Dimensions and mechanical parameters of the switches.
\\n\\n
More than half of the publishers listed alongside IntechOpen (18 out of 30) are Social Science and Humanities publishers. IntechOpen is an exception to this as a leader in not only Open Access content but Open Access content across all scientific disciplines, including Physical Sciences, Engineering and Technology, Health Sciences, Life Science, and Social Sciences and Humanities.
\\n\\nOur breakdown of titles published demonstrates this with 47% PET, 31% HS, 18% LS, and 4% SSH books published.
\\n\\n“Even though ItechOpen has shown the potential of sci-tech books using an OA approach,” other publishers “have shown little interest in OA books.”
\\n\\nAdditionally, each book published by IntechOpen contains original content and research findings.
\\n\\nWe are honored to be among such prestigious publishers and we hope to continue to spearhead that growth in our quest to promote Open Access as a true pioneer in OA book publishing.
\\n\\n\\n\\n
\\n"}]',published:!0,mainMedia:null},components:[{type:"htmlEditorComponent",content:'
Simba Information has released its Open Access Book Publishing 2020 - 2024 report and has again identified IntechOpen as the world’s largest Open Access book publisher by title count.
\n\nSimba Information is a leading provider for market intelligence and forecasts in the media and publishing industry. The report, published every year, provides an overview and financial outlook for the global professional e-book publishing market.
\n\nIntechOpen, De Gruyter, and Frontiers are the largest OA book publishers by title count, with IntechOpen coming in at first place with 5,101 OA books published, a good 1,782 titles ahead of the nearest competitor.
\n\nSince the first Open Access Book Publishing report published in 2016, IntechOpen has held the top stop each year.
\n\n\n\nMore than half of the publishers listed alongside IntechOpen (18 out of 30) are Social Science and Humanities publishers. IntechOpen is an exception to this as a leader in not only Open Access content but Open Access content across all scientific disciplines, including Physical Sciences, Engineering and Technology, Health Sciences, Life Science, and Social Sciences and Humanities.
\n\nOur breakdown of titles published demonstrates this with 47% PET, 31% HS, 18% LS, and 4% SSH books published.
\n\n“Even though ItechOpen has shown the potential of sci-tech books using an OA approach,” other publishers “have shown little interest in OA books.”
\n\nAdditionally, each book published by IntechOpen contains original content and research findings.
\n\nWe are honored to be among such prestigious publishers and we hope to continue to spearhead that growth in our quest to promote Open Access as a true pioneer in OA book publishing.
\n\n\n\n
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The expert meanwhile, we hope, can gain a deeper understanding of the topic.",isbn:null,printIsbn:"978-953-51-0555-8",pdfIsbn:"978-953-51-5278-1",doi:"10.5772/2335",price:139,priceEur:155,priceUsd:179,slug:"protein-structure",numberOfPages:410,isOpenForSubmission:!1,isInWos:1,hash:"cfa735e8190b9ab0eac60d104224f989",bookSignature:"Eshel Faraggi",publishedDate:"April 20th 2012",coverURL:"https://cdn.intechopen.com/books/images_new/1912.jpg",numberOfDownloads:33553,numberOfWosCitations:48,numberOfCrossrefCitations:18,numberOfDimensionsCitations:51,hasAltmetrics:0,numberOfTotalCitations:117,isAvailableForWebshopOrdering:!0,dateEndFirstStepPublish:"May 23rd 2011",dateEndSecondStepPublish:"June 20th 2011",dateEndThirdStepPublish:"October 25th 2011",dateEndFourthStepPublish:"November 24th 2011",dateEndFifthStepPublish:"March 23rd 2012",currentStepOfPublishingProcess:5,indexedIn:"1,2,3,4,5,6",editedByType:"Edited by",kuFlag:!1,editors:[{id:"109255",title:"Dr.",name:"Eshel",middleName:null,surname:"Faraggi",slug:"eshel-faraggi",fullName:"Eshel Faraggi",profilePictureURL:"https://mts.intechopen.com/storage/users/109255/images/3431_n.jpg",biography:"Eshel Faraggi, a physicist, was born in Beer-Sheva, Israel. 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Radio frequency microelectromechanical system (RF-MEMS) switches are aimed to perform the control function in tunable and reconfigurable RF/microwave and millimeter-wave (mm-wave) systems. Electrostatic actuation is often preferred to other actuation mechanisms like electrothermal [1, 2] and phase-change/phase-transition materials [3], due to its negligible current consumption, no requirement for external heating sources and integration capability with well-established technologies such as high-resistivity silicon [4, 5, 6, 7], fused-quartz and glass substrates [8, 9, 10, 11], or CMOS [12, 13, 14, 15] and SiGe BiCMOS [16, 17] processes. The latter can provide totally integrated, efficient systems containing sensors, control electronics, and MEMS-reconfigurable RF communication circuits [18].
The mechanical and electrical design of the RF-MEMS switches has been comprehensively studied in the literature [19], and it highly depends on the circuit or transmission media in which it is to be integrated and the technology platform [20]. A number of solutions can be found, including integration in microstrip transmission lines [21], coplanar waveguides (CPWs) [4], coplanar striplines (CPSs) and slotlines [11], planar structures embedded in rectangular waveguides [22], and micromachined waveguides for sub-mm-wave frequencies [23]. Depending on the specific designs and dimensions, they can operate in the microwave and the mm-wave bands, at frequencies as high as 240 GHz as reported in [24] using BEOL in BiCMOS technology.
Series and parallel RF-MEMS switch topologies can be implemented, with either ohmic-contact [22] or capacitive-contact [4, 25]. While ohmic switches can operate in a very wide frequency band from DC to mm-waves featuring excellent OFF-state isolation and very low ON-state insertion loss, capacitive switches are frequency selective (being the center frequency defined by a series LC-resonant circuit) but their operation can be extended well beyond mm-wave frequencies by properly choosing the ON-state capacitance and the series inductance which depends on the membrane dimensions [24].
Mechanical topologies for RF-MEMS switches include bridge-type clamped-clamped or beam-suspension membranes and cantilever-type switches. Important switch parameters, such as the actuation voltage or the fabrication residual stress, are dependent on the particular selected topology [26, 27, 28]. Using three-dimensional (3D) mechanical simulation, the material physical properties are taken into account to a priori assess the behavior of the switch geometry (including the suspension type) in terms of initial membrane deformation, pull-in voltage, spring constant, mechanical resonant frequency, and transition times from OFF to ON states (and vice versa) [29]. Mechanical transients may produce bouncing phenomena [30, 31, 32, 33, 34] which degrade the RF behavior of the switch and can be studied more efficiently with energy models [35].
