength vs. number of fatigue cycles.

712
displayed severe delaminations at both ends, which appeared as
large dark areas in the SLAM images. Although SLAM images for
the specimens of Group 2 before fatigue are not available
here, the delaminations are believed to have been developing
during fatigue on the basis of the initial delaminations at
the cutting edges, similar to that displayed in specimens 1-4
and 1-5. The damage might be caused by shear, occurring
around the neutral axis between the loading pins on the right
and the left ends of the specimen.
General speaking those specimens that appeared to have
the least damage in SLAM images within each group had the
highest residual strength for the group. For instance,
specimen 2-3 which showed the least damage of the three
specimens in Group 2 had the highest residual strength (390
MPa) in the group.
Similar results were also observed in the other groups.
For example, Figure 5 shows SLAM images for specimens in the
fifth group which were fatigued for 103,200 cycles. Among
them, specimen 5-1 appeared to have the least damage in SLAM

..
..i:' --.:.:;, ,
• ~ 'P'- ..

- ----
-...~" 1>
~ ~.. -.. ~
~.-:::~

"- ~ ~-:;.~~.~ ~.-::-~~ ...

:e:
_. - . ...:.-.. .. ~~-.
.. 11", ...
-- -......t.__
-•
- " -

- - -
-" '-""~~ "~----'
- ............. " ! " _ :l!" . . . " "-
-=-

-
:-..~~
- --
~.-...
- -
....
-..... .,. • .2..
.......... - ...-.
-- -
"

Fig. 3 SLAM images of Group 1, virgin specimens.

713
image and thus had the highest residual strength (378 MFa) in
Group 5. Shown in Figure 6 are SLAM images for Group 6 which
were subject to 116,100 fatigue cycles. Again, specimen 6-1
appeared to have the least damage and thus had the highest
residual strength (405 MFa) in the group.

As displayed in Table 1 there is not a straight forward

relationship between the number of fatigue cycles and the
residual strength. The residual strength data could not be
explained by the cyclic fatigue alone. Rather, the damage
patterns appearing in SLAM images were needed to explain the
scatter in the data. The SLAM images clearly display that the
Group 6 do not appear to be the most severely damaged among
all 5 groups, despite having been fatigued the longest.
Instead, the SLAM images suggest that Specimen 6-1 should have
higher strength than any of Specimens 2-1, 2-2, 5-2 and 5-3.

Reviewing the damage patterns displayed on SLAM images

fqr the Groups 2, 5 and 6, one could qualitatively categorize
the total nine specimens into two groups. Group A consisting
of Specimens 2-1, 2-2, 5-2, 5-3 and 6-3, appear to have severe
delaminations at both ends, whereas Group B consisting of
Specimens 2-3, 5-1, 6-1 and 6-2 show less damage than Group A.
Indeed, all specimens in Group A failed at a loading stress
less than 320 MFa while Group B sustain more than 350 MFa.

~ -~ - --- ".;;--~ ~ 7-
•. ~. .... ""OT~~f_. 2-1
(289)

- -~ -- -...,...
,.......... ..:-...... 'IIC _ ~ ~.

~ _ -_ J _ '_--'_~ ~~ ...-.-- _ __: - . , -.....

-. -
~
ill' ___
-
______ ~....
....
. ~..
.- __
~
'-
2-2
(320)
:IIo~ - ~~. . . . ~ • ".,..~s:"-

2-3
(390)

Fig. 4 SLAM images of Group 2 (25,800 cycles).

714
 5-1
(378)

5-2
(317)

5-3
(295)

Fig. 5 SLAM images of Group 5 (104,320 cycles).

6-1
(405)

6-2
(350)

6-3
(317)

Fig. 6 SLAM images of Group 6 (116,100 cycles).

715
SUMMARY
Scanning laser acoustic microscopy was successfully used
to nondestructively evaluate high temperature fatigue damage
on LAS matrix composites reinforced with silicone carbide
fibers. SLAM enables us to "see" the geometrical distribution
of damage in specimens and helps us understand the collective
effect of various damage on the residual strength of fatigued
ceramic composites. The evidence provided by SLAM images
suggested that there were defects existing throughout the
samples prior to fatigue, and the resultant damage patterns
from fatigue were strongly related to the initial defect
distribution. For example, initial delaminations at the cut
edges of specimens were amplified during fatigue and would
result in low residual strength. The estimation of residual
strength based on damage patterns displayed in SLAM images
has been verified experimentally. More works remain to be
done in the application of SLAM to nondestructively monitoring
in real-time the damage development in composite specimens
during fatigue.

ACKNOWLEDGEMENTS
This study was partially supported by Professor Reis'
contracts with NASA (NAG 3-748) and NSF (MSM-8805400).

REFERENCES
1. A. Vary and K. J. Bowles, "Ultrasonic Evaluation of the
Strength of Unidirectional Graphite/Polyimide Composite,"
Proc. of the 11th Symposium on Nondestructive Evaluation,
pp. 242-258, 1977.
2. T. Tarlreja, A. Govoda, and E. G. Henneke, "Quantitative
Assessment of Damage Growth in Graphite Epoxy Laminates by
Acousto-Ultrasonic Measurements," Review of Progress in
QNDE, Vol. 3B, pp. 1099, 1984.
3. H. Nayeb-Hashemi and N. Zheng, "Nondestructive Evaluation
of Damage and Mechanical Properties in Composite Panels
Subjected to Impact," Review of Progress in QNDE, Vol. 9B,
pp. 1521-1527, 1990.
4. A. Korpel, L. W. Kessler and P. R. Palermo, "Acoustic
Microscope Operating at 100 MHz," Nature, Vol. 232, No.
5306, pp. 110-111, 1970.
5. L. W. Kessler and T. M. Gasiel, "Acoustic Microscopy
Review: Nondestructive Inspection of Advanced Ceramic
Materials," Advanced Ceramic Materials, Vol. 2, No.7, pp.
107, 1987.
6. L. W. Kessler and D. E. Yuhas, "Acoustic Microscopy
1979," Proc. IEEE, Vol. 67, No.4, pp. 526, 1979.

716
 IMAGING OF INTEGRATED CIRCUIT PACKAGING TECHNOLOGIES

USING SCANNING ACOUSTIC MICROSCOPY

J. Flannery, G. M. Crean and S. C. 0 Mathuna

National Microelectronics Research Centre

University College
Cork
Ireland
Abstract
Scanning acoustic microscopy operating at a frequency of 50MHz has been evaluated as
a characterisation technique for integrated circuit packaging technologies. PQFP (plastic
quad flat pack), hermetic side-brazed DIP, CERDIP (ceramic dual-in-line package) and
CERQUAD (ceramic quad flat pack) packaging technologies are analysed. Defects in die
attach and hermetic package seals are imaged. Correlation of the acoustic micrographs
with both x-ray and microsectioning images is presented.

1 Introd uction
In integrated circuit (IC) packaging, die attach, hermetic package sealing and plastic encap-
sulation can significantly influence IC reliability. Voids in die attach can lead to hot spots
or thermo-mechanical stresses on the IC resulting in die breakage or degradation of device
parameters. Failure in a hermetic seal can result in the ingress of moisture and ionic con-
taminants which may result in corrosion or electrical parameter drift. Residual moisture in
plastic encapsulant materials can lead to delamination of the plastic from the leadframe dur-
ing surface mount solder reflow resulting in the penetration of moisture and contaminants to
the IC surface. Recently, these problems have become more acute due to the trend towards
large area die, high power density devices and surface mount technology. Process control and
failure analysis characterisation tools for the above packaging processes are therefore becom-
ing increasingly important.

Existing techniques for the inspection of IC packages include: the dye-penetrant test for
moisture ingression [1]; the fluorocarbon or helium pressurisation leak test [2] for hermeticity
failure; X-ray imaging for analysis of die attach integrity [3] and destructive physical anal-
ysis such as microsectioning and strength testing [4]. However, these techniques are either
destructive, time consuming or non-depth specific [5]. Acoustic microscopy offers the unique
capability to non-destructively image sub-surface detail and provide depth-specific informa-
tion [6,7,8,9,10]. The technique, therefore, appears suitable for the characterisation of IC
packaging processes.

The objective of this paper is to evaluate scanning acoustic microscopy for the charac-
terisation of IC packaging technologies. A comparison of acoustic micrographs with images
obtained using x-ray and optical imaging of microsections is presented.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 717
··""j@?'~····I'l·· --~
L'' F"m.P
Figure 1. Schematics of PQFP, side-braze DIP and CERDIP technologies.

2 Experiment and Discussion

Scanning acoustic microscopy was performed at 50MHz using an 'Olympus UH3' system. The
half aperture angle of the acoustic lens was 14°. De-ionised water was used as the coupling
medium. The X-ray analysis was performed on both 'Nicolet' and 'Mobilix' systems and the
microsectioning equipment used was a 'Metals Research, Macrotome l' and a 'Struers, DAP-
V' grinder/polisher. Schematics of the packaging structures used in the study are presented
in figure 1.

Figures 2a, 2b and 2c present acoustic and x-ray micrographs ofthe leadframe of a 144-pin
PQFP respectively. Figure 2d depicts the reflected acoustic pulses from both the periphery
and centre of the leadframe paddle. An analysis of these time-domain signals reveals that
both have the same time-of-arrival at the acoustic transducer but are of opposite phase. The
time of arrival indicates that the signals originate from the same level within the package
while the phase difference results from a 180° phase change in the reflection coefficient be-
tween the two regions. This could result from an impedance mismatch due to delamination
between the plastic and the lead frame. This hypothesis correlates strongly with the white
central region in figure 2b being indicative of a delamination. The bright rectangular ring
around the centre of the leads in figure 2a is the insulating tie-bar which is used to hold the
lead-frame during the package assembly process. This polymide tie-bar of 50jl.m thickness is
not visible in the X-ray micrograph of figure 2c.

Acoustic and X-ray micrographs of the die attach bond of a specially prepared CERDIP
package are presented in figures 3a and 3b respectively. The die was attached using a 99.99%
gold preform. The bright central regions in the X-ray image are indicative of voids within
the package structure. These features are also present in the acoustic micrograph and have
been localised to the die attach/package interface using appropriate gating of the reflected
time-domain acoustic pulses. The X-ray system has an inherently higher resolution than an
acoustic microscope operating at 50MHz, the resolution of which is limited to 200jl.m for
this material system. The gradual shade variation across the die attach area in both images
strongly suggests a gradual variation in the thickness of the die attach material which has
been measured to be 18jl.m in 40jl.m across the 3mm die.

Figures 4a to 4c present acoustic, X-ray and optical images of a gold-tin solder lid seal
on an hermetic, side-brazed DIP. Extensive voiding, as indicated by the bright regions at the
inner periphery of the solder preform, is evident in the acoustic micrograph. This defect is
also reproduced in the X-ray image, but is considerably less distinct. The optical image after
removal of the package lid confirms the existence of the voids in the solder seal.

Acoustic, X-ray and microsection images of a glass sealed CERQUAD package are pre-
sented in figures 5a to 5c respectively. The bright areas in the four corners of the package
are indicative of voids in the glass seal. This is confirmed by both the optical image of the
microsection and can also be clearly observed in the X-ray micrograph.

718
 Figure 2a. Acoustic image of PQFP, top surface Figure 2b. Acoustic image of PQFP, rear sur-
of leadframe showing tiebar. face of leadframe.

120

100

li'
'c 80

g..
"

~
'ii.
~

Time (uo)

Figure 2d. Acoustic pulse reflections from pe-

riphery (pulse A) and centre (pulse B) of lead-
F igure 2c. X-ray image of PQFP.
frame paddle of PQFP.

Figure 3a. Acoustic image of die attach bond of Figure 3b. X-ray image of die attach area of
CERDIP. CERDIP.

719
Figure 4a. Acoustic image of lid seal of side- Figure 4b. Pseudo 3D X-ray image of lid seal of
brazed DIP. side·brazed DIP.

Figure 4c. Optical image of voids in the lid seal Figure 5a. Acoustic image of the glass seal of
solder joint after package decapsulation of side- CERQUAD.
brazed DIP.

~.. ,:" -- lIt..'"

!
.
f. ,
'.
MAX '25:i
·I
"'~ . . . _ .t..,r:.I,.·
Figure 5b. X-ray image of corner of CERQUAD Figure 5c. Optical image of microsection of the
package. CERQUAD showing large void in the glass seal.

720
3 Conclusion
Scanning acoustic microscopy operating at a frequency of 50MHz has been evaluated as a char-
acterisation technique for failure analysis of integrated circuit packaging technologies. PQFP
(plastic quad flat pack), hermetic side-brazed DIP, CERDIP (ceramic dual-in-line package)
and CERQUAD (ceramic quad flat pack) packaging technologies have been analysed. Acous-
tic micrographs of defects in plastic encapsulant, die attach and hermetic package seals have
been correlated with both X-ray and microsectional analysis.

Full interpretation of the acoustic micrographs presented necessitates both a quantitative

analysis of the time domain acoustic pulse data and a database of acoustic and X-ray prop-
erties of the component packaging materials. Further work is in progress on both of these
topics and on acoustic system optimisation for this application.

4 Acknowledgements
The authors would like to acknowledge the assistance of the following people, Mr Paul Rose-
ingrave for his photographic work, Mr. W. Lawton and Mr. T. Compagno for their expertise
with microsectioning and polishing procedures. The specially prepared die attach sample
was supplied by Analog Devices. One of the authors (J.F.) acknowledges the award of a
postgraduate research studentship from the NMRC. This work has been partially sponsored
by the Commission of the European Communities within ESPRIT project 2075-Advanced
Packaging for High Performance and by the European Space Agency.

References
[1] R. R. Tummala and E. J. Rymaszewski, editors. Microelectronics Packaging Handbook.
Van Nostrand Reinhold, New York, 1989.

[2] Mil-Std-883C Method-l014.5. "Seal", August 1983.

[3] Mil-Std-883C Method-2030. "Ultrasonic Inspection of Die Attach.", May 1987. Notice
5.

[4] Mil-Std-883C Method-2019.2. "Die Shear Strength", August 1983.

[5] D. P. Seraphim, R. C. Lasky, and Che-Yu Li, editors. Principles of Electronic Packaging.
McGraw-Hill, 1989.

[6] H. Vetters, E. Matthaei, A. Schulz, and P. Mayr. "Scanning Acoustic Microprobe Anal-
ysis for Testing Solid State Materials". In G. M. Crean, M. Locatelli, and J. McGlip,
editors, Proc. E-MRS Symp. on Acoustic, Thermal Wave and Optical Characterisation
of Materials, pages 9-14. Elsevier, 1989.

[7] R. A. Lemons. Acoustic Microscopy by Mechanical Scanning. PhD thesis, Stanford

University, May 1975.

[8] J. Flannery and G. M. Crean. "Scanning Acoustic Microscopy of Multilayer Interconnect

Structures". In Proceedings of the ISHM Symposium, pages 358-363, Oct 1990.

[9] T. Adams. "Acoustic Microscopy Improves Internal Reliability ofIC Packaging". Semi-
conductor International, Feb 1985.

[10] B. Nongaillard et al. "Visualisation of Thick Specimens using a Reflection Acoustic

Microscope". J. Appl. Phys., 50:1245-1249, Mar 1979.

721
 SCANNING ACOUSTIC MICROSCOPY AS A NON-DESTRUCTIVE TECHNIQUE

FOR PROCESS MONITORING OF HIGH POWER SEMICONDUCTOR DEVICES

J. Attal 1 , B. Bianc0 2 , A. Cambias0 2 , D.E. crees 3 ,

P. Dargent 4 i F.Fasce 5 , D.R. Newcombe, 3
J.C. Noack, 4
J.M. Saurel and M. Zambelli 5

(1) LMAM, Universite de Montpellier, Montpellier

(2) DIBE, Universita di Genova, Genova
(3) Marconi Electronic Devices, Lincoln
(4) Bertin et Cie., Aix-en-Provence
(5) Ansaldo Trasporti Spa, Genova

INTRODUCTION

The purpose of this work was to use Scanning Acoustic Microscopy (SAM)
for identifying and characterising defects in power semiconductor devices 1 ,2.
Power semiconductor devices are a special class of active solid state
switches. From an ideal point of view they do not differ from their low-power
counterparts. However in order to carry thousands of ampere and to sustain
thousands of volt specific technological requirements are necessary. A
general characteristic common to different types of devices, like diodes,
bipolar and MOS transistors, thyristors and triacs, is the large active area
involved in the conduction of current and heat dissipation. A major problem
in these devices is to ensure proper electrical and thermal contacts over
large silicon surfaces, in order to guarantee an uniform density of current.
This requirement is more and more important as the diameter of the active
region increases to values in excess of 100 mm. Unlike microelectronics,
where hundreds identical devices are manufactured on one single silicon
wafer, a single power electronic component often uses the whole area
available on the wafer. It is a well established fact that semiconductor
devices are difficult to be scaled up to larger areas, as the increasing
probability to have a crystal defect in the active area limits the production
yields. Luckily power devices are less sensitive to crystal defects than
integrated circuit are. However, manufacturing large area devices with a
properly controlled levels of defects or unwanted impurities is often a
formidable task. With the aim to improve the production yields, process
control has been given more and more attention. Improving process control
strategies requires the availability of new equipment and techniques for non
destructive characterisation of the impurities and defects, either introduced
on purpose or inadvertently, which can affect the electronic band structure
of the semiconductor material and hence the electrical characteristics of the
device. The aim of this research work is the development of a non-destructive
test method for on-line monitoring of the manufacturing process for power

Acoustical 11TllJging. Volume 19

Edited by H. Ermert and H.-P. Hatjes. Plenum Press. New York 1992 723
semiconductor devices. The first part of the work was devoted to the
calibration of the different SAM equipment available for the research. The
core of the Proj ect is the SAM investigation of samples containing a known
amount and distribution of defects, as cross-identified by alternative
analytical techniques. In the following a number of results achieved to date
are presented. Next section reviews the essential characteristics of power
semiconductor devices. Then the experimental methods used in the research are
presented and discussed. Finally the results obtained to date are presented
with the aim of demonstrating the feasibility of an industrial system for on-
line monitoring of power semiconductor device manufacture.

FIELD OF INVESTIGATION

Power semiconductor devices are usually referred to as low, medium, and

high-power, according to their current carrying capability. Low power devices
range from 2 A to 20 A, medium power from 20 A to 200 A, while high-power
devices can carry currents in excess than 200 A, often reaching thousands of
amps. The active areas involved are consequently large. Therefore one device
is usually fabricated on one circular silicon slice with a diameter ranging
from 10 to 100 rom. In order to ensure adequate mechanical strength the
diffused silicon wafer is brazed onto a molybdenum or tungsten backing plate.
These metals are used as they have a thermal expansion coefficient close to
that of silicon, preventing large bimetallic bowing to occur during the
thermal cycling associated both with brazing and with operation. The silicon
wafer brazed onto the backing plate is usually referred to as "basic unit"
and is encapsulated in a ceramic case with copper poles. These guarantee the
electrical and thermal contact to the whole surface of the basic unit, once
an appropriate clamping force is provided on the external surface of the
poles. A schematic picture of a typical device is shown in Fig.l. During
bonding of the silicon wafer to the backing disc, with a preform of an AI-Si
eutectic alloy, a number of adverse effects can occur. Void formation in the
braze during cool down is known to adversely affect the electrical and
thermal characteristics of the finished device. Degradation of the voltage
sustaining capability can also be observed as a result of the irregular
penetration of the erosive molten braze material into the silicon wafer.
Figure 2 gives a schematic of the potential defects generated during the
bonding process. These defects in the basic unit sandwich add to the damage
created into the silicon crystal structure as a consequence of the processes
to which the silicon wafer is submitted. Handling, material removal, high
temperature oxidation and impurity diffusion, are all processes that can
potentially generate defects in the crystal lattice. Prior to investigation
of acoustic techniques, potential device failures could only be identified by
destructive techniques after lengthy and expensive processing. SAM

E22l Copper
~ Molybdenum
• Silicon
o Ceramic
Steel
~ Teflon

Fig.l - Schematic view of a "press-pack" power semiconductor device.

The active part is the thin silicon wafer brazed onto the
molybdenum backing plate in the middle of the sandwich. A
clamping force is applied externally on the surface of the
copper poles in order to assure an appropriate electrical
and thermal contact.

724
 n+

N- ba •• Silicon

p
......

.\):'.;'.':(>??{ .:'.:". :. :~.. : . :~:.mM+~~'+t'~,""~-m~"ri-m-;~~

:' ::>:.:.: :.:. :.\.\ .~ :. ~. :. ~.~. ~:.~ :~.: .: \.:· .: l: ~.: .:~.: .r.z.
.:. . ·:.::.·
. ..:... :.';.:
MoSIZ

DI.bond .t Void.
Mol,bdenum Int.rfac.
ol,bdenum
DI.bond .t
Br.ze p.netratlon .lIIcon Interf.c.

Fig.2 - Schematic view of potential defects generated as a

consequence of the bonding of a silicon large area diffused
wafer onto a molybdenum backing plate.

demonstrated to be an appropriate technique for assessing non destructively a

number of process defects at an early stage and hence enable rejection of
potential failures at an early stage.

METHODS OF ANALYSIS

This research work has been carried out for three years by an European
group of researchers belonging both to universities and industries. The
industries involved ranged from semiconductors to equipment manufacturers.
The work plan agreed was divided into three main sections:
- Calibration of the different equipments available for this research, as
listed in Table 1. In this phase the capability for SAM to identify the
materials used in semiconductor manufacturing was assessed on a number of
sample structures. Both qualitative (imaging) and quantitative analysis

Table 1 Summary of the main characteristics of the SAM

instruments available during this research work

Location BERTIN DIBE LMAM MEDL

Instrument trade name LMAM LEITZ LMAM USL

Number of instruments 1 1 3 1

Frequency (MHz) 50-200 60-2000 50-2000 20-75

Scanning area (mm 2 ) 10x10 1x1 100x100 350x350

725
(V(z» were performed. Some significant results are reported and discussed
later.
Assessment of actual defects in both diffused wafers and basic units. This
activity is the core of the research work and is addressed to the
identification of possible areas of application of SAM for in-line
monitoring of the manufacturing process. Results of this activity are
discussed in next section.
- Acoustic image processing and equipment development. A large effort has
been devoted to the development of software for the elaboration of raw
acoustic images in order to characterise particular aspects of the defects
investigated. Work has been carried out in order to establish the
requirements, in terms of both software and hardware, for the future
development of an automatic inspection system for power semiconductors.

RESULTS AND DISCUSSION

With reference to Fig. 2, a series of experiments was arranged to use SAM

techniques for discrimination between a void in the bulk of the braze, a
disbond at the silicon interface and one at molybdenum interface. Although it
was impossible, to date, to definitely separate these three defects, major
results were achieved in the identification of voids that can cause potential
failures of the devices. Figure 3 shows three SAM images of a good and failed
devices. These images were taken at a frequency of 50 MHz using the
Ultrasonic Science Ltd. (USL) equipment. The diameter of the basic unit
inspected was 50 mm. In the experimental arrangement used, the devices were
submerged in deionised water, with the uppermost molybdenum side towards the
ultrasonic transducer. The variation of the acoustic reflectance at the
brazing interface was evaluated. As can be seen in the bottom of Fig. 3, an
appropriate bonding process is demonstrated by a uniform colour (green in the
original colour picture). In the points at which voids exists at the
interface, the increase in the acoustic reflectance is evidenced as brighter
dots. These measurements allow the identification of potentially failing
devices at a point of the process where the cost of a rejection is still
limited. Recently it was demonstrated the ability of SAM to pick up regions

Ultrasonic
Sciences

DATE: Z4 : 9:1998
T1"E: 7: Z

Fig.3 - Scanning acoustic pictures of a well bonded basic unit

(bottom) and two failed (top), where a number of voids are
present (brighter spots). Measurements were taken at 50 MHz.

726
 Fig.4 - Scanning acoustic picture of a power thyristor basic uni t
with penetration damage generated on purpose. The brighter
areas are regions were the molten braze penetrated into the
s ilicon wafer. The dark regions in the fingers and in the
outer ring are braze voids. The ima ge was taken at 500 MHz.

Table 2 Actual spike depths in braze penetration samples as

measured by SAM, compared with the v a lues taken by
metallographi c section and optical measurements.

Grooved ring position 1 2 3 4 5 6

Depth meas. by SAM (~m) 236 208 113 159 84 80

Depth meas. opti c . (~) 265 215 125 150 100 75

In the cas e of suc h penetration d a mage the quantifi c a t i o n of the d e p t h of the

braze s pike is impo rtant. Expe r i ments wer e theref o re a rranged in o rder t o
elucida te the capa bility of th e ins trument s a vailable to measure t he depth o f
these s pikes. Thi s was achieved by abrading a number o f progressively deepe r
concentri c rings into the back of a silicon wafer. After cleaning, the wafer
was b o nded under standard c on d itions using the Al - Si eutecti c braze.
Measurements were done at 1 00 and 2 0 0 MHz. It was p o ssibl e to b o th
qualit a ti v ely identify the pos itions of bra ze penetra ti o n, and qu a ntify th e
penetratio n depth as s hown in Table 2.
From the quantitative point of view, a number of releva nt results have been
obtained during the evaluation of the test samples prepared for the
calibration of the acoustic microscopes. The attention was focused on the
were penetration of the braze into silicon occurs. Owing to the random and
infrequent nature of failures from braze penetration and the inability to
identify any such areas by non destructive techniques other than SAM, it was
necessary to produce erosion into the silicon wafer by artificial means. A
first set of samples were prepared bonding silicon wafers with a patterned
groove to the molybdenum ba c king plate. As can be seen in Fig. 4,
measurements taken at 500 MHz were capable t o discriminate between braze
penetration regions and voids in the braze.

727
 OUTPUT VOLTAGE OUTPIJTVOLTAGE

Z(,um) 80 Z(,urn)

Fig.S - V(z) signatures of two differently oriented silicon crystals

(a) , and of layers with different thicknesses of aluminium
onto silicon with <111> orientation. Measurements were taken
at 600 MHz.

measurement and simulation of V(z) curves of different materials 3 • Silicon

with different crystal orientation, silicon dioxide, aluminium, and different
combinations of layers of these materials were characterised. The ability of
SAM to distinguish these materials was demonstrated by comparing the V(z)
sign0tures of these materials. As an example Fig. S shows two set of V(z)
curves for silicon and aluminium. In particular Fig. Sa shows the V(z)
signature for two crystal orientations of silicon. Fig. Sb shows the
signatures for layers with different thicknesses of aluminium over silicon.
Both measurements were taken at 600 MHz. The periodicities of the V(z) curves
were quantitatively correlated, via FFT processing, with the velocity of the
surface Rayleigh wave.

CONCLUSIONS

Scanning Acoustic Microscopy has been demonstrated as a suitable

technique for defect monitoring in power semiconductor devices. Both
qualitative and quantitative results have been obtained. The capability to
characterise deep process damage combined with image processing gives a
unique opportunity for in-line non-destructive process monitoring. The
elaboration of data obtained with V(z) measurements has enabled the acoustic
characterisation of different materials typically used in semiconductor
manufacturing, both individually and in combination. Further work is
scheduled in the exploitation of a phase contrast method to map three-
dimensional damage inside the silicon crystal, and in the use of SAM for
automatic pattern recognition. In this case SAM is expected to offer unique
capabilities for the identification of defects in silicon dioxide or
photoresist layers for monitoring the process of masking silicon wafers.

ACKNOWLEDGEMENTS

This work has been carried out under the auspices of the Commission of
the European Communities, in the frame of the BRITE/EURAM collaborative
Programme. The specific Project (P-2318-4-87, Contract RI-1B-02S0) is

728
entitled "Development of a Non Destructive Test Method, Based on Acoustlc
Microscopy, for Process Moni tor ing of Power Semiconductor Device
Manufacture". It has been running since November 1988 for a period of three
years. The authors would like to thank the Commission, and in particular Mr.
R. Giordano, for the opportunity of setting up this research group.

REFERENCES

1. I.R. Smith, R.A. Harvey, and D.J. Fathers, An acoustic microscope for
industrial applications, IEEE Trans. Son. Ultras., vol. SU-32, pp. 274-278
(1985) .
2. M. Hoppe and J. Bereiter-Hahn, Application of scanning acoustic
microscopy: survey and new aspects, IEEE Trans. Son. Ultras., vol. SU-32,
pp. 289-301 (1985).
3. R.G. Wilson and R.D. Weglein, Characterization of material signatures by
acoustic microscopy, Electr. Lett., 14, pp. 352-354 (1978).

729
 INVESTIGATIONS OF DAMAGED METAL MATRIX COMPOSITES BY SCANNING
ACOUSTIC MICROSCOPY

H.-A. Crostack, G. Fischer, and U. Beller

Universitat Dortmund
Fachgebiet Qualitatskontrolle
Dortmund

INTRODUCTION
In recent years many structural materials have been de-
veloped in order to improve mechanical properties as well as
to decrease the weight of components involved. For industrial
applications the fracture behaviour of these composites is of
interest. However, problems arise in describing the damage
process caused by an external load.
The most promising techniques available in use of
studying this materials and their damage mechanisms are
microscopical methods. In-situ observations of continuously
bending specimen by means of scanning electron microscope
(SEM), and in-situ investigations with the help of scanning
acoustic microscope (SAM) during tension tests are
accomplished. Therefore the composites have to be polished
and notched. In this way the initiation of a single crack and
its further propagation can be observed.

MANUFACTURE AND FEATURES OF THE INVESTIGATED COMPOSITES

The investigated composites were produced by thermal
spraying as "free standing bodies". Therefore wrapping and
plasma spraying was controlled by computer. A substrate was
polished and the fibres were wrapped at equal distances in a
helix form. Subsequently the interspaces were filled by ther-
mal spraying to the required thickness. Multi-layers were
created by several sequences of wrapping and spraying. Here-
after the composites were cut perpendicularly to the fibres
and removed from the substrate. This process is described
more detailed by Steffens et al.(1988).
In fig. 1 the cross section of a multi-layer is shown.
In this case the fibres consist of austenitic steel of high
strength, stiffness and toughness (tensile strength 2.5
GPa; E-Modulus = 400 GPa) ,with a diameter of about 100 )..lm.
Nevertheless the matrix consisting of NiCr18Al6Si is very
brittle (tensile strength = 0.2 GPa; E-Modulus = 100 GPa).

Acoustical Imaging, Volume 19

Edited by H. Ennert and H.-P. Harjes, Plenum Press, New York 1992 731
 direction of plasma jet
during composite manufacture

O.5mm

Fig. 1. Micrograph of a multi-layered metal matrix

composite, (matrix: NiCrAI, fibre: stainless
steel, d f = 100~m)

The fine porosity in the range of 3-7 % is a result of the

spraying process. Additionally, during the manufacture of the
composite macroporosity was generated as a result of shadow
effects of the fibres and the high roughness of the sprayed
surface. The combination of these materials by thermal.
spraying does not lead to a reaction process at the inter-
face, as investigated by Steffens et al. (1989).

SAMPLE PREPARATION
Before testing the composites were sized to 55x7x2mm 3
and polished. The specimen were notched in the center of one
side, vertical to the fibre orientation. This way under load
the greatest points of tension stress at the notch are
caused. Therefore crack initiation and propagation is to be
expected at this predefined location and could be observed
easily by microscope. Additionally, the specimen has to be
fixed in a specical holder adapted to the tensile apparatus.

IN-SITU INVESTIGATIONS DURING BENDING TEST BY MEANS OF

SCANNING ELECTRON MICROSCOPY
In order to describe the damage behaviour, polished and
notched composites were mounted in a three-point-bending
mechanism and studies were made by SEM. The deflection rate
was 2,5 ~m/sec. The deformation process was interrupted only
for photographic recordings. During the deformation tests the
flexural load and the deflection were measured continuously.
The load-deflection curve and micrographs representing the
microstructure close to the notch taken after different
deflection load stages are depicted in fig. 2.

732
 300

Z 200
'0
o
o

100

deflection (mm)

Fig. 2. Load-deflection curve of a metal matrix composite

with the related micrographs of fibre fracture
(matrix: NiCrAl, fibre: stainless steel,
d f = 100 Ilm)

In the first instance the load-deflection curve reveals

a linear-elastic behaviour. At 60% beneath of the maximum
load first cracks occur within the matrix, as can be seen in
fig. 2b. As expected the crack formation starts in the vici-
nity of the notch. The first crack propagates to the matrix
between the first and the second fibre where the crack tip is
located without breaking the first fibre behind the notch.
However the matrix crack leads to an overstressing of the fi-
bres passed by the NiCrAl-alloy. As a consequence formation
of slip planes and voids, fibre necking and finally ductile
fibre fracture occur, also shown by Steffens et al. (1991).
Furthermore some fibres are elevated.
After a further load increase, matrix crack is prolonga-
ted. While the first fibres are cracking the course of the
load-deflection changes its slope, as seen in fig. 2c. Fur-
ther increase of the applied load leads finally to a rapid
drop in the load-deflection curve.
In fig. 2d the related micrograph shows some broken
fibres and the marked crack within the matrix. In spite of
the large amount of damage the composite does not break
finally under this load conditions. In addition to the main

733
 Fig. 3 Tension apparatus fixed on the microscope stage
of the scanning acoustic microscope

matrix crack, a network of cracks is formed. In spite of this

the stability of the undamaged fibres and matrix areas is
sufficient to prevent a total breakdown of the destroyed
composite. The broken fibres far away from the matrix crack
and the elevation of the fibres are a result of a debonding
of the interface fibre-matrix.

IN-SITU INVESTIGATIONS DURING TENSILE TEST BY MEANS OF

SCANNING ACOUSTIC MICROSCOPY
For comparison conventional machines have been used for
measuring the tensile strength of the composites. On the
basis of these values the conditions for further tests by
means of SAM were selected. The specially prepared composite
specimen were fixed in the new developed tension apparatus
and in-situ investigations were made by SAM. This equipment
thereby produced predeterminable load. The applied load was
realized by an increase of the specimen deformation. During
the experiment the load and the deformation of the specimen
were registered by means of strain gauges due to the tests
made by SEM.

At different external load levels the micrographs were

taken with different magnitudes at a approx. 0.8 GHz fre-
quency. Problems arise when defining the composite surface,
fig. 4. Induced by different material properties, especially
their abrasion behaviour, of the matrix and the fibre the me-
tallographic treatment leads to a surface profile. Its effect
is the high degree of local change in contrast.

In fig. 4 the surface of the composite beneath the notch

is visible before loading. By the process of notching the
fibre located close to the notch is damaged. The high

734
 Fig. 4 Micrograph of the notched surface before tension
test taken by SAM (f= 0.8 Ghz, 200:1,T=RT)

porosity within the matrix causes dark areas by focussing the

surface. Therefore there are difficulties in detecting crack
initiation and propagation within such areas .
After the first load level the overstressing of the fi-
bres positioned at the notch ground is developed as an inter-
ference pattern in the micrograph . This is a result of the

Fig 5 . Micrograph of the notched surface after tension

test taken by SAM (f= 0 . 8 Ghz, 200:1, T=RT)

735
matrix crack behind the fibre, initiated in a volumen. Besi-
des that, necking of the fibres can be observed. The ap-
pearence of the inteference pattern specifies the location of
damage in the fibres with increasing load.
As seen in fig. 5, the micrograph is taken at a specimen
deformation of 5%. It shows the broken fibre at the notch
ground at the surface. By focussing into the depth the
appearence of fibre fracture can be detected very clearly.
However the ultrasonic signal of the undamaged locations
diminishes due to the strong differences in their position
according to the vertical sense. After the load cycles the
fibres are strongly deformed and the matrix crack propagates
as a zig-zag-formation and the crack clivage increases.
Further increase of the tension load leads to a total
breakdown of the reflected acoustic signals as a result of
locally evelated fibres.

DISCUSSION
Whether in the case of bending or in the case of tensile
stresses the damage behaviour of metal matrix composites can
be describe as identical. Firstly the crack initiation begins
at the notch within the matrix due to its brittleness. The
cracks passes the fibres without noticeable interaction and
further crack propagation is not being stopped by the fibres.
The progressive matrix crack propagation causes a local
overstressing of the fibres. This can clearly be detected and
observed by SAM. This behaviour is a result of the changes in
the fracture elongation and also due to the low bonding of
matrix and fibre. The deformation of the fibres is initiated
by yielding, necking and finally ductile fracture. In
principle this fracture behaviour is very similar to fibre
reinforced ceramics and industrial glasses.

ACKNOWLEDGEMENT
The authors gratefully acknowledge the support given by
the Deutsche Forschungsgemeinschaft (DFG) which is sponsoring
the SFB 316.

REFERENCES
Steffens, H.-D., Kaczmarek, R., and Fischer, U., 1988,
Fibre-reinforced composites by thermal spraying,
in: Proc. Conf. "National Thermal Spraying
Conference" 23-27 Oct. 1988 Cincinati, Ohio, USA,
pp. 293-297
Steffens, H.-D., Kaczmarek, R., and Fischer, U., 1989,
Production of metal matrix composites by thermal
spraying, in: Proc. Conf. "12th International
Spraying Conference", 4-9 June, London
Steffens, H.-D., Kern, H., Fischer, G., Kaczmarek, R., and
Jancak, J., 1991, Recent Development in Plasma
Sprayed Fibre reinforced Composites, in:
Proc.Conf."2 ND Plasma-Technik-Symposium", 2-7
June, Luzern, has to be published

736
TUNNELING MICROSCOPY OF ACOUSTIC WAVES

E. Chilla, W. Rohrbeck, H.-J. Frohlich, and J. Riedel

Zentralinstitut fur Elektronenphysik

Hausvogteiplatz 5-7
0-1086 Berlin

INTRODUCTION

The investigation of acoustic wave fields on surfaces of solids plays

an important role in the understanding of propagation effects of ultrasonic
waves, especially surface acoustic waves (SAW). Several methods have been
developed in the past. They use light refraction and reflection', x-ray
scattering 2 or scanning electron microscopy with potential contrast 3 •

Recently Heil et al. 4 used a scanning tunneling microscope (STM) for

the investigation of ultrasonic waves. Using imaging contrast they could
analyse the amplitude.

We have developed a new method by which it is possible to get full

information on local phase and amplitude of the acoustic wavefield at the
surface6.6. The decisive point of this method is the application of an ad-
ditional rf signal to the tunneling tip. This leads to a low frequency
component of the tunneling current which can conveniently be evaluated.

PHYSICAL BASIS

The density of the tunneling current j as a function of gap voltage

U and gap distance d between the tip of the STM and the solid surface is
given by7

j e 2 U k e- 2kd ,
21th d (1)

where e is the elementary charge, h is Planck' s constant and k is the

reciprocal decay length of the electron wave reflecting the work function
of the material. The SAW with the frequency Col, causes a time dependent
distance

(2 )

where 'f=27fx/'A and x is the coordinate of the propagation directon of the SAW

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 737
with the wavelength A. The additional rf voltage with the frequency w2 at
the tip leads to

U = Uo + U, sin(<o>,t) (3 )

Inserting (2) and (3) into (1) and normalizing by jo yields

sin (1'.)1 t+'P)

e -2kd1 ,
(4)

where jo is the current density for U=Uo and d=do ' Expanding the exponential
function and the denominator and recondensing the series leads to

j/jo = P, + P,sin(<o>,t+q» + P 3 sin(<al 2 t)

+ P 4 cos [ (<al , -<al 2 ) t+q>] (5)
+ Pscos [(<0>1 +<al 2 ) t+q>] + . . . •

The coefficients Pl"" 'P 6 are nonlinear functions of do, d" U, and the
material constant k. The terms of special interest are the dc component and
the ac component with the difference frequency w,-w 2 ' For the coefficient P4
of the difference frequency component we get

where

-.1:. ( d 1 ) ~ [1+0,
2 do Uo

-2. (~) 3 U1 [1+(+.1:.(,+.1:.(3],

8 ~ ~ 2 6 (6)

_2 ( d , ) 5 U, [1+(+.1:.(2+.1:.(3+~(4+_1_(5]
16 do Uo 2 6 24 120 '

and (=2kd o . The calculated contributions to the normalized tunneling current

at the difference frequency are shown in Fig. 1. It is to be seen that for
large amplitudes of the SAW the contributions of higher order are remarka-
ble. For d,<do we can neglect higher order terms in d,/d o and we get

(7 )

where A, is the effective area of the tunneling tip. Hence we get a low
frequency signal whose amplitude reflects the amplitude d, of the surface
wave and whose phase reflects the local phase q> of the wave. That means that
full information on the SAW is available in a convenient frequency range.

738
 1,6

~ 1,2
L..
..£
~
"0,8

0,4

ooL-~==;Q=4~~~Q~8~~~1~'2~~::1~'6==~~2
d,IA)
Fig. 1. Normalized tunneling current at difference frequency as a function
of the amplitude of the SAW d 1 [do=sA, U'/Uo=O.l, k=1.l22S/A (Au»).

MEASUREMENT

The object under investigation was a SAW structure with an inter-

digital transducer and a gold island fabricated on a 38°ZXI-LiNb03 crystal
cut. The measurement was carried out in air at room temperature. A block
diagramm of the experimental setup is shown in Fig. 2. The output voltages
of two generators are fed to the two inputs of a mixing stage, the output
of which delivers the difference frequency of 1 kHz which is fed to one
input of a dual-channel oscilloscope. On the other hand the generators were
fed to the interdigital transducer and to the tip of the STM.

The received ac component of the tunneling current is fed to the other

channel of the oscilloscope. The amplitude as well as the relative phase
with respect to the mixer output voltage can thus be derived from the
screen. with the help of the dc component of the tunnelling current the gap
between the surface and the tip was controlled.

The frequency of both generators was varied from 32.0 MHz to 38.0 MHz
in steps of 100 kHz. The measured amplitude and phase as a function of the
frequency of the SAW can be seen in Fig. 3.

Although amplitude measurements were somewhat erratic, the mean values

of all curves clearly showed a frequency dependence which was in sufficient
agreement with the calculated values. The reason of this effect may be the
mechanical and chemical instability of the experimental setup.

The relative phase could be measured with an accuracy of about ±n/lO.

For a fixed distance it is a linear function of the frequency. Phase shifts
of A,=n are clearly to be seen at the pole frequencies of the transducer
transfer function.

739
 distance
control

1M

mixer
o
oscilloscope

Fig. 2. Block diagramm of the experimental setup

70 1t.

o
60 12

50 10
++++++
+++
+++
1=
40 8~
Q)
:j (})
0
~ .c;
Q) 30 6 a.
"0 Q)

~ :g>
a. =====>
c 20
E 00 4 ~

0
-++++
10 2
0

0 0
32 33 34 37 38
frequency (MHz)

Fig. 3. Amplitude (0) and relative phase (+) as a function of

frequency. Solid curve shows the theoretical transfer
function of the SAW structure.

740
RESULTS

For the mean value of the slope of the phase shift in the area of the
pass band

~ 6. 98±0. 087 [MHz-1j

df (8 )

was found. Taking into account the distance x=4383±10pm between the centre
of the interdigital transducer and the tunneling tip, the velocity v of the
SAW and the wavelength can be calculated.

v = 21tx df 3944 ± 49 ms- 1 ,

dIP (9)

v 112.7 ± 1. 4 11m (at 35 MHz) .

Aexp
f (10)

This is in good agreement whith a calculated value Ac =113pm. The sensitivity

of this method is about 10-3 • • • 10-2 A.

CONCLUSIONS

Ultrasonic surface waves can be detected by using the nonlinear

characteristic of the gap of a tunneling microscope. Adding a rf signal to
the tip voltage leads to an ac component of the tunneling current which can
conveniently be evaluated. Surface waves with subpicometer amplitudes could
be detected and velocity as well as wavelength of the SAW could be derived
from the frequency dependent phase shift with remarkable accuracy.

REFERENCES

1. J.P. Monchalin, Optical detection of ultrasound, IEEE Trans. UFFC-33, 5,

485 (1986).
2. H. Cerva, W. Graeff, Contrast investigation of surface acoustic waves by
stroboscopic topography, phys.stat.sol.(a) 82, 35 (1984).
3. H.P. Feuerbaum, H.P. Grassl, U. Knauer, R. Veith, Examination of surface
acoustic wave components using a scanning electron microscope, Scanning
Electron Microsc. (USA) 1, 55 (1983).
4. J. Heil, J. Wesner, W. Grill, Determination of displacement in ultrasonic
waves by scanning tunneling microscopy, J.Appl.Phys. 64, 4 (1988)
5. E. Chilla, H.-J. Frohlich, J. Riedel and W. Rohrbeck, Untersuchung von
AOW-Fe1dern mit Rastertunnelmikroskopie, in: "8. Tagung Akustikj11.-
Winterschule Mikroakustik", 212-215, G. Schommartz, ed., Phys.Gesell.,
Berlin (1989)
6. W. Rohrbeck, E. Chilla, H.-J. Frohlich, J. Riedel, Detection of Surface
Acoustic Waves By Scanning Tunneling Microscopy, Appl.Phys A 52, 346
(1991)
7. G. Binnig, H. Rohrer, Scanning tunneling microscopy, IBM J.Res.Develop.
30, 355 (1986)

741
 IMAGING OF LASER-GENERATED ULTRASONIC WAVES IN SILICON

Arthur G. Every * and Wolfgang Sachse

Department of Theoretical and Applied Mechanics
Cornell University, Ithaca, NY 14853, USA
*Department of Physics, University of the Witwatersrand
Johannesburg 2000, South Africa

INTRODUCTION
This paper reports the results of experiments we have carried out on silicon
single crystals using a scanned ultrasonic point-source/point-receiver technique based
on laser generation and piezoelectric detection. 1 The results are presented in the form
of gray-scale scan-images, which display the spatial and time dependence of the
radiated waveforms. Pronounced anisotropy is observed in the amplitudes of the wave
arrivals, which is the result of bulk anisotropy focusing of the acoustic energy. The
scan-images also contain clearly defined structures due to multipass waves and to head
waves. We are able to account well for the observed amplitude variations and the
various wave arrivals with Monte Carlo simulations based on ray constructs. The
amplitude variations are consistent with the known phonon focusing pattern of silicon.
The changes arising from the presence of surface damage are described and interpreted,
demonstrating the usefulness of scan-imaging for surface characterization.

EXPERIMENT AL METHOD
The experimental method we have employed is a variation of a broadband
ultrasonic point-source/point-receiver (PS/PR) technique described elsewhere. 2
Ultrasonic waves are generated in a 1cm thick disk-shaped silicon single crystal using
a Q-switched Nd:YAG laser operating at a wavelength of 1.06/Lm, which provides
pulses of ~4ns duration and ~10mJ energy. The laser beam is focused to a diameter of
~0.5mm and the operating conditions lie within the photoacoustic regime. 3 4 The light
is absorbed within a thin layer at the surface, causing a temperature rise and free
thermoelastic expansion normal to the surface. Lateral expansion of the surface layer
is, however, constrained by the underlying material, giving rise to lateral compressive
stresses, which lead to radiation of transient acoustic waves into the sample. The
waveforms that are generated consist of a continuous wave punctuated by sharp spikes
or discontinuities in the displacement field. These singularities propagate outwards
from the source on longitudinal and transverse wavefronts.5
The ultrasonic waves are detected with a small aperture (1.3mm diameter) PZT
piezoelectric transducer mounted on the sample face opposite to the source. The sensor
responds mainly to the normal component of the velocity of the sensed surface. A
conspicuous feature of the voltage signal is that the arrival of a displacement
discontinuity or other sharp feature in the waveform triggers a damped oscillatory
signal (ringing) that persists for a few tenths of a microsecond. Our main concern here
Acouslicallmaging. Volume 19
Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 743
is not with the precise shape of the signal, but with the onset of ringing, which
coincides with the arrival of a particular wave mode and with the early amplitude of
the signal, which is related to the magnitude of the singularity at the wavefront.
The interpretation of waveform data is greatly facilitated by stacking together a
large number of waveforms obtained for a closely spaced set of excitation points. The
scan-images presented in this paper have been constructed in this manner from 201
waveforms obtained for a set of excitation points 0.2mm apart along a scan-line. A
gray-scale is used to represent the signal amplitude, with shades of light corresponding
to motion of the detector surface towards the source and dark away from the source.

THEORY
The elastodynamic Green's functions of isotropic solids are well understood and
efficient computer codes are available for calculating these response functions for
practical testing geometries. Much less is known about the Green's functions of
anisotropic solids. There have been a number of formal treatments, notably the
seminal paper by Duff,S but few computations have performed and there is no library
of theoretical waveforms that we can draw on for comparison with our experimental
results on cubic crystal silicon.
In the interpretation of our results we have confined attention to signal onsets,
which correspond to various wave arrivals. These are influenced mainly by the high
frequency Fourier components of the waveform, which can be treated in the asymptotic
far-field limit by means of ray constructs. Our analysis takes the form of Monte Carlo
simulations, in which the energy at source is taken to be distributed among a set of
plane waves having a uniform distribution of wave normals n = (ni). These waves are
governed by the Christoffel characteristic equation 6
ICrlsmnlnm- pV20rs I = 0 , (1)
where Crl sm is the elastic constant tensor and p is the density of the medium, v is the
phase velocity and ors is the Kronecker o. This equation is cubic in v 2 and the three
solutions correspond to a quasi-longitudinal (L) and two quasi-transverse (T) modes.
The energy of each wave is propagated at its group or ray velocity, given by
v = [v(n) - n.Vnv(n)]n + Vnv(n) , (2)
through the sample and then, via successive reflection and mode conversion processes,
back and forth between the opposite faces. Using a Monte Carlo method to generate
n's and Eqs. (1) and (2) to calculate the rays, a simulated scan-image is built up,
which contains the various wave arrivals at the sensor. For meaningful comparison
with our experimental signals, which are a measure of (velocity) amplitude and not
energy, we display the square root ofthe arriving energy flux.
Figure 1 shows polar plots of the distributions of slow transverse (ST) and fast
transverse (FT) ray directions corresponding to a uniform distribution of wave
normals. As can be seen, these rays are highly concentrated in certain directions, to
form patterns of caustics where the energy flux diverges. In phonon transport studies
this effect is known as phonon focusing,7 and it is beautifully displayed in the many
phonon images that have been obtained of crystals. 8 Anisotropy focusing can be traced
to the fact that the rays are normal to the acoustic slowness surface, from which it
follows that the enhancement of the energy flux in a particular direction is proportional
to I K 1-1, where K is the Gaussian curvature of the acoustic slowness surface. 7 It is a
fairly common feature of anisotropic materials that there are lines on the slowness
surface where the curvature vanishes and this gives rise to the patterns of caustics.
All the scan-images we present below display a strong L wave signal, but in
each case only one of the two transverse waves is in evidence in any direction of
viewing. The reason for this is that the generation mechanism favours SV type

744
 /

Figure 1. Polar plots of the ST and FT anisotropy focusing patterns of silicon.

Also shown are the approximate locations of the scan-lines in the
experimental scan-images presented below.

I ' '\
ST I / JI I e
I I
....."
\ '-

-
/ /
[1~" " "-
--_
I /
/./ .... ............. .....
/ ....... ,
/..-~- 1 .........
-
--
I
" I / /..... : ..... -
" ,1/ ...../::::..",----
A-

Figure 2. The polarization patterns of the ST and FT modes of silicon.

displacements. Figure 2 depicts the polarization patterns of the ST and FT modes of

silicon and shows the location of the scan-lines in relation to these patterns. In the
case of scan-line A the FT modes are to a large degree SH in character while the ST
modes are almost entirely SV, and so the generation mechanism favours the generation
of ST waves. This selectivity is reinforced by the fact that on reflection the FT waves
are unable to mode convert to Land ST waves. Moreover, on reflection they do not
produce a normal displacement of the surface and so cannot be detected by the sensor.
In the case of scan-line B, it is the FT modes which are favoured over the ST modes.
The influence of source directivity3> 4 on the L waves is evident in our
scan-images as a pronounced decrease in the signal amplitude near epicenter. The ST
and FT modes show less evidence of source directivity, partly because strong
anisotropy focusing tends to mask these effects.

745
 36

30
E
E
.s .s
c
.!2 20
~ ~
~ ~
.t'
"~
0
~
~
(/)
10

(/)

-.
0
b
a 0 2 4
Time ()LS)

Figure 3. (a) Measured and (b)calculated scan-images for the (lOO)-oriented

silicon crystaL

217'---~"'--~T7."'-r--:;---,;'I"""""

20

E
.s
! (I:, ,
'(
.'
.- . j:
,
if
"

.~
t'I'l
.. , -10

b -16 3+----.:f-~-'-r-'---'-.....,..,'-l--"_r_'
o 4 o 4
T,me (I") Time {)Lsi

Figure 4. (a) Measured and (b) calculated scan-image for the (llO)-oriented
silicon crystal.

746
 EXPERIMENTAL RESULTS
Figure 3(a) shows a measured scan-image for a (100)-oriented silicon crystal.
The scan-line is in the [OOlj-direction, extending from 4mm on one side of epicenter to
36mm on the other side. Figure 3(b) shows a Monte Carlo simulation 9 incorporating all
Land ST single- and multi-pass wave arrivals, including mode conversion sequences
up to five passes, and also the L-+ST head wave arrival.1 0 These predicted wave arrivals
match up very well with the signal onsets visible in Fig. 3(a). Because of polarization
selectivity, there is no discernible presence of FT waves in the measured scan-image.
The most striking feature in the measured and simulated scan-images is the
prominent ST structure near epicenter. This arises from the intense ST focusing that
occurs in Si near the <100>-directions (see Fig. 1). At its maximum, the measured ST
signal is ~30 times greater than it is in the other directions where there is
compensatory defocusing. This corresponds to an intensity ratio of three orders of
magnitude.
At about 4mm (20") from epicenter the L-+ST head wave emerges smoothly
from the ST wave. The predicted L-+ST head wave is in good agreement with the
corresponding feature in the measured scan-image. Beyond 4mm the ST wave is not
visible in the measured scan image.
Figure 4(a) shows the measured scan-image for a (llO)-oriented silicon crystal.
The scan-line is in the [lI2j-direction, extending from 16.3mm on one side of
epicenter to 23.7mm on the other side. Figure 4(b) shows a Monte Carlo simulation of
Land FT single and multi-pass wave arrivals and the L-+FT head wave. These
predicted wave arrivals match up well with the signal onsets in Fig. 4(a). Because of
polarization selectivity, ST waves are absent from the measured scan-image. The
strongest focusing of the FT waves occurs at epicenter in the [llOj-direction, where the
scan-line passes through a ridge of strong focusing (see Fig. 1).
The intense bands that run vertically across the measured scan-image arise
from the presence of surface damage in the form of a series of small ablation pits.
When the laser strikes one of these pits a larger signal amplitude results. This can
partly be attributed to reduced reflectivity at the pits. Also, the L wave amplitude is
greatly enhanced relative to that of the T wave, and this effect carries over to the 3L,
5L and even 7L wave arrivals. It appears that some of the laser energy penetrates into
the interior of the sample, where it functions as a buried thermoacoustic source,
generating pure L waves. This would also account for the reversal of the polarity of the
initial L wave signal at the ablation pits. From the fact that the initial signal onset is
shifted forward by up to ~0.4J1S we infer that the generation is taking place at distances
of up to ~4mm below the surface, which is an indication of how deep the damage
extends. These observations demonstrate the potential usefulness of scan-imaging as a
tool for material characterization and damage assessment.

ACKNOWLEDGEMENTS
This work has been supported by the NSF-funded Materials Science Center at
Cornell University. A.G.E. also acknowledges support from the University of the
Witwatersrand; W.S. acknowledges the support of the ONR, Physical Acoustics
Program.

REFERENCES
1. A.G. Every, Wolfgan& Sachse, K.Y. Kim and M.O. Thompson, Phys. Rev.
Letters 65: 1446 (1990).

747
2. w. Sachse and K.Y. Kim, in "Review of Quantitative Nondestructive
Evaluation", Vol 6A, D.O. Thompson and D.E. Chimenti eds., Plenum, New
York (1986), p.311.
3. D.A. Hutchins, in "Physical Acoustics", W.P. Mason and R.N. Thurston eds.,
Vol. XVIII (1988), p.21.
4. C.B. Scruby R.J. Dewhurst, D.A. Hutchings and S.B. Palmer, in "Research
Techniques in Nondestructive Testing", R.S. Sharpe ed., Academic Press, New
York (1982), Vol. 5, p.281.
5. G.F.D. Duff, Philos. Trans. ,R. Soc. London 252: 249 (1960).
6. M.J.P. Musgrave, "Crystal Acoustics", Holden Day, San Francisco (1970).
7. H.J. Maris, J. Acoust. Soc. Am. 50: 812 (1971).
8. G.A. Northrop and J.P. Wolfe, in "Nonequifibrium Phonon Dynamics", W.E.
Bron ed., Plenum, New York (1985), p.165.
9. The elastic constants and density of silicon for the calculations were taken to be
C ll =165.7, C 12 =63.9, C44=79.56 GPa and p=2332kg/m 3.
10. M.J.P. Musgrave and R.G. Payton, Quart. J. Mech. A.Irnl. Math. 34: 235
(1981); 35: 173 (1982).

748
 SCANNING ELECTRON ACOUSTIC MICROSCOPY OF RESIDUAL

STRESSES IN CERAMICS: THEORY AND EXPERIMENT

John H. Cantrell a and Menglu Qian b

Cavendish Laboratory
Madingley Road
Cambridge CS3 OHE, U.K.

and

aNASA Langley Research Center bInstitute of Acoustics

Hampton, Virginia 23665-5225 Tongji University
U.S.A. Shanghai 200092, China

INTRODUCTION

Several reviews have highlighted a number of applications of scanning

electron acoustic microscopy (SEAM) to metals and semiconductors which show
that SEAM can provide new information on surface and near-surface features
of such materials l - 4 , but there have been few studies attempting to
determine the capabilities of SEAM for characterizing ceramic materials 5 - 7 .
We have recently observed image contrast in SEAM from residual stress fields
induced in brittle materials by Vickers indentations that is strongly
dependent on the electron beam chopping frequency. We have also recently
developed a three-dimensional mathematical model of signal generation and
contrast in SEAM, appropriate to the brittle materials studied, that we use
as a starting point in this paper for modelling the effect of residual
stress fields on the generated electron acoustic signal. The influence of
the electron beam chopping frequency is also considered under restrictive
assumptions.

EXPERIMENTAL RESULTS

The SEAM experiments were performed on a Cambridge S4-10 scanning

electron microscope using an acceleration potential of 30kV and electron
beam chopping frequencies in the range 204-355 kHz. Figure 1 shows SEAM
images of Vickers indentations in SiC whisker-reinforced alumina and are
representative of the results obtained in all ceramic materials studied.
Comparison of these images with optical birefringence studies of indents in
soda-lime glass slabs and with theoretical studies on the form of the
residual stress field surrounding Vickers indentations in elastic/plastic
materials 8 suggest that the SEAM images are able to reveal not only the
radial and median crack systems, but can also image subsurface lateral
cracks and aspects of the stress field left by the indenter. In Fig. l(a)
the radial cracks are clearly imaged at a chopping frequency of 204 kHz,
together with the combined effects of the subsurface lateral cracks,

Acoustical IffUlging, Volume 19

Edited by H. Etmert and H.-P. Haljes, Plenum Press, New York 1992 749
Fig. 1 SEAM images of Vickers indentation in alumina reinforced with
33 vol% SiC whiskers at chopping frequencies of (a) 204 kHz and
(b) 355 kHz.

verified in optical studies of indents in glass, and part of the residual

stress field left by the Vickers indenter. The predominating tensile radial
stresses, predicted by dynamical models to occur at the tip of the radial
cracks and within the plastic zone beneath the indentation site, are seen to
be imaged with a contrast opposite to that of the predominating near surface
compressive hoop stresses and lateral cracks occurring at radii smaller than
the radial crack length but beyond the indentation plastic zone. When the
chopping frequency is altered to 355 kHz (Fig. l(b», contrast reversal
occurs, whereby bright and dark regions are interchanged in the image.

THEORETICAL MODEL OF STRESS-INDUCED CONTRAST

We have recently developed a mathematical model of the three-dimensional

temperature distribution and resulting stress field in a disc sample
subjected to an incident, modulated electron beam and have obtained an
expression for the output signal from a piezoelectric transducer coupled to
the sample 9 . The equations indicate that the modulated electron beam in
SEAM generates both a thermal wave and an acoustic wave simultaneously in
the sample. In thermally thick samples used in our experiments, the thermal
wave attenuates very rapidly, but information about the thermoelastic
properties in the irradiated region is still carried by the acoustic wave
and detected by the transducer coupled to the sample.

Electron-Acoustic Signal Generation and Image Contrast

For thermally thick samples with large electron beam attenuation, we may
approximate the SEAM signal output as 9

ClT(3A+Il)
V", R(ro)
(peK) 1/2 (1)

where the thermoelastic parameters in Eq. (1) are the thermal expansion
coefficient ClT' the Lame constants A and Il, the thermal conductivity K, the
specific heat C, and the mass density of the solid p. All factors either
not involving thermoelastic parameters, or involving thermoelastic
parameters only indirectly through their influence on the resonance response

750
of the sample-transducer system, are included collectively in the function
R(W), which is in general a function of the electron beam chopping frequency
W. The thermoelastic parameters are known to be sensitive to residual and
applied stress fields in the material and in order to evaluate stress-
induced contrast in SEAM it necessary to consider the variation of each
thermoelastic parameter as a function of strain. Although the stresses also
affect R(W) via the transducer-sample resonance response, we consider here
only the change in output signal resulting directly from variations in the
thermoelastic parameters of Eq. (1).

We may formally define image contrast S between points 1 and 2 in the

material as

(2)

where Vl(W) and V2(W) are the SEAM signal outputs from the points 1 and 2,
respectively. Since the SEAM output signals are functions of the electron
beam chopping frequency, so too is the contrast. Although the variation in
the SEAM signal output, hence SEAM contrast, at a given frequency as a
function of strain is assessed here from the individual thermoelastic
contributions of Eq. (I), it is also important to note that VI and V2 are
generally different functions of the frequency. Thus, it is possible that S
may be positive at a given frequency but negative at another. Such a
situation gives rise to image contrast reversal at the two different
chopping frequencies and is clearly demonstrated in Fig. 1. The condition
V2 > VI gives rise to the "dark field" contrast of Fig. l(a), while the
condition V2 < VI produces the "bright field" contrast of Fig. 1 (b).

We can simplify the thermoelastic component of Eq. (1) by introducing

the relationship between the thermal expansivity aT and the Gruneisen
parameter YG of the material given by

(3)

and the relationship between the thermal conductivity K and the thermal
diffusivity d t given by

K=pCd t . (4)

Substituting Eqs. (3) and (4) into Eq. (I), we obtain the output signal from
the transducer to be

v= YG R(w}.
p(dt} 1/2
(5)

We see from Eq. (5) that in order to determine the variation in the acoustic
signal output as a function of strain it is necessary now to calculate only
the variations in the thermoelastic parameters YG' p and d t as a function of
strain.

