SCES 2012

Oral Session Papers

Solar Photovoltaic Power Conversion Using

Modular Multilevel Converter
Rajasekar S., Student Member IEEE and Rajesh Gupta, Senior Member IEEE
conventional two-level and multilevel inverter has been
reported in the literature [2]. In case of two-level inverter, it
inject maximum PV power into the grid with a unity power
factor, however the system fails to be free from higher order
harmonics, high voltage stress across the semiconductor
power switch and high power losses due to high switching
frequency [6]. In order to overcome the above mentioned
problems, multilevel inverter came into picture and attracted
more attention because of their significant properties. They
offer lower total harmonic distortion (THD), low dv/dt device
switch voltage stress, lowering the switch voltage and power
rating etc. The multilevel inverter is well suited for high power
medium voltage applications and in particular dominated by
cascaded multilevel inverter and neutral point clamped
multilevel inverter. In these medium voltage applications
cascaded multilevel inverter and neutral point clamped
multilevel inverter requires transformer to obtain electrical
isolation between active DC sources of the H-bridge or NPC
converter cells. This condition introduces losses, increases
converter footprint, making converter costly, bulky and
complex. The main drawback of the cascaded multilevel
converter coupled with the transformer makes circulation
current between phase during unbalanced network conditions
and it may cause asymmetrical phase voltages.
The modular multilevel inverter has strong potential to
replace cascaded multilevel converter in medium voltage
applications [10]. This paper, presents the design of a solar
photovoltaic power conversion system with single stage
modular multilevel converter. Currently intensive research is
going on in MMC and it has high potential for medium power
applications. Modular multilevel converters have several
advantages over conventional multilevel topologies. Those
significant are as follows.

Abstract This paper makes an attempt to develop grid

connected solar photovoltaic array power conversion using
modular multilevel converter. The proposed system makes use of
single stage power conversion with maximum power point
tracking and modular multilevel converter (MMC) as interfacing
unit into the grid. Here perturb & observe method of maximum
power point algorithm is used to regulate the DC link voltage of
the MMC and to synchronize the grid utility voltage with the
current for attaining near unity power factor operation under
varying environmental conditions. The simulation results
presented in this paper verifies the operation of proposed MMC
topology such that the AC output is free from the higher order
harmonics and grid voltage and current are in phase. The
simulation studies are carried out under power system computer
aided design PSCAD/EMTDC 4.2 environment.
Index Terms Grid, modular multilevel converter (MMC),
photovoltaic (PV) array, total harmonic distortion (THD).

I. INTRODUCTION

renewable energy power supplied into the utility

grid has been paid much attention due to increase in fossil
fuel prices, environmental pollution and energy demand
boom. Among various renewable energy resources such as
solar, wind, tidal, geothermal, biomass etc., the solar
photovoltaic system being more attractive and promising
green resource because of its abundant availability, safe
resource, cost free and eco-friendly [1]. The solar photovoltaic
(PV) modules directly converts the light energy into the
electrical energy, but energy obtained from the PV module
acts as low voltage DC source and has relatively low
conversion efficiency. In order to improve the efficiency and
convert low voltage DC source into usable AC source, the
power electronics converters are used to transform DC into
AC. Conventional inverter topologies such as voltage source
inverter (VSI) and the current source inverter (CSI) are being
utilized to convert solar power generated electrical power into
the utility grid. Whereas these topologies require additional
DC/DC converter stage resulting in a two stage power
conversion and also require interfacing transformer to inject
power into the grid. These topologies not only increase the
circuit complexity but also increase the cost and space
requirements.
The single stage solar power conversion will satisfy all the
control objectives like maximum power point tracking
(MPPT), synchronization with grid voltage, and lower
harmonic content in the output current. At present scenarios
several solutions for a grid connected PV system with
ECENTLY

Generate low harmonic output voltage, this eliminates

filtering requirements.
For medium voltage application, it allows to avoid
interfacing transformer.
Modular structure allows to extend higher number of levels
easily.
Capacitor voltage balancing is attainable independent of the
load.
Although MMC are investigated with many applications,
but it has not been reported in the literature with single stage
solar PV power conversion system. This paper demonstrates
the effective implementation of the photovoltaic supported
MMC for grid interface which satisfy all the control objectives
like maximum power transferring under varying
environmental conditions, synchronizing grid utility voltage
with output current for unity power factor operation and low

Authors are with the Department of Electrical Engineering, Motilal Nehru

National Institute of Technology, Allahabad-211004, India (e-mail:
rajasekarsmvec@gmail.com, rajeshgupta310@rediffmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

total harmonic distortion. Ssection II gives introduction about

basic characteristics of the photovoltaic module which is
followed by section III that describes MMC topology with the
proposed single stage power conversion of solar energy.
Section IV discusses about perturb & observe maximum
power transfer algorithm and role of maximum power point
tracking in MMC topology. Section V and VI explains about
simulation results and effectiveness of the proposed topologies
over conventional inverter topologies.

Rsh

Ipv

shunt resistance;
ideality factor between 1.0 to 1.5;
light generated current;

The I-V characteristic of a PV module is highly non-linear

in nature. This characterisitcs drastically changes with resepct
to changes in the solar radiation and cell temperature..Whereas
the solar radiation mainly affects the output current, the
temperature affects the terminal voltage. Fig.2 shows the I-V
characterisitcs of the PV module under varying solar
radiations at contant cell temperature (T = 25 C).

II. OVERVIEW OF A PHOTOVOLTAIC (PV) MODULE

To understand the PV module characteristics it is necessary
to study about PV cell at first. A PV cell is the basic structural
unit of the PV module that generates current carriers when
sunlight falls on it. The power generated by these PV cell is
very small. To increase the output power the PV cells are
connected in series or parallel to form PV module. The
electrical equivalent circuit of the PV cell is shown in Fig. 1.

Rs

Ipv

Id
Rsh

Vout
Fig.2. Current versus voltage at constant cell temperature T = 25 C.

Fig.3 shows the I-V characterisitcs of the PV module under

varying cell temperature at contant solar radiation (1000
W/m2).
Fig.1. Electrical equivalent circuit of PV cell.

The main characteristics equation of the PV module is given

by [2]

Io
I pv

I pv

I o exp

T
I o ,n n
T
[ I sc

q (V

Ki (T

exp

IRs )
KT

(1)

Rsh

qE g

Tn

Tn )]

IRs

(2)

(3)

Gn

Where,
Fig. 3. Current versus voltage at constant solar radiation G = 1000 W/m2.

I and V
Io
T
K
q
Ki
G
Gn
Eg
Io,n
Tn
Rs

cell output current and voltage;

cell reverse saturation current;
cell temperature in Celsius;
Boltzmanns constant;
electronic charge;
short circuit current/temperature
coefficient;
solar radiation in W/m2;
nominal solar radiation in W/m2;
energy gap of silicon;
nominal saturation current;
nominal temperature in Celsius;
series resistance;

III. MODULAR MULTILEVEL CONVERTER

Modular multilevel converter is new topology suitable for
medium voltage applications. Marquardt and Lesnicar
designed modular multilevel converter (MMC) in 2002. The
basic component of the MMC is called a submodule. It is a
half bridge with capacitor as shown in Fig.4. Each submodule
consist of two insulated-gate bipolar transistor (IGBT)/diode
switches (S1, S2, D1 and D2). The switches within the
submodule are switched in complementary fashion. The
submodule has two switches, the main switch S1 and auxillary
switch S2. When S1 is on and S2 is off, the output voltage Vo
2

is equal to Vdc and no charging take place at the capacitor.

When S1 is off and S2 is on, the output voltage Vo is equal to
zero and capacitor is charging. Table.1 gives the switching
states of the submodule.

