Essays in mechanism design

This dissertation contains three essays on mechanism design. The common goal of these essays is to assist in the solution of different resource allocation problems where asymmetric information creates obstacles to the efficient allocation of resources. In each essay, we present a mechanism that satisfactorily solves the resource allocation problem and study some of its properties. In our first essay, ”Combinatorial Assignment under Dichotomous Preferences”, we present a class of problems akin to time scheduling without a pre-existing time grid, and propose a mechanism that is efficient, strategy-proof and envy-free. Our second essay, ”Monitoring Costs and the Management of Common-Pool Resources”, studies what can happen to an existing mechanism — the individual tradable quotas (ITQ) mechanism, also known as the cap-and-trade mechanism — when quota enforcement is imperfect and costly. Our third essay, ”Vessel Buyback”, coauthored with John O. Ledyard, presents an auction design that can be used to buy back excess capital in overcapitalized industries.

Design strategies for ultra-high efficiency photovoltaics

While concentrator photovoltaic cells have shown significant improvements in efficiency in the past ten years, once these cells are integrated into concentrating optics, connected to a power conditioning system and deployed in the field, the overall module efficiency drops to only 34 to 36%. This efficiency is impressive compared to conventional flat plate modules, but it is far short of the theoretical limits for solar energy conversion. Designing a system capable of achieving ultra high efficiency of 50% or greater cannot be achieved by refinement and iteration of current design approaches.

This thesis takes a systems approach to designing a photovoltaic system capable of 50% efficient performance using conventional diode-based solar cells. The effort began with an exploration of the limiting efficiency of spectrum splitting ensembles with 2 to 20 sub cells in different electrical configurations. Incorporating realistic non-ideal performance with the computationally simple detailed balance approach resulted in practical limits that are useful to identify specific cell performance requirements. This effort quantified the relative benefit of additional cells and concentration for system efficiency, which will help in designing practical optical systems.

Efforts to improve the quality of the solar cells themselves focused on the development of tunable lattice constant epitaxial templates. Initially intended to enable lattice matched multijunction solar cells, these templates would enable increased flexibility in band gap selection for spectrum splitting ensembles and enhanced radiative quality relative to metamorphic growth. The III-V material family is commonly used for multijunction solar cells both for its high radiative quality and for the ease of integrating multiple band gaps into one monolithic growth. The band gap flexibility is limited by the lattice constant of available growth templates. The virtual substrate consists of a thin III-V film with the desired lattice constant. The film is grown strained on an available wafer substrate, but the thickness is below the dislocation nucleation threshold. By removing the film from the growth substrate, allowing the strain to relax elastically, and bonding it to a supportive handle, a template with the desired lattice constant is formed. Experimental efforts towards this structure and initial proof of concept are presented.

Cells with high radiative quality present the opportunity to recover a large amount of their radiative losses if they are incorporated in an ensemble that couples emission from one cell to another. This effect is well known, but has been explored previously in the context of sub cells that independently operate at their maximum power point. This analysis explicitly accounts for the system interaction and identifies ways to enhance overall performance by operating some cells in an ensemble at voltages that reduce the power converted in the individual cell. Series connected multijunctions, which by their nature facilitate strong optical coupling between sub-cells, are reoptimized with substantial performance benefit.

Photovoltaic efficiency is usually measured relative to a standard incident spectrum to allow comparison between systems. Deployed in the field systems may differ in energy production due to sensitivity to changes in the spectrum. The series connection constraint in particular causes system efficiency to decrease as the incident spectrum deviates from the standard spectral composition. This thesis performs a case study comparing performance of systems over a year at a particular location to identify the energy production penalty caused by series connection relative to independent electrical connection.

Implications of using On-Farm Flood Flow Capture to recharge groundwater and mitigate flood risks along the Kings River, CA