751
Strain Dependence of the Thermoelastic Parameters

At room temperature for cubic crystals the fractional variation in the

Grtineisen parameter ~YG/YG can be written in terms of the strain-
all
generalized mode Grtineisen parameters Yj and the strain derivatives of

these parameters as lO

~YG=_l_ aYG drt11

YG YG drt11 (6)

where

3N 11 22 33
YG=9~~(Yj +Yj +Yj),
1=1 (7)

=
(8)

+ (C al3mn + C al3munJJ uU v) N rrI'J n] ,

and

all
(fyj all 'Y Ii 1
--=2y.
;}..,
Vllyli
1
y.1 2C
mun
vNmN nU uU v [Call'Ylimn

(9)

where Cijkl, Cijklmn' and Cijklmnpq are the second, third, and fourth-order
elastic constants of the solid, respectively, ~al3 are the Lagrangian
strains, and the sum in Eq. (7) is taken over the 3N normal modes of lattice
vibration of the crystal represented by the direction cosines of wave
propagation Ni and polarization Ui' For expediency we have assumed a
uniaxial strain along the x-direction.

Using the approximation that the elastic constants of cubic solids of

any order are approximately an order of magnitude larger than the elastic
constants of the previous order and are opposite in signll, we calculate the
fractional change in the Grtineisen parameter as a function of strain
(d~ll = ~) to be

~YG
--=2.6d~11 = 2.6~.
YG (10)

We now consider the variation in the thermal diffusivity as a function

of strain by noting that the thermal diffusivity depends directly on the
phonon mean free path which in turn depends on the mass density of the

752
material. Assuming that the change in the thermal diffusivity ~dt to first
order approximation is proportional to the change in mass density,
~p '" PTI. we may write the fractional change in the denominator of Eq. (5) as

-1 -112
~(p d t )
1.5T).
-1 -1/2
pdt (11)

From Eqs. (5), (10), and (11) we find the fractional change in the
acoustic output signal due to strain in the material to be

-1 -112
~V ~ 'YG ~(p d t )
-=--+ =4.1T).
V 'YG -1 -1/2
pdt (12)

CONCLUSION

According to Eq. (12) a positive (tensile) strain produces an increase

in the output signal, whereas a negative (compressive) strain produces a
decrease in the output signal. According to Eq. (2), dark field contrast
conditions occur at a chopping frequency at which V2 - VI > 0, where
V2 = V is the SEAM output in a region of residual stresses. VI is the
output in a stress free region of the sample and under ideal conditions
(maximum contrast) VI approaches zero. SEAM micrographs taken under dark
field conditions are then expected to produce relatively brighter regions of
tensile strain and darker regions of compressive strain. This prediction is
in general agreement with features observed in the dark field micrograph of
Fig. 1 (a) .

Finally, estimates of the variations in SEAM output signal due to strain

fields can be made by noting that a typical output voltage V is of the order
5~V. Tensile strains of the order 0.2% - 0.3% (and in some cases higher)
are possible in brittle materials, especially in whisker-reinforced
ceramics 12 . Such strains, according to Eq. (12), would produce a variation
of the acoustic output signal of the order 10nV (approximately 1%).
Variations of this size are well within the image contrast and signal
processing capability of the SEAM electronics.

REFERENCES

1. L. J. Balk, Canad. J. Phys . .6..1., 1238 (1986).

2. G. S. Cargill, Physical Acoustics, Vol. XVIII, ed. W. P. Mason and
R. N. Thurston. (Academic Press, New York, 1988), p. 125.
3. D. G. Davies, Phil. Trans. Roy. Soc. A lZQ, 243 (1986).
4. A. Rosencwaig, Annual Reyiews of Materials Science~, 103 (1985)
5. M. Urchulutegui, J. Piqueras, and J. Llopis, J. Appl. Phys. ~, 2677
(1989) .
6. J. H. Cantrell, M. Qian, M. V. Ravichandran, and K. M. Knowles,
Inst. Phys. Conf. Ser. .2..6., 143 (1990) .
7. J. H. Cantrell, M. Qian, M. V. Ravichandran, and K. M. Knowles, Appl.
Phys. Lett. 52., 1870 (1990) .
8. P. Ostojic and R. McPherson, International Journal of Fracture n, 297
(1987) .
9. M. Qian and J. H. Cantrell, Mat. Sci. Engng. ~, 57 (1989).
10. Y. Hiki, J. F. Thomas, Jr. and A. V. Granato, Phys. Rev. ~, 764
(1967) .
11. J. H. Cantrell, Proc. Institute of Acoustics ~ (part 5), 445 (1989)
12. A. Kelly and N. H. Macmillan, Strong Solids (Clarenon, Oxford, 1986)

753
 SIGNAL GENERATION AND CONTRAST MECHANISMS IN ELECTRON

AND PHOTO ACOUSTIC IMAGING OF DIFFERENTLY DOPED SILICON

M. Domnik and L.J. Balk

Universitat Duisburg Fachgebiet Werkstoffe der Elektrotechnik

Leiter: Univ-Prof. Dr.-Ing. E. Kubalek
Sonderforschungsbereich 254, Kommandantenstr. 60, D-4100 Duisburg 1, F.R.G.

INTRODUCTION

Applicability of electron and photo acoustic imaging to the evaluation of material properties is
governed by the exact knowledge of signal generation and contrasts mechanisms. Whereas this
seems to be given sufficiently well for metals, the understanding for silicon has been still unclear.
Based on theoretical models and on crucial experiments this paper clarifies this situation.

THEORETICAL BACKGROUND

Based on a photostrictive model, as used by Figielski 1 for germanium, Stearns and Kino 2 as
well as Gauster and Habing 3 explained photo acoustic signal generation in silicon as dominantly
photostrictive. On the other hand the origin of signals in photo acoustic and in scanning electron
acoustic microscopy (SEAM) was interpreted as a solely thermoelastic effect for materials in gen-
eral. Whereas White 4 showed this for a one-<l.imensional model, Holstein 5 improved this theory by
assuming surface bending to be the transmitter of the sound information to the detector. Jackson
and Amer 6 introduced a limited specimen thickness and consideration of the piezoelectric transduc-
er properties. Finally, Rousset, Lepoutre and Bertrand (RLB)7 took into account the bending fea-
tures of a disc limited in all dimensions and suspended on a ring of given diameter. Further they
assume harmonic excitation of elastic waves and detection at the back surface of the sample.

i. 1 ••

~
£
-< 1.'

If 0 ••

11 ~L--------H~-------~~-------~L-~77---J~
frequency

Fig. 1. Magnitude for a thermally thick sample with 180kHz eigen frequency

Acousticallmaging, Volume 19
Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 755
EXPERlMENTAL

A proof of theory can only be gained by set-ups with well-known parameters and by a com-
plete set of temperature, frequency or time dependent measurements. To allow this a
non--contacting capacitive transducer has been used 8 for the determination of the bending magni-
tude and phase. All measurements discussed in this paper are SEAM results, although with laser
excitation consistent results could be achieved by the authors, too. The sample surfaces were differ-
ently treated, besides commercial polishing both mechanical damage and thermal oxidation were
applied. Selective doping was achieved by ion implantation and subsequent thermal annealing.

SIGNAL GENERATION

Due to RLB a l/f-law for the photo or electron acoustic magnitude should occur for samples
with a thickness d>). th, the thermal diffusion length. This is visible in fig. 1: the l/f-law is
super-imposed within the simulation with the eigen resonance of the sample and is in agreement
with the experiment. Furthermore RLB demand a constant magnitude with frequency for samples
with d<). tho This is to be seen in fig. 2 , where decreasing the sample temperature yields an in-
crease of ). tho The 83K graph shows thermally thin specimen behaviour for low frequencies. An-
other possibility of demonstrating the thermoelastic signal generation is directly to compare Si with
metals. To avoid the dimensions depending resonances, instead of a frequency scan a duty cycle
variation is carried out. Due to a still periodic excitation lock-in amplification can be used. With
an assumed linear increase and decay of the signal with beam on/off a signal variation due to RLB

80 180
frequency
r
Fig. 2. Transition from thermally thick to thermall y thin behaviou l'

,-----::m-I""';;O:- - - - - - - , I.I.

;0
<OJ'5
..,
~

~
c o ,a
liI'
E
~ 0.20
'a
E
g
0."
l>-(2Tp/T)- I
Fig. 3. Magnitude for silicon and aluminum as a function of duty cycle
(T: duration of excitation period, Tp: duration of exciting pulse)

756
should occur as shown by the solid line of fig. 3. Both Si and metals (as here for aluminum) show
identical behaviour though with a slight deviation at extreme duty cycles. Contribution of any
other signal generation should have shown a different temporal behaviour and by this an asymme-
try with respect to the simulation. Furthermore, germanium has shown the same behaviour as Si.
As all results were obtained for silicon independently of surface treatment, doping, and for both
electron and laser excitation, the thermoelastic signal generation seems to be proven.

CONTRAST MECHANISMS

Contrasts in electron and photo acoustic micrographs taken from silicon should on a first sight
be understood by thermoelastic origin only. This showed to be true for mechanical features like
grain boundaries, where a clear A-112-law for the structure size resulted. Comparing the contrasts
obtained for substrate and a doped area thermoelastic behaviour can be seen, too. Figs. 4 and 5
show the frequency and temperature dependencies for differently doped materials. The behaviour
can be calculated without detailed knowledge of the contrast origin itself in a three-dimensional
treatment assuming a small Ath to enhance the surface near implanted region. However, the spa-
tial resolution shows to be frequency independent even for a large frequency range, which is not
explainable thermoelastically. The situation becomes even more complicated when considering the
micrographs of the sample sketched in fig. 6. Here doped areas vanish within the SEAM contrast
whith varying primary electron energy. The 6J.Lm deeply doped regions are not visible for lOkeV
energy. This, for instance, cannot be understood at all in terms of the solely thermal model by
Rosencwaig and White 9 . The contrast can be explained as variation of the thermal expansion coef-
ficient a depending on both electron-hole pair generation and doping level with the other thermo-
elastic parameters linked to a by Grlineisen's equation. With such a model, which calculates the

1.31o=====;=::;--------A
IUbA'III8 1014cm- 3 1

o p-_ 101·cm- 3 o
6. n-_ 101·cm- 3
- sImuIaIIon

1~~~--------~====~==~
1:::=:,,1
• '2 138 kHz 200

frequency
Fig 4. Frequency dependence of doping contrast

1.1 4

I~=I 0/
V
0

1
~ ~

-
c

0 IIIE,,:3OkaV;I,: ....A;f:131kHz~ I
bMn PIOIMIIr.
K _
0."eo 148
tamperatunt

Fig. 5. Temperature dependence of doping contrast

757
 cross section : (a
doping
1 2 doping 1

6.0"",

doping 2.#

substrate : n/l()1'cm-3

Fig. 6. SEAM micrographs of selectively doped ilicon

a) schematic of structure, b) image with lOkeY, and c) with 30keV

doped area energy dissipat ion

rmI volume ~

Fig . 7. Model for doping contrast; u: mechanical tension, fr: thermal expansion coefficient

1.16,----------;===:r::===::;l
~
'C •

~lS
:i!'
E []

0-
- s
~ j
c: "
8.('

17 '3.. keY 30
primary eleclron energy

Fig. 8. Dopin g con trast as a function of primary electron energy

'.s'
0
0 0 0 []
[] 0 0 []

0 concentra~on/depth
3
[] 20 -3
0 10 cm 10.6~m
[] 6. 10'8cm-3/6~m

• '" '" '"

'" '" substrate
[]

'" I 2'lO"cm- 3
'"
" " keY
primary electron energy
30

Fig. 9. On the ability of SEAM to determine doping profiles

758
 local excess carrier densities in the doped area as well as within the substrate - the starting as-
sumptions shown in fig. 7 -, the contrasts could be quantified for the various implantation prcr-
files. In fig. 8 the according simulation meets the experiment without the need of fitting parame-
ters. In this example the maximum reveals the implantation depth. Thus, the contrast involves a
thermoelastic origin and an additional convolution of the local excess carrier density with the
dopant profile.

APPLICATIONS

As a result SEAM can be used not only to determine local temperature variations, but also to
depth-profile implanted areas quantitatively and non-destructively. As this profiling is only gov-
erned by the original excess carrier density, it can be done with the best resolution as possible with
scanning electron microscopy. Without proof within this paper both magnitude and phase can be
used equivalently. In fig. 9 the 0.5 p,m deep implantation is determined precisely by phase
contrast, the 6p,m deep implantation is visible, too. The fact of the latter being smeared out is due
to a soft doping gradient of this structure.

ACKNOWLEDGEMENTS

This work was financially supported by the Deutsche Forschungsgemeinschaft. Specimens were
supplied by Dr. Weigel from Wacker Chemitronic, Burghausen, and by the Fraunhofer-Institute
of Microelectronic Circuits and Systems, Duisburg.

REFERENCES

1. T. Figielski, Photostriction Effect in Germanium, phys. stat. so!. 1: 306 (1961)

2. R.G. Stearns and G. S. Kino, Effect of electronic strain on photoacoustic generation in silicon,
App!. Phy. Lett. 47: 1048 (1985)
3. W. B. Gauster and D. H. Habing, Electronic Volume Effect in Silicon, Phys. Rev.
Lett. 18: 1058 (1967)
4. R. M. White, Generation of Elastic Waves by Transient Surface Heating, J. App!.
Phys. 34: 3559 (1963)
5. W. L. Holstein, Image formation in electron thermoelastic acoustic microscopy, J. App!.
Phys. 58: 2008 (1985)
6. W.Jackson and N. M. Amer, Piezoelectric photoacoustic detection: Theory and Experiment, J.
App!. Phys. 51: 3343 (1980) .
7. G.Rousset, F. Lepoutre, and L. Betrand, Influence of thermoelastic bending on photoacoustlc
experiments ... of thermal diffnsivity of metals, J. App!. Phys. 54: 2383 (1983)
8. M.Domnik and L. J. Balk, Capacitive Transdncers for Scanning Electron Acoustic Microscope
(SEAM), this volume
9. A.Rosencwaig and R. M. White, Imaging of dopant regions in Silicon with thermal-wave
electron microscopy, App!. Phys. Lett. 38: 165 (1981)

759
 VISUALIZATION OF DOUPHINE TWIN IN QUAIITZ FILTER

BY ELECTRON ACOUSTIC MICROSCOPY

V.L. Gurtovoi, V.G. Eremenko

(nstitute of Microelectronics Technology

USSR Academy of Sciences
142432 Chernogolovka, Moscow region, USSR

INTRODUCTION

Douphine twin (DT) is a main structural defect of piezoelectric quartz crystals 1 . DT is a quartz
crystal region where electric x and mechanical y axes are rotated 1800 about optical axis z relative to
their direction in matrix. The DTs occur as a rule in producing quartz components under thermal and
mechanical treatment of the starting material. If the quartz plate bulk consists of about 50 % of DTs,
it is impossible to excite piezo-vibrations 1 . Smaller content of DTs results in irreproducible electrical
characteristics of quartz components. Twinned quartz is optically homogeneous, so DTs can not be
revealed by direct optical methods. The wide-spread method, which is used for this purpose, is chemical
etching in aqueous solution of HF, but it is a destructive one. DTs could also be revealed by the Laue
patterns or using piezo or electro-optic effects 2 ,3. Direct visualization of DTs at microscopic level can
be achieved by scanning acoustic microscopy4 which is nondestructive technique and, besides, gives the
information about the local surface acoustic wave velocities. However, the use of acoustic microscopy
requires good polishing of the sample surface.

EXPERIMENTAL

In this work electron acoustic microscopy (EAM) was proposed for visualization of DTs in quartz.
The EAM technique has been described in detail elsewhere5 ,6. The mechanisms of the EA contrast
formation for different materials have been presented in 7,8. During experiments the unmodulated electron
beam current was (5-7) x 10- 7 A and accelerating voltage 20 kV. Commercial quartz filter (14 MHz, AT-
cut) of 8 mID in diameter and thickness of 0.2 mm has been used as specimen, which had been subjected
to laser treatment resulting in degradation of its electric parameters. Silver metallization of 1000 A was
deposited on both filter surfaces, whose function was among others to prevent electron beam charging of
the quartz surface. The experiments were conducted in two modes. Because quartz is piezoactive, the EA
signal in the first mode was registered from the bottom filter electrode, whereas the top one was earthed,
i.e. the filter was simultaneously used both as sample investigated and as piezoelectric transducer. In
the second mode the same crystal was glued by conducting silver paste to PZT disk-shaped transducer
of 6 mm in diameter and 0.4 mm in thickness, the signal source being the transducer. The sample was
placed onto the signal electrode of screened sample holder without any clamping. Reliable electric contact
between the signal electrodes of the transducer and the holder was carried out by means of the thin layer
of liquid InGa paste, allowing both the sample in the first mode and the sample-transducer structure in
the second mode to make practically free vibrations.

RESULTS AND DISCUSSION

Fig. 1 shows the EA images in the first mode, illustrating behaviour of the quartz filter EA contrast
in a narrow frequency range near bending resonance. Only amplitude EA signal has been used for

Acoustical Imaging, Volume 19

Edited by H. Ennert and H.-P. HlUjes, Plenum Press, New York 1992 761
Fig. 1. (a) Secondary electron image of the filter surface. EA images in the first mode near the bending
resonance: (b) modulation frequency f=401.9 kHz, average level of the EA signal V=1.3 JlV;
(c) f=404.4 kHz, V=1 JlV. The arrows show some nodes discontinuities.

visualization. The irregular shape formation at the center of the images (Fig.lb and lc) is DT. This
fact was independently confirmed by Laue patterns as well as by observation of DT after turning over
the filter, so this is not surface formation but runs through the crystal bulk. Moreover, it is well known
that the artificial quartz twinning is possible only by the douphine law l . In the EA images one can
see nodes (dark lines) and antinodes (light regions) of the filter vibrations and sharp change of the
vibrational pattern with changing modulation frequency within the limit of 8 kHz near the resonance.
Possibility to observe nodes and antinodes has been demonstrated before 9 ,1O. Characteristic peculiarity
of the filter acoustic vibrations is a discontinuities of nodes at the DT-matrix boundary. Some such
cases are shown by arrows (Fig. Ib and lc). This is apparently due to the mismatching of acoustic
impedance at the boundary, connected with the difference of elastic constants in direction perpendicular
to the boundary. As a consequence the acoustic waves excited by an electron beam are reflected from
the boundary, resulting in formation of almost independent vibrations of DT and matrix. This implies
that DT is a strong acoustic inhomogeneity, causing the degradation of the filter electric parameters at
the operating frequency of 14 MHz.

Possible mechanisms of EA contrast are owing to the difference of DT and matrix physical properties
because of quartz anisotropy: the change of electric axis direction; the difference between elastic constants;
the difference of thermal conductivities; the difference of the thermal expansion coefficients.

The dependence of the contrast on modulation frequency in the second mode is shown in Fig. 2.
From the comparison between Figures 1 and 2 it follows, that the nature of contrast does not change.
As in the first mode, both DT itself and nodes discontinuities at the boundary are observed (Fig. 2a)
and, although, nodes practically do not penetrate into DT at f=421.6 kHz (Fig. 2b), the overall shape
of vibrational field confirms the presence of acoustic inhomogeneity. It has to be noted that vibrations
of DT and matrix ill the second mode have a less pronounced independence. This is clear from Fig. 2c,
where the nodes are almost continuous, since the vibrating structure consists of comparable in thickness
elastically inhomogeneous filter and homogeneous transducer. At frequencies higher than 200 kHz in
both modes, where the patterns of nodes and antinodes are observed, the visualization of DT is carried
out through observation of the boundary, which is revealed due to the difference in acoustic vibrations
amplitudes on both sides away from it, e.g. antinode is observed on the matrix side and the node - on

Fig. 2. EA filter mages in the second mode at different frequencies: (a) modulation frequency f=300.1
kHz; average signal level V=1.1 JlV; (b) f=421.6 kHz, V=3.5 JlV; (c) f=951.9 kHz, V=1.4 JlV.

762
 x - cut
100
:;- t .j.. t
-3 M DT t.4
Q)
'd 10
E
;::l 0)
Il.

90~t~~~""""""'-'"""'""l

•o
o a:J

Q)
III
~ -90~--~------------ ____
c.. Matrix

-18~~~~~~~~~~--~~~~~~~
10 100
Frequency (kHz)

Fig. 3. Amplitude and phase frequency dependencies of the x-cut quartz

twin alld matrix EA signal: (a) amplitude; (b) phase.

the twin side. Therefore, the difference of elastic constants in direction perpendicular to the boundary is
the main reason of 1he EA contrast formation under described conditions.

The contrast at low frequencies, when wavelength of bending mode is greater than the sample size
and, besides, in the regions where node lines are absent, is apparently caused by simultaneous difference
in thermal conductivity, elastic constants and thermal expansion coefficient of DT and matrix. It is obvi-
ous that registration of EA signal by additional transducer excludes the influence of differently oriented
electric axis on conI rast, since the contribution of the inverse piezoelectric effect to elastic constants is
negligible for quartz. The similarity of the images in two modes (Fig.1 and 2a, c) permits to suggest
that the difference in the electric axes orientation in DT and matrix slightly affects the formation of EA
contrast in the first mode as well. To find out the effect of the electric axes direction on contrast, the
frequency dependences of the EA signal amplitude and phase of a x-cut (8x8x0.4 mm 3 ) plate have
been measured. Twins have been introduced into the plate by the heating above the temperature of
a - f3 phase transit on at 573 0 C. This experimental situation is a model one, because the electric axis

Fig. 4. EA images of the x-cut quartz plate in the first mode: (a) f= 10 kHz, twins are black; (b)
f=332.3 kHz, contrast inversion in observed; (c) f=572.4 kHz.

763
Fig. 5. EA image of the twin-matrix boundary filter fragment in the first
mode at f=398.1 kHz. The arrows show the twinning dislocations.

directions both in DTs and matrix are perpendicular to the sample surface (insert in Fig. 3a). In the
frequency range of 200 Hz - 8 kHz the 1/f-dependence of EA signal amplitudes is observed (Fig. 3a) and,
moreover, the matrix: signal is greater than that of twin by a factor of 8. We do not expect such large
signals difference, because thermal and elastic constants are equal in DT and matrix for x-cut quartz. A
complicated depend ence of amplitudes is observed in the frequency range of 8 kHz - 150 kHz, which is
owing to the presence of bending resonances. From 160 kHz to 200 kHz the DT signal becomes less than
that of the matrix, i.e. the contrast inversion is observed. Fig.4 illustrates the EA contrast dependence
in question . The frequency dependence of the phase (fig. 3b) shows that the opposite direction of electric
axes is the key factor of signal formation from 200 Hz to 8 kHz, because the phases are differed by 1800 •
As the frequency increases, the phase of DT signal rapidly approaches the phase of matrix signal and
signals become in phase at the frequencies higher than 100 kHz .

Observation of the DT boundary at higher magnification has shown that a spatial resolution of EAM
is about 2 JIm at 400kHz. This allows one to reveal and investigate DT-matrix: boundary structure with
high spatial resolution. In Fig. 5 one can see dark point inhomogeneities along the boundary, which we
attribute to twinning dislocations. In addition, EAM is an efficient technique for investigation of bending
and radial vibration modes of piezoelectric components and for determining the influence of a crystals
attachment, macroscopic inhomogeneities, e.g. metal electrodes, and defects on these modes.

CONCLUSION

For visualization of DTs in quartz EAM technique has been proposed, which does not require a special
preparation of the specimen surface. The possibility to use EAM for visualization of vibrational patterns
has demonstrated the fact that DT affects the filter vibrations as a strong elastic inhomogeneity, which
resulted in degradation of its electrical parameters at operating frequency 14 MHz. Different electric axes
orientation in the components of twinned quartz slightly influences the EA contrast at frequencies higher
than 100 kHz and is a key factor at frequencies less than 10 kHz. It has been shown that the main reason
for visualization of DTs at frequencies higher than 200 kHz was the difference of elastic constants in
matrix and twin in the direction perpendicular to the boundary. Further investigations are necessary to
explain the signal formation in x-cut quartz at low frequencies. The reasons of DT observation in the filter
at frequencies less than 100 kHz are apparently due to differences of the DT and matrix elastic constants,
thermal conductivities and thermal expansion coefficients. To find out quantitative contribution of these
parameters to the contrast, different cuts of quartz should be investigated.

764
ACKNOWLEDGEMENTS

The authors would like to thank E.A. GaliuJin and V.I. Dernovskii for providing the filter and V.Zh.
Rozenflants for silver metallization deposition.

REFERENCES

1. E.V. CinzerJing, "Iskusstvennoe dvoinikovanie kvarca," AN SSSR, Moskva (1961), (in Russian).

2. E. Kittinger, E. Bertagnal, A method for the visualization of secondary douphine twinning in a-quartz,
Rev. Phys. Appl., 14: 601, (1979).

3. G. Dolino, Douphine twin observation in quartz using piezo or electro-optic effect, Rev. Phys. Appl.,
10: 433, (1975).

4. N.G. Vasin, M.A Kulakov, A.I. Morozov, A.K. Bessmertnyi, Zh. Technich. Fiziki, 56: 220, (1986).

5. L.J. Balk, N. Kultscher, Techniques for scanning electron acoustic microscopy, Inst. Phys. Conf. Ser.,
67: 387, (1983).

6. W.L. Holstein, Imaging of thermal and elastic surface properties by scanning electron acoustic mi-
croscopy, J. El. Micr. Tech., 5: 91, (1987).

7. J.C. Murphy, J.W. Maclachlan, L.C. Aamodt, Image contrast processes in thermal and thermoacoustic
imaging, IEEE ThaI: s. Ultrason. Ferr. Freq. Contr., UFFC-33: 529, (1986).

8. N. Kuitscher, L J. Balk, Signal generation and contrast mechanisms in scanning electron acoustic
microscopy, Scan. El. Micr., Part I, 33, (1986).

9. G.S. Cargill, Electron-acoustic microscopy, Phys. Today, October: 27, (1981).

10. W.L. Holstein, Image formation in electron thermoelastic acoustic microscopy, J. Appl. Phys.,58:
2008, (1985).

765
AN IMPROVED MEASUREMENT SYSTEM FOR THE INVESTIGATION OF SENSITIVE

SPECIMENS BY MEANS OF SCANNING ELECTRON ACOUSTIC MICROSCOPY (SEAM)

K. Kaufmann, P. Koschinski, U. Zinke, and L.J. Balk

Universitat Duisburg Fachgebiet VVerkstoffe der Elektrotechnik

Leiter: Univ-Prof. Dr.-Ing. E. Kubalek
Sonderforschungsbereich 254, Kommandantenstr.60, D-4100 Duisburg 1, F.R.G.

INTRODUCTION

In contrast to other modes of ~canning ~lectron Microscopy (SEM) SEAM usually necessitates
high electron beam currents to achieve a sufficient signal-to-noise ratio. In addition, for taking a
SEAM-micrograph being the mam use of this method in order to detect specimen
inhomogeneities, high irradiation times of the specimen are necessary. Due to the fact that
specimens are thermally, mechanically, and electrically loaded a damage of sensitive specimens like
semiconductor devices or plastic materials cannot be excluded. In order to reduce the radiation
dose an improvement of both the detection technique and the signal acquisition is necessary.

ADVANCED PIEZOELECTRlC DETECTOR

The main problems of SEAM arise due to the principally low signal levels which are in the
order of ).LV. For this reason highly efficient detectors are required. A piezoelectric detector based
on a piezoelectric PZT-<:eramic disk and a geometry proposed by Balk and Kultscherl as well as
by Domnik et al 2 has been investigated and improved. To increase the signal level the beam
blanking frequency f can be tuned to resonance frequencies which occur due to both bending of the
specimen and resonant oscillation of the transducer. But SEAM-micrographs may be disturbed by
superposition of the signals due to microscopic specimen properties with bending oscillations
appearing as dark and bright patterns. Even worse, this superposition may lead to artefacts, such
as contrast inversion. The bending oscillations can be avoided by properly sticking the specimen
ont.o the surface of the transducer. Clamping the specimen is not suitable, especially for small or
brittle specimens, such as GaAs-devices. Several glues have been tested for mounting the sample.
Silvcr 3- or carbon conductivity paints commonly used for SEM -applications proved to be
unsuitable. Use of two-compounds silver conductive adhesive 4 or Araldit 5 and Technovit 6 (both
electrically insulating) proved to yield highest signal levels. Yet, specimens may be damaged when
detaching them from the detector as to a lack of nonagresssive solvents.
For the improvement of signal level both thickness and radial resonances of the transducer can
be used, the latter being more suitable for frequencies up to 250kHz. For this case the resonance
frequency fr depends on the diameter d of the piezoelectric ceramic disk and can be estimated by:
=
f r NpE / d
with NpE being the radial frequency constant of the specific transducer material.
Electrical shielding problems, e.g. for the secondary electron signal, can be avoided by fully
encapsuling the piezoelectric ceramic disk by an aluminum cage as well as by placing an aluminum
foil between ceramic disk and specimen.
In Fig.1 the geometry of an improved piezoelectric detector is shown. The piezoelectric ceramic
disk, the alumium foil, and the brass cylinder are sticked together either with Araldit or two-

Acoustical imagillg, Volume 19

Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 767
 Fig. 1. Geometry of the improved piezoelectric detector

compounds silver conducting adhesive under axial pressure. Teflon is used for electrical insulation.
Due to the improved signal-to-noise ratio the neccessary electron beam current can be reduced.
Moreover, this allows the use of a lock-in-amplifier with a shorter integration time (T=125j.ts),
thus reducing the time for recording a micrograph.

IMAGE PROCESSING WITH A QUANTIZATION OF 13 BIT

Digital Image ;Processing i2.ystems (IPS) are widely used in scanning electron microscopy and
are commercially available. In comparison to taking a micrograph on film these systems have
several advantages, one of them being the possibility of immediately judging the micrograph's
quality. Usually, the signal is quantized into 256 grey levels and stored in a memory for each pixel
affording 8 bit of memory. The whole micrograph is discretized usually in 512·512 or 1024·1024
pixels. The quantization for each pixel i is
grey level(i) = int( (U(i) - Umin / U max - Umin) . 255)
The minimum of the signal range is Umin and the maximum is U max . Before taking an image it is
necessary to align the signal range (Umin to Umax ) with the input of the analog-to-digital
converter. Usually this is done by adjusting the amplification and the offset of a pre-amplifier.
Due to the low quantization and the necessity of adjusting the pre-amplifier, however, several
problems in the practical use of these IPS arise:
available information is lost
it is difficult and time---{:onsuming to adjust the signal amplitude and the offset in order to
obtain an optimum modulation, especially for signal sources with high time constants (e.g. the
output of a lock-in-amplifier)
signs of signals are lost, (e.g. the sign of the phase shift of the electron acoustic signal with
relation to a square wave modulation of the electron beam)
if the signal has a high dynamic, that means if the picture contains structures with both very
small and very high signa.! differences, it is impossible to record all the information in one
image
while adjusting the pre-amplifier the specimen is loaded, thus causing alteration of sensitive
specimens already before recording the image
it is hardly possible to record images from different signal sources at the same time.

In order to overcome these problems an IPS with a quantization of 13 bit has been realized in
which recording and processing of the images are done with 4096 levels of quantization (12 bit)
plus sign of the signal. The complete system for measuring the electron acoustic signal is composed
of three essential parts, namely the SEM, the SEAM-detection unit (including the piezoelectric
detector, the lock-in-amplifier, and the synthesizer driving the electron beam blanking system),
and the parts of the image processing system (Fig.2).

768
 The hardware of this 13 bit IPS is based on a commercial IPS7 consisting of an
IBM-AT-compatible microcomputer serving as control computer for the 13 bit IPS, an image
processing computer with a pipeline-processor for fast image processing, and a volatile image
memory of 8 MByte, an RGB-monitor, a recording unit, and a cartridge unit. This commercial
IPS does only allow standard 8 bit image recording and processing. The image processing computer
is linked to the control computer by a very fast interface. The commercial IPS itself has been
supplemented by a fully programmable data-acquisition system8 containing two digital-to-analog
converters, a high-speed voltmeter, as well as a high-speed multiplexer, and which is connected
with the control computer by IEEE-488 interfaces.

electron beam
I
blanking system I function generator K.
r-I I
I
I I I1st lens I
SEM
I I I2nd lens I
scan
coils •• x

y magnification L
I

I
x

y ~
D/A-converter
I I I
focus-lens I data aquisltlon system
I'
high speed voltmeter
SE/BE -detektor
I
specimen rr multiplexer E

I transducer I LJl 2 3 4 5 "faux

E
E

, 4
8
A 8
lock-In
amplifier "
cos fII
sinfll
ref. 1
...L
image processing
computer ~ control computer

.~Image
...1
image
display recorder processing
system
Icartridge disk drive

Fig. 2. Block diagram of the measuring system

The improved IPS is controlled with the control computer by a program intersected into three
major subprograms for recording and processing the images and storing them in different
nonvolatile memories (harddisk, diskettes, or flexible disk cartridges). On demand, subroutines are
loaded from the subprograms into the data-acquisition system or the image processing computer.
While taking micrographs, the measurement is controlled by the data-acquisition system. The
internal control of the parts of the data-acquisition system takes place as well by program as by
synchronisation signals. The required programs, information about the signals to be measured, and
parameters like integration time are loaded by the control computer.
The scanning unit of the SEM is controlled by the two 16 bit digital-to-analog converters in
order to place the electron beam. Data-acquisition occurs by the combination of the high-speed
voltmeter and the high-speed multiplexer. The accuracy of the voltmeter is 12 bit plus the sign of

769
the measurement signal. That means that for a maximum signal range from Umin=OV to
U max =10V the accuracy is 2.5mV, which is better than the noise levels of the amplitude output of
the used lock-in-amplifier and of the secondary electron detector. Due to the high quantization
adjustment of preamplifiers is not neccessary. The different signal sources are connected
sequentially with the voltmeter by the multiplexer. The switching and measuring time is
neglectable in comparison to the integration time of the lock-in-amplifier. This procedure repeats
pixel for pixel.
The measurement values are put into the interim memory of the data-acquisition system
before they are transmitted to the control computer by direct memory access operation. Finally,
they are stored in the image memory of the image processing computer and are ready for further
processing.
The subprogram for processing the 13 bit images allows
calculation of 8 bit grey level images. For this any given range out of the range from --4096 to
4096 quantization levels can be projected on the 256 levels of the grey level images in a linear
or logarithmic manner, allowing the creation of images to represent different information about
the specimen. For that, 8 bit images are sufficient since human faculty of vision is not able to
distinguish more than 100 grey levels. The images can be further processed by customary image
processing functions 9 or can be photographed.
use of histogram functions. By this quantitative measurement values can be determined
at a single specimen spot
along any given straight line
statistically as a histogram of the whole image.
This procedure of gaining quantitative measurement values at special specimen spots or along a
straight line has great advantages in comparison to direct measurements on the specimen.
Measurement values can be compared with their adjoining values and artefacts can be
recognized, which is especially important for specimens with great lateral inhomogeneities in the
signal level. It enables the determination of even the signal level of fine structures as well as the
measuring of the dependence of signals on electron beam parameters at any specimen spot with
switched off SE-detector.
application of arithmetical operations on 13 bit images. By this, adding, subtracting,
multiplying, or dividing of images get a physical meaning. For example, after measuring the
mixed signals (Acos and Asin) of a lock-in-amplifier the amplitude and the phase signal can
be calculated.
In comparison to other IPS the management of the images is realized by free-to-choose image
narnes instead of simply using the number of the memory in which an image is stored. This leads
to comfortable working operation and helps to avoid unwanted erasing of images.

EXAMPLES

The performance of the realized measuring system is demonstrated by the following figures
showing results of the evaluation of a 13 bit image. For that purpose the electron acoustic phase
signal of a test chip area with three burned out GaAs-MESFETs was recorded with 13 bit
quantization and beam parameters being Wpe=20keV, Ipe=74nA, and f=225.9kHz. The voltmeter
was set to a measuring range from -2.5V to 2.5V and the image consisted of 512· 512 pixels. For
orientation, the investigated specimen area is shown in secondary electron mode in Fig. 3.
First of all, Fig. 4 shows a grey level image (8 bit) calculated by using formula (1) with Umin
and U max being the lowest and highest signal levels measured, respectively. All grey levels are
used, thus, optimum modulation is achieved. Bright contrasts meaning high positive signals (i.e.
high phase shifts) appear at the connection wires, the destroyed gate region of MESFET 2, and
around some metallizations deposited on the GaAs substrate, whereas MESFETs 1 and 3 are
hardly recognizable.
The signal values along the marked lines A and B in Fig. 4 are shown in Fig. 5 with signal
heights ranging from U min=-O.25V to U max =1.6V for linescan A and from U min=--D.25V to
Umax=OV for linescan B (10mV corresponds to a phase shift of 1 degree). In this case, the
quantization steps are £.. U=1.85V /255=7.25m V for the calculation of a grey level image showing
the full signal range. Yet, this is insufficient to resolve the signals from MESFETs 1 and 3. On the
other hand, if the range is chosen to be U min=-250mV and Umax=OmV with signals outside this
range set to grey level 0 (for signals smaller than U min) and 255 (for signals higher than U max )
even the structures of MESFET 3 are clearly visible, as is demonstrated in Fig. 6. Even
inhomogeneities of the ohmic contacts can be clearly recognized.

770
Fig. 3. Secondary electron image of the investigated specimen area showing three burned out
GaAs~MESFETs.

Fig. 4. Electron acoustic phase micrograph of the specimen area shown in Fig. 3. For
calculating this grey level image the full signal range was used, thus, MESFETs 1 and
3 are hardly recognizable.

[~r-~--~--~--~--------------------~ ~ r-~--------------------------~
["~l

. . .
1_ .. ... . ....•.. .. ..... .=... , ..
..., ;"., ,.".~." ...... ,;., ...... .

.... ,.•.~- , ••.••.•• , ~ , ......... .-i ........... ; ,....... " ; .......... ; ., ••••. ••.. :..•...... A •••

- llllll! ··········;·· ··· ·· ····· i·· ··· ···.···;·· ... ·· .. ··i· ... ·······,.·.·· .....· i

--'----'--------'---~--------~---'----'
Fig. 5. Height of the electron acoustic phase signal along lines A and B marked in Fig. 4.
The unit of the ordinates is mY; lOmV corresponds to a phase shift of 1 degree.

771
Fig. 6. Electron acoustic phase micrograph of MESFET 3 calculated with optimum Umin and
U max . Even fine structures within the ohmic contacts are visible.

CONCLUSIONS

By means of the shown examples the advantages of higher quantization for image recording
and processing as used in customary image processing systems becomes clear. Even images of
specimens resulting in problematic signal conditions, e.g. large variations in signal height, can be
recorded at a single irradiation without having to readjust the preamplifier. This is a requirement
for investigating sensitive specimens which might be altered by the electron beam. Of course, the
presented system is suitable and of high convenience even for other modes of SEM, since not only
grey level images are recorded, but also quantitative measuring values are available. This system is
supposed to be a step towards a quantitative use of several modes of SEM.

ACKNOWLEDGEMENTS

We would like to thank the Departement for Solid State Electronics of Duisburg University for
supplying the GaAs-MESFETs. The work was financially supported by the Deutsche
Forschungsgemeinschaft.

REFERENCES

1. L.J. Balk and N. Kultscher, Techniques for Scanning Electron Acoustic Microscopy,
Inst.Phys.Conf.Ser.No.67:Section 8 pp387-392 (1983)
2. M. Domnik, M. Schottler, and L.J. Balk, Detector Strategy for Highly Versatile Scanning
Electron Acoustic Microscopy (SEAM), Springer Series in Optical Sciences 58: pp292 (1988)
3. brand name: Electrodag 915 High Conductivity Paint by Acheson Colloids Company
Plymouth/England
4. brand name: 2-Comp. Silver Conductive Adhesive, Epoxy Produkte FUrth/Germany
5. brand name: Araldit F by CIBA-GEIGY GmbH Wehr/Baden /Germany
6. brand name: Technovit 3040 by Kulzer & Co GmbH Werheim/Germany
7. Kontron IMCO 500
8. HP data acquisition sytem HP3835
9. A. Rosenfeld and A.C. Kak "Digital Picture Processing", Academic Press (1976)

772
 CAP ACITIVE TRANSDUCERS FOR SCANNING ELECTRON ACOUSTIC

MICROSCOPY (SEAM)

M. Domnik and L.J. Balk

Universitat Duisburg Fachgebiet Werkstoffe der Elektrotechnik

Leiter: Univ-Prof. Dr.-Ing. E. Kubalek
Sonderforschungsbereich 254, Kommandantenstr. 60, D--4100 Duisburg 1, F.R.G.

INTRODUCTION

In scanning electron acoustic microscopy piezoelectric transducers, mainly based on PZT

ceramics, are used for picking up the sound signal as generated due to electron impact within a
specimen. The acoustic contact between sample and transducer is achieved either by glueing or by
mechanical force. Though this technique delivers high detection efficiencies it has various
drawbacks. One of these is due to the necessary mechanical contact possibly causing signal
artefacts, especially for thermally thin samples, the other one the inability to carry out wide-range
temperature dependent measurements, as the usability of piezoelectric ceramics is limited by their
Curie temperature and as their transducing efficiency changes with temperature. To overcome
these shortcomings, capacitive transducers which do not imply material properties and which do
not need mechanical contact with the sample may be applied.

TRANSDUCER ARRANGEMENT

First capacitive transducer usable for SEAM were realized by placing a dielectric spacer foil
between sample and a detection electrode!. Whereas this system already allowed to carry out
temperature dependent measurements 2 , it did not enable artefact free quantification of the results
as still a mechanical contact between specimen and detection electrode had to be maintained.
However, due to a theory by Rousset, Lepoutre and Bertrand 3 the information within SEAM
signals is delivered by bending vibrations. As their theory is valid for harmonic sound excitation by
radiation and calculated for a disc of limited dimensions being suspended on a ring of given
diameter, it is of great advantage to realize a transducer arrangement meeting their parameters
precisely. Based on a method by Gauster and Breazeale 4 various transducers have been developed.
For all of them a detection electrode is located concentrically within an electrode suspending the
specimen and put on ground potential to avoid spurious signal pick-up. The insulation between
these two electrodes is realized by an organic epoxy5 for standard experiments or by a dielectric
ceramic 6 for high temperature applications (fig. 1). The height difference between the electrodes is
achieved by simultaneous polishing of both surfaces after mechanical hardening of the connecting

~
~ rz?:i:JmetoUization
~ layer
ll!ili!lcopper

e:llnsulotor
Fig. 1. Transducer structure with the example of a silicon specimen

Acousticallmaging, Volume 19
Edited by H. Ermert and H.-P. Hrujes, Plenum Press, New York 1992 773
insulating material and by subsequent growth of a copper layer on the suspending electrode with
controlled thickness (typically 5-10 /lm). Due to the small distance between the sample surface
(opposite to the illuminated surface) and the detection electrode signal levels are achieved being
comparable to PZT. As all procedures are carried out using photo lithography, any shape for the
electrode can be arranged easily, even detector arrays are feasible (in fig. 2 various transducers are
shown in comparison). The detection unit of fig. 1 is interchangeable with a piezoelectric trans-
ducer of same physical dimensions to allow comparisons. It is inserted into the detector housing
(fig. 3) which is mounted onto the SEM specimen stage allowing movement of the sample beneath
the primary electron beam and variation of the sample temperature from 10 K up to > 500 K.

DETECTION CIRCUITRY

Fig. 4 shows the detection schematic for the capacitive transducer and the according electrical
equivalent circuit. By variation of the bias voltage Do for the detecting capacitor the actual
sensitivity of the system can be controlled. By switching off Do contributions of spurious signals
can be identified. Optimization of all parameters within this circuitry has to take into account that
specimen bending and by this a distance variation d(t) between sample and electrode is the only
transmitter of information. In this case and for the assumption of a square wave excitation and for
a thermally thick sample a linear d(t)-behaviour result 3 . Finally considering the characteristics of
lock-in amplification, the detected SEAM signal is given by

8 do j C2+E2
with
Us == 1fJ WDoC0-n A2+B2

Fig. 2. Capacitive transducers as realized for various purposes

a) standard arrangement, b) as used for IC-testing, c) on printed circuit board

electron beam
heating detector electrode
facifity

-
r&ZI Cu
electric
insulation
Smm

LN2 L~

Fig. 3. Detector housing for temperature dependent measurements

774
 2 2 2
A = RS + W2CLCSRMRS + (l+CL/CK) RM(1+w2CS RS) C = RMRSA - wCSRSRMB

From this the parameters CK = 22,6 nF and RM = 100 Mn have been determined as theoretical
optimum in consistency with the experiment.

PERFORMANCE OF THE TRANSDUCER

The quality of the developed transducer is analyzed concerning its ability to separate SEAM
from spurious signals and to deliver reproducable results with sufficient sensibility. Its feasibility
for temperature dependent measurements could be proven in a detailed study of silicon by SEAM7.
When using this type of detector for non-metallic samples a metallization layer has to be
applied to the back sample surface. If this is done improperly, Schottky barriers may be created
leading to an unwanted spurious signal which, for instance, may be an electron beam induced
current. This possible artefact can be identified in its magnitude relative to the real SEAM signal
by variation of Uo (fig. 5). For a mere SEAM signal origin a symmetric linear dependence of signal
level with Uo should occur, any deviation being due to the artefact mentioned.
As the detection is solely sensitive to bending vibrations of the sample, the signal may be
increased by using eigen frequencies. However, as to be seen by fig. 6, Chladni figures arise with a
shape according to the chosen resonance. This signal variation may dominate not only the
appearance of micrographs but also has to be taken into account when comparing results of
different experiments. Though due to an easy acoustic problem the frequency dependence is well to
be calculated 7 , for quantitative experiments frequencies being far away from resonances, which can
be assisted by a proper choice of the detector and sample dimensions, should be selected. The
performance of the developed capacitive transducer is compared to a PZT transducer in fig. 7: the

I block diagram I
I
I
electron beam I

• ,.,... specimen
..1: -
metallization ......... -]
r--~_,--_....... C(t)---~--~-. ..-~~-......,)O"'""--'1O!J:'--m-+-d""(t:-r)---I11I
C(t) detect.ion ....... detector electrode
capacitor
CL line capacity
C K coupling capacity
RM measuring resistance Uo 0.2 • 0.9kV

~
K
Rs input resistance of bias voltage
lock-in amplifier
input capacity of
lock-In amplifier LIA lock-in amplifier
output voltage of
lock-in amplifier
Us
- .....----ill!
equivalent circuit

equivalent
current
generator

Fig. 4. Block diagram and equivalent circuitry

775
 ", 0
01
\ \ o ,
/:
.\ \ 0

i 0.75
\ \
o ,
II

Ii
"';; \ 0
:::I
'. \
.i/
"'iii
~ \ \

,
:::I
0.5
• 1° 0

/1
\
j \
c • \
\

., •\
0

/I
.'
0'

I g
0.25

\
" .,~ ./
,'c,
•
SEAM
\ II / 1•0
o SEAM pIua apurtoua
-450 ·225 o 225 V 450
bias voItIIge Uo
Fig. 5. Normalized magnitude as function of the detector bias voltage

90
,."V
v- :"'-."-., <>
6
10kHz
23kHz
/' ""'- a 41 kHz

60
i/ " 0 80kHz

"'-
,
j•
c

:Ii
~ 2
3

I~\
--
'" -:>- ~~
"'" ~
/'"

-~
'-a
'"
\.( /r/ 1

~( '1)
I
/
/
/ \
"" '" ......... /

" .....,>)< '-.4

- /" "C
'1 /
o
-4,5 -3 -1,5 0 1,5 3 mm 4,5
dillblnce to epeclmen center

Fig. 6. Local variation of SEAM magnitude for a thermoelastic ally homogeneous sample
at various eigen frequencies (except 10kHz)

776
capacitive transducer reveals much clearer frequency scans which are to be simulated by theory in
a precise manner7 and repeated mounting and demounting of the sample does not bother its
overall reproducibility.

CONCLUSIONS

The capacitive transducer showed to be superior to piezoelectric detection with respect to inter-
pretability and reproducibility of the signals. Future work should consider an increase of its sensi-
bility by chosing materials of a high work function to increase the breakdown voltage and should
also show its usability for high frequencies. Further, the applicability of arrays should be analyzed.

I
I-
LL-----------'
I~ -------'
60r---~-~-~~~~_.._--~,

~V~______~~--~~~--~~

Ia; o.,f.--------~--_+---.I_l

~E~ o.o.L----------..L~~---'
• 8. kHz 200
frequency

Fig. 7. Experimental comparison of magnitude frequency behaviour for capacitive and

piezoelectric transducer

ACKNOWLEDGEMENTS

This work was financially supported by the Deutsche Forschungsgemeinschaft.

REFERENCES

1. M. Domnik, M. Schottler, and L. J. Balk, Detector Strategy for Highly Versatile Scanning
Electron Acoustic Microscopy (SEAM), Springer Series in Optical Sciences 58: 292 (1988)
2. M.Domnik and L. J. Balk, Evaluation of the Temperature Dependence of Electron
Acoustic Signals in Silicon by Use of a Capacitive Transducer, Springer Series in Optical
Sciences 62: 245 (1990)
3. G. Rousset, F. Lepoutre, and L. Bertrand, Influence of thermoelastic bending on
photoacoustic experiments related to measurements of thermal diffusivity of metals, J.
Appl. Phys. 54: 2383 (1983)
4. W. B. Gauster and M. A. Breazeale, Detector for Measurement of Ultrasonic Strain
Amplitudes in Solids, Rev. Sci. Instrum. 37: 1544 (1966)
5. brand name: Araldit by CIBA-GEIGY GmbH
6. brand name: Thermostix T-2000, Firma R. Muller, Hamburg
7. M. Domnik and L. J. Balk, Signal Generation and Contrast Mechanisms in Electron and
Photo Acoustic Imaging of Differently Doped Silicon, this volume

777
IMAGING AND CHARACTERIZATION OF WEAR BEHAVIOR IN WC+Co COATING

AND 45# STEEL BY SCANNING ELECTRON ACOUSTIC MICROSCOPY

F.M. Jiang, S.X. Hui, Q.R. Yin

Shanghai Institute of Ceramics

Academia Sinica 200050,P.R.China

Abstract

The imaging and characterization of structure changes and wear

behavior in WC+Co coating by SEAM was reported in this paper.
The Results show that SEAM can provide some information
undiscernible by other techniques. The results obtained by SEAM
were compared with those obtained by SEM and Auger Electronic
Spectrum, it shows that SEAM is very useful in the evaluation of
coating and in the assessment of early wear processes.

Introduction

Scanning electron acoustic microscopyCSEAM) is relatively a new

technique based on the production and detection of acoustic
waves due to the interaction between a solid and the modulated
primary electron beam, it can image microstructure below the
specimen surface. Since its invention by Brandis,Rosencwaig [1]
and Cargill[2], it has been used to assess a number of materials
properties such as grain growth around a weld region(3], metal
oxides in the presence of base metal[4], subsurface flaws(5],
dopent regions in semiconductors(6]. Up to now, there are only a
few reports on the application of SEAM to coatings[7].

WC+Co ceramiC coating reported here has a good wear resistant

performance and was widely used in mechanical engineering and
space technology, its wear resistant performances are closely
related to its structures. Considering the abilities of depth
profiling and giving image contrasts due to variations of
thermal and elastic properties, we tried to apply SEAM to the
imaging and characterization of structure changes and wear
behavior of WC+Co coating against 45# steel in this paper.

Experiment

The sample, WC+Co coating used in the experiments, were deposited

onto the steel ring surface by plasma spraying, thickness of the
coating was O.6mm. Wear tests were conducted with a domestic
MM-200 wear test machine using block-on-ring arrangement with
the coated ring sliding against the 45# steel block in air at

Acoustical Imaging, Volume 19

Edited by H. Ennert and H.-P. HaJjes, Plenum Press, New York 1992 779
Fig.1 Micrographs of WC+Co coating (A) SEM, (B) SEAM f=34KHz

Fig.2 (A),(B),(C) are SEM and SEAM images (7KHz, 15KHz) of the
same sample in Fig.1 with higher magnification, (D) is a SEM
micrograph of cross section of WC+Co coating.

780
room temperature without lubrication. All SEAM micrographs are
linear Acos~ images with acoustic frequencies ranging from 2KHz
to 110KHz. The images were carried out on a modified homemade
DXS-10 SEM equipped with beam chopping system. Signals are
detected by PZT transducers and then analyzed by 124-A lock in
amplifler(Princeton,U.S.A.}. Samples are prepared as usual for
SEM.

Results apd discussiops

1. Imaging and characterization of WC+Co coating

Fig.1 are SEM and SEAM micrographs of an area of WC+Co coating:
the left part of it was unworn and the right worn. It is obvious
that both images convey different informatiop: surface cracks
and voids were shown in Fig.1(A}, While much subsurface
information were revealed in (B) by comparing (B) with (A),
t~ere are only a few defects in the left unworn area, and many
subsurface voids and cracks or delaminations in the right worn
area. There also could be seen extending of cracks below the
specimen surface such as arrow a indicates. Besides, most of the
subsurface defects like area 1,2 are distributed near the
cracks. Thus, the ability of SEAM to detect subsurface flaws
allows their presence to be determined without cross-sectioning,
the early stages of wear processes could be assessed. From the
images above, it could be concluded that friction and wear will
result in the production of subsurface defects and delaminations.
The primary advantage of SEAM is its ability to image subsurface
features nondestructively. But the signal generation and contrast
mechanisms are very complex, in the present case it can be
attributed to thermal wave approach. Thus SEAM images at
different frequencies may provide different information at
different depth. Fig.2 (A,B,C) are high magnification SEM and
SEAM images of a worn area of the same sample in Fig.l. Many
differences could be seen among the images: Arrow A indicates a
surface hole in Fig.2(A}, corresponding points could be found
in Fig.2(A) 8 (B). Comparing (B) 8 (C) with (A) in Fig.2, it may
be deduced: there are many defects below the specimen surface,
the white areas marked with # in Fig.2(B) perhapes indicate
delaminations or the lateral subsurface cracks deep within the
sample as they were not observable in Fig.2(C), because imaging
depth here is determined by thermal diffusion length. The black
spots signed with arrow a 8 b in Fig.2(C) represent the pure WC
phase and thus can give image contrast due to the variations of
thermal and elastic properties from the sorroundings, these black
spots are not very clear in Fig.2(B) perhapes due to the low
frequency thus the poor resolution and the presence of subsurface
flaws. From the images above, it shows that SEAM can reveal the
lamellar structures of coatings nondestructively.
To verify the validity of SEAM as a tool in the study of coating
structures, SEM micrograph of cross section of WC+Co coating
after worn was obtained[Fig.2(D)]. It could be found that there
are really voids, lateral cracks or delaminations below the
specimen surface as indicated with arrows. This is in coincidence
with the results obtained by SEAM.

781
 Fig.3 Micrographs of steel surface: (E) SEM, (F) SEAM f=2KHz

2. Imaging and characterization of 45# steel surface

As SEAM is very sensitive to small variations of thermal and
elastic properties, it can image specimen surface according to
changes of thermal and elastic properties. As friction and wear
may result in the inhomogeneous distribution of stress and strain
of contact surface, thus the inhomogeniety of thermal and elastic
properties, so it is appropriate to image wear surface by SEAM.
Fig.3 are images of a worn surface of 45# steel. The white spots
in Fig.3(E) and the black spots in Fig.3(F) represent we
particles which fractured from coating surface and were entraped
in the interfacial layer on steel surface. By comparison of
these two images, it could be found that particles in Fig.3(F)
are more and some particles are even larger and clearer shown by
arrow a,b,c than those in (E). It shows that some particles
were inbeded below the specimen surface and could be detected by
SEAM. The information revealed here by SEAM is very helpful to
the understanding of wear mechanisms [8]. SEAM images at high
frequencies «110KHz) are almost the same as Fig.3(B), it

100

,
-I f~
-~
~ 80 0: 0 . -,
Il JC: •
~--.
.....0
.,
....
60
.0:

"'1
C
Cg

.
...."
<=
0
<= 40
0
0
.,
.-<
0
:a

o 5 10 10 50 100 150 200 250 JOO

Sputtering time (min)

Fig.4 Distribution of elements in 45# steel after worn

782
indicates that WC particles are situated in the near surface of
45# steel. This is confirmed by Auger Electronic Spectrum
method (See Fig.4). The sputtering rate of 45# steel surface
after bombardment is about 20A/Min. It could be deduced from
Fig.4 that WC particles were distributed in less than lum range
below 45# steel surface. For frequencies ranging from 2KHZ to
110KHZ,thermal diffusion length is always larger than 8um in 45#
steel. That is the reason why images of steel surface at
different frequencies are almost the same.

Conclusions

The capabilities of SEAM for imaging and characterization of

coating structure and its wear behavior were shown in this
paper. Its abilities to detect subsurface flaws and image
surface thermal and elastic properties are particullary useful
to the study of wear processes. Some results reported here were
used to explain the wear mechanisms [8].

The contrast mechanisms in SEAM are very complex, completely

explanation of SEAM images is still difficult. In our present
case, it can be attributed to thermal wave approach. The
primary advantages of SEAM is that it can image surface and
subsurface features nondestructively without speCial specimen
preparation. Further work should be done to improve the signal
quality(S/N) and spatial resolution.

Acknowledgements

The authors would like to thank Mr.Z.H.Tong for providing the

samples and putting up some suggestions and discussions.

References

[1] E.Brandis & A. Rosencwaig,Appl. Phys. Lett. 37(1980)p98

[2] G.S.Cargill, Nature(London),286(1980)p691
[3J D.G. Davies and Howie,Electron Microscopy and AnalysiS,
in Inst. Phys. Con£. Ser. 68(1983) 467
[4] W.L. Holstein & B.C. Begnoche, Scanning Electron Microscopy
SEM. INC. AMF O'Hare, IL, 1984 p1033
[5J L.J. Balk, SEM Microcharacterization of Semiconductors, p425
[6J A. Rosencwaig, Science, 218 (1982) p223
[7J Tinh Nguyen, Ind. Eng. Chern. Prod. Res. Dev. 1985, 24 p496
[8J Tong Zhaohe, SSENC'91, April 15-21, 1991, Shanghai, China

783
 ACOUSTIC IMAGING AT THE PLANETARY SCALE

Adam M. Dziewonski and Robert L. Woodward

Department of Earth and Planetary Sciences

Harvard University, Cambridge, MA 02138

INTRODUCTION

In 1984, Dziewonski and Anderson wrote: 'The first three-dimensional models of the Earth's
structure promise to answer some basic questions of geodynamics and signify a revolution in Earth
science.' We can ask now, seven years later, whether this promise has been kept. The answer, with
some correction for subjectivity, is 'yes.'

Global seismic tomography uses waves with wavelengths approaching the circumference of the
Earth and frequencies as low as a fraction of a milliHertz. Its objective is to image in three dimensions
the seismic wave speeds of our entire planet. The Earth's mantle (spanning, roughly, half way from
the center to the surface) is solid, therefore both the compressional and shear wave speeds must be
mapped. From 1215 km to 3480 km radius the Earth's core is liquid and the viscosity is so low that
a measurable lateral heterogeneity cannot be supported in the presence of the convective flow. The
solid inner core-from the center to 1215 km radius-appears to have unusual properties: transverse
anisotropy with the axis of symmetry aligned with the axis of rotation has been reported (Morelli et
al., 1986; Woodhouse et al., 1986; Shearer et ai., 1988). It may also be laterally heterogeneous (Morelli
et ai., 1986). The connection between seismic tomography and geodynamics is through the fact that
the seismic wave speeds and density decrease with increasing temperature. In this way, it is possible
to identify colder, denser material which will tend to sink, as well as hotter, lighter material which will
float towards the surface. Thus, a 3-D seismic image can be interpreted in terms of convection in the
Earth's mantle.

Through the middle 1970's the principal objective of studies of deep Earth structure was to estab-
lish variations of physical parameters-density, compressional and shear wave speeds, anelasticity-as
functions of radius alone. It was recognized some ten years earlier that there must be lateral variations
in the physical parameters (Toksoz an Anderson, 1966), but these were thought to be related to the
tectonic regime at the surface and to taper off at 200-400 km depth. The first suggestion that the
lower mantle (from 670 km depth to the core-mantle boundary) might be laterally heterogeneous can
be attributed to Cleary and Hales (1966). Julian and Sengupta (1973) presented a significantly larger
body of evidence in favor of this hypothesis, even though their discussion was only qualitative and no
modeling was involved. The first systematic attempt to obtain a 3-D model of compressional velocities
in the mantle was presented by Dziewonski in 1975, with the detailed account given by Dziewonski et
ai. (1977).

The subject of seismic tomography was reopened in the early 1980's with papers by Masters et al.
(1982), demonstrating the presence of degree 2 heterogeneity in the upper mantle, and by Nakanishi
and Anderson (1982), in which they retrieved global variation of 'local' (Jordan, 1978) group velocities
up to degree 6. These were rapidly followed by papers on global heterogeneity in the compressional
wave speed (Dziewonski, 1982, 1984; Clayton and Comer, 1983) and shear wave speed in the upper
mantle (Woodhouse and Dziewonski, 1984; Nataf et ai., 1984). Reviews, written for a broad audience,

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 785
of these early findings can be found in Anderson and Dziewonski (1984) and Dziewonski and Anderson
(1984).

Subsequent developments in seismic tomography involved extension of the S-wave tomography

into the lower mantle (Woodhouse and Dziewonski, 1986; Tanimoto, 1990), splitting of free oscilla-
tions (Woodhouse and Giardini, 1985; Li et al., 1985; Ritzwoller et al., 1986, 1988; Giardini et al.,
1987, 1988), topography of the core-mantle boundary (Morelli and Dziewonski, 1987), and, already
mentioned, anisotropy of the inner core. Reviews encompassing this phase of progress are given by
Dziewonski and Woodhouse (1987) and Woodhouse and Dziewonski (1989).

The current phase of global tomography is characterized by two developments. The first has to
do with the determination that there is an abrupt drop in the power of lateral heterogeneity beyond
degree 6-8 (wavelengths of the order of 5,000-6,000 km) of the spherical harmonic expansion (Su and
Dziewonski, 1991). This means that the low degree expansions (see the next section) are valid and
are unlikely to be biased by shorter-wavelength features. The other new development is the inclusion
of a new class of data in the data set used in the inversion: travel times of body waves determined
by the analysis of digitally recorded waveforms and, in particular, differential travel times (Woodward
and Masters, 1991a, b). By measuring the difference between the arrival times of two phases (SS - S,
for example), we minimize the uncertainty introduced by inaccurate knowledge of the hypocentral
parameters as well as the structure in the vicinity of the source and the station.