RF-MEMS switches featuring the above mechanical topologies are compatible with and can be conveniently integrated in uniplanar structures (CPW, CPS, and slotline) to perform a control function. In case of multimodal transmission lines like CPW, they can be used to selectively control the two CPW fundamental propagation modes (even and odd) [36]. To accurately analyze the interaction between modes in complex uniplanar structures (transitions, discontinuities), multimodal circuit models are derived from the application of the general multimodal theory [37, 38, 39, 40]. Moreover, suitable equivalent circuits for both (ON/OFF) states of the switch can be obtained and integrated in the multimodal models. In this way, efficient and compact reconfigurable circuits for communication systems at microwave and mm-wave frequencies can be designed [6, 9, 10, 11].
In this chapter, a detailed study of RF-MEMS switches to be used in multimodal uniplanar circuits is presented. The switch electromechanical design considerations are explained in detail, and a number of switch configurations proposed, simulated mechanically, and fabricated using the FBK flexible technology platform [20]. The fabricated switches are measured, and the experimental results successfully compared to simulations, thus validating the design approach. An estimation of the RF behavior of the switches is obtained from 2.5 D electromagnetic simulation. The RF behavior after fabrication is assessed by measuring the switch transmission coefficient for both (ON/OFF) states. Equivalent circuit topologies are also proposed and the value of the circuit elements computed by fitting the simulated results to the measurements. The switch transmission coefficient is also used for the measurement of the switch hysteresis. The proposed switches are integrated into the microwave and mm-wave multimodal reconfigurable circuits to validate the multimodal design approach. Some examples of fabricated multimodal reconfigurable filters and phase switches using RF-MEMS switches with various mechanical topologies (bridge-type featuring ohmic contact and capacitive contact, and cantilever-type featuring ohmic contact) are presented.
This chapter is organized as follows. After this introduction, the multimodal circuits and models for uniplanar transitions and discontinuities are explained in Section 2. The RF-MEMS fabrication technology platform is described in Section 3. The electromechanical analysis derived from the energy approach is studied in Section 4. The fabricated switches are described in Section 5. The RF equivalent circuit for the switches is analyzed in Section 6. The reconfigurable multimodal microwave and mm-wave circuits are described in Section 7. The chapter ends with some conclusions.
The slotline and the CPW are uniplanar transmission lines. The slotline consists of two conductor strips on a dielectric substrate (Figure 1(a)). The CPW consists of three conductor strips on a dielectric substrate (Figure 1(b)). The slotline is a monomodal transmission line: it propagates only one fundamental quasi-transversal electromagnetic (TEM) mode, whose voltages and currents (both for the total voltage and current
(a) Slotline. (b) CPW.
(a) Definitions of voltages and currents in a slotline. (b) Circuit model for a slotline section.
where
The CPW is a multimodal transmission line: it can propagate two fundamental quasi-TEM modes simultaneously (the even and odd modes) whose voltages and currents are defined as in Figure 3(a). The odd mode is often seen as spurious, and its propagation cut by means of air bridges (described subsequently). However, it can be used to design new kinds of compact uniplanar circuits. In a CPW section, the even and odd modes do not interact between them and therefore can be circuitally modeled as two independent ideal transmission lines, as shown in Figure 3(b), with equations analogous to those of the slotline for either of them.
(a) Definitions of voltages and currents in a CPW. (b) Circuit model for a CPW section.
The even and odd modes behave differently when they encounter any transition or asymmetry, and there they may also interact between them. A multimodal model is a circuit model that makes the behavior of the different modes at a transition or asymmetry explicit. As an example, some simple multimodal models are presented subsequently; more complex ones are described in [6, 9, 10, 11, 38, 39, 40, 58].
The layout of this transition is shown in Figure 4(a) (the depicted voltages and currents are the total ones for each mode, computed at the transition plane). Its behavior is easy to understand intuitively. At the transition, the odd mode transforms into the slotline mode and vice versa due to their similarity of voltage and current orientations (caused by the similarity of their electromagnetic fields). The even mode, however, is left in open circuit when the slotline begins since its current in the CPW central strip can flow no more. Therefore, the multimodal circuit model for the symmetric CPW-to-slotline transition is that of Figure 4(b). As can be seen, a multimodal circuit model confines the contributions of each mode present in a transition into a different port.
(a) Symmetric CPW-to-slotline transition. (b) Multimodal circuit model.
Suppose an impedance connects the two outer CPW strips as shown in Figure 5(a). This circuit can model an air bridge (a conducting wire connecting the two outer CPW strips, with an impedance
(a) Impedances connecting the two outer CPW strips. (b) Multimodal circuit model.
In the two previous examples, the even and odd modes behaved in a different way at the analyzed transitions but did not interact between them due to the symmetry of the transitions. When the transitions are asymmetric, as it is the case for the asymmetric shunt impedances connecting the strips of the CPW shown in Figure 6(a), the modes interact between them. The behavior of this transition is not obvious, but it can be rigorously modeled by the circuit shown in Figure 6(b) [37]. As can be seen, in this case, there is an energy balance between even and odd modes (there is a circuit connection between the even- and odd-mode ports), provided that the impedances
(a) Asymmetric shunt impedances connecting the strips of a CPW. (b) Multimodal circuit model.
A flexible technology platform has been developed and optimized at the FBK Institute (Trento, Italy) for the fabrication of RF-MEMS. Basic components (like low-loss CPW, microstrip line and slotline, ohmic [41, 42] and capacitive [43, 44] switches, variable capacitors and inductors) can be integrated in complex reconfigurable RF circuits. Many kinds of devices were produced, mainly for space and communication application, like switching matrices [45, 46], tunable and switchable phase shifters [47], reconfigurable antennas, impedance matching networks [48], VCOs [49, 50], and tunable filters. Depending on the used substrate, high-resistivity silicon (<40 GHz), or fused quartz (>40 GHz), the working frequency range spans from sub-GHz up to more than 100 GHz.
The base process requires eight lithography masks but, depending on the requirements, it can easily be expanded to deposit and pattern metal on the wafer backside to realize microstrip lines or antennas and to obtain devices suspended over thin membranes by locally removing the substrate. A wafer-to-wafer or a cap-to-die-bonding module is also available to encapsulate the delicate MEMS moving parts [51].
RF signal lines and ground area are made of thick electroplated gold to reduce insertion losses while actuation electrodes and DC-bias signal lines are made of a high-resistivity polysilicon to minimize coupling with adjacent RF lines. The movable and suspended structures of the electrostatically actuated switches, which can be either cantilevers or clamped-clamped beams, are made by gold deposited over a sacrificial photoresist layer having the thickness of the required air gap, while switch underpass lines and other conductors are made of a thin Al film. On ohmic-contact switches, the gold-to-gold contact area is defined by underneath polysilicon protruding dimples to ensure a repeatable contact force and a uniform and reproducible low contact resistance. On capacitive-contact switches, the contact capacitor is made by depositing a thin silicon oxide dielectric and an upper floating metal (FLOMET) electrode over the metal underpass line, obtaining a very well-defined and reproducible metal insulator metal (MIM) capacitor. In this way, when the switch-movable membrane is in an up position, the capacitance, due mainly to the air gap, is small while when it is actuated, the membrane contacts the top floating metal electrode, and the capacitance is defined by the MIM capacitor and not by the membrane itself. In this way, the switch is much more repeatable than the usual configuration, where the movable membrane directly touches the dielectric and the capacitance is strongly influenced by both the membrane deformations and surface roughness leading to a capacitance value much lower than the designed one.