Upper Arm

Sub-Module 1

TABLE.1
SWITCHING STATES OF A SUB -MODULE
Main Switch
(S1)
ON
OFF

Auxillary Switch
(S2)
OFF
ON

Output
Voltage(Vo)
Vdc
0

Capacitor
state
Not Charging
Charging

Vdc
Sub-Module 2

Fig.5 shows the three level configuration of the MMC,

where two sub modules are connected in series on the upper
arm and two sub modules are connected on the lower arm.
Inductance Ula and Lla are used to take over the difference
between the current of the upper and lower arm. Whereas RL
and LL are load resistance and load inductance of the MMC
converter. Depending upon the voltage requirement the sub
modules are inserted on the upper and lower arm.

Ula
RL

LL

Lla

S2

D2
Sub-Module 3

Vdc

Io
S1

D1

Vdc

Vo

Sub-Module 4

Fig. 4. Structure of one sub-module.

Lower Arm

The number of voltage levels for the MMC can be identified

using the formula
NV = n/2 +1

Fig. 5. Single phase of three level modular multilevel converter.

(4)

IV. PROPOSED SYSTEM AND ITS CONTROLLER

Where, NV number of voltage levels

n Total number of sub-modules

In this section, the proposed topology of the photovoltaic

supported modular multilevel converter and its controller
design with maximum power point tracking technique are
described. The MMC proposed for a grid connected
photovoltaic system is based on the single stage solar power
conversion system. Fig.6 shows the photovoltaic supported
modular multilevel converter single phase grid connected
system. The photovoltaic module is nonlinear in nature,
because it is greatly affected by its environmental condition
like change in solar radiation and cell temperature. During day
time sunshine wont be constant, cloud may pass over so panel
may be not be getting constant radiations. Therefore it is
necessary to track the maximum power all over the day. The
maximum power point tracker works on the fact that
derivation of the output power with respect to the panel
voltage is equal to zero at maximum power point. Fig.7
depicts the P-V characteristics of the PV module.

In this paper three level output voltage is obtained using ramp

comparison current control technique with the modular
multilevel converter [11]. The control function verror is
compared with the carrier vtri of switching frequency fsw and
amplitude Vtri. The three level output voltage is obtained by
following unipolar PWM of the control function.
verror vtri > 0, then S1 is on and Vo= Vdc

(5)

verror vtri < 0, then S2 is on and Vo= - Vdc

(6)

p
v
3

0 , V = Vmax

(7)

p
v
p
v

0 , V < Vmax

(8)

VPV

0 , V > Vmax

MPPT

(9)

Vref

Ramp
Current
Control

Iref

PI

IPV
Vdc

Sin (wt)

Gate
Signals

Ig

Fig. 8. Block diagram of outer and inner control loop.

V. SIMULATION RESULTS AND DISCUSSIONS

The proposed modular multilevel converter for grid
connected PV system with single stage power conversion is
simulated with PSCAD/EMTDC (4.2 version) environment.
The photovoltaic array is composed of 108 number of cells
connected in series to form a module and 14 modules
connected is series to generate voltage of 1200 V. The circuit
parameters are shown in the Table.II.

Fig.7. P-V characterisitcs of the module.

The most popular and simple MPPT algorithm is the perturb

& observe which is also called as hill-climbing algorithm.
This technique employs simple feed back arrangement with
the comparison of present and previous measured values.

TABLE.II
SYSTEM PARAMETER

GRID

Solar radiation, G

1000 W/m2

Cell temperature, T

25 0C

System Frequency
L
Vg

MODULAR
Ig
MULTILEVEL

Photovoltaic
Array

Value
1.2 kV

Standard Environmental Condition

Ipv Vpv
Photovoltaic
Array

Item
PV array rated voltage

50 Hz

Switching frequency,fsw

2 kHz

Sub-Module capacitor, C

500 F

Ac line inductance, L

1 mH

Grid voltage, Vg

350 V

CONVERTER

Number of cell in each arm

(MMC)

DC link Voltage

600 V

Arm inductance, Ula,Lla

0.1 mH

The capacitor voltage across lower and upper arm of

Modular Multilevel converter depicts in Fig.9. We can
observe that converter voltage across the capacitor are
balanced and maintains less voltage ripple. This increases PV
lifetime, also desirable feature of MMC for grid connected PV
system.
Fig. 6. Photovoltaic Supported Three Level Modular Multilevel Converter.

The proposed MMC is controlled by two control loops. The

inner current control loop and the outer voltage control loop.
The inner current control loop is designed to control the grid
current to be sinusoidal and synchronized with the grid
voltage. In outer voltage control loop, the reference DC link
voltage is generated by the MPPT algorithm; it sensed IPV and
VPV and then generate Vmax. This Vmax is DC link voltage
required to be regulated across the MMC. The error resulting
from the DC voltage control loop is passed through the
proportional plus integral (PI) controller. A sinusoidal signal
in phase with the utility grid is multiplied by the current
reference to form the input reference current for the inner
control loop.

Fig.9 Capacitor voltage across lower and upper arm.

Fig.10 demonstrates the effectiveness of the proposed

system controller such that the injected grid current is
accurately tracks the reference current. This tracking makes
the grid current sinusoidal and free from harmonics.

Fig.13 Triangular carrier comparison with the error signal.

Fig.10 Current tracking of grid current.

The three-level MMC output voltage is shown in the Fig.11.

The proposed controller has the better efficiency and performs
almost at unity power factor condition such that the grid
voltage and injected current are in-phase. This is clearly
visible in Fig.12. Effectiveness of the ramp current control
technique is shown in the Fig.13, where triangular carrier of
2 kHz is compared with the error signal in order to produce
gating signal for switches of the MMC. Fig.14 shows the AC
side grid voltage with the output voltage of the proposed
MMC. Fig.15 shows the grid current, lower arm current and
upper arm current.

Fig.14 Grid voltage and MMC output voltage.

Fig.15 Grid current, lower arm current and upper arm current..

VI. CONCLUSION
In this paper, a single stage MMC based grid connected
photovoltaic system is proposed. The modular concept allows
the application to be extended for wide power range. This
study makes an attempt and verifies that the MMC system is
capable of injecting power into the grid with low total
harmonic distortion, unity power factor and high efficiency.
Conventional multilevel converter requires interfacing
transformer for grid connected system applications, whereas
MMC topology requires filter to connect inverter into the grid.
Low switching frequency of the switches in the MMC leads to
low power loss. The effectiveness of the proposed grid
connected MMC single stage power converter is demonstrated
through simulation studies.

Fig.11 Output voltage of modular multilevel converter.

Fig.12 Grid voltage and injected current.