This paper describes the process of derivation of an Earth model consistent with a large set of
waveform data and differential travel time data. We also present a new model of three-dimensional
(3-D) variations of shear velocity in the mantle and discuss its geodynamic implications.

THE MODEL, DATA AND INVERSION

There are, basically, two approaches to representing a 3-D perturbation to a spherically symmetric
(one-dimensional) Earth model. One is to divide the medium into a 3-D array of cells in each of which
the perturbation is constant. For example, Inoue et al. (1990) divided the Earth into 16 spherical
shells of varying thickness, and then subdivided each shell into 2,048 spherical rectangles (32 x 64)
each 5.6 0 x 5.6 0 in size. A similar parameterization, but involving many fewer elements, was used by
Dziewonski (1975) and, with even more cells, by Clayton and Comer (1983).

The other approach is to use basis functions. Dziewonski (1982) proposed to represent 3-D varia-
tions in compressional velocity using spherical harmonics to describe horizontal variations and Legendre
polynomials for variations with radius:
K L £
6v(r, 1'), <p)/v = 2..: 2..: 2..: her) pi( 1'))( kAi cos m<p + kBi sin m<p); (1)
k=O £=0 m=O

where pi is the normalized associated Legendre polynomial:

(2)

This parameterization has been used, among others, by Dziewonski (1984), Woodhouse and Dziewonski
(1984) and Giardini et al. (1987) even though these studies used entirely different data: travel times
of body waves, waveforms and splitting of normal modes, respectively. One of the advantages of the
representation above is that it provides a natural means for filtration of effects of different wavelength
or symmetry. Tanimoto (1990) used a hybrid representation in which he applied spherical harmonics
to express horizontal variations but divided the mantle into 9 spherical shells to describe variations
with depth; there was no variation with depth within individual shells.

Several types of data have been used to derive 3-D Earth models. Bulletins of International
Seismological Centre (IS C) are the most important source of travel times used in mapping the P-wave
speed (Dziewonski, 1975, 1982, 1984; Dziewonski et al., 1977; Clayton and Comer, 1983, Morelli and
Dziewonski, 1986, 1991). After 25 years of compilation by the ISC there are now many millions of
arrival times of P-waves (including the core phases) and considerably fewer of S-waves. Experience
shows that the data for P-waves are not only the most numerous but are also the most reliable.

786
Interpretation of secondary arrivals is subject to uncertainties and attempts to derive S-wave speed
models using ISC Bulletins have not been successful.

Introduction of digital recording in the mid-1970's in two global networks: International Deploy-
ment of Accelerometers (IDA) and Global Digital Seismographic Network (GDSN) prepared the ground
for use of waveform data in seismic tomography. In some cases these waveforms are pre-processed to
derive parameters such as the shifts in the spectral peaks of normal modes (Masters et ai., 1982) or
phase velocities of mantle waves (Nakanishi and Anderson, 1983, 1984). Dziewonski and Steim (1982)
and Woodhouse and Dziewonski (1984) introduced waveform inversion techniques which allow deriva-
tion of perturbations to a model through direct operation on a waveform. The method of Woodhouse
and Dziewonski (1984) was particularly powerful, since it allows simultaneous interpretation of all the
modes contained in a particular time window as well as derivation of both even and odd terms in the
spherical harmonic expansion of lateral heterogeneity.

Figure 1a compares an observed mantle wave with a synthetic seismogram computed by a spheri-
cally symmetric Earth model (top) and a 3-D model (bottom). Figure 1b shows a similar comparison
for a wavetrain containing several separate arrivals of body wave phases and a dramatic improvement of
the fit that can be accomplished by 3-D modeling. The theory is presented in detail in Woodhouse and
Dziewonski (1984). The basic idea is one of an 'average structure' along the minor arc (shorter path
between the epicenter and the station along the great circle connecting the two), 8m, and the entire
great circle, 8m. Such structures can be represented by superposition of K parameters as in eq. (1).
A small perturbation in the k-th parameter is associated with a 'differential seismogram'. The average
structures 8m and 8m can be derived by finding the linear combination of the differential seismograms
that minimizes the difference between the observed seismogram and that predicted for the spherical
Earth, such as shown in the top parts of Figure 1a and lb. Multiple iterations are necessary since the
problem is nonlinear. It is also possible to reformulate the problem in such a way (see Section 4 in
Woodhouse and Dziewonski, 1984) that the data for all the paths are considered at once and solution
is obtained directly for the coefficients kAT and kBT in eq. (1). A set of some 15,000 waveforms,
used as described above, is one of the two subsets of data used in this study.

a 117, 58"N 148"E 18 km, 6=1270, m b =5.7

Gz
PREM

3-D

2000 3000 4000 5000 6000

seconds

b
TOl VERT, 1984 84, 440 N 1490 E 29 km, A-93°, m b -6.1
S
P PP
PRE ...

3-~

800 1200 1600 2000 2400

seconds
Fig. 1. Comparison of observed waveforms (solid line) with the synthetic seismo-
grams (broken line) for a spherically symmetric model PREM (top) and a
3-D model (bottom). a) Mantle waves (Love waves) with periods in excess
of 135 s; b) body waves, identified by the appropriate code, with periods
longer than 45 s.

787
 The other subset of data consists of differential travel times gathered by Woodward and Masters
(1991a, b). Figure 2 shows the ray paths of Sand ScS and identifies these two phases in a sample
waveform. The differential time tSes -ts is obtained by cross-correlation of the two wavelets. Because
the Sand ScS ray paths in the upper mantle are very similar, their differential travel times are primarily
sensitive to the structure in the lower mantle. ScS - S residuals of Woodward and Masters (1991b),
averaged in 5° spherical caps, are shown in the upper part of Figure 3 and the predictions of the model
derived in this study are shown below. Visual inspection of these maps indicates the presence of a
very large-scale structure. In addition to ScS - S we also use SS - S, which is most sensitive to the
structure at the mid-path reflection of the SS ray.

The frequency content of the data used here roughly span the range 5 mHz to 50 mHz. Comparison
of our results to those obtained from data in different frequency ranges, such as from normal modes,
provides an important cross-check. Woodhouse and Giardini (1985) developed a systematic approach
to interpretation of splitting of normal modes by lateral heterogeneity through introduction of the
concept of a splitting function. For details, see Giardini et al. (1987, 1988) and Li et al., (1991). On
the subject of anomalous splitting of normal modes see also Masters and Gilbert (1981) and Ritzwoller
et al. (1986, 1988). To the first order, the splitting depends only on the even-t part of the lateral
heterogeneity, and is therefore of limited use in describing a compete 3-D model. However, it provides
useful auxiliary information, such as on the possible dependence on frequency. Normal modes used in
sources quoted above span a range of frequencies from 0.3 mHz to 5 mHz; the body wave waveforms
have peak energy at about 20 mHz; the waveforms used to derive differential travel times-40 mHz;
the P-wave arrival times from the ISC Bulletins are typically 1 Hz data. It has been demonstrated
(Dziewonski and Woodhouse, 1987, Figure 9; Woodhouse and Dziewonski, 1989, Plate 2 b, e, hand c,
f, i) that very similar patterns of heterogeneity are obtained, for even t, separately from all these data.
This also confirms the fact that spatial aliasing is not an important problem: one of the advantages of
the normal mode data is that they represent excellent averages over the entire volume of the mantle,
while 1 Hz P-wave paths have a ray tube that is only some tens of kilometers in diameter. The normal
mode data are not used in deriving the model presented here.

We shall illustrate our formulation of the inverse problem using the travel time data. Appli-
cation to the waveform inversion is not substantially different, except that for a given earthquake-
station/component pair instead of considering a single residual, we sum the differences between the
observed and computed seismogram at all the discrete values within the time window.

A deviation of the observed travel time from that predicted by a spherically symmetric reference
Earth model, M, can be expressed as:

lit = lxr
x.
liv(x) G(s)ds (3)

where Xe and Xr are the coordinates of the source and receiver, liv(x) is perturbation in wave speed,
G( s) is the differential kernel and ds is the element ofthe ray path. Equation (3) contains two important
approximations. One is that the perturbation in the travel time is linear with respect to perturbation
in the model parameters. The other is that the kernel G, computed for the reference model, does not
depend on lateral heterogeneity and that the ray path is that predicted by the reference model. This

a) ScS-S Roy Path Geometry b) Station GUMO, Transverse Component

40
,......., S ScS ss
'6 20
......
-
~

1/1 0
c
0
~ -20
u
-40
1100 1200 1300 1400
time after event [s]
Fig. 2. The ray paths for the phases ScS and S and a sample seismogram showing both
phases, as well as the phase SS.

788
is justified by Fermat's principle, but the assumption could be relaxed in subsequent iterations, where
the ray path could be traced through the previously estimated model of lateral heterogeneity. The
first assumption leads to errors of the second order in 6v, which is acceptable for perturbations of the
order of several percent; its effect would also be diminished in subsequent iterations.

For the i-th source and the j-th station substitution of eq. (1) into eq. (3) and numerical integration
along the ray path to obtain constants 0< and {3 (see Section 4 in Dziewonski, 1984) leads to:

<
utij = '0
"0'" 0
'" (ii) k Am
( kO<'m l + k {3(ij)
1m k Bm)
l . (4)
k l

In the n-th iteration (n = 0,1 , . . .) o(this non-linear inverse inverse problem we attempt to minimize
the a posteriori distribution:

(5)

where W i j are weights , 6t}j-l) are the observed residuals after n -1 iterations, 6n (A) and 6n (B) a re the
unknown contributions to the coefficients A and B, (n-l)A and (n-l)B are coefficients accumulated
in the previous n - 1 iterations and 1) is the penalty function. We assume 1) in a form:

(6)

Smoothed SCS-S Observations

Smoothed ScS-S Predictions (Model SH8/U4L8)

-8 Al!i.l:J./UJ.66 . . . . . • • · - .. • • ••• ++++++ +8

seconds

Fig. 3. Observed differential travel times ScS - S averaged in 5° spherical caps com-
pared with the predictions of model SH8/U4L8 derived in this study. Predic-
tions of the model remove, roughly, 80% of the variance. Notice that a very
long-wavelength pattern predominates both observations and model predic-
tions.

789
which for small 'Yo, effectively, seeks to minimize the squared gradient of 6v integrated over the mantle
volume. The values of 'Yo, 'Yl and 'Y" are selected empirically.

Because we assume that the structure may be discontinuous at a depth of 670 km (the boundary
between upper and lower mantle) we adopt separate parameterization for these two shells. We choose
Chebyshev polynomials for the radial basis functions :

(7)

where n(x) is defined in the interval (-1, 1) through the recurrence relationship: Tk+1 = 2xn - T"_l
with To = 1 and T1 = x. T is normalized,

- _ [(2k)2 - 1] 1/2 Ti
(8)
T" - (2k)2 _ 2 "

so that

(9)

The mapping of the variable r into x is:

x = (2r - r670 - rmoho)/(rmoho - r67o); (10)

for the upper mantle and :

x = (2r - rCMB - r670)/(r670 - rCMB); (11)

for the lower mantle, with rCMB, r670 and rmoho being the radii of core-mantle boundary (eMB),
670 km discontinuity and MohoroviCic discontinuity, respectively.

We combine, roughly, 15,000 waveform data with 5,000 measurements· of differential travel times
of SS - Sand 2,500 measurements of ScS - S. For the upper mantle we choose J( =
4 and for the
lower mantle J( = 8. For both shells we choose L =
8, which is in accordance with the inference of
Su and Dziewonski (1991) that the power drops abruptly for orders greater than 6-8. Thus, there
are 1,134 unknown coefficients. The weights Wij (eq. 5) applied to the different subsets of data have
been selected through experimentation. Because the problem is nonlinear, the solution was obtained
in three iterations. In calculation of synthetic seismograms through summation of normal modes, we
use eq. (16) of Woodhouse and Dziewonski (1984) to avoid inaccuracies introduced by linearization of
the oscillatory terms.

RESULTS AND DISCUSSION

Table 1 lists the spherical harmonic coefficients of the perturbation in crustal thickness and the
scaled coefficients of our new three-dimensional model of relative deviations of shear velocities (SH),
103 x 6v/v, in the mantle. The model's name, SH8/U4L8, identifies the parametrization adopted:

790
 Table 1. Coefficients of a three-dimensional model, SH8/U4L8, of shear velocities in the mantle defined in eq. (1); for details see text. Units are 103 x aviv.
UPPER MANTLE LOWER MANTLE
CRUST k=O k-1 k-2 k-3 k-4 k-O k=l k-2 k-3 k=4 k-5 k=6 k=7 k=8
lm A B A B A B A B A B A B A B A B A B A B A B A B A B A B A B
o0 0.00 -0.57 1.80 -0.06 0.10 0.36 -0.49 0.50 1.16 0.66 0.60 0.56 0.42 0.26 0.17
1 0 3.92 3.26 2.64 0.31 0.00 -0.06 0.39 -0.46 -0.08 -0.43 0.01 0.03 -0.03 0.04 0.08
1 3.04 1.83 4.86 2.39 0.62 0.76 -0.50 0.32 -0.24 -0.02 -0.04 -0.12 -0.97 0.37 0.12 0.06 -0.22 0.68 -0.57 0.05 0.22 0.26 -0.09 0.08 -0.28 -0.01 -0.12 0.04 -0.07 -0.09
2 0 3.16 1.14 2.47 -0.23 -0.36 0.00 0.26 -1.18 0.08 0.09 -0.03 -0.22 -0.21 -0.04 0.02
1 1.35 1.70 -1.00 -0.59 0.62 -1.88 -0.16 -2.19 -0.16 -0.70 0.08 0.25 0.22 -0.14 0.04 -0.20 0.28 -0.38 -0.03 -0.30 -0.01 -0.13 -0.04 -0.03 -0.03 0.04 0.09 0.02 0.04 -0.05
2 -1.66 -1.00 2.12 -4.27 1.38 0.16 1.40 0.28 0.35 0.15 -0.04 0.05 -2.23 -1.63 2.00 0.59 0.19 0.15 0.05 0.11 0.16 0.02 0.27 0.03 0.23 0.06 -0.02 0.08 -0.15 0.02
3 0 -1.02 0.70 0.18 0.17 0.05 0.01 -0.84 0.63 0.09 -0.04 0.11 0.01 -0.03 0.00 -0.02
1 -1.08 0.18 1.35 0.61 0.36 -0.10 0.50 -0.42 0.07 -0.16 -0.12 0.02 -0.75 -0.56 0.90 -0.17 0.09 -0.13 0.27 -0.17 0.06 0.01 0.10 0.21 0.07 0.02 -0.03 -0.21 -0.02 -0.10
2 -2.00 2.79 -0.35 1.68 -0.81 1.73 0.47 0.04 0.19 -0.11 -0.01 0.00 0.36 1.45 0.04 -0.33 0.35 0.10 0.60 -0.37 0.10 -0.20 0.07 0.05 0.02 0.06 0.08 0.15 0.05 -0.11
3 0.54 2.71 0.19 1.38 -1.59 -0.19 -0.48 -0.10 0.09 0.16 0.05 0.02 -0.56 0.08 0.07 0.51 0.15 0.22 -0.10 -0.13 -0.03 0.18 0.19 -0.12 0.06 -0.01 0.10 -0.08 0.14 -0.08
4 0 2.12 1.76 2.05 0.70 -0.05 -0.17 -0.34 0.42 -0.09 -0.19 -0.06 0.01 -0.12 -0.02 0.00
1 -1.03 -0.44 -0.52 0.16 0.34 0.38 0.53 0.34 0.10 0.10 -0.05 -0.03 0.03 -0.07 -0.08 -0.37 -0.10 -0.06 0.31 0.34 0.06 0.01 0.26 -0.07 0.13 0.08 0.03 -0.04 -0.01 -0.02
2 -2.13 0.53 -2.41 0.44 -1.26 0.41 0.04 -0.56 0.22 -0.36 0.08 0.01 0.45 -0.52 -0.45 -0.45 0.24 -0.25 -0.21 -0.34 -0.23 0.28 0.03 0.18 0.06 -0.03 0.12 0.07 0.13 0.08
3 1.55 -0.07 -0.06 0.20 -1.38 0.14 -0.49 0.20 0.03 0.07 0.07 -0.03 0.18 0.72 -0.19 0.04 0.55 0.37 0.07 0.04 -0.07 0.14 0.19 0.06 0.05 -0.07 -0.03 -0.02 0.00 -0.08
4 -0.61 3.36 -0.21 3.39 0.59 2.92 -0.04 0.37 0.00 -0.28 0.00 -0.20 0.02 0.78 0.33 0.12 -0.56 0.52 -0.10 -0.01 -0.08 -0.49 -0.12 -0.06 0.22 -0.04 -0.01 0.12 -0.05 0.07
5 0 -2.73 -2.14 -1.02 0.34 0.15 -0.01 0.04 -0.04 0.05 0.12 0.16 0.09 -0.12 0.11 0.05
1 -0.10 -0.42 1.71 0.28 1.13 -0.02 0.02 0.27 -0.08 0.00 om -0.09 0.80 -0.11 -0.34 0.18 0.47 0.26 0.43 0.33 -0.42 0.04 0.02 -0.05 0.10 0.08 -0.02 0.04 -0.05 0.02
2 -0.58 -0.86 -1.69 -0.05 -1.66 -0.30 -0.13 -0.13 0.12 -0.04 0.01 0.01 -0.03 -0.30 0.11 -0.18 0.29 0.05 -0.06 -0.35 0.11 -0.11- -0.08 0.17 -0.05 0.21 -0.02 0.20 0.03 0.04
3 0.35 0.72 -1.11 1.56 -0.17 1.52 0.11 0.14 0.09 -0.05 0.01 0.03 -0.44 0.81 0.06 -0.02 -0.23 0.28 -0.08 -0.06 -0.11 -0.24 0.03 -0.06 0.08 -0.13 -0.08 0.15 -0.02 0.02
4 3.21 -0.90 3.32 -2.15 2.26 -1.77 -0.05 -0.11 -0.21 0.14 -0.04 0.03 0.83 0.82 0.12 -0.16 -0.02 -0.37 0.11 0.24 -0.23 -0.28 -0.05 0.00 0.15 0.06 -0.10 -0.14 -0.13 0.03
5 0.07 1.11 1.24 0.97 0.66 0.26 0.03 0.24 0.02 0.01 -0.01 -0.04 -0.14 0.15 0.07 0.26 -0.15 -0.32 -0.14 0.10 -0.01 0.12 -0.03 0.05 -0.06 0.19 -0.09 -0.07 -0.01 -0.18
6 0 1.24 0.65 0.95 0.25 0.02 -0.05 0.00 -0.12 -0.10 -0.02 0.01 0.10 0.07 0.04 -0.11
1 -0.08 -0.32 -0.78 -0.83 -0.50 -0.84 -0.05 0.11 0.06 0.19 0.05 0.04 -0.08 -0.28 0.02 0.25 0.23 -0.04 0.20 -0.09 -0.09 0.10 -0.16 0.04 0.14 0.05 0.04 0.00 -0.07 -0.01
2 -0.38 -0.11 -1.33 0.42 -1.35 1.13 -0.55 0.47 0.01 -0.04 0.13 -0.08 -0.15 0.33 -0.21 -0.18 0.30 -0.12 0.04 0.03 -0.02 -0.14 -0.21 -0.07 -0.06 0.02 0.13 0.00 0.03 -0.02
3 0.20 1.16 0.07 2.19 0.20 1.00 0.11 -0.34 0.09 -0.18 0.03 0.00 0.19 -0.17 -0.04 0.24 0.06 -0.29 0.04 -0.08 0.02 0.14 0.03 0.11 -0.03 0.05 -0.01 -0.15 -0.09 -0.03
4 0.72 -0.54 0.15 0.92 0.90 0.34 0.48 0.10 0.00 0.07 -0.12 -0.01 0.34 -0.17 0.09 -0.34 -0.08 0.11 -0.02 0.28 -0.07 -0.04 -0.07 -0.06 -0.05 0.05 -0.02 0.03 0.00 -0.01
5 -0.29 -0.79 1.40 0.29 1.62 0.84 0.43 0.11 -0.13 -0.07 -0.11 0.03 -0.22 -0.24 0.42 -0.33 0.22 -0.10 0.00 -0.18 0.01 -0.07 -0.02 0.02 0.00 0.19 -0.06 0.12 -0.06 -0.05
6 0.23 0.43 0.25 0.72 -0.40 0.43 -0.27 -0.10 -0.11 -0.05 0.00 0.00 0.16 -0.16 0.08 0.23 -0.02 0.06 0.08 -0.10 -0.01 -0.15 -0.09 -0.02 0.04 0.00 0.07 -0.03 -0.01 0.10
7 0 -1.15 -1.03 -0.44 0.08 0.06 0.00 -0.18 -0.08 0.00 0.09 0.04 -0.08 -0.02 0.00 -0.04
1 -0.11 0.90 -0.32 1.17 -0.22 0.53 -0.04 -0.10 -0.03 -0.03 -0.01 -0.03 -0.35 0.35 0.11 0.14 0.09 -0.11 0.00 -0.04 0.08 -0.05 -0.10 0.00 0.11 0.10 0.08 0.02 -0.04 -0.09 i
2 0.62 0.36 0.04 1.16 0.05 0.76 -0.15 -0.01 -0.08 -0.09 0.02 -0.04 -0.25 0.14 0.16 0.13 0.13 -0.09 0.23 0.13 0.08 -0.04 -0.19 -0.10 -0.09 -0.04 -0.07 -0.03 0.04 -0.02'
3 -0.52 0.42 -0.30 0.78 -0.63 0.40 -0.06 -0.16 0.12 -0.02 0.02 0.05 0.00 -0.10 0.18 0.14 0.39 -0.21 -0.02 0.08 -0.16 0.08 0.04 -0.11 0.03 0.02 0.03 -0.02 -0.06 0.07
4 -1.09 0.11 0.36 -0.13 -0.40 0.63 -0.08 0.17 0.09 0.05 0.02 0.05 0.18 0.52 0.00 -0.28 0.07 -0.12 0.22 -0.09 0.10 -0.20 0.03 0.04 -0.13 -0.03 -0.19 0.12 -0.11 0.02.
5 0.43 -0.35 0.47 -0.98 0.36 -0.58 0.07 -0.27 -0.07 -0.02 -0.01 0.04 -0.42 -0.82 0.23 -0.42 -0.06 -0.40 -0.04 -0.18 0.32 0.21 0.07 0.08 0.06 0.14 -0.02 0.07 -0.12 0.04
6 -0.21 -1.11 -0.23 -1.09 -0.18 -0.68 -0.04 0.09 -0.01 0.13 0.03 0.02 -0.14 0.15 -0.17 -0.47 -0.16 -0.22 -0.13 0.10 0.02 -0.26 -0.03 0.02 -0.02 0.14 0.06 0.12 0.10 0.15
7 -0.31 -0.74 -0.68 0.02 -0.32 -0.03 0.06 -0.03 0.04 0.00 0.02 -0.01 -0.86 -0.17 0.22 om 0.00 -0.01 -0.05 0.06 0.20 0.11 -0.10 -0.08 -0.07 -0.08 -0.02 0.07 0.08 0.00
8 0 -0.72 -1.11 -0.91 -0.03 0.08 0.05 -0.04 0.16 -0.15 -0.32 0.03 0.09 0.10 0.08 0.02
1 -0.07 -0.30 -0.70 -0.40 -0.53 -0.51 -0.14 -0.11 -0.03 0.00 0.06 0.05 0.14 0.43 0.30 0.10 -0.18 0.05 0.00 0.14 0.18 -0.03 -0.22 0.04 -0.16 0.06 0.01 -0.04 0.01 -0.12
2 0.27 0.11 -0.75 0.16 -0.73 0.11 -0.14 -0.04 0.06 0.00 0.07 0.00 -0.06 0.24 -0.19 -0.01 -0.05 -0.18 -0.06 0.14 0.03 0.03 0.18 -0.08 -0.01 -0.04 0.01 -0.09 -0.01 0.00
3 0.17 0.32 0.36 0.62 0.70 0.57 0.31 0.05 0.05 0.00 -0.05 0.04 0.21 0.45 -0.06 0.29 -0.03 0.13 0.20 0.04 0.07 -0.01 -0.01 -0.05 -0.10 -0.12 0.00 -0.08 -0.04 -0.05
4 0.05 0.84 -0.24 1.03 0.40 0.24 0.43 -0.16 0.04 -0.01 -0.04 -0.04 0.04 0.01 -0.26 0.29 -0.27 0.13 0.13 -0.07 0.13 0.04 0.05 -0.02 0.04 0.02 -0.13 0.09 -0.05 -0.05
5 -0.41 -0.14 -0.76 -0.20 -0.41 -0.09 0.12 -0.02 -0.02 0.01 0.00 0.00 -0.11 0.13 -0.10 -0.17 0.22 0.10 0.16 0.05 -0.01 -0.04 -0.01 -0.04 0.09 -0.01 0.04 -0.02 -0.11 -0.01
6 0.57 0.57 -0.34 0.61 -0.09 -0.34 0.12 -0.27 -0.04 -0.07 -0.04 -0.01 -0.21 0.20 0.25 -0.01 -0.36 0.36 0.03 0.32 0.31 -0.16 -0.05 -0.01 -0.06 -0.07 -0.03 -0.14 0.09 0.01
-..I 7 0.99 0.38 0.77 -0.37 -0.32 0.04 -0.66 -0.01 -0.02 0.01 0.14 0.03 0.06 0.16 -0.17 -0.26 0.15 0.00 0.15 0.19 -0.09 0.03 0.02 -0.17 0.01 -0.09 0.02 0.06 0.00 -0.04
<0 8 -0.22 -0.39 0.23 -0.12 -0.09 -0.34 -0.12 -0.22 0.03 0.04 0.02 0.07 0.13 0.32 -0.24 -0.21 -0.17 -0.02 -0.02 -0.08 0.28 -0.16 0.14 -0.05 -0.08 0.04 0.10 -0.01 -0.02 0.02
 Fig. 4. Maps of relative deviations from the average shear wave speed at eight depths in
the mantle obtained by the synthesis of the coefficients of model SH8/U4L8 listed in
Table 1. The depth and minimum and maximum scale values are shown with each
map. The scale bar is shown at the bottom and the minimum and maximum values
of each map are represented by the lightest and darkest shades, respectively.

792
L = 8, [( = 4 in the upper (U) mantle and [( = 8 in the lower (L) mantle. Corrections for crustal
thickness are described in Woodhouse and Dziewonski (1984, eq. 37), and the coefficients listed here
are identical to those given in Table 3 of that paper. In order to obtain relative perturbation in shear
velocity at coordinates (T, {), '1') one should use eq. (1) with PI.' defined in eq. (2) and f"'(T) in eq.
(7) and (10) or (11) depending on whether T670 < r < Tmoho or TCMB < T < r670, respectively; the
numerical result must be multiplied by 10- 3 to remove scaling adopted in Table 1.

Figure 4 are the maps of 6v/v, in percent, at eight depths in the mantle. The dark shading is
used to show speeds faster than average, light shading for slower. The plate boundaries are shown on
the maps. At a depth of 100 km the velocity anomalies follow the tectonic signature at the surface.
Mid-oceanic ridges are slow; this is most clear for the fast spreading East Pacific Rise, but also the
mid-Atlantic ridge and mid-Indian Rise are clearly visible. Slowness of back arc basins is also obvious
at this depth. On the other hand, stable continental areas are several percent faster than normal. Such
results were expected from regional studies as well as from the current understanding of the physical
processes involved. The fact that the tomographic imaging was able to resolve these features without
any prior information on the tectonic regime and age of the ocean crust, is very reassuring.

The principal expression of lateral heterogeneity at a depth of 350 km is the difference between
continents and oceans. Here, correlation with age of the oceanic lithosphere is much less obvious than
at 100 km. Instead, entire ocean basins (the Pacific and Indian Ocean in particular) are slow, while
the continents are fast. This ocean-continent asymmetry disappears in the transition zone. Instead,
the power is shifted to lower degrees, particularly degree 2 (Masters et al., 1982), although harmonics
of degree 1 are also present. High velocities at this depth under the western Pacific and South America
could be related to the accumulation of subducted material. Thus there are marked changes with
depth in the pattern of lateral heterogeneity in the upper mantle.

Another such change takes place once we cross the 670 km discontinuity. The pattern at 850 km
depth is very different both in terms of location of specific features (high velocities in the western Pacific
disappear, for example) as well as the spectral content: the absence of shorter-wavelength features is
evident. Certain features, such as high velocities under North and South America or Australia, continue
at 1400 km depth, but others (e.g. the strong high under Africa) have disappeared. There is only a
small decrease in amplitude with depth in the middle mantle.

A feature well known from earlier tomographic studies: a ring of high velocities surrounding the
Pacific basin, begins to emerge at 1900 km. There is also a slight increase in the amplitude. This
is much clearer in the maps at 2400 km and at the core-mantle boundary. Most of the increase
in total amplitude is due to the growth in amplitude of the long-wavelength anomalies. Note the
correspondence between this ring and the travel time residuals of 5c5 - 5 shown in Figure 3.

Figure 5 shows variation with depth of the amplitude functions gl(r):

(12)

It summarizes well the general nature of the variation of lateral heterogeneity with depth:

• the rapid decrease in amplitude of the high-f harmonics within the top 200 km;

• relatively large amplitudes of degrees 1 and 2 in the transition zone;

• the overall decrease in amplitude, but relatively even contributions across the range of f from 2
to 8, in the depth range from 800 to 1800 km;

• large increase in amplitude of degree 2, in particular, but also degrees 3 and 4, in the last 1000
km of the mantle.

Such results are of great importance for modeling convection in the mantle. Our results indicate a
different style of flow in the upper and lower mantle; there is an indication that the flux across the 670
km discontinuity is impeded. The dominating presence of very large-wavelength heterogeneity in the
lowermost mantle may be indicative of the relative importance of heating from within (radioactivity),
as pointed out by Jarvis and Peltier (1986).

793
 (
E
-
1000
~

.s::. 1500
.-
0.
CD
"'0
2000

2500

1=' 1=2 1=3 1=4 1=5 1=6 1=7 1=8

Fig. 5. Variation with depth of the root-mean-square amplitudes of shear velocity
perturbations for different harmonic degrees l; for definition see eq. (12).
The amplitude at each l is plotted on a horizontal scale of 0.0% to 1.0%.

Finally, we would like to illustrate the presence of several very large-scale features, which we call
'grand structures'. Three prominent ones are shown in cross-sections in Figure 6. Each cross-section
is made along a particular great circle (the heavy line in the inset map) and passes through the center
of the Earth. The outermost ring is closest to the Earth's surface, the innermost corresponds to the
CMB; the 670 km discontinuity is also indicated. The scale bar corresponds to ±1.5%, with significant
saturation of the scale possible in the upper mantle.

The 'Great African Plume', shown in Figure 6a, is the structure oflargest amplitude. The 'super-
root' of the African continent is anomalously fast to 1300 km depth. The very large-scale upwelling
originating at the CMB is split by this root, and the low velocities (high temperatures) can be traced
up to the mid-Indian Rise and mid-Atlantic Ridge.

The 'Pangea Trough' (Figure 6b) is a narrow region of anomalously high velocities. It follows,
roughly, the western edge of this historical supercontinent. It is centered approximately on 75°W and
extends in latitude beyond both polar circles. With minute exceptions, the velocities are higher than
normal from Moho to CMB . Fragments of this structure have been recognized by Jordan and Lynn
(1974) and Grand (1987).

Figure 6c shows the 'Tethys Trough', a zone of high velocities which follows the axis of the
Tethys Sea convergence. This structure is continuous only in the lower "mantle; in the upper mantle
it is interrupted by more recent features. An exception is the Australian continent, under which the
velocities are systematically high from the surface to the CMB.

The easternmost plume of the 'Equatorial Pacific Plume Group' (15°S, UOOWj shown well in
Figure 4 at 2400 km and 2850 km depths) appears to be connected with the development of the
East Pacific Rise. The central one (10 0 S, 1500 W), affects the thermal structure of the entire South
and Central Pacific, including the upper mantle. The westernmost plume (5°N, 160 0 E) has large
amplitude at the CMB, but it decreases rapidly at shallower depths; it may be a relatively young
feature. Additional important but less extensive features are the 'China High' and 'North Pacific
High'; these are clearly visible in the maps at 1900 and 2400 km depth in Figure 4.

The results obtained so far in seismic tomography, and we note that not all studies agree with each
other, must be verified and the proposed hypotheses must be tested against alternative explanations.
It should be remembered, however, that 10 years ago no one was aware that the opportunity existed
to address these questions.

794
Fig. 6. Three cross-sections through the mantle of the 3-D model shear velocity model SH8/U4L8, showing
large-scale structures named: a) 'Great African plume ', b) 'Pangea Trough' and c) 'Tethys Trough'.

795
ACKNOWLEDGEMENTS

Large parts of the data sets and analytical tools used in this study were developed over the years
in collaboration with John Woodhouse, now at Oxford University. We thank Wei-jia Su for the use of
his 'Geomap' program which we have used to present the maps and cross-sections in Figures 4 and 6.
This work has been supported by grant EAR90-05013 from the National Science Foundation.

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tific American, 251, 60-68.
Clayton, R.W., and R.P. Comer, 1983, A tomographic analysis of mantle heterogeneities from body
wave travel time data, EOS Trans. AGU, 64, 776.
Cleary, J., and A.L. Hales, 1966, An analysis of the travel times of the P waves to North American
stations, in the distance range of 30 0 to 100 0 , Bull. Seism. Soc. Am., 56, 467-489.
Dziewonski, A. M., 1975, Resolution oflarge scale velocity anomalies in the mantle, EOS Trans. AGU,
56,395.
Dziewonski, A.M., 1982, Mapping the lower mantle, EOS Trans. AGU, 63, 1035.
Dziewonski, A.M., 1984, Mapping the lower mantle: determination oflateral heterogeneity in P velocity
up to degree and order 6, J. Geophys. Res., 89, 5929-5952.
Dziewonski, A.M., and D.L. Anderson, 1984, Seismic tomography of the Earth's interior, Am. Sci.,
72, 483-494.
Dziewonski, A.M., and J. Steim, 1982, Dispersion and attenuation of mantle waves through wave-form
inversion, Geophys. J. R. Astron. Soc., 70, 503-527.
Dziewonski, A.M., and J .H. Woodhouse, 1987, Global images of the earth's interior, Science, 236,
37-48.
Dziewonski, A.M., B.H. Hager, and R.J. O'Connell, 1977, Large-scale heterogeneities in the lower
mantle, J. Geophys. Res., 82, 239-255.
Giardini, D., X.-D. Li, and J.H. Woodhouse, 1987, Three-dimensional structure of the earth from
splitting in free oscillation spectra, Nature, 325, 405-41l.
Giardini, D., X.-D. Li, and J.H Woodhouse, 1988, Splitting functions of long period normal modes of
the Earth, J. Geophys. Res., 93, 13,716-13,742.
Grand, S.P., 1987, Tomographic inversion for shear velocity beneath the North American plate, J.
Geophys. Res., 92, 14,065-14,090.
Inoue, H., Y. Fukao, K. Tanabe, and Y. Ogata, 1990, Whole mantle P-wave travel time tomography,
Phys. Earth Planet. Inter., 59, 294-328.
Jarvis, G.T., and W.R. Peltier, 1986, Lateral heterogeneity in the convecting mantle, J. Geophys. Res.,
91, 435-45l.
Jordan, T.H., 1978, A procedure for estimating lateral variations from low-frequency eigenspectra data,
Geophys. J. R. Astron. Soc., 52, 441-455.
Jordan, T.H., and W.S. Lynn, 1974, A velocity anomaly in the lower mantle, J. Geophys. Res., 79,
2679-2685.
Julian, B.R., and M.K. Sengupta, 1973, Seismic travel time evidence for lateral inhomogeneity in the
deep mantle, Nature, 242, 443-447.
Li, X.-D., D. Giardini, and J.H. Woodhouse, 1985, The interpretation of modal splitting functions in
terms of aspherical mantle structure, EOS trans. AGU, 66, 300.
Li, X.-D., D. Giardini, and J .H. Woodhouse, 1991, Large-scale three-dimensional even-degree structure
of the Earth from splitting of long-period normal modes, J. Geophys. Res., 96, 551-577.
Masters, G., and F. Gilbert, 1981, Structure ofthe inner core inferred from observations of its spheroidal
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Masters, G., T.H. Jordan, P.G. Silver, and F. Gilbert, 1982, Aspherical earth structure from funda-
mental spheroidal-mode data, Nature, 298, 609-613.
Morelli, A., and A.M. Dziewonski, 1987, Topography of the core-mantle boundary and lateral homo-
geneity of the liquid core, Nature, 325, 678-683.
Morelli., A., and A.M. Dziewonski, 1991, Joint determination oflateral heterogeneity and earthquake
location, In: Glacial Isostasy, Sea-Level and Mantle Rheology; R. Sabadini, K. Lambeck and E.
Boschi, eds.; NATO ASI Series, 334, 515-534.
Morelli, A., A.M. Dziewonski, and J.H. Woodhouse, 1986, Anisotropy of the inner core inferred from
P K I K P travel times, Geophys. Res. Lett., 13, 1545-1548.

796
Nakanishi, I., and D.L. Anderson, 1982, World-wide distribution of group velocity of mantle Rayleigh
waves as determined by spherical harmonic inversion, Bull. Seismol. Soc. Am., 72, 1185-1194.
Nakanishi, I., and D.L. Anderson, 1983, Measurements of mantle wave velocities and inversion for
lateral heterogeneity and anisotropy. 1. Analysis of great-circle phase velocities, J. Geophys. Res.,
88, 10,267-10,283.
Nakanishi, I., and D.L. Anderson, 1984, Measurements of mantle wave velocities and inversion for
lateral heterogeneity and anisotropy. II. Analysis by the single station method, Geophys. J. R.
Astron. Soc., 78, 573-617.
Nataf, H.-C., I. Nakanishi, and D.L. Anderson, 1984, Anisotropy and shear-velocity heterogeneities in
the upper mantle, Geophys. Res. Lett., 11, 109-112.
Ritzwoller, M., G. Masters, and F. Gilbert, 1986, Observations of anomalous splitting and their inter-
pretation in terms of aspherical structure, J. Geophys. Res., 91, 10,203-10,228.
Ritzwoller, M., G. Masters, and F. Gilbert, 1988, Constraining aspherical structure with low-degree
interaction coefficients: Application to uncoupled muitiplets, J. Geophys. Res., 93, 6369-6396.
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Nature, 333, 228-232.
Su, W.-J. and A.M. Dziewonski, 1991, Predominance of long-wavelength heterogeneity in the mantle,
Nature, 352, 121-126.
Tanimoto, T, 1990, Long-wavelength S-wave velocity structure throughout the mantle, Geophys. J.
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Toksoz, M.N., and D.L. Anderson, 1966, Phase velocities of long period surface waves and structure
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Woodhouse, J .H., and A.M. Dziewonski, 1984, Mapping the upper mantle: three-dimensional modeling
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Woodhouse, J.H., and A. M. Dziewonski, 1986, Three dimensional mantle models based on mantle
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Woodhouse, J.H., and A.M. Dziewonski, 1989, Seismic modelling of the Earth's large-scale three-
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Woodhouse, J .H., and D. Giardini, 1985, Inversion for the splitting function of isolated low order
normal mode multiplets, EOS Trans. AGU, 66, 301.
Woodhouse, J.H., D. Giardini, and X.-D. Li, 1986, Evidence for inner core anisotropy from free oscil-
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Woodward, R.L., and G. Masters, 1991a, Global upper mantle structure from long-period differential
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Woodward, R.L., G. Masters, 1991b, Lower mantle structure from ScS - S differential travel times,
Nature, 352, 231-233.

797
 THE USE OF THE SEISMIC WA YES NONLINEAR INTERACTIONS

FOR REMOTE SENSING OF GEOLOGICAL DATA

Igor Beresnev

Institute of Physics of the Earth

USSR Academy of Sciences
Bolshaya Gruzinskaya 10
Moscow 123810, USSR

INTRODUCTION

The real geological media containing microcracks have a high inherent physical nonlinear-
ity (Beresnev et al., 1986; Beresnev and Nikolaev, 1988; Johnson and Shankland, 1989). A
parameter of nonlinearity measured in acoustic and seismic experiments can serve as a valuable
characteristic bringing a quantitative information about the physical state and peculiarities of
microstructure of the rocks.

One possibility of a remote measurement of the nonlinear elastic properties is a study of

nonlinear interaction between two intersecting non-collinear sinusoidal waves. The waves with
combination frequencies equal to sum and difference of the frequencies of interacting waves,
arising from the interaction region, characterize its nonlinear properties. The problem is to con-
nect the combination waves recorded in seismic experiments with nonlinear properties distribu-
tion inside the medium. Note that he mentioned effect is usually called "the combination scatter-
ing".

We theoretically analyze here a problem of two non-collinear spherical waves interaction

and its possible application to remote seismic sensing, giving an example of an encouraging field
experiment.

THEORY

A second order approximation of the equation of motion of the five constant elasticity
theory is used to consider the interaction of two intersecting monochromatic spherical waves
having different frequencies, in the assumption that the region of interaction is confined in space.
Because this equation is rather cumbersome (Jones and Kobett, 1963), we do not give it here.
Taking the primary field in the form of two spherical waves we can calculate the right hand side
of this equation, and then use the Green's function for an inhomogeneous vector wave equation
to obtain an integral solution. Only the interaction of two longitudinal waves with a generation
of a shear wave with difference frequency is considered in this paper, as being one of the most
effective interaction cases (Jones and Kobett, 1963).

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 799
 The integral solution for an x horiwntal component of the scattered difference frequency
wave (DFW) is obtained in the fonn

1 - I(2 R2 . 1 Tt ~ ~ 3 - I(2 R2 }
( sm,!, + cos,!, ) - 2 [ K ( 1(2 - 1(1 ) ] ( sin,!, + cos,!, ) dv, (1)
KR R KR

where integral is taken over the region of interaction, u is displacement, k l,2 and K are the
wavenumbers of the primary and scattered waves, respectively, I! is a shear modulus, m and n
are combinations of the second and third order elastic moduli, Fo is a force developed by pri-
mary sources, '!' = -kl Rl + k2 R2 - ( COl - CO2 ) (R I <; - t), COl,2 are the primary angular fre-
quencies, ct is a shear wave velocity. Figure 1 explains the geometry used.

DIFFERENCE FREQUENCY FIELD CALCULATION

The integral (1) can be calculated only numerically. We do it for a region of interaction in
a form of cube with side a and for realistic values of the parameters met with in the seismic
experiments: distances between sources = 600 m, fl = 50 Hz, f2 = 70 Hz, Fo = 50 tons, param-
eter of nonlinearity = 1000, Cl = 3000 mIs, ct = 1500 mis, density of the medium = 2000 kglm3 .
The center of a region is at a depth of 1000 m. The wavefield was calculated at the circumfer-
ence of the same radius drawn around the region for its several consecutively increasing sizes.

We found that some critical size of the interaction region exists when the back scattered
DFW-field is formed, the main lobe direction of which does not change any more with increas-
ing volume of interaction. Figure 2 shows the saturated directivity pattern for a region with a =
1400 m, i.e. (56/3) X, where X is the DFW wavelength. The amplitude of the DFW in the main
lobe rapidly increases with interaction volume reaching the values of 10-9 m in the case,
corresponding to figure 2.

Source

o'! integration

Fig. 1. The geometry of the problem

800
A TEST FIELD EXPERIMENT

An experiment with a similar design has been specially organized to estimate the possibil-
ity of observing combination scattering effects in real geological media. We used two seismic
vibrators ("vibroseises") spaced at the distance of 600 m at the surface of the medium and
operating at the frequencies 50 Hz and 70 Hz. The seismic response was recorded at the surface
line profile. In this experimental design the confinement of the interaction region was ensured
automatically by the fact that longitudinal wave radiation from a seismic vibrator has a finite
angular width. In figure 3 an experimental setup and the results are illustrated. The center of a
region of interaction is shown at the bottom with a theoretical directivity pattern of the DFW-
field, calculated at the arc touching the surface. The surface profile is also shown with the vibra-
tors and a spread of geophones. The graph at the top is a spectral amplitude of the signal at the
frequency of 20 Hz obtained from the Fourier spectra of the recorded seismic field. A notable
feature is that the DFW-amplitude distribution along surface conforms to a theoretical estimation.

CONCLUSIONS

The elastic nonlinearity is the inherent property of the geological media connected with
their microcracking. The quantitative characteristics of the in situ nonlinearity can be estimated
by remote seismic sounding using the effect of nonlinear combination scattering of mono-
chromatic waves radiated by spaced vibrators. The theoretical prediction of the effect and angu-
lar distribution of the generated difference frequency wave has been preliminary confirmed by
the field experiment. We hope that nonlinear remote sensing will find its application in the
underground imaging of microcracks distribution as well as in well acoustic logging and rock
physics.

Fig. 2. The form of the saturated directivity
pattern of the back-scattered
difference frequency wave, when the
region of interaction is large. the
sources are in the upward direction.
~I
Fig. 3.Comparison of the theoretical direc-
tivity pattern of the difference fre-
quency wave generated in the
medium with experimental observa-
tions. I the theoretical directivity
pattern calculated at the arc 2 and put
at the center of interaction region, 3
geophones, 4 vibrators, 5 the surface
distribution of the DFW amplitude

801
REFERENCES

Beresnev, I. A., Nikolayev, A. V., Solov'yev, V. S., and Shalashov, G. M., 1986,
Nonlinear phenomena in seismic surveying using periodic vibrosignals, Izvestiya Academy of
Sciences. USSR. Fizika Zemli (Physics of the Solid Earth) 22, No. 10: 804-811.
Beresnev, I. A., and Nikolaev, A. V., 1988, Experimental investigations of nonlinear
seismic effects, Phys. Earth Planet. Inter. 50: 83-87.
Johnson, P. A., and Shankland, T. J., 1989, Nonlinear generation of elastic waves in
granite and sandstone: continuous wave and travel time observations, J. Geophys. Res. 94,
No. B12: 17729-17733.
Jones, G. L., and Koben, D. R., 1963, Interaction of elastic waves in an isotropic
solid, J. Acoust. Soc. Am. 35: 5-10.

802
1HE CRE-MElHOD:

A lECHNIQUE OF HOMEOMORPHIC IMAGING IN PROCESSING OF SEISMIC DATA

H. Steentoft and W. Rabbel

Institute for Geophysics, University of Kiel
Leibnitzstr. 15, 2300 Kiell, Federal Republic of Germany

INlRODUCnON

Since the early sixties horizontal stacking is a standard technique in reflection seismics
to increase the signal/noise ratio. The core is to add all signals which are reflected at the
same subsurface point (common reflection point -CRP- , common reflecting element
-CRE-) The resulting seismogram approximates a section of "zero-offset-traces" repre-
senting identical positions of source and receiver for each trace, although the field traces
are generally recorded at non-zero-offset. The Common-Midpoint-(CMP)-method
(Mayne, 1962) has been the standard technique in seismic data processing. It concept is
- to sort all source-receiver-pairs with respect to their common spatial midpoints (CMP-
gather),
- to perform a traveltime-correction within each CMP-gather (normal moveout correction,
NMO),
- to sum the traces of a CMP-gather.
The presumptions are horizontal, plane layering and the knowledge of the spatial distributi-
on of seismic velocities for the NMO-correction. In the case of dipping or irregular reflec-
tors the CMP-geometry implies "reflector point dispersal" (Fig. 1) resulting in a loss of
structural resolution. Attempts have been made to overcome the problems. Most prominent
are "prestack migration" and the "dip moveout"-correction (see e.g. Yilmaz and Clearbout,
1980; Deregowski, 1986).

The Common-Reflecting-Element-(CRE)-method is a new stacking algorithm for

multifold covered seismic reflection data preventing reflector point dispersal. It works
without any model and without any presumptions of the layering or velocity distribution.

BASIC CONCEPT
The ray diagrams show reflector point dispersal (Fig. 1) for dipping (top) or irregular
reflectors (bottom) if shotpoints and receivers are arranged symmetrically to the CMF
(dashed rays). The CRE-method intends to stack the signals reflected at the same reflector
point (solid rays) whose rays are asymmetrically distributed (Fig. 2a). The cinematic pro-
blem can be solved by putting a fictitious point source at the reflection point Co and sum-
ming the traveltimes of the corresponding rays (C~k)' (COB k) (Fig. 2b). If the velocity
distribution is only slightly inhomogeneous the fictitious wavefront ~ will remain locally
spherical which allows to compute the traveltimes using the angle of incidence ~o of the
normal-incidence-ray and the radius of curvature Ro of the fictitious wavefront at the cen-
tral point Ao. ~ can be regarded as emitted from the image source Co embedded in a homo-
geneous medium of velocity V 0 (Fig.' 2c) which implies simple formulae (Gelchinslcy, 1988).

Acoustical Imaging, Volume 19

Edited by H. BYmert and H.-P. HaJjes, Plenum Press, New York 1992 803
 offset

CMP

offset source-receiver distance

h length of zero-offset ray
2
= (offsetl 2 )
• sin e. cos e
h

CMP

,, eRE - reflected roypoth

I r .-'\/I" -, +1""\
I ~
. ' ) ,./ .... I •
I
V shotpoints
... receivers
~~-----------------

Fig. 1. Ray diagrams showing reflector point dispersal for dipping (top) and irregular reflec-
tors (bottom).

X~ >
A,
° <
Ak
Xk<O,
B,Bk
<
X~ > 0 xk<O
Ao B,Bk
Ak A, surface

S S

Co S

(a) (b) (c) Co

Fig. 2. Ray diagrams corresponding to (a) the CRE-distribution of source-receiver-{>airs

(Ak,B.J at the earth's surface; (b) the fictitious source located at the CRP (Co);
(c) the image source located at the center of wavefront curvature (Co)
(after Gelchinsky, 1988),
X; = distance Ao Ak ' Xk"= distance Ao Bk ' (k = I, 2, ... )
The binomial distribution of Ak Bk can be computed with the distribution parameter a::
(1) (a) X:= Yk+aYk~O, (b) X~ = -Yk + a: Y~ ~ 0,
(c) a: = sin 13olRo (if t.v« V/(X; _X;) 55 smooth media).

Y k can be computed with a fixed shot location X: from (la) giving the geophon distance:

From (1) follows

which gives the boundary conditions :

The "oblique spherical correction" is the traveltime difference between the reflected
normal-incidence-ray and the reflection of the raypath Ak Co B k . It corresponds to the
NMO-correction of the eMP-method:

t.tk = 2 Ro (II - Y~ a 2+ Y!lR~ - 1)/vo after Rabbel et. a1. 1991.

804
IMPLEMENTA nON

A set of shot-receiver-pairs covers a range of possible image points with polar coordi-
nates ~o. Ro for which ex keeps constant (Fig. 3 aJ. The image space (Fig. 2c) is scanned
along the iso-ex-lines (Fig. 3, dottet lines) looking for possible locations of reflecting ele-
ments. Consequently the CRE-method is formulated as a trial-and-error method for deri-
ving optimum (ex, Ro)-couples on a basis of a coherency analysis. The implementation com-
prises six steps (Fig. 3 b):
- Select a sequence of central points along the profile,
- defme a sequence of ex- and Ro-values to scan the image space,
- pick for each ex appropriate shot-receiver-pairs,
- keeping ex=constant, Ro is varied,
- perform a trail stack and coherency analysis for each time interval after traveltime
correction and store the results,
- search the maximum of coherency as function of time to obtain the final CRE-stack.

X·k X·
I k)'

o
(a) (b) z
z
Fig. 3. Ray diagrams corresponding to (aJ one iso-ex-line; (b) one CRE-gather.

Usually the asymmetrically distributed raypaths (Fig. 1: Continued rays) do not exactly
end at the receiver positions. Instead of interpolating traces between receiver positions we
determine the ex-values for the closest receiver position (Fig. 1: Arrows). The spatial distri-
bution of the iso-ex-lines as function of receiver- and source-position (formula (3» repre-
sents the sensitivity of the receiver selection (Fig. 4). Does an iso-ex-line for a given X;
not ex~ctly cross an iso-X; -line a new ex is calculated]or this value of X~. For small X k
and X k a lot of iso-ex-lines end between neighboured X k resulting in identical eRE-gather
for different ex-values. Whether a trace interpolation is nessecary or not, depends on the
desired resolution of ~o and Ro determining the intervall of iso-ex-lines (IE ~ex).

~~
X'
. &,
X
~t9
<..... r-
" t9
~ '

~
1op-e
-I-
.'
Fig. 4. ex as 2-dimensional-function of X; and X~ (formula 3a ).

805
 100 900
"-. . 10 0 900 100 . -; .
900 100 900

"' j~~
~0'x/~
""---"--A~-
10 0 X/m 10 0 ./I X/m

1-
100

'11\
./
j'

~~
~

~. ,",LI
/ I
1/ I·~
j/ ~--
j '-...
900 900 1 . I \ 9 00
21m .. Zlm 21m
L::, C( =0.000125 n=4 L::, C( =0.0005 n=4 6. (3 = 10 n=4 6. (3 = 40 n=4

• •
100 900 100 • 900 100 900
r • • • • - .-

"'l~~~
~ ~

10
1 0OI~~rn 100 ~. X /m

6.
Zlrn
C( =0. 000 125 n= 16
900

6.
.. Z/m

C( = 0.0005 n=16
'","~,~
~.\f\,
!~!~/
.. Zlm
6.(3= 10 n=16
,",I Zlm
6. (3 =40 n= 16

(aJ (b)

Fig. 5. a-dist5ibution for (a) t:.a = constant, (b) t:.a = f(13 o,R o) with t:.sin13o = constant and
Ro(i)/ R o(i-l) = constant, i = time-interval

The quality of scanning depends on the distribution of iso-a-lines in the image space as
function of [30 and Ro. The scanning of the image space is quite homogenous if t:.a is a
function of 13 0 and Ro (Fig. Sb) in contrast to a constant t:.a (Fig. Sa).

eRE-ANALYSIS

Four reflectors with different dips were processed with the eRE-method (not shown).
The failure in determining 13 0 corresponds to the given increment t:.a and t:.Ro showing that
the determination was as accurate as possible. The data of a single trace analysis of this
model corresponds to the total program output (Fig. 6). Each radiusbox shows the stacked
traces for one of the selected a-values. Ro is varied with 5% increment inside every radius-
box. The weakness of velocity analysis in eMP-configuration is comparable to the box for
a = 0 which is not shown. The variation of a and Ro were not sufficient for the first reflector
(dip of 15°) because the absolute maximum does not occure. However, this result is better
than that of box 0 because the pro~ram found a higher relative maximum of semblance. For
the reflectors with dips of 30 0 , 45 ,60 0 the program selected the optimal configuration.

0.0 24 0( • 10 4

~ jJ(R~110m)
6 10 11 13 14 15

200
~ ~(R=260m)
B,5 15 25 28 31 35 39

22 36 42 48 55 63 = IJ(R =370m)

400
26 45 52 63 90 = IJ~R .440m}

TWTlms

Fig. 6. Single trace analysis representing the full program output.

806
 100

500

,
TWT/ms

CMP-stack
100
Vnmo : dip corrected
Vnmo = Vint/cos

.5

1.1
SeRbI,nte
500

TWT/ms
B.I .-- - - - - - - - - - - - - - - - - - - - - - - ---..

CRE-stack
100
= 0.00025
R=5%
n =5
1.5

1.1
Sablante 500

TWT/ms
Fig. 7. Stack of synthetic data (model see Fig. 8).

807
SYN1HETIC JEST

The determination of 13 0 of the synthetic model (Fig. 7) was as espected correct (not
shown). The conventional CMP-stack shows as well as the dip-moveout (DMO) corrected
data reflector point dispersal (arrows). The CRE-stack seems to be identical to the zero-
offset section which is a prominent result of this comparison. The well known semblance
criterion is a measurement of coherency of stacked traces. In this paper the stacked ampli-
tudes are weighted by its semblance values, high values are darkened. The increase of sem-
blance in the CRE-section demonstrates the optimization process inherent in the CRE-
method.

To get the true reflector dip and to collapse the diffractions to its apex a migration (FK)
was performed after stack (Fig. 8). The reflector point dispersal destroys the upper part of
the reflector in the CMP-section as well as in the DMO-section (arrows), in contrast the
migrated CRE-section coincides with the model.

200 4UO X [Ill] ~1I11 ·100 x [nIl

CMP·Stack
V" ",O :dip - corrected
200 200

400
400 ~

Z[mJ Z[m] 1 -_ _ __ _ __ _----'

200 400 X [m] 200 400 X [m]

200

400

Z[m]

Fig. 8. M ig rated synthetic data of Fig. 7.

CONCLUSION

The CRE-method is an elementary geometrical method without using operators resulting in

sections which are more similar to zero- offset-records than CMP-sections. The resolution
of subsurface structures are improved. The optimal stacking parameters, radius of curva-
ture Ro and angle of incidence 13 of reflected wavefronts, are derived without assumptions
of spatial velocity-distribution. Theoretically there are no requirements of fieldconfigura-
tion. To derive stable results the coverage should be high, to scan the image space for posi-
tive and negative angles the fieldgeometry should be split-spread.

REFERENCES

Deregowski, S.M., 1986, What is DMO?, First Break, 4:7.

Gelchinsky, B., 1988, The common reflecting element (CRE) method (non-uniform asymme-
tric multifold system), Exploration Geophysics, 19:71.

808
Mayne, W.h., 1962, Common reflecting point horizontal data stacking techniques. Geophysics,
27:927
Rabbel, W., Bittner, R. Gelchinsky, B., 1991, Seismic mapping of complex reflectors with the
t

common-reflecting-element-method (CRE-method), Pepi. 67:200

Yilmaz, O. and Clearbout, J.F., 1980, Pres tack partial migration, Geophysics, 45:1753

809
 A STUDY OF CROSS-HOLES INVERSE SCATTERING TOMOGRAPHY WITH MAXIMUM ENTROPY

Feng Yin, Benli Gu and Yu Wei

Department of Physics, Southeast University

Nanjing, 210018
P.R. China

INTRODUCTION
In order to consider the strong scattering effect of wave in
tomographic algorithm based on wave equation, some people did not make
Born or Rytov approximation which are made in Geophysical Diffraction CT
(GIlT) and developed the iterative methods of solving inverse scattering
problems I. In these methods, people used regular ization method wi th pr ior
knowledge to derive the solution of inverse scattering for overcoming
improperly posed problems existed in this method. But I-lhen the inversed
pixels increase, regular factor is difficult to choose.On the other hand,
their ability for anti-noise is poor.

It's well known that maximum entropy methods have solved many
problems in a lot of fields and have many advantages 2 - 3_ Therefore, We
adopt the maximum entropy as restraint condition in this paper and put
fonvard an iterative tomography algorithm of solving cross-holes inverse
scattering problem ,using maximum entropy principl~. In this method, we
sf-lect a solution with maximum entropy as the inverse result from all
sol utions I-lhich satisfy the measured data. At first in the paper, we
discuss how 'to appJ y the maximum entropy to inverse scattering problems
in cross-hole geophysical exploration, then discuss the algorithm and its
realization. At last, the inver sed results of cross-holes geophysical
model is given by llsing our tomography algorithm . The results show that
this algorithm is more valid than GDT when the incomplete and the noisy
dat.a are used.

CROSS-HOLES INVERSE SCATTERING PROBLEMS AND l'\}.llMUN ENTROPY PRINCIPLES

Now considering the cross-holes imaging system as shown in Fig.1,
suppose that a linear source transmits acoustic waves from r s to the
receivers in receiving hole through two-dimension medium We only
consider the acoustic equations with constant density in the paper, then,
the acou:Hic waves in the medium satisfy the following equation:

(1)

where cG) is the acoustic wave velocity of the medium, r the position
vector, U(r,w) scalar field(eg.,acoustic pressure),~.angular frequency,
va Laplace operator. Define
Acoustical Imaging. Volume 19
Edited by H. Ermert and H.-P. HaJjes. Plenum Press. New York 1992 811
 O(r)=1 - (2)

where Co a constant,and take COSmin(C 2 ('r»

let u(i) = U1.(c) + US (I) ,
then, the integral equation that relates to formula (1) is

U(r) =Ui('r) - kg Is:.!OCr' )U(r' )Gqr - r' Pdt" (3)

user) = _k 2 Ig OCr' )U(r' )G<!r - r' Pd~' _ (4)

where, k=w/CO ' S".! object region, G( !r-r' L> G,.r:~en function, in the 2D
homogeneous medium background, it equal s to ! Ht 1 ) (k fi-X:' I ) .Suppose that
there are M scattered data measured USn (1SnSM) outside the object, if
the object is divided into N pixel, then S2 = !2 1n!2 2n ..... ·m2 N (S2 iU
!2j=O.i~j)

Assuming ai as the value of ocr) in the ith pixel!2 i ,that is

image pixel to be inversed.According to the method that will be described
in the fourth section , the formula (4) can be discretized as

(1 S m 91) (5)

where the value of Amn in above formula varied with the different
discretized methods. In this paper, its value will be given in the
fourth section. In addition,Amn also includes the total field U(r) in the
object, so it's impossible to solve direct! y. For this reason , some
people have developed the iterative method of solving inverse scattering
problems, e.g., Born iteration and Distorted Born iteration, etc .. But
these methods have some disvantages as illustrated in introduction. In
order to solve the same equation (5), we put forward a iterative inverse
scattering tomography algorithm for cross-hole exploration using the
maximum entropy principle(MEIIST) as following

First of all, define image entropy as

N
= - E P ·logP· (6)
i=1 1. 1

(7)
~ a·
i=1 1
The solution of maximum entropy in this paper is to maX1m1ze (6)
subject to the restrainit (5). When the Langrange method is used to
sol ve this problem, the noise may be used as useful signal and its
acomplishment is complicated t~ realize, therefore,we do not use this
method. According Janes' method , when considering the effect of noise,
it can be rewritten as
N
d· = EA··a· + e J· (1 :: j :: M) (8)
J i=1 J1 1
where, e j is the noise in jth measured data, If e· --... N(O,o j) ,0 j the
J
variance of the noise,then the square function

(9)

(10)

for noise, poisson, e.g. ,poisson, the statistical distribution form of

Q(a) is should be revised suitably. Knowing from (9) that when Q(a) is
too large, the data generated from a has great difference compared with
the measured value,and when Q(a) is too small , we may take the noise as

812
signal, this will lead to many artifacts in inversed image. From the
statistical analysis, we should take such a which satisfies M/2 S;(~(a) S
M as the confident inver sed image So the required maximum entropy image
can be derived by maximizing

J = S -,M ( 11)

subject to M/2 S "~(a) S M

ALGORITHM

When searching the maximum of (11), because J in (11) is highly

non-l inear function. which means that searching the solution of (11)
belongs to non-linear extreme problem,so we have to solve it by iterative
method. According to the report 2 , Cambridge algorithm is better than
common algorithms, however, it's comparatively complicated in
realization. So we will not adopt it in this paper and adopt conjugate
gradient method to solve the extreme value of (11). In conjffafy
gI"iild,ient )!Iethod, we seak. the extrem~ )value of J at the point a +
=a lk )+ l"e lk ) ,lying along elk), where elk satisfies

(r=1, .. " . " " "k-"I) (12)

where e(k)= -VJ + ~e(k-1), and a=jVJ(k) J~/jVJ(k-1) j~

DISCRETIZED METHOD OF INTEGRAL EQUATION AND THE REALIZATION OF MAXlMUN"

ENTROPY ALGORITHM

When solving (3), it's usually very difficult even impossible to

solve directly because of the total field within the objec should be
known. But we can solve it with the help of numerical value method.
Define the basis function:

r E ~
(13 )

where Qn is n-th pixel as shown in Fig.1. From it the integral equation

can be discretized as

( 1~m~M) (14)

where Un=U(~). represents the total field at rn ' Umi=Ui(rm ), represents

the incident field at em ,and

m= n
m ~ n

01 =n
m~ n

where aJl is radius of the circle which has same the area as Qn' The
total fIeld within the object can be derived by (14).Then, the scattered
field US m at measured point r is

813
 US m= J1Amnan (1:Sm9f) (15)

where Amn= -i7tk/2Un CinJ 1 (kCin) .H( 1) (k 9 mn)

Knowing from conjugate gradient method as mentioned above that the

key of the algorithm is how to evaluate VJ effectively and quickly .Now.
operating the both sides of (11) with operator~~~ we obtain
dJ 1 N ~Q(a)
- - = --{log[exp[E P ·loga ·]-loga·J} - - - ( 16)
4ai I: a. J=l J J 1 ~ai
i=1 1

from (14), dUn!dai can be derived

~U _I
_u_ = C b (1~i!sN) (20)
oai
Hhere oU/oai=( t)U1/ gai,d U2/ ~ai' ·····,dUN/ ~ai )

b = (-I1iUi'-I2iUi'······.-INiUi) C = (Cmn)NN

Up to now, we have deduced all formulas that are required for

computing VJ. Therefore. we can obtain the procedures of our algorithm
realization as follows:

1) Suppose there is a initial object distribution function,

ego ,homogeneous distribution etc.;
2) Solve the total field Up in object. then solve Amn;
3) Hhen solving a in qth aeration. computing
a) J(a)=S(a)-AQ(a)
b) evalute. (c)
~Un ,AJn ~d j

bai ' cai ' Tai' ~ai

(1~i.n~N • l~j~M)

c) evaluate
oj
--
(q)
e·
~J(q)
= - - - + (.Ie1·
(q-1)
a=
I,VJ(q)t 2
bai ' 1 aai'~ JVJ(q-1) J2
4) modify model using iteration
a~q+1) =a~q) +
1 1
r e~q)
1

here El and E2 are small positive numbers. If above condition is

814
satisfied,then stop iteration, if this condition is not satisfied,
then.return to procedure (2), iteration again.