For all the switch configurations, the actuation electrodes are separated from the contact area. This makes it possible to optimize them independently to sustain the high actuation voltage (up to 100 V) and reducing the charging phenomena. It is possible either to use a thicker dielectric over polysilicon to limit the electric field or better to use a dielectric-free configuration removing all the dielectric and using a matrix of mechanical stoppers to prevent short circuits. The height of the stoppers has to be designed in order to obtain an air gap between movable bridges and electrodes which is thick enough for isolation at the bias voltage used.
The basic fabrication process for silicon substrate is reported in [20, 52] and illustrated in Figure 7, where a schematic cross section of an ohmic switch is represented. For high-frequency devices, the losses of the silicon are too high and quartz (fused silica) is preferred. Only minor adjustments are required to process transparent substrates.
Depiction of the fabrication process flow on a schematic ohmic-switch cross section.
The fabrication process starts with the oxidation of the high-resistivity (>5000 Ω·cm) 150-mm diameter silicon wafers in order to obtain a 1-μm-thick silicon oxide isolation layer. A 630-nm thick layer of polysilicon is then deposited by low-pressure chemical vapor deposition (LPCVD) and doped by ion implantation to obtain a sheet resistance of about 1600 Ω/sq. The polysilicon structures are defined by lithography and dry etching using chlorine-based gas plasma, and the residual photoresist is removed by an oxygen plasma (Figure 7(a)). An annealing at 925°C for 1 h in nitrogen atmosphere is required to diffuse and to electrically activate the B ions. To electrically isolate the polysilicon, 300 nm of silicon dioxide is deposited by LPCVD at 718°C (TEOS). When a backside conductive layer is required for microstrip lines or devices like phased array antennas, an aluminum film is sputtered and patterned on the wafer backside. The process continues on the front side with a lithography and dry etching to open holes in the TEOS layer for contacting the underneath polysilicon (Figure 7(b)). To realize connection lines, a conductive metal consisting of Ti/TiN diffusion barrier and Al1%Si is sputtered and patterned by dry etching (Figure 7(c)). The total thickness is the same as that of polysilicon to minimize distortion of the switch bridges crossing over both metal underpass and polysilicon actuation electrodes. A 100-nm thick SiO2 deposited by PECVD is used as dielectric for capacitive contacts as well as for metal isolation. Holes in the oxide (vias) are realized by lithography and dry etching to contact the underneath metal and for the dielectric-free actuation electrodes (Figure 7(d)).
To realize the bottom part of the gold-to-gold contacts of ohmic switches as well as an electrically floating metal layer for capacitive-contact switches, a 5-nm Cr adhesion layer and 150-nm Au are deposited by an electron beam gun, patterned and wet etched (Figure 7(d)). A photoresist sacrificial layer (spacer) is lithographically defined under movable structures and suspended air bridges because later it can be easily removed by oxygen plasma to form an air gap (Figure 7(e)). To make the RF structures, a conductive seed layer of 2.5 nm of Cr and 25 nm of Au is deposited by e-beam, patterned using thick AZ 4562 positive resist, and a 1.8-μm-thick first gold layer (bridge) having a slightly tensile residual stress is selectively grown by electroplating (Figure 7(f)). A second 3.5-μm-thick gold layer (CPW) is then defined by AZ 4562 and electroplated. The thinner Au bridge layer is used to make the suspended and movable structure while both layers are superimposed to obtain thicker low resistance signal lines and ground areas. To better control the deformation of the movable parts of the switch, it is possible to use the bridge layer for deformable suspension legs and bridge plus CPW layer for a stiffer main body that moves rigidly, almost without deformations. This concept is applied in the fabricated devices, described in Section 5. To complete the fabrication, the seed layer is removed by wet etching, and the suspended structures are released by removing the spacer underneath by an oxygen plasma (Figure 7(g)).
Mechanical design plays an important role in the RF behavior of MEMS switches because it couples important parameters such as the required actuation voltage (also called pull-in voltage,
Another trend to achieve fast-switching is to use actuation voltages beyond pull-in. The accumulated electrostatic energy will generate mechanical energy that will be released in the form of mechanical oscillations (bouncing) of the switch membrane [30, 31, 32, 33, 34, 35]. To accurately approach RF-MEMS mechanical design, the dynamic behavior of RF-MEMS switches should be considered rather than only static behavior.
The analysis of the electromechanical exchange of energy in the RF-MEMS is an analytical tool that can provide inside knowledge on the required minimum
Figure 8 shows the schematic of the one-dimensional (1D) lumped-mass model that, combined with classical Newtonian mechanics, can be used to predict the behavior under applied electrostatic forces of an RF-MEMS switch (either a membrane or a cantilever). If air damping is considered the only non-conservative force, then the equation of the motion for the 1D model shown in Figure 8 is
where
1D mechanical lumped-mass model of an RF-MEMS switch.
The study of the energy exchange of the mechanical system not only provides the position of the contact point of the MEMS switch but also provides deep insight to the required
where
Figure 9 shows the evolution of the total energy
Simulated evolution of the switch total energy after release from the actuated position.
From Eq. (2), the actuation voltage can be obtained since at the point of instability (or switching)
Eq. (3) is used in the simulations of the fabricated switches, discussed in the next Section.
This section presents electrostatically actuated switch configurations which can easily be integrated in reconfigurable uniplanar circuits. All the considered devices were fabricated using the eight-mask surface micromachining process from FBK explained in Section 3. The structures are composed of a 1.8-μm-thick gold layer and reinforced with a 3.5-μm-thick superimposed gold frame to increase the rigidity of the cantilever or the bridge. The switches were designed taking into account the mechanical analysis described in Section 4.
To reduce the initial deformation of the switch membrane, different authors have reported on the effective stiffness of common suspensions types [26, 27, 28]. A coupled-field 3D finite element analysis (FEA) with ANSYS® Workbench™ can be used to model the mechanical structure and tune the measured initial deformation according to the residual stress produced by the fabrication process. The robustness of the design to manufacturing stresses can also be studied with this software.