Two large hydrologic issues face the Kings Basin, severe and chronic overdraft of about 0.16M ac-ft annually, and flood risks along the Kings River and the downstream San Joaquin River. Since 1983, these floods have caused over $1B in damage in today’s dollars. Capturing flood flows of sufficient volume could help address these two pressing issues which are relevant to many regions of the Central Valley and will only be exacerbated with climate change. However, the Kings River has high variability associated with flow magnitudes which suggests that standard engineering approaches and acquisition of sufficient acreage through purchase and easements to capture and recharge flood waters would not be cost effective. An alternative approach investigated in this study, termed On-Farm Flood Flow Capture, involved leveraging large areas of private farmland to capture flood flows for both direct and in lieu recharge. This study investigated the technical and logistical feasibility of best management practices (BMPs) associated with On-Farm Flood Flow Capture. The investigation was conducted near Helm, CA, about 20 miles west of Fresno, CA. The experimental design identified a coordinated plan to determine infiltration rates for different soil series and different crops; develop a water budget for water applied throughout the program and estimate direct and in lieu recharge; provide a preliminary assessment of potential water quality impacts; assess logistical issues associated with implementation; and provide an economic summary of the program. At check locations, we measured average infiltration rates of 4.2 in/d for all fields and noted that infiltration rates decreased asymptotically over time to about 2 – 2.5 in/d. Rates did not differ significantly between the different crops and soils tested, but were found to be about an order of magnitude higher in one field. At a 2.5 in/d infiltration rate, 100 acres are required to infiltrate 10 CFS of captured flood flows. Water quality of applied flood flows from the Kings River had concentrations of COC (constituents of concern; i.e. nitrate, electrical conductivity or EC, phosphate, ammonium, total dissolved solids or TDS) one order of magnitude or more lower than for pumped groundwater at Terranova Ranch and similarly for a broader survey of regional groundwater. Applied flood flows flushed the root zone and upper vadose zone of nitrate and salts, leading to much lower EC and nitrate concentrations to a depth of 8 feet when compared to fields in which more limited flood flows were applied or for which drip irrigation with groundwater was the sole water source. In demonstrating this technology on the farm, approximately 3,100 ac-ft was diverted, primarily from April through mid-July, with about 70% towards in lieu and 30% towards direct recharge. Substantial flood flow volumes were applied to alfalfa, wine grapes and pistachio fields. A subset of those fields, primarily wine grapes and pistachios, were used primarily to demonstrate direct recharge. For those fields about 50 – 75% of water applied was calculated going to direct recharge. Data from the check studies suggests more flood flows could have been applied and infiltrated, effectively driving up the amount of water towards direct recharge. Costs to capture flood flows for in lieu and direct recharge for this project were low compared to recharge costs for other nearby systems and in comparison to irrigating with groundwater. Moreover, the potentially high flood capture capacity of this project suggests significant flood avoidance costs savings to downstream communities along the Kings and San Joaquin Rivers. Our analyses for Terranova Ranch suggest that allocating 25% or more flood flow water towards in lieu recharge and the rest toward direct recharge will result in an economically sustainable recharge approach paid through savings from reduced groundwater pumping. Two important issues need further consideration. First, these practices are likely to leach legacy salts and nitrates from the unsaturated zone into groundwater. We develop a conceptual model of EC movement through the unsaturated zone and estimated through mass balance calculations that approximately 10 kilograms per square meter of salts will be flushed into the groundwater through displacing 12 cubic meters per square meter of unsaturated zone pore water. This flux would increase groundwater salinity but an equivalent amount of water added subsequently is predicted as needed to return to current groundwater salinity levels. All subsequent flood flow capture and recharge is expected to further decrease groundwater salinity levels. Second, the project identified important farm-scale logistical issues including irrigator training; developing cropping plans to integrate farming and recharge activities; upgrading conveyance; and quantifying results. Regional logistical issues also exist related to conveyance, integration with agricultural management, economics, required acreage and Operation and Maintenance (O&M).

Assessment of agrobiodiversity resources in the Borotse flood plain, Zambia

Concerns about perceived loss of indigenous materials emerged from multiple stakeholders during consultations to plan and design the CGIAR Research Program on Aquatic Agricultural Systems for the Borotse hub in Zambia’s Western Province. To come to grips with and address the concerns, the AAS Borotse hub program of work included an assessment of agrobiodiversity to inform community-level and program initiatives and actions. The agrobiodiversity assessment comprised three components: key informant and expert surveys complemented by review of grey and published literature, focus group discussions in the communities, and individual household surveys. This working paper reports the findings from assessments of agrobiodiversity resources in the Borotse hub by key informants and local experts working in government ministries, departments and agencies, and non-governmental organizations operating in the communities. This working paper covers the following topics: agriculture in the Borotse flood plain; major agricultural land types in the Borotse flood plain; soils and their uses; production systems; crops, including the seed sector and ex-situ resources; indigenous materials collected from the wild, including non-perennial and perennial plants, aquatic plants, and forest biodiversity; fish resources, including both capture fisheries and aquaculture; livestock resources; dietary diversity; and indigenous and local knowledge on management systems.

IMPORTANCE OF TRACK DESIGN IN GROUND TRANSPORTATION SYSTEMS.