In first iteration in our algorithm, we adopt such A which makes

satisfy tMs):"'SH. Afterwards, revise again after four or five iterations.

NUMERICAL TESTS

We select a model as shown in Fig.2., In the Figure, We take 15X15

data all together,and the size of pixels is 0.25 wave-length , then the
object is divided into 8)( 8 pixels. At first, we let the disturbing level
be 15%, forward data D1 are generated from this model ,then, 20% Gaussian
Noise is added to D1 to derive the data D2 with noise. Fig.3 and Fig.4
Bl"e the reconstruction images by (MEIrST) with six iterations and GDT
using D2 respectively

S ource hole y

r ,.,2,»-
V
V X
,./ "'-
r"/ b"
1's
" ""1' g
Receiver hoIe
fig.1 The Cross-holes imaging Fig. 2 A model for numerical
formation test

Fig . 3 Reconstruction image by Fig .4 Recon struction imag e

~I EITST wjth six itera.tions bv GDT

CONCLUSION

Maximllm Entropy iterative inverse scattering tomography algorithm is

put forvard in this paper, which is a new both in the realization of
cross-holes seismic tomography and its application. The numerical tests
ShOH that the algorithm in this paper is vel")' effective when the
incomplete and noisy wavefrom data are inversed. Horeover, the resul ts
derived by our algorithm are better than that DCT when this kind of data
are inversed.

815
REFERENCES

1. Y.M.Wang and W.C.Chew. Reconstruction Of Two-dimensional Refractivity

Index Distribution Using The Born Iterative And Distorted Born
Iterative Method,18th International Symposium On Acoustical Imaging,
Santa Barbara,USA(1989)
2. S.F. Borch, Q.J.Gull,S.F. Skilling, Image Restoration by a A Po~erfull
Haximun Entropy Method, Computer Vision,Graphic and Image, Processing,
23,p.113-128 (1983)
3. E.T.Jaynes,On The Rationale of Maximum Entropy Methods,Proceedings of
IEEE,14.p.167~189(1q84)

816
 SEISMIC TOMOGRAPHIC RECONSTRUCTION: FIELD CASES AND THEORETICAL STUDIES

Bodo Lehmann l ), Christoph Gelbke l ) and Francesco Miranda 2 )

l)
DMT-Institute of Applied Geophysics
Herner Str. 45
D-Bochum 1
Germany
2) AGIP SpA
Geof. APAV
20097 S. Donato Milanese
Milano
Italy

INTRODUCTION

Since 1983 DMT-Institute of Applied Geophysics has developed soft-

and hardware to perform several underground tomography surveys in mines,
boreholes and roadways (RUter, Gelbke, 1986; RUter, Miranda, Gelbke,
1988; Krajewski, Dresen, Gelbke, RUter, 1989). Targets were cavities, ore
veins and fault zones. The results of two tomographic field measurements
will be presented. The first was performed in a fluorite mine in Ger-
many, the second was performed in a rock laboratory in Switzerland. Se-
veral inversion algorithms like Back-Projection (BP), iterative re-
construction techniques (ART, SIRT), Conjugate Gradient (CG) were pro-
grammed with straight or bended rays. As a standard method we use SIRT
with straight or bended rays. The methods were tested on theoretical data
with and without error, on ultrasonic model data and on field data. Good
data quality proved to be of great importance for good reproduction of
the model. Emphasis has been placed on data control and data correction.
In a second part a new development of a tomography method to evaluate and
invert travelime and amplitude data (first and later arrivals) will be
presented. This method can be used for any source-receiver geometries
like Vertical and Horizontal Seismic Profiling (VSP, HSP) , crosshole
geometries and their combinations.

FIELD CASES

The first field case have been carried out in the baryte and fluorite
Clara mine in the middle of the Black Forest in southern Germany (Miran-
da, 1989). The sources were 10 to 30 g of dynamite plastered to the mine
wall. The receivers were two component geophones (30 Hz). Coupling was
achieved by cementing the receivers to the tunnel wall. The X and Z
components were measured. The recording equipment was a telemetric system
(SEAMEX) build and sold by our institute. The survey was set up along

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 817
roadways, almost completely around an area, where a cavity was suspected
from works in the above mine level. Here 34 shots were fired and were
recorded at 15 geophone stations. The whole measuring area is criss-
crossed by the 375 rays. The reconstruction obtained after 10 SIRT ite-
rations is presented in figure 1. The expected cavity was clearly visible
in the velocity tomogram as well as a heavy spar vein and a fault sy-
stem. The intersections of the fault system with the two veins show the
strongest velocity decreases.
The second field case under contract of the "Swiss National Coo-
perative for the Storage of Radioactive Waste (NAGRA)" four seismic
transmission tomography surveys were carried out in NAGRA's rock labo-
ratory at the Grimsel Pass in Switzerland (Ge1bke, 1988; Gelbke, Miranda,
Sattel, 1989). Three of the sections were situated between parallel bore-
holes of 150 m length with distances of 75 m, 145 m and 220 m. The fourth
section was scanned between the mountain surface and the laboratory
tunnel 550 m below. A data set of approximately 30.000 two-component
seismograms has been recorded with 300 shot and receiver locations.
Arrival times were picked by hand to achieved the desired time precision
of 0.1 msec. With data from this measurements we will explain the data
handling, control, correction and inversion. The velocity tomograms
(figure 2) show clearly the prominent fracture and shear zones of the
granitic rock mass by a velocity reduction of 10-15 %. The tomograms also
disclosed other discontinuities like a conjugated fault zone that was not
expected from the geological investigations along the tunnel and the
boreholes. The results of the inversion process correlate very well at
common lines and with sonic logs along the three boreholes.

THEORETICAL STUDIES

Usually only the first traveltime onsets are used for the tomographic
inversion. All other informations of the seismograms like later trave1ti-
mes and amplitudes are not considered. This new technique involves two
phases: forward calculation to calculate synthetic seismograms and inver-
sion of the differences between the synthetic and the observed data. For
the forward modelling we have favoured the Gaussian beam method and for
the tomographic inversion we used the simultaneous iterative inversion
technique (SIRT) (Dines, Lytle, 1979).
The Gaussian beam method are used for the fast reliable computation
of theoretical seismograms in complicated laterally inhomogeneous media
(Weber, 1988). Hereby, the model is subdivided into triangles with linear
densi ty and velocity laws. It is possible to compute phases which are
specified by single or multiple reflections, refractions and! or con-
versions at different discontinuities in the medium. For the computation
of seismograms the wave-field of the source has to be expanded into
Gaussian beams which then have to be traced through the medium and summed
up at the receiver. The wave-field as the superposition of all beams is
regular even at a caustic because every beam is regular everywhere.
Figure 3 presents a synthetic example of a reverse VSP-geometry illu-
strating the necessity of using more than the first arrivals of one
seismogram. Figure 3a shows the shot and receiver geometry and the simple
velocity distribution in greyscale representation based on the grid
structure and the correct layer boundaries. The model consists of two
layers with different interface dips over a half space. Figure 3b shows
the reconstructed image after 20 iterations using straight direct rays
between shot and receiver locations. Only in the nearest region of the
borehole the greyscale image agree well with the synthetic model. The dip
of the layers can not be resolved. Figure 3c shows the result after 20
iterations using the true straight ray paths between sources and recei-
vers with refraction. The region near to the borehole yields a good
resolution again. The consideration of refracted rays leads to an inhomo-