The switch designs presented use either a clamped-clamped suspension or alternative suspension techniques such as straight-beam, curved-beam, or folded-beam which reduce the initial stress and the actuation voltage. Some FEA results are shown to assess the ability of the proposed suspensions to absorb the initial stress. Hysteresis measurements are also presented to show the featured pull-in and pull-out voltages. At the end of the section, Table 1 summarizes the switch dimensions and the main mechanical parameters for the different switches.
Parameter | Ohmic-cantilever straight/semicircle | Capacitive, clamped/folded | Ohmic-series | Ohmic-parallel (SAB) |
---|---|---|---|---|
Figure | 10(a)/10(b) | 11(a)/11(b) | 13(a) | 14(a) |
Supporting beam radius (μm) | −/16 | — | — | — |
Meander length, | — | −/30 | — | 30 |
Supporting beam width (μm) | 16 | −/10 | — | 10 |
Supporting beam length, | 40 | −/75 | — | 75 |
Supporting beam length, | — | −/45 | — | 77.5 |
Membrane width, | 90 | 90 | 100 | 90 |
Window width, | — | — | — | 60 |
Membrane length, | 170 | 580/230 | 580 | 165 |
Bottom electrodes area (μm2) | 13,500 | 2 × 22,800/2 × 7650 | 2 × 22,800 | 2 × 7650 |
Contact area (μm2) | 3 × 10 × 30 | 100 × 90*/50 × 90* | 2 × 10 × 90 | 2 × 10 × 12 |
Spring constant, | 2.3/1.6 | 104.5/32.5 | 104.5 | 15.4 |
Pull-in voltage, | 10.6/8.8 | 60/14 | 49 | 14 |
Resonant frequency (KHz) | 8‡/6.6‡ | 16.25 ‡/25.3‡ | 16.25†,‡ | 17.1‡ |
Dimensions and mechanical parameters of the switches.
Measured.
Calculated using the mechanical analysis of Section 4.
Floating metal area.
The RF behavior of the switches, including equivalent circuits in ON and OFF states, is discussed in detail in Section 6.
Figure 10 shows a cantilever-type ohmic-contact switch, able to synthesize asymmetric shunt impedances in a CPW to control the CPW even mode as explained in Section 2.2.3. The cantilever is placed above a rectangular notch in the upper lateral ground plane to which is anchored using a suspension composed of two 16-μm-wide beams, providing a low spring constant value and a low pull-in voltage. The beams may be either straight-shaped (Figure 10(a)) or semi-circular-shaped (Figure 10(b)). The latter is used to reduce the initial deformation of the switch due to the residual stress [27] produced by the fabrication process [20, 52]. To compute the initial deflection, a 3D FEA using ANSYS® was performed. The initial stress values used for the simulation were
Cantilever-type ohmic-contact switch. (a) Straight-shaped suspension. (b) Semi-circular-shaped suspension. (c) Simulation of initial deformation due to residual stress on the semi-circular suspension device.
Bridge-type switches can be used to perform both ohmic contacts and capacitive contacts in uniplanar circuits for multiple applications. In contrast to the cantilever-type switches, the bridge-types are symmetric structures and therefore (as discussed in Section 2.2), when actuated, they are able to control one of the fundamental CPW modes (either even or odd), leaving the other mode ideally unaffected. Some minor effects such as a small even-mode parasitic capacitance (in case of the ohmic-contact parallel switch discussed in Section 5.2.3) occur but with a very limited impact on the circuit behavior.
Figure 11 shows two fabricated capacitive-contact parallel switches. The change between ON and OFF states is performed by moving the suspended membrane, which can be actuated through bias pads connected to two symmetrical polysilicon electrodes placed under the membrane. A floating metal (FLOMET) strip is placed on top of the dielectric under the membrane. The overlapping area between FLOMET and a multi-metal layer under the bridge (CPW center conductor) defines a MIM capacitor, as described in Section 3. When the actuation voltage is equal or higher than the pull-in voltage
Capacitive-contact parallel switch. (a) Fabricated switch using a clamped-clamped membrane. (b) Fabricated switch using a folded-beam suspension. (c) for a device with a folded-beam suspension: Simulation of initial deformation due to residual stress.
The capacitive switch shown in Figure 11(a) uses a clamped-clamped membrane suspension. The device was fabricated on a quartz substrate with a thickness
Measurement of hysteresis of the switch with a folded suspension (
A photograph of an ohmic-contact series switch is shown in Figure 13(a). It was fabricated on a quartz substrate with a thickness
Ohmic-contact series switch. (a) Fabricated switch. (b) Measured and simulated time evolution of the microwave isolation after release (switch going from ON state to OFF state).
For this switch, the switching and release times were key parameters in radiometric applications, as discussed in Section 7. The measured switching and release times are 100 μs and 15 μs, respectively. To more accurately assess the switch behavior after the membrane release (evolving from ON state to OFF state), the energy model discussed in Section 4 was applied as follows. The evolution in time of the switch transmission coefficient magnitude
where
Figure 14(a) shows a switchable air bridge (SAB) that can be used in CPW reconfigurable multimodal circuits for a selective use of the CPW odd mode. The device was fabricated on a quartz substrate with a thickness
Ohmic-contact parallel switch (switchable air bridge) using a folded-beam suspension. (a) Fabricated switch. (b) Measurement of hysteresis showing pull-in and pull-out traces.
The air gap of ohmic contacts placed on the top and bottom electrodes could be affected by stress gradients during fabrication. As with the previous switches, the deformation of the bridge was simulated using ANSYS® 3D FEA. The structure can handle positive- and negative-stress gradients without compromising on the function of the switch. Figure 15(a) shows the deformation of the bilayer membrane. For this case, the simulated maximum initial deflection is smaller than 0.16 μm.
(a) Initial deformation due to residual stress. (b) Measured topography of the device just after fabrication.
The measured topography of the device just after fabrication (Figure 15(b)) shows a very good agreement with the 3D FEA results, thus validating this analysis. This model can then be used to extract the nonlinear stiffness values that in turn can modify the potential energy curve shown in Figure 9.
Table 1 shows the dimensions and the main mechanical parameters of the switches presented in this section. The membrane/cantilever height is 1.6 μm in all cases except for the capacitive-contact parallel switch with the clamped-clamped membrane and the ohmic-contact series switch, both featuring a membrane height of 2.7 μm. While the pull-in voltages are measured, the spring constant and the mechanical resonant frequency are computed using the 3D FEA method presented in Section 4. For the ohmic-contact series switch, the mechanical resonant frequency was also measured using the method reported in [56].
The configuration of a capacitive-contact parallel switch is shown in Figure 11. It is able to control the propagation of the CPW even mode and simultaneously suppress the CPW odd mode because the lateral metal planes are permanently connected through the switch membrane. When the switch is in its “up” (OFF) state, the capacitance between the elevated membrane and the RF line underneath (
Figure 16 shows an equivalent circuit of the switch, which applies to both states. Capacitance
Capacitive-contact parallel-switch equivalent circuit.