The development of the tracks for the Tracked Hovercraft and Bliss Pendair Systems is described. Comment is made on the relative importance of track and suspension costs and of the need for tracks that are weather, vandal and noise proof. It is argued that the beam section required for a suspended air cushion is more likely to fit these requirements than that for beam riding vehicles, either air-cushion or magnetically suspended.

Analysis and retrofitting design of a single-span R.C. bridge

This paper deals with the case history of a damaged one-span prestressed concrete bridge on a crucial artery near the city of Cagliari (Sardinia), along the sea-side. After being involved in a disastrous flood, attention has arisen on the worrying safety state of the deck, submitted to an intense daily traffic load. Evident signs of this severe condition were the deterioration of the beams concrete and the corrosion, the lack of tension and even the rupture of the prestressing cables. After performing a limited in situ test campaign, consisting of sclerometer, pull out and carbonation depth tests, a first evaluation of the safety of the structure was performed. After collecting the data of dynamic and static load tests as well, a comprehensive analysis have been carried out, also by means of a properly calibrated F.E. model. Finally the retrofitting design is presented, consisting of the reparation and thickening of the concrete cover, providing flexural and shear FRP external reinforcements and an external prestressing system, capable of restoring a satisfactory bearing capacity, according to the current national codes. The intervention has been calibrated by the former F.E. model with respect to transversal effects and influence of local and overall deformation of reinforced elements. © 2012 Taylor & Francis Group.

Design of Fluorescent Assays for Cyanide and Hydrogen Peroxide Based on the Inner Filter Effect of Metal Nanoparticles

We have demonstrated the design of a new type fluorescent assay based on the inner filter effect (IFE) of metal nanoparticles (NPs), which is conceptually different from the previously reported metal NPs-based fluorescent assays. With a high extinction coefficient and tunable plasmon absorption feature, metal NPs are expected to be capable of functioning as a powerful absorber to tune the emission of the fluorophore in the IFE-based fluorescent assays. In this work, we presented two proof-of-concept examples based on the IFE of Au NPs by choosing MDMO-PPV as a model fluorophore, whose fluorescence could be tuned by the absorbance of Au NPs with a much higher sensitivity than the corresponding absorbance approach.

A hardware proof of concept of a sailing robot for ocean observation

M J Neal, A hardware proof of concept of a sailing robot for ocean observation, IEEE Journal of Oceanic Engineering, 2006 accepted for publication RAE2008

Co-design of Distributed Systems Using Skeleton and Autonomic Management Abstractions

We discuss how common problems arising with multi/many core distributed architectures can he effectively handled through co-design of parallel/distributed programming abstractions and of autonomic management of non-functional concerns. In particular, we demonstrate how restricted patterns (or skeletons) may be efficiently managed by rule-based autonomic managers. We discuss the basic principles underlying pattern+manager co-design, current implementations inspired by this approach and some result achieved with proof-or-concept, prototype.

The efficacy of a CDIO based integrated curriculum as preparation for professional practice in product design and development

The School of Mechanical and Aerospace Engineering at Queen’s University Belfast started BEng and MEng degree programmes in Product Design and Development (PDD) in 2004. Intended from the outset to be significantly different from the existing programmes within the School the PDD degrees used the syllabus and standards defined by the CDIO Initiative as the basis for an integrated curriculum. Students are taught in the context of conceiving, designing, implementing and operating a product. Fundamental to this approach is a core sequence of Design-Build-Test (DBT) experiences which facilitates the development of a range of professional skills as well as the immediate application of technical knowledge gained in strategically aligned supporting modules.
The key objective of the degree programmes is to better prepare students for professional practice. PDD graduates were surveyed using a questionnaire developed by the CDIO founders and interviewed to examine the efficacy of these degree programmes, particularly in this key objective. Graduate employment rates, self assessment of graduate attributes and examples of work produced by MEng graduates provided positive evidence that their capabilities met the requirements of the profession. The 24% questionnaire response rate from the 96 graduates to date did not however facilitate statistically significant conclusions to be drawn and particularly not for BEng graduates who were under represented in the response group. While not providing proof of efficacy the investigation did provide a good amount of useful data for consideration as part of a continuous improvement process.