818
 100
m

50
35ru

11~"lltl

"U!<M

~~~,

, I~

1 1!:'-0

14

a I~ t, II J

[\'\"lIs]
0 50 90m

Figure 1. Tomogram with cavity, faults and ore vein.

819
0:1
I\J
o

Figure 2. Tomogram of faults in crystalline rock.

 a b
6 10. • 0. go. 1'0 . 19o . - 10. '0. go. U O. 190 .

g
"
3000 m/s

oJ>
!JO:-!I

3500 m/s
H ~1

E l~B
.~ .;
.c - ~s 'o
0.7 3$$')

"'" ~~ 33

. ~
'I''l'
43B
IEi' :;i

.
' SCIO

.
': ·
mls

,go.
;;
10. • 0. '0 . I to. 190. - 10. '0. 90. 140.
distance in m distance in m

d c
'0 . o. so.
.
-'0. 90. 14 0. 190. 100 . ISO. 2'00.
0

.
.
., ~

E
.~ 0
:5 2
"-; g'
"

.
g

.,
0 N

- 10 . '0 . '0. HQ. 190. D. '0. 100. ISO. 2'00 .

distance in m distance in m

Figure 3. a) Synthetic reverse VSP-model;

b) Tomogram with straight direct ray paths after 20
iterations;
c) Tomogram with straight refracted ray paths after 20
iterations;
d) Tomogram using refracted and reflected arrivals
after 20 iterations.

821
geneous ray coverage which can be seen at the irregular greyscale dis-
tribution. Due to Snell's law the region which is covered by the refrac-
ted rays is increased to the right side compared with figure 3b. Finally
figure 3d displays the velocity distribution after 20 iterations using
additionally the reflections from the two layer boundaries. Above the
second discontinuity the ray coverage increases because of the inclusion
of reflected rays. Thus, the velocity distribution appears to be homoge-
neous in each layer. In the right region with a small ray coverage and
great ray length the velocity information is smeared along the diagonal
of the picture. In this figure the location and the dip of the two layers
are reconstructed very well. The results using the exact amplitudes show
the same effects and yield to similar absorption distributions.
These results illustrate the demand for using later arrivals and the
refracted ray paths. By using later arrivals the resolution of the in-
vestigated area will be greater and better.

CONCLUSIONS

Seismic transmission and reflection tomography proved to be a very

helpful tool to detect anomalies situated within a rock volume. To make
tomography an economic method, receivers must be mounted in chains of as
many receiver probes as possible, sources must be repeatable without
tripping and the arrival time picking must be acomplished fast and very
precise. Recording of two components improve the data quality, if the
angle of incidence varies strongly. Broad angular coverage in all areas
of the tomogram is desirable. Data correction before the inversion is
essential to avoid artifacts. Tectonic elements changes of lithology, or
other anomalies in rock velocity are targets for this kind of survey. In
seismograms with poor signal to noise ratio, where the arrival times can
not be picked precisely tomogram quality may be poor or the result even
meaningles s. Therefore extreme care has to be taken to produce good
quality data in the field. Considering later arrivals (traveltime and
amplitude) increases the ray coverage which leads to an improvement of
the resolution of the velocity and absorption distribution. The theoreti-
cal studies presented here are being tested with ultrasonic data.

REFERENCES

Dines, K.A. and Lytle, R.J., 1979, Computerized Geophysical Tomography,

Proceedings of the IEEE, vol. 67, pp 1065-1073.
Gelbke, C., 1988, Felslabor Grimsel, Seismische Durchschallungstomogra-
phie, NAGRA NTB 88-06.
Gelbke, C., Miranda, F., Sattel, G., 1989, Results of a Seismic Trans-
mission Tomography Survey at the Grimsel Rock Laboratory, The Log
Analyst, vol. 30, no.4, 243-260.
Krajewski, C., Dresen, L., Gelbke, C., RUter, H., 1989, Iterative Tomo-
graphic Methods to Locate Seismic Low-Velocity Anomalies: A Model
Study, Geophysical Prospecting 37, 717-751.
Miranda, F., 1989, Geophysical Tomographic Reconstruction of Travel-Time
and Amplitude Anomalies, PhD Thesis, University College of Swansea,
University of Wales, Dept. of Earth Sciences.
RUter, H., Gelbke, C., 1986, Seismische Tomographie, Proceedings 6.
Mintrop Seminar, Unikontakt, Ruhr-Universit~t Bochum, 207-240.
RUter, H., Miranda, F., Gelbke, C., 1988, Tomographische Inversion,
Proceedings 8. Mintrop Seminar, Unikontakt, Ruhr-Universit~t Bochum,
133-184.
Weber, M., 1988, Computation of body-wave seismograms in absorbing 2-D
media using the Gaussian beam method: comparison with exact methods,
Geophys. Journ. 92, 9-24.

822
 THE SIMULATION STUDY OF INVERSION OF TWO-DIMENSIONAL

ELASTIC WAVE EQUATION WITH TWO VARIABLE

Ji Ying and Chen Y ong

State Seismological Bureau

Beijing, P. R. China

Gu Benli

Southeast University
Nanjing, P. R. China

INTRODUCTION

The inversion of acoustical wave equation has been widely researched recently. But in
the application of geophysics and nondestructive testing,the elastic wave equation is more
similar to real situation. And because of the complexity of the vector equations of elastic
wave, it is only when considering special kind of medium or wave that we could obtain sat-
isfactory result. For instance, M. A. Hooshyar et alYJonly considered the inversion of SH
wave. Because SH wave can not produce the P wave or SY wave, they essentially tranform
the vector equation into scalar equation. As SH wave only could reconstruct the density
and the shear modulus of the elastic medium, we must consider the inversion of P wavc if
we want to know Lame constant.

The Born appoximation is unsuitful in the application of geophysics.But it can give

simple formula of the result and estimate the property of medium, so it still plays an impor-
tant role. Recently, Esmersoy et al.[lJidentifies that an equivalent of the generalized inverse
Radon transform over ellipses can be achieved by an ordinary inverse Radon transform
over straight lines of a "downward continued wave field". This downward continued field is
a convenient mathematical construct derived from suface measurements due to a singlc sur-
face source.

In this paper, the P wave scattering equation of a weak inhomogeneous elastic medium
is derived from the elastic wave equation of an isotropic medium. Then, the inversion pro-
cedure of P wave velocity and density distributions of the clastic medium within Born ap-
proximation is presented by using the extrapolating field method when the incident wave is
P wave. Secondly, we simulate the inversion pocedure using the projections obtained from
the forward procedure. Finally, we simulate the whole procedure of experiment. In the. ex-
periment, impluse signals are transmitted through the medium and received around the ob-
ject. In the simulation, some real situations are considered.

ACDuslicallmaging. Volume 19
Edited by H. Ermert and H.-P. Haljes. Plenum Press. New York 1992 823
 INVERSION FOR TWO PARAMETERS

Consider a two-dimensional isotropic inhomogeneous elastic medium defined by the

Lame parameters A, Jl. and p. The elastic equation is
a~u 1
fjfJ- cfV(V.u)-cfVx(Vxu) + p[(V1..)V.u+(V,u.)·(Vu)+(Vu).(V,u.)] (1)

here, u = u (x ,t) is the displacement field; e), e t is the velocity of P wave and S wave,
separately. Assume that the elastic parameters are constant outside some finite region ( see
Fig. 1) ero, e:o, AO' Jl.o, po·

,, ., ,,
,, V \ S
,
I i
I XI XI
\ , ,
I

' .. - .... _,I

Fig.l The scattering region Fig.2 The measuring geometry

Assume:

And
~(x) E28~/c"i,+15plPo
a2(z) E8~/Cfo+8plPo (2)
G3(Z) E28c:lcTo+crofcFo 8p
Po
we have
\12cp+k~ot/J= -v· [a,,(.x)VCP] +G2 (x) VlIcP +V· [aa(x)V x (V xu~] (3)
Then, Within Born approximation, the scattered field has the integral representation

CP.(z) = Jvdz'{V· (a" (z')VcpI) +k~oGlI(Z')CPI(Z')}Go(z, z', k/O) (4)

Where Go is the Green's function.
We introduce the "extrapolated field" r/le(x,klO) as

CP.(z, k/O)=IsdS'(Go ~; -CPa ~?), zEV (5)

824
Where the closed curve S enclose an area V which contains the support of al(x) and aix)
( see Fig. 1 ). Assume that t/I sand 0 t/I. / 0 n are measured on S, the method we pre sen t
below uses the t/I.from two different experiments to separately reconstruct al(x) and aix)
and hence C and p. Knowledge of the scattered field t/I sand its normal derivative a t/I. / 0 n
on the curve Sallow t/I.(x,k lO) to be computed for any x. The inversion for the medium
parameters is calculated from t/I.(x,k lo) for x inside S.
Substituting Eq. (4) into Eq. (5), we derive
.p.(x, k ,o)=2iJ"dx'{Vo(a"l(x')VGo (X', XI, k,o»
(6)
+k;oa,~(x')Go(x', Xo, klo)}ImGo(x, x', /;10)
here t/I .(x,klo) = t/I .(x,klo) / S(CQ)
Dividing Eq. (6) by klO' integrating over klo, we find

D(x, Xo)==-SJ:dkIORe[1fi'(ilOklO)]

~ JvdX,[a (x') -
2
/"'-..

Ix -x.1
0
/"'-..
(x'-~) (x'-x.)~(x') o(lx' -xll-lx-x'l) (7)

xEV
Eq. (7) is in the form of a generalized Radon transform. In order to transform Eq. (7) to a
e
simple form, define a rotated Cartesian coordinate system and f/ (see Fig. 2). We find that

DC.., 0, x.) == Ix-x.ID(x, x.) L.=Ch-t:•.,

-t d7]' {G~(X') -~(x') + ~;;=~:12~ ~(X')} (8)

Perform the experiment at two different locations xsl and x s2 ' Assume that the source loca-
tions are far enough from the support of al(x) and a2(x) so that we can approximate
IX'-X.11 ~ IX'-Xs21 ~ Ix-x"l, X,,= ~ (x.1+x.!!).
Then, we have
DC.. O)=D(.., 0, x.l)-D(-r:, 0, X O!!)
, - 2[(-r:--gu)2_(.. -go!!)''] -
-J L
~(x') dr{
Ix'-x,,1 2
(9)

Perform the inverse Radon transform ofEq. (9) to find al(x)

at (x)=jx-xJ 2R-t[ qT, e)J (10)
Substituting al(x) into Eq. (8), we find
Ee.., 0, x.1 ) = tG2(x')d7]' (11)
where

Be.., 0, x.1)==·D(-r:, 0, X.0+J d']'

L
[1- r~-f51)12
x
]a (x')
-Xal.ol.
1

then
Q!)(X)=R-l[E('L', 0, x.:t)]
From Eq. (10), (11), (2), we can derive

oo} ~ Ix-x,,12R- 1 [D(-r:,O)] _R-l[E('L', 8, x.0]

Cia
(12)
op =2R-l[E(-r:, 0, Xol)] -lx-x"I2R- l [D(-r:, 0)]
Po

825
 The inversion procedure requires a complete set of receivers for each of two source lo-
cations.

COMPUTER SIMULATIONS

In this section we present the results of computer simulations to test the reconstruction
algorithms obtained in above section. In these simulations we have computed the data ( the
scattered field and its normal derivative) for the noise-free case using the moment
method.The "data" are thus "idealized" and the simulations thus test the reconstruction
algorithm under the most favorable conditions.

oc/ c.
op/ Po

0.01 0.01

0~~~+-----------~~~12~g--A/16 0~~~+-----------~~~12~8~A/16

Fig.3 The result of velocity Fig.4 The result of density

In order to do the experiment in the fu-

ture, it is necessary to do some computer
DeT
simulation. Assume the input signal is ideal-
ized impluse, then a waveform is received at
each receiver. As we all know, the received
waveforms are influenced by many factors,
such as system response, the direction func-
tion and so on. we have developed an approx-
imate method to extract the scattered field.
30.00 Then we compute the "extrapolated field" ac-
cording to Eq. (6) and obtain the projection
data from Eq. (7) for the source located xs1and
Ratio x s2 ' Performing the inverse procedure using
o 0.1
above algorithm, the reconstructed result
Fig.3, 4 are obtained when the model located
Fig. 5 neT versus the ratio in the center. The receivers locate on a circle.

In the following, some real situations are considered. Define

(G -G )
DCT=L ret " ..
N(G ori - G "or)

826
as a quantitative description of an image. First of all, we simulate the changing of DCT (the
reconstructed image) with the ratio of the distance between two source and the distance be-
tween the source and the scattering object, and obtain a curve (Fig. 5). This curve shows
that the image is unsatisfactory when the ratio is too small because the difference of scat-
tering field between two source can not be distinguished, on the other hand, the ratio can
not be too large because the approximate condition must be valid. Obviously, there exists a
range of ratio in which satisfactory result could be achieved. The above curve is achieved
under perfect condition. If there exist noises, the situation becomes worse. Fig. 6 shows the
changing of ratio versus the noise. Obviously, the width of ratio's range decreases sharply
when the noise increases. So in the application, we should select the ratio carefully, other-
wise we couldn't achieve a best result.

Ratio DCT

0.1

30.00

Noise

o 10% o 10.0

Fig.6 The curve of ratio versus noise Fig.7 The curve of DCT versus T

In the real world, we can only use bandlimited sources. In the examples ( Fig.7 ) pres-
ented in this paper the scattered field are generated by using bandlimited sources. As a re-
SUlt, sharp parameter changes in the medium are smoothed in the reconstructed image ( thc
value of DCT increases ). From Fig. 7 , we conclude that the parameter function
reconstructed from the smoothed projections as a result of the finite source bandwidth has
a finite resolution. For a source bandwidth wb , the minimum wavelength is given by
2nc I wb • Better resolution is obtained for a large source bandwidth. So we should especial-
ly pay attention to this in the real application.

REFERENCE

1. G .Esmersoy, et aI., Multidimensional Born velocity inversion: single wideband point

source,J. Acoust. Soc. Am. 78, 1052(1985).
2. M.A.Hooshyar and A.B. Weglein, Inversion of the two-dimensional SH elastic wave
equation for the dcnsity and shear modulus,J. Acoust. Soc. Am. 79, 1280(1986).
3. B. L. Gu and Y. Ji, Geophysical diffraction tomography, the 18th international
acoustical imaging, 1989.
4. Tien-When Lo et aI., Ultrasonic laboratory tests of geophysical tomography
reconstruction, Geophysics, 7:947(1988).
5. Wu R. S. et aI., Diffraction tomography and multisource holography appiiea to seismi.;
imaging, Geophysics,52: 11 (1987).

827
SAMPLING MULTIDIMENSIONAL SEISMIC DATA - A STUDY CASE

Virgil Bardan

Computer Center of IPGG

Str. Coralilor 20, Sector 1
Bucuresti 78449, Romania

INTRODUCTION

Multidimensional data of finite bandregion (the region of the Fourier space in which the amplitude
spectrum is not zero) are usually sampled and processed in a rectangular sampling grid. Therefore, they are
sampled at equally spaced intervals for 1-D variables, and the maximum sampling intervals are estabilished
by the 1-D sampling theorem. This is the well-known 1-D vie'N'Point. Less frequently considered is the
multidimensional viewpoint, i.e., the existence of several sampling strategies. One such strategy differs fnllTI
another in the assumption made on the bandregion of the multidimensional data and the type of sampling grid
used.
Petersen and Middleton introduced regular non-rectangular multidimensional sampling grids in 1962;
they proved that if regular non-rectangular multidimensional sampling grids are used, fewer sample points
suffice to represent multidimensional data with the same degree of accuracy. Naturally, the regular
rectangular multidimensional grid sampling is a particular case of the regular non-rectangular multidimen-
sional grid sampling.
The multidimensional sampling theory can also be applied to seismic data processing. Using non-
rectangular (parallelogram) two dimensional (2-D) sampling, Bardan (1987) explained how to interpolate
between traces when seismic data are spatially aliased. Bardan (1989) introduced the sampling of 2-D seismic
data in a triangular grid. He showed that the triangular sampling grid is optimal in this case since it requires
the minimum number of sample points - equal to half the number required by a rectangular grid. Bal'dan
(1991) presented a theoretical treatment of the processing of triangulary sampled 2-D seismic data. He
explained how 2-D filtering of seismic data can be achieved on a triangular sampling grid. In this paper we
apply Bardan's results to a sythetic seismic image with three linear events.

1-D VIEWPOINT IN SAMPLING 2-D SEISMIC DATA

2-D seismic data are usually sampled and processed in a rectangular grid (see Figure 1). Here {}X and
r:, t are the spatial sampling interval along x axis, and the time sampling interval along the t axis, respectively.
The events contained in seismic data (reflections, diffractions, etc) can be approximated, on small
intervals, by linear events. Let p and fma, be the dip of a linear event and the highest frequency of the wa\cIet,
respectively. Naturally, the maximum wavenumber of the band region of the event is km.., = pfrna" where k, p
and f are measured in cycles/m, s/m and cycles/s (Hz), respectively.
From the usual 1- D viewpoint, the maximum values of the sampling intervals for the rectangular grid
are ~x= 1/(2k maJ = 1/(2pfmaJ and M = 1/(2fma ). Figure 2 represents a synthetic seismic image with three linear
events. The two sloped linear events have been sampled with spatial aliasing because km .., =0.04 cycles/m and
t, x = 1/0.08 = 12.5 < 50 m. Therefore, we cannot interpolate am plitudes between traces along the direction of
x axis (see Figure 3).

Acoustical Imaging, Volume 19

Edited by H. Errnert and H.-P. Hatjes, Plenum Press, New York 1992 829
 Go-----~r_----_<r_----_o------~--~~x

o 0 o

o o o o

t
Fig. 1. Rectangular sampling grid.

o x (m) 700
0.0 0.0

--- --- - --- -- r-

0.7 0.7
Fig. 2. Synthetic seismic image in a rectangular grid with L1x=50 m and IIt=8 ms. The dips of the
events are 0.64 ms/m, 0 ms/m and -0.64 ms/m, respectively. The highest frquency of wavelet is
62.5 Hz.

TRACE INTERPOLATION OF SPATIALLY ALIASEO SEISMIC IMAGE

If we consider the linearly independent vectors VI = (x!'t,) and v2 = (X2,t 2), i.e., a basis in the x-t space,
we can define the points of a non-rectangular sampling grid by the vector set

Starting to the rectangular sampling grid, defined by the vectors VI = (1)x,0) and v2 = (0,1'It), we define
a parallelogram sam piing grid by the vectors vI = (L1 x, P L1x) and v2 = (0, tit) (see Figure 4). Naturally, the sam piing
density for the rectangular grid is the same as the one for a corresponding parallelogram grid. The values of
a seismic image taken at the sample points of a parallelogram grid can be derived from the values oCthe same
image taken at the sample points of the initial rectangular grid by 1-0 interpolation along the direction of

830
vector v2 (i.e., along the traces). The sampling of a seismic image within a parallelogram grid can be used to
trace interpolation of spatial aliased linear seismic events of the dip equal to p, since for points lying along the
lines

t=px+mllt, m=0,+1,+2, ...

(see points A, B, C, D of Figure 4) the 2-D interpolation reduces to the 1-D interpolation along the direction
of vector VI (Bardan, 1987).
We can obtain a correct trace interpolation of a seismic image containing spatially aliased events in
the following way. We determine the direction of the linear event containing the desired sample and perform
the I-D interpolation along this direction. If the desired sample belongs to a single linear event, the direction

o x (m) 700
0.0 0.0

I I i 0.7
0.7
Fig. 3. The synthetic seismic image of Figure 2 after trace interpolation along the
direction of x axis used to reduce the spatial sampling interval from 50 m to 25 m.

0 x
V, 0' x'

V2 0
A
V2
fc,t
0 0
A

-L x
B
0
o t =px+ to t =px

c,x-1~X1Zr
0 0 t =px + l'>t
C

D
0 x 0 0 t=px+2l'>t
D

t a =px+3At
t' b.
Fig. 4. Rectangular sampling grid (a) and a corresponding parallelogram grid (b).

831
of the event is the so-called direction of maximum coherence. This direction can be automatically determined
by evaluating the semblance or by other coherence measures for multi-channel data (Neidell and Taner, 1971)
for all possible directions containing the desired sample in the x-t space.
Figure 5 shows the result obtained by the application of an interpolation process along the locally
determined direction of maximum coherence on the synthetic image of Figure 2, to lowerthe spatial sampling
interval from 50 m to 12.5 m. As we can see on the interpolated image, the interpolation process has relatively
accurately determined the direction of interpolation for the points belonging to the events.

o X ( m) 700
0.0 0.0

0.7 0.7

Fig. 5. The synthetic seismic image of Figure 2 after trace interpolation along the
locally determined direction of maximum coherence used to reduce the spatial
sampling interval from 50 m to 12.5 m.

TRIANGULARY SAMPLED 2-D SEISMIC DATA

The rectangular sampling grid can be coarsened to the non-rectangular grid described by the vectors
VI = and v2 = (0,211t), forming a triangular sam piing grid (see Figure 6). The triangular grid requires only
(ll X, lit )
half as many sample points as the rectangular grid.

0
VI
X 0 a---------~r---------_c~- x

VI

0 0 0
t6t Vz

J t 1 6x
0 o

o o o o o
t
8. b.
Fig. 6. Rectangular sampling grid (a) and its corresponding triangular grid (b).

832
 Triangular sampling is an optimal sampling scheme for 2-D data whose bandregion is included in the
domain bounded by the two triangles represented in Figure 7 (Bardan, 1989).

Fig. 7. "The domain of triangles" corresponding to a sampling triangular grid in

Fourier plane.

Figure 8 illustrates sampling seismic data on a triangular grid. The seismic image of Figure 8 has bee n
obtained from that of Figure 5 by resampling on the corresponding triangular grid and returning to the initial
rectangular grid by a 2-D interpolation. This 2-D interpolation is accomplished numerically in the following
way: the sample values to be interpolate are initially set to zero and the data are filtred in the k-f space by means
of a 2-D filter whose pass region is the domain shaded in Figure 7.

o x (ml 100
0.0 I 0.0
II

- -

0.7 OJ
Fig. 8. Synthetic seismic image of Figure 5 after resampling in the corresponding
triangular grid and returning to initial rectangular one.

FILTERING OF TRIANGULARY SAMPLED 2-D SEISMIC DATA

In the beginning we make two observations on processing of 2-D seismic data sampled on a triangular
grid:
- in order to eliminate the influence of noise whose spectral bandregion is not included in the region
bounded by the two triangles, the sampling in a triangular grid must, naturally, be preceded by a suitable
2-D antialiasing filter; and

833
 - before processing individual traces (1-D processing) or displaying the data resampling on the initial
rectangular grid is necessary.
Bardan (1991) defmed triangular 2-D filters. A triangular 2-D filter is a 2-D filter for which the input
and output sequences can be interpreted as a triangulary sampled 2-D data set. He showed that 2-D filtering
on a triangular sampling grid requires a small number of numerical operations - equal to quarter the number
of numerical operations required by the 2-D filtering on a rectangular sampling grid.
Figure 9a illustrares the synthetic seismic image of Figure 5 after a dip reject 2-D filtering. Using the
Bardan's result we accomplished the same dip reject 2-D filtering on the corresponding triangular sampling
grid (see Figure 9b). We can see that are not important differences between the two filtered images.

o • ( m) 700 o X (m) 700

- - -
- ~-
-

- ~f
ij- -
-
- r-

1-
- - -

I I

Fig. 9. The synthetic seismic image of Figure 5 after a dip reject 2-D filtering (a). The synthetic image
of Figure 5 after resampling in the corresponding triangular grid, dip reject 2-D filtering and returning
to the initial rectangular one (b).

CONCLUSION

Some results of the 2-D sampling theory were applied to a synthetic seismic image with three events.
In this way we have demonstrated the feasibility of non-rectangular grid sampling of 2-D seismic data.

REFERENCES

Bardan, V., 1987, Trace interpolation in seismic data processing, Geophysical Prospecting, 35,
343-358.
Bardan, V., 1989, Sampling two-dimensional seismic data and their Radon transform, Geophysics, 54,
1318-1325.
Bardan, V., On the processing on triangulary sampled 2-D seismic data, paper presented at Ninth
International Mathematical Geophysical Seminar on Model Optimization in Exploration
Geophysics, Free University of Berlin, February 18-23, 1991.
Neidell, N. S., and Taner, M. I., 1971, Semblance and other coherency methods for multi-channel data,
Geophysics, 36, 482-497.
Petersen, D.P., and Middleton, D ., 1962, Sampling and reconstruction of wavenumber limited
functions in N-dimensional Euclidian spaces, Inform. and Control, 5, 297 - 323.

834
SEVERAL PROBLEMS OF GEOPHYSICAL

DIFFRACTION TOMOGRAPHY - TOWARDS PRACTICAL APPLICATION

B. Gu, Y. Ji, J. Qiao, H. Ji

Southeast University
Nanjing 210018
P. R. China

INTRODUCTION

The Geophysical Diffraction Tomography (GDT) was developed by Devaney and Wu.
Since then in geophysical exploration this imaging method is paid great attention to. Lo and
Gerhard Pratt reported their experimental results and Gu reported his 2.5-dimensional simulation
and experiment. But if we want to use this method in practice, there are still some problems to
be solved. In this paper, some problems will be mentioned and solved, which arise in the practi-
cal use of GDT.

IMPROVE THE ADMISSIBLE VELOCITY DIFFERENCE BY ITERATION

The method of GDT is founded on the assumption of a small velocity disturbance in a

homogeneous background. This property imposes a limit on the practical application in geophy-
sical exploration. Lan l has reported his iterative method for a plane incident wave rotating 180°.
It is different from the GDT situation: point source and cross-hole or VSP modalitt. He did not
yet perform any numerical calculations exceeding first order approximation. Wang has reported
his Born iterative method of electromagnetic wave imaging. But he must solve the inverse
scattering wave equations and thus will expend a lot of computer time if he uses his method in
seismic tomography. Here, we present two iterative methods specially for GDT cross-hole
modality and describe the results of numerical calculation.

Born Inversion with a Modified Field - Iterative Method

We start with the formula of scattering for a point source:

U s( rs , rg ) = -kJ f O( r' ) G( rg , r' ) U t( rs , r' ) dr', (1)

where r s' rg represent the positions of source and receiver, O(r) = CJ / C2 (r) is the object func-
tion. The total field is Ut = Uin + Us, with the incident field Uin = G( rs ' r ). If we define

U Smd = Us( rs ' rg ) + kJ f O(r') G(rg , r') Us(rs ' r') dr', (2)

ACouslicallmaging, Volume 19
Edited by H. Ermert and H.-P. Harjes. Plenum Press. New York 1992 935
then it follows that

Usmd = -kJ f OCr') G(rg , r') G(r. , r') dr'. (3)

Taking the Fourier transform of this equation along the source line and the receiver line, we get

-
U smd = -Users ' rg) + ko2 f OCr') i exp(irgd)
2r e
-ik(g·r)-
UsCk. , r') dr'
g

= ~ exp( irgd g + irsd. ) O[k( g - T)], (4)

4rgrs

where r s' rg represent perpendicular wave numbers and ds, dg are the perpendicular distances
from the origin to the source line and the receiver line. Let OCr) at the right side of equation (4)
be an iterative initial value 0b(r). Us can be measured. So, if the initial value 0b(r) is assumed
from prior knowledge or Born inversion, we can obtain the scattered field Users , r) inside the
object by calculation with the moment method. Thus, the right hand side integral can be calcu-
lated. If U smd is available, we can obtain OCr) straight by Born inversion.

First, we examine the above formula: we calculate the scattered field Us(r., rg) with
OCr) = 0.4 (simulating a measured value), and use 0b(r) = 0.4, 0.3, 0.25 as the initial values to
calculate the integral and to get U.md . The results of the following common Born inversion are
shown in figure 1. We see that if we have a certain prior knowledge, the imaging quality will
be improved to a marked degree.

But in practice, we do not have the prior knowledge. We want to get the iterative initial
value from Born inversion. So the situation is different. If OCr) is a real positive object function
and exceeds the range of Born approximation, the resultant image of the Born inversion will
have a real and an imaginary part. Thus, we have three possibilities to choose the iterative initial
value: i) choosing the complex image function, ii) choosing the real part or real positive part, iii)
choosing the module. At first, with intuition we choose the real part. We find that although the
quality of the image is somewhat improved, the improvement is not satisfactory, because the
inhomogeneous object 0b(r) from Born inversion produces an interference scattered field which
differs from the field of the original homogeneous object. Secondly, we choose the module of
the Born inversion as the iterative initial value. In geophysical practice, the inversion result
always shows artifacts of the imaging part for a real object function, when OCr) exceeds the
range of Born approximation. Even if OCr) is within the range of Born approximation, the inver-

,,
-~

;300
"JO
100 {-DIRECTION

664

Fig. 1. The iterative results by Usmd with OCr) = 0.4 and prior knowledge 0b(r) as the initial
value, object radius r=2t.., distance between wells d=16A, depth of wells H=32A. a)
profile of Y -direction, 0b(r) = 0.4. b) profile of Y-direction, 0b(r) = 0.25. (dashed line:
Born, solid line: lterative)

836
 a) b)
Fig. 2. The iterative results by Usmd with OCr) = 0.2S, r=2A., d=16A., H=32A.. a) Image of Born
inversion. b) Iterative result (three times) using module and real part of Born inver-
sion as an iterative value alternately.

sion result of 2.5-dimensional data will have an imaginary part for a real O(r), because the prac-
tical situation is 2.S-dimensional. Thus, we only can take a lossless approximation i. e. we can
do an inversion for real OCr). In this case, the imaginary part of the result of the inversion does
not only represent the loss, it also carries information of the real object, and there are certain
relations between the real and the imaginary part of the inversion result. Therefore, we try to
take the module as the iterative initial value. Figure 2 shows the results for O(r)=0.2S, which
was obtained by three iterations using the module and the real part as the iterative initial value,
alternately. Obviously, the quality of the image was improved.

Inversion of oO(r) with &

Let the iterative initial value be 0b(r), which may be obtained from Born inversion or from cer-
tain prior knowledge. Calculating the scattered field Usb(rs , rg) from this initial value by the
moment method, we get

= -k5 fG(rg , r') {[O(r') - 0b(r')] Uin(rs ' r') +

[OCr') Users , r') - 0b(r') Usb(rs ' r')]} dr', (S)

where Users ' rg) is measured and OCr) is the object function. The last term of (S) in brackets [ ]
can be transformed to

(6)

If the difference of OCr) and 0b(r) is small and Usb is much smaller than Uin , the term (6) can be
ignored and we have

(7)

We can calculate oO(r) by Born inversion according to oUs.

Assuming OCr) = 0.2S, 0.2, O.IS, 0.1, first, we do Born inversion to get 0b(r). Then, tak-
ing the real part of 0b(r), we calculate oUsb(rs ' rg). Using oU.(rs ' rg), we obtain oO(r) from
equation (7). Figure 3 shows the iterative results. Obviously, the imaging quality is improved by
this method. But still the improvement is limited and we cannot get a good convergence without
good prior knowledge of the object function.

837
 ,."

Fig. 3. The iterative results by OUs using the real part of Born inversion as the initial value
0b(r), d=16A, H=32A. a) O(r)=0.05, r=A. b) O(r)=0.2, r=2A (dashed line: Born, solid
line: Iterative).

From above calculation on two different iterative ways, the conclusion is as follows: If we
have some prior knowledge of OCr), the first method is good. If there is not any prior
knowledge of OCr), taking the module and real part of Born inversion alternately as the iterative
initial values within the second method, the image will be improved significantly. Taking the
module and real part alternately as the initial value within the first method, we can get a better
image. But, by these two methods, OCr) still is limited to about 0.25 - 0.4.

THE ADMISSIBLE ERROR OF GDT

When solving an inverse problem, it puzzles that the method cannot suffer measuring
errors and disturbances because of the illness of the equations. As a result, the reconstructed
image may be destroyed because of some small error. A computer simulation was made to
examine the effect of experimental errors on the quality of the image in GDT for cross-hole
modality. Figure 4 shows the influence of errors when measuring the distance between the wells.
The Mean Square Error MSE is defined as

N N..!.
MSE == { L [Oo(r) - OCr)] / L [On(r)f } 2 (8)
n=1 n=1

We can see from the figure that if the error 8d is less than 0.25 A, the image is still acceptable,
but if 8d increases, the image will become unacceptable and the MSE undulates periodically.
Figure 5 shows the influence of random error on the scattered field data, with 30% - 100%
noise/signal ratio. We can sec that the GDT method is more resistant to this kind of disturbance.
We have not shown the results of Rytov approximation because of the limited space, but the
results of calculation show that the Rytov approximation is more resistant to the disturbances
than the Born approximation.

!.70 1

MS!:
'.30

. ..
0.60
' 4.0
vU\
t~. ') 10 .0 11."
OISTAllCE
a.o
a) b)

Fig. 4. a) Mean Square Error MSE versus error of d measured with O(r)=0.05, r=2A, d=16A,
H=32A. b) Reconstructed image with 8d == 0.25A, compared with 8d == O.

838
 1.'"
,.,.
/
"";E
/
/
/
0.. .
//
,id,!)
1).70~1
"' 40'.0
NI> (0 )
a)
b)

Fig. 5. a) MSE versus noise/signal (amplitude) with O(r)=O.I, r=2A, d=16A, H=32A. b) The
reconstructed image with noise/signal ratio 30% (left), noise/signal ratio 100% (right).

a) b)
Fig. 6. a) The result of filtering with O(r)=O.I, r=0.8A, d=16A, H=32A. b) the image before
filtering.

IMPROVING THE QUALITY OF IMAGE BY WIENER INVERSE FILTER

During GDT imaging for a well to well modality, because of lack of the projection in the
direction parallel to the wells, the image is distorted, i. e. the reconstructed image will be an
oblate ellipse for an original circle phantom. The Wiener inverse filtering method was applied
using the spectrum of the Pointed Spread Function (PSF) to restore the original image. Because
the range of the spectrum of the PSF is limited to two circles in the U-V plane, the spectrum
will be zero elsewhere, and if the original image spectrum was multiplied by zero, the informa-
tion is already lost and cannot be restored in that spectrum space. Thus, the inverse filtering can
only be carried out within the two circular areas, so we can improve the image only to a certain
degree and cannot completely restore the image. Figure 6 shows the results of the filtering. The
transverse distortion is significantly reduced. But the ' image has not been restored completely.
Possibly we can further improve the image by a spectrum estimation technique.

REFERENCES

1. C. Q. Lan, K. K. Xu , Acoustical Diffraction Imaging under Non-Weak Scattering, 18th

Symposium on Acoustical Imaging, Santa Barbara (1989)
2. Y. M. Wang, W. C. Chew, Reconstruction of Two-Dimensional Refractive Index Distribu-
tion Using the Born Iterative Method, 18th Symposium on Acoustical Imaging, Santa Bar-
bara (1989)

839
 ON THE ESTIMATION OF THE BOTTOM GEOACOUSTIC PARAMETERS

USING MEASUREMENTS OF PLANE WAVE REFLECTION PARAMETERS

M. I. Taroudakis*, P. J. Papadakis, J. S. Papadakis, E. Simantiraki

Foundation For Research and Technology Hellas
Institute of Applied and Computational Mathematics
P.O. Box 1527, Heraklion 71110 Crete, GREECE
*Also National Technical University of Athens
Department of Naval Architecture and Marine Engineering

1. INTRODUCTION
The problem of recovering the bottom parameters is an interesting subject for study,
since the knowledge of the composition of the layers the bottom consists of, provides informa-
tion about the existence or not of usefull materials. On the other hand such information can be
used in the application of forward and backward algorithms that calculate the acoustic field in
the ocean.
Several methods have been proposed which try to solve this problem using either
different methods to approach it or different information. Such methods have been published
in several periodicals and conference proceedings, from which we mentioned those edited by
Akal and Berkov (1986) and Pace (1983).
This work is focused in the need to solve the above problem based on data that can be
obtained by a synthetic apperture sonar. Related to signal processing of the sonar is the fact
that the reflection coefficient is measured not as a complex number, but as the difference of its
phase at two different frequencies and moreover this is done in only one angle oj incidence.
We present a numerical method which, using only such data and physical bounds for the
uknown parameters, recovers those quantities with sufficient accuracy.

2. THE DEFINITION OF THE PROBLEM

2.1. The Basic Assumptions

We will make, at this stage, the following assumptions:
• We have a water column over a fluid sediment of given thickness d and a fluid bottom
substrate. We assume that the thickness of the sediment layer can be estimated by prelim-
inary results of subbottom profiling systems (see figure I ).
• We assume plane waves; that is the source is far away from the water-sediment interface.
The values of the density and sound speed in the water column over the interface are
known.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. Harjes. Plenum Press. New York 1992 841
• There is no attenuation in all layers.
• We consider only oblique incidence at angles smaller than the postcritical one, measured
from the positive y-axis.
The above assumptions are necessary for the algorithm to work. Notice also that we
assume, as was mentioned in the introduction that we have only one angle of incidence. We
now proceed to define the problem we want to solve.

2.2. The Forward Problem

Now we state the forward problem. As it can be seen this problem can be solved easily.
We find its solution in order to obtain synthetic data which will be used later for the solution
of the inverse problem.
If the parameters C2. P2. C3. P3 are given, as well as two vectors:
II = (/11,/12,/13,/14) and 12 = (121,122,123' hJ
of frequency values we can calculate the quantity :
Ii = Jm[ Rlf Ii ) - Rlf 2i ) ] (1)
where R is the reflection coefficient, given from the equation ( Burding (1984)):
R + R e2i/cdro
R = 12 23 (2)
1 + R12 R23 ~ikdro
where
cos9 2 2 C2 2
k = - - with [cos9 2] = 1-[- sin9d and c.o = 2 7CI
c2 CI

also
P2 C2 cos (9 1) - PI CI cos(9~
RI2=~---~-~~--~ (3)
P2 c2 cos (9 1) + PI ci cos (92)
and similar for R23
Notice that equation (2) is the sum of the geometric series :
R = RI2 + (1 - Rr2) R 23 e2ikdro - (1 - Rr2) RI2 R~ e4i/cdro + .... (4)

, , ;f ,-f
, ,,
, ,, ,,

Fig 1. The environment for bottom recognition

842
2.3. The Inverse Problem
The inverse procedure is to recover the unknown parameters c2. P2. C3. P3 from the
given data Ii i=I •... ,4. Thus using equation (2) we get a system of four equations in four
unknowns of the fonn:
F(x) =0 where:
F = (g1.g2.g3.g4)' x = (P2.c2.P3.C3) and g,{x) = 1m [R(j I;) - R(j 2;)] - Ii
The solution of this system should yield the unknown vector x. However the above system of
equations is a highly nonlinear system. the solution of which can not be obtained by standard
nonlinear system solvers. unless an extreme close to the exact solution initial guess is given.
which is not a realistic assumption.
Our approach is to use an approximate fonnula for R which can be manipulated easier
and which will give acceptable results. We thus took the first four tenns of the series given in
(4) and used them to calculate an approximate R. Physically this means that we consider only
the first four returns from the water-sediment interface (see figure 1) and ignore the rest of
them. It is observed that the difference between the R calculated with the approximate fonnula
and that calculated with the exact fonnula is small in most of the cases.
Another advantage of this approach is that we can finally derive an equation of the fonn
G(C2) =0
one equation in one unknown. namely c2' Even this equation is nonlinear and oscillatory (see
figure 2). however it can be solved using standard nonlinear solvers. We will also use in our
method the fact that the unknowns c2. P2. C3. P3 are physical quantities representing sound
speeds and densities respectivelly in fluid sediments. Table 1 shows same mean values for
these quantities for the most common fluid materials. Assuming that the parameters we are
looking for are between the maximum and minimum values given by table I. we impose the
following restrains on their values:
and

Notice that since CI and PI are the density and sound speed in the water column they
vary with the actual condition of the ocean and we only assume that their values are smaller
than the minimum values of table 1.

6.00
5.00 -
4.00 -
3.00 -
- 1\ I~ '-~
')
2.00
/
1.00
0.00
-
(
~ U
-1.00
-2.00
-3.00
II' f \ V r
'----

-4.00 -
-5.00
-6.00 I I I I I I
1500.00 1550.00 1600.00 1650.00 1700.00 1750.00 1800.00 1850.00

Fig 2. The function G (cz) for a test case

843
 Table l. Common Fluid sediments with their average densities and sound speeds.

SEDIMENT DENSITY SOUND SPEED

Silty Clay 1400 1520
Clayey Silt 1420 1530
Silt-Clay-Sand 1500 1578
Silt 1600 1600
Sandy Silk 1650 1550
Silty Sand 1830 1677
Fine Sand 1970 1740
Sand 1980 1750
Coarse Sand 2030 1850

3. THE NUMERICAL METHOD

3.1. The Algorithm

The major steps of our algorithm are:
1. We solve G(ci) = 0 in the interval [cI,1850] and obtain c2' This equation is oscillatory
having more than one solutions in the above interval. As can be seen from figure 2 it
may have many roots in the interval of interest. The function on figure 2 is the one
obtained from the case mentioned in section 4.
2. For each c2 we can calculate two values for R 12 and two values for R 23 • Since our
angle of incidence was taken above the critical one, these numbers are real numbers.
3. For each RI2 and from equation (3) we obtain one P2 and we accept it if it belongs to the
interval [ PI ,2030].
4. Then for each acceptable pair of (C2. P2) and for each value of R23 we have an equation
in two uknowns:
(5)
This is a linear equation for P3 which means that for each c3 we get a P3 . To obtain
only one solution we use the following method. Table 1 gives the values of the density
and sound speed for several fluid materials. Connecting those points with strait lines we
obtain a piecewise linear equation (see figure 3) of the form
(6)
We then solve equations (5) and (6) as a system which provides a unique solution pair
c3, P3' This terminates the code and the output which contains the calculated parameters
is given to the user.
2050.00 , - - - - - - - - - - - - - - - - - - - - - - - - : - _ - - - - ,

1950.00

1850.00

1750.00

1650.00

1550.00

1450.00

1350.00 +---.----,----,----.-----,r---,---.----1
1500.00 1600.00 1700.00 1800.00 1900.00

Fig 3. The piecewice linear equation l(C3) = P3.

844
 Table 2. Results for the first case (freq=4ooo Hz)

AnJde 5 15 25 35 45
1600.0 1600.0 1600.0 1599.9 1600.1 1600.0
1600.0 1599.2 1594.1 1584.0 1575.3 1569.2
1850.0 1849.1 1845.5 1839.7 1834.8 1829.1
2030.0 2029.6 2027.7 2024.8 2022.4 2019.6

3.2. Comments
The code works better when the frequencies used are between 400Hz and 5000Hz. For
lower frequencies the approximation of equation (2) with the first four terms of equation (4) is
not very good and the results are not sufficiently accurate. For higher frequencies the function
G(c:v=O has a lot of roots in the interval where Cz exists and the program stops since it was
designed to worlc when the number of roots inside the interval [Cto 1850] is less than 100. Of
course this is not a severe restriction and the code may be changed to be usefull even if there
are more than 100 roots.
We assumed that the thickness d of the sediment layer is 1. If the d changes then the fre-
quency range should be adjusted accordingly so that the (nondimensional ) product of d times
the frequency is in the interval [400. 5000]. This is necessary since this product appears in the
exponential term with imaginary exponent. which is the main factor in regulating the number
of roots of G.
Finally. as was mentioned before. we can have more than one Cz which gives rise to
more than one of the rest of the parameters. However after imposing the bounds on our parem-
eters. and in all the cases we examined. there was finally only one acceptable solution.

4. APPLICATIONS WITH SYNTHETIC DATA

Since experimental values were not available we used the forward problem to obtain
synthetic data which were used in the inverse procedure.ln order to uniformly present the
results and for convinience we used the following conventions in the input data: The com-
ponents of the first frequency vector Iii i = 1•... ,4 were taken to have the same value and the
elements of the second frequency vector were increased by 100Hz. For example for the results
given in table 2 we used the following frequencies:
Iti= 4000 Hz i = 1•... ,4 (7)
ht = 4100 Hz. hz = 4200 Hz. 123 = 4300 Hz. h4 = 4400 Hz (7a)
This is not a necessary requirement of the code and the user can use any combination of
frequencies as long as they are inside the bounds posed in section 3.2 above.
Table 2 presents the results of the code for several angles of incidence. The first column
of the table contains the exact values used in the forward problem and subsequend columns
contain the approximations to those values for several angles ranging from 5 degrees to 45
degrees. The function G(c:v ploted in figure 2 was obtained with these input for the 25 degree
angle.

Table 3. Results for the second case (Angle = 25 deg.)

FreQuencv 500.0 1500.0 2500.0 3500.0 4500.0

1600.0 1599.9 1600.0 1600.0 1600.0 1600.0
1600.0 1595.2 1593.0 1588.3 1593.3 1597.5
1850.0 1846.4 1848.5 1842.2 1844.8 1848.2
2030.0 2028.2 2029.2 2026.1 2027.4 2029.1

845
 Table 4. Results for the third case (Different sediment)

Exact c2 1520.0 1578.0 1550.0 1677.0 1750.0

Exact p2 1400.0 1500.0 1650.0 1830.0 1980.0
Appr. c2 1520.0 1578.0 1550.0 1677.0 1750.0
Appr. p2 1394.4 1497.6 1645.9 1825.3 1975.7
Appr. c3 1846.4 1848.1 1847.4 1847.5 1847.7
Appr. p3 2028.2 2029.0 2028.7 2028.8 2028.8

If we now fix the angle of incidence to 25 degrees and change the frequencies used we
obtain the results in table 3. The frequency values in the table refer to the value of the first fre-
quency vector and the convention mentioned at the begining of this section was used.
Finally, we fixed the angle of incidence to 25 degrees and the frequency to the values
given in (7) as well as the values of the density and sound speed in the bottom substrate and
then shifted the sediment layer with values taken from table 1 between the softest to the hard-
est fluid material. The results of this case are given in table 4.

s. CONCLUSIONS
It is evident from the results presented that the algorithm worlcs well in most of the cases.
Moreover the results are more impresive if we think that only one angle of incidence was used,
the reflection coefficient as a complex number was not known (amplitute and phase) but only
relative phase shift was available and that the user is not asked to make any initial guesses for
the values of the uknown parameters. However an error analysis to study noise contamination
was not done since no actual measurments were available. Such an analysis is important and
will be studied by the authors as well as the case of postcritical angle of incidence.

6. ACKNOWLEDGMENTS
This worlc was partialy supported by the EEC within the frameworlc of the project AOD
under contract MAST-OOOI-C(CB)

7. REFERENCE
Akal,T., Berlcson, J. M., 1986, Editors, " Ocean Seismoacoustics ", Plenum Press, New Yorlc
Burdic,W. S.,1984," Underwater Acoustic System Analysis ",Prentice-Hall
Pace, N. G.,1983,Editor," Acoustics and the Sea-Bed ",Bath University Press, Bath

846
 VALIDATION OF A FINITE ELEMENT MODELIZATION
OF SHALLOW WAVES PROPAGATION

F. Eiselt*, 1. Shahrour*, J.e. Tricot **, Ph. Pernod **, B. Delannoy **

1. D. N. - B.P. 48 - 59651 Villeneuve d'Ascq Cedex - FRANCE

* Laboratoire de Mecanique de Lille - URA CNRS D 1441
** Laboratoire de Physique des Vibrations et d'Acoustique - VA CNRS 832

INTRODUCTION
The detection of shallow underground caVIUes by means of seismic reflection
encounters major difficulties due to the impossibility in the analysis of recorded data to separate
the reflection signals induced by the cavities from the ground roll and refractions [Tricot and aI,
1986,1989]' In order to overcome these difficulties, we propose to use fundamental analysis
which, in giving a thorough understanding of wave propagation in soils permits an
improvement of the instrumentation (seismic source, localization of recorder apparatus, ... )
and a better analysis of the recorded signals. Since, it is impossible to resolve the wave
propagation problem in soils involving cavities by means of analytical methods, we use the
finite element technique which is presently largely used in the resolution of engineering
problems. In this paper, we present the first part of our work which concerns the validation of a
finite element program PECPLAS [Shahrour, 1988 ; Eiselt, 1991] on laboratory reflection
tests carried out on physical model involving cavities [Pemod and aI, 1988].

PRESENTATION OF THE FINITE ELEMENT PROGRAMPECPLAS

Fundamental Formulation

The study of wave propagation in a region Q needs the resolution of the following
variational problem:

for a given kinematically admissible field displacement u *, the application of the principle of
virtual work gives:

i/ du= f E*adu-/nu*fdu-fr u*Fdu

In u*~
dt2 n T

where: u is the field displacement,

a and € the stress and strain tensors,
f and F the body and surface forces.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes. Plenum Press, New York 1992 847
Spatial and Time Discretization

Using an isoparametric finite element discretization, the field displacement u can be

expressed in terms of the nodal displacement vector U. For the time discretization, we use the
Newmark implicite method which permits to link at a step time (n + 1 ) the field displacement
and velocity to the acceleration. Using the spatial and time discretization, the nodal vector
displacement U n+ 1 is calculated by the resolution of the following equation:

- 2 2a
where: R = - M+- C+bR
6. t 2 At

2 a U t + I 2a-b )Ut+la-b)At
+C [ ~ . .. t
U J

Presentation of the Physical Model

The physical model used for laboratory tests is given in Figure 1. It is composed of one or
two layers of plexiglass (or plexiglass / rubber) and a cylindrical hole.

A minisparker is used as the source [Pernod and aI, 1987] ; signals are recorded at the
different points of the upper surface by means of small piezoelectric broad-band receivers.

The dimensions of this model (70 cm in length and 15.3 cm in height) were chosen to
model shallow (8-10) underground cavities in the north of France.

VALIDATION OF THE FINITE ELEMENT MODELLING

The finite element modelling has been checked on :

- numerical results obtained on the before mentionned physical model with the
discrete wave number method [Bouchon and Aki, 1977],

- laboratory tests carried out on the physical model with two layers of
plexiglass.

848
Fjnite Element Discretization

A 4-nodes finite element discretization was assumed for this study. The dimension of the
basic element is governed by the smallest wave length (A m). According to White and al [1979],
the dimension of the basic element was assumed to be equal to Am/4.
The time step L\t was fixed with respect to Nyquist criterion:

v c represents the highest frequency.

The parameters a and b of the Newmark method were determined after some sensitivity
testing (a = b = 0.7), as these values provide a stable Newmark method which reduces
numerical oscillations with regard to the mesured signals.

Comparison with the Discrete Wave Number

The finite element program PECPlAS [Shahrour, 1988, Eiselt, 1991] and the discrete
wave number method were used to predict wave propagation induced by a Ricker signal in the
physical model constituted of plexiglass (E = 6,850 MPa, v = 0.28, P = 1,180 kg/m 3).

Analysis of the obtained results (Fig. 1. band I.c) shows that the finite element and the
wave number methods agree well in predicting the propagation of the direct wave (PO), the
transverse wave (S), the surface wave (S u)' the reflected waves (R 1), (P-S), (S -S) and the
multiple reflection (2P -P).

validation 00 Experimental Results

The finite element modelling was checked on laboratory tests carried out on a two-
layered plexiglass model. Comparison of numerical and experimental results (Fig. 2.a to 2.c)
shows that the finite element modelling predicts well the propagation and the velocity of
different waves in the model (direct (PO), surface (Su)' transverse (S), reflections, ... ).

CONCLUSION

In this paper, we present the validation of a finite element program intended to the
resolution of shallow wave propagation problems. A good agreement was obtained between the
finite element modelling on one hand, and the discrete wave number method and laboratory
tests on the other.

After these satisfactory validation tests, the finite element modelling can be used to
predict the wave propagation in soils including cavities and to analyse the geophone ground
coupling (interaction between soil and geophone).

849
 Source

.at

<:>

o
N

E
v r------;:-:---~::_:___
><

FIGURE 1

NUMERICAL COMPARISON BETWEEN THE FINITE ELEMENT METHOD

AND THE DISCRET WAVENUMBER METHOD.
a) Ray path model
b) Discret wave number method
c) Finite element results

850
 o source
- 20
Pl .. xiglass
4.6cm
Vp- 2666 m/!J
V5 -13 46 m/s
Plexigla ••
vp - 2758 m/:s
V5 .. 1 SOO m/!J
12.3cm

FIOURE2 .

VALIDATION OF THE FINITE ELEMENT METHOD ON LABORATORY TEST

a) Physical model
b) Finite element predictions
c) Experimental results

851
REFERENCES

Bouchon, M., and Ald, K., 1977, "Discrete wave number representation of seismic
sourcewavefields", Bull. Seismol. Soc. Am., Vol. 67, pp. 259-277.

Eiselt, F., 1991, "Modelisation des problemes sismiques afaible profondeur. Application a
la detection des cavites", These de doctorat en cours, Universire des Sciences et
Techniques de Lille.

Pernod, Ph., Piwakowski, B., Delannoy, B., and Tricot, J.C., 1988, "Detection of shallow
underground cavities by seismic metlwds : physical modelling approach", 17 1h Int.
Symp. on Acoust. Imaging, Sandal (Japan).

Pernod, Ph., Piwakowski, B., Tricot, J.C., and Delannoy, B., 1987, "Minisparkeras source in
seismic models", 16 1h Int. Symp. on Acoust. Imaging, Chicago (U. S. A.).

Shahrour, I., 1988, "Modelisation et validation en genie civil", Habilitation a diriger des
recherches, Universite des Sciences et Techniques de Lille.

Tricot, J.C., Delannoy, B., Piwakowski, B., and Pemod, Ph., 1986, "Some problems and
experimental results of seismic shallow prospecting", 15 1h Int. Symp. on Acoust.
Imaging, Halifax (Canada).

Tricot, J.C., Piwakowski, B., Pemod, Ph., and Delannoy, B., 1989, "Geoplwne ground
coupling effects in high resolution seismic survey", presented at the 6 1h Symp. on
Hydroacoustics, Gdansk-Stawiska (Poland).

White, W., Valliappan, S., and Lee, I.K., 1979, "Finite element mesh constraints for wave
propagation problems", Proceedings of the 3 rd Int. Conf. on Finite Element Methods,
University of New South Wales (Australia).

852
ACOUSTICAL REMOTE SENSING IN THE ATMOSPHERE

Gerhard Peters

Meteorological Institute
University Hamburg

INTRODUCTION

Acoustical echo sounding is an important method to study flow pat-

terns in the lower atmosphere. It is particularly useful for applica-
tions which require higher temporal and spatial resolution than ob-
tainable by balloon borne radio sondes or other conventional observation
methods.

The scattering of sound in the atmosphere has already been observed

by Tyndall 1875. But it took nearly a century more until the theoretical
derivation of the differential scattering cross section of the atmo-
sphere's turbulent microstructure (Batchelor, 1957; Tatarskii, 1961,1971;
Monin, 1962) and the experimental verification (Kallistratova, 1961) has
been accomplished. The first echo sounder designed for the observation
of atmospheric structures has been operated by McAllister (1968). This
system, called SODAR (Sonic Detection And Ranging), transmits pulses of
sound on a narrow beam vertically or slightly tilted into the atmosphere
and the echoes are received from the same transducer (monostatic configu-
ration). Today SODAR-systems of this type are most widely used as well
for research as for continuous environmental monitoring applications.

The mean improvements which have been achieved in comparison to the

early prototypes concern the signal analys and the interpretation of the
echoes in terms of physical atmospheric parameters. Exhaustive introduc-
tions to this topic have been published by Brown and Hall (1978) and by
Neff and Coulter (1986).

One important difference of the SODAR to the "next relative", the

RADAR with comparable wavelength, is the strong interaction of sound
waves with microturbulent irregularities of the atmospheric temperature,
humidity, and velocity. The correspondingly large scattering cross sec-
tion facilitates the echo detection but the random distortions which
are acquired by the acoustic wavefronts while propagating through the
turbulent medium lead to small coherence distances of the acoustic field.

This is a principal impediment to acoustical imaging in the atmo-

sphere. As far as known to the author the only approaches to measure the
wind aloft by techniques which can be addressed as acoustical imaging

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 853
are reported by Peters et al. (1978) and Russell et al. (1981) who ex-
ploited the angle of arrival of the echoes. But these developments have
not been continued as the progress of Doppler-techniques was much faster
at that time.

SODAR-systems, commonly used today, are either Doppler-systems or

only power-detecting-systems, and the following sections will refer to
these types of systems only.

SCATTERING OF SOUND IN THE ATMOSPHERE

The scattering of sound in the atmosphere is described by the differen-

tial scattering cross section, which is the power scattered from a
volume into an infinitesimal solid angle for unit flux density incident
into the volume.

(1 )

with

k wavenumber of the acoustic waves

V scattering volume
e scattering angle
c = mean sound velocity in scattering volume
E three-dimensional spectral density of velocity fluctuations
T mean temperature in scattering volume
~T= three-dimensional spectral density of temperature fluctuations
dQ= solid angle of scattering direction
K wave vector of wind and temperature fluctuations
K is related to the incident and the scattered radiation by

(2 ) It = £,-k (Bragg condition)

with

;, wave vector of the incident radiation

k wave vector of the scattered radiation

Eq.(l) does not content humidity fluctuations as their contribution

is generally low, although it can be significant in marine environment
(Wesely. 1976). Further. hydrometeors are not considered here but only
clear air. The two terms in eq.(l) describe the scattering contributions
due to temperature and velocity fluctuations respectively. The angular
dependence of these contributions is different, and particular for back-
scattering (9 = 180°) only the temperature term remains. As the wind
velocity is much smaller than the sound velocity the Doppler shift
causes only a small shift of the acoustic wave number ( ~ ~ k). There-
fore the Bragg condition reduces to K = 2k in the case of backscattering.
Normally acoustic wavelengths in the decimetric range are used for SODAR.
In this range (inertial subrange) the spectral density of the turbulence
follows the simple function

(3) <l>T = 0.033 C? K- 1l/3

854
with only one free parameter CT , which is the so called structure con-
stant of the temperature fluctuations. The received echo power is then

(4)

with

PI transmit power
A effective antenna aperture
R range
to transmit pulse length
L propagation loss.

Despite of this simple relation between CT and ~ there are two dif-
ficulties to interpret the received power in terms of atmospheric condi-
tions.

First, the propagation loss depends on the mean and turbulent atmo-
spheric conditions in a complex way. The molecular sound absorption is
highly variable with temperature and humidity (Harris, 1966). In additi-
on spreading of the beam is caused by turbulent refractive index varia-
tions on the propagation path. Due to the long propagation time the re-
fractive index structures are different on the path to and from the scat-
tering volume respectively. Therefore no reciprocity may assumed causing
an extra loss of received power (Brown and Clifford, 1976). Intercompari-
sons of careful calibrated SODAR data with in situ measurements indicate
that errors of factor 2 have to be taken into account in reality.

Second, there is no one to one correspondence between CT and the

thermal and turbulent structure of the atmosphere respectively.

The existence of thermal microstructure with nonvanishing CT re-

quires two prerequisites:

(1) The temperature gradient must deviate from the adiabatic lapse rate
either positively (stable stratification) or negatively (unstable
stratification).

(2) Turbulent mixing must occur. Otherwise the thermal microstructure

dissipates soon due to molecular heat conduction and radiation.

Unstable stratification causes convection, which is connected with

turbulent mixing. In this case (and if some other simplifying assumptions
are valid) a unique relation between the turbulent surface heatflux and
CT can be established (Wyngaard, 1973). This is useful, as the heatflux,
derived in this way, (in contrast to point measurements) is representa-
tive for larger areas.

In stable stratification the situation is more complicated as in

this case turbulent mixing and thus C, depends very sensitively on the
windshear, the temperature gradient, and the turbulent diffusion coeffi-
cient of heat (Neff and Coulter, 1986). Despite the quantitative inter-
pretation of C, in stable conditions has resisted major advances so far,
the height of elevated inversions, an important atmospheric parameter,
can be determined in many cases by the backscatter profile. But some-
times structures of the C,-profiles are observed, which can not be inter-
preted satisfying yet.

855
DOPPLER SODAR

In contrast to the power the interpretation of the frequency shift

of the echoes is straightforward: The scattering microstructure is car-
ried with the wind, and therefore the frequency of the echoes is shifted
proportional to the radial velocity component in the scattering volume.

For the derivation of the three-dimensional windvector three beams

(one vertical and two with 15 0 _ 30 0 tilt angle) are used. Due to the di-
vergence of the three beams the wind components are not measured in the
same volume. The corresponding error is generally small as horizontal
homogeneity of the atmosphere for the pertinent distances may be assumed.

If the frequency shift is determined in each range gate, profiles

of the windvector can be derived. Various frequency determination tech-
niques with different performance with respect to the the environmental
noise background are used. Modern methods are based on the analysis of
the power spectra obtained e.g. by FFT. Fig.l shows the calculated stan-
dard deviation of the estimated radial velocity versus signal to noise
ratio. Here the frequency shift was derived from the average of M power
spectra (32-bins) by fitting a model spectrum between the 6-dB-points
around the maximum of the measured spectrum. The error increases sharp-
ly, if the normalized signal to noise ratio is smaller than 11 dB.

If 100 spectra are averaged, this threshold appears at SIN = 1 dB.

For a range gate &R = 20 m and an acoustic transmit frequency f =.1700
Hz the corresponding velocity error at this point is 0.18 m/s. If SIN
is increased to infinity the error does not approach zero but a finite
value (0.09 mls in this example). This is caused by the random scat-
tering structure and corresponding random variations of the spectral
density. The radial velocity errors correspond (for typical beam confi-
gurations) to approximately 0.5 - 1 mls horizontal windvelocity error,
which is acceptable for many applications.
10

> =
~
~
~
u 8
S
~
> 7
rI
0
~
~
~
~

§z 5 Vn
v
~ (c2/(4'~R'f)1
0
z
0
H
~ 101og(S/Nn ) = lOlog(S/N)+51og(M)
~
> 3 for M » 1
~
0
0
2
~
~
~

o
o 5 lO 15
NO~~~IZED S!GNAL TO NOISE RATIO 101og(S/Nn )

Fig. 1. Measuring error versus signal to noise ratio.

~R range resolution, f = acoustic frequency,
M = number of averaged spectra.

856
As the error is inverse proportional to the frequency, this should
be chosen as high as possible. The maximum operating frequency is deter-
mined by the height range to be observed. Due to sound absorption the
accessible height range is limited to a few thousand wavelengths (with
considerable variation according to the actual values of the scattering
cross section, absorption coefficient, and environmental noise background
respectively). A SODAR with 1700 Hz operating frequency can reach some
hundred meters altitude fairly reliably.

MEASURING EXAMPLES

The following arbitrarily selected examples shall demonstrate some

typical fields of application of the SODAR-technique.

Wind Energy

The expected output of wind energy converters depends sensitively

on the wind statistics at the installation site. Fig. 2 shows frequency
distributions of the windvelocity at a site close to the North Sea (right
hand) and 1000 km south of the coast (left hand). At both sites the velo-
cities increase with height. But even in 220 m altitude the energy budget
at the inland-site is smaller than that at the coastal site in 40 m.

2S0tl=EL=B=£:OC:T:'::19:0~0~~~~~~~~~~~~
ISAR OCT. 1990

260
240

220 __ ..!"------J------------------.__ ::: ~==::~~~~~~~~~~~~

~ 190 ... J .... r ·····•····c.... ,................. 180 I ___ •. -==-__ ,.. ___ ..T
____
-_. __ .... _. __ .... _.-

~ 160 . r-.-.-·-·~.-.-L.-.-._._._ ..,.

~
___ .J----- ----.,__ _
.=_=._~-=-~.J-_.-_-. ~

~ F=~------------~~~~===-----__i 160+-____-=--~-~-~-=-~J-_-_-_'__~~~~------1
'" 130 ._._f-·----·~·""--·-·1.._._._._._._._._ 140~----~.~..~.~.~~.~..~..~..-..-.-~·-··-·,·:~··~·~··~··=.=
..~'.-.-
..-.:-..-._;
..
~ 120 _________-----,----'----i----------'-..---1----
'"
::iB: 100 ~......... ~.....- ....:... .......... ... ___., ____ ·.1-·_·":--·-'!---'I. ___ ..,

: .r;:;;='--- .
......_.. r :. .................... . 100 -----,..._._. . .-.
.... · ..'· ........ r . ··..··....·....l.. .......\.. ........,..........
'" I 80 .......... , .......... ,.. ........r

I:: ~----.
r ---~---1

~---L __ .____ ----

. WINOVELOCITY [m/s]
~ 15 5
WINDVELOCITY [m/s]
'0 is

Fig. 2. Frequency distribution of wind velocity between 40

and 280 m altitude. Left: Southern Germany, Right:
Northern Germany, close to the North Sea.

Low Level Jet

The transition from unstable to stable stratification at sunset may

cause an overspeeding of the windvalocity coupled with strong wind shear
near the ground. This can be hazardous for aircrafts if it is not expec-
ted by the pilot. Fig. 3 shows a typical windprofile during a nocturnal
LLJ (left hand). On the right hand the hodograph of the wind vector in
190 m height (position of the wind-maximum) is shown. The righthand cir-
cular motion and the period of rotation can be explained by the coriolis
force at the latitude of the measuring site on the northern hemisphere.

857
 510

L30 -

e .. 13
350
f<
i3 ~
.,
..
H

270
& 11

!i
H
0:
:>
III 190 - i 01 09

~
:i:0: 21 Measuring Heiqht
190 m
19
110 .....

30
! 11

0 8 12 16 :12 -'0 -S -6 -4 -2 o
WINDVELOCITY [m/s] WEST/EAST-COMPONENT [m/s]

Fig. 3. Nocturnal low level jet. Left: Velocity profile, Right:

Hodograph of the horizontal windvector in 190 m height
from 13 Oct 17:00 to 14 0ct 11:00, 1986.

25 Oct 1990
1!211

Vertical Windcomponent
'iii' IlIO
.....
.s:: 1= 1 m/s
....tn
Q)
taa
:x:
tn lSI
.......<:
:>
co 100
10
Q)
:.:
'/0

40

Horizontal Windvector Westwind, 10 m/s

220

190
'"
.....
.s::
....tn
Q)
160

:x:
130
.......~
:>
"'
10
100 _ _ _ _ _ _ _ _ _ _ _ _ _ _ _..."'·....
oGo"""'
__ ~~"':to:.- _____"\l/"''''-_
Q)
:.:
70

40

o 1Z 15 10

Local Time [h]

Fig. 4. Time height cross section of the wind vector.
Upper part: Vertical wind component.
Lower part: Horizontal wind components.

858
 Complex Terrain

Fig.4 shows time height cross sections of the vertical velocity

component (upper part), and the horizontal components of the windvector
(lower part). Each measurement represents an average of 10 min. The SODAR
was located in a flat river valley extending more than 100 kID from SW to
NE with roughly 5 kID width and 100 m depth.

In the upper part an increase of the vertical velocity variations

during daytime appears, which is caused by radiative surface heating
and corresponding convection. This particular day has been selected
as in the morning and evening hours the wind aloft was blowing from SE
i.e. perpendicular to the valley axis. Here the channelling effect of the
valley becomes most apparent as the wind direction below 100 m was nearly
always parallel to the valley axis. In addition, these data indicate that
the height extension of the channelling effect depends sensitively on stabi-
lity: During the convective period the wind direction even in the upper-
most measuring level turned parallel to the valley. For other wind velo-
cities and directions the contrary happened: the channelling effect dis-
appeared even in the lowest level during convective periods.

REFERENCES

Batchelor, G.K., 1957: Wave scattering dur to turbulence. In:

Symposium on Naval Hydrodynamics(F.S. Sherman, ed.),NAS-
NRC Publication No.5l5,National Research Council,Washing-
ton,D.C. ,409-430.
Brown, E.H., and S.F. Clifford, 1976: On the attenuation of sound
by turbulence. J.Acoust.Soc.Am.60,788-794.
-----------, and F.F. Hall, 1978: Advances in atmospheric acoustics.
Rev.Geophys.Space Phys.16,47-110.
Harris, C.M., 1966: Absorption of sound in air versus humidity and
temperature. J.Acoust.Soc.Am.40,148-159.
Kallistratova, 1961: Experimental investigation of sound wave scat-
tering in the atmosphere. Tr.lnst.Fiz.Atmos.,Atmos.Turbu-
lentnost,4,203-256.
McAllister, L.G., 1968: Acoustic sounding of the lower troposphere.
J.Atmos.Terr.Phys.30,1439-1440.
Monin, A.S., 1962: Characteristics of the scattering of sound in a
turbulent atmosphere. Sov.Phys.Acoust.,7,370-373.
Neff, W.D., and R.L. Coulter, 1986: Acoustic Remote Sensing, in:
Probing the Atmospheric Boundary Layer,(D.H. Lenschow, ed.),
AMS,Boston,Mass.,269pp.
Peters, G., C. Wamser, and H. Hinzpeter, 1978: Acoustic Doppler and
Angle of Arrival Wind Detection and Comparisons with Direct
Measurements at a 300-m Mast, J.Appl.Meteor.,17,l17l-l178.
Russell, P.B., E.M. Liston, S.A.DeLateur, 1981: Study of remote wind
measurement using acoustic angle-of-arrival techniques. Fi-
nal Report SRI Project 7245, SRI International, Menlo Park,
California.
Tatarskii, V.I., 1961: Wave Propagation in a Turbulent Medium. McGraw-
Hill,New York,N.Y.,285pp.
---------------, 1971: The Effects of the Turbulent Atmosphere on
Wave Propagation. Israel Program for Scientific Translations,
Jerusalem, Israel.
Tyndall, J., 1875: selected Works of John Tyndall: Sound. D. Apple-
ton,New York,N.Y.,306-320.

859
Wesely, 1976: The combined effect of temperature and humidity on
refractive index. J.Appl.Meteorol.15,43-49.
Wyngaard, J.e., 1973: On surface layer turbulence. In: Workshop on
Micrometeorology (D.A. Haugen, ed.),AMS,Boston,Mass.,101-
149.

860
 RECONSTRUCTlO\l OF FWID VORTICITY BY ACOUSTIC TOMOGRAPHY

Daniel Rouseff

The Johns Hopkins University Applied Physics Laboratory

Johns Hopkins Road
Laurel, MD 20723-6099 U.S.A.

ABSTRACT-A new procedure for reconstructing fluid vorticity by acoustic tomography is

developed. We consider a hypothetical experiment where a cross-section of moving fluid is
probed by acoustic waves. The measured propagation times are then related to the fluid
vorticity by means of a new Projection-Slice Theorem. The theorem shows that by probing
the cross-section over all possible directions it is possible to determine uniquely the
transverse component of fluid vorticity. The result is exact to within the validity of the
straight-ray acoustic propagation assumption. The theory is generalized to consider more
experimentally feasible geometries such as would be required in small-scale oceanographic
applications. A discrete reconstruction algorithm is developed and evaluated by numerical
simulation.

Tomography is a procedure for generating quantitative, cross-sectional recon-

structions of an object from experimental data. The object to be studied is probed from
various directions with the measured data then manipulated to synthesize the image. In
conventional computed tomography, the measured data are assumed to be the straight-ray
geometric projection of the unknown object. Expressed in the Fourier domain, the well-
known Projection-Slice Theorem relates the measurements to the object and further shows
that by probing the object over a continuum of view directions sufficient information is
available to produce a quantitative image. Conventional computed tomography using X-ray
illumination has found widespread medical applications.

If diffraction effects can be ignored, conventional tomography can also be performed

using ultrasound to probe the object. In standard acoustic tomography, the measured
acoustic propagation time gives a straight-ray projection of fluctuations in the spatially
varying sound speed perturbation of the object. 1 The standard filtered backprojection
algorithm then generates a reconstruction of the local sound speed. In filtered
backprojection, each projection is first filtered and an image is generated by backprojecting
along straight-ray paths. The procedure is repeated for the projections measured at other
view angles. Superimposing the resulting images produces the reconstruction.

Acoustic tomography has considerable potential for studying the structure of fluids.
Oceanographic applications to date have primarily been at the mesoscale where curvature in
the acoustic ray paths must be considered. However, for small scales and at short ranges,
the straight-ray assumption is valid. In a recent numerical feasibility study, Rouseff et al.
simulated turbulent mixing characteristic of the oceanic thermocline. 2 Acoustic
propagation through the medium was then modeled using the parabolic equation method. The
resulting propagation time data were input to the filtered backprojection algorithm to
successfully reconstruct the index of refraction of a one square-meter cross-sectional slice.
This study ignored the effects of fluid motion on the propagation time as it can be removed by
Acousticallmaging, Volume 19
Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 861
two-way propagation. A recent communication by Winters and Rouseff has shown that if
fluid motion is significant, the measured time delay data contain sufficient information to
also reconstruct the transverse component of the fluid vorticity as defined by the curl of the
fluid velocity.3 The main result was to derive a new Projection-Slice Theorem for
vorticity.

In this paper, the Vorticity Projection-Slice Theorem is first reviewed. A modified

filtered backprojection algorithm for reconstructing the transverse component of fluid
vorticity from measured propagation time data is then derived and implemented. The method
might be valuable for small scale oceanographic imaging or in other applications requiring
flow visualization.

For simplicity, we consider the two-dimensional geometry shown in Figure 1. The

fluid being studied is characterized both by the spatially varying scalar sound speed
perturbation ~C(x:x) referenced to the constant background value Co, and by the velocity
vector u(x,y) = ux + vy. The linear array at Tlo = -l1. launches an ultrasonic wave with the
resulting travel time recorded at TlO = +l1.. We assume the travel time can be measured at
any view angle 0 s 9 < 2n:. While the geometry shown in Figure 1 is clearly idealized, it is
useful for deriving the basic inversion algorithms; algorithms developed for linear arrays
can often be extended to more realistic geometries consisting of fan beam insonification and
circular receiving arrays.1 We assume the fluid is non-accelerating over the time
necessary to conduct the acoustic measurements. We will now show that to within the limits
of geometric acoustics sufficient information is available from the measured data to