VII. REFERENCES
[1] J. T. Bialasiewicz, "Renewable Energy Systems with Photovoltaic Power
Generators: Operation and Modeling," IEEE Tran. Ind. Electron. vol.
55, pp. 2752-2758, 2008.
[2] M. G. Villalva, et al., "Comprehensive Approach to Modeling and
Simulation of Photovoltaic Arrays," IEEE Transactions on power
electronics, vol. 24, pp. 1198-1208, 2009.
[3] J.A. Gow, C. Manning, "Development of a photovoltaic array model for
use in power-electronics simulation studies," in proc. IEE Electric
power applications, vol 146, issue 2, pp.193-200, March 1999.
[4] S. B. Kjaer, J. K. Pedersen, and F. Blaabjerg, A review of single-phase
grid-connected inverters for photovoltaic modules, IEEE Trans. Ind.
Appl., vol. 41, no. 5, pp. 12921306, Sep./Oct. 2005
[5] L G. Leslie, Design and analysis of a grid connected photovoltaic
generation system with active filtering function Master of Science in
Electrical Engineering Blacksburg, Virginia March 14, 2003.
[6] M Malinowkski, K.Gopakumar, J Rodriguez and M A.Perez A survey
on cascaded multilevel inverters, IEEE Trans on Indus. Electronics,
Vol.57, No7, pp.2197-2205, July-2010.
[7] R. Gupta, A. Ghosh and A. Joshi, Cascaded multilevel control of
DSTATCOM using multiband hysteresis modulation, IEEE Power
Eng. Soc. General Meeting, pp.1822, Jun. 2006.
[8] G. Vachtsevanos and K. Kalaitzakis, A hybrid photovoltaic simulator
for utility interactive studies, IEEE Trans. Energy Conv., vol. EC-2, pp.
227231, June 1987.
[9] M. G. Jaboori, M. M. Saied, and A. A. Hanafy, A contribution to the
simulation and design optimization of photovoltaic systems, IEEE
Trans. Energy Conv., vol. 6, pp. 401406, Sept. 1991
[10] G. P. Adam, O. Anaya, G. Burt, D. Telford, B. Williams and J.
McDonald, "Modular multilevel inverter: Pulse width modulation and
capacitor balancing technique," IET Power Electronics, vol. 3, pp. 702715, 2010.
[11] R. Gupta, A. Ghosh and A. Joshi, Control of 3-level shunt active power
filter using harmonic selective controller, Proc. IEEE Power India
Conference, pp. 10-15. April 2006.
[12] M. Glinka, Prototype of multiphase modular-multilevel-converter with
2MWpower rating and 17-level-output-voltage, in Conf. Rec. IEEE
PESC, 2004, pp. 25722576.
[13] S. Allebrod, R. Hamerski, and R. Marquardt, New transformerless,
scalable modular multilevel converters for HVDC-transmission, in
Conf. Rec.IEEE PESC, 2008, pp. 174179.
[14] R.Gupta, G.Gupta, D.Kastwar, A.Hussain, H. Ranjan, Modeling and
Design of MPPT Controller for a PV Module using PSCAD/EMTDC
in IEEE Power Energy Society conference, pp. 1-6, Oct. 2010.
[15] F. Blaabjerg, et al., "Overview of Control and Grid Synchronization for
Distributed Power Generation Systems," IEEE Transactions Industrial
Electronics, on, vol. 53, pp. 1398-1409, 2006.
[16] R. Gupta, A. Ghosh and A. Joshi, Multi-band hysteresis modulation
and switching characterization for sliding mode controlled cascaded
multilevel inverter, IEEE Trans. Ind. Electron., vol. 57, no.7, July
2010.
[17] J. Selvaraj and N. A. Rahim, "Multilevel Inverter For Grid- Connected
PV System Employing Digital PI Controller," IEEE Trans. Ind
Electron., vol. 56, pp. 149-158, 2009.

Musical Instrument Recognition using K-Nearest

Neighbour and Support Vector Machine
Shilpa Sonawane and D. G. Bhalke

Abstract- In this paper, we present a model to detect and

distinguish individual musical instrument using different feature
schemes. The proposed method considers ten musical
instruments. The feature extraction scheme consists of temporal,
spectral, cepstral and wavelet features. We developed k-nearest
neighbor model and support vector machine model to test the
performance of system. Our system achieves the 60.43% of
recognition rate using k-nearest neighbor classifier with all
features. We adopt two approaches to the multi-class
classification namely, svm-one against rest and svm-one vs. one.
The accuracy of svm in both cases is 73.73% with all features
using radial basis function. Using weight factor method knn
shows 73% accuracy while svm shows 90.3% accuracy using
exponential kernel function. Using weight factor method knn
shows 73% accuracy while svm shows 90.3% accuracy using
exponential kernel function.

II. SYSTEM DESCRIPTION

In our work we aim at classifying the musical instrument
sounds. The musical instrument samples are collected from
The McGill University Master Samples collection, a fabulous
set of CDs of instruments playing every note in their range,
recorded in studio conditions. In order to classify musical
instruments properly several stages are needed: preprocessing, feature extraction (parameterization), and the
actual classification process as shown in Fig.1. An audio file
stored in WAV format is passed to a silence removal
algorithm which detects music segment. This music segment
is passed to a feature extraction function. The feature
extraction function calculates 31 numerical features that
characterize the sample. When training the system, this feature
extraction process is performed on training data to create a
matrix of column feature vectors. This matrix is then applied
as an input to the classifier. Two classifiers are used to predict
the sound of musical instrument.

Keywords-feature extraction, temporal, spectral, perceptual,

cepstral, wavelet, KNN, SVM, RBF, EBRF, GRBF.

I. INTRODUCTION
Various attempts have been made to construct automatic
musical instrument recognition. Researchers have used
different approaches and scopes achieving different
performances. As things stand today, much of the work
required to tag and catalogue music with search terms is
conducted manually. Cataloguing musical recordings by
instruments often requires a either trained musician or a priori
knowledge about the recording. Due to a lack of a samples
database that was both suitable for the project, this project was
also concerned with collecting recordings from six musical
instruments for training and testing the classifier.
In this paper, we predict the sound of musical instrument
based on feature extraction using machine learning techniques.
Four feature schemes are considered: temporal features,
spectral features, cepstral features, and wavelet based entropy.
The performance of the feature scheme was assessed
individually.
The organization of the paper is as follows. In the next
section, structure of system is described. The features that are
used as discriminating variables are described in section III.
The structure of the SVM adopted for the recognition system
is discussed in Section IV. Results of experiments are
summarized in Section V with concluding remarks presented
in Section VI.

music
signal

Preprocessing

Musical
Instrument
sound

Feature
Extraction

Classifier
(knn,svm)

Fig.1 Block diagram of musical instrument recognition system

Music signals usually contain many areas of silence or

noise. Therefore, in music analysis it is needed to first apply a
silence removal method, in order to detect clean signal. The
signal is first divided into frames of 23.2 milliseconds in
length. Silence removal algorithm is carried out based on
energy feature as in [7]. A simple threshold based algorithm is
applied to extract music signal. A threshold is calculated based
on energy of signal. We considered threshold as median of
energy. Fig.2 shows graphical representation of silence
removed signal.

Authors are with the Department of Electronics Engineering, RSCOE,

University,India(email:sonawane.shilpa@rediffmail.com,bhalkedg2000@yah
oo.co.in).

(a)

978-1-4673-0455-9/12/$31.00 2012 IEEE

7

Input cello signal

Energy is simply the sum of the amplitudes present in

a frame, and is defined as in (1).

(b)

Where x[n] is the amplitude of the sample.

Silence removed Cello Signal

Fig. 2 Graphical representation of input signal and

silence removed signal

2) Zero-Crossing Rate:

III. FEATURE EXTRACTION

The field of music feature extraction is a wide research
area, for improving feature extraction will most likely have the
major impact on the performance of an instrument
classification systems. The features are the numerical values
extracted from a signal that are then fed into the classifier.
Here, we use four different extraction methods, namely,
temporal features, spectral features, cepstral features and
wavelet based entropy. The 31 features from four categories are
shown in Table 1.

This is the number of times the signal crosses zero

amplitude during the frame, and can be used as a measure of
the noisiness of the signal. It is defined as in (2).