The configuration of an ohmic-contact parallel switch (switchable air bridge or SAB) is shown in Figure 14. This switch is used to efficiently control the CPW odd-mode propagation. When the switch is in its “up” (OFF) state, the capacitance between the elevated membrane and the two RF ohmic contacts at either lateral metal plane is negligible (
Figure 17 shows an equivalent circuit of the switch for the OFF state (Figure 17(a)) and ON state (Figure 17(b)). The same parasitic inductance
Ohmic-contact parallel-switch equivalent circuit. (a) OFF. (b) ON.
To control the CPW even-mode propagation using ohmic-contact switches, the cantilever-type switch configuration shown in Figure 10 can be used. It is observed that the odd mode is suppressed using air bridges. Therefore, the equivalent circuit for this kind of switches is the same as the one shown in Figure 17, but changing the CPW line characteristic impedances
The CPW even mode can be controlled without suppressing the odd mode by using the bridge-type ohmic-contact series switch configuration shown in Figure 13. In this case, the equivalent circuit for the even mode is shown in Figure 18. In the OFF state, the switch behaves as a small series capacitance (
Ohmic-contact series-switch equivalent circuit. (a) OFF. (b) ON.
Figures 19 and 20 compare the measured to simulated results of the switches presented in Section 5 and modeled in Section 6.1. The switch insertion loss (ON state) and isolation (OFF state) are plotted as a function of frequency.
Measured isolation (OFF) and insertion loss (ON) of the fabricated switches compared to simulations of circuit models. (a) Capacitive-contact parallel switch shown in
(a) Measured isolation (OFF) and insertion loss (ON) of the fabricated ohmic-contact parallel switch (SAB) shown in
In Table 2, the values of the equivalent circuit elements obtained to fit measurement are listed. The capacitive switch features a high capacitance ratio (
Parameter | Capacitive: direct clamp/folded | Ohmic: parallel | Ohmic: cantilever | Ohmic: series | ||||
---|---|---|---|---|---|---|---|---|
OFF | ON | OFF | ON | OFF | ON | OFF | ON | |
0 | 0 | 0 | 0 | 0.02 | 0.02 | 0 | 0 | |
8.5 | 8.5 | 3 | 3 | 0 | 0 | 6 | 6 | |
28 / 7 | 28 / 7 | 180 | 180 | 100 | 100 | 0 | 230 | |
1 / 30.5 | 3800 / 1530 | 0.9 | − | 5.1 | − | 3.35 | − | |
0.27 / 0.1 | 0.27 / 0.1 | 0.3 | 3.2 | 0 | 1 | 0 | 2.4 | |
76.1 / 78.6 | 76.1 / 78.6 | 100 | 100 | 45.3 | 45.3 | 97 | 97 | |
118.7 / 148.5 | 118.7 / 148.5 | 195 | 195 | 63.5 | 63.5 | 152 | 152 |
Equivalent circuit elements of Figures 16–18 (switches Figures 10, 11, 13, and 14).
x = e (even) or o (odd) according to Figures 16–18.
This section presents two applications of the RF-MEMS presented in Section 5 when combined with the multimodal circuits presented in Section 2: 180° phase switches and bandpass filters. All of them were fabricated using the process described in Section 3.
A 180° phase switch is a circuit that shifts the phase between 0 and 180°. This is a multi-purpose element required in the microwave and millimeter-wave applications, such as high-sensitivity radiometers or electronic beam steering in phased-array antennas. The specifications for these systems are, in most cases, a broadband operation, a low power consumption, and small size. They can be implemented monolithically using HBT/HEMT-based MMICs or using MEMS-based solutions as shown subsequently.
Figure 21(a) shows a compact, uniplanar 180° phase switch fabricated on a quartz substrate [9]. It is based on two different back-to-back (BTB) CPW-to-slotline transitions [39] (symmetric and antisymmetric transitions, respectively), creating two phase paths with a relative transmission phase shift between them of 180°. Each path is selected using two single-pole-double-throw (SPDT) switches. The SPDT consists of two ohmic-contact MEMS series switches (described in Section 5.2.2) and a power divider. Figure 21(b) shows the measured performance of the circuit, featuring a 180° ± 5° phase shift between both states in a bandwidth of 35% (14–20 GHz), with an insertion loss smaller than 2 dB in both paths.
(a) Manufactured 180° phase switch. (b) Measured insertion loss (symmetric and antisymmetric paths) and measured phase shift between the two paths.
Figure 22(a) shows the photograph of a second compact, uniplanar 180° phase switch fabricated on a quartz substrate [10]. In this case, it is based on an air-bridged CPW cross [57]. The two CPW arms of the cross are loaded with capacitive-contact MEMS switches (described in Section 5.2.1). The two phase-switch states (0°/180°) are obtained by actuating the MEMS switches in opposite states (ON/OFF and OFF/ON), resulting in a multimodal interaction between the two CPW modes (even and odd) at the air-bridged cross. The CPW-to-slotline transition [39] at the input port and the CPW taper at the output port are included in order to enable the measurement of the circuit with a probe station. Figure 22(b) shows the measured results of phase shift between both states and insertion loss, featuring 180° +1.8°/−1° and ± 0.1 dB insertion-loss unbalance, respectively, in a very wide bandwidth (5–25 GHz). The measured insertion loss is better than 2 dB in 10–20-GHz frequency band.
(a) Manufactured 180° phase switch. (b) Measured insertion loss for the two states and phase shift between the two states.
Figure 23(a) shows a second-order bandwidth-reconfigurable bandpass filter, which was fabricated on a quartz substrate (
(a) Second-order bandwidth-reconfigurable bandpass filter. (b) Detail of reconfigurable MIIs and reconfigurable inductive coupling
Figure 24(a) shows a second-order bandpass filter fabricated on a 5-KΩ-cm high-resistivity silicon substrate (εr = 11.9,
(a) Second-order frequency-reconfigurable bandpass filter. (b) Detail of reconfigurable MIIs and SAB. (c) Filter measured insertion loss and return loss.
In this chapter, the design considerations of RF-MEMS switches aimed to be integrated in uniplanar multimodal reconfigurable circuits for operation in the microwave and mm-wave bands have been presented. Different configurations of series and parallel switches featuring ohmic and capacitive contact have been discussed in detail, including the analysis of mechanical topologies which minimize the initial deformation due to residual stress. The fabrication process has been described, which provides the required flexibility to integrate the MEMS switches into higher-level RF communication systems. The switch RF behavior has been modeled using suitable equivalent circuits for both (ON/OFF) switch states. The models can easily be embedded into complex multimodal environments which enable multipurpose, compact designs. The fabricated switches have been experimentally characterized in terms of hysteresis, RF isolation (OFF state), and RF insertion loss (ON state), demonstrating an excellent behavior. As practical examples of the application into communication systems, some of the proposed switches have successfully been integrated into 0°/180° phase switches and into reconfigurable filters with either center frequency or fractional-bandwidth reconfiguration, showing excellent performances.