Vehicle-barrier tracking of a scaled crash test for roadside barrier design

In this paper the tracking system used to perform a scaled vehicle-barrier crash test is reported. The scaled crash test was performed as part of a wider project aimed at designing a new safety barrier making use of natural building materials. The scaled crash test was designed and performed as a proof of concept of the new mass-based safety barriers and the study was composed of two parts: the scaling technique and of a series of performed scaled crash tests. The scaling method was used for 1) setting the scaled test impact velocity so that energy dissipation and momentum transferring, from the car to the barrier, can be reproduced and 2) predicting the acceleration, velocity and displacement values occurring in the full-scale impact from the results obtained in a scaled test. To achieve this goal the vehicle and barrier displacements were to be recorded together with the vehicle accelerations and angular velocities. These quantities were measured during the tests using acceleration sensors and a tracking system. The tracking system was composed of a high speed camera and a set of targets to measure the vehicle linear and angular velocities. A code was developed to extract the target velocities from the videos and the velocities obtained were then compared with those obtained integrating the accelerations provided by the sensors to check the reliability of the method.

Eliciting Security Requirements and Tracing them to Design: An Integration of Common Criteria, Heuristics, and UMLsec

Building secure systems is difficult for many reasons. This paper deals with two of the main challenges: (i) the lack of security expertise in development teams, and (ii) the inadequacy of existing methodologies to support developers who are not security experts. The security standard ISO 14508 (Common Criteria) together with secure design techniques such as UMLsec can provide the security expertise, knowledge, and guidelines that are needed. However, security expertise and guidelines are not stated explicitly in the Common Criteria. They are rather phrased in security domain terminology and difficult to understand for developers. This means that some general security and secure design expertise are required to fully take advantage of the Common Criteria and UMLsec. In addition, there is the problem of tracing security requirements and objectives into solution design,which is needed for proof of requirements fulfilment. This paper describes a security requirements engineering methodology called SecReq. SecReq combines three techniques: the Common Criteria, the heuristic requirements editorHeRA, andUMLsec. SecReqmakes systematic use of the security engineering knowledge contained in the Common Criteria and UMLsec, as well as security-related heuristics in the HeRA tool. The integrated SecReq method supports early detection of security-related issues (HeRA), their systematic refinement guided by the Common Criteria, and the ability to trace security requirements into UML design models. A feedback loop helps reusing experiencewithin SecReq and turns the approach into an iterative process for the secure system life-cycle, also in the presence of system evolution.

Studies,Design and Development of Network Security Enhancement Services Using Novel Cryptographic Algorithms

Internet today has become a vital part of day to day life, owing to the revolutionary changes it has brought about in various fields. Dependence on the Internet as an information highway and knowledge bank is exponentially increasing so that a going back is beyond imagination. Transfer of critical information is also being carried out through the Internet. This widespread use of the Internet coupled with the tremendous growth in e-commerce and m-commerce has created a vital need for infonnation security.Internet has also become an active field of crackers and intruders. The whole development in this area can become null and void if fool-proof security of the data is not ensured without a chance of being adulterated. It is, hence a challenge before the professional community to develop systems to ensure security of the data sent through the Internet.Stream ciphers, hash functions and message authentication codes play vital roles in providing security services like confidentiality, integrity and authentication of the data sent through the Internet. There are several ·such popular and dependable techniques, which have been in use widely, for quite a long time. This long term exposure makes them vulnerable to successful or near successful attempts for attacks. Hence it is the need of the hour to develop new algorithms with better security.Hence studies were conducted on various types of algorithms being used in this area. Focus was given to identify the properties imparting security at this stage. By making use of a perception derived from these studies, new algorithms were designed. Performances of these algorithms were then studied followed by necessary modifications to yield an improved system consisting of a new stream cipher algorithm MAJE4, a new hash code JERIM- 320 and a new message authentication code MACJER-320. Detailed analysis and comparison with the existing popular schemes were also carried out to establish the security levels.The Secure Socket Layer (SSL) I Transport Layer Security (TLS) protocol is one of the most widely used security protocols in Internet. The cryptographic algorithms RC4 and HMAC have been in use for achieving security services like confidentiality and authentication in the SSL I TLS. But recent attacks on RC4 and HMAC have raised questions about the reliability of these algorithms. Hence MAJE4 and MACJER-320 have been proposed as substitutes for them. Detailed studies on the performance of these new algorithms were carried out; it has been observed that they are dependable alternatives.

A Virtual Machine for a Type-omega Denotational Proof Language

In this thesis, I designed and implemented a virtual machine (VM) for a monomorphic variant of Athena, a type-omega denotational proof language (DPL). This machine attempts to maintain the minimum state required to evaluate Athena phrases. This thesis also includes the design and implementation of a compiler for monomorphic Athena that compiles to the VM. Finally, it includes details on my implementation of a read-eval-print loop that glues together the VM core and the compiler to provide a full, user-accessible interface to monomorphic Athena. The Athena VM provides the same basis for DPLs that the SECD machine does for pure, functional programming and the Warren Abstract Machine does for Prolog.