Where sign = 1 for positive arguments and 0 for negative

arguments

TABLE 1.
Feature Description

Feature
Number
1
2
3-5
6
7-9
10-12
13-15
16-18
19-21
22-24
25-27
28-30
31

Description
Log attack time
Temporal centroid
Mean, std deviation and
variance of zero crossing rate
Fundamental frequency
Mean, std deviation and
variance of autocorrelation
Mean, std deviation and
variance of spectral centroid
Mean, std deviation and
variance of spectral flux
Mean, std deviation and
variance of spectral spread
Mean, std deviation and
variance of spectral skewness
Mean, std deviation and
variance of mfcc
Mean, std deviation and
variance of delta mfcc
Mean, std deviation and
variance of double delta mfcc
Wavelet entropy

Scheme

3) Log-Attack Time:

Temporalbased

The log-attack time is the logarithm of time duration

between the time the signal starts to the time it reaches its
stable part. It can be estimated taking the logarithm of the time
from the start to the end of the attack. It is defined as in (3).
Lat=log10 (stop_attack start_attack)

(3)

4) Temporal centroid :

Spectralbased

The temporal centroid is the time averaged over the

energy envelop. It allows distinguishing percussive from
sustained sounds.
B. Spectral Features
Spectral features are obtained from the samples in the
frequency domain of the musical signal as in [5],[4].

Perceptualbased

1) Spectral Centroid:
This is the amplitude-weighted average, or centroid, of the
frequency spectrum, which can be related to a human
perception of brightness. It is calculated by multiplying the
value of each frequency by its magnitude in the spectrum, then
taking the sum of all these. The value is then normalized by
dividing it by the sum of all the magnitudes as in (4).

Waveletbased

A. Temporal Features
Temporal features are features obtained directly from
the time-domain music signal as in [5], [4].
1) Energy:

where mag= magnitude spectrum and freq=frequency

corresponding to each magnitude element

2) Spectral flux:

1. Calculate the Fourier transform (FFT) of a signal frame;

2. Map the decibel amplitude of the spectrum onto the Mel
scale, using overlapping triangular windows; and
3. Calculate the discrete cosine transform (DCT) of this
result.

This is a measure of the amount of local spectral change.

This is defined as the squared difference between the
normalized magnitude spectra of successive frames as in (5).
)2

D. Wavelet
(5)
The wavelet analysis provides spectro-temporal
Information. The wavelet analysis decomposes a signal into
packets by simultaneously passing the signal through a low
decomposition filter (LDF) and a high decomposition filter
(HDF) in a sequential tree like structure. There are a large
number of types of filters that can be used for this purpose. In
this experiment we considered fifth level decomposition of
Daubencies wavelet .

3) Spectral spread:
The spectral spread is a measure of variance (or spread) of
the spectrum around the mean value .It is given in (6).

IV. CLASSIFICATION
Classification is taking a decision about the class
membership of an object. Such a decision can be correct or
incorrect; the goal is to maximize the chance of making the
right decision. The proposed system has been experimented
with k-Nearest Neighbor.

where mag= magnitude spectrum,

freq=frequency corresponding to each magnitude element and
SC=spectral centroid.
4) Spectral skewness:

A. K-nearest neighbor classifier

The skewness is a measure of the asymmetry of the

distribution around the mean value. The skewness is
calculated from the 3rd order moment. It is defined as in (7).

In k-nearest neighbor classification, the training

dataset is used to classify a testing dataset. The algorithm
is described as follows:
1. For each case in the testing dataset to be classified,
locate the k nearest neighbors of the training dataset.
A Euclidean Distance measure is used to calculate
how close each member of the training set is to the
target row that is being examined.
2. Examine the k nearest neighbors. Assign this
category to which most of them belong to, to the case
being examined.
3. Repeat this procedure for the remaining cases in
the target set.

Where mag= magnitude spectrum, freq=frequency

corresponding to each magnitude element and SC=spectral
centroid.
C. Cepstral feature
1) Mel frequency cepstral coefficients:
Mel Frequency Cepstral Coefficients (MFCCs) are cepstral
coefficients used for representing audio in a way that mimics
the physiological properties of the human auditory system
[5],[ 9]. MFCCs are commonly used in speech recognition and
are finding increased use in music information recognition and
genre classification systems. The cepstrum of a signal is the
Fourier transform of the logarithm (decibel) signal of the
Fourier transform of a signal. In the Mel frequency cepstrum,
the frequencies are scaled logarithmically using the Mel scale.
A mel is a psychoacoustic unit of frequency which relates to
human perception, the mel scale can be approximated from a
Hz value as in (4).

The k-nearest neighbour method is intuitively a very

attractive method. A disadvantage of this method is its
large computing power requirement, since for classifying
an object its distance to all the objects in the learning set
has to be calculated.
There are two significant ways to fine-tune the
performance of the k-NN classifier:
1. Modify the distance function,
2. Change k, the number of neighbours conferred in
each classification.
B. Support vector machine

Where x is frequency in Hz

The SVM is a supervised learning method. We compute

the most effective boundary that divides the data into each

Calculating MFCCs is performed as follows:

class. We apply the nonlinear SVM, because we aim to mark

off the boundary complexly. The basic idea of the nonlinear
SVM is to transform input vectors into a high-dimensional
feature space using a kernel function, and then to separate in
feature space linearly. The discrimination function for the
nonlinear SVM is described as in (9).

Where xk is the support vectors in the data x, the

weighting vector w and the threshold b are parameters that
decide the discrimination function. In the learning step, the
support vectors xk and the optimal parameters in the
discrimination function (the weighting vector w and the
threshold b) is decided from the learning data using for the
Lagranges method of undetermined multipliers. In order to
make the SVM classifier, the radial basis function(RBF),
exponential radial basis function(ERBF) and the
Gaussian(GRBF) kernel are used. A radial basis function is
described as in (10).

Fig. 3 Flowchart of the one-against-rest method

Fig. 4 Flowchart of the one vs. one method

V. SIMULATION RESULTS
We show computer simulations to indicate the
effectiveness of the proposed method. The samples used in our
experiment consists of 50% of single instrument files from 10
instruments as a training samples and 50% of testing samples.
Table 2 shows the category of instrument those are used in
this experiment.

1) The multi-class classification method:

In general, it is known that the SVM is able to classify
into 2 classes. We propose the multi-class classification
method to combine some SVM classifiers. The multiclass
classification method contains the one-against-rest method and
the one-versus-one method as in [2],[3].
Fig.3 shows the flowchart of the one-against-rest method
when classifying into Class A, Class B, and Class C. If we
classify the data into k classes, the one-against rest method is
used k SVM classifiers to classify into the arbitrary class and
the rest of it. Then, we classify by the outputs for the
discrimination function of SVM classifier. Finally, the class is
determined from the maximum value in the outputs for the
discrimination function. On the other hand,
Fig.4 shows the flowchart of the one-versus-one method
by examples for classifying into Class A, Class B, and Class
C. If we classify the data into k classes, the one-versus-one
method is used kC2 SVM classifiers, where kC2 represents the
number of the combination selected. Then, we classify by the
calculated values. The value is calculated as follows. If the
output for the discrimination function of a SVM classifier is
the positive value, the value is added to the value calculated of
the class corresponding to the positive class in the SVM
classifier. Otherwise, the absolute value is added to the
calculated value of the class corresponding to the negative
class in SVM classifier. The class is determined from the
maximum value in the value calculated.