reconstruct the transverse component of fluid vorticity defined by

~(x,y) = (V xu) . i . (1)

If the velocity perturbations are small compared to Co and if the physical scale of the
irregularities is large compared to the wavelength of the probing wave, then the geometric
acoustics model of straight-ray propagation for short ranges is adequate. To within this
approximation, the measured perturbation in propagation time due to the perturbations in
the medium is given to first order by

T8(~8) -= -c:fl1. [~C(x,y) + u(x,y)o118JdTJ8 , (2)

-l1.

where 1le is a unit vector in the direction of propagation. Consider the propagation time
T o-n:(xo--n:) measured by rotating the insonification system 180 degrees. From Figure 1,
118_~ = -118 and ~ =~. Taking the difference of the two measurements yields the differen-
tial time delay 00(1;0)

(3a)

(3b)

where we have extended the limits of integration. The two-way propagation scheme of
combining measurements taken at opposite directions partitions the effects of ~C from the
effects of the velocity. Denoting the Fourier transform of a function by a tilde, it follows
from Eqs. (1) and (3b) that the two-dimensional transform of vorticity and the one-
dimensional transform of Do are, respectively,

862
 acoustic
path

u(x,y)
fC(x,y)

Fig. 1 . Experimental configuration

~(p,q) = i[qu(p,q) - pv(p,q) , (4 )

Da(lC) = -sin9u(lCcos9,lCsin9) + COS9v(lCCOs9,lCsin9) . (5 )

Comparing Equations (4) and (5) yields the projection-slice theorem for vorticity:

(6)

The Vorticity Projection-Slice Theorem indicates that the transform of the differential time
delay when weighted by ilC maps onto a line at angle 9 in the two-dimensional transform
space of vorticity. By measuring De at other view angles, additional "slices" in the Fourier
space are recovered. Repeating the measurements over a continuum of angles provides
sufficient information to completely reconstruct the vorticity.

Aside from the additional weighting factor, the Vorticity Projection-Slice Theorem is
similar to the conventional Projection-Slice Theorem; it gives a Fourier space mapping
from the measured data to the function we are trying to reconstruct. As in conventional
tomography, reconstruction is accomplished by filtered backprojection. The presence of the
additional weighting factor ilC in Eq. (6) simply modifies the standard filter. 3 In the
following, we first summarize the backprojection method of reference 3. The algorithm is
then further modified to yield a form that operates directly on the measured data. A discrete
version of the modified algorithm for sampled data is tested by numerical simulation.

As in any filtered backprojection algorithm, the data from each view are first
convolved with a backprojection filter:

(7)

where the vorticity backprojection filter is given by 3

B
g(l;) = i(2x)-1 LllCllCehC~dlC= (2xf1 B3 [jo(BI;/2}j1(BI;/2) - 2j1(BI;)], (8)

863
where inO is the spherical Bessel function of order nand B is the assumed maximum
spatial radian frequency of the vorticity. We recognize g(l;) as the derivative of the
standard backprojection filter.1 Combining the filtered projections yields the vorticity

~(x,y) = (2x)-1 J: Qe(l;)d9. (9 )

The above inversion algorithm operates on the differential time delay calculated from
the measured data via Eq. (3a). This preprocessing of the data is potentially awkward and
might be difficult to implement in practice; it requires very precise alignment of the
transducer arrays to perform two-way transmission experiments. Moreover, because of
the explicit subtraction in Eq. (3a) , the method requires parallel acoustic ray paths and
consequently cannot be extended to the much more practical fan beam insonification
geometries. A preferred procedure is to operate directly on the measured T9. The inver-
sion scheme in Eqs. (7)-(9), requiring two-way transmission with views over 180
degrees, can be modified to produce an algorithm using one-way transmission experiments
performed over 360 degrees. Substituting Eq. (3a) into Eq. (7) and noting that the vor-
ticity backprojection filter is an odd function, it follows after some manipulation that

( 1 0)

where

Qe(l;) = J~ T e(l;') g(l;-l;') dl; . (11)

The modified inversion procedure operates directly on T 9 and is of a form suitable for
conversion to fan beam geometries. 2 The explicit differencing operation of the
preprocessing step has been built implicitly into the modified reconstruction algorithm.

In practice, the data are measured at a set of discrete points for a finite number of
view angles. Assuming uniform sampling, the continuous integrals in Eqs. (10)-(11) are
replaced by discrete summations. To satisfy the Nyquist sampling criterion, we determine
the required sampling interval & based on the maximum radian frequency B and set & = wB.
Sampling Eq. (8) gives one possible form of the discrete filter:

x[4(nxf2 - 1](&3 n )-1 n odd

g[n] '= g(o&) = ( ( 1 2)
x(&3 nf1 n even, n '# 0

and g[O] = O. To test the proposed algorithm, consider a velocity field defined by

u = (-yx + xV) exp[-(p/po)2], ( 1 3)

where p2 = X2 + y2. The "measured" time delay is readily calculated using Eq. (2). The
sampled data with Po = 10 and & = 1 is substituted into the discrete version of Eq. (11). In
Figure 2, the reconstruction using eleven views displays excellent agreement with the
theoretical vorticity calculated from Eq. (1).

To summarize, a new tomographic method for determining fluid vorticity has been
developed and evaluated by numerical simulation. The technique uses acoustic propagation
time data measured from several different directions to produce the reconstruction. This
work was supported by the U.S. Navy under contract N00039-89-C-0001.

864
 1.2

1.0

0.8

-..
>- 0.6

-
>
u

0
0.4

0.2

0.0

-0.2
0 5 10 15 20 25
Radius
Fig. 2. Theoretical vorticity (solid line) compared to discrete reconstruction
using eleven views.

REFERENCES

1. A. C. Kak and M. Slaney, ·Principles of Computerized Tomographic Imaging; IEEE,

Piscataway, N.J (1988).

2. D. Rouseff, K. B. Winters and T. E. Ewart, Reconstruction of oceanic microstructure

by tomography: A numerical feasibility study, J. Geophys. Res. (accepted, 1991).

3. K. B. Winters and D. Rouseff, A filtered backprojection method for the tomographic

reconstruction of fluid vorticity, Inverse Problems 6:L33 (1990).

865
DIGITAL HOLOGRAPHIC IMAGING

FOR UNDERWATER ACOUSTIC APPLICATIONS

G. A. Shippey, R.McHugh and J. G.Paul

Heriot-Watt University, Ocean Systems Laboratory

Department of Electrical and Electronic Engineering
Edinburgh, EHI 2HT, Scotland, UK

1. INTRODUCTION

The technique described in this paper is primarily designed for

underwater acoustic imaging. Incident wavefronts at an array aperture are
sampled in space and time, then stored in a space-time memory, and used to
reconstruct a 2D image from a ID array. It could similarly be used to
reconstruct a 3D image from a 2D array. The technique is most directly
applicable to within-pulse sector-scan sonar, but has important potential
advantages in the side-scan mode as well. A further future application is
swath bathymetry. The technique was designed to fulfil two main objectives:

a) Minimal front-end hardware, with digital processing operating on raw

data without base-band conversion.
b) Optimum interface to subsequent image processing, so images can be
obtained directly in cartesian coordinates without scan conversion.

2. BACKGROUND

of the published acoustic imaging techniques are based on the

Ma~y
relatio~ship between spatial frequencies estimated at the array aperture 1,2,
and the angular location of echoing targets. However there are disadvantages
to this approach, eg polar imaging/scan conversion, problem of wide sector
near-field imaging, and restricted transducer spatial distributions. Instead,
the technique described here takes the analogue phased array as its point of
departure, making the necessary changes to carry out the computation
digitally.

Consider, then, a conventional analog sonar receiver, with a set of

signals back-scattered from a point in a 2D field, which has been insonified
with a conventional sonar pulse packet. The phased-array method of imaging
a point P 1 is to compensate for the differential travel time to individual
transducers by equivalent electronic time delays, before adding the signals
to form a composite echo. The echo from P 1 can be discriminated from a point
P 2 in the same direction, by gating the composite signal with a time-window
whose length, T, is related to the pulse length.

Acoustical Imaging, Volume 19

Edited by H Ermert and H,-P. HaJjes, Plenum Press, New York 1992 867
3. OUTLINE OF DIGITAL TECHNIQUE

3.1 Fooning Composite Signal from Sampled Data

For a digitally sampled version of the sonar receiver the composite

signal is fooned by advancing or delaying the sample sets to match the travel
time to the each receiving transducer. This gives the problem that most
sample sets will need to be shifted by a non-integral number of samples, ie.
we have a resampling problem due to time-quantization 3.

The chosen frame of reference defines an array of points in a 2D or 3D

spatial window. The nominal echo travel time, t ijk' from each point P ij' to
each transducer T k, can be stored in a look-up table. This time delay can be
expressed as a multiple of the sampling interval, 't. Then the rounded integer
value can be used to select the centre of a time-window and the residue gives
an interpolation offset. Resampling is carried out by phase-shifting local
spectral components in the selected window, using a priori knowledge of the
echo bandwidth. Conversion back to the time domain is avoided, since both the
composite signal and the local power can be expressed directly in teons of
spectral components. For each pixel, P the steps in the algorithm are as
follows:-

a) For each transducer, Tk , read the nominal echo time from the LUT,
and round to determine a sample number m k and a fractional offset Uk. This
gives a set of samples {s m} = (s m_p • • • s m+p) of 2p+l samples contained in a
time-window of the required length T centred on sm.
b) Find a local spectral decomposition {a mr } for the set ISm} outlined
in (3.1) below. This decomposition gives an estimate of the signal received
at the transducer within the local window:
R
set) '" E amr exp(jc.>r t)
r=l
(3.1)

where R is the number of spectral components, {a =} are complex coefficients

representing the decomposition.
c) Phase-shift each spectral component, a = , to allow for the residual
time delay, u k and sum over the K transducers to get the corresponding
spectral components Ar , of the composite signal at P:

Ar= E w,. a~ , where m = men) ;

k

w k is some standard array weighting function used to control side-lobes.

d) Now sum over the R spectral components to find an estimate of the
power at P, using:

(3.2)

3.2 Local Spectral Decomposition

The local spectral decomposition must satisfy the bandwidth limits and
fit the unsampled transducer echo with low ons error at the sample points
{s m} In general, this decomposition can be carried out by digital
band-pass filtering,
+1'
amr = E-1' hrj slA+P (3.3)

868
where the complex kernel {h rj} spans the window duration of T. A DFT 4
technique, is one implementation of (3.3). Using the Remez exchange algorithm
4 for FIR filter design, the required K for a good fit is around 1/2 the
time-bandwidth product for the window. In the special case of a minimum time-
bandwidth pulse, K = 1 provided the window equals the pulse length. Digital
quadrature matched filtering (QMF) can be used to determine in-phase and
quadrature components. Images constructed using both QMF and DFT spectral
estimation are shown in Figures 5.2,5.3 .

3.3 Look-Up Table Processing

The time-delay Look-Up Table, (LUT) is a crucial component in the

design. Conceptually this is just a ROM containing the complete set of time
delays between every spatial point and every transducer. In practice it is
more convenient to implement this store as shown in Figure 3.1, possibly
computing the differential time delays, on request, by quadratic (Fresnel)
approximation.

Figure 3.1 . LUT Implementation

3.4 Exploiting the Look-up Tables

The fact that the system is table-driven gives the system great
flexibility.
a) The image can be generated in the required frame of reference,
without scan conversion.
b) Dynamic Focus: This can be built directly into the table.
c) Stabilization: The look-up procedure can be modified to stabilize
the image against translations or rotations of the receiver array in
space, possibly displaying the image in ground coordinates.
d) Zoom: If the LUT is held in RAM, new tables can be produced as
required to generate zoomed images of particular areas of interest.
e) Special Geometries: There is no need for transducers to be equally
spaced, or linearly mounted. The convenience of wrapping an array
round the hull of a vehicle will be increasingly important in ROV
applications.
f) Geometric Corrections: Corrections such as slant-to-true-range
correction for sidescan images can be applied to a LUT held in RAM.

4. EXPERIMENTAL WORK WITH SIMULATION RESULTS

4.1 Digitization

Experimental equipment has been built to sample a multiplexed set of

transducer signals into RAM. A common switched-gain can be applied to all
signals representing the TVG necessary to bring echoes within the dynamic
range of the ADC. A 10 MHz total multiplexer and digitization rate was
achieved meeting the requirements for many practical situations.

869
4.2 Simulation Modelling and Results

A software package "IRIS" (Image Realisation In Simulation) was

initially developed to validate the technique, but is becoming increasingly
used as a design tool. Different scenarios, array shading, sampling rates,
and spectral estimation techniques, can all be evaluated with differing
amounts of gaussian noise present. The images shown in Figures 5.2, 5.3 (a-d)
are based on a 100kHz source with a Gaussian pulse lasting 0 .2ms. The
receiver array consists of 64 transducers spaced linearly at 1/2 wavelength.
A 256 x 256 cartesian image is constructed with lateral and longitudinal
pixel seperations that represent 0.15m in space (1/2 pulse length). Figure
5.2 shows two clusters, each consists of six points subtending angles of 2°,
4°, and 8° at the array centre. Figures 5.3 are 64 x 64 pixel images of the
lower right cluster (pixel separations as in Figure 5.2), the imaged areas
are shown in Figure 5.1 In the given images two different temporal
transducer sampling rates/algorithms and three different receiver data SNR's
are used. 1.8° is the nominal angular resolution for the array aperture at
broadside; at +/-53° the resolution limit is 3.0° . It can be seen that noise
rejection increases with sampling rate, but the resolution is slightly
greater than classical theory predicts. The computation required to derive
each of the images is given in Mega-ops. These figures indicate the
performance required for real-time computation, which is probably beyond the
range of a single serial processor without special hardware, but not too
difficult using auxiliary processing elements for transverse filtering, etc.
Polar plots with a +95dB data SNR are illustrated in a companion papers.

5. FUTURE APPLICATIONS

The range of applications for the technique obviously depends on the

advantages which balance the processing cost. Improvement in image quality
should be given by dynamic focus in the near-field and the proper use of
image stabilization in the far-field. Stabilized images can be stacked to
increase image SNR, and inverting the smoothed result for the point-spread
function to increase angular resolution.

Using a T-shaped array pointing downwards, perhaps with separate

receiver arrays each side of the vessel's hull, a technically straightforward
bathymetric sonar can be implemented, in which only the region around the
sea-floor needs to be imaged and tracked. These are just a few of the
possibilities opened up by the digital technique.

6. DISCUSSION

The paper has described a versatile technique of digital imaging, which

has been validated with synthetic data. The computational load for real-time
imaging is heavy, but reachable with special hardware. The next stage of the
project is to implement such a processor, and test the design in the water.

ACKNOWLEDGEMENTS

This work is currently funded by the Marine Technology Directorate Ltd,

agents of the Science and Engineering Research Council, BP Petroleum
Development Ltd., Shell UK Exploration & Production, Department of Energy -
Offshore Sup~lies Office, Ministry of Defence - Admiralty Research
Establishment, Alliant Tech. Systems. Inc., Slingsby Eng. Ltd.

870
 I·'

Figure 5.1 Figure 5.2

Areas to be imaged QMF , 5 . 0 MOPS , OdB data SNR
f • = 58.182kHz

<, <-
./ /.;i ' . l _.J/'.f; t'

Figures 5.3 (a - d)

-5dB data SNR -10dB data SNR -5dB data SNR -10dB data SNR
QMF, 1 . 4 MOPS, DFT, 5.8 MOPS,
f s = 58 . 182kHz. f s = 400 . 0kHz.

871
REFERENCES

1. B. D. Van Veen and K. M. Buckley, "Beamforming: A Versatile Approach to

Spatial Filtering", IEEE ASSP Magazine, pp4-24, April 1988.
2. G. L. DeMuth, "Frequency Domain Beamforming Techniques", IEEE Conf. on
ASSP, Hartford, Conn., USA, pp713-715, May 1977.
3. R. G. Pridham and R. A. Mucci, "Digital Interpolation Beamforming for Low-
Pass and Bandpass Signals", Proc. of IEEE, Vol.67, pp904-919, June 1979.
4. L R Rabiner and B Gold, "Theory and Application of Digital Signal
Processing", Prentice-Hall Inc., Englewood Cliffs, New Jersey, USA (1975).
5. R. McHugh, G. A. Shippey, and J. G. Paul, "Digital Holographic Sonar
Imaging", lEE Institute of Acoustics, Int. Conf., Keele University, UK, April
15-19, 1990 ( in publication) .

872
 A SIMULATION STUDY OF 3D IMAGE GENERATION

USING FAN-BEAM SONARS

Rajendar Bahl* and John P.Powers#

*Centre for Applied Research in Electronics,Indian

Institute of Technology, New Delhi 110016, India

# Department of Electrical and Computer Engineering

Naval Postgraduate School, Monterey,CA 93943, USA

INTRODUCTION

Sector-scanning sonars are finding increasing use in a number

of undersea scenarios. These sonars perform rapid scanning of a given
sector by a vertical fan-beam having narrow horizontal beamwidth. 1 The
range resolution of these sonars is on the order of a few centimetres,
with maximum ranges of a few hundred metres depending on the frequency
of operation (l00 kHz - 2 MHz).2 This paper presents results on 3D
reconstruction of objects from their acoustic images. The acoustic
images used in this paper are obtained by simulation using a high-reso-
lution imaging sonar model. We also present some results on object
classification.

THE FAN-BEAM SONAR MODEL

A Hi:/h-Resolution Imaging Sonar Model (HIRISM) has been recently

developed that generates "realistic" acoustic images of 3D objects
against a backscattering sea-floor. The model's parameters are inter-
actively selected by the user. Fig. 1 shows simulated visual images
of a suspended sphere and a cylinder. Fig. 2 shows the simulated compo-
site B-scan acoustic image of the sphere that clearly shows the forma-
tion of the acoustic shadow on the sea-bottom.

(a) (b)

Fig. 1. Visual images. (a) Sphere, (b) Cylinder.

Acouslicalimaging, Volume 19
Edited by H. Ermert and H.-P. Hatjes, Plenum Press, New York 1992 873
 Fig.2. B-scan image of sphere suspended above
the sea-bottom.

EXTRACTION OF 3-D INFORMATION

This section discusses some approaches that provide valuable

information about the 3D structure of an object.

Silhouettes

Sonar operators develop object-identification skills based on

"shadows". We have developed a display format that provides a "true"
silhouette of the shadow-forming object as viewed from the sonar loca-
tion. The silhouette is generated by a deterministic non-linear trans-
formation of the range axis in the conventional B-scan image. The
transformation is given below:

MR = H / GR (1)

where,
MR is the modified range axis,
H is the sonar height, and
GR is the ground range.

Application of this transformation results in a new shadow whose

outline matches with the perspective outline of the object. An example
of such a transformation on the sphere f s image is shown in Fig. 3.
The potential of such a display technique both for operator-based
and machine-based object recognition is obvious.

3-d wire-frame images

The 2D B-scan images can also provide us information on the con-

fining volume of the visible portion of the object. This information
is not explicit but has to be derived from both the echo and shadow
extents of the object. The steps that need to be taken include seg-
mentation of the acoustic image into three regions, namely; object
echo, object shadow, and the bottom. The geometrical relationships
between the echo and shadow regions are then applied for obtaining
both vertical and depth information about the object.

874
 Fig. 3. Transformed image of Fig. 2. showing silhouette
of sphere.

Segmentation: We perform adaptive dual-thresholding of the B-

scan image on a range-cell basis to label the three regions. Those
pixels that exceed the upper threshold are labelled as ech%bject
points, while those that lie between this and the lower threshold
are labelled as bottom points. All other points, ie., those that
lie below the lower threshold are labelled as shadow points.

Confining volume: The shadow extent in a particular bearing

is translated into vertical angular extent for objects with distinct
echo and shadow regions as per equations:

pu Sin-1CH/Rmax) (2)

Sin-1(H/Rmin) (3)

where,

H is the sonar height,

Rmax is the far-range of the shadow, and
Rmin is the near-range of the shadow.

These angles are referenced below the horizon. The visible sur-
face of the object can be assumed to be confined within the range
and vertical extents as derived above. This confining volume may
be regarded as a stack (in bearing) of vertical circular sectors lying
within the minimum and maximum range radii of the echo.

The 3D information derived above is presented on a display in

a form suited to human interpretation, namely, a perspective wire-
frame image. This presentation is a fundamental break from the earlier
presentations of acoustic images from sector-scanning sonars. We
have developed a technique that can artificially view the wire-frame
of the confining volume by means of a hypothetical camera from various
vantage locations to heighten the depth perspective. Examples of
such images are shown in Fig. 4.

875
 (a) (b)
Fig. 4. Wire-frame images of a sphere's confining volume.
(a) Front view, (b) rotated view.

Shape from echo intensity

The confining volume as derived above represents the volumetric

limits of the object, and not its shape. In the case of sonar where
we have speckled images, we propose spatial superposition of acoustic
images from multi-frequency transmissions to reduce speckle and increase
reliability of echo-intensity based shape derivation.

Let us consider a facet of length W, vertical projection H, and

horizontal projection /j.R (range resolution of the sonar), presenting
an angle of incidence G with respect to a horizontal sonar beam. The
reflected signal amplitude is given as:

Sin(TI/A.2W.SinG)
Vr«.2.W. (4)
TI I A. 2 . W. SinG
When this facet is repeatedly excited with slightly different fre-
quencies, the facet's response varies as Sin (x) Ix. In the region of
small values of the parameter (n loX. 2W Sin 9 ), the average reflected
amplitude or echo is proportional to WI fj,R. Under the condition that
/j.R H, ie., the range cell is much smaller than the vertical extent of
the facet, the echo level is proportional to H/fj,R.

The echo intensity in a given bearing is summed over all range

cells. This represents the confining vertical angular limits of the
object in that bearing. We then distribute the angular extent in range
in proportion to the individual echo intensities, thus obtaining a pro-
file in range. This range profile represents the shape of the visible
portion of the object in the given bearing slice. Application of this
technique can be made in a straight-forward manner for certain poses
of objects, eg., when the objects present a symmetrical cross-section
to the sonar beams. Examples of wire-frame images for such cases are
shown in Figure 5.

OBJECT CLASSIFICATION

The segmented image provides information of the range extent of

the echo and its shadow. Some parameters that can be derived from this
information are; (i) thickness of the object in each bearing, (ii) near-
end outline, and (iii) far-end outline.

876
 (a) (b)
Fig. 5. Wire-frame images of echo-derived shapes.
(a) Sphere, (b) cylinder.

These parameters are used to distinguish between spheres and cylinders.

We have carried out a number of (simulated) experiments on object identifi-
cation based on thickness and far-end outline, for a variety of scenarios,
such as, (i) sphere at different heights above the bottom, including partial
submergence, and (ii) cylinder at various orientations with respect to
the sonar. Results (a sample given in Table 1) have been obtained that
indicate that it is possible to identify the objects in these cases with
a high degree of confidence.

CONCLUSION

This paper has attempted to present generation of 3D images from

2D sonar images. The acoustically-derived 3D information from a 2D sonar
has been used both for 3D wire-frame modeling as well as for object classi-
fication. Preliminary results show the feasibility of such an approach
for v i ew-independent automatic object classification.

Table 1. 2-stage automatic object classification results~<

No. Object scene Initial guess Final estimate

l. Sphere: 25 cm radius, Not sphere Sphere

centre at 100 cm above
bottom
2. as above, but centre Not sphere Sphere
at 10 cm above sea
bottom
3. Cylinder: 25 cm radius, Cylinder Cylinder
100 cm length, 60 0
orientation
4. as above, but 30 0 Cylinder Cylinder
orientation

*Sonar parameters used: Beamwidth = 1 0 , range cell 15 cm, wave-

length = 6 cm, distance of object = 400 cm.

877
Acknowledgement

This work was performed in part under the sponsorship of the National
Research Council, USA.

References

[1] R.B. Mitson, "Review of high-speed sector-scanning sonar and its applica-
tion to fisheries research," lEE Proc., Vol. 131, Part F, No.3,
pp.257-269,June 1984.
[2] J .L. Sutton, "Underwater Acoustic Imaging," Proc. of IEEE, Vol. 67 ,
No.4, pp. 554-566, April 1979.
[3] R.Bahl and J.P.Powers, "Computer Model of a High-resolution Imaging
Sonar," NPS Technical Report NPS62-90-011, Naval Postgraduate School,
Monterey, CA, June 1990.

878
 HIGH-RESOLUTION ARRAY PROCESSING EXPERIMENTS WITH

MULTI BEAM ECHO SOUNDER

Timo-Pekka Jantti

Hollming Ltd Electronics

Rauma, Finland

ABSTRACT

High-resolution array processing methods have been used to process

the data measured with the ECHOS XD multibeam echo sounder on a recent
voyage of the R/V Akademik Sergey Vavilov on the Atlantic Ocean. The first
results of this processing are presented.

I NTRODUCTI ON

Acoustic bathymetry is acoustic remote sensing to measure the depths

of water in oceans, seas, and lakes. Multibeam echo sounders are becoming
common equipment in acoustic bathymetric applications. A multibeam echo
sounder makes use of the crossed fan-beam technique and conventional
beamforming method i.e. delay-and-sum, phase-rotation or equivalent.

The crossed-fan beam technique has been used in multibeam echo

sounders over ten years in bathymetric applications. It consists of one
(or several) transmitted fan-beam(s), being wide perpendicular to vessel's
motion and narrow along vessel's motion, and several received fan-beams,
being narrow perpendicular to vessel's motion and wide along vessel's
motion, all beams formed simultaneously. The narrow received beams are
steered electronically, so as to cross the transmitted beam(s) in several
positions on the seabed, resulting to a sounded swath.

The number of received beams in current systems in operation is less

than 200, and the - 3 dB beamwidths are above 1°. The reason for these
modest values are partly technical, partly set by physical limitations. The
technical part is concerned with beamforming, which becomes bulky, when the
number of beams is increased, say beyond 100, and also with the available
space since the array dimensions become large when the beamwidths decrease,
say below 1°. The physical part is concerned with the resolving power of
the limited aperture and also with the coherence length of acoustic waves
in marine environment.

The aim of our research is to study the possibility to use high-

resolution array processing methods in the multibeam echo sounder for
bathymetric applications.

Acoustical Imaging. Volume 19

Edited by H. Ermert and H.-P. Hatjes, Plenum Ptess, New York 1992 879
THEORETICAL MODEL

We consider a linear array of N equally spaced elements. Element

of this array receives a signal xL(t) at time t [1]

X.(t) fde S(t-T.(e),e) + n.(t) L=1, ... ,N (1)

-L -L -L

where s(t,e) is a zero-mean ergodic Gaussian process and nL(t) is a

zero-mean white noise process in both space, i.e. L, and time t. No
restrictions are made on the correlation properties of the s(t,e) process
for different e, but in the following we assume the sources to be point
sources
H
sct, e) set, e) LO(e-e.)1
]=1
(2)

where o(e) is the Dirac-distribution.

The above formulation is used in the passive system analysis. Since

the multibeam echo sounder is an active system we can develop s(t,e) as

SCt-T .(e), e) Ht-T.(e))b(e) (3)

-L -L

where f(t) is the transmitted signal

jw t
e e O:st:sT
Ht) { o elsewhere
(4)

where a monocromatic pulse of length T and frequency we is assumed.

The bee) is a zero mean Gaussian process, usually termed as scattering
function. It's randomness is twofold: first, the scattreing process itself
is a random process, and second, the sea bed profile is modelled as a
sample of a stochastic process. As usual, also here it contains information
about transmitter's and receiving element's beam patterns and attenuation.

The delays TL(e), are wave propagation times from the transmitter to
the sea bed at e and back to the Lthreceiving element. Far-field
conditions are assumed, so

T .(e) + L·<l·sin(e) (5)

-L e

where T(e) is the common delay for all elements, d is the distance
between adjacent elements and e is the wave propagation speed. The T(e)
can be inverted to the sea bed profile according to the known or measured
wave propagation velocity profile e(z), where z is the depth.

This completes our discussion about the theoretical model for the
moment, but we will discuss it's validity later. Two most important
assumptions made, are the point source model (2) and the ergodicity of
the received signal s(t,e) in (1).

ARRAY PROCESSING METHODS

There is a wealth of review articles and excellent books on the

subject, see e.g. [2], so only a short review is given here.

880
 In the Conventional Beamformer, Capon's Maximum Likelihood Method
and Linear Prediction Method complex weights are sougth for each element
~ such, that certain conditions will be fullfilled.

Conventional Beamformer (CBF)

at(e) R aCe)
CBF (6)
w ~(e)
= -

Capon's Maximum Likelihood Method (CML)

min
w
subject to I~ ~(e)1
t
=1 (7)

1
w
CNL (8 )

Linear Prediction Method (LPM)

min wt R w subject to wtu (9)

w - -r
R- 1
=
U
1 LPI1 -r
w (10 )
at(e)ccta(e)
- --

where aCe) is an N-dimensional vector, whose elements are planewaves.

The complex weights form an N-dimensional vector w, and the signals x.(t)
in (1) form ~(t). Power is denoted by P and the-covariance matrix b~
t
~ = @{~~ }, with an inverse B- 1 • @{z} means the expectation of z. The
- T
unit vector u [0, ... ,0,1,0, ... ,0] has 1 at the rth position and
r
-1
zero elsewhere, ~ is a (rth) column of ~.

The MUltiple Signal Classification technique (MUSIC) and the Estimation

of Signal Parameters via Rotational Invariance Techniques (ESPRIT) use the
eigendecomposition of the covariance matrix to separate the signal and
noise subspaces. In MUSIC the intersections of the signal subspace and the
array manifold A(e) are the desired angles of arrival. In ESPRIT the need
for A(e) is avoided by dividing the array into two equal subarrays of
known separation. The corresponding signal subspaces are copies of each
other separated only by rotations, which correspond the angles of arrival.

MUSIC

o R (11 )

(12)

ESPRIT

(R
=xx
A. I)
~ =
e.
-~
= 0 o (13)

jnl1sin(e)/A
=>'0.( e (14)

881
where l is the identity, Ai are the eigenvalues and ~i the corresponding
eigenvectors, s.
-~
signal, and n.
-~
noise eigenvectors. ~2 is the noise
power, and ~n are matrices whose columns are the noise eigenvectors. ~xx

and R are the auto- and crosscovariance matrices and 0; the generalized
=xy ~

eigenvalues. 6 is the separation between the two subarrays.

As such, the eigendecomposition methods work only with non-coherent

signals. A method, called spatial processing, which divides the array
into s~~~rrays to remove the singularity of the signal covariance matrix
~ = g{~~ }, is adopted for coherent signals.

EXPERIMENTAL RESULTS

The EGHOS XD multibeam echo sounder system was used to gather the
data. A T = 3 ms pulse with a carrier of 15 kHz was transmitted to a beam
of dimension of 2°x 50° at -3 dB points, using an electric power of 4 kW,
corresponding to a source level of 226 dBMPa/m. The beam was tilted aside
about 30° from the vertical. The depth was about 5000 m, date 21.04.1990
and location 32° 08' N, 27° 00' E. The weather was calm, wind speed 13 m/s
and the ship was floating at a speed of 2 kn.

The 16 elements of the total of 57 of the EGHOS XD system's receIvIng

array were sampled simultaneously at an interval of 61.6 MS. Both real and
imaginary parts were sampled, imaginary parts taken 16.66 MS after real
parts. Signals were stored on mass memory together with ship's pitch and
roll. Also the sound velocity profile was measured and stored.

We have used the conventional beamformer as well as several high-

resolution beamforming methods to analyze the data. Fig, 1 shows a sample
of results of such processing.

The data for Fig. 1 is a 200 MS long sample, i.e. 3 snapshots, of

the signals impinging the receiving elements. The sampled covariance
matrices were averaged over these snapshots. The signal/noise was estimated
to be -3 dB. The CBF was implemented as a zero-padded 1024 point FFT. The
orders of both CML and LPM estimates were 8. In MUSIC and ESPRIT we used
spatial processing dividing the whole array to subarrays each containing
4 elements. The angle-of-arrival estimates, i.e. maxima, were found to be
CBF: -44~36, CML: -44~21, LPM: -45~47, MUSIC: -44~23 and ESPRIT: -42~08.

In Fig. 1 is shown P(S;t) for specified t in one ping .. The final

analysis to be presented elsewhere includes a set {P(S;t)} where t is a
paremeter. A set of such figures shows the pulse travelling on the ocean
floor [3]. A collection of such sets for subsequent pings gives us a map of
the sea bed.

DISCUSSION

The Cramer-Rao bound on the standard deviation is in this case about

~(8) ~ 1° [3]. Although not really a statistical measure, the estimates of
CBF, CML and MUSIC for the angle-of-arrival deviate from each other less
than the C-R bound. The LPM is known to have bias in it's estimates, and
the 1~3 deviation is still tolerable. In Fig. 1 the waviness in CML and
LPM is partly due to high order we used, part of it can be removed by
decreasing the order. In CBF it is due to normal leakage of the method. The
peaks at zero are either signal arriving from lower layers, or it is a
DC-level disturbance. The ESPRIT has the greatest deviation from the rest
and it was found to be the most sensitive, loosing the pulse sometimes.

882
 Fig. 1. pee) patterns. (A) Conventional Beamformer; (B) Capon's
Maximum Likelihood; (C) Linear Prediction Method;
(D) MUltiple Signal Classification technique (MUSIC).

All these methods have been shown to work well in simulations [2], so
we are actually testing the behaviour of these methods in real conditions,
but also, or even more so, the validity of our theoretical model.

The two critical assumptions were ergodicity and point sources. It is

obvious, that the process is not ergodic, not even stationary, but it is
believed, that the process changes so slowly, that during a short period of
sampling the snapshots, it can be considered to be a sample of an ergodic
process. In our earlier study on the Mediterranean with the same system,
we used a sampling interval of 5 MS. The depth was 2000 m, signal/noise
6-10 dB and the results comparable to recent ones [3]. Also it is obvious,
that the sea bed contains no point sources. It is, however believed, that
the area scattering the signals, behaves such, that the total contribution
is nearly that of a point source.

It is easy to imagine such cases where the above assumptions are not
valid. In the future we must study different situations, the influence of
bottom profile, material, roughness etc. on these assumptions. Also the
penetration into the sea bed and scattering from lower layers, and the
coherence length of waves in marine environment are important issues. The
development of new methods, which are more tolerant on slight deviations
from assumed conditions is also one of the goals of this research.

REFERENCES

1. W.J.Bangs, "Array Processing with Generalized Beam-Formers," Ph.D.

dissertation, Yale Univ., New Haven, Conn. (1972).
2. S.U.Pillai, "Array Signal Processing," Springer-Verlag,
Ber lin (1989).
3. r.-P.Jantti, "Trials and Experimental Results of the ECHOS XD
MUltibeam Echo Sounder," IEEE J.Ocean.Eng. Vol. 14, No.4, (1989).

883
A MULTIBEAM SONAR FOR FISHERY

P. Challande, P. Alais, L. Eljaafari, R. Person• and N. Diner •

Laboratoire de Mecanique Physique, CNRS URA 868, Universite

Paris 6, 2 Place de la gare de ceinture, F-78210 Saint-Cyr
* IFREMER, Centre de Brest, BP 70, F-29280 Plouzane

INTRODUCTION

We present here the development of a multibeam echosounder. Its spe-

cifications have been defined for fishing applications. The L.M.P. has
managed the preliminary studies and the realization of the prototype with
the support of IFREMER (Institut Fran9ais pour la Recherche et l'Exploi-
tation de la MER) which has also organized the sea trials on an oceano-
graphic ship.

We have chosen to display a real time tomographic image of the ver-

tical plane orthogonal with respect to the ship axis. The width ot the
sectorial image is 32 degrees. The lateral resolution is about 2 degrees
within the range which can vary from 50 to 800 meters. The main origina-
I i ty of this system compared to the former ones [1,2] is the use of a
numerical treatment for the focalisation and the beam forming.

THE ANTENNA

Transducers

We have developped a 1-3 composite piezoelectric material: rods of

piezoelectric ceramic (PZT-5) embedded in a polymer matrix which provides
convenient performances. The working frequency range (from 70 to 130 kHz)
is compatible with our application (depth lower than 1 km). Because of
the composite structure, the directivity pattern of the elementary trans-
ducers is very close to the theoretical cardinal sine of a piston-like
vibrating rectangular transducer [3]. Of course, the transducer includes
an adaptative front layer and an absorbing backing.

Antenna geometry

Different factors influence the antenna geometry in opposite ways.

The pitch p of the array must be low enough to avoid grating lobes in the
image (p < 1.5 ;\). On the other hand, the total aperture must large
enough (> 30 ;\) to achieve the resolution of about 2 degrees. The maximal
number of transducers is limited by technological and financial cons-
traints. We use a circular antenna to minimize the problems due to the
aperture of elementary transducers.

Acous/icallmaging, Volume 19
Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 885
 Fig 1 View of the antenna:
48 transducers (18 x 225 mm 2 ) on a circle of 1.1 m
radius.

Antenna specifications

The retained antenna is made of 48 transducers regularly spaced with

a pitch of 1 degree on a circle (radius: 1.1 meter). This means a width
of 18 mm for the transducers; in the orthogonal direction, the length is
225 mm (figure 1). In this plane, the directivity is about 5 degrees;
that is enough to ensure a good recovering between emission and reception
beams even with the pitch due to heavy swells.

BEAM FORMING

Aperture

The whole sectorial image is constructed from 16 preformed beams

spaced with a pitch of 2 degrees parallely processed. Each beam results
from the signals of 34 adjacent transducers that make the aperture grea-
ter than 30 A even for the lowest frequency. The number of active trans-
ducers decreases down to 20 for the most lateral beams.

Shading

To increase the simplicity of the system, we are not using the abi-
lity of a dynamical focusing at reception and we focus on infinity. The
deterioration is significative only in the area near the sounder
(z < 10 m) which is not in our field of interest. To improve the image
quality, it is more important to reduce the sidelobe level by weighting
with a right shading pattern. Within classical patterns [3], we have cho-
sen the parabolic one which leads to a sidelobe level of -20 dB. We have
also to take into account the temporal shading to minimize sidelobes. So,
our emission signal is modulated by a sine. The figure 2 gives an illus-
tration of this aspect. We have plotted the theoretical directivity

886
 dB
o

-20

-40

-30 -20 -10 o 10 20 30 degrees

Fig. 2 Theoretical directivity pattern of a preformed beam:

34 transducers on a 1.1 m radius circle;
pi tch : 1 0 ;
working frequency 100 kHz;
pulse duration : 64 oscillations;
focused on infinity; range 100 m;
parabolic spatial shading;
with (--) and without C··) temporal shading.
3-dB width: 1.70

IMAGE FORMATION

Since the image is constituted with 16 simultaneously processed

beams, the emission beam must be large enough to insonify the whole area
of the image. The system provides 5 ranges : 50, lOa, 200, 400 and 800 m.
The pulse duration increases with the range and varies from 64 to 512
oscillations.

Pixel formation

The first step in reception is a heterodyn detection which lowers

the frequency down to about 5 kHz. In each beam, the signals coming from
the transducers are digitalised, weighted with the shading coefficient,
delayed and added. The detection is done by measuring the maximum peak-
ot-peak value of the result wi thin the pixel. A mul tiplicating coeffi-
cient compensates the effects of attenuation and diffraction and a loga-
rithmic compression gives the value corresponding to the pixel. The pixel
size varies with the range to obtain 512 pixels in R-direction.

From the 16 pixels detected simultaneously at the same depth R, an

interpolation gives 64 pixels in the a-direction. The 16 beams are selec-
ted wi thin 96 preformed beams spread over 48 degrees with 0.5 degree
pitch. The choice is controlled at each depth R with the information
given by an inclinometer to compensate the effects of rolling with a pre-

Display

The 512 x 64 R-a image is then converted and written in a 256 x 512
X-V memory driven with a classical video standard (625 interlaced lines

887
 dB
o

-20

-40

-20 -10 o 10 20 degrees

Fig. 3 Comparison between theoretical (---) and experimental

(_0_) directivity patterns :
34 transducers on a 1.1 m radius circle;
pi tch : 1 0
;

working frequency 100 kHz;

pulse duration : 64 oscillations;
focused on infinity; range: 10 m;
parabolic spatial shading;
sinusoidal temporal shading

of 64 /-Is). The operator has the choice between usual display and zoom
which results from the duplication of lines and X pixels. The image is
displayed on a color monitor using false color encoding.

All these operations are real time performed. The refreshing rate is
only limited by the range. it varies from 10 at the lower range down to
0.5 at the higher one.

TESTS

Tests in tank

We have made the first tests in our tank in the L.M.P. We have con-
trolled the agreement between the theoretical predictions for beam direc-
tivity patterns and the experimental measures. The tank size has limited
the observation distance to 10 meters which is the lower depth of working
for the system. We can see on figure 3 the good agreement between the two
plots.

~ea trials

The antenna is now hull-mounted on the N.D. Thalassa, an

888
I.F.R.E.M.E.R. oceanographic vessel. The sonar has been tested during the
ETAP 90 sea trial in September 1990.

This trial has completed the interesting results obtained with our
analogic multibeam echosounder former developped [2]. They point out the
interest in using a multibeam sonar instead a mono beam one: good detec-
tion of targets (mainly sole fishes) close to the sea bottom with reduc-
tion of the dead zone; visibility of targets located out of the axis of
the ship. We obtain more information from the shoals (structure, shape
and size). Using this information and its variability is an interesting
way of research to classify and identify species.

We get also informations from the seabottom, in particular its topo-

graphy even for large depths. We have recorded images of "Gouf de Capbre-
ton" which is a marine canyon (about 800 meters deep) near the French
west coast. Studies are beginning to try to classify the bottom with this
signal. The other interest in observing the bottom is locating the obs-
tacles such as wrecks and obstructions which are dangerous for trawls.

CONCLUSION

The performances of this real time operating prototype described

here are rather interesting both in sensivity and in image quality. This
is a really convenient apparatus for fishermen either for detection (lo-
cating and eventually identifying shoals) or security (detection of
obstructions in fishing areas).

Several improvements are planned: other output than video for

signal processing, marks on display, higher range... It will be achieved
in the frame of an industrial development.

REFERENCES

1. P. Alais, P. Challande & L. Eljaafari : "Development of an underwater

frontal imaging sonar, concept of 3-D imaging s{:stem, " in Acoustical
Imaging 18, Plenum Press (to be published); 18 h International Sym-
posium on Acoustical Imaging, 18-20 September 1989, Santa-Barbara CA
(U.S.A).
2. P. Alais, P. Challande, L. Eljaafari, N. Diner & R. Person: "Develop-
pement d'un sonar multifaisceaux," Journal de Physique, 51, nOC2,
pp 321-32 (1990); l er Congres Fran<;ais d'Acoustique, 10-13 april
1990, Lyon (France).
3. P. Alais, P. Challande,C. Kammoun, B. Nouailhas & F. Pons: "A new
technique for real izing annular arrays or complex shaped transdu-
cers," in Acoustical Imaging 13, Plenum Press, pp 357-368 (1984);
13 th International Symposium on Acoustical Imaging, 26-28 October
1983, Minneapolis MI (USA).
4. P. Challande & P. Cervenka : "Theoretical influence of various parame-
ters on the behavior of a linear antenna," Journal d' Acoustique, 3,
1, pp 17-28 (1990).

889
 FOCUSING BEAMFORMING BY OPTICAL PROCESSORS FOR
UNDERWATER ACOUSTICAL IMAGING

Hubert Burggraf and Dirk Rathjen

Krupp Atlas Elektronik GmbH
Naval Systems, Systems Analysis Department
D-2800 Bremen 44, FRG

INTRODUCTION
Generally, for underwater acoustical imaging, you need an
acoustical source for illumination, a receiving antenna, and
extensive signal processing. The antenna has to have a large
aperture to achieve high resolution. It is a linear or planar
array, consisting of numerous individual hydrophones. The
signals received will normally be processed electronically to
form an image. From communications theory, this image proces-
sing of sonar signals is equivalent to beamforming of near-
field signals for all directions, i.e. evaluating the antenna
signals with regard to the range and bearing of their sources l •
For real time applications, very high data rates have to be
processed in parallel. This generally requires enormous
computer power.
In principle, image processing of light waves is very
simple. A converging lens collects light scattered by an
illuminated object, and an image is formed in a plane behind
the lens. This roughly-described camera set-up does image
processing in real time and in parallel 2 • This report discusses
fundamental experiments in which received acoustical signals in
the audio range are transformed into light information which is
processed optically. In particular, the optical focusing beam-
former described acts as an acoustical camera. The paper re-
ports on the functional principle, wave theory simulations, the
laboratory set-up, and measurement results. Finally, some
future aspects of implementation are discussed.

PRINCIPLE OF THE ACOUSTICAL CAMERA

The whole information of an object illuminated by
monochromatic light is coded in the amplitude and phase
distribution of the scattered light. If that light is collected
by a lens, a well focused image of the object is formed. From a
far-field object point, in particular, a plane wave will arrive
at the lens. It has a linear phase variation in the lens plane,
depending on the angle of incidence, and generates an image in

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HllIjes, Plenum Press, New York 1992 891
the focal plane. The distance between this image and the focal
point then provides a measure of the angle of incidence. A wave
scattered from a near-field object pOint is described by a
quadratic phase distribution, which depends on the range and
bearing of the source. This light is collected by the lens in
an image plane behind the focal plane. The distance of the
image plane from the focal plane is a measure of the range.
To use these properties of an optical lens for acoustical
imaging, the received narrow-band amplitude distribution on a
sonar antenna has to be transformed into an equivalent light
distribution and then processed optically. The basic structure
of an optically coherent processor for a four-sensor antenna is
shown in Fig. 1. A modulator array is illuminated by an ex-
panded laser beam. The array is fed with the signals received
by the underwater antenna. Each signal of the incoming acousti-
cal wavefront detected by a hydrophone is transformed into
light of corresponding amplitude and phase. Thus the received
acoustical amplitude and phase pattern is simulated as a highly
scaled-down light distribution, which is then processed by the
lens. The image is generated in a plane behind the lens. To see
the well focused image, a screen has to be moved to the right
position, i.e. properly focusing the acoustical camera. In its
image plane, the light distribution can be scanned by a detec-
tor array or a TV camera.
The important item for this optically coherent processor
is the transformation of signal phases into light phases for
each sensor of the antenna. This is carried out by single-
sideband (ssb) modulation of light with the received signals.
For radar signals, this ssb-modulation is performed
directly by an acousto-optical modulator (AOM)3. Such an AOM
consists of an acousto-optical medium (e.g. quartz glass) and a
transducer. The radio-frequency signal is fed into the transdu-
cer, generating an ultrasonic wave. This wave is fed into the
acousto-optical medium and causes periodical density fluctua-
tions. In optical terms, these density fluctuations constitute
a propagating refractive index grating, by which incident light
is diffracted. The amplitude and phase of the diffracted light
are determined by the amplitude and phase of the ultrasonic
grating and therefore by the amplitude and phase of the radar
signal.
Phase
Transformer
Array Detector
x Array

Lens Image Plane

Hydro-Acoustical Antenna

Fig. 1. Principle of the acoustical camera.

892
Contrary to radar signals, there are no modulators for low-fre-
quency audio signals performing ssb-modulation. With sonar
signals, only amplitude modulation of light can be achieved di-
rectly. For this purpose the AOM is electrically driven by a
high-frequency carrier, which is amplitude-modulated by the
sonar signal, thus generating an ultrasonic grating of varying
modulation depth. Synchronized with the audio signal, the dif-
fracted light is amplitude-modulated.
To perform ssb-modulation with sonar signals, we do
complex signal processing, using a phase shift method.
Technically, this modulation process for each sensor is
performed in an interferometric set-up, shown in Fig. 2.
Incoming light is split into two beams and is modulated
differently. Amplitude modulation of light by an AOM with the
in-phase signal is done in one path of the interferometer. In
the other path the phase-shifted light is modulated with the
quadrature signal. The beams are then superimposed, resulting
in ssb-modulated light. An interferometric set-up of this kind
has to be used for each hydrophone signal. The interferometers
for all sensor elements are arranged in an ssb-interferometer
array, sketched in Fig. 3 for a four-sensor array.

SIMULATIONS OF THE ACOUSTICAL CAMERA

In this optical processor, the amplitude and phase pattern
of the received hydro-acoustical wave is converted into a
highly-scaled down distribution of light amplitudes and light
phases, as if received by a light antenna. As the two opti-
cal/acoustical scale factors concerning wavelength and antenna
length differ so much, the optical transfer function of this
processor is expected to be highly distorted. It has been
ascertained by a complex simulation model, based on diffraction
theory. Some results are shown in Fig. 4. Synthetic data of an
approaching hydro-acoustical source, recei ved with a linear
antenna, are processed in this model. The light intensity
distributions behind the lens in a plane defined by the
modulator array and optical axis, are shown as contour plots.
The intensity patterns on the marked intersection lines are the
distributions in the image planes. If the source approaches
from the far field, the shifting of the image from the focal
plane characterizes the mode of operation of this optical
processor. You can also see that the beam pattern in the near-

Light
Signa l;
co. (w Ltl co. Int. <I-I

In -Ph • .e
S igna ls

Signal: cos Hh + fl, )

Fig. 2. Principle of the single- Fig. 3. Set-up of the inter-

sideband interferometer. ferometer array.

893
 a)
IldB
d/mm

1~·1
120 .5 10

b)

120.01

120.5 10

Fig. 4. Simulated intensity pattern of the acoustical camera

for a source in the a) far field and b) near field.

field case is deformed. In Fig. 5 the expected transfer

function is plotted. The positions of the images of sound
sources in four different ranges and in eleven different
directions are marked in Fig. Sa for an ideal acoustical camera
without image distortions and in Fig. 5b for the real set-up,
taking into account realistic scale factors. Here distortions
can be clearly seen.

MEASUREMENTS WITH THE ACOUSTICAL CAMERA

Measurements have been made with a laboratory set-up,
built of bulk elements. As an example, measured logarithmic
scaled intensity patterns in the image plane are shown in Fig.
6 for an acoustical source at broadside in different ranges

a) bl
Focal Plane Focal Plane
120.0 120.0

120.5 120.5

d/mm d/mm
" - - , , - - , ,------,,--.,.,-x/lJ.m ,,--.,.---.,.-,---,,---...,....- x/lJ.m
-16 -8 0 8 16 -16 -8 0 8 16

Fig. 5. Transfer function of a) an ideal acoustical camera

and b) the realistic camera set-up.

894
 R/A

' trh-=-
H;f't\ii '
I
1----
i\,- 0.84
I--~
f- !'4 l i t - - - - ..

1 1---
1----
----1-. .

V'\
Ih
j Ln.1!'. - 1.92
\ ;
-
...-
'r--
h 1(\ 3.96
,"" v v
"-
I
f\ A

~- ,- \~ - ,-' ~~ -- f--
i I-- - - -' f--

.. x

Fig. 6. Measured intensity pattern of the acoustical camera.

RIA. The patterns confirm the simulation results. Due to

distortions, near-field patterns are deformed. The position of
the image - the position of the main lobe - is still clearly
evident, whereas the minima and side lobes are blurred. The
transfer function of this processor has been measured and found
to be equivalent to the simulation results.

SUMMARY

This report demonstrates that narrow-band signals received

by hydro-acoustical antennas, can be optically processed to
form an image. In this processor, the signal distribution over
the antenna is converted into an equivalent, but highly scaled-
down light distribution, and then imaged by a lens. The funda-
mental study of this acoustical camera holds out promising pro-
spects. If in future, with advanced techniques of integrated
optics, it is possible to integrate this imaging principle into
an optical chip, processing of acoustical images in real time
in a tough environment will be done very easily.
Support by the Minister of Defense of the Federal Republic
of Germany is gratefully acknowledged.

REFERENCES

1. D. Rathjen and H. Burggraf, Vorrichtung zum Bestimmen von

Zieldaten (Device for the determination of target data),
European patent, patent applicant: Krupp Atlas Elektronik
GmbH (1989).
2. H. Burggraf and D. Rathjen, Beamforming on linear anten-
nas, in: "Underwater acoustic data processing", Y. T.
Chan, ed., Kluwer Academic Publ., Dordrecht (1989).

895
3. M. King, Fourier Optics and Radar Signal Processing, in:
"Applications of Optical Fourier Transforms", H. Stark,
ed., Academic Press, New York (1982).

896
 MODAL ANALYSIS OF SOUND FIELD IN DEEP SEA

Yu.A. Chepurin, V.V. Goncharov, and A.G. Voronovich

Institute of Oceanology
USSR Academy of Sciences
Moscow

This paper describes the experiment on measuring modal spectrum of

monochromatic sound field of the point source in open sea.
It is known (Brekhovskikh and Lysanov, 1982) that the field in the
layered media far enough from the source can be represented as a final sum
of normal modes. The number M of these modes is proportional to the
frequency of sound. Thus M complex ampl i tudes a, of the modes give
complete description of the field and this description is the more effec-
tive the lower is the frequency .
To determine aLit is principally sufficient to measure the sound
field at M different points using vertical array. It is obvious that for
proper operation this array should cover the most part of the oceanic wa-
veguide. Under the typical ocean conditions and for the frequencies of
the order of 100 Hz or lower the array length should amount to many hund-
reds of meters or even a few kilometers. In the open sea such an array
can't be usually placed strictly vertically. When space configuration of
the array should be taken into account we have the following set of li-
near equations for a~
M
p(xn,zn) = L aiui(zn)exp(i~ixn) n 1,2, ... , N (1)
i=l

Here Ui (z) corresponds to normal mode and ~i is the corresponding real

horizontal wavenumber; Zn is the depth and xn - horizontal coordinate of
the n-th receiver in the plane of sound propagation; p - is the acoustic
pressure.
One of the main difficulties practically arisen here is the necessi-
ty of rather accurate control of horizontal coordinates x., of the recei-
vers. In particular for 100 Hz sound (A =
15 m) xn should be known in a
meter accuracy.
Only a few publications concerning experiments on modal decomposition
of sound field are available. In particular, this was done in shallow sea
(En-Cen Lo et al. ,1983) and in Arctic (Young, 1987). In the both cases, ac-
cording to experimental conditions, the array was considered as strictly
vertical and its space configuration probably wasn't controlled.
In our case measurements were made in Norway sea wi th the help of
560-m long vertical array consisting of 29 equally spaced receivers. Its
structure was described in details in (Dremuchev et al., 1989, 1990).

Acoustical imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Ptess, New York 1992 897
 0.0
z 0.0

-0.5 ,~
~
-0.5

~
.~ ~

A
-- ~ ~ r-
~
B
-
:.-- :::;:.-
- -< -----
V--
iii
C
-1.0
<: r-c:
" r--- 17 --
?
-1.0
~V

-1.5

-2.0
-1.5

-2.0
--- ""'"
" .........
'"~
-3 -1 3 a 20 60 BO 100

Fig.l. The sound speed field, positions of the array and transmitter
(A,B,C) and profiles of 4 first modes at array location.

The array was set from the vessel and its space configuration was control-
led using som~ acoustical system. It is difficult to evaluate an accuracy
of the control in absolutp coordinates . We made this while retrieving the
position of the point source situated a few kilometers apart from the ar-
ray. Appropriate measurements demonstrated that relative position of the
receivers was determined in a 1m "accuracy. The transmitter and the
array were 27 km, 55 km and 105 km apart (points A, Band C correspon-
dingly). In all three cases the source was placed at the depth z=550 m and
produced cw-signal at f=105 Hz. The propagation conditions were signifi-
cantly inhomogeneous in horizontal direction; they are shown in Fig.1. To
calculate mode amplitudes a, from the experimentally determined complex
amplitudes Pn=p(xn,zn) the following value was minimized by means of some
iterative procedure:

M 2
D min L a.u. (z )expUi;.x ) I ( (2)
1 a i ~
lIn
1
1 n
I

where N=29 is the number of the rece i vers. The va 1 ue D 1 def ines the
mismatch between the experimentally measured field and its approximation
by the first M modes.
The results for point C are demonstrated in Fig.2. Arbitrarily scaled
intensities I,=la, 12 are shown by solid vertical lines for the first 11
modes. The dashed line near each continuous one corresponds to mode's in-
tensity resulting from adiabatic modes theory (AMT) (Brekhovskikh and Ly-
sanov, 1982). Eleven water-borne (weakly interacting with the bottom) mo-
des existed at array's location but only 4 of them had significant ampli-
tudes in experiment.
To control the results the following values were calculated also:

D (3)
2
i~L i ~ 1

898
 Imod

0.3

0.2

0.1

0.0
o 2 4 e 8 10
Fig.2. The mode's intensities determined experimentally (solid
lines) and calculated according to AMT (dashed lines).

D min (4)
3
(3
1=1 1=1

D2 shows relative intensity of modes of high numbers, D3 defines the

deviation of mode's intensities from predictions of AMT and L determines
the number of modes which were used to reconstruct source location (see
below). Basing on physical considerations we can anticipate small values
both for D2 and D 3 . Along with D1,1,~the following function was calculated

(5)

Here s,=St (x,z) is a complex amplitude of the i-th mode which is produced
at the array's location by the source placed at the point (x,z). This
complex value is in fact appropriately normalized field at the point x, z
calculated backward from the array with the help of AMT, at being taken as
ini tial modal ampl i tudes (matched - mode processing according to
(Young, 1990)). It is obvious that at real position of the source x=x o '
z=zo the value IKI should have maximum close to unity.
In Fig.3 the pictures of IKI are given for points e, B, A. Fig.4 de-
monstrates corresponding dependencies of the value

IK opt (x) I max IK(x,z)1

z
(6)

on horizontal distance x.
All quantities mentioned above are summarized in Table 1, where

IKmax I max IK (x) I max IK(x,z) I (7 )

x opt X,z

and xo~ , zo~ are the coordinates at which IKo~1 was achieved. The number
of modes chosen in (3), (5) was L = 18, L = 13 and L = 11 for points A, B,
e, respectively.

899
 Table 1

Real coord. A: xO=27.5km; z =550m B:xO=55km ; zO=550m C:X O=105 . 4km;zO=550m

0

D 0.43 0.37 0.16

1

D 0 . 40 0 . 37 0 . 08
2

D 0.24 0.10 0 . 15
3

/KmaJ 0 . 75 0 .88 0.84

z 580 m 570 m 490 m

opt
x
opt 24.5 km 54 . 5 km 109 . 5 km

:K: kM

0'8~
-0.2
0.6
-0.6
0.4 "
0.2 -1.0
-1.4
1 0
kM
Point C
:KI kM

0'8~
-0.2
0.6
-0.6
0.4
0.2 -1.0
-1.4
2 1 0
kM
Point B
IK: kM

0,.'
0.4
0.2
-0.2
-0 .6
-1.0
0.0 -1.4
kM
Point A
Fig.3 . /K(x, z) / for points C, B, A (black corresponds to
greater value).

900
 0.8 -l======t=======+=======t=======+=====~I=~;::::::=t======i\=I.
0.7 +t-br-ft--+-,Ad'\+~--t"'r---t++-¥-J'l+7""r,,--tt-P',\--~-+----,rlY~;:--t---'r--t-tt

~B~~rn~~~--¥-~~TL-L-+-~~-~P--r--r~~~~~r,~;T~~

D.5+-----4-----r----+---~_+-_4~¥_4_L-~-~~---_+

0.4 +-----4-----r----+-----+-.....;)J--4_---+---+----_+
0.3 " ' - - - - - + - - - - - r - - - - + - - - - - + - - - - + - - . . . . L . . - - + - - - - - +
~ II 110 110
2
f.\ A " 1 0

0.8
0.7
1\ " J\ " I \ Ii \
\ (' , \
I \ ~I\ f\ 1\ 1\
0.6
~ (' \ rl I I \ I \ 1"\ I \. ,,/ \ J \
0.5
1.1 \ I \ J _\ I I \ /
v
t ,\ J \1 \ (
0.4
If \/ V v , 'fl ""'" \V""J v ""vI
0.3
2 4- 6 ~ 1 0 1 0 1 Il'.

0.7

r' ' \A1(,

IA VIA AA /I ft
I yt 1\11 ,1\
f\

AI
0.6
V\ It)' ~ I\A I~\ f)/ ~ I\ ItA
0.5

0.4
.I
'V'
"'JVV VV 'VV 'V' V '\I\f
y VV'I'V
I
0.3
20 60 80 100 120 14()

Fig.4. IKopt (x)1 as a function of horizontal distance x from the array.

Note that for all points x opT , zop~ (see Table 1) are found not far
away from the real position of the source.
Thus the utilized procedure of modal analysis gives reasonable re-
sults. The experiment demonstrates feasibility of determination of modal
spectrum of sound field under the condi tions of the open sea when the
space configuration of the vertical array should be taken into account.

REFERENCES

Brekhovskikh L., Lysanov Yu. "Fundamentals of Ocean Acoustics" (Springer,

Berlin, 1982)
Dremuchev S.A., Selivanov V.G., Chepurin Yu.A. "Measurement of acoustic
field structure by vertical array", Oceanology, 30, 866-871
(1990)
Dremuchev S.A. et al. "Multichannel receiving array with shape measurement
equipment", Oceanology, 29, 326-328 (1989)
En-Cen Lo, Ji-Xun Zhou, Er-Chang Shang. "Normal mode filtering in shallow
water", J. Acoust.Soc. Am. 74, 1833-1836 (1983)
Young T. C. "A method of ange and depth estimation by modal
decomposition", J.Acoust.Soc.Am. 82, 1736-1745 (1987)
Young T.C. "Effectiveness of mode filtering: A comparison of matched-
field and matched-mode processing" J.Acoust.Soc.Am. 87,
2072-2084 (1990)

901
 3-D HIGH RESOLUTION SONAR IMAGING

O. George, N. Rajpal, R. Bahl, T.B. Rao and V. Natrajan

Centre for Applied Research in Electronics
(Signal Processing Group)
Indian Institute of Technology, Delhi
New Delhi, India

INTRODUCTION

High Resolution Sonars have been widely used for imaging applica-
tions in a variety of areas like sea-bottom profiling, fish-finding,
under-sea pipeline laying etc. The main advantage of using acoustic
sensors over optical sensors for imaging applications is the capability
for attaining relatively longer ranges, more so in turbid waters.

In this paper we present a computer model for a High Resolution

3-d Imaging Sonar used for imaging objects (THRISM) and algorithms to com-
pute the orientation and the extent of objects from the 3-d High Resolution
sonar data. Bahl & Powers l had earlier developed a computer model for
2-d High Resolution Sonar that generated acoustic images in a B-scan
format (bearing verses range). The new model being proposed provides
3-d acoustic images (bearing, elevation and range). Some of the features
incorporated are the back face removal of 3-d objects, sonar platform
dynamics, relative motion between the sonar and the target for animation,
and object model rotation. The visible and the acoustically-derived
images are presented on 8-plane graphic display, using GMR 3-d routines.

Though the typical resolution available from sonars is poor and

the data acquired is sparse and speckled, it is, nevertheless, sufficient
to compute the orientation and the extent of the objects. The algorithms
for computation of the orientation and the extent of the objects from
their 3-d sonar data have been tested on a digital signal processor
ADSP-2100 simulator. The sonar data for testing these algorithms is
generated from the above sonar model (THRISM).

1. APPROACH

The earlier model is implemented on an IBM PC-AT in Microsoft FORTRAN

4.01 language. We intended THRISM to enable a user to build a wide
variety of applications simply and quickly. Thus the model must be
highly flexible, modular and portable. To help achieve these attributes,
the principles of modular programming in C language are used. The current
program runs on DOS, Ageis, Unix computer system and the 3-d images
generated are displayed on an Apollo Nexus 3500 system. The computer
model interacts with the user for setting up various options and parameters

Acousticallmaging, Volume 19
Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 903
 DYNAMIC PERSPECTIVE
OBJECT I---
MODELING f--- SCENARIO I-- IMAGE
SET-UP GENERATION

1
3D DATA
GENERATION - SONAR
MODELING - ACOUSTIC
IMAGE
DISPLAY
PERSPECTIVE
IMAGE
DISPLAY

Fig. 2.1 THRISM BLOCK DIAGRM4

for the imaging scenario. Fig. 2.1 is the block diagram of THRISM and
the following sections briefly discuss the methodology adopted in the
simulation software.

2.1 The Object Model

The object is modeled as a densely packed (with respect to the wave-

length) surface of point scatterers. In this study we have modeled cylin-
ders, spheres, rectangular bar and cone. Each of these basic shapes
can be individually rotated and translated and combined to form composite
objects. The composite object can then be arbitrarily oriented in the
horizontal and vertical planes for presenting various attitudes towards
the Sonar. The object can be positioned at any depth below the Sonar,
or on the sea bottom. In addition to the formation of the surface co-
ordinates of the target we compute the surface normals which are used
to generate the visible co-ordinates of the object.

2.2 Dynamic Scenario

The next step is to set up the imaging scenario based around one
of the objects generated by the object model. The inputs to this program
module are
* sonar and the object location and orientation above the sea bottom,
* relative speed between the Sonar and the object,
-!~ the rate of turn of the sonar platform,
-!~ number of frames required, and
-!~ snapshot interval.

For animating a dynamic scenario we store the entire surface co-ordinates

of the object and for each snapshot of the changing scenario we compute
the visible co-ordinates for visual and acoustic image display.

2.3 Perspective Visual Image

A perspective image as would be perceived by an optical camera at

the Sonar location is generated by the method of range shading. The
visual image is generated by the principle of perspective projection
using a pin-hole camera at the Sonar location. Sample images for a cone
and a composite object suspended above the bottom are shown in Fig.2.2.

Also the Sonar platform dynamics have been modeled and the perspective
image gives a realistic picture as seen by a camera tilted laterally
(roll) or tilted up/down (pitch) or a combination of the above two motion.
Fig.2.3 shows the effect of platform dynamics.

904
 (a) (b)

Fig.2.2 Sample visual perspective images of suspended objects.

(a) Cone with radius of 40 cm, length = 120 cm.
(b) Composite object:(a cylinder and a cone) cylinder
with radius 50 cm, length = 80 cm and cone with radius
50 cm, length=lOO cm (Height of object center above
bottom =300cm, horizontal distance from sonar =200 cm,
sonar height =300 cm)

Fig.2.3 Sample visual perspective images of the composite object

(Fig.2.2b) tilted (roll) by 8 0 .

2.4 3-D Data Generation for Imaging

The earlier model generated visible co-ordinates of the object by

perspective imaging which led to a few constraints. Care had to be taken
while formulating the imaging scenario that the maximum range of the
objects visible extent did not exceed 635 units to prevent underflow
in the perspective imaging equations used. The other constraints were
the distance of the image plane from the origin has to be carefully chosen
to avoid over-resolution of the surface point co-ordinates of the object
at near ranges. This over-resolution will lead to recording of the normallY
hidden far-side co-ordinates of the object through the near-end surface

905
"perforations" while generating the visible co-ordinates of the 3-d
objects for acoustic imaging. Also the visible co-ordinates are sparse
as each point in the image plane represents a surface area on the object.

In order to precisely model all the visible co-ordinates of the

object as point scatterers (separated by A/2 distance) and to avoid
the problem of including back surface co-ordinates we remove backsurface
points using surface normals which are computed during object modeling.
The surface normal information is also being used to find the amount
of reflection from the visible co-ordinates depending on its orientation
towards the sonar.

2.5 The Sonar Model

The Sonar is modeled as a typical 3-d High Resolution sector-scanning

sonar with the following programmable parameters
l~ receiver beamwidth (bearing and elevation)
* range resolution, and
l~ wavelength.
The program takes the visible object co-ordinates/voxels and their orien-
tations as primary inputs for developing the acoustic images. The sonar
parameters are built into the model for a fairly comprehensive simulation.
The transmitter is presumed to uniformly illuminate a certain azimuth
sector which is scanned by pencil beams of the receiver. The return
signal is assumed to be processed in a receiver that compensates for
the spreading and absorption losses occuring in the water. The program
calculates the complex signal return from each visible voxel of the
object by performing a running sum of individual signals contributed
by the object voxels within the range-bearing-elevation resolution cell
of the Sonar. After all voxels are accounted for, the program generates
3-d B-scan acoustic image which paints range, bearing and elevation
as rectangular co-ordinates. The acoustic image is formed by computing
the (scalar) magnitude of the summed signals for each range-bearing-
elevation cell. Fig.2.4 a and b are the sample 3-d B-scan acoustic
images for the object scenario shown in Fig. 2.2 a and b respectivily.
The images are formed from a single acoustic pulsed transmission with
the parameters mentioned in the caption of Fig. 2.4. The spreading
and the absorption losses for the individual scatterers within the same
resolution cell are considered to be equal. In addition, we have assumed
that the sonar performs gain compensation for these losses over the
entire range.

(a) Cone (as in 2.2a) (b) Composite Object(as in 2.2b)

Fig. 2.4 Sample 3-d B-scan object echo images (Range resolu-
tion = 10 cm, bearing resolution = 2.5°, elevation
resolution = 2.5°, wavelength = 2 cm)

906
 2.6 3-D Acoustic Images

The object echo from every 3-d resolution cell is computed by cohe-
rently adding all the returns from object voxels lying in that particular
resolution cell. This information is displayed on graphic display in
the conventional "range vs bearing vs elevation" format referred to
as "3d B-scan".

3. COMPUTATION OF ORIENTATION AND THE EXTENT

In this section, algorithms for determining object orientation

and extent from 3-d High Resolution Sonar data are discussed. The algorithm
for finding out the orientation is based on computing a 3-d dispersion
matrix from the set of data points and computing its eigen values and
eigen vectors.

3.1 Algorithm for computing orientation

Let x., y. and z. be the 3-d co-ordinates of a data point ~

(l~ i ~ N) l.whefe N is1. the number of returns from the 3-d High Resolfrtion
Sonar.

We first find the mean x., y. and z. of the x, y, z co-ordinates

of all 3-d data points and then ~valJate the1.dispersion (V ,V etc.) of
each of these data points from the mean value. We constru2£ tfi~ dispersion
matrix as:

V V V
xx xy xz
M V

V
xy

xz
V

V
yy

yz
V

V
yz

zz
I
The eigen vector corresponding to the dominant eigen value of the
matrix M gives the axis of interia and hence the orientation of the
object. The second algorithm for finding axis of inertia is based on
finding its components in three orthogonal planes from projection of
data points on to these planes. The details of these algorithms are
given in [2].

3.2 Algorithm for computing extent

The directional cosines(l,m,n) of the axis of inertia and the estimated

position of centre of the object P (x. ,Y.,z.), are computed from the pre-
. . 01.1.1...
V1.0US algor1.thms. Let P. (~'Yi' zi) be a pOl.nt on the object. The length
of projection of line P P~ on the axis of inertia is given by:
o 1.
r. l(x.-x.)+m(y.-Y.)+n(z.-z.)
1. 1.1. 1.1. 1.1.
The algorithm computes projections of all the data points and finds
the maxima on either side of the centre P , along the axis of inertia. The
distance between these two maxima gives tRe extent of the object.

3.3 Results

The algorithms have been tested on ADSP-2100 simulator. Satisfactory

results have been obtained for a variety of orientations of objects
and are detailed in [2]. A computation time of less than 10 msecs has