This work was supported by the Spanish MEC under Projects TEC2013-48102-C2-1/2-P, TEC2016-78028-C3-1-P and grant BES-2011-051305, the Mexican CONACYT under fellowship 410742, and the Unidad de Excelencia Maria de Maeztu MDM-2016-0600 financed by the AEI, Spain.
Preparing a contingency plan before disasters is essential to increase the capacity of personnel in charge of disaster response and enhance local resilience to disasters. The Sendai Framework for Disaster Risk Reduction 2015–2030 [1], adopted at the Third United Nations World Conference on Disaster Risk Reduction in 2015, addresses the importance of “Enhancing disaster preparedness for effective response and to ‘Build Back Better’ in recovery, rehabilitation and reconstruction” as the fourth priority action. More specifically, its paragraph 33 states that national and local governments shall prepare or review and periodically update disaster preparedness and contingency policies, plans and programmes with the involvement of the relevant institutions, considering climate change scenarios and their impact on disaster risk and facilitating, as appropriate, the participation of all sectors and relevant stakeholders [1].
\nIn order to achieve effective disaster response, it is important first to assume possible disasters, then quantify expected disaster damage and conduct contingency planning based on the scenarios of the possible disasters. One of the practical tools to carry out this process is evidence-based flood contingency planning, which is based on scientific approaches such as flood simulation and quantitative risk assessment. This planning method, however, is not always feasible to disaster-prone areas in Asia due to the lack of data on natural and social conditions. To overcome such a challenge, the International Centre for Water Hazard and Risk Management (ICHARM) focuses on flood disasters and proposes an effective method for local communities to predict the dynamic change of inundation using flood simulation, assess flood risk with key indicators, decide coping strategies against the identified flood risk and develop a contingency plan beforehand. This method is first applied to one of the flood-prone areas in Asia, Calumpit Municipality in the Pampanga River basin of the Philippines, to verify its effectiveness in areas where the availability of natural and socio-economic data is limited.
\nThe “ISO22301 Societal security—Business continuity management systems” specifies requirements for all types of organisations to plan, implement, review and improve a documented management system to prepare for, respond to and recover from disruptive incidents [2]. It requires the organisations to select business continuity strategy based on the outputs from the risk assessment and business impact analysis. The risk assessment aims to identify and evaluate the risk of disruptive incidents to the organisations, while the business impact analysis assesses the impacts of disrupting activities that support organisation’s services. To conduct evidence-based flood contingency planning in reference to the procedures employed in the ISO22301, six steps are proposed, as shown in Figure 1.
\nSix steps of evidence-based flood contingency planning.
The first step of this planning is to understand the current conditions of the target communities such as topography, land use, population and structures, as well as past flood records in the area. At the second step, flood hazards and risks are identified through flood and inundation simulations conducted by national or provincial governments. Flood scenarios are presented with two key components, i.e. a flood inundation map and a time-series inundation water chart, to illustrate dynamic changes in inundation depth for residents to easily understand how the inundation may expand, linger and recede in their communities. The third step is flood impact analysis, in which the numbers of residents and houses at risk are estimated based on the average ground-floor height of houses, and possible problems the community may face due to the flood are identified. At the fourth step, the communities in the target area should develop a response strategy. Necessary actions should be discussed according to the time sequence of “before the flood”, “during the flood” and “after the flood”. The fifth and sixth steps are documentation and sharing of the plan among the community members. It is also important that the produced plan should be updated constantly through the Plan-Do-Check-Act cycle.
\nAmong the Asian flood-prone areas, a municipality called Calumpit was selected as the first case study area. It is in Bulacan Province in Pampanga River basin located northwest of Metro Manila in Central Luzon Island, Philippines. The municipality lies at the junction of several rivers, including Pampanga, Angat and Labangan, as illustrated in Figures 2 and 3. This topography makes Calumpit one of the most flood-prone municipalities in the Philippines. As of 2010, 101,068 people live in an area of 5625 ha, or 2.03%, of the province. The municipality has 29 barangays, the smallest administrative units. The recent largest flood was caused by Typhoons Pedring and Quiel in September 2011, and a large area of the municipality suffered massive flood damage. Due to an inundation of 1.2–1.5 m deep, Calumpit lost its government functions, which consequently impeded emergency response.
\nLocation of Calumpit in Pampanga River basin. (a) Luzon Island and (b) Pampanga River basin).
Land use map of Calumpit [
The Philippine Disaster Risk Reduction and Management Act (Republic Act No. 10121) [3], enacted in 2010, provides for the development of policies and plans and the implementation of actions and measures related to all aspects of disaster risk reduction and management. It defines the National Disaster Risk Reduction Management Council (NDRRMC) as the national organisation to coordinate, integrate, supervise, monitor and evaluate disaster policymaking. It also mandates the establishment of the Disaster Risk Reduction and Management Office in every barangay, municipality, city and province.
\nCalumpit has the Municipal Disaster Risk Reduction Management Council (MDRRMC) and the Barangay Disaster Risk Reduction Management Council (BDRRMC) in its 29 barangays. The act defines MDRRMCs and BDRRMCs to perform functions such as designing and coordinating disaster risk reduction and management activities, supporting risk assessments and contingency planning activities at the local level [3]. Following this act, the MDRRMC of Calumpit published a contingency plan [4], which describes governmental emergency response in case of a flood. It assumes casualties, structural damage and impacts on livelihood, infrastructure and facilities in the worst-case scenario, based on the experience during Typhoons Pedring and Quiel in 2011. However, the scenario based on the past flood experiences makes it difficult to assume future floods of different scales which have never occurred before. It is therefore recommended to make contingency plans by quantifying a spatial distribution of expected damage and necessary needs in consideration of dynamic changes in inundation depth provided from flood inundation simulations performed for each community.
\nThe proposed method was applied to Calumpit Municipality in Bulacan Province.
\nFigure 4 illustrates overall activities related to the six steps to be proposed. The first and second steps were applied to the whole area of the municipality in April 2014. At the third and fourth steps, two flood-prone communities were selected as model sites, and their flood contingency plans were jointly developed through workshops with community leaders and members. In the workshops, the participants discussed problems they may face during the flood of each scale and proposed necessary response actions in order to make response strategies. The final workshop was held in March 2016, inviting all the community leaders in the municipality, and the experience in the workshops was shared among the participants. The following subchapters detail each step:
\nActivities at six steps of evidence-based flood contingency planning.