TABLE 2. The musical instrument collection

Instrument
Family
String
Brass
Keyboard

Instrument Example
Violin, viol, viola, cello, bass, harp, guitar
Trombone, Trumpet
Piano

Table 3 shows the details of the experimental condition for the

analysis in the computer simulation. Every audio file is
divided into frames of 1024 samples. Each frame is hammingwindowed and temporal, spectral, perceptual and wavelet
based features are extracted for each frame. The system is
tested with knn and svm classifier using each feature scheme
and finally all features are combined into a single vector
which consists of 31 numeric values.
TABLE 3. The Details of the experimental condition for analysis

Property
Sampling frequency
Frame duration
Samples per frame
Window function

10

Value
44.1 KHz
23 ms
1024 points
Hamming

The energy envelope is required to find out temporal features

such as log attack time and temporal centroid. The graphical
representation of energy envelope of trumpet signal is shown
in Fig.5

Table 3 shows the recognition rate using knn classifier. Using

all features the accuracy of system is 65%.
TABLE 3.Average Accuracy of KNN

Feature
Scheme
Temporal
Spectral
Perceptual
Wavelet
All features
(a)

Recognition
Rate(%)
73.84
59.56
73.52
53.90
60.43

Original trumpet signal

Table 4 and 5 shows the accuracy of system using svm-one

against rest and svm-one vs. one method for different types of
kernel. The recognition rate achieved with all feature scheme
is 73.73% in both classifier using radial basis function.
TABLE 4. Accuracy of SVM-one against rest

(b)

Feature
Scheme

Energy envelope of trumpet

Fig. 5 Graphical representation of energy envelope

Temporal
Spectral
Perceptual
Wavelet
All features

The spectral features are calculated using frequency

spectrum. We calculated spectral centroid, spectral flux,
spectral rolloff, spectral spread and spectral skewness using
frequency spectrum. Fig.6 shows the spectral features of cello
signal. Also perceptual features are shown in Fig.7.

Avg. Accuracy(%) of SVM

(One Against Rest)
RBF
ERBF
GRBF
30
60
75
78
77
78
64
78
80
70
79
81
73.73
72.17
67.48

TABLE 5. Accuracy of SVM-one vs.one

Feature
Scheme
Temporal
Spectral
Perceptual
Wavelet
All features

Avg. Accuracy(%) of SVM

(One Vs. One)
RBF
ERBF
GRBF
50
65
70
76
77
78
69
74
79
80
86
82
73.73
72.71
67.48

Feature selection techniques are often applied to

optimize the feature set used for classification. This way,
redundant features are removed from the classification process
and the dimensionality of the feature set is reduced to save
computational time. We note that care has to be taken that not
too many features are removed. The effect of multiple features
compensating each other could be desirable, since it is not
exactly clear how musical timbre is described best.
Feature combination schemes generated from the
selection rankings are then further assessed using classifiers
and cross validated. The knn and support vector machine,
classification algorithm has been implemented.
To implement the robust system, we observed the
results of feature selection method and decided to increase the
weight of the feature which shows the maximum accuracy.
The feature which shows the maximum accuracy has given the
large weight.

Fig.6 Spectral features of cello

Fig.7 Perceptual features of cello

11

[3] Harya Wicaksana, Septian Hartono, & Foo Say Wei, Recognition of
Musical Instruments IEEE TRANSACTIONS 2006.
[4] Qian Ding and Nian Zhang, Classification of Recorded Musical
Instruments Sounds Based on Neural Networks Proc eedings of the 2007
IEEE Symposium on Computational Intelligence in Image and Signal
Processing.
[5] Jeremiah D. Deng, Member, IEEE, Christian Simmermacher, and Stephen
Cranefield, A Study on Feature Analysis for Musical Instrument
Classification IEEE TRANSACTIONS ON SYSTEMS, MAN, AND
CYBERNETICSPART B: CYBERNETICS, VOL. 38, NO. 2, APRIL
2008.
[6] Giovanni Costantini,Massimiliano Todisco,Renzo Perfetti,Roberto
Basili,Daniele Casali , SVM Based Transcription System with Short-Term
Memory Oriented to Polyphonic Piano Music , IEEE 2010.
[7] Theodoros Giannakopoulos, A method for silence removal and
segmentation of speech signals , implemented in Matlab, 2010.

The ranked feature set considers best 18 features

which are used to test the system. The results of ranked feature
set and weight factor method are compared with all features.
The results of knn, svm-one against rest and svm-one vs one
are listed in Table 6, Table 7 and Table 8 respectively.
The results with ranked feature set and weight factor
method are improved over the all feature set. The recognition
rate with weight factor method using knn is 73%. SVM in
both cases achieve the same recognition rate.
TABLE 6. Performance of knn using
different feature set

Features
All 31
Best 18
Weight factor

KNN
(Accuracy %)
60.43
70
73

TABLE 7. Performance of svm-one against rest using

different feature set

Feature
Scheme
All 31
Best 18
Weight factor

Accuracy(%) of SVM
(One against rest)
RBF
ERBF
GRBF
73.74
72.18
67.49
84.64
84.64
77.93
88.39
90.3
89.89

TABLE 8. Performance of svm-one vs one using

different feature set

Feature
Scheme
All 31
Best 18
Weight factor

Accuracy(%) of SVM
(One vs one)
RBF
ERBF
GRBF
73.74
72.18
67.49
84.64
84.64
77.93
88.39
90.3
89.89

VI. CONCLUSION
The simulation results show that k-nearest neighbor
classifier achieve the 60.43% of recognition rate with all
features. The recognition rate of svm-one against rest and
svm-one vs one is same which is 73.73% using radial basis
function with all features. As the features are reduced the
recognition rate is increased. Using weight factor method knn
shows 73% accuracy while svm shows 90.3% accuracy using
exponential kernel function.In simulation, some instrument
shows the same feature similarity. So future work must
consider the combination of some features to build the robust
system.
REFERENCES
[1] Bozena Kostek, Musical Instrument Classification and Duet Analysis
Employing Music Information Retrieval Techniques, Proceedings of IEEE,
VOL. 92, NO. 4, APRIL 2004.
[2] Changsheng Xu, Senior Member, IEEE, Namunu C. Maddage, and Xi
Shao, Automatic Music Classification and Summarization,IEEE
TRANSACTIONS ON SPEECH AND AUDIO PROCESSING, VOL. 13,
NO. 3, MAY 2005.

12

Comparative Analysis of Pulse Width Modulaiton

Schemes for Five Phase Voltage Source Inverter
Shailesh Kumar Gupta, Mohd. Arif Khan ,
Atif Iqbal, Senior Member, IEEE, and Zakir Husain
inverter switches but having a disadvantage that it contains
third harmonic in output[3]. To the cancellation of the thirdharmonic components and better utilization of the dc supply,
the third harmonic injection PWM scheme is preferred in fivephase applications. Space vector modulation technique has
advantage of an optimal output and also reduces harmonic
content of the output voltage/current [4]. Space vector PWM
(SVPWM) has the advantages of lower harmonics and a
higher modulation index in addition to the features of
complete digital implementation by a single chip
microprocessor, because of it flexibility of manipulation;
SVPWM has increasing application in power converters and
motor control.
An alternative and simple space vector pulse width
modulation (SVPWM) scheme for a five-phase voltage source
inverter (VSI) is proposed in this paper. The proposed PWM
scheme generates the inverter leg switching times, from the
sampled reference phase voltage amplitudes and centre the
switching times for the middle vectors, in a sampling interval,
as in the case of conventional space vector PWM. Similar
technique has been reported in the literature [1] for a fivephase VSI. The proposed PWM scheme utilizes only the
sampled amplitude of reference phase voltages for
implementing the SVPWM. It does not involve any sector
identification and a number of look up tables thus
considerably reducing the computation time when compared
to the conventional space vector PWM scheme. The proposed
technique thus is simple and less demanding for use in real
time DSP implementation.
The application of artificial neural network (ANN) is recently
growing in power electronic systems. A feed forward ANN
implements
nonlinear
inputoutput
mapping.
The
computational delay of this mapping becomes negligible, if
parallel architecture of the network is implemented by an
application-specific integrated circuit (ASIC) chip. A feed
forward carrier-based PWM technique, Such as SVM, can also
be looked upon as a nonlinear mapping phenomenon where
the command phase voltages are sampled at the input and the
corresponding pulse width patterns are established at the
output. Therefore, it appears logical that a back propagationtype ANN that has high computational capability can
implement an SVM algorithm. In this paper proposed ANN
can be conveniently trained offline with the data generated by
calculation of the TESVPWM algorithm. ANN has inherent
learning capability that can give improved precision by
interpolation unlike the standard lookup table method. [16-24]

Abstract - Space vector pulse width modulation (SVPWM) is an

optimum pulse width modulation technique for an inverter used
in a variable frequency drive applications. It is computationally
rigorous and hence limits the inverter switching frequency. This
paper discusses a time equivalent SVPWM and neural Network
based SVPWM technique for a five-phase voltage source inverter
in under modulation region. A neural network has the advantage
of very fast implementation of an SVPWM algorithm that can
increase the inverter switching frequency. The scheme has been
simulated and comparative study is given with the existing PWM
schemes. The simulation results are given to validate the concept
of proposed schemes.
Index Terms - Voltage source inverter (VSI), Time equivalent
SVPWM, Artificial neural network (ANN), Total harmonic
distortion (THD) and Weighted THD (WTHD).