been achieved for implementing these algorithms for 1000 data points.

907
4. CONCLUSIONS

The computer model, in addition to being a simulator of the acoustic

imaging process, is also a tool for the design of the sonar itself.
It could be used for carrying out developmental studies for 3-d reconstruc-
tion of objects by means of a sector scanning sonar.

REFERENCES

1. R.Bahl and J.P.Powers, Technical Report No: NPS 62-90-DM Naval

Postgraduate School, Monterey, CA 93943.

2. N.Rajpal, R.Bahl and T.B.Rao, Technical Report, CARE, lIT, Delhi,

New Delhi, Dec. 1988.

908
 RESOLUTION IMPROVEMENT IN SONAR USING DECONVOLUTION FILTERING

Andrzej Dyka and Marek Moszynski

Technical University of Gdansk

Faculty of Electronics
80-952 Gdansk, Poland

INTRODUCTION

A problem of considerable importance in numerous areas of science and

technology is an unambiguous resolution of multiple overlapping pulses. Such
a probem appears also in sonar systems where the echogram is blurred with the
sounding pulse. This causes that the performance of a sonar system defined by
two of its performance indices, namely resolution in range and detectability
of targets in reverberation, is poor. The most straightforward solution to
this problem is to use deconvolution filtering, which allows for the improve-
ment of both of the said performance indices. However, a certain price
expressed by the signal-to-noise ratio degradation is to be paid for this
improvement. The goal of this paper is to present simulation results on a
synthetic sonar signal, which show the resolution improvement capability of
the Least Squares Deconvolution Filter (LSDF) and the combination of LSDF and
D Filteri the latter being close to the Chebyshev Minimax Deconvolution
Filter1, ,3.

FORMULATION OF THE PROBLEM

In this approach we consider the hydroacoustic channel to be a linear

system and we assume that during the propagation time of the sounding pulse
and return this system is time invariant, and therefore falls into the class
of Linear Time Invariant (LTI) systems, which are described by the impulse
response k(t), Fig. 1. This system is input by the known signal set) - the

set) HYDROACOUSTIC yet) DECONVOLUTION k(t)

~ CHANNEL FILTER
k(t) h(t)

Fig. 1. Definition of a deconvolution filter

transmitted single frequency rectangular pulse modified by the resonant pro-

perties of a transmitting transducer and the transfer function of the, as a
rule, matched receiver. The output of the hydroacoustic channel is signal
y(t), which conveys information about the unknown impulse response k(t) blur-
red with the input signal set) and in practice ineviteably contamined with

Acoustical Imaging. Volume 19

Edited by H. Ennert and H.-P. HaIjes. Plenum Press. New York 1992 909
noise. Our problem is then as follows: given set) and y(t), determine k(t).
In this stage of our analysis we assume that yet) is noise-free. Determina-
tion of k(t) is a typical inverse problem but we impose a restriction that
the solution be given in a form of an LTI, FIR filter called the deconvolu-
tion filter, described by the impulse response h(t).

One can find that the impulse response h(t) of a deconvolution filter is
given implicite by the following equation,

set) * h(t) = 8(t) (1)

where 8(t) is Dirac's delta distribution, the asterisk denotes convolution.

The deconvolution filter given by definition (1) is not feasible and

therefore the said definition is to be reformulated in such a way as to make
it realistic. For an FIR-type impulse response such a reformulation in the
discrete time domain consists in substituting single pulse in the r.h.s. of
eqn. (1) with a more realistic signal {g(n)} given as
q

{g(n)} 8(n)+ ~ g(i)·8(n-i) (2)

i=-p
i*O

where p, q, are arbitrary natural numbers, and 8(n) is the Kronecker's delta.

In eqn. (2) the element 8(n) is referred to as the mainlobe, and is the
solution sought, while the remaining p+q samples are called side lobes. The
objective here is to design a deconvolution filter in such a way that side-
lobes, which represent the inevitable approximation error are at the possibly
lowest level , relative to the mainlobe amplitude. Basically, the measure of
the approximation error in linear spaces is defined using the L family of
norms. In practical applications the norm L is used most commonly~ as it
provides analytical solution to the approxi~ation problem, which requires
solving the linear system of equtions only. Such a solution is usually termed
the Least Squares solution, and therefore we shall refer to the deconvolution
filter obtained by minimizing the norm in the space L as to the Least
Squares Deconvolution Filter (LSDF).On the other hand 2 the L norm does not
secure that the maximum sidelobe amplitude attains minimum 2 with respect to
the mainlobe amplitude. In hydroacoustics applications the occurence of
side lobes may indicate appearance of nonexistent targets, and cause false
alarms. In order to minimize maximum sidelobe amplitude the Chebyshev maximal
norm should be used. This however, is not a trivial problem for which an ana-
lytical solution in general does not exist. It has been proved that for a
certain class of signals the D filter yields an exact Chebyshev minimax
solution, while for other signals it provides a solution being close to the
Chebyshev solution 1 ,2, 3. Unfortunately, the D filter is an "optimum" only for
such input signals for which the the mainlobe amplitude is larger than the
sum of sidelobe amplitudes (absolute values). This is a severe limitation,
and most signals in practice, including sonar returns, do not satisfy it.
Despite this limitation we examine the performance of the D filter as applied
to a sonar return, (being aware that this js no more an "optimum" filter) and
compare its performance with the LSDF. Direct application of the D filter to
sonar returns yields a poor performance, and therefore one should use a
"short" LSDF followed by the D filter. The "short" LSDF is to lower the side-
lobe level and then the D filter is to scatter the sidelobes on both sides of
the mainlobe as uniformly as possible. Therefore, we shall examine and
compare two filters, namely the LSDF and the combination of "short" LSDF
followed by the D filter, which we briefly denote LSDF+D.

910
SIMULATION RESULTS

In order to verify the usefulness of both the LSDF and LSDF+D in ap-
plication to a sonar system a signal {sen)} was simulated under the following
assumptions:

1.The electrical impulse on the terminals of transmitting transducer

("ping"), has 5 cycles of the sounding frequency.

2.The transmitting transducer Q = 5.

3.The receiver is represented by the matched filter.

Under these assumptions the discrete function {s(n)}, which is the

counterpart of the analog set) in (1) has the form shown in Fig. 2. It can be
viewed as an echo from a single point target in a noise-free environment.

1.-----------.-.-------------,

0.5

o
-0.5

-1 '---------------'---------------'
en]
o 50 100

Fig. 2. Echo from a single point target in a noise-free environment

The above signal considered as {sen)} was used to compute both the LSDF and
LSDF+D, (D filter of the first order) of varying length and their performance
indices, that is the Least Squares Error (E ), Chebyshev Minimax Error,
(E. ), and the Signal-to-Noise Ratio, (SNR). 2
lnf

Least Square Error (E2)

0.2~----~,------,-,---=~~~~~~~~~---,--------,-------~

0.15

0.1

0.05

O L - - - - - - - L - - - - - - - L -______L -____~L__ _ _ _~_ _ _ _ _ _ _ _L __ _ _ _~

o 50 100 150 200 250 300 350
en]
Fig. 3. Least Square Error for LSDF and LSDF+D vs. filter length

911
0.15

0.1

0.05
OL-______- L______ ~ ________L __ _ _ _ _ _ ~ _ _ _ _ _ __ L_ _ _ _ _ _ _ _ ~ _ _ _ __ _ _

o 50 100 150 200 250 300 350

En]
Fig. 4. Chebyshev Minimax Error for LSDF and LSDF+D vs. filter length

a
1 ,

0.5

0.5 - I .- o

-0.5

o , i
-1L-------~--------~------~
o 20 40 60 o 50 100 150

c,-__, -______,
l , -__- ,__- ,_____ ,
d
1 ,

0.5 0.5 r ... -

o I ~

20 40 60 o 20 40 60

e,--,,,_______
l , -______- ,_____ f

0.5

20 40 60 20 40 60
Fig 5. Four overlapping returns

a - position of four targets,

b - return reflected from targets,
c - targets resolved by LSDF (noise free),
d - targets resolved by LSDF+D (noise free),
e - targets resolved by LSDF (SNR=50 dB),
f - targets resolved by LSDF+D (SNR=50 dB)

912
 _40r-________,-________-,~O_u~t~p~u~t_S~iTg~n~a~1~--t~o~-~NTo~i~se~R~a~tl~·o~----------,_--------,

-50
[dB]

-60

-70L-------~------~--------L-------~-------L------~--------~
o 50 100 150 200 250 300 350
[n]
Fig. 6. Signal-to-Noise Ratio for LSDF and LSDF+D vs filter length

Consequently, four targets with different amplitudes and positions were

determined in a random way (see Fig. 6a). Their positions were determined in
such a way that the echoes from all targets overlapped (see Fig. 6b). They
were resolved using both LSDF (see Fig. 6c) and LSDF+D (see Fig. 6d) of the
length 67.

The Signal-to-Noise Ratio is normalized with respect to matched filter-

it takes the value of 0 dB for matched filter only and gives a negative
number of dBs for any other filter. It represents the "loss" in using a given
filter instead of the matched filter.
As can be seen in Fig. Sc and Sd in the case of the LSDF+D the sidelobes
level is lower than in the case of LSDF only.

CONCLUSIONS

The results here presented allow for drawing the following conclusions.

1. The LSDF assures lower sidelobes level than LSDF+D, (see Fig. 3).
This, however need not necessarily result in a inferior performance of
LSDF+D in a multiple target environment. (see Fig.S c, d).

2. Signal-to-noise ratio is superior for the LSDF+D, (Fig. 6).

3. The requirement for the low value of the approximation error and high
output S/N ratio are conflicting in the case of both filters. These two
figures represent a classical example of the tradeoff between
performance indices.

4. In order to obtain a succesful performance the input S/N ratio should be

appropriately high for both filters (see Fig. 5 e, f)

REFERENCES

1. A. Dyka, Near Minimax Algorithm of Deconvolution Filtering, Electronics

Letters, Vol. 24, No.9, 561:562, (1988).
2. A. Dyka, H. Ugowski, A Noniterative Algorithm for Deconvolution-Inverse
Filtering Using the Chebyshev Minimax Norm for the Approximation Error.
Part I: Theory, COMPEL, Vol. 7, No.4, 179:188, (1988).
3. A. Dyka, H. Ugowski, A Noniterative Algorithm for Deconvolution-Inverse
Filtering Using the Chebyshev Minimax Norm for the Approximation Error.
Part I: Performance, COMPEL, Vol. 8, No.1, 179: 188, (1988).

913
 DIRECTIVITY PATTERN OF ACTIVE SONARS WITH WIDEBAND SIGNALS

Jacek Marszal

Telecommunication Institute
Technical University of Gdansk
P.O. Box 612, 80-952 Gdansk, Poland

INTRODUCTION

Directivit~ patterns of active sonars are usually calculated for narrow-

band signals~,2, There are also known methods which define a directivity
patterns for wideband signals, using correlation analysis or impulse response
approach~,5 There are no publications which describe the influence of a
sounding signal bandwidth on directivity pattern. The main contribution of
the paper is to analyse this influence.

SIGNAL ANALYSIS

Consider the angular response of the planar transducer to the echo plane
wave signal from an object in the far field. Let u be the surface of the
planar transducer aligned with the XV plane. The direction of the plane wave
arrival is (a,~). Denote signal at the origin as set). The signal s(t,x,y) at
any other point (x,y) is given as:

s(t,x,y) = s(t + xsinacos~

c + YSinacsin~) (1)

The transducer output signal may therefore be written as:

so(t,a,~) = II f(X,y)S(t + XSin~cos~ + YSin~Sin~)dXdY (2)

u
where f(x,y) is the distribution of the transducer sensitivity - the aperture
function, which can be a function of time delays in the transducer (or in a
beamformer following a multielement transducer). Substitute the signal set)
in (2) by the equivalent expression containing its frequency spectrum sew).
After rearranging, we have:
co

s (t,a,l{»
o
2;IS(W)[IIf(X,y)exp(jWXSi~aCOS~ + jWYSi~aCOS~)dXdYlejwtdw (3)

-co u

Let: u = _ wsinacos~
and u
wsinasin~
(4)
x c y c

Acoustical Imaging, Volume 19

Edited by H. Ennert and H.-P. HaIjes, Plenum Press, New York 1992 915
where u and u are universal variables commonly used for describing direc-
tivity Xpatterns~ Equation (3) therefore becomes:
co

so(t,e,~) 1
= 2n I Sew) [ II f(x,y)e -j (xux 1
+ yuy ) dxdy e jwt dw
(5)
-co cr

The planar integral in (5) has the form of the Fourier transform of the
aperture function from the x,y domain to the u,u domain and for a single
frequency wave it turns out to be the well kn~wnYnarrowband directivity
pattern function. Let ~ {.} be the sign of this transform and ~{.} of the
Fourier transform from crthe time domain to the frequency domain. If one
denotes:
~cr{f(X,Y)} = F(ux ,uy ) (6)

then the transducer output signal may be written as:

or: s (t,e,~) = set) * f(t,e,~) (7)

o

where f(t,e,~) is the response of the transducer to the pulse plane wave:

f(t,e,~) = ~-l{F(Ux'Uy)} (8)

The frequency spectrum of the output signal is given by:

S
o
(w,e,~) = S(w)F(ux ,uy ) (9)

Formulas (7) and (9) describe the signal and its frequency spectrum at
the transducer output (also for the multielement transducer with the beam-
former). In the time domain the signal at the transducer output is equal to
the convolution of the echo wave signal and the transducer response to the
pulse plane wave. The output signal frequency spectrum is equal to the product
of the echo wave frequency spectrum and the transducer (or in a general case
spatio-temporal processor) frequency transfer function. This function is the
time to frequency Fourier transform of the transducer response to the pulse
plane wave (8) and on the other hand it is the planar Fourier transform of
the aperture function (6). For a single frequency echo wave signal it is the
well known narrowband directivity pattern function. Particularly for the
hydrophone discrete line array we have the following:
N-l
sin(NwT/2)
f(t,e) =~ o(t-nT) and FCw, e)
sin(wT/2)
(10)

n=O

Where T describes the total - spatial and electrical - time delay between
nearest transducer elements and u = WT.

DIRECTIVITY PATTERNS

The directivity pattern function b(e,~) for wideband signals can be

defined for the direction (e,~) of the plane wave arrival as the ratio of a
physical quantity of the signal at the transducer output to its value for di-
rection (e ,~ ). This quantity could be: the energy, the peak or RMS value of
the outputOsi~nal. The echo signal shape in active systems is known a priori.
For such systems the "matched directivity pattern" is recommended. It could
be defined similarly as above where the physical quantity would be the peak
signal value at the output of the matched filter following the output of the

916
spatio-temporal processor. The impulse response of a matched filter equals
h(t) = s(-t). Therefore the matched directivity pattern could be defined as:

maxt[lso(t,a,</» * S(-tlIJ
b (a, </» (11 )
m

It should be pointed out that such a directivity pattern is a reasonable

definition only for a receiving directivity pattern case. It can be proved
that for a single frequency signal the peak, RMS and matched directivity pat-
terns are equal and the energy directivity pattern is equal to their squares?
A number of directivity patterns of the discrete line array of hydro-
phones for wideband signals have been computed and plotted by using formulas
presented above. The families of "matched directivity patterns" for signals
with a rectangular frequency spectrum for 4 and 16 element arrays are shown
in Fig. 1. Such families for short "ping" signals are presented in Fig. 2.
As can be seen in Fig. 1 and 2, an increase in signal bandwidth, causes a
decrease of the grating lobe level (the maximum of the first grating lobe is
for u = 2n). The higher the number of array elements the stronger is such a
decrease. It can be proved that this decrease occurs for all directivity
pattern definitions described above, however the largest decrease can be
observed for the "matched directivity pattern,,~,7
The families of "matched directivity patterns" for "chirp" signals for
different products of signal bandwidth and time duration WT, for a normal-
ized frequency band B equal 0.5 and 1 are presented in Fig. 3. It can be
seen in Fig. 3 that directivity patterns for "chirps" are similar to the
directivity pattern for the model signal with rectangular frequency spectrum
(WT = 00). The families of matched directivity patterns for Barker code
signals, for different numbers of code elements L, with the short "ping" as
an elementary signal are presented in Fig. 4. It can be seen in Fig. 4 that
the directivity patterns for Barker code signals are similar to the direc-
tivity patterns for short "ping" (L = 00).
The influence of the frequency dispersion of the acoustic wave attenu-
ation on directivity patterns for wideband sounding signals is shown in
Fig. 5. Matched directivity patterns of the line array of hydrophones for
the model signal with the rectangular frequency spectrum for the normalized
frequency band B equal 0.5 and 1 versus a spectrum distortion factor Care
there presented. The spectrum distortion factor C is defined as:

(12)
Where:
-5
A 5xlO ,fo - middle frequency in kHz, S - salinity in %0, R - range in km.
The dispersion causes a decrease in signal bandwidth which causes an
increase in grating lobe level. The wider the signal bandwidth and the
longer the sonar range the stronger is this increase. For many practical
situations the above influence is negligible?

CONCLUS IONS

1. The formulas presented above describe the output signal and its spectrum
for any transducer or any spatio-temporal processor for wideband echo wave
signals.
2. The increase of a signal bandwidth causes the decrease of grating lobes
level.
3. An implementation of a wideband sounding signal in a multibeam active
sonar enables to decrease a number of receiving transducer elements and
receiving channels of the sonar.

917
 b

Fig. 1. Matched directivity patterns of N element line array of hydrophones

for signal with rectangular frequency spectrum versus inverse
normalized bandwidth - liB.

Fig. 2. Matched directivity patterns of N element line array of hydrophones

for short "ping" signal versus number of "ping" periods - n.

Fig. 3. Matched directivity patterns of 16 element line array of hydrophones

for "chirp" signals (B - normalized frequency band) versus
product of a signal bandwidth and a signal time duration - WI.

918
Fig. 4. Matched directivity patterns of 16 element line array of hydrophones
for Barker code signals with "pings" as elementary signals
(n - number of periods) versus number of code elements - L.

Fig. 5. Matched directivity patterns of 16 element line array of hydrophones

for signal with rectangular frequency spectrum (B - normalized
bandwidth) versus spectrum distortion factor - C.

REFERENCES

1. W. S. Burdic: "Underwater Acoustic System Analysis", Prentice-Hall Inc.,

Englewood Cliffs 1984.
2. B.D.Steinberg: "Principles of Aperture and Array System Design",Wiley 1976.
3. R.J.Urick: "Principles of underwater sound", McGraw-Hill, 1975.
4. H.Lasota, R.Salamon, B.Delannoy:"Acoustic diffraction analysis by the
impulse response method. A line impulse response approach", J.A.S.A.
Vol.76, No.1, 1984.
5. A.Stepnowski, R.Salamon, B.Piwakowski:"Directional reception of broadband
signals by means of ultrasonic transducer arrays",Ultrasonics, March 1980.
6. J.Marszal: "Directivity analysis of active multibeam sonars with wideband
signals", Doctor thesis, Gdansk - Poland 1989.
7. J.Marszal: "Influence of sounding signal bandwidth on directivity pattern
of hydrophone discrete line array", Proc. VI Symposium on Hydroacoustics,
Gdansk, Poland 1989.
The work has been supported by Polish Ministry of Education
- Grant No. T/05/010/90-2.

919
 IMPROVING RESOLUTION OF SENSOR ARRAY IMAGES USING MULTIPLE
FRAMES OF DATA

B. Yegnanarayana, R. Ramaseshan and A. Ravichandran

Department of Computer Science and Engineering
Indian Institute of Technology, Madras - 600 036, India

Abstract
Images reconstructed from data collected by an array of sensors are poorly resolved
and noisy. However, in an imaging environment, there may exist possibilities of making
multiple measurements, for example, using different transmitting frequencies, or
collecting many sequence of frames in a dynamic situation where there is relative motion
between the object and the receiver. This paper shows through simulation studies how
information from many such frames can be combined to obtain improved resolution in
the reconstructed image. An iterative method based on Projection Onto Convex Sets
(POCS) is employed here to obtain an image satisfying the constraints in the multiple
measurements.
I. Introduction to Sensor Array Imaging Problems
Sensor Array Imaging aims at obtaining an image of an object by first receiving its
reflections on a grid of sensors and then reconstructing an image from this data using a
model of the image formation mechanism[l]. Major problems in sensor array imaging are
(i) sparsity of datadue to limited number of sensors and (ii) noise in the medium.
Moreover, since the received data is a set of complex values, it may not be possible to
make accurate measurements of both the phase and magnitude at each sensor. Images
reconstructed from such sparse data are poorly resolved and noisy. Standard image
processing techniques like noise cleaning or image enhancement cannot be used as the
restoration is poor. Hence signal processing techniques have to be developed to address
the following issues: (i) to overcome measurement complexity at the receiver points, (ii)
to recover information from the limited number of data samples and (iii) to overcome
the effects of noise in the received data. In this paper, we discuss how multiple frames of
data collected even by a sparse array, can be used to improve resolution and reduce noise.
In Section II, we discuss the ill-posed nature of the imaging problem and an
approach to its solution. In Section III, the method of Projection Onto Convex Sets is
explained. Combining information from multiple frames of data using this method is
discussed in Section IV. Simulation experiments and results are discussed in Section V.
II. Solutions to ill-posed problems
The problem of recovering images from sparse and noisy data is regarded as inverse
problem as it is required to recover information regarding the object from the observed
data. Lack of information implies that the problem is ill-posed and the solution is not
unique (giving ambiguous reconstruction). A common approach to overcome
ill-posedness is to use a priori knowledge. Approximate knowledge, such as finite support
constraint

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.·P. Hatjes, Plenum Press, New York 1992 921
on the image plane, can be used to restrict the solution space. The theory of regt,tlarisation
of ill-posed problems is now used for determining approximate and stable solutions for
many ill-posed early vision problems[2].
Several iterative techniques have been proposed[3][4] for the signal reconstruction
from partial data. The iterative algorithms proposed by Papoulis-Gerchberg[3] and the
POCS algorithm proposed by Youla and Webb[3] are widely used for signal
reconstruction. The POCS algorithm has a significant advantage over the
Papoulis-Gerchberg's algorithm in that it makes use of a priori known constraints in the
algorithm through a mechanism of projection onto a convex set. The available information
can be used appropriately in the POCS algorithm to form specific algorithms according
to the requirement.
III. Image reconstruction using POCS Method
The theory of image reconstruction is briefly described below[4]: The original signal
I is a priori known to belong to a linear subspace R of a Hilbert space H. The
measurement available to the user is only the orthogonal projection ofg of I into another
subspace 0 (also inB). The aim is, given the partial datag, to find necessary and sufficient
condition to uniquely determine/fromg.
In the case of image reconstruction with m observations, every property of the
original I restricts it to lie in a corresponding closed convex subsets of H. Therefore, m
such properties will generate m well defined convex sets Ci, i = 1, m and

(1)

The set Co is also closed and well defined convex set and contains I. In other words, ifPj
denotes the projection onto the convex set, then the iteration,
A= (PI Pz. .. P m )~o (2)
will converge to apoint in the intersection set Co for all initial estimates of/o . This iteration
converges strongfy. Some of the useful projectIons are listed in [5].
This technique is used in reconstructing a high resolution image from sparse data
obtained in a SAl setup. Multiple observations are made for the same object. Each
observation generates a well defined closed convex set in the domain of possible solutions.
The iteration of (2) is used to determine the common point in the intersection set Co'
IV. Image Reconstruction from Multiple Frames of Data
Multiple frames of data refers to the data collection by (i) varying the incident wave
frequency, (ii) changing the object-receiver distance and (iii) obtaining a scene from an
image sequence sampled in time. These frames are combined using the POCS algorithm.
The results of image reconstruction from multiple frames obtained by varying the
parameters such as frequency and distance between the object and imageof the imaging
system are reported in [4][5]. The algorithm described in Table I is used for reconstruction
of a high resolution image from multiple frames of data in a dynamic scene situation.
V. Experimental Studies
The acoustic imaging setup used for experimental studies consists of an object plane
with 128x128 points and a receiver plane of 128x128 points. Throughout the studies the
frequency used for imaging operation corresponds to a wavelength of 0.24 units. The
spacing between receiver points is fixed at 0.5 units. The distance between the object and
the receiver is kept at 2000 units. The receiver size in terms of the number of sensor
elements is varied by selecting the points appropriately on the receiver array. We consider
down sampling in all experimental studies. We consider equally spaced sensors as shown
in Fig.I. Typically an array of size, say 16x16 elements, is created by selecting data from
every eighth point from the 128x128 points on the receiver plane.

922
 Table 1. Algorithm for Image Reconstruction from Multiple Frames of Sensor Array Data

Number offrames = M
Set frame count i = 0
Set the signal on the receiver plane to a constant in the region of support and to zero
outside the region.
Repeat
1. Set i = i +1
2. Use the receiver plane field data calculated at the end of iteration i-I as
the initial estimate.
3. At all known points on the receiver plane replace the values using ith frame
4. Generate the corresponding signal on the object plane using the propagation
factor
5. Esti~ate the signal on the object plane for the next frame using known shifts of
the objects.
6. Impose finite support constraint on the object plane
7. Generate the receiver plane data from this object plane data using the
propagation factor. This is the calculated receiver plane data after using ith frame
until i =M
An image sequence consisting of 10 images are generated by using the first image
in Fig.3 as the reference image. The other images in the sequence have been shifted with
respect to the first image by a known amount. The shifts are along both x and y coordinates.
Several frames of receiver data are simulated. Images are reconstructed for each frame
of data and the resulting reconstructed image sequence is shown in Fig.4. It is clear that
the reconstructed image has very poor resolution and the image is also noisy.
The first and the second frames of received data are combined using the algorithm
described in Section IV and the reconstructed image is shown in Fig.Sa. This is the
estimate of the second image in Fig.3b. In order to improve the quality of the image,
additional frames of data (third and fourth) are used as new measurements. Fig. Sb gives
the estimate ofthe fourth image in the original sequence. This procedure is repeated until
all the frames of data were used in the reconstruction. Figs.5c,Sd and Se show the estimates
of sixth, eighth and tenth images of the original sequence, respectively. A graph showing
the improvement in Signal to Noise Ratio (SNR) is shown in Fig.2. The signal-to-noise
ratio is calculated as

( variance of the signal) (3)

SNR = 1000g lO -v~irTaiice-onne-iiolse-

It shows clearly that the SNR increases as a function of the number of frames of data used
in the reconstruction algorithm. Even though the last image in the reconstructed sequence
is noisy, the image is iaentifiable.
VI.Conclusions
We have shown through simulation studies that it is possible to improve resolution
of the reconstructed images by collecting multiple frames of data, even if the array is
sparse data is noisy. We have discussed how such multiple frames of data can be collected
and also how the information in these frames can be combined. As an illustration, we have
reconstructed an image from a sequence of frames of data collected by a 16x16 array in a
dynamic situation has been showed. Further improvements in the recognition of the
object in an image can be obtained by using a trained neural network for the set of objects
under consideration and using the reconstructed image as input to such a network[7]
Acknowledgements
The authors thank the Department of Electronic(DoE) for supporting this research
activity at the Indian Institute of Technology, Madras.

923
 HYDROPHONES

DIJECT PUIIE RECE;JYER ARR:'Y

Fig.1 A typical Sensor Array Imaging setup

3,--------------------------------------------------.

m
D
c: 0
0:
Z
Ul
- 1

-2

-3
0 2 4 6 8 10 12
No. of frAmes

Fig.2 Plot showing the improvement in SNR

~c ~c ~c ~c ~c
C':lCLING C':lCLING C':lCLING C':lCLING CYCLING
(a) (b) (c) (d) (e)

~c ~c
C':lCLING C':lCLING C':lCLING C':lCLING CYCLING
(
(f) (g) (h) (i) (j)

Fig.3 Sequence of images (128x128 pts.) of an object simulating a dynamic scene situation

924
 (a) (b), (c) (d) (e)

(f) (g) (h) (i) (i)

FigA Images (128x128 pts.) reconstructed from each frame of data collected by16x16
sensor array

(a) (b) (c) (d) (e)

Fig.5 High resolution images (128x128 pts) reconstructed using the proposed method.

References
[1] J.L.Sutton, "Underwater Acoustics Imaging,", Proc. ofIEEE, 67(4), pp.554-565, 1975.
f2] A.N.Tihkohonov and Y.y'Arsenin, Solutions to ill-posed problems, John-Wiley and
Sons, NewYork, 1977.
[3] Papoulis A. "A new algorithm in spectral analysis and bandlimited
extrap01ation",iEEE Transactions on Circuits and systems, CAS-22:735-742,1975.
[4] D.C. Youlap,C. and Webb,H., "Image restoration by the method of projections onto
convex sets" - rart I. IEEE Transactions on Medical Imaging Systems, MI-l,no. 2, 1982.
f51 B.Yegnanarayan, R.Ramaseshan and A.Ravichandran, "Image Reconstruction from
Multiple Frames of Sensor Array Data",Indo-us Workshop on Spectral Analysis in One
or Two Dimentions, Nov.27-29, 1989, New Delhi, India.
r6J C.P.Mariadossou, Solutions to Ill-Posed Problem.:; in Sensor Array Imaging", Ph.D
Olssertation, Department of Computer Science and Engineering, Indian Institute of
Technology, Maaras, India, Feb. 1990.
f7] A.Ravichandran and B.Yegnanara)::ana, "A two-stage Neural Network for Translation,
Rotation and Size-Invariant Visual Pattern Recognition," to appear in ICASSP-91,
Toronto, Canada.

925
 UNDERWATER ACWSTIC FIELD IN THE PRESENCE (F COASTLINES:

A UNIFrnM GTD APPROACH

Leonidas P. Ivrissimtzis Dimitris P. Chrissoulidis

Radix Ltd. Department of Electrical Engineering

P.O. Box 1562 Faculty of Technology
GR-54006 Thessa loniki Aristotle University of Thessaloniki
Greece Thessaloniki, Greece

I NTROOUCTI 00

Calculations of the underwater acoustic field in closed sea regions

such as straits, gulfs and fjords cannot neglect the effect of coasts. The
image, normal-mode and parabolic equation methods (Keller and Papadakis,
1977) used for field formulations in the ocean and the continental shelf
(Buckingham. 1987) are restricted to an underwater acoustic environment
that is bounded by the sea surface and the horizontal or. possibly
sloping, bottom. the analysis being two-dimensional. Three-dimensional
effects may be important especially in closed seas, even shallow-water o-
nes, .....tlich can be coast-bounded due to steep bottom slopes near the shore.
Accordingly, three-dimensional field analysis is required in such sea re-
gions and the easiest option is provided by ray theory (Brekhovskikh,
1982) and the geometrical theory of diffraction (GTD) (Kouyoumjian and Pa-
thak, 1975).

As interest is focussed on the effect of coasts, the problem is simp-

lified in every other respect. Homogeneity in depth, range and azimuth are
assumed in the sea water medium, the surface is perfectly free and the ho-
rizontal bottom perfectly rigid, both boundaries being planar as well. The
coastline is herein considered as a series of perfectly rigid. vertical
plates. The model could handle inclined coastal plates as well, Klich amo-
unts to investigating more realistic coast-bounded sea regions of non-
uniform depth. Being a high-frequency approach, the separation between
opposi te coastlines show ld be severa 1 wave lengths, each coastal plate no
less than a wavelength wide and the acoustic source(s) at least a wave-
length away from coastal wedges.

THEffiETICAL FOOKJLATIOO

The incident acoustic field at ~ due to a point source at ~ (Fig. 1)

. s
is simply given by u ' = exp(-jkR)/R with R = If~ s I and k = 2nf/c as the
wavenurrber associated with excitation frequency f and sound speed c in the
homogeneous sea water medium. If the coasts are far away. it suffices to
account for multiple reflections at the sea surface and bottom. The open
sea acoustic field at ~ is given by the sum (Brekhovskikh, 1982) :

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaJjes, Plenum Press, New York 1992 927
 _ exp(-jkR)
_ _ _ _.:..1.:..3_ _ exp(-jkR)]
14
R13 R14
(1)
with R
I j
= (r2+z2)1/2.
I j
j = 1,2,3,4 and zll = 2hl + zl- z. zl2
2h(1+1) - zl - Z. zl3 = 2hl + Zl + Z. zl4 2hl(1+1) - z . It should be
1
noted that u i is included in the right-hand side of Eq. (1).

A three-cHmensional forlll..llation for closed seas should further

account for scatter from coastal wedges. Rays reflected from coastal pla-
tes and rays diffracted from plate edges are only considered herein. Such
rays from rt s to f follow paths that sat;sfy Fermat· s genera Hsed
principle. Higher-order approximations should account for rays IlI..Ilt;ply
reflected by the coastal plates. reflected-diffracted rays. vertex-
diffracted rays and other ray mechanisms. Scatter from coastal plates may
subsequently interact with the sea surface and/or bottom. Depending on the
acoustic size of the sea region examined. accounting for only a few mecha-
nisms could ensure accurate estimation of the acoustic field.

surface
T
h

bottom 1

Fig. 1. Geometry of shallow-water. open sea region.

Fig. 2. Geometry of vert;cal coastal wedge.

Plate-reflected acoustic field components can be calculated by image

theory. If rt's is the locat;on of the image of the source at rt s with
respect to a coastal plate. the reflected field is given by
u r = exp (-jkR' ) JR' wi th R' = I f-jt's I. provided that the ray from rt's to rt is
intercepted by that plate. The reflected t;eld may be shadowed if the
reflection point is beyond the plate edge. It is. therefore. necesssary to
account for diffracted fields which. being discontinuous across the geome-

928
trical optics shadow boundaries. cotq:)E1f1SClte for the discontinuity of the
geonetrical optics fields. namely the sum of incident and reflected
fields. Diffraction from a perfectly rigid coastal plate may be approxima-
ted by (Kouyoumjian and Pathak. 1974):

d i -+ s ')1/2
(s(s+s') (2)
u = u (r p) Dh (L;lP' .1P;n)

with rtp • IP' • IP. s' • s defined in Fig. 2. The acoustic diffraction coeffi-
cient Dh is given by the following expression :

exp(-jn/4)

) (3)

with ~
o
defined in Fig. 2.
+
~- = IP ±
+
IP' • a-(~) =
+
1 + cos(2nnN- -
+
~). and N-
+

as the integers that most nearly satisfy the condition 2nN-n - ~ = ±n .

The wedge r1l.Il'ber n is related to the external wedge angle y through
y = nn . The numerical distance L = kss'sin2~o/(s+s') should conform to
the condition L » 1 for the asymptotic deduction of Dh to be valid. The
edge transition function F(x) is related to the ordinary Fresnel integral
(Abramowitz and stegun. 1972) through the following expression:

J
w
F(x) = 2jYx exp(jx) exp(_jt 2 ) dt (4)
Yx

and it can easily be computed by using standard routines (Balanis. 1962).

,~-----

T
T
ih
I
1. 2011.
101..
Jc
10A ~

1
201.. ~

Fig. 3 V-shaped strait.

COOf: STRUCTURE

The theory of the previous section is inplemented in a user-oriented

Fortran code. ~ation starts from the initialisation section. ..tJerein
default input parameters are set. The input section ....... ich is based on a
conmand word system (Marhefka and Burnside. 1962). reads a user-defined
data file and resets the associated input parameters. As the code allows
for source features (i .e .• location. frequency. phase. strength) to be de-

929
fined independently, there is considerable flexibility in the insonifi-
cation of a certain closed sea region.

Field constituents that correspond to the various mechanisms conside-

red in the previous section are ca leu 1 ated next. A loop through all
sources present is performed at any field point. As redefinition of recei- '
ver-dependent parameters is avoided, memory requirements and code effici-
ency are optimised. OJtput is provided by the plotting section in the form
of amplitude and phase maps on a horizontal plane at the predetermined
depth. The map spans 20)"x20)", ).. being the shortest wavelength, on a
320x200 VGA screen employing a palette of 256 tones of grey. Resolution
is )../18 and )../15 along the x- and y-axis, respectively. Conputer time
requirements increase with the number of plates considered a long a given
coastline.

A NUI"ERICAL EXAWLE

Field maps across a V-shaped strait (Fig. 3) insonified by point

3000-
o 3000

.~

-- .'

·15 I)
( 1m) -<;. (I
Y!m

-31) I) ·10 I)
I I I
I
11 25 15001875 2250 1125 1500 1875

(bl (el
....... , a ZI p5¢'"

- ...........

--"
-....... "-

(al [dl

150 I)

• 7 :: 1 -, ' •

-0:, (I -

I I I o ·250
I I I
11::: :. 150 I) 1375 :::::50 11 25 1500 187.5 225,0

Fig. 4 Intensity maps of acoustic field due to : (a),(b) pair of opposite

point sources and (c),(d) array of point sources near the concave coast.

930
sc::u-ces at 20 m depth are presented in Fig. 4. The strait is 250 m wide
and 100 m deep. Each coastline c<Jl'll)rises two vertical plates that form a
wedge. All point sou-ces, being of equal strength, radiate sound at 100 Hz
in the isovelocity Wi!lter mediun. The sound speed in the water is set to
1500 mIs, the acoustic Wi!lvelength hence being 15 m. Acoustic intensity
maps on the horizontal plane at 10 m depth are given in two parts. Each
part, representning a 10),><10)" field window, includes part of the inpene-
trable coast painted in dark grey. Phase maps are also available.

The acoustic field due to a pair of SC::U-C8S ...... ich are located opposi-
te to each other and close to the coastal wedges is presented first
(Fig. 4a,b). As the sources are identical, the effect of coastline shape
on the acoustic field intensity can readily be evaluated. The radiation
pattern of the source located near the convex coastline is conspicuously
broader than that of the sot.rce near the concave coastline. The field due
to a broadside array of five point sources, I*tlich are laid along the left-
hand side of the concave coastline, is presented next (Fig. 4c,d). The
array spans a wavelength and all five sources radiate in phase. It is
noteworthy that wavefronts in the vicinity of the opposite convex coast a-
cquire the local shape of that coastline (Fig. 4c). As the array length is
small COIq)ared to the strait width, cylindrical wavefronts centered at the
source configuration, ...... ich is acoustically small, may also be discerned
in that map. ex. the other hand, the field window that includes the concave
coastline reveals the narrowHbeam radiation pattern of the array
(Fig. 4d).

~ICH> AND PROSPECTIVES

A flexible model and the acc~ying code for underWi!lter acoustic

field calculations in coast-bounded sea regions have been built by using
ray theory and 6TD. Sinulations of the acoustic field established by a
nultistatic, nultifrequency sonar monitoring a coast-bounded sea region a-
re available in the form of intenSity and phase maps. The code fLrther
provides information about the coherency of the acoustic field. Fresnel
contc::u-ing in the coast-bounded sea region can be made available by post-
processing of the phase maps. The model could be refined by incorporating
higher-order field constituents that correspond to rays nultiply bouncing
at all boundaries. More accLrate field pictLres could thus be produced,
the accuracy level being application-adaptive. Further refinement could be
achieved by considering coastlines c<:lq:)osed of curved sections as well as
more realistic, penetrable, inclined coastal wedges.

REFERENCES

Abramowitz, M. and Stegun, LA. ,1972. "Handbook of Mathematical Functions"

Dover Publications. New York.
Balanis, C. A.• 1982. "Antenna Theory", Harper & Row, New York.
Brekhovskikh, L. 1982 "Fundamentals of Ocean Acoustics", Springer-Verlag.
Berlin.
Buckingham, M. J., (1987), Theory of three-dimensional acoustic propagati-
on in a wedgelike ocean with a penetrable bottan, JASA. 82: 198.
Keller, J. B. and Papadakis, J. S., eds., 1977. "Wave Propagation and Un-
derwater Acoustics", Springer-Verlag, Berlin.
Kouyoumjian, R. 6. and Pathak, P. H., 1974, A uniform geometrical theory
of diffraction for an edge in a perfectly conducting SLrface,
Proc. IEEE 62:1448.
Marhefka, R. J. and BLrnside W. D., 1982, NEC - sse (version 2).Part I: U-
ser's manual, Technical ~ 712242-14. ElectroScience Laboratory
The Chio state University, Colunbus.

931
 TWO-PHASE FLOW MEASUREMENT IN PIPELINES USING
ULTRASONIC-TOMOGRAPHY

Mohammed Ali Seiraffi

Institut flir Mess- und Regelungstechnik
Universitat (TH) Karlsruhe
7500 Karlsruhe 1, Federal Republic of Germany

INTRODUCTION
In order to determine the momentary flow mode existing in an oil-gas
pipe, it is important to know the spatial distribution of the dispersed phase. To
measure this quantity, non-intrusive methods such as ultrasonic tomography are
used. Ultrasonic tomography is based on the numeric reconstruction of cross
sectional images from their projections, which can be determined both from
ultrasonic transmission and reflection measurements. In order to realize very
fast projection measurements from different directions, a large number of
transducers must be coupled to the pipe.1 The number of transducers has to be
chosen as a compromise between spatial and time resolution.
In this paper, data obtained from reflection and transmission measurements
are evaluated. For reflection data, a new method is presented where contours
of objects are reconstructed by computing intersectIOn points of loci with
constant echo transit time; this will be called the "intersection method". For
both types of data, another method is studied which makes use of standard
graphic software; this will be called in short the "graphic method".
To optimize the reconstruction algorithm and the array configuration for
data acqUIsition, a simulation program is used which can determine the
projections for a chosen array and bubble configuration.

INTERSECTION METHOD
The well-known reconstruction algorithms cannot be used if the ultrasound
is reflected totally because not every bubble surface is "visible" to the active
transmitter and not every received echo (3rd echo) belon~s to a definite bubble
surface (Fig. 1.). So only the first two echoes give defmite information about
the bubble contours, provided these surfaces reflect an echo back to the
receiver. The third and all following echoes are ambiguous because they could
either come directly from a bubble surface or from several surfaces due to
multiple reflections.
If the transmitter and the receiver are identical then the received echo
must belong to a scatterer along a circular arc centered at the active element.2
The radius r of the arc is given by r = C.T /2, where c denotes the sound
velocity and T the echo time. In the case of separate transmitter and receiver,

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 933
 T: •
R: -

Fig. 1. Multiple reflection of Fig. 2. Intersection points of

ultrasound all 1st and 2nd echoes

the scatterer must lie along an elliptical arc whose foci are the transducers. The
major axis of the ellipse is given by a = C.T. Thus, single arcs provide only the
distances between the scatterers and the transducers but not their exact position.
These can be approximately determined from the intersection of these arcs.
The problem here is that intersection points occur not only along bubble
contours, but also in the space between bubbles (Fig. 2). Because the false
points are distributed similary as the useful points, it is not possible to improve
the reconstruction image by a spatial filter, as is done in B-scan superposing.
Therefore, the reconstruction can only be improved by decreasing the probability
of generating false points.
Wie~and and Hoyle3 who use the same method to reconstruct cross
sectional Images, have investigated the possibility of minimizing the rates of false
points. They used a receiver consisting of multiple independent segments so
that an echo also provides additional directional information. This means that
the arcs are reduced to segments resulting in better images. Here, we will
investigate different intersection methods which avoid the reconstruction of false
points without special receivers.
For the two data acquisition modes, i.e. with transmitter and receiver
either identical or separate, the following intersection combinations are investi-
gated; namely the intersection points between two circular arcs, between a
circular and an elliptical arc with a common focus, and between two elliptical
arcs with a common focus. The combination of two arcs without a common
focus was not investigated due to the time consuming numerical calculation of
their intersection point. Furthermore, it is preferable to intersect only arcs
determined by adjacent receivers. Otherwise, the arcs would be intersected by
an acute angle resulting in a greater reconstruction error.

A /: ,.. B /. "- C /: "-

"- /.
~

0:
.'
.

0
\
I I:'

1
. . .:,:
/
'\
,.. ,..
"" _ Tl ...... ;..- " ;..- " ;..-
" "
R - - - R
31R 32 R, R2 3
D 0 ~
Fig. 3. Reconstruction results of first (A), second (B) and third (C) methods

934
 From these combinations, we have developed three different reconstruction
methods. In order to test these methods, we used a simulation program by
which we generated an array and a phantom configuration where a circular
phantom was placed off-center. The array consists of g transmitters with a
dispersion angle of 90 degrees and 32 receivers (Fig. 3).
The first method calculates the intersection points from neighbouring
circular arcs for the case that transmitters and receivers are identical. Here, the
number of the intersection points Np is identical to the number of transmitters
(Fig. 3A).
The second method determines the intersection points of two elliptical arcs
with the actIve transmitter being the common focus. The other two foci are
defined by neighbouring receivers which are located either both to the left or
both to the right of the transmitter, so that the following receiver pairs are
evaluated if the transmitter T 1 is activated:

(R1,R2 ),···,(R n,Rn +1);(R1,R32),···,(R34-n,R34-(n+ 1) ); n = 1 to "max'

~ax should be defined so that the angle included between the transmitter and
die receiver is restricted to 45 degrees. In this way, it is possible to generate
(Np = g'2"m ax ) points with only 8 trans ~itters. Fig. 3B shows an image
reconstructed-WIth "max = 4.
In the third method, in contrast to ilie second method, we have defined
the oilier two fOCI of the elliptical arcs by receivers one to the left and one to
the right of the transmitter. Here, we achieve the maximum number of
intersection points (Np = 8'n2 max)' Fig. 3C shows the reconstruction result with
"max = 4.
In order to compare these meiliods quantitatively, we used an error factor
Qe which characterIzes both the reconstruction errors and incomplete
reconstruction. First, each intersection point is assi~ned to its phantom. Then,
the distances between the matching POlOts and theIr phantoms are determined.
The mean value of these distances mer defines the reconstruction errors. mer
alone is not sufficient to describe the quality of the reconstruction, because It
contains no information about the spatial distribution of these points along the
phantom contours. Therefore, we also determined the standard deviation Sap, of
the included angle between neighbouring points. The error factor Q e is toen
given by
(1)

A B "-
C "-
/. "- /. /.
/.
I.

8
r'· . .,,' .
-"

II
_0 1\ ,
'-...... \. ..,
'<: )'
" '<: )'
'/

" " " "

Fig. 4. Reconstruction results of
first echoes (B) and first an
Fl' second
4A using the 2nd method where
echoes (C) are intersected

935
We included N as a penalty factor to account for the trivial decrease of San
for a larger nRmber of intersection points. Determining <2.e for these three
methods we can see that the second method (Q e = 0.04) nas a lower error
factor than the first (Qe = 1,03) and the third one (Q = 3.53). Comparing
the reconstructed images (Fig. 3A,B,C), it is obvious tfiat the second method
provides the best reconstruction of the circular phantom. In contrast to the first
and third methods, where the error of determined points increases if the
phantom surface comes closer to the transducers, the second method has no
spatial distortion. This error depends on the decreasing radius of the arcs
resulting in a more acute angle at the intersection point. Another advantage of
this method is the large number of points equally spaced around the phantom.
Therefore, it was decided to apply the second method for our further
investigations.
If we apply the second method which uses only the first echoes (Fig. 4B),
it can be seen that the concave contour of the kidney-shaped phantom is not
reproduced. This is due to the fact that the echoes from the concave contour
arrive at the receivers always later than the first echoes. As already mentioned,
we can only investigate methods which use the second echoes additionally. The
best reconstruction results were achieved by intersecting those second echoes, if
it is ensured that T 2 < 1.5 T l' where T 1 and T 2 represent the transit time of the
first and second echoes acquire j through the same receivers (Fig. 4C). The
missing contours in Fig. 4c can be reconstructed either by evaluating all echoes
using algorithms which are able to classify them, or by the additional use of
transmission data.

GRAPHIC METHOD
Using transmission data acquired through the receivers opposite the active
transmitter, it is possible to improve the reconstruction images. Because of the
total reflection, the well-known tomographic algorithms cannot be used. Instead,
we investigated a graphic method to evaluate these data. For each transmission
process, we drew a number of black triangles with one of their corners at the
active transmitter and the other defined by the receivers (Fig. 5). The width of
the triangles increases proportionally WIth the intensity of received pulses.
Furthermore, if two neighbouring receivers measure the full intensity then the
gap between the two black triangles will also be defined as black.
In addition, this graphic method can also be used to evaluate the reflection
data of the first echoes making the time consuming calculation of the
intersection points superfluous. So we have also black shaded the areas between
the arcs and the pipe (Fig. 6). Fig. 7 shows that this graphic method is suitable
to reconstruct even those phantoms which could not be reproduced using the
intersection algorithm.

Fig. 5. Graphic method Fig. 6. Graphic method Fig. 7. Reconstruction

usin~ trans- using reflection results using
miSSIOn data data graphic method

936
 x 10-1 6.5 x~1::.0-_2_ _ _~_~_~_~_--,
3.2 1 R

~ 2.2
~
'" 5.0
""
11.2 ~
~
2R
4 R
0.2 '--~_~~_",-~_",-~_~-J 3.5 L-_~_~_~ _ _~_~_--'
456 7 8 9 W ft a a 45 60 75 90 105 120 135
~L'!o.!BER OF TF..A.'"SY!ITERS DISPERSlO~ A.''1GIE

Fig. 8. Variation of the numbers of Fig. 9. Variation of the dispersion

transmitters and receivers angle

ARRAY CONFIGURATION
Having found the most suitable reconstruction methods, the optimal sensor
configuration has to be chosen. To do this, the number of transmitters and
receivers are varied and the error factor Qe is calculated. The dispersion angle
was fixed to 90 degrees and the same phantom as shown in Fig. 3 was used.
Fig. 8 shows the plots of Q e for an array consisting of 6,8,10 and 12
transmitters each with 1,2 and 4 receivers. As can be seen, a larger number of
transmitters (projections) is not absolutely necessary for a better resolution. The
best reconstruction results seems to be achieved by using 8 transmitters and a
large number of receivers. The reason is that it is not the transmitters that
provide information from the measuring cross section, but rather the receivers. A
large number of transmitters generates only more intersection points placed very
close together resulting in a higher error factor. Fig. 9 shows the plot of Q e
for the variation of dispersion angle. As can be seen, Q e does not decrease
considerably for an angle greater than 90 degrees. This can be explained by
the size of the measuring area which increases only asymptotically with
increasing dispersion angle.

CONCLUSION
In this paper, the possibility of using ultrasound to measure the spatial
distribution of dispersed phases in an oil-gas pipe was investigated. In order to
determine the most suitable measurement and reconstruction method, we used a
computer program which simulates the necessary data for a chosen array and
phantom configuration. It was shown that by using a graphic method which
evaluates the transit times of first echoes as well as the ultrasound intensity of
the transmitted rays, it is possible to determine the bubble distribution. The
concave contours cannot be reconstructed using this method. Here, it is
necessary to evaluate the second echoes by the additional use of the intersection
method. Furthermore, it was shown that the reconstruction quality can only be
improved by increasing the number of receivers. The best results were achieved
by using an array consisting of 72 receivers and 8 transmitters with a dispersion
angle greater than 90 degrees.

REFERENCES
1. J. Wolf, "Investigation of Bubble Flow by Ultrasonic Tomography", Particle
& Particle Systems Characterization, 5:170 (1988).
2. S.J. Norton and M. Linzer, "Ultrasonic Reflectivity Tomography", Ultrasonic
Ima.ging, 1: 154 (1979).
3. F. WIegand and B.S. Hoyle, "Real-Time Parallel Processing in Industrial
Flow Measurement Using Transputer Arrays", Conference of Parallel
Processing in September 1988, Proceedings of CONPAR 88, Cambridge
University Press, 482 (1989).

937
 A METHOD TO MEASURE THE MOVEMENT OF A ROUGH PLANE
ULTRASONICALLY BY DOPPLER - PHASE SHIFT

Juha Kortelainen

Researcher, Tampere University of Technology, Measurement Technology

ABSTRACf
The Doppler effect has been used to measure the horizontal movement of a rough plane. The
operational principle is based on the measurement of the phase shift of an ultrasonic wave scattered
from the surface. This method has been developed for measuring the length of logs in a forest machine.
Equations for the Doppler phase shift have been derived for the situation where the moving object is a
single particle. Later this "one - particle - theory" has been expanded for the situation where the moving
object is a rough plane. The theory uses some simplifications and assumptions from the reality, but the
results still agree well with measurements. This method has been tested by moving logs with a velocity
varying from 0 to 1 mls. The variability of measurement with different kind of logs was about 0.3 ... 2 %
when the movement was about one meter. The analysis of the errors and ideas to compensate them are
presented in the paper.
Keywords: Scattering a/ultrasound, Doppler effect, measurement a/movement

lNTRODUCfION
This paper presents a method to measure the movement of a rough plane by the Doppler phase shift
of ultrasound scattered from the surface. The method was developed for application to measure the
length oflogs in a forest machine. The theory of the method is presented with some simplifications and
assumptions, which are commonly used in the analysis of ultrasonic systems. These are quite radical,
and at fi?t seem to make the analysis unrealistic. The simplifications have been analysed in the
literature, and they have been found to lead into conclusions which match well enough with measure-
ments. A prototype device was constructed. It uses a single frequency continuous wave (CW -ultrasound)
and measures the phase-shift of response signal by a quadrature modulation. The results of the test
measurements and compatibility with the theory are presented. Some ideas for further developement of
the method are discussed.
The Doppler-effect is used with great success in many kinds of measurements of moving objects.
Applications using ultrasound include especially velocity measurements in medical uses and now
processes. The method presented here has some differences. Usually there is some velocity distribution
of the particles moving in the media, whereas in this application the velocity of all scattering particles is
the same. Instead of velocity, the interest is in the movement of object, which is directly related to the
phase shift between transmitted and received signal instead of frequency shift. When measuring the
phase shift, the result is better especially in very slow movements. 2
The spectrum and the autocovariance function of the received signal have useful information for this
application. The scattering angle is not constant in measurement, which causes inaccuracy into coefn-
cient between the movement and the phase shift. Between different types of surfaces there will be some
bias error. The inaccuracy might be compensated with the analysis of the spectrum or the autocovariance
function. A lot of research on the analysis of these is done in the measurement of flow processes? and
the results could be useful for this application too. If the frequency shift was measured, the pulsed
ultrasound and a single transducer could be used. With the pulsed or FM-modulated ultrasound also the

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Hrujes. Plenum Press. New York 1992 939
distance of the target could be measured. In the forest machine, the measuring distance is almost
constant It is then better to use one single frequency and continuous wave, because the wide-bandwidth
methods lead to worse SIN-ratio and more expensive equipment. 4
If the medium is air, there are only a few applications using the Doppler-effect of ultrasound. In the
industry there would be a lot of use of it, the ideas just haven't been discovered yet. This method is very
promising, and in further developement the research woIk already done in the medical and flow
measurements are useful. The Doppler-~ffect may be used also for imaging of objects in addition to the
measurement of movement or velocity.

THE THEORY OF THE RELATION BETWEEN THE DOPPLER - PHASE SHIFT AND THE
HORIZONTAL MOVEMENT OF SURFACE
The theory of the Doppler-effect is easily derived if some simplifications are done. The first
assumption is that the air is not moving. This assumption is unrealistic especially on the surface of the
moving rough plane. The effect of the moving air is seen, when the velocity of air is assumed to be small
compared with the velocity of sound in air. It is assumed that the air is at rest at the surface of transducers
and moving with the same velocity as target at its surface. On the propagation way of the ultrasound the
air has then some velocity profJle, which is assumed to be stationary. The flow of air causes a phase shift
for the ultrasonic signal propagating from transmitter to the measurement point. Another phase shift is
caused for the scattered signal propagating from the measurement point to the receiver. The phase shift
Cj>air between transmitted and received signal caused by the flow of air is constant, if the velocity is
constant. When the target and air over it starts moving, the phase shift Cj>air grows up. As the movement
stops, Cj>air diminishes, and the total phase shift caused by the flow of air will be at last zero. The real
velocity profile of air is not perfectly stationary and uniform, but this will probably cause only
uncertainty, not a significant bias error to the measurement.

The One Particle Theory

The phase of the scattered signal is easy to derive when the moving object is a single particle,
assumed to be a point in the measurement area, and the transducers are assumed to be pointlike. Fig. I.
shows the arrangement. The phase shift <pp between received and transmitted signals is caused by the
propagation time of the signal. So the phase shift is derived from the residual of the length of the
propagation way divided by the wavelength of the ultrasound (see equation 3). If it is assumed that the
particle is not moving, the propagation time - depency between the location of point and the phase shift
can be neglected. Results of this theory are valid only if the object has been at rest for at least the
propagation time of the scattered signal from object to the receiver.

Fig. 1 A: Transmitting transducer, centered at a point [O,YA,ZA]

B: Receiving transducer, centered at a point [O,YB,ZB]
p : randomly located scattering points in the plane moving parallel to x-axis

940
 In Fig. I., the distance ep traveled by the signal from the center of the transmitter to the center of
the receiver scattering from the point p is
ep = ep,A + ep,B = "';'-x""~-+-(Y-A---y-p)""'2-+-(-ZA---Zp-)"'2 + "';x~ + (YB - yp)2 + (ZB - zp)2 (1)

If cos( ap,A) = ~ and cos(up,B) =~

ep,A ep,B
then for a little movement dxp of the point p, the change dep in the distance is
dep = (cos( Up,A) + cos( Up,B) )·dxp (2)
This corresponds to the change d<pp of the phase shift between transmitted and received signals:

~=l~
~
m
where 1 : the wavelength of the ultrasound
So, the movement is derived from the phase shift:
1
dxp= ·d<pp (4)
21t[COS(Up,A) + cOS(Up,B)]
If there were only one particle and d<pp had been measured as a function of time, we could integrate
the movement in x-direction as a function of time. But for an exact solution, the location of the point
must be known all the time because the cosines of the angles must be calculated, too! The equation that
relates the movement and the phase shift is deterministic and depends on the location of the scattering
point, if the transducers are assumed to be point-like. If the real transducers are consemed, the phase
responses of radiation and antenna fields are complicated. If the phase responses are well-behaved, the
equation (4) can be used as an approximation.

Scattering Surface
When there are hundreds of scattering points, all randomly situated in the same plane and having the
same movement in x-direction, the situation becomes somewhat stochastic. The individual scattered
signals mal~ combined by a weighted sum, if the surface consists of an collection of independent point
scatterers.' Otherwise a multiple scattering theory of particles should be used, which leads to a very
complicated mathematical formulation. It won't lead to better results unless the exact shape of the
surface is known. In fact, the assumption that the surface consists of independent scattering points may
lead to a general theory, which is applicable to various types of surfaces. The phase of the received signal
is then the weighted mean of phases of the individual scattered signals, the weights being the amplitudes
of the scattered signals in the receiving transducer.
The location of the scattering points is assumed to be uniformly distributed over the surface. The
mean location of the measured points is the middle point of the measurement area (Fig. 1.). The mean
scattering angle is approximately u. The weighted mean of the location of the scattering points is shifted
nearer to the transducers, because the attenuation of the ultrasound is strongly dependent on the distance.
The weighted mean point will also shift a little in y- and z-directions. However, it can be assumed that
the location of the weighted mean point Pm is [Xm,ym,Zm] '" [Xm,O,O]. The estimate Xof the movement is
,,_ 1 d (5)
X - 21t. 2cos( am) . cp
xm
where cos(Um) = " 2 _2 2
Xm+YA+ZA
Urn : the weighted mean of scattering angles
[Xm, 0,0] : the weighted mean of the location of the scattering points
YA= -YB, ZA = ZB : the locations of the transducers (Fig. 1).
For the estimate of the angle am (or the location xm), following are needed:
a) the location and direction of the transducers
b) the beam-pattern product function of the transducers
c) the expected scattering function of points.
d) the distribution function of the location of the scattering points

941
 nM5 [' J

Fig. 2 The modulated and lowpassed signal as a Fig. 3 An example of the quadrature modulated
function of the location of the individual and lowpassed signals from the measure-
scattering point, when the movement (ar- ments. The movement of the target (a log of
row) is parallel to x-axis. The effective mea- birch) has just begun. One cycle of the sig-
suring area is darkened. The length of it is nals corresponds to a movement of about
about 7A12COS(0.), where A. is the wave- 0.9 mm. The measuring angle was 30° and
length of ultrasound and 0. is the measuring the ultrasound of 220 kHz was used.
angle.

For estimating the variance of am also the distribution of the scattering function of the points is nee-
ded.

The conclusions o/the theory

The main result is that if the measured process is stationary, then the angle am is approximately
constant, and the movement of surface can be derived as a function of the phase shift of the received
signal. This relationship is found by calibration for each type of surfaces. The measurements will have
some variance, but the uncertainty tends to decrease as the movement increases. Variance of the estimate
Xdepends mainly on the scattering function of the points and the shape of the beam-pattem product
function of the transducers. To reduce the variance, the shapes of the radiating and receiving fields
should be uniform and smooth in the direction of movement. This happens when the measuring angle is
small (Fig. I). Also the amount of the scattering points and so the size of measuring area has an effect on
the variance. The inaccuracy between different types of surfaces is reduced, when the distribution area
of angle am is reduced by shortening the length of the measuring area. This increases the variance,
because the shapes of the transducer fields become sharper.
The theory was tested by a straigthforward simulation. The scattering function of the measured
points was assumed to be constant. Beside the analysis of the error causing factors, the simulation was
useful in making an image of this phenomenon. The computed signals from the simulation corresponded
to the individual scattered signals after quadrature modulation and ideallowpass-filtering. These signals
may be thought to be bursts as a function of the movement of the scattering points (Fig. 2). The
'wavelength' of the burst is determined by the wavelength of ultrasound and the scattering angle
(equation 4). The length and the shape of the burst are determined by the shape of the transducer fields
in the course of the movement of the scattering point. The strength of the burst is determined by the
strengths of the scattering function and the transducer fields. The distance between bursts is dependent
on the location of the scattering points. In the receiver, the individual bursts are summed with different
delays and the result is like in Fig. 3. This way of thinking clarifies, why the lengths and the shapes of
the transducer fields have relation to the variance of the measured signal.

MEASUREMENTS
A measurement device was constructed for the measurement of the length of logs in a forest
machine. The device uses CW-ultrasound with transducers of either 150 kHz or 220 kHz operational
frequency (from Massa Prod. Co., USA). The received signal is quadratically modulated by in-phase
with the transmitting si~al, lowpass filtered and connected to zero-crossing detector. The total phase

942
 Tablel. Results, when 220 kHz ultrasound and the measuring angle of 30 °were used.

quantity log 1 log2 log3 log4 log5 Iog6 all of the

(spruce) (spruce) (spruce) (pine) (pine) (birch) six logs
amount of measure- 28 24 24 24 23 24 147
ments
mean value of the 0.9546 0.9552 0.9568 0.9581 0.9562 0.9522 0.9555
calibration coefficients
1/21C mm/rad
min. error [%] -0.44 -0.70 -0.62 -0.34 -0.37 -0.54 -0.89
max. error [%] 0.48 0.68 0.58 0.50 0.60 0.66 0.78
variability [%] 0.32 0.39 0.37 0.26 0.27 0.32 0.38

shift is summed by a counter. The resolution of the measurement of the phase-shift was then 27t rad. The
device was found to measure the phase-shift accurately enough. The measurements were done in the
laboratory, where temperature changes and air flow were insignificant. The arrangement of the transdu-
cers was like in Fig. 1. The measuring angles of 30,45 and 60 degrees for both pairs of transducers were
used. The measuring distance was between 10 and 50 cm. In the measurements six logs of pine, birch
and spruce were used. The movements of logs were between 50 cm and 150 cm. The inaccuracy of the
movement was estimated to ± 0.5 mm. The velocity of the movement was below 1 m/s. The maximum
value of the vertical displacement of the surface was about ± 2 mm. The measuring error caused by the
vertical displacement is dependent on the measuring angle.
Some results of the measurements are presented in table 1. The amount of the movement for one
cycle of the phase shift of the received signal is called the calibration coefficient. The calibration
coefficient was calculated by dividing the movement with the measured total phase shift and multiplying
by 27t. The relative maximum deviation of the calibration coefficient is the relative maximum measuring
error for the optimal calibration. In table 1 are presented the mean values of the measured calibration
coefficients. Also 'the relative differences between the mean values and both the minimum and maxi-
mum values are presented. The variabilities of the calibration coefficients (variability is the standard
deviation divided by the mean value) are presented in the last row of the table. In the large amount of
measurements, the uncertainty of the measurement is well described by the standard deviation.
The variability of the calibration coefficient was between 0.3 ... 2 %. The variability was reduced as
the movement was increased, so the bias error between different measurements were small. The
repeatability of the measurements was very good when measuring the same line of the log. The standard
deviation was almost the same in the same log with different measurement lines as between different
logs. The change of the measuring distance caused bias error. When the distance was doubled from 15
cm, the mean value of the calibration coefficients increased about 1 %. This is due to the absorption of
the ultrasound in air and the SIN-ratio; as the measuring distance increases the scattering near the
transducers gets more weight and so the weighted mean scattering angle increases.
The most accurate measurements were found with 220 kHz ultrasound and 30° measuring angle. The
reasons for this are the longer and more regular shapes of the transducer fields in the measuring area, as
the measuring angle is decreased. The error caused by the vertical movement of the surface is decreased
as the measuring angle is decreased. The resolution of the measurement of the phase shift with a counter
has only a little effect to the accuracy. The standard deviation due to the resolution was about 0.26 mm
with 220 kHz ultrasound and 30° mesurement angle and about 0.66 mm with 150 kHz and 60°. The SIN
ratio of the received signal was good and about the same in all of the measurements.
The effects of the air flow and the vibration of transducers on the measurement were tested in a
straightforward way: The vibration of the transducers had an amplitude about 5 mm (about 3 wave-
lengths!) and frequency about 1 Hz. The flow of air was caused by a blower directed towards the
transducers from distance about half a meter. Both of these increased the variability a few amounts. The
measurement worked still reliably.

943
DISCUSSION
The theory of the method has been derived with some simplifications. A measurement device was
constructed and the laboratory tests for it were promising. In addition to the measurement of the
movement of logs there are a lot of possible applications for this method. Some of these have already
been found, for example the speedometer of vehicle.
In medical applications there has been a trend to use pulsed or FM-modulated transmission instead
of CW-ultrasound. From these is more information gained, for example the measuring distance from the
target. Signal processing used to the received signal will bring improvements to the mesurement. Using
the spectrum or the autocovariance function, the measurement error between different types of surfaces
may be reduced. Also the shape of the scattering surface might be derived using the modulated
transmitting signal.

REFERE~CES

1. D. Censor, Acoustical Doppler effect analysis - Is it a valid method?, J.Acoust.Soc.America 83 (4), 1223:1230
(April·1988).
2. H. Mitome, T. Koda, and S. Shibata, Double Doppler ranging system using FM ultrasound, Ultrasonics 22 (5),
199:204 (Sept. 1984).
3. R.P. Williams, On the relationship between velocity distribution and power spectrum of scattered radiation in
Doppler ultrasound measurements on moving suspensions, Ultrasonics 24 (4), 197:200 (July 1986).
4. I. Amir and V.l. Newhouse, On the signal-to-noise ratio enchancement of the Doppler process, Ultrasonics 22
(5), 231 :239 (Sept. 1984).
5. Keinosuke Nagai and J. Greenleaf, Ultrasonic imaging using the Doppler effect caused by a moving transdu-
cer, Optical Engineering 29 (10), 1249:1254 (Oct. 1990).
6. M. Azimi and A.C. Kak, An analytical study of doppler ultrasound systems, Ultrasonic Imaging 7, 1 :48 (1985).
7. W. Brody and J. Meindl, Theoretical analysis of the CW doppler ultrasonic flowmeter, IEEE transactions on
biomedical engineering 21 (3), 183:192 (May 1974).

944
TOUCHLESS DETERMINATION OF 3-D-ARBITRARY SURFACES WITH HIGH

ACCURACY USING 500 kHz AIR ULTRASOUND

R.M. Schmitt*, M. Klein and F.W. Baisch#

* Fraunhofer Institute for Nondestructive Testing

St. Ingbert, Germany
# Institute for Space Medicine, Cologne, Germany

INTRODUCTION

Determination of 3-d arbitrary surfaces is of great

interest in areas as computer assisted machining, in
quality control of machined mechanical components and in
the area of medical diagnosis. In any of these applications
fast information acquisition combined with high accuracy is
almost required.
Several techniques have been developed which either scan
the object mechanically by placing a finger by direct
contact onto the object's surface or the object is
illuminated by a light source and photographs of the object
are taken from different points of view in space. From
those photographs the 3-d surface information can be
calculated which is known as photogrammetry. Distance and
therefore surface information as accurate as light
wavelength are obtained by light interferometry. This
accuracy however is unnecessarily high for many
applications.
Due to the relatively low propagation velocity of sound in
air in comparison with speed of light, pulse echo
techniques employing ultrasound can be used to map
arbitrary surfaces accurately. In this case 3-d surface