In areas where the availability of natural and socio-economic data is limited, administering interviews and questionnaires to local government officials, community leaders and local people is useful to understand the current conditions of their localities. In this study, interviews were conducted at MDRRMO and selected communities [5]. The surveys found that population census data at the barangay level was available, while the spatial distribution data of buildings was not. Then, a questionnaire survey was administered to all 29 barangay leaders to understand the building conditions in each barangay. The houses in the 29 barangays were classified and tallied according to construction types and storeys. Of those, 62.5% were a one-storey structure, while the rest were two-storey.
\nInterviews at the selected individual households were also conducted to understand recent flood damage, including the damage status of house structures, property and family members and their behaviours during the recent floods. During the interviews, the survey staff measured the heights of the first floor, ceiling and flood marks from the past floods with the permission of family members. From the household survey, it was found that the average first-floor height of the one-storey houses was 0.54 m from the ground, while that of the two-storey houses was 0.17 m, as shown in Figure 5. Table 1 summarises the conditions of the houses at five inundation levels using the thresholds from the household interviews. Different damages to the livelihood of the residents are listed according to inundation levels. Inundation level 1 with a water depth of 0.17 m or lower did not inundate inside the house. At inundation level 2, the two-storey houses started being inundated. At inundation level 3, at which the water depth exceeds 0.54 m, both one- and two-storey houses suffered from inundation above the first floor, which suggests that the residents had to stay somewhere above the water level or evacuate to safer places near their houses.
\nThreshold of inundation based on measurement results.
Conditions of houses at each inundation level.
The household interviews also found that the inundation above electric plugs caused severe damage to daily life. The height of electric plugs averaged 1.27 m and that of LP gas tanks 0.60 m. The residents usually move LP gas tanks to the second floor or to the rooftop to use them for cooking during an inundation. Inundation level 4 was set, based on the observed average height of electric plugs, as the condition cutting local people off from power. At inundation level 5, the inundation depth exceeds 2.83 m, the height of the second floor of a house. Under this situation, they could not find an evacuation space due to the rarity of buildings having three storeys or more, which means an inundation of this scale is likely to be a potentially life-threatening crisis for the residents.
\nCalumpit Municipality has its own community flood warning system called “colours of safety”. This system uses power poles painted in three colours (yellow, orange and red) by every 2 ft to visualise the level of danger and help residents make decisions on evacuation. At present, 193 electric poles in the municipality are tricoloured for this purpose. The residents are advised to evacuate before the water reached the red colour.
\nIn this step, the expected flood inundation area was delineated by flood inundation simulation using the rainfall-runoff-inundation model (RRI model), developed by ICHARM. The RRI model is a two-dimensional model capable of simulating rainfall, runoff and flood inundation simultaneously Sayama et al. [6]. The model deals with slopes and river channels separately. It applies a 2D diffusive wave model to flows on slope grid cells and a 1D diffusive wave model to channel flows. The software of the model can be downloaded from the ICHARM website [7] for free.
\nWe used the RRI model that Shrestha et al. [8] locally customised to conduct flood simulation for the Pampanga River basin and performed hazard mapping for Calumpit Municipality, following the eight sub-step procedures [5] presented below:
Sub-step 1: acquisition of input data for the model.
Sub-step 2: acquisition of flood mark records.
Sub-step 3: flood inundation simulation during Typhoons Pedring and Quiel in September 2011 (grid, 200 m).
Sub-step 4: calibration of the model by comparing observed and simulated discharges in sub-step 3.
Sub-step 5: validation of the model by comparing the simulation results with flood mark records.
Sub-step 6: frequency analysis using rainfall data.
Sub-step 7: flood inundation simulation using design rainfall assumed with 10-, 30- and 100-year return periods.
Sub-step 8: development of inundation depth maps in Calumpit with 10-, 30- and 100-year return periods (grid, 5 m).
The simulation used the high-resolution digital elevation model (DEM) of 5 m grid, observed by the interferometric synthetic aperture radar (IFSAR) and provided by the National Mapping and Resource Information Authority (NAMRIA) in the Philippines without a fee. Inundation simulation for the River basin was first conducted using DEM data of 200 m grid created by IFSAR. After the flood inundation simulation, a grid of Calumpit with the inundation depth of 5 m was developed by obtaining the difference between the floodwater surface level of 200 m grid and the ground-level surface level of 5 m grid by IFSAR. As a result of the flood inundation simulation, three kinds of flood inundation maps with 10-, 30- and 100-year return periods were produced for ordinary, past largest and extreme floods. From the frequency analysis using past rainfall data, a return period of the flood caused by Typhoon Pedring in 2011 was estimated to be 28.3 years. The occurrence of flood inundation with a 30-year return period means the reoccurrence of the 2011 flood. Figure 6 shows the inundation maps produced in this step.
\nMaximum inundation depth maps.
Municipal personnel pointed out that the word “return period” is too technical for residents to understand. Thus, to help them understand the flood scale easily, floods were named according to their scales as “ordinary flood” for 10-year return period floods; “high flood” for 30-year return period floods, whose scale is roughly equal to the largest recorded flood in 2011; and “extreme flood” for 100-year return period floods.
\nBased on the flood simulation results, maps and a chart were created for each barangay, as shown in Figure 7. As mentioned above, Calumpit Municipality has its own community flood warning system called “colours of safety” in which power poles are painted in three colours by every 2 ft to visualise the level of danger and help residents make decisions on evacuation. The inundation maps for each barangay (Figure 7b) adopted this locally familiar tricolour system to show the inundation depth.
\nMaps and chart for each barangay (example of Barangay Santa Lucia).
In addition to inundation maps with three different return periods, inundation probability maps, time-series inundation charts and resource maps were also developed for each barangay. The inundation probability map (Figure 7c) was created to help people understand the most frequently inundated areas, by combining the information of three inundation maps with 10-, 30- and 100-year return periods. The map shows the probability of inundation that may exceed 2 ft. (0.61 m) or higher, the depth almost equal to the height of the first floor of a one-storey house. The area in dark purple colour indicates that one-storey houses in the area may be inundated above the first-floor level in case of a 10-year return period flood. The time-series inundation chart (Figure 7d) shows the chronological development of inundation in a barangay using different colours. From this chart, people can understand how many days the area may be inundated according to different flood scales. In the resource map (Figure 7a), the locations of barangay halls, evacuation centres and electric poles for “colours of safety” were plotted.