I. INTRODUCTION

ARIABLE frequency ac drives are increasingly replacing

dc drives in a number of industrial applications due to
advantages in size, reliability and efficiency. One of the main
components of an ac drive is power electronic converter in the
form of voltage source inverter that takes dc voltage input
(may be from a rectifier) and produces a sinusoidal ac
waveform. This in turn is fed to the ac electric motor. The
fundamental frequency of this waveform is adjusted to
produce the desired speed. In modern electric drives the
modulation of switching is carried out to achieve the required
ac wave shape. This is met by incorporating the duration of
ON & OFF methods [1, 2].
The techniques to get the duration of ON interval for a
particular switch depend upon the control logic or PWM
technique to be adopted. In a PWM scheme the output voltage
and frequency can be controlled with the help of the switching
inside the inverter. The switch may be MOSFET, IGBT etc
with antiparallel connected diodes. Different PWM schemes
such as sinusoidal PWM compares a high frequency triangular
carrier with five sinusoidal reference signals, known as the
modulating signals, to generate the gating signals for the

Shailesh Kumar Gupta is a M. Tech. student in Deptt. of Electrical &

Electronics Engg., Krishna Institute of Engg. & Technology, Ghaziabad
INDIA, (e-mail: geniousshailesh@gmail.com).
Mohd Arif Khan is with Deptt. of Electrical & Electronics Engg., Krishna
Institute of Engg. & Technology, Ghaziabad INDIA, (e-mail:
mdarif27@rediffmail.com).
Atif Iqbal is with Deptt. of Electrical Engg., Qatar University, Doha,
QATAR. (e-mail: atif2004@gmail.com).
Zakir Husain is with Department of Electrical and Electronics Engineering,
NIT Hamirpur, INDIA. (email: zahusain2@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

13

II. PWM SCHEMES FOR FIVE PHASE VSI

The effect of addition of harmonic with reverse polarity in any

signal is to reduce the peak of the reference signal. Aim here
is to bring the amplitude of the reference as low as possible, so
that the reference can then be pushed to make it equal to the
carrier, resulting in the higher output voltage and better dc bus
utilisation. Using this principle, fifth harmonic injection PWM
scheme is used in a five-phase VSI which results in increase in
the fundamental output voltage to 0.5254 Vdc .

A REVIEW
Pulse Width modulation technique is the most basic method of
energy processing in power electronic converters. The purpose
here is to control the inverter to generate the variable voltage
and variable frequency voltages/currents. This section
describes the PWM techniques employed for controlling a
five-phase voltage source inverter. Purpose here is to generate
the five-phase sinusoidal output voltage. For this purpose
different existing pulse width modulation techniques are
(a)
(b)
(c)
(d)

Carrier based sinusoidal PWM

Fifth harmonic injection pulse width modulation scheme
Offset addition pulse width modulation scheme
Space vector pulse width modulation scheme

(a) Carrier based sinusoidal PWM

Carrier-based sinusoidal PWM is the most popular and widely
used PWM technique because of their simple implementation
in both analogue and digital realization. The PWM signal is
generated by comparing a sinusoidal modulating signal with a
triangular (double edge) or a saw-tooth (single edge) carrier
signal. The frequency of the carrier is normally kept much
higher compared to the modulating signal. Principle of
operation of a carrier-based PWM modulator is shown in Fig.
1 and the filtered output voltage is shown in Fig 2.

(c) Offset addition based PWM

va*

vb*

vd*

ve*

Zero
sequence
signal

S1 , S6

Another way of increasing the modulation index is to add an

offset voltage to the references. The offset voltage addition is
effectively adding 3n harmonic. This will effectively do the
same function as above.

S3 , S8

vc*

Fig. 3 Reference signal after third harmonic injection

+
-

+
-

S5 , S10

Voffest

Vmax Vmin
2

(1)
In case of five-phase VSI the offset voltage is simply third
harmonic triangular wave of 25% magnitude of fundamental.

S7 , S2

S9 , S 4

Carrier signal

Fig. 1 Principal of operation of carrier based PWM

Fig. 4 . Reference signal after Offset addition

(d) Space vector PWM

Fig. 2 filtered output voltage for the carrier based PWM scheme

There are six switching devices and only five of them are
independent as the operation of two power switches of the

(b) Fifth harmonic injection based PWM

14

same leg are complimentary. The combination of these five

switching states gives out eight possible space voltage vectors.
The space vectors forms a hexagon with 6 distinct sectors,
each spanning 60 degrees in space. At any instant of time, the
inverter can produce only one space vector. In space vector
PWM a set of five vectors (two active and a zero) can be
selected to synthesize the desired voltage in each switching
period.

amplitudes of reference phase voltages during sampling

interval and Ts is the inverter switching period. Tx; x=a,b,c;
are referred as time equivalents of the sampled amplitudes of
reference phase voltages. Tmax and Tmin are the maximum and
minimum values of Tx during sampling interval. To is the time
duration for which the zero vectors is applied in the switching
interval. Toffset is the offset time when added to time equivalent
becomes gating time signal or the inverter leg switching time
Tgx;x=a,b,c.

q-axis

Algorithm of the proposed TESVPWM:

I Sample the reference voltages Va , Vb,& Vc, in every
switching period Ts.
II Determine the equivalent times T1,T2& T3 given by
expression, where x = a, b and c;
/5

Txs

V xs

d-axis

III Determine Toffset ;

Toffset

Ts
;
Vdc
TS
2

Tmax

Tmin

Vdc

IV Then the inverter leg switching times are obtained as

Tgx Tx Toffset ; x = a, b and c.
The TESVPWM is simulated using Matlab/Simulink model
shown in Fig. 9. The five-phase voltage is provided with
amplitude equals to 0.5 VDC and VDC is kept unity. The
switching frequency is chosen equal; to 5 KHz.

Fig. 5 - Space Vector representation of Line to Neutral Voltages

Fig.7 Filtered output voltage for the time equivalent space vector based pulse
width modulation scheme

Fig. 6 Harmonic Spectrum for output voltage of the space vector based pulse
width modulation scheme

III.