information is obtained by measuring the distance between
the object's surface and a known reference position. The
accuracy of distance measurements depends upon the
frequency bandwidth employed: for high accuracy high
frequencies are required. Since sound attenuation in air is
frequency dependent, higher frequencies are more attenuated
then lower ones, a trade off exists between accuracy and
distance which must be minimized by system design.
The idea to develop a system for 3-d surface mapping has
been triggered by manned space operations. In the state of
weightlessness due to zero gravity larger blood volume
shifts from the lower part of the body towards the head and
the cardiovascular system are observed. Due to this effect
astronauts are facing major miscomforts as edemateous face
and eye swellings. Understanding the mechanism of the
cardiovascular response to zero gravity can help to

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. HaIjes, Plenum Press, New York 1992 945
 minimize miscomfort and the possible physiological
al terations espacially in more frequently missiOlIS and
those of longer duration. One way to monitor limb volume
diminuation in the lower body is to monitor limb volume.
For this reason the ultrasound system has been designed,
developed and tested in a first set of experiments, which
is described below.

PRINCIPLE

A PC based modified microcomputersystem, a mechanical

scanning system and a 6 channel ultrasound transmit receive
electronic board are the main parts of the device. The
scanning system consists of a ring which is moved under
computer control in the vertical direction. Six tranducer
pairs (Etalon, industrial air transducer) 500 KHz center
frequency, 0.5 inch aperture working in the pitch/catch
mode are mounted on the ring. The ring is also moved under
computer control horizontaly while each transducer pair
scans an angle of 60 0 Thus the six pairs worke in
parallel scan the whole circle of 360 0 From each
transducer position the distance between the transducer and
the object's surface is determined by the time of flight
measurement (TOF) of a short pulse launched from the
transmitter. Since the distance between the transducer and
the axis of ring rotation is known (Fig.I) the distance
between the axis and the surface can be calculated. While
scanning the surface in one ring plane the object contour
is obtained from which the crossectional area can be
calculated. Moving the ring vertically leads to a set of
contours which essentially are a set of data describing the
complete surface numerically. From the whole set of 3-d
contour data other parameters like segmental volume or
surface can easily be determined.

Fig.I. Determination of contour Calculation of

by time of flight crossection area
measurements

946
The transducers are driven by a Metrotek pulser (M205) and
the signals received are bandpass filtered (480 - 520 KHz,
6dB) and amplified 65 db. TOF is determined employing a
simple leading edge procedure.
Each transducer pair is aligned in such a way, that the
directivity pattern of both transducers form a common field
of view as large as possible. Thus the pulse launched from
the transmitter reflected from the objects surface can be
detected by the receiving transducer. In some cases however
the reflected signal cannot be detected by the receiver. By
scanning the human limb surface this situation occurs in
ca. 10 % of all cases and depends on the reflecting
property of the object. Diffuse reflectors are more suited
to be detected then perfect specular reflectors. An
reflected signal undetected by the receiver leads to a
maximum TOF which is limited by the pulse repetition
frequency. This failure are causing pulse like noise in the
contour data. This noise can be removed effectively by
median filtering.

Fig.2. Contour of a solid aluminium cylinder

estimated crossection: 79,29 cm 2
true crossection: 78,5 cm 2

RESULTS
Fig. 2 depicts the contour of a solid aluminum cylinder 100
mm in diameter. The crossectional area calculated from the
contour data lies in the .5 % accuracy range. Noise due to
undetected echo's are also visible in the figure.
In fig.3 the 3-d surface of a conical cylinder with 3 flat
stripes attached vertically is shown. The dimensions of the
object are 200 mm upper diameter and 150 mm in height.
Fig.4 shows a contour of a human limb taken in the middle
of the tibia. The negative curvature of the contour is also
obtained by the ultrasound pulse echo method.
Fig.5 depicts a whole human limb scanned using 30 planes
with 20 mm spacing.

947
 ica l obj ect
Fig . 3 . 3-d - sur fac e of a sol id con

lim b
Fig .4 . Con tou r of hum an

948
 Fig.5. Whole human limb

T
~r ~
~

--
>4-:
~

" tt ]~~
r"RIm

l.I..
Fig.6. Huma n linm , knee section

949
 Table 1. Accuracy of crossection area estimates
Repeated measurements

1 93,71
2 92,05
3 97,03
4 95,04 Mean: x = 93,55
5 98,57
6 91,28 SD: SX = 2,54

7 92,02
8 91,78
9 92,75
1 0 91, 31

In Fig. 6 the same limb is shown with the knee enhanced.

In Table 1 repeated measurements of human limb
crossectional area estimates are listed. In each
measurements the system and the object has been reset
completely. The standard deviation of the overall
crossection estimates lies in the 2,5 % range.

CONCLUSIONS

The results obtained so far demonstrates clearly the

system's ability to determine the 3-d surface of arbitrary
objects with an accuracy of less then 1 % for solid bodies
crossections and about 2.5 % for human limbs. The lower
accuracy is due to small object movement while scanning. It
can be almost avoided by a more or less rigid fixation of
the object. The ability to measure the surface depends in
this stage of development also on the reflecting property
of the surface. Since each transducer pair is aligned in a
fixed angle to the center of ring rotation only a very
limited range of reflection angles the echo is detected by
the receiver. If the object exhibits a nearly perfect
specular reflecting surface no echoes can be detected if
the reflection angle is out of the receiver angular range
of view. If the surface acts as a more or less diffuse
reflector an echo reflected from the surface can be
detected for any angle of beam incidence.

950
ACOUSTIC RETURNS FROM A WIND-EXCITED SURFACE COVERED WITH MONOMOLECULAR
OIL FILMS

Stanislaw J. Pogorzelski
Environmental Acoustics Laboratory, University of Gdansk
Wita Stwosza 57, 80-952 Gdansk, Poland

INTRODUCTION
Organic sea surface films of biogenic and man-made origin are particu-
larly predominant in coastal zones. They modify the physics of the s2a3
surface and influence remotely sensed optical and microwave imagery. '
One of the most obvious and sensible film-induced effects i~ the Marangoni
damping of short-gravity and capillary ripples water waves. A complete
treatment of this problem also involves the physicochemical properties of
the film itself.
The result is a resonance-type behavior of the relative da~ping coe-
fficient K( f) = oCl oC as a function of surface wave frequency. Here oC
denotes the viscous 8amping coefficient in the presence of a film, and oCo
denotes that of a clean water surface.
The damping ratio can be also extracted from the wind-created water
waves spectra measured in the presence S St~and in the absence S (f) of a
film as a spectra ratio: K (f) = SIS .c , It should be pOintecP out that
this relation is valid only in th~ exfreme case of the aerodynamically
smooth a~r flow over the wavy surface and if the surface is uniformly film-
covered. Moreover, the spectra ratio may be expressed by the corresponding
ratio of low-frequency amplitude fluctuatigns spectra of ultrasonic signal
specularly scattered from a wavy surface. Thus, these spectra can be fur-
ther analyzed to characterize the viscoelastic prope2t~es of the spread film
using a recently developed t-1arangoni damping theory. '
In this paper the author reports on the analysis of the fluctuations
spectra of the ultrasonic signal scattered at a wavy water surface coated
with monomolecular films of oceanographically relevant elastic properties
formed by crude oil derivatives. The spectral enrgy depression derived from
the acoustic scattering data in laboratory wind wave tunnel conditions is
referred to the result of theoretical computations of the K(f) pattern,
assuming10hI1film properties obtained in supplementary Langmuir trough measu-
rements.' The reader is also given some preliminary results of acoustic
scattering experiments carried out in the Baltic Sea coastal zone with arti-
ficial oil slicks performed uSing8al~ree-drifting buoylike acoustic system
recently completed by the author. '

Acouslicallmaging, Volume 19
Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 951
SURFACE FILM EFFECT ON WIND-DRIVEN WAVES
The evaluation of the surfactant effect upon the spectral energy density
of wind waves S(f) requires a comparison of the spectra in the absence S (f)
and in the presence S (f) of the surfactant film all other parameters re~ai­
ning the same. The lo~-am~l;tude water waves damping theory suggests the use
of the following formula: '
So(t) 1- 2'"' + 2 "(2 _ X + Y ( X + "C) (1)
--=
Sc(t) 1-2"t'+ 2 "t'2 - 2 X + 2 X2
E0k2 Eok
where "t =(w/ 2£.,))1/2 X= Y=
2C»{..)3) 112 4 y»'-"
are dimensionless quantities, and k is the wavenumb,r related to the water
wave frequency f by the Kelvin dispersion equation. In Eq.(1)'r' V,~,
and g are the surface tension, kinematic viscosity and density 0 water, and
acceleration due to gravity. The constant rheological parameters characte'- 10
rizing the film are: E = - dt/d Inr is the dilational elasticity modulus,
where r is the film sBrface concentration, and w is the characteristic
frequency, which for insoluble films depends upon ~he structural relaxation
of surfactant molecules w~t~in the film during compression/expansion cycles
of the film-covered area. '
In brief, a measurement of the S (f)/S (f) pattern may lead to chara-
cterization of the surface film 7PhYSi80Chemlcal nature and the film-forming
substance wave-damping ability.

CHARACTERIZATION OF A WAVY SURFACE BY ULTRASOUND SCATTERING

The scattering coefficient can be defined as the ratio of the received
intensity I when the acoustic wave is reflected at the studied surface to
the received intensi2Y when the wave is reflected in the specular direction
by a plane surface. Since the scattered waves are essentially planar over
the receiver aperture, the intensity I is determined from acoustic pressure
measurements. In further considerations the assumption is made that the
output hydroph9r.e voltage U is a linear function of the acoustic pressure 11
(p ...... U and I,,-, p ). In the light of the "high-frequency" scattering theory,
if the beam geometry and acoustic wavelength are known, the scattering coef-
ficient is inversely proportional to the mean-square slope of the surface
under study. That makes the acoustic system of the type mentioned especially
suitable to investigate steep capillary ripples and short-gravity waves 5
playing a principal role in the damping of wind waves by viscoelastic films.
The mean-square slope of a wind-excited surfa~e is derived from the omni-
directional spectral energy density function S(f), and one can obtain from
acoustic scattering measurements carried out for a clean and film-covered
wavy water surface the following equation desr,ibing the spectral energy
depression as widely discussed by the author:

(2)

where Uo(f) and Uc(f) are the low-frequency signal fluctuations spectra in
the case of clean "a" and film-coated "c" surfaces. One can note that the
same "high-frequency" scattering pHnciple is fulfilled in sun glitter and
laser surface probing experiments.

952
LABORATORY EXPERIMENTS
The data presented in this section originate from acoustic scattering
measurements performed by means of a two transducer array based on a specu-
lar scatterAng geometry at a carrier frequency of 10 MHz and a beam incident
angle of 60 in a laboratory wind wave tunnel of small dimensions (0.7 m long).
The tank surface was coated with monomolecular films of oceanographically
relevant elastic properties formed by different c~~I,cially avaUable crude
oil derivatives as described in detail elsewhere.' Fig. 1. presents
the spectra ratio dependences deduced from the signal fluctuations spectra
[Eq.(2U at an air stream speed V=1.4 mis, and the theoretic curves computed
from Eq.(l) (and related to), in which the film elastic properties originate
from supplementary measurements. It is evident that the theory-predicted
sharp peaks at 5.7 and 7.2 Hz do not appear at all in the experimental depen-
dences. However, in the high-frequency region a moderate agreement between
theory and experiment may be observed. This apparent discrepancy is believed
to lie in the nature of 'experiment conditions. Having considered the theore-
tical curves, one can conclude that we h~v7 got surface films of medium wave-
damping ability as argued by HOhnerfuss. ' Although, the experimental values
taken by the spectral depression turned out to be far lower ( about 3-4)
without the distinct peak frequency that is characteristi9 for a surface-
active film-forming material of low wave-damping ability.

1ft
o - - - SELECl'DL
E-- I
.: '.
\

~ 10
I '
I '. ----- HIPDL15
I
I
'\

0::: i \ THEORY
0:::
E-6
u
)
I
""/j
_____________________ _
w '.
[L
iJl Z
o 2 v ~ ~
FRE[;jUENCY [HZ]

Fig. 1. Spectral energy depression S ( f )/ S (f) derived from

acoustic scattering data, an8 the tReoretic dependence,
in which the elastic properties of films originate
from supplementary Langmuir trough measurements, for
Selectol ( - ) and Hipol 15 (---) oils.

OPEN-SEA EXPERIMENTS
Studies of an artificial oil slick influence on the amplitude fluctu-
ations spectra of the ultrasonic signal scattered at a wavy sea surface were
performed in October, 1989 in the Baltic Sea coastal zone from aboard the
platform built on piles about 200 m off-shore in a depth of 15 m. The
acoustic system in a form of free-drifting, lightweight buoylike arrangement
was already applied for remote sensing of polluted seal~reas and has similar
acoustic features ~ike used in the laboratory studies. Unlike the previous

953
at-sea experiment, now the frequency analysis of signal fluctuations is
carried out over the frequency band 2-40 Hz by means of an r~alog band-pass
filter having a width of 23 % (type 1621, BrOel and Kjaer ) • Two crude oil
derivatives: engine oil Selectol and Gasoline 94 were used as an artificial
slick-forming material. This report deals with the study of small slicks esti-
mated to be 20 m in radius when the sea is calm. Fig. 2. presents an illustra-
tive example of the spectral energy depression for a Gasoline 94 slick
(triangles and solid line) deduced from acoustic data at a wind velocity of
2.3 m/s. The shape of the spectral ratio clearly exhibits a Marangoni-type
damping behavior. Thus the height (~ 6.2) and the peak frequency (= 11 Hz)
referred to Eq.(l) and related to lead to the rheological parameters of 7the
spread film of E = 5.6 mN/m and w = 3.5 rad/s. According to HOhnerfuss,
we have got a su~face film of weaR wave-damping ability comparable to that
of natural slicks of biogenic origin and/or weathered crude oil origin spills.
Fig. 2. also collects the spectra ratios for a Selectol-covered surface
(circles) and for polluted waters being enriched with municipal effluents
(black points). There is no any evidence of a resonancelike behavior in the
spectral energy depression dependences,

7,-----_______________________

6 A GRSOLI NE 9£1
o SELE['fOL
.... 5 • [ONT. WRTER
I-
lJl
go 4
l-
ii 3
u
~U2
"-
uf1
O~~--~~--~--L--~--~~--~
o 5 10 15 20 25 30 35 40 45
FREQUENCY [HZ]

Fig. 2. Depression of the spectral energy density of wind-driven

waves for sea surfaces covered with monomolecular films
of crude oil origin (A, 0) and enriched with municipal
effluents (.), measured by means of an acoustic buoy like
system at low wind speeds.

CONCLUDING REMARKS
Acoustic scattering measurements on the spectral energy depression of
wind waves by crude oil origin films of oceanographically relevant elastic
properties carried out in laboratory conditions showed a moderate agreement
with the theoretical dependences, in which the film properties originated
from supplementary measurements. It has been demonstrated in preliminary
open-sea experiments,performed using a buoylike acoustic system with an arti-
ficial oil slick at low sea states, that the spectra ratio can be analyzed
to characterize the viscoelastic properties of a film which for a Gasoline-
covered sea surface turned out to be comparable to these of natural slicks
and/or weathered crude oil spills.

954
ACKNOWLEDGMENTS
The author wishes to thank Profs R. Cini and G. Loglio and co-workers
(University of Florence) for enlightening discussions. The author is also
grateful for an Individual Mobility Grant provided by the European Community
under the TEMPUS program.

REFERENCES
1. W. R. Barger, W. H. Daniel, and W. D. Garrett, Surface chemical proper-
ties of banded sea slicks, Deep-Sea Res.21:B3 (1974).
2. R. Cini, P. P. Lombardini, and H. Hahnerfuss, Remote sensing of marine
slicks utylizing their influence on wave spectra, Int.J. Remote
Sensing 4:101 (1983).
3. F. L. Herr, and J. Williams, "Role of Surfactant Films on Interfacial
Properties of the Sea Surface," ONRL Workshop Proc.Rep. C-1l-86,
Office of Naval Research, London (1986).
4. R. Cini, P. P. Lombardini, C. Manfredi, and E. Cini, Ripple damping due
to monomolecular films, J.Colloid Interface Sci. 119:74 (1987).
5. H. Hahnerfuss, W. Walter, P. A. Lange, and W. Alpers, Attenuation of wind
waves by monomolecular sea slicks and the Marangoni effect, J.
Geophys. Res. 92,C4:3961 (1987). ---
6. P. P. Lombardini, B. Fiscella, P. Trivero, C. Cappa, and W. D. Garrett,
Modulation of spectra of short gravity waves by sea surface films:
Slick detection and characterization with a microwave probe, J.
Atmos. Ocean Tech. 6:882 (1989). ---
7. H. HUhnerfuss, "The Molecular Structure of the System Water/Monomolecu-
lar Surface Film and Its Influence on Water Wave Damping," Habili-
tation Thesis, University of Hamburg, Hamburg (1986).
8. S. J. Pogorzelski, Remote sensing of the sea oil pollution by means of
high-frequency surface scattering, Arch. Acoust. 15:211 (1990).
9. O. M. Phillips, Spectral and statistical properties of the equilibrium
range in wind-generated gravity waves, J. Fluid Mech. 156:505
(1985) .
10. A. ~J. Adamson, "Physical Chemistry of Surfaces," Wiley, New York (1982).
11. S. J. Pogorzelski, A monomolecular organic film effect on wind-driven
waves deduced from ultrasound scattering, J. Acoust.Soc.Am. (1990),
(in press).
12. J. A. Ogilvy, Wave scattering from rough surfaces, Rep.Prog.Phys.50:1553
(19B7) .
13. S. J. Pogorzelski, Suppression of wind waves by monomolecular films of
crude oil origin derivatives deduced from acoustic surface scat-
tering, J.Phys.Oceanogr. (submitted).

955
 OBJECT RECOGNITION USING
AN ULTRASONIC SENSOR SYSTEM

M. Lach and H. Ermert

Institut fiir Hochfrequenztechnik, Ruhr- Universitat Bochum

Universitatsstr. 150
W-4630 Bochum 1, Fed. Rep. of Germany

Abstract

A sensor system for object recognition with application to robotics is presented. It consists
of a pair of broadband transducers operating at wavelengths of some millimeters in air.
Arranged in side-looking position with respect to the objects the transducer pair is moved
across a linear aperture yielding spatial and spectral information. An angle dependent
spectrum is calculated which allows object displacements. A pattern is generated which
is invariant according to object rotations of several degrees. During a teach-in procedure
data are collected from an ensemble of objects. A small set of discrimination vectors
is calculated using the Karhunen-Loeve expansion and discriminant analysis. Objects
belonging to the ensemble are identified by a k-nearest neighbour classifier.

Introduction

Industrial manufacturing processes require remote sensors for robotic applications. Op-
tical methods have found wide spread in object imaging or recognition. Using similar
methods it is possible to identify objects by ultrasound in air. Scattered acoustical waves
characterize an object by its shape only, but they are not influenced by optical properties
like color or transparency. This could be of advantage for special applications. On the
other hand, ultrasound is more sensitive to disturbances of the industrial environment,
such as temperature changes, fluctuations and attenuation in air [1]. The evaluation of
distances in a robot workspace by time of flight measurement is a usual application of
ultrasonic sensing. Several approaches to acoustical imaging by holographic algorithms
providing axial and lateral object information with respect to the direction of wave prop-
agation exist as well [2],[3]. Yoneyama and coworkers [4] use a small number of array
transducers in combination with a neural network for object identification.
The sensor system presented here is based on a modified holographic principle with
the goal of generating specific object patterns followed by a classification procedure.

Acoustical Imaging, Volume 19

Edited by H. Ermert and H.-P. Harjes, Plenum Press, New York 1992 957
SYNTHETIC / x1"z z

APERTURE~~,L. ..~~ y
r<-" ~ I TRANSDUCERS REFERENCE
I'~J REFLECTOR

~l/" )
(ro d")

~OBJECT
FLAT SURFACE x

LINEAR APERTURE

Figure 1. Arrangement of transducers Figure 2. Geometrical relations of syn-

and objects. thetic aperture and scatterers.

Holographic reconstruction

The objects of investigation are located on a flat surface. Their acoustical scattering
properties depend on the directions of insonification and of scattering detection. For iden-
tification their position has to be taken into account as well. Therefore, spatial diversity is
required using various transducer positions for data collection. To use a one-dimensional
aperture instead of a two-dimensional one, we chose the arrangement shown in Fig. 1.
A pair of transducers (transmitter&receiver) is placed in a side-looking location with
respect to the object area. By moving the transducers across a linear aperture, ultrasonic
pulses are transmitted from several positions. The receiver signals contain information
about the structure of the object, which has been viewed from various directions. To obtain
a specific pattern for each object of interest, acoustical imaging by holographic means is
a possible way. But the reconstruction of point scatterers, which is the base of regular
imaging procedures, does not seem to be optimal for identification tasks. Additionally,
extensive computations should be avoided for an efficient recognition procedure. Thus, we
propose a reconstruction of reflecting planes and of scattering straight-lined edges utilizing
angle dependency and spectral information.
In order to derive a reconstruction formula for straight line reflectors, the geometrical
relations of Fig. 1 are shown schematically in Fig. 2. The procedure is a modification of the
imaging concept for point scatterers presented in [5]. For simplification transmitter and
receiver are combined to one unit (Monostatic arrangement). This is moved along the x-
axis corresponding to the concept of a linear synthetic aperture. The transducer is excited
by a broadband-signal fTR(t), which can be represented in the frequency domain by
FTR(W). For each position XA the corresponding echo leads to a receiver signal FR(w, XA).
Assuming a straight line reflector as reference at distance ro and angle 'P, the reference
signal FF can be written as:
(1)
The systems transfer-function Fs(w) includes linear distortions of amplifiers and trans-
ducers. The velocity of propagation in air is expressed by Vp- The propagation factor 1/r2
is neglected as the object area is considered to be small compared to the distance from
the aperture. An angle dependent function FA may be formed:

FA(w,'P) = J
XA
FR(w,XA) F;(W,XA, ro, 'P) dXA (2)

958
Equation (2) describes a correlation of the receiver signal FR and the complex conjugate
of the reference signal FF, which can be interpreted as a spatial matched filter operation.
Substituting (1) into (2) yields:

(3)

As only the magnitude is considered, the expression exp( -2jwro/vp) in (1) vanishes. Thus,
an angle dependent amplitude spectrum has been found for characterizing an object. It
is invariant with respect to displacements ,6.x and ,6.z.

Feature selection and pattern classification

For obtaining an efficient classification of object data, a feature vector of low dimension
is required. In the preceding Section the preprocessing of the echo data was explained. A
frequency- and angle-dependent pattern is assumed to exist at discrete sampling points
forming a N w x N<p matrix based on measured data according to (3), where N w denotes
the number of spectral lines and N<p the number of angle positions. The elements of the
matrix are reordered to construct a feature vector x of the dimension N = N w • N<p:
X=(XI ... XN)T (4)
In order to select specific properties of x and to reduce the number of elements, the
Karhunen-Loeve expansion is used [6J. It is based on the calculation of eigenvalues and
eigenvectors of the estimated covariance matrix. Arranging the eigenvectors according to
the descending order of the corresponding eigenvalues, only the first L eigenvectors are
chosen:
(5)
~ contains the relevant vectors to perform a transformation from the N-dimensional
feature space of x to a subspace of lower dimension L. A transformed vector y can be
written as:
... YL)
T -T
y = ( Yl = 'I! x (6)
The optimal number L of chosen eigenvectors is a compromise with respect to the required
accuracy of data approximation and a minimum of dimension of the subspace. This trans-
formation has good capability of data representing, but is not optimal for distinguishing
among the classes. Thus, another transformation is used in a second step. It is based on
the Discriminant analysis [6J. The scalar value J has to be maximized which is known as
Hotelling trace criterion:
J = tr{S;:lSb}. (7)
Sw is the whithin-class scatter matrix and Sb the between-class scatter matrix. Both may
be expressed by the class mean vector mi and class covariance matrix C i as:
Sb = L P(Oi)(mi - mO)(mi - mo)' (8)
Nc

Sw = L P(Oi)C i (9)
Nc

P(Oi) denotes the apriori probability of class Oi and Nc IS the number of classes. The
term mo is a mixture of all mean vectors:
mo= LP(Oi)mi (10)
Nc

959
The discriminant vectors ~i for better class separation are found by calculating the first M
eigenvectors of S;;;lSb with dominant corresponding eigenvalues. A further linear mapping
leads to a vector c of lower dimension M:
c =i Ty (11)

with i = (~1 ~2 ... ~M ) .

The substitution of (6) into (11) directly yields:

c = iTq,Tx (12)
The ensemble of patterns {x(v)} has to be mapped into the subspace and stored in a
memory forming an ensemble {c(v)} of known objects. The measurement of Euclidian
distances leads to a simple decision rule about the class of an unknown pattern c(u). This
so called k-nearest neighbour classifier [7] does not require a normal distribution of each
pattern class. If the k nearest neighbours of c(u) in {c(v)} belong to class Di , then c(u) is
assumed to be a member of class Di as welL

Experiments

The experimental setup is shown in Fig. 4. The entire system is controlled via an IEEE488-
BUS by a HP9000/319 workstation. The transmit signal is loaded into a waveform gen-
erator of 8 bit resolution. To improve the signal-to-noise ratio we use a chirp of 120 I1S
duration instead of a short burst or pulse. The transmitted frequency ranges from 80 kHz
up to 280 kHz. The received signal passes a low-noise pre-amplifier followed by a lowpass
filter and is sampled by a transient recorder at a rate of 1 MS/s. After starting a measure-
ment the transducers are moved continuously using a position controller. The triggering
of the waveform generator is synchronized with the stepper motor position by a trigger
unit leading to equally spaced spatial sampling points. The objects are located approx-
imately in a 150 mm distance from the aperture. 120 samples with a spatial sampling
rate of l/mm are digitized. We use transducers of type L2QZ supplied by Siemens AG,
Miinchen. Especially designed for application in air a good matching to this medium and
a broad bandwidth of approximately 250 kHz is provided.
The system properties were tested using flat objects made of sheet metal 0.5 mm thick.
The shape of six different types are shown in Fig. 3 . The arrangement of object no.1 with
respect to the aperture is illustrated in Fig. 1.
Taking object no.1 in normal and somewhat rotated position two functions calculated
by equation (3) are plotted in Fig. 5 . Because the rotation results in a shift concerning
the angle, the pattern has to be centered. The normalized pattern sampled at N w = 20
spectral lines and N", = 11 angle positions yields a feature vector of dimension N = 220.
The used frequencies range from 100 kHz to 250 kHz, the total range of angle is 20°.
According to a teach-in procedure 342 measurements were made allowing tolerances
of displacements of ±10 mm in x- and z-direction and object rotations in a range of ±9°.
The patterns were calculated and the transformation matrix is stored forming the data
base for the k-nearest neighbour classifier with k = 3.

15 14 13 13 15 15
f---------l f-----I 1---1 f---j f-----1

sI LL? V V V V ~l
3·T
1 2 3 4 5 6
Figure 3. Contours of test objects.

960
 POWER-AMPIJFIER PRE-AMPLlFJER
r-
I

LOWPASS
FILTER
TRANSKIT/RECEIVE-
TRANSDUCERS

Figure 4. Experimental setup.

NORMAL ORIENTATION ROTATED 6 DEGREES

20~--or~~---.------, 20~~~------~-----,
~'V

10
Q

200
FREQUENCY IN KHZ FREQUENCY IN KHZ

Figure 5. Contour plots of angle dependent amplitude spectra FA(w,<p) (equation (3))
for object no. 1. An object rotation of 6 0 results in a shifted function shown in the
right diagram. For further transformations a centered pattern is formed illustrated by the
dashed lines.

1.5

Ai
0.5

6"
4~4
4 4

""u 0 2t

-0.5
3_
-1

-1.~2 -1.5 -1 -0.5 0 0.5

c2
Figure 6. Clusters of six objects consisting of 13 observations each marked by their num-
bers as shown in Fig. 3.

961
Results

The recognition capabilities were tested using another set of patterns calculated from
228 measurements. Keeping the tolerances of object positioning equal to those mentioned
before, we found a total recognition rate of approximately 98 %. The transformation of
patterns using only two discrimination vectors provides a two-dimensional subspace with
corresponding coordinates C2 and C3. Fig. 6 illustrates the pattern mapping for six object
classes.

Conclusions

A system for object identification based on ultrasonic means has been developed. Uti-
lizing spectral and spatial information of the scattered sound, the patterns are calcu-
lated to characterize objects allowing certain tolerances of displacement and rotation.
The Karhunen-Loeve expansion and the discriminant analysis is used to find a small set
of discrimination vectors mapping the patterns into a small subspace by a linear trans-
formation. The object classes are found by a k-nearest neighbour classifier using data of
a teach-in measurement procedure.

Acknowledgements

The authors are indepted to the Deutsche Forschungsgemeinschaft DFG for the support
of this work (Project No. Er 94/6-1) and to V. Magori and J. Loschberger, Siemens AG
Miinchen, for supplying the ultrasonic transducers and for stimulating discussions.

References

[1] U. Ahrens, "Moglichkeiten und Probleme der Anwendung von Luft-Ultraschall-

sensoren in der Montage- und Handhabungstechnik", Robotersysteme, 1(1985) 19-28.

[2] J. Loschberger, llltraschall-Sensor-System zur Bestimmung axialer und lateraler

Strukturen mit Hilfe bewegter Wandler zum Einsatz in der industriellen Automation,
Dissertation, Universitat der Bundeswehr, Miinchen, 1988.

[3] A. Knoll, "Akustische Holographie - ein Hilfsmittel zur Bestimmung der raumlichen
Position von Objekten in der Robotik", Robotersysteme, 4(1988) 193-204.
[4] M. Yoneyama, S. Watanabe, H. Kitagawa, T. Okamoto, T. Morita, "Neural net-
work recognizing 3-dim. object through ultrasonic scattering waves" ,Proc. of IEEE
Ultrasonics symposium, Chicago, fllinois, U.S.A., Oct. 1988, pp. 595-598.
[5] G. Prokoph, H. Ermert, M. Kroning, "A broadband-holography imaging system for
nondestructive evaluation" , Proc. of the 15th internat. symposium of acoustical imag-
ing, Halifax, Nova Scotia, Canada, July 1986, in H. Jones (ed.), Acoustical Imaging,
Vol. 15, Plenum Press, New York and London, 1987, pp. 547-557.

[6] K. Fukunaga, Introduction to statistical pattern recognition, Academic Press, New

York, 1972, pp. 226-250,258-264.

[7] H. Niemann, J(lassifikation von Mustern, Springer-Verlag, Berlin, 1983, pp. 195-204.

962
PARTICIPANTS

Alig, Ingo Attal, Jacques

TH Merseburg Univ. de Montpellier II
Fachbereich Physik Lab. de Microacoustique
Otte-Nuschke-StraBe Place de Bataillon
0-4200 Merseburg F-34095 Montpellier-Cdx
Germany France

Altmeyer, P.
Dermatologische Klinik Bahl, Rajender
St. Josef Hospital Centre for Applied Research in
Gudrunstr, 56 Indian Institute of Technology
W-4630 Bochum 1, Germany Hauz Khas
New Delhi 110016
Amnon, Adin India
22 Harel Str.
Haifa 34555, Israel Balk, Ludwig Josef
Universitat Duisburg
Anderson, Forrest Werkstoffe der Elektrotechnik
Impulse Imaging Kommandentenstr. 60
P.O. 1400 W-4100 Duisburg 1
Bernailuo, NM 87004 U.S.A. Germany
Andrews, David Richard
Kings College, Instrumentation Bamber, Jeffrey C.
Innovation Ltd. Dept.Elec.Eng. Institute of Cancer Res.
Strand Royal Maasden Hospital
London WC2R 2LS Downs Road
United Kingdom sutton Surrey, SM 2 5PT
united Kingdom
Aoki, Yoshinao
Hokkaido University Bamberg, Joachim
Dept. of Information Eng. MTU Motoren- und
N13, W8 Turbinen-Union
Sapporo Dachauer Str. 665
Japan W-8000 Munchen 50
Arnold, Walter Germany
Fraunhofer-Institute
Bldg. 37, University Barbian, otto A.
W-660 Saarbrucken 1 Salzgitter Industriebau
Germany GmbH
P.O. Box 41 11 69
Atalar, Abdullah W-3320 Salzgitter 41
Bilkent University Germany
Bilkent, Ankara 06533
Turkey

963
Bardan, virgil
Computer center of IPGG
Str. Coralilor 20, SECTOR 1
78449 Bucharest
Romania
Baumann, Joachim
Siemens AG
ZPL 1 IF 42
Otto-Hahn-Ring 6
W-8000 Munchen 83
Germany
Bayer, Georg
DPG / DEGA
RWTH Aachen, Inst.f.Techn.
Akustik, Templergraben 51
W-5100 Aachen
Germany
Beller, Ursula
Universitat Dortmund
Fachgeb. Qualitatskontrolle
Emil-Figge-str. 74
W-4600 Dortmund 50
Germany
Benenson, Z.M.
USSR Academy of Sciences
Inst. of Chemical Physics
Kosygin Str. 4
117334, Moscow
USSR
Bennett, Ronald David
Crown Int.
P.O. Box 1000
1718 W.Mishawaka Rd.
Elkhart, IN 46515-1000
U.S.A.
Bereiter-Hahn, Jurgen
J.W. Goethe-Universitat
Cinematic Cell Res. Group
Senkenberganlage 27
W-6000 Frankfurt am Main
Germany
Beresnev, Igor A.
USSR Academy of Sciences
Inst.of Physics of the Earth
Bolshaya Gruzinskaya 10
Moscow 123810
USSR
Berger, Genevieve
CHU Cochin
URA 593
24, rue Fbg. st ~acques
756674 Paris
France
964
Biagi, Elena
Universita di Firenze
Dep. Ingegneria Elettronica
Via S.Marta, 3
I-50139 Firenze
Italy
Billon, A.C.
Lab. d'Electronique Philips
B. P. 15
22, avenue Descartes
94451 Limeil-Brevannes
France
Bleck, Jorg Siegfried
Medizinische Hochschule
Hannover
Konstanty-Gutschow Str. 8
W-3000 Hannover
Germany
Blessing, Horst
Universitat Karlsruhe (TH)
Inst. f. MeB- und Regelungs-
technik, P.O. Box 6980
W-7500 Karlsruhe 1
Germany
Bonnefous, Odile
Laboratoires d'Electronique
Philips
22, avenue Descartes,B.P.15
94453 Limeil-Brevannes
France
Boseck, S.
Universitat Bremen
Inst. f. Werkstoffphysik
Postfach 330440
W-2800 Bremen 33
Germany
Brandenburg, Wulf
Forschungsges. f. angew.
Naturwissenschaften
Neuenahrer Str. 20
W-5307 Wachtberg-Werthoven
Germany
Bredie, Peter
Bruel & Kjaer
Postbus 1205
3430 BE Nieuwegein
The Netherlands
Bressmer, Hermann
Universitat stuttgart
Seidenstr. 36
W-7000 stuttgart 1
Germany
Bukhny, M.A. Chilla, Eduard
center of Acoustic Microscopy Zentralinst. fur
Inst. of Chemical Physics Elektronenphysik
USSR Acad.of Sci.,Kosygina 4 Hausvogteiplatz 5-7
Moscow 117977 0-1086 Berlin
U.S.S.R. Germany

Burggraf, Hubert Chrissoulidis, Dimitris P.

Krupp Atlas Elektronic GmbH EE Dept. Aristotle Univ.
AJ:It. KPE of Thessaloniki
Postfach 44 85 45 P.O. Box 1562
W-2800 Bremen GR-54006 Thessaloniki
Germany Greece

Burov, Valentin A. Christ, Andreas

V.M. Lomonosov Moscow State
Univ., Physica~ Department
Moscow 119899
USSR
cambiaso, Andrea
Dibe-university of Genova
Via Opera Pia 11A
16145 Genova
Italy
Cantrell, John H.
NASA Langley Research
Center
Mail stop 231
Hampton,Virginia 23665-5225
U.S.A.
carpenter, Robert N.
U.S. Naval Underwater Systems
Center
Newport, RI
U.S.A.
Cassereau, D.
Lab. Ondes et Acoustique
univ. Paris VII, ESPCI
10, rue Vauquelin
75231 Paris Cedex 05
France
Challande, Pascal
universite Paris
Lab. de Mechanique Physique
2 Place de la gare de ceintu~e
78210 Saint-Cyr
France
Chernozatonskii, L.A.
USSR Academy of Sciences
Inst. of Chemical Physics
Kosygin Str. 4
117334 Moscow
USSR
Martin-Luther-Univ. Halle
Inst. fur Angew. Biophysik
StraBe der DSF,P.O.Box 302
0-4010 Halle (Saale)
Germany
Chubachi, Noriyoshi
Tohoku Univ., Faculty of Eng.
Dept. of Electrical Eng.
Aramaki-aza-Aoba
Sendai 980
Japan
Cola, Tiziano
CISE
Via R.Emilia, 39
I-20090 Segrate (MI)
Italy
Collet Billon, Antoine
Laboratoires d'Electronique
Philips
22, avenue Descartes,B.P.15
94453 Limeil-Brevannes
France
Corno, Carlo
Eniricerche
Via Ramarini 32
00015 Moterotondo (Roma)
Italy
CWik, Andrzej
Ruhr-Universitat Bochum
Institut fur HF-Technik
Universitatsstr. 150
W-4630 Bochum
Germany
da F. Costa, Luciano
University of London
19a Seymour Gardens
Ilford Essex IG1 3LN
United Kingdom

965
de Fraguier, sixte
Thomson sintra DTAS
399 Route des Cieles, BP 138
06561 Valbonne Cedex
France
Den Rooijen, Huub P.G.M.
Shell Research
P.O. Box 60
2280 AB Rijswijk
The Netherlands
Desmet, Carl
K.U. Leuven
Celestynenlaan C 200 D
3000 Leuven
Belgium
Dietsche, Werner
Max-Plank-Institut fur
Festkorperforschung
Heisenbergstr. 1
W-7000 Stuttgart 80
Germany
Dombrowski, Boris Andreas
Ruhr-Universitat Bochum
Universitatsstr. 150
W-4630 Bochum 1
Germany
Domnik, Michael
Universitat Duisburg
FB Elektrotechnik
Kommandantenstr. 60
W-4100 Duisburg 1
Germany
Duchene, B.
Equipe Electromagnetisme
Lab. des Signaux et Systemes
CNRS-ESE, Plateau de Moulon
91192 Gif-sur-Yvette
France
Dyka, Andrzej
Technical Univ. of Gdansk
Inst. of Telecommunications
ul. Majakowskiego 11/12
80-952 Gdansk
Poland
Dziewonski, Adam M.
Harvard University
Dept.of Earth and Planetary
Sci., 20 Oxford Street
Cambridge MA 02138
U.S.A.
966
Eckert, Albe.rt
Siemens AG
ZPL 1 TW 42
Siemensdamm 50-54
W-I000 Berlin 13
Germany
Ehinger, Andreas
Institut Francais du Petro Ie
4 avo de Bois-Preau, BP 311
92506 Rueil Molmaisson Cedex
France
Einighammer, Hans J.
Neurologische
Universitatsklinik
Moorenstr. 5
W-4000 Dusseldorf 1
Germany
Eiselt, Frederic
Lab. de Mecanique de Lille
I.D.N. Cite scientifique
B. P. 48
'F-59651 Villeneuve d'Asq Cdx
France
Eisenmenger, Wolfgang
Universitat Stuttgart
1. Physikalisches Institut
Pfaffenwaldring 57
W-7000 Stuttgart 80
Germany
el-Gammal, S.
Ruhr-Universitat Bochum
Hautklinik
Gudrunstr. 56
W-4630 Bochum 1
Germany
Englich, Detlef
Universitat Oldenburg
FB Physik
Postfach 2503
W-2900 Oldenburg
Germany
Entschladen, Helmut
Ruhr-Universitat Bochum
Inst.f. Hochfrequenztechnik
P.O. Box 10 21 48
W-4630 Bochum 1
Germany
Erikson, Ken
Diasonics, Inc.
1565 Barber Lane
Milpitas, CA 95035
U.S.A.
Ermert, Helmut Forsberg, F.
Ruhr-Universitat Bochum Dept. of Medical Physics
lnst.f. Hochfrequenztechnik & Med.Eng., Dulwich Hospital
P.O. Box 10 21 48 East Dulwich Grove
W-4630 Bochum 1 London SE22 8PT
Germany United Kingdom
Every, Arthur George Friedrich, Werner
Univ. of Witwatersrand Siemens AG
Physics Dept. Bereich Med., Abt. USP 2
P.O. WITS 2050 Henkestr. 127
Johannisburg W-8520 Erlangen
South Africa Germany
Fein, M. Gadomski, A.
Dt. Krebsforschungsinstitut Universitat Bremen
Inst.f.Radiol.und Pathophys. lnst. f. Werkstoffphysik
1m Neuenheimer Feld 280 Postfach 330440
W-6900 Heidelberg W-2800 Bremen 33
Germany Germany
Ferrara, Katherine W. Gai, Huawen
University of California, BP-Research
Davis Chertsey Road
141 Crow Canyon Drive Sunbury-on-Thames, TW16 7LN
Folsom, CA 95630 United Kingdom
U.S.A.
Gan, Woon Siong
Filipczynski, Leszek Acoustical Services (1989)
Polish Academy of Sciences Pte Ltd
Swietokrzyska 21 29 Telok Ayer Street
00-049 Warszawa singapore 0104
Poland Republic of singapore
Fink, Mathias Gandor, stanislaw
Lab. d'Electronique Ruhr-universitat Bochum
Philips Institut fur HF-Technik
22, avenue Descartes Universitatsstr. 150/IC6
94453 Limeil-Brevannes W-4630 Bochum
France Germany

Flannery, John Ganz, Sybille

Univ. College, Lee Maltings
National Microelectron. Res.
Centre, Prospect Row
Cork
Ireland
Flax, Stephen W.
FlexTech Systems, Inc.
333 Bishops Way Suite 150
Schenectady, NY 12301
U.S.A.
Forgber, E.
Universitat Bremen
lnst. f. Werkstoffphysik
Postfach 330440
W-2800 Bremen 33
Germany
Leica Mikroskopie und
Systeme GmbH
Postfach 20 40
W-6330 Wetzlar
Germany
Garavaglia, Renata
CISE
Via Reggio Emilia, 39
1-20090 Segrate (MI)
Italy
Gassmann, Bernhard
Klinikum Berlin-Buch
Inst.f.klinische Ultraschall-
diagnostik, zepernicker Str.l
0-1115 Berlin
Germany

967
Gebel, Micheal J. Gu, Benli
Med. Hochschule Hannover Southeast University
Dept. of Biomedical Eng.
W-3000 Hannover 61 Nanjing 210018
Germany P.R. China
George, o.
Centre for Applied Res. Guicking, D.
in Electronics 3. Physikal. Institut
lIT Delhi der Universitat G6ttingen
New Delhi 110016 Bergerstr. 42-44
India W-3400 G6ttingen 1
Germany
German, Ismail Gurtovoi, Vladimir L.
Marmara Scientific and USSR Academy of Sciences
Industrial Res. Center Inst. of Microelectron.Techn.
P.O. Box 21 142432 Chernogolovka
41470 GEBZE Moscow region
Turkey
USSR
Gindre, M. Haider, Bruno
Laboratoire d'Imagerie Interspec Inc.
Paramtrique, CNRS 6211 110 W. Butler Ave.
24 Rue du Faubourg St.Jacques Ambler, PA 19002
75014 Paris U.S.A.
France
Hammentgen, Ralf
Giunta, Giuseppe RUB
Eniricerche Medizinische Klinik
via Ramarini 32 Gudrunstr. 56
00015 Monterotondo (Roma) W-4630 Bochum
Italy Germany
Hansen, Rolf Kahrs
Gopinathan, Gopal OmniTech as.
Diasonics, Inc. Nedre Aastveit 12
1565 Barber Lane N-5083 Ovre Ervik. Bergen
Milpitas, CA 95035 Norway
U.S.A.
Harjes, Hans-Peter
Grassin, Patricia Ruhr-Universitat Bochum
University Paris VI Institut fur Geophysik
LSS-ESE P.O. Box 10 21 48/NA 3
Plateau de Moulen W-4630 Bochum 1
F-91192 Gif sur Yvette Germany
France
Hassler, Dieter
Greiner, Thomas Siemens AG
Universitat Kaiserslautern Medizinische Technik, GG 32
FB ET Henkestr. 127
Postfach 3049, FB ET IC6/
W-6750 Kaiserslautern W-8520 Erlangen
Germany Germany

GroBe, Christian Healey, Andrew

Forschungs- und Material-
prufungsanstalt
Pfaffenwaldring 4
W-7000 stuttgart 80
Germany
Kings College London
Dulwich Hospital
East Dulwich Grove
Dulwich London
united Kingdom

968
Hein, Hans-Joachim
Martin-Luther-Univ. Halle
Inst. fur Angew. Biophysik
StraBe der DSF,P.O.Box 302
0-4010 Halle(Saale)
Germany
Hein, Ilmar A.
University of Illinois
1406 W. Green st.
Urbana, IL 61801
U.S.A.
Herrmann, Bernd
Martin-Luther-Univ. Halle
Inst. fur Angew. Biophysik
StraBe der DSF,P.O.Box 302
0-4010 Halle (Saale)
Germany
Hetzel, Gerd
Siemens AG
Bereich Med., USL 2
Henkestr. 127
W-8520 Erlangen
Germany
Hillger, Wolfgang
DLR-Braunschweig
Postfach 3267
W-3300 Braunschweig
Germany
Hofelmann, Georg
Universitat Duisburg
FB 9 Nachrichtentechnik
Bismarkstr. 90
W-4100 Duisburg
Germany
HoB, Alfred
Ruhr-Universitat Bochum
Inst.f. Hochfrequenztechnik
Universitatsstr. 150, HFT,
W-4630 Bochum 1
Germany
Hoffmann, Klaus
Universitat Bochum
Hautklinik
Gudunstr. 56
W-4630 Bochum
Germany
Holm, sverre
P.O. Box 300
1322 Hovik
Norway
Huissoon, J.P.
University of Waterloo
Dept. of Mechanical Eng.
Waterloo, ontario N2I 3G1
Canada
Huo, Di
FB 16, GH Kassel
P.O. Box 10 13 80
Wilhelmsh6he AIle 71
W-3500 Kassel
Germany
Ishihara, Ken
The First Dept. Med. Osaka
Univ., 1-1-50 Fukushima
Fukushima-ku
Osaka-City, 553
Japan
Jacobs, E.G.M.P.
University of Nijmegen
Dept. of opthalmology
P.o. Box 9101
6500 HB Nijmegen
The Netherlands
Jantti, Timo-Pekka
Hollming Ltd Electronics
sepantie 12a
26510 uotila
Finland
Jansen, Dion P.
Queens University
Department of Physics
Kingston, ontario
Canada
Jenderka, Klaus-vitold
Martin-Luther-Univ. Halle
Inst. fur Angew. Biophysik
StraBe der DSF,P.O.Box 302
0-4010 Halle (Saale)
Germany
Jiang, F.M.
Shanghai Inst. of Ceramics
Academia Sinica
1295 Ding xi Road
Shanghai 200050
P.R. China
Johansen, Ingvild
Norwave Development A.S.
P.O. Box 316
1324 Lysaker
Norway
969
Jones, Hugh W. Klein, Michael
Hugh W. Jones & Assoc, Ltd. Fraunhofer Institut fur zer-
374 Viewmount Drive storungsfreie Prufverfahren
RR2 Tantallon, N.S. BOJ3JO Ensheimerstr. 48
Canada W-6670 st. Ingbert
Germany
Kanai, Hiroshi
Tohoko Univ., Faculty of Eng.
Dept. of Electrical Eng. Klindt, Hilger
Aramaki-aza-Aoba Krupp Atlas Elektronik GmbH
Sendai 980 SebaldsbrUcker Heerstr. 235
Japan W-2800 Bremen 44
Germany
Kanngiesser, Hartmut Elmar
ETH/Universitat Zurich Knudsen, Erik Aagaard
Inst. fur Biomed. Technik Cortex Technology
Gloriastr. 35 Textilvaenget 1
CH-8092 Zurich 9560 Hadsund
Switzerland Denmark
Karpachev, Sergey N.
M.V. Moscow State University Kortelainen, Juha Matti
Physical Department Tampere Univ. of Technology
Moscow 119899 P.O. Box 527
USSR SF-33101 Tampere
Finland
Kauczor, Hans-Ulrich
Deutsches Krebs- Kramer, Klaus
forschungszentrum Leica Mikroskopie und
Im Neuenheimer Feld 280 Systeme GmbH
W-6900 Heidelberg Postfach 20 40
Germany W-6330 Wetzlar
Germany
Kaufman, J.J.
Mount Sinai School Kraus, Dieter
of Medicine Ruhr-Universitat Bochum
1 Lery Place MS1188 Lehrstuhl fur Signaltheorie
NX, NY, USA 10029 P.o. Box 10 21 48
U. S .A. W-4630 Bochum
Germany
Kaufmann, Klaus
Universitat Duisburg
Werkstoffe der Elektrotechnik Krause, Jens
Kommandantenstr. 60 Universitat Hannover
W-4100 Duisburg 1 Werkstoffe der Elektrqtechnik
Germany Appelstr. lla
W-3000 Hannover 1
Germany
Kelly, James G.
U.S. Naval Underwater Systems
Center Kreutter, Thomas
Newport, R.I. 02849 NUKEM GmbH
U.S.A. Industriestr. 13
W-8755 Alzenau
Kielczynski, Piotr Germany
Institute of Fundamental
Techn. Research Kristoffersen, Kjell
ul. Swietokrzyska 21 P.O. Box 300
00-049 Warsaw 1322 Hovik
Poland Norway

970
Kroning, Michael Lehmann, Bodo
Fraunhofer-Institut f.zer- Ruhr-Universitat Bochum
storungsfreie Prufverfahren DMT-Inst.f. angew. Geophysik
Universitat, Gebaude 37 Herner Str. 45
W-6600 Saarbrucken 11 W-4630 Bochum 1
Germany Germany

Kujawska, Tamara Lerch, Reinhard

IPPT-PAN Siemens AG
ZakTad Ultradzwiekow ZFE-TPH4
ul. Swietokrzyska 21 Postfach 3220
00-049 Warsawa W-8520 Erlangen
Poland Germany
Letcher, John H.
Kulik, Andrzej University of Tulsa
EPFL-IGA 1421 S.Marion
CH-1015 Lausanne Tulsa, Oklahoma 74136
switzerland U.S.A.
Kundu, T. Levin, V.M.
University of Arizona USSR Academy of Sciences
Dept.of civil Eng.& Eng.Mech. Inst. of Chemical Physics
Tucson, AZ 85721 Kosygin Str. 4
U.S.A. 117334 Moscow
USSR
Lach, Michael Lindner, Anke
Ruhr-Universitat Bochum Ruhr-Universitat Bochum
Inst.f. Hochfrequenztechnik Lehrstuhl fur Zellmorphologie
Universitatsstr. 150, HFT P.O. Box 10 21 48
W-4630 Bochum 1 W-4630 Bochum 1
Germany Germany
Lamberti, Nicola Litniewski, Jerzy
Universita di Salerno IPPT-PAN
Instituto di Elettronica Inst.of Fundamental Tech.Res.
I-84081 Baronissi (SA) Swietokrzyska 21
Italy 00-049 Warsaw
Poland
Landini, Luigi
University of Pisa Lizzi, Frederic L.
Fac. Engineering Riverside Research Inst.
Via Diotisalvi 2 330 West 42nd Street
56100 Pisa New York, NY 10036
Italy U.S.A.
Lobkis, O.I.
Lee, Hua USSR Academy of Sciences
University of California Inst. of Chemical Physics
Dept. of Electrical Eng.
Santa Barbara, CA 93106 Kosygin Str. 4
117334 Moscow
U.S.A. USSR
Leeman, Sidney Lovstrom, Benny
Dept. Med. Eng. & Phys. Lund Inst. of Technology
Dulwich Hospital Signal Processing Group
East Dulwich Grove P.O. Box 118
London SE 22 8PT 22100 Lund
united Kingdom Sweden

971
Luers, Holger Masotti, Leonardo
Goethe-Universitat Frankfurt Universita di Firenze
Humboldtstr. 30 Dep. Ingegneria Elettronica
W-6000 Frankfurt 1 Via S.Marta, 3
Germany I-50139 Firenze
Italy
Madekivi, Seppo S.
The Finish Defence Forces Matikas, Theodore E.
Electronical Section Universite de Compiegne
Kuutamokatu 5B 47 Division Acoustique
02210 ESPOO B. P. 649
Finland 60206 Compiegne Cedex
France
Maev, R.G.
USSR Academy of Sciences Mayer, Klaus
Inst. of Chemical Physics GH-Kassel
Kosygin Str. 4
117334 Moscow Fb 16
USSR Wilhemsh6her Allee 71
W-3500 Kassel
Magori, Valentin Germany
Siemens AG
ZFE ME MS 21 McHugh, Ronald
Otto-Hahn-Ring 6 Heriot-watt University
W-8000 Munchen 83 Dept. of Electrical Eng.
Germany 31-35 Grassmarket
Edinburgh EH1 2HT
Maiwald, Dirk united Kingdom
Ruhr-Universitat Bochum
Lehrstuhl fur Signaltheorie Mellert, Volker
P.o. Box 10 21 48 Universitat Oldenburg
W-4630 Bochum FB Physik
Germany
P.O. Box 2503
Mallart, Raoul W-2900 Oldenburg
Lab. d'Electronique Germany
Philips
22, avenue Descartes Mesch, Franz
94453 Limeil-Brevannes Universitat Karlsruhe (TH)
France Inst. f. MeB- und Regelungs-
technik, P.O. Box 6980
Mandersson, Bengt W-7500 Karlsruhe 1
University of Lund Germany
Signal Processing Group
P.O. Box 118 Michaels, Tom
22100 Lund Rudolf Diesel Str.1
Sweden W-6238 Hofheim Wallau
Germany
Marszal, Jacek
Technical Univ. of Gdansk
Telecommunication Institute Michaels, Jenny
Majakowskiego 11/12 Rudolf Diesel Str.1
80-952 Gdansk W-6238 Hofheim Wallau
Poland Germany

Maslov, K.I. Millner, Rudolf

USSR Adacemy of Sciences Martin-Luther-Univ. Halle
Inst. of Chemical Physics Inst. fur Angew. Biophysik
Kosygin Str. 4 StraBe der DSF,P.O.Box 302
117334 Moscow 0-4010 Halle (Saale)
USSR Germany

972
Miyashita, Toyokatsu NaBhan, Klaus
Shizuoka University Fraunhoferinstitut fur
Res. Inst. of Electronics Bauphysik,P.O.Box 80 04 69
Johoku 3-5-1 Nobelstr. 12
Hamamatsu, 432 W-7000 Stutgart 80
Japan Germany
Moles, Michael D.
ontario Hydro Res.Division Netzelmann, Udo
800 Kipling Avenue Fraunhofer Institut f.zer-
Toronto, ontario, M8Z 5S4 st6rungsfreie Prufverfahren
Canada Universitat, Gebaude 37
W-6600 Saarbrucken
Germany
Morbitzer, Holger
University of Kassel
Dept. of Electrical Eng. Nguyen, Minh Tri
P.O. Box 10 13 80 Inst. fur Biomedizinische
W-3500 Kassel Technik
Germany Seidenstr. 36
W-7000 Stuttgart 80
Morgner, Winfried Germany
TU "otto von Guericke"
P.O. Box 124 Nickel, Werner
0-3080 Magdeburg Siemens AG
Germany ZPL 1 TW 42
Siemensdamm 50-54
Moser, Urs W-1000 Berlin 13
Universitat und ETH Zurich Germany
Inst.f.Med.Tech.und Med.
Informatik, Moussonstr. 18 Ohya, Akihisa
CH-8044 Zurich Keio University
switzerland 3-14-1 Hiyoshi
Kohoku-ku
Moszynski, Marek Yokohama 223
Technical Univ. of Gdansk Japan
Inst. of computer Science
ul. Moskowskiego 11/12
80-952 Gdansk oommen, George
Poland Centre f.Appl.Res.in
Electronics, lIT Delhi
Hauz Khas
N.N. , New Delhi
Warnking Medizintechn.GmbH India
Postfach 170 149
W-5650 Solingen
Germany Pajewski, wincenty
Institut of Fundamental
Techn. Research
Nakayama, Junichi ul. swietokrzyska 21
Kyoto Inst. of Tech. 00-048 Warsaw
Matsugasaki, Sakyo 606, Kyoto Poland
Japan
Nassiri, Dariush K. Pandit, M.
st. George's Hospital Universitat Kaiserslautern
Dept. of Medical Physics Fakultat fur Elektrotechnik
Blackshaw Road Postfach 3049
London SW17 OQT W-6750 Kaiserslautern
United Kingdom Germany

973
Pangraz, Silvia
Universitat Saarbrucken
Fraunhofer IzfP, Bldg. 27
W-6600 Saarbrucken 11
Germany
Pankiewicz, Leszek
Technical Univ. of Gdansk
Telecommunication Institute
Majakowskiego 11/12
80-952 Gdansk
Poland
Papadakis, panagiotis
Inst. of Appl.& Compo
Mathematics (Forth)
P.O. Box 1527
71110 Heraklion, Crete
Greece
Park, Song B.
Korea Adv. Inst. of Science
and Tech.
P.O. Box 150
chongyangni, Seoul
Korea
Paul, James George
Heriot-watt University
RM 506c, Dept.of Elec. Eng.
31-35 Grassmarket
Edinburgh, EHI 2HT
united Kingdom
Peine, Harald
Universitat Gottingen
Drittes Physikalisches Inst.
Burgerstr. 42-44
W-3400 Gottingen
Germany
Pereira, W.C.A.
Biomedical Eng. Program
COPPE/UFRJ
P.O. Box 68510
CEP21945 Rio de Janeiro
Brazil
Pfannschmidt, Gabriele
Siemens AG
Balanstr. 73
W-8000 Munchen 80
Germany
Pogorzelski, Stanislaw Jozef
University of Gdansk
Environmental Acoustics Lab.
wita Stwosza 57
80-952 Gdansk
Poland
974
Querleux, Bernard
L'Oreal
Lab. de Rech. Fondamentale
1, Avenue Eugene Schueller
93601 Aulnay-Sous-Bois Cedex
France
Radek, Ulrich
Universitat Oldenburg
FB Physik
Postfach 2503
W-2900 Oldenburg
Germany
Rahnavard, Mohammad H.
Shiraz University
EE Dept., School of Eng.
P.O. Box 1678
Shiraz
Iran
Randhan, Win fried
Martin-Luther-Univ. Halle
Inst. fur Angew. Biophysik
StraBe der DSF,P.O.Box 302
0-4010 Halle (Saale)
Germany
Ravichandran, Annaswamy
Indian Inst. of Technology
Dept. of Comp.Science & Eng.
lIT
Madras - 600 036
India
Reichenberger, Helmut
Siemens AG
Medizinische Technik, GG 32
Henkestr. 127
W-8520 Erlangen
Germany
Rietsema, Jan
Univ. of Techn. Eindhoven
EME/EH 3-17
P.O. Box 513
NL-5600 MB Eindhoven
The Netherlands
Rodekuhr, Ulrich
conseil en imagerie medicale
8, Rue del'Argile
F.67400 Illkirch-Graff.
France
Rosenberg, Reinbert
Rudolf Diesel Str.l
W-6238 Hofheim Wallau
Germany
Roth, Thomas
Universitat Mainz
II.Med.Klinik und Poliklinik
Postfach 3960
W-6500 Mainz
Germany
Rougny, Elisabeth
INSERM Unite 281
151, Cours A. Thomas
F-69424 Lyon Cedex 03
France
Rouseff, Daniel
The Johns Hopkins University
Applied Physics Laboratory
Johns Hopkins Road
Laurel, MD 20723-6099
U.S.A.
Rudin, Andre
Hoffmann Laroche Bau 65/514
Grenzacherstr.
CH-4002 Basel
switzerland
Ruhl, Thomas
universitat Karlsruhe
Geophysikalisches Institut
Hertzstr. 16
W-7500 Karlsruhe
Germany
Ruser, Detlev
Universitat Rostock
Fachbereich Elektrotechnik
August-Bebel-Str. 40
0-2500 Rostock 1
Germany
Rychagov, Michael N.
Moscow State university
Dept. of Acoustic
Fac. of Physics
119899 Moscow
USSR
Saemann, Ernst-Ulrich
Bruel & Kjaer GmbH
Pascalkehre 1, P.O. Box 11 60
W-2085 Quickborn
Germany
Saito, Masao
Toppan printing Co. Ltd.
sugito-machi
Kitakatsu shi ka-gum
saitama 345
Japan
Salomonsson, G6ran
Lund Inst. of Technology
signal Proc. Group
P.O. Box 118
22100 Lund
Sweden
Santarelli, Filomena
University of Engineering
CR Ist.of Clinical Physiol.
Via Savi 8
Pisa
Italy
Sarvazyan, Armen
Inst. of Theor. & EXp.
Biophysics
142292 Pushchino
Moscow REG.
USSR
Sasaki, Souji
Hitachi Construction
Machinery Co. Ltd
650 Kandatsu-machi
300, Tsuchiura, Ibaraki
Japan
Saskovets, Alexander v.
M.V. Lomonosov Moscow state
Univ., Physical Department
Moscow 119899
USSR
sato, Takuso
Tokyo Inst. of Technology
4259 Nagatsuta, Midori-ku
Yokohama-shi, 223
Japan
Schaarschmidt, Ulrich G.
Universitat der Bundeswehr
Holsteinweg 85
2000 Hamburg 70
Germany
Schickert, Martin
Ruhr-Universitat Bochum
Institut fur HFT IC6/139
P.O. Box 10 21 48
W-4630 Bochum
Germany
schmeidl, Thomas
Siemens AG
Hammerbacherstr. 12+14
W-8520 Erlangen
Germany
975
Schmidt, Wolfram
Universitat Rostock
Klinik fur Innere Medizin
E.-Heydemann-str. 6
0-2500 Rostock
Germany
Schmidt, H.-J.
Fraunhofer-Institut fur
zerst.freie Prufverfahren
Ensheimerstr. 48
W-6670 st. Ingbert
Germany
Schmitt, K.J.
Siemens AG
UB Med., USL
Henkestr. 127
W-8520 Erlangen
Germany
Schmitt, Rainer M.
Fraunhofer Gesellschaft
Ensheimerstr. 48
W-6670 st. Ingbert
Germany
Schmitz, Georg
Ruhr-Universitat Bochum
Inst.f. Hochfrequenztechnik
Universitatsstr. 150
W-4630 Bochum 1
Germany
schmitz, Volker
Universitat, Bau 37
Lz.f.P.
W-6600 Saarbrucken
Germany
Schmolke, Juergen
Dornier Medizintechnik GmbH
Industriestr. 15
W-8034 Germering
Germany
Schumacher, P. M.
Universitat und ETH Zurich
Inst.f.Med.Tech.und Med.
Informatik, Moussonstr. 18
CH-8044 Zurich
Switzerland
Schwarz, Hans-Peter
Fraunhofer-Institut
st. Ingbert
Ensheimer-str. 48
W-6670 st. Ingbert
Germany
976
Seiraffi, Mohammed Ali
Universitat Karlsruhe (TH)
Inst. f. MeB- und Regelungs-
technik, P.O. Box 6980
W-7500 Karlsruhe 1
Germany
Severin, Hans
Ruhr-Universitat Bochum
Inst.f. Hochfrequenztechnik
P.O. Box: 10 21 48
W-4630 Bochum
Germany
Shen, Xiaoqing
Universitat Bremen
Fachbereich-1 Physik
Postfach 33 04 40
W-2800 Bremen 33
Germany
Shippey, Geoffrey
Heriot-Watt University
Dept. of Electrical Eng.
31-35 Grassmarket
Edinburgh, EH1 2HT
united Kingdom
Siebel, H.
Universitat Bremen
Inst. f. Werkstoffphysik
Postfach 330440
W-2800 Bremen 33
Germany
Skerl, Olaf
Universitat Rostock
FB Elektrotechnik
A.-Einstein-str. 2
0-2500 Rostock
Germany
Solal, Marc
Thomson sintra DTAS
399 Route des Cieles, BP 138
06561 Valbonne Cedex
France
Somer, Jan C.
University of Limburg
P.O. Box 616
NL-6200 MD Maastricht
The Netherlands
Song, Honglu
Fraunhofer-Inst.f.zer-
storungsfreie Prufverfahren
Ensheimerstr. 48
W-6670 st. Ingbert
Germany
Soumekh, Mehrdad
Bell Hall state university
Department of Elec.
& Compo Eng.
Amherst, New York 14260
U.S.A.
Specht, Olaf
Universitat Rostock
FB Elektrotechnik
Albert-Einstein-str.2
0-2500 Rostock 6
Germany
Sponheim, Nils
Norwave Development A.S.
P.O. Box 316
1324 Lysaker
Norway
Stahlin, Petra
Fraunhofer-Inst.f.zer-
st6rungsfreie PrUfverfahren
Ensheimerstr. 48
W-6670 st. Ingbert
Germany
Stanke, Fred E.
Schlumberger-Doll Research
Old Quarry Rd.
Ridgefield, CT 06877-4108
U.S.A.
Steentoft, Heino
University of Kiel
Inst. of Geophysics
Leibnitzstr 15
W-2300 Kiel 1
Germany
Stein, Gernot
MSG-MT 741
Hunefeldstr. 1-5
W-2800 Bremen 1
Germany
Steinmetz, Eckhard
universitatsklinik Mainz
II. Med. Klinik
Langenbeckstr. 1
W-6500 Mainz
Germany
Stilke, G.
Meteorologisches Inst.
Universitat Hamburg
Bundesstr. 55
W-2000 Hamburg 13
Germany
Stix, Matthias
Ruhr-Universitat Bochum
Inst.fur Hochfrequenztechnik
Universitatsstr. 150
W-4630 Bochum 1
Germany
Strolka, Georg
Ruhr-Universitat Bochum
Inst.fur Hochfrequenztechnik
Universitatsstr. 150
W-4630 Bochum 1
Germany
Suhm, Norbert
Deutsches Krebsforschungs-
zentrum, Institut 08
Im Neuenheimer Feld 280
W-6900 Heidelberg
Germany
Sztukiewicz, Romuald Jan
Politechnika Poznanzka
Instytut Inzynierii Ladowej
ul. Piotrowo 5
60-965 Poznan
Poland
Taroudakis, M.I.
Foundation for Res. & Tech.
Inst. of Appl. Mathematics
P.O. Box 1527
711 10 Heraklion, Certe
Greece
Temme, Gunter
Siemens AG
Medizinische Technik, GG 32
Henkestr. 127
W-8520 Erlangen
Germany
Thijssen, Johan M.
University of Nijmegen
Dept. Ophtalmology
P.O. Box 9101
6500 HB Nijmegen
The Netherlands
Thomas, Nicholas
Dept.of Med.Eng.and Phys.
Dulwich Hospital
East Dulwich Grove
London SE22 8PT
United Kingdom
Timann, Gero
Universitat G6ttingen
Drittes Physikalisches Inst.
Burgerstr. 42-44
W-3400 G6ttingen
Germany
977
Torp, Hans v. Bernus, Ludwig
Inst. of Biomed. Technique Siemens KWU
Parkbygget RiT Hammerbacher Str. 12+14
7006 Trondheim W-8520 Erlangen
Norway Germany
Tortoli, Piero van der steen, A.F.W
University of Florence University of Nijmegen
Via S. Marta 3 Dept. of Ophtalmology
I-50139 Firenze P.O. Box 9101
Italy 6500 HB Nijmegen
The Netherlands
Treiber, Jobst
Dornier Medizintechnik GmbH van Ruiten, Kees J.M.
P.O. Box 1128 TNO-Inst.of Applied Physics
W-8034 Germering P.O. Box 155
Germany NL-2300 AD Delft
The Netherlands
Tricot, J.C.
Lab. de Phys. des Vibrations Verhoeven, Johannus T.M.
et d'Acoustique, CNRS UA 832 University of Nijmegen
Inst. Ind. du Nord, B.P. 48 Dept. of ophtalmology
59651 Villeneuve d'Ascq P.O. Box 9101
France 6500 HB Nijmegen
The Netherlands
Tsukahara, Y.
Technical Res. Institute Vogt, Martina
Toppan Printing Co. Ltd. Siemens AG
Kitakatsushika-gun UB Med., USL
sugito-machi, Saltama 345 Henkestr. 127
Japan W-8520 Erlangen
Germany
Uhlendorf, Volkmar
Schering AG
PH Ultraschall Voigt, Ariane
Mullerstr. 170-178 Fraunhofer-Institut
W-I000 Berlin 65 Ensheimer Str. 48
Germany W-6670 st. Ingbert
Germany
Urbank, Albrecht
Schering AG Vonesch, Thomas
KLIFO IV Universitat und ETH Zurich
Mullerstr. 171, Postfach 65 03 Inst.f.Med.Tech.und Med.
W-I000 Berlin 65 Informatik, Moussonstr. 18
Germany CH-8044 Zurich
Switzerland
Urchulutegui Herrero, Maria
Ayudante de Escuela Univ. vontz, T.
Dpto. Fisica de Materiales Peterstr. 45
Universidad Complutense 6689 Merchweiler
28040 Madrid /wennertsweiler
Spain .Germany
Uschkerat, Udo voronovich, Alexander
Ruhr-Universitat Bochum P.P. Shirshov Inst. of
Lehrstuhl Theor.Elektrotech. Oceanology
Universitatsstr. 150 Krasikova st., 23
W-4630 Bochum 1 Moscow 117218
Germany USSR

978
Wade, Glen Wiesauer, Franz
University of California Kretztechnik AG
Dept. of Electrical Eng. Tiefenbach 15
santa Barbara, CA 93106 A-4871 Zipf
U.S.A. Austria
Wang, Lin Wille, Peter
Dept. of Biomed. Eng. Forschungsanst.d. Bundeswehr
Southeast university f.Wasserschall und Geophysik
Nanjing 210018 . Klausdorfer Weg 2-24
P.R. China W-2300 Kiel 14
Germany
Waszczuk, Tomasz
IPPT-PAN Winkelhaus, Sybille
ZakTad Ultradzwiekow Ruhr-Universitat Bochum
Swietokrzyska 21 Lehrstuhl fur Zellmorphologie
00-049 Warszawa P.O. Box 10 21 48
Poland W-4630 Bochum 1
Germany
Weis, Olaf Wu, F.
Universitat Ulm Lab. Ondes et Acoustique
Abteilung Festkorperphysik univ. Paris VII, ESPCI
Oberer Eselsberg 10 rue Vauquelin
W-7900 Ulm/Donau 75231 Paris Cedex 05
Germany France
Weisser, Gerald Wustenberg, Hermann
Deutsches Krebsforschungs- Bundesanst.f.Material-
zentrum, Institut fUr Radiol. forschung und -prufung (BAM)
WF 280 Unter den Eichen 87
W-6900 Heidelberg W-1000 Berlin 45
Germany Germany
Xu, Shanyin
Wells, Peter Ruhr-Universitat Bochum
united Bristol Healthcake Inst.f. Hochfrequenztechnik
Trust P.O. Box 10 21 48
Bristol General Hospital W-4630 Bochum
Bristol BSI 6SY Germany
united Kingdom
Xu, Ke Ke
Wernsdorfer, Andreas Wuhan Institute of Physics
Universitat Karlsruhe (TH) Academia Sinica
Inst. f. MeB- und Regelungs- Wuhan
technik, P.O. Box 6980 Hubei
W-7500 Karlsruhe P.R. China
Germany
Xu, Xingguo
Wey, Albert C. Ruhr-Universitat Bochum
Sonoscan, Inc. Institut fur HF-Technik
530 E. Green st. Universitatsstr. 150 /IC6
Bensenville, IL 60106 W-4630 Bochum
U.S.A. Germany
Wichard, Ralf Yakovleva, T.V.
Max-Planck-Institut USSR Academy of Sciences
Abt. von Klitzing Inst. of Chemical Physics
Heisenbergstr. 1 Kosygin Str. 4
W-7000 stuttgart 80 117334, Moscow
Germany USSR

979
Yang, Xuan-Min Zambelli, Mauro
The Dept. of Physics Ansaldo Trasporti
Nanjing University Via N.Lorenzi 8
Nanjing, 210018 I 16152 Genova
P.R. China Italy
Yegnanarayana, B. Zhang, Jiaping
Dept. of Computer Science Dept. Biomedical Eng.
and Engineering Southeast University
Indian Inst. of Tech. Nanjing 210018. Jiangsu
Madras-600036 P.R. China
India
zhengdi, Qin
Yi, Ming University of Oulu
Dept. Physics SO/TL1, Telecom. Lab.
Nanjing University 90570 Oulu
Nanjing Finland
P.R. China
Zinin, P.V.
Yin, Feng USSR Academy of Sciences
Geophysics Society of China Inst. of Chemical Physics
Dept. of Physics Kosygin Str. 4
souteast University 117334 Moscow
Nanjing 210018, Jiangsu USSR
P.R. China
Zomack, Michael
Ylitalo, Juha Schering AG
University of Oulu KLIFO IV
SO/TL1, Telecom. Lab. P.O. Box 65 03 11
90570 Oulu W-1000 Berlin 65
Finland Germany
Yong, Chen Zuna, Ivan
state Seismological Bureau Deutsches Krebsforschungs-
63 Fuxing Road zentrum, Inst. f. Radiologie
Beijing Im Neuenheimer Feld 280
P.R. China W-6900 Heidelberg
Germany
Yu, Z.
Universitat Bremen Zurinski, Viktor
Inst. f. Werkstoffphysik Siemens AG
Postfach 330440 UB Med., USL
W-2800 Bremen 33 Henkestr. 127
Germany W-8520 Erlangen
Germany
Yue, Guanggi
Tsinghua University
Dept. of Electronic Eng.
Beijing 100084
P.R. China

980
INDEX

3D-surface reconstruction, 481 Asphalt concrete, 60 1

3D-ultrasonic imaging, 263 Atmosphere, 853
3D-ultrasound images, 257 Attachment sites, 539
Attenuation, 530
ALOK filter, 569 Attenuation in skin, 246
ART, 59, 817 Attenuation property, 686
AT-cut quartz filter, 761
Acoustic contrast mechanisms, 761 Back-projection,56,817,861
Acoustic emission detection, 595 Back-scattering, 441, 530
Acoustic imaging, 89 Bathymetry, 879
Acoustic microscopy, 47, 291, 529, 535, 627, Bayes optimal test, 91
633,639,645,651,673,685 Beam forming, 886
Acoustic signature, 608 Beam pattern, 232
Acoustic speckle, 427 Bended rays, 817
Acoustic velocity, 535 Bessel transducer, 297
Acoustical camera, 821 Bifurcation, 102
Acoustical phase transformation, 892 Blood flow, 336, 347
Acoustics, 127 Blood flowmeter, 313
cylinder, 127 Blood velocity estimation, 317
measurements, 130 B-mode echography, 427
sphere, 127 B-mode imaging, 451
Acousto-optical fields, 71 Bonding, 724
Acousto-optical modulator, 892 Bone tissue, 399
Adaptive antenna, 207 Born approximation, 24, 30, 143, 167
Adaptive beamforming, 207 Born inversion, 557
Adaptive filter, 375 Born-Neumann series, 36
Adaptive quantization, 383 Bottom parameters, 841
Adiabatic modes theory, 898 Boundary element method (BEM), 177
Air ultrasound, 945 Brazing, 724
All-shape reconstruction, 540 B-scan, 30, 245,369, 376, 581,906
Amplitude reconstruction, 155 application, 481
Analog processing, 421 irnage,447,550,591
Anisotropic imaging, 62 sonography, 453
Anisotropic materials, 651, 674 textures, 387
Anisotropic solids, 59 Butterfly transducer, 686
Anisotropy, 60, 687
focusing, 743 CANDU, 581
Antenna, 86, 885 Capacitive transducer, 773
array, 86 Carbonfiber reinforced plastics, 575
geometry, 885 Cardiac structure, 481
Aperture field, 103 Cell cultures, 519, 535
Arbitrary surfaces, 945 Cell topography, 535
Area array transducer, 421 Cepstrum, 388
Array processing, 879 Ceramics, 554, 749
Artefacts, 23 Chaos, 99
A-scan, 369 Chebyshev Minimax Error, 911

981
Chirp signal, 917
Circular array, 193,201
Cittert-Zernike theorem, 214
Classical elasticity theory, 3
Classification, 89
Clicker, 270
Clinical ultrasound, 375
Coast lines, 927
Color 301, 302
flow imaging, 301
flow mapping, 301
velocity imaging, 302
Combination scattering, 799
Common-midpoint stacking, 803
Common-reflecting element, 803
Complementary series, 278
Computer simulation, 493
Conventional approach, 100
Correlation, 276
Correlation theory, 123
Crack, 657, 749
Cross correlation, 305, 318
Cross-hole tomography, 811, 817
Crystal,47
Crystal defects, 667
C-scan, 245, 577, 590
imaging, 252
Curved array, 231
sonar transducer, 231
DNA molecule, 523
DPA,399
Damped least square method, 618
Defects SAM imaging, 723
Dermatological applications, 243
Dermatological diagnostics, 453
Detection, 89
Diagnostic ultrasound, 213
Die attach, 717
Different scanners, 393
Diffraction, 30, 72,415
correction, 410
problem, 24
tomography, 17,835
Diode, 723
Direct scattering, 115
Directivity pattern, 915
Dislocation dynamics, 697
Doppler, 317
catheter, 342
effect, 939
phase shift, 939
processing, II
signal,306
sonography, 335,341
spectrum, 306, 332
ultrasound,311,323,329
ultrasound system, 347
SODAR,856
D-scan, 578
982
Duplex approach, 329
Dynamic focusing, 225
Dynamical Green's function, 744
Echo imaging, II
Echo signal processing, 387
Echo-cardiography, 384
Echographic image processing, 427
Echographic modality, 301
Echographic scanner, 257
Echography, 259
Edges, 703
Elastic wave equation, 823
Electro-acoustic microscopy, 761
Electro-acoustic signal generation, 753
Electronic contrast mechanisms, 761
Electronic scanning, 251
Electroplating, 292
Ellipsoidal projection, 56
Extra-speckle condition, 112
Fan-beam scanner, 873
Far field scattering, 167
Ferrite, 65
fFI' analysis, 686
Fibers, 710
Field effect transistor (FET), 7
Filtered back-projection (FBP), 17
Finite element method (FEM), 176
Finite elements, 847
FIR filter, 567, 910
Fishery, 885
Fixation, 529
Flexible pavement, 60 I
Flow detection, 645
Flow measurement, 329,933
Focusing, 95, 244, 265
Focusing beamformer, 891
Forward scattering, 41
Fourier optics, 289
Fraunhofer approximation, 639
Fraunhofer region, 41
Frequency dependent attenuation, 399
Fresnel region, 41
Gaucher disease, 399
Geoacoustics, 841
Geophysics, 835
GHz-sound, 670
Gradient-iterative algorithm, 37
Graphite, 653
Gray scale, 487
Green's function, 43,53
Green's theorem, 42
Head waves, 747
Heat-pulse experiments, 1
Helmholz equation, 150
Helmholz-Rayleigh method, 295
Helmholz-Sommerfeld integral, 177
 Hermetic seal, 718
Hertzian resonators, 671
High frequency ultrasound, 243, 553
High resolution imaging, 243, 283
Higher-order elastic constants, 752
Holographic imaging, 867
Holographic reconstruction, 958
Holography, 83, 202
Homeomorphic imaging, 803
Hopfield model, 83
Hough tJansform, 187
Hybrid filtered back-projection, 17
Hydroacoustic channel, 909
Hydrophone, 24, 239
Image blurring, 207
Image contrast, 750
Image processing, 187,768
Image reconstruction, 84
Image restoration, 77
Imaging, 717
Imaging through impediments, 421
Imaging transducer, 175
In Vivo measurement, 311, 374
In-Depth analysis, 726
Insonification wave, SOl
Instantaneous frequency, 15,348
Instrumental technology, 289
Interference period, 686
Intrinsic spectral broadening, 330
Inverse scattering, 30, 115,811
Inverse scattering problems (ISP), 35
Inversion, 823
Inversion algorithms, testing, 19
Isotropic materials, 674
Iteration, 210,271
Iterations, 835
Iterative algorithm, 162
Iterative-interpolational reconstruction, 38
Magnetic field, 67
Magnetoacoustic profile, 65
Magnetoacoustic resonance, 65
Mammography, 415
Material characterization, 726
Maximum entropy, 811
Maximum likelihood estimation, 320
Measurements of movement, 935
Mechanical properties, 517
Medical imaging, 29
Medical ultrasound, 387
Metal matrix composites, 731
Microbubble, 439
Microcrack damage, 691
Microdefocusing method, 685
Microphone, 270
Microsection, 717
Mitosis, 523
Mitotic spindle, 523
Modal spectrum, 897
Mode conversion, 95
Monochromatic, 75
Moving phase object, 122
Multibeam sonar, 885
Multichannel reflection seismic, 803
Multifrequency imaging, 77
Multiple angle tomography, 499
Multiple data frames, 922
Multiple scattering, 35
Natural resonant eigenmodes, 295
NDE-testing,645
Needle point hydrophone, 239
Neural network, 83, 957
Neurosurgery, 269
Nondiffracting transducers, 295
Nonlinear elasticity, 799
Nonlinear interactions, 799
Nonlinear parameter, 363

Kirchhoff approximation, 167 Object recognition, 957

Oil pollution, 954
Ll-norm minimization, 79 Optical phase transformation, 892
Lamb wave lens, 627 Optical processor, 891
Large aperture hydrophone, 26 Organic films, 951
Large aperture lens, 662 Osteopenia, 399
Laser generated ultrasound, 743 Output signal, 680
Layer thickness estimation, 475
Layered materials, 627 Packaging, 717
Leaky surface acoustic wave (SAW), 685 Paracardiac structure, 481
Least-square deconvolution, 909 Paraffin cycle, 529
Legendre polynomials, 786 Pattern classification, 959
Lesion detection, 429 Phase aberration, 213
Linear array transducer, 487 Phase aberration correction, 215
Lippmann-Schwinger integral equation, 35 Phase array, 225
Lithotripsy, 241 Phase army scanner, 409
Living cells, 539 Phase difference, 608
Longitudinal phonons, 1 Phase reconstruction, 155
Look-Up table processing, 869 Phase velocity, 686
Love mode, 636 Phonon flux, 6

983
Phonon focusing, 3,47, 744 Scanning acoustic microscope (SAM),
Phonon imaging, 1,95 511,617,623,661
Phonon-drag, 7 Scanning acoustic microscopy, 007,
Phonons,1 691,703,717,731
Photo acoustic imaging, 755 Scanning electron acoustic microscope (SEAM),
Photoelasticity, 188 749,755,767,773,779
Physical metallurgy, 699 Scanning electron microscope (SEM), 731, 767
Piezoelectric detector, 767 Scanning laser acoustic microscope (SLAM),
Piezoelectric element, 193 357,499,709
Piezoelectric transducer, 175,219,773,885 Scanning tomographic acoustic microscope, 499
Piezo-electricity, 290 Scanning tunneling microscope (STM), 737
Planar area function, 167 Scatterers' density, 110
Point spread function, 225 Scattering, 17,24,854,939
Porcine muscle, 406 data, 17
Power semiconductor device, 723 of sound, 854
Power spectrum analyses, 354 of ultrasound, 939
Preparation, 529 Schlieren, 188
Probabilistic approach, 561 Sea surface, 951
Probability density function, 99 Secondary sources, 143
Projection, 53 Sector imaging, 201
back-projection, 56 ,817 ,861 Sector scanning sensors, 873
Projection onto convex sets, 921 Segmentation, 471
Prony's method, 688 Seismic data, 829
Pseudorandom code, 276 Seismic data processing, 803
Pseudo-second derivative (PSD) method, 617 Seismic tomography, 785, 817
Pulse compression, 246 Seismic waves, 799
Pulse-echo, 167,219,475,590 Self-focusing, 141
acoustic imaging, 219 Self-imaging, 149
methods, 590 Sensitive specimens, 767
scattering, 167 Sensor array imaging, 921
tomography, 475 Shallow waves, 847
PZT transducer, 779 Shannon's sampling theorem, 623
Shear elasticity, 464
QCT,399 Shear waves, 463
Quality inspection, 190 Shielding effect, 591
Quartz, 668 Side lobes, 423
Signal processing, 365, 687, 879
Random media, 99 Signal to noise ratio, 104, 112,428
Ray casting, 556 Silicon, 723, 755
Rayleigh effects, 388 Silicon wafer, 723
Rayleigh mode, 636 Single element transducer (SET), 11
Rayleigh pole, 135 Single transmission, 13
Rayleigh wave, 133,610,694 SIRT, 59, 817
Reconstruction algorithms, testing, 19 Skin cancer, 369
Reentrant Resonators, 671 Skin sonography, 453
Reflected ultrasound, 409 Skin tumors, 456
Reflection coefficient, 519 Skull bone, 421
Reflection tomography, 161,475,822 SLAM,357
Reflectionless object carriers, 519 Slope of delay, 208
Refraction effects, 25 Slowness surfaces, 4
Residual strains, 752 Small aperture lens, 661
Residual strength, 710 Solid-angle function, 167
Residual stresses, 749 Sonar, 909
Sonar imaging, 903
SAM,661 Sonar transducer, 231
Sampled aperture, 422 Sonography,30
Sampling grids, 829 Sound analysis, 897
SAW-speed, 623 Sound pressure, 232
SAW-speed dispersion, 633 Sound-beam topography, 667

984
 Source directivity, 745
Spatial aliasing, 830
Spatial analysis, 517
Spatial frequency spectrum, 124
Speckle, 109,381,433,447
artefact, 433
reduction, 447
region, 109
statistics, 381
Spectra calculation, 324
Spectral Fourier transform, 13
Spectral decomposition, 103
Spin, 66
Spurious echo, 219
Statistical approach, 99
Stochastic process, 100
Structural scattering, 493
Superconductivity bolometer, 2
Superresolution, 71, 77
Superresolution, 77
Superresolved image restoration, 77
Surface acoustic wave (SAW), 697,737
Surface layer, 601
S-wave tomography, 786
Synthetic aperture, 11
Synthetic aperture focusing, 545
Synthetic seismograms, 818
TEE,489
Temporal frequency spectrum, 121
Textons, 470
Texture analysis, 393,470
TGC-amplification,245
Thermoelastic parameters, 750
Thick transducer, 283
Thomson-Haskell method, 636
Three-dimensional Fourier transform, 25
Three-dimensional imaging, 521
Thyristor, 723
Tikhonov regularization, 117
Time delay estimation, 475
Time gain compensation, 410
Time reversal mirror, 237
Time-of-flight (TOF), 269, 559
Time-reversal cavity, 141
Time-reversal pressure field, 144
Tissue characterization, 363, 393,463,469, 521
Tissue modeling, 493
Tomographic imaging, 59
Tomography, 415, 811, 835, 861
Transducer, 289,958
Transducer technology, 243
Transesophageal echocardiography, 481
Transfer function, 220, 296, 623, 703
Transferability, 393
Transistor, 723
Transmission acoustic microscopy, 679
Transmission mode diffraction Tomography, 115
Transmission tomography, 822
Transmitted ultraSOund, 409
Transplantal kidneys, 469
Transverse insonification, 325
Transverse phonons, I
Trial-and-error method, 805
Triangular sampling, 832
Tunneling microscopy, 737
Two variable, 823
Ultrasonic, 193
Ultrasonic beam, 193,251,342
Ultrasonic contrast agent, 439
Ultrasonic defect imaging, 559
Ultrasonic focusing beams, 133
Ultrasonic imaging, 74,225,275,
475,548,567,575,589
Ultrasonic inspection, 559
Ultrasonic medical imaging, 263
Ultrasonic microscope, 657
Ultrasonic scanning system, 575
Ultrasonic sensors, 957
Ultrasonic speckle, 109
Ultrasonic spectroscopy, 289
Ultrasonic technique, 595
Ultrasonic time-of-flight, 581
Ultrasonic tissue characterization, 353, 493
Ultrasonic tomography, 933
Ultrasonic velocity, 601
Ultrasonic wave shadow method, 657
Ultrasonic wavefront, 121
Ultrasound,44,71,187,284 ,311,358,399,
403,415,657,911
transducers, 187
beam, 358
experiment, 44
scattering, 951
time domain correlation (UTDC), 311, 403
tissue characterization, 399
Underwater acoustics, 867, 879, 927
Uniform ladder algorithm (ULA), 264
Uniform ladder sampling, 263
Unipolar wave, 283
UTDC,406
Van Cittert-Zemike theorem, 214
Velocity, 207, 270,475,531,540
fluctuation, 207
imaging, 475
modeling, 540
Vicker's indentations, 749
Visualization, 188,553
of douphine twins, 761
Volume data acquisition, 553
Volume rendering, 554
Vorticity, 861
VSP,817
WC+Co coating, 781
Wall filter, 319
Waveguide, 151
Wear behavior, 779
Wideband signals, 319, 915
Wiener filter, 704
985
Wigner distribution, 335 Zero adjusunent procedure, 434
Wigner-Ville-spectrum, 335 Zero crossing rate (OXR), 347
Wind wave damping, 951

XTH-2 cells, 513, 523

X-ray, 717
X-ray scattering, 691

986