\nIn order to quantify flood risk at each community, the number of affected residents was estimated based on damage levels by overlaying inundation maps on the population distribution map of each barangay. Since most of the municipal area of Calumpit is used for agricultural purposes, we considered it reasonable to assume that the population is not uniformly distributed over the municipal area but disproportionately distributed in the built-up areas. For this reason, the built-up areas were identified. The identification of the built-up areas was made using satellite images because no digital land use maps were available. If accurate land use maps are available, they can be used for the purpose. The population in each barangay was assumed to be evenly distributed in its identified built-up areas. Then, the number of affected residents in each barangay was estimated according to inundation levels (Table 1). As a result, the total ratio of affected residents living in the area with inundation levels 3–5 was calculated to be 55.9% for a 100-year flood, while 34.6% for the past maximum flood case, as shown in Figure 8. That well over 55% of the population may suffer at inundation level 3 or above in a 100-year flood means both one- and two-storey houses are very likely to be inundated above the floor.
\nEstimated number of affected residents in Calumpit.
Figure 9 shows the estimated number of affected residents in each barangay in both flood cases. In case of a 100-year flood, more than 90% of the residents in barangays of Sapang Bayan, Corazon, Bulusan, Gugo and San Jose may suffer from an inundation of level 3 or above. They should prepare for prompt evacuation in case of such a severe flood. In this case study, only the number of affected residents was analysed due to a lack of spatial distribution data of buildings. If the data is available, the number of damaged houses and the repairing cost could be estimated. Moreover, the number of affected residents or those who need to evacuate outside their houses could be calculated more accurately based on the number of damaged houses.
\nEstimated number of affected residents in each barangay.
The third step is flood impact analysis, in which possible problem communities may face in the event of a flood are identified. The most important thing is for communities to understand how flood impact becomes severer according to flood scales so that they can take sensible measures to increase disaster preparedness by themselves. Two flood-prone barangays were selected as model sites to develop flood contingency plans with barangay leaders and members through workshops. The participants of the workshops discussed problems on key components, such as information communication, evacuation, housing, water, food, relief goods, medical treatment and transportation, for three flood patterns identified in step 2: ordinary flood, high flood and extreme flood.
\nTable 2 summarises the impact of floods identified at the workshops in the two barangays. In case of high flood, many houses may be inundated, and the residents may experience various types of damage to their livelihood, while only non-elevated houses may be inundated in ordinary foods. The participants anticipated problems associated with information acquisition, capacities of evacuation centres, supplies of water, power, relief goods, availability of medical treatment and transportation. In case of extreme flood, they anticipated difficulty in repairing houses as a considerable number of inundated houses may well mean the shortage of construction materials. A photo in Figure 10 shows a scene of a workshop.
\nImpact of floods on barangay identified at workshops.
Workshop at Barangay Bulusan.
At this step, necessary actions associated with the flood impact on each key component identified in step 3 are discussed at each community according to the time sequence of “before the flood”, “during the flood” and “after the flood disaster”. For this purpose, the second workshop was held at each of the two barangays. At the workshop, the participants were requested to share opinions on necessary actions by writing them down on Post-its and show them to other participants. Then, the actions presented by the participants were sorted out into two categories: actions that a barangay should implement immediately as self-help and mutual support and requests that a barangay should make to municipal, provincial or national governments as public assistance. This activity will help clarify actions to be taken by themselves and requests to be made to higher administrative organisations. Tables 3 and 4 summarise the results of the discussions at the two barangay workshops on what they should do before, during and after the flood and what they should request. The participants found the importance of response strategies on actions such as informing water levels regularly to the municipal office, leading residents to evacuate quickly to a safer place, keeping relief goods dry, saving children and seniors and supporting residents in getting back to normal life quickly.
\nResults of discussion on actions to be taken in the barangay.
Results of discussion on requests to higher administrative organisations.
Although self-help and mutual support among residents are the priority for community disaster management, actions available for them are often limited due to budget and manpower constraints. At the series of workshops, the participants listed the requests they would like to make to higher administrative organisations, as shown in Table 4. Figures 11 and 12 are photos taken at workshops.
\nWorkshop at Barangay Santa Lucia.
A resident presenting an opinion on Post-its to other participants at the workshop.
After performing steps 3 and 4, the selected two barangays developed a contingency plan by themselves based on the results of steps 1–4. During the plan development, ICHARM provided them with necessary maps explained in the previous sections and several suggestions to barangay members in charge of the plan. Table 5 is the final contents of their developed plans. Following the message from the barangay leader in the first chapter, the basic information and explanation of risk identification and the contingency plan are presented. In the chapter on risk identification, the inundation maps and chart in Figure 7 are included, and the impact due to three types of floods discussed in Table 2 is explained. The chapter of the contingency plan consists of six parts: an organisation chart, a resource map which shows the locations of the important facilities in the area (Figure 7), a list of equipment, a response strategy as a result of step 4 (Table 3), a sectoral plan for each section to follow in order to achieve necessary actions listed in step 4 and an annual activity plan.
\nContents of contingency plan.
In the final step, the main focus is to share the developed contingency plan among community members and with other municipalities. Inviting the leaders and related members of the 29 barangays and Calumpit Municipality, a workshop was held to share all the activities. As the project had drawn much local attention, over 100 people attended the meeting. The representatives from the two model barangays introduced their contingency plans and explained how they developed a barangay contingency plan by themselves, as shown in Figure 13. At the end of the workshop, ICHARM provided printed maps developed in step 2 to all the 29 barangays so that every barangay could also make an evidence-based contingency plan of their own (Figure 14).
\nPresentation on contingency plan from representatives from two barangays.
Participants of final workshop in Feb. 2016.
This study proposed an effective method to implement evidence-based flood contingency planning for local communities by assuming the dynamic change of inundation using flood simulation, assessing flood risk with key indicators and deciding response strategies against the identified flood risk before a flood occurs. The method was applied to a flood-prone municipality called Calumpit in the Pampanga River basin of the Philippines as the first case study to verify its effectiveness in areas where the availability of natural and socio-economic data is limited. The case study revealed that the proposed method can be successfully applied to data-limited regions. However, the method needs testing in different flood-prone communities for further verification.
\nAs for the limitations of the study, the process of risk identification through flood inundation simulation was conducted by ICHARM although this process should be completed by the provincial or national governments of the country. In order for them to carry out the risk identification process by themselves, training of flood simulation and risk assessment should be provided for managers and engineers in flood risk management.
\nThis study was conducted in cooperation with the Municipal Disaster Risk Reduction and Management Office (MDRRMO) of Calumpit and the Philippine Atmospheric Geophysical and Astronomical Services Administration (PAGASA). We would like to express our deepest appreciation to Calumpit Municipality Mayor Jessie P. De Jesus and the officers of MDRRMO. We would also like to extend our sincere gratitude to the officers in the Pampanga River Basin Flood Forecasting and Warning Center (PRBFFWC) and the headquarters of PAGASA for their support during the field activities. We also owe a great debt to the National Mapping and Resource Information Authority (NAMRIA) for providing high-resolution DEM data (IFSAR) in the step of risk identification under the MOU between NAMRIA and ICHARM. Last but not least, we thank all persons involved for their kind support in conducting this study.
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