PROPOSED PWM SCHEMES FOR

FIVE-PHASE VSI
(a) Time equivalent space vector pulse width modulation
(TESVPWM) scheme
The presented SVPWM called here time equivalent space
vector PWM (TESVPWM) utilises simply the sampled
reference voltages to generate the gating time for which each
inverter leg to yield sinusoidal output. The reference voltage is
sampled at fixed time interval equal to the switching time. The
sampled amplitude is converted to equivalent time signal.
Thus a time offset is added to these signals to obtain the
gating time of each inverter leg. This offset addition centre the
active switching vectors within the switching interval. The
algorithm is given below, Where Vx; x=a,b,c; is the sampled

Fig. 8 Harmonic Spectrum for output voltage of the time equivalent space
vector based pulse width modulation scheme

15

Filtered output voltage after connecting a RL load at the

output terminals for TESVPWM based scheme is shown in fig
7.and the harmonic spectrum for the output phase a voltage
is shown in Fig.8 shows that fundamental component appears
at 50 Hz frequency.
(b)

weights

IW{1,1}(1,:)'

dotprod 1

Artificial neural network based space vector pulse

width modulation.

weights

IW{1,1}(2,:)'

dotprod 2
weights

This section describes the ANN PWM based on TESVPWM

scheme. The reference signal in TESVPWM is taken as input
neuron values and the modulating signals in TESVPWM
scheme is taken as the target values. Then the Matlab neural
network tool is used for the training and simulation purpose
which is later formed the ANN block for the above scheme

IW{1,1}(3,:)'

weights

The complete implementation block diagram is illustrated

in Fig.9. There are three layers in the neural network; one is
input layer with five neurons in Fig 10 (a), one hidden layer
with ten neurons in Fig 10 (b) and one output layer with five
neurons in Fig 10 (c). Feed-forward back propagation type
network
is
used
and
the
Levenberg-Marquardt
backpropagation trainlm training function is used for the
simulation purpose. The Gradient descent with momentum
weight and bias learning (LEARNGDM) adaptation learning
function and Mean squared error (MSE) performance function
have used. Transfer function is hyperbolic tangent sigmoid
transfer function (TANSIG) type. Filtered output voltage and
the harmonic spectrum for output voltage for the proposed
scheme shown in Fig. 11 and Fig. 12.

IW{1,1}(5,:)'

dotprod 3
weights

IW{1,1}(4,:)'

dotprod 4
z

dotprod 5
1
pd {1,1}

weights
IW{1,1}(6,:)'

Mux

1
iz {1,1}

Mux

dotprod 6
weights

IW{1,1}(7,:)'

dotprod 7
weights

IW{1,1}(8,:)'

dotprod 8
weights

IW{1,1}(9,:)'

dotprod 9

UP/
Down
Counter

Neural Network

weights

IW{1,1}(10 ,:)'

dotprod 10

Sb
fV

(b)

Sc

Ts/4

De-normalization

Normalization

V*

Sa

weights

Sd

IW{2,1}(1,:)'

dotprod 1

Se

weights

IW{2,1}(2,:)'

dotprod 2

Fig. 9 Functional Block Diagram of ANN Based SVM for a Five-Phase VSI

weights
1

IW{2,1}(3,:)'

ad {2,1}

x p

x{1}

Process Input 1

p{1}

a{1}

Layer 1

weights

IW{2,1}(4,:)'

Mux

Mux

lz {2,1}

dotprod 4

a{1}

a{2}

IW{2,1}(5,:)'

dotprod 5

Layer 2

a{1}

dotprod 3

weights

a{1}

ay

Process Output 1

y{1}

(c)

(a)

Fig.10 Artificial Neural Network Topology for five-phase VSI

16

Taking the advantage of MATLAB, five phase inverter

control system is built up, and the output line voltages of all
the schemes mentioned above are obtained by simulation.
Then the total harmonics distortion (THD) rate of those
schemes is obtained by FFT method. In simulation the
switching period is taken as 0.2ms, and the inverter output
frequency is designed as 50Hz. The operating situations for all
schemes are same, executed in the simulation. For the
convenience of comparison, the THD and WTHD of all the
schemes are calculated at the same time. The results of the
simulation are shown in figure 13.

Fig. 11 Filtered output voltages for the ANN based PWM scheme

Fig. 13 comparison of existing and proposed PWM schemes based on

THD & WTHD

Seen from figure, the THD and WTHD of TESVPWM

scheme is the lowest from the rest of existing and proposed
schemes. The proposed ANN based scheme has the value of
THD lower than carrier based and space vector based schemes
and higher than the offset addition, harmonic injection and
TESVPWM. The offset addition based PWM scheme is good
in the existing PWM schemes due to the lower values of THD
and WTHD than the carrier based PWM, harmonic injection
PWM and space vector based PWM. On the basis of above
analysis it is shown that that the proposed TESVPWM based
scheme is best in the above mentioned schemes. Offset
addition based PWM scheme is the best scheme in the existing
PWM schemes.
V.
CONCLUSION

Fig. 12 Harmonic Spectrum for output voltage of the ANN based PWM
scheme

IV.

PERFORMANCE COMPARISON BETWEEN

EXISITNG AND PROPOSED SCHEMES
The method of comparing the effectiveness of modulation is
by comparing the unwanted components i.e. the distortion in
the output voltage or current waveform, relative to that of an
ideal sine wave, it can be assumed that by proper control, the
positive and negative portions of the output are symmetrical
(no DC or even harmonics). The total harmonics distortion
factor reduces to,

THD =
n 3, 5 , 7..

vn
v1

In this paper different existing PWM schemes for a fivephase voltage source inverter are studied and two new
schemes are proposed i.e. time equivalent space vector PWM
and ANN based PWM. The algorithm of the proposed
TESVPWM scheme is elaborated and then with the help of
Matlab/Simulink the scheme is simulated and their simulation
results are obtained. The simulation results show that the
output contains fundamental component at the 50 Hz
frequency. ANN based scheme is proposed on the basis of
data available from the TESVPWM scheme. There are input
layer containing five neurons, one hidden layer containing ten
neurons and output layer containing five neurons. The output
voltage spectrum shows that the output contains single
component at 50 Hz frequency. The performance of all the

(2)

Normalizing this expression with respect to the quantity (V 1)

i.e. fundamental, the weighted total harmonic distortion
(WTHD) becomes defined as

WTHD =

n 3, 5, 7..

V1

Vn
n

(3)

17

schemes are evaluated on the basis of THD & WTHD and

found that TESVPWM is the best proposed scheme and Offset
addition based PWM scheme is best in the existing schemes.
VI.

[22] H.W. Van Der Brock, H.C. Skundelny and G.V. Stanke, Analysis and
realization of a pulsewidth modulator based on voltage space vectors,
IEEE Trans Ind. Appl., 24. pp. 140-150, Jan/Feb 1998.
[23] O.Ogasawara, H. Akagi, and Nabel, A novel PWM scheme of voltage
source inverters based on space vector theory, in proc. EPE European
conf. Power Electronics and Applications pp. 1197-1202, 1989.
[24] S.R. Bowes and Y.S. Lai, The relationship between space vector
modulation and regular-sampled PWM, IEE Trans. Power Electron,
Vol. 14, pp. 670-679, Sept. 1997.

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electronics- selected problems, Academic Press, California, USA, 2002.
[4] Zhou K and Wang D, Relationship between Space vector modulation
and Three-phase carrier based PWM A comprehensive analysis, IEEE
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[5] Wang FEE, Sine-triangle versus space vector modul;ation for three-level
PWM voltage source inverters, Proc. IEEE-IAS Annual Meeting ,
Rome,2000,pp. 2482-24888.
[6] Iqbal A , Levi, E., Jones, M. and Vukosavic, S.N., (2006), Generalised
Sinusoidal PWM with harmonic injection for multi-phase VSIs, IEEE
37th Power Electronics Specialist conf. (PESC) Jeju, Korea, 18-22 June
2006, CD_ROM paper No. ThB2-3, pp. 2871-2877.
[7] A.Iqbal, E.Levi, Space vector PWM techniques for sinusoidal output
voltage generation with a five-phase voltage source inverter, Electric
Power Components and Systems, 2006, vol. 34 no.
[8] H.A.Toliyat, M.M.Rahmian and T.A.Lipo, Analysis and modelling of
five-phase converters for adjustable speed drive applications, Proc. 5 th
European Conference on Power Electronics and Applications EPE,
Brighton, UK, IEE Conf. Pub. No. 377, 1993, pp. 194-199.
[9] R.Shi, H.A.Toliyat, Vector control of five-phase synchronous reluctance
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Texas, 2002, pp. 57-63.
[10] H.A.Toliyat, R.Shi, H.Xu, DSP-based vector control of five-phase
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vector modulation strategies for five-phase voltage source inverters,
Proc. IEE Power Electronics, Machines and Drives Conf. PEMD,
Edinburgh, UK, 2004, pp. 650-655.
[12] H. W. vander Broek, H. C. Skudelny, and G. V. Stanke, Analysis and
realization of PWM based on voltage space vectors, IEEE Trans. Ind.
Applicat., vol. 24, no. 1, pp. 142150, 1988.
[13] D. Grahame Holmes and Thomas A. Lipo , Pulse Width Modulation
For Power Converters Principles and Practices, IEE Press, Wiley
Publications2000.
[14] V. Blasko, A hybrid PWM strategy combining modified space vector
and triangle comparison methods, in IEEE PESC Conf. Rec., 1996,
pp.18721878.
[15] H. S. Patel and R. G. Hoft, Generalized techniques of harmonic
elimination and voltage control in thyristor inverters: Part IHarmonic
elimination, IEEE Trans. Ind. Applicat., vol. 9, pp. 310317, May/June
1973.
[16] J.O.P. Pinto, B.K. Bose, L.E. Borges da Silva and M.P. Kazmierkowski,
A Neural Network based space vector pwm controller for voltage fed
inverter induction motor drive, IEEE Trans, Ind. Appl. Vol. 36, No.6,
pp.1628-1636 November/December 2000.
[17] R. J. Kerkman, B. J. Seibel, D. M. Brod, T. M. Rowan, and D. Leggate,
A simplified inverter model for on-line control and simulation, IEEE
Trans. Ind. Applicat., vol. 27, no. 3, pp. 567573, 1991.
[18] Simon Haykin, Neural Networks, ND prentice Hall, 2004.
[19] Muthuramalingam and S.Himavathi. Performance Evaluation of a
Neural Network based General Purpose Space Vector Modulator,
IJECSE Vol.1, No.1, pp.19-26,April 2007.
[20] K. Zhou and D. Wang, Relationship between space vector modulation
and three phase carrier base PWM A comprehensive analysis, IEEE
Trans, Ind. Electr, Vol 49, No.1,pp 186-196, Feb. 2002.
[21] Bakhshai, J. Espinoza, G. Joos, and H. Jin, A combined artificial neural
network and DSP approach to the implementation of space vector
modulation techniques, In Conf, Rec. IEEE-IAS Annu, Meeting,. 1996
pp.934-940.

18

BER Comparison of DCT-OFDM and DFT-OFDM

for Different Modulation Techniques in Multipath
Rayleigh Fading Environment
L. C. Patidar, Ashish Parikh, R. D. Patidar and Ashish Joshi
Abstract In wireless communication Orthogonal Frequency
Division Multiplexing is gaining its importance as it is suitable
for high speed data rates. It is a multi carrier system, which is
commonly implemented for transmission of signals nowadays. In
this system, orthogonally placed sub carriers are used to carry
data from transmitter end to receiver end. In this paper, Bit
Error Rate comparison of Discrete Fourier Transform-based
Orthogonal Frequency Division Multiplexing is compared with
Discrete Cosine Transform-based Orthogonal Frequency
Division Multiplexing for different modulation techniques over
Multipath Rayleigh Fading Channel. It is observed from results
that, Bit Error Rate shift in case of Discrete Cosine Transformbased Orthogonal Frequency Division Multiplexing is less then
compared to Bit Error Rate shift in case of Discrete Fourier
Transform-based Orthogonal Frequency Division Multiplexing
system and Quadrature Amplitude Modulation shows better
performance as compared to Phase Shift Keying for higher
constellation index.

is eliminated almost completely by introducing a guard time in

every OFDM symbol [6]-[7].This means that in the guard
time, the OFDM symbol is cyclically extended to avoid inter
carrier interference [8]. An OFDM signal is a sum of
subcarriers that are individually modulated by using phase
shift keying (PSK) or quadrature amplitude modulation
(QAM) [3], [7], [8]. The symbol can be written as:

and where, Ns is the number of subcarriers, T

is the symbol duration, fc is the carrier frequency. The
equivalent complex baseband notation is given by:

KeywordsDiscrete Fourier Transform, Discrete Cosine

Transform, Bit Error Rate, Orthogonal Frequency Division
Multiplexing, Signal to Noise Ration, Quadrature Amplitude
Modulation, Phase Shift Keying.

I. INTRODUCTION
As the demand of digital multimedia applications are
increasing day by day, create an ever increasing demand for
broadband communications systems [1]-[3]. Orthogonal
Frequency Division Multiplexing (OFDM) has grown to be
the most popular communications system in high speed
communications in the last decade. In fact, it has been said by
many industry experts that OFDM technology is the future of
wireless communications. The prosperous progress of mobile
communications has built the main road of the history of
wireless communication [1]-[4].
The basic principle of OFDM is to split a high-rate data
stream into a number of lower-rate streams that are
transmitted simultaneously over a number of subcarriers [5]-,
[7]. The relative amount of dispersion in time caused by
multipath delay spread is decreased because the symbol
duration increases for lower rate parallel subcarriers. The
other problem to solve is the inter symbol interference which

and
In this case, the real and
imaginary parts correspond to the in-phase and quadrature
parts of the OFDM signal. They have to be multiplied by the
cosine and sine functions of the desired frequency to produce
the final OFDM signal as shown in fig.1.

L. C. Patidar is with Department of Electronics and Communication Engg.,

MIT Mandsaur, SH-31Rewas Dewda bypass Road, Mandsaur (M.P.)-458001,
India, (e-mail: patidarl.c.10@gmail.com).
Ashish Parikh is with Department of Electronics and Communication
Engg., MIT Mandsaur, SH-31Rewas Dewda bypass Road, Mandsaur (M.P.)458001, India, (e-mail: ashish.parikh@mitmandsaur.info).
R. D. Patidar is with Department of Electrical Engg., MIT Mandsaur, SH31Rewas Dewda bypass Road, Mandsaur (M.P.)-458001, India, (e-mail:
rd.patidar@mitmandsaur.info).
Ashish Joshi is with Department of Electronics and Communication Engg.,
AIET, Jaipure, India, (email: ashish.joshi@mitmandsaur.info).

Fig.1. OFDM modulator

978-1-4673-0455-9/12/$31.00 2012 IEEE

19

As the signal strength increases in comparison to noise inside

the channel the Bit Error Rate (BER) decreases and reaches to
zero at some specified value of Signal to Noise Ratio (SNR)
ideally[9]-[10],[12].
Where Ck are the complex representations of the subcarrier
symbols and Ts is the symbol period.
The functions IDFT data and DFT data implement the
transform and inverse transform pair given for vectors of
length N by:

II. OFDM SYSTEM- SIMULATION FLOWCHART

In this paper, OFDM system is implemented using
MATLAB simulation, where each block of OFDM is
simulated in scripts file. Fig.2. shows the block diagram of the
OFDM. Discrete Cosine Transform-based Orthogonal
Frequency Division Multiplexing (DCT-OFDM) and Discrete
Fourier Transform-based Orthogonal Frequency Division
Multiplexing (DFT-OFDM) is obtained by replacing inverse
transform block at transmitter and transform block at receiver
respectively. For different modulation techniques we have
changed the constellation index in the modulation block. In
addition to this we have simulated simulation time clock for
measuring processing time required in each case. The
following OFDM system parameters are considered for the
simulation:
Data mapping
: M-PSK and M-QAM
IDFT and DFT Size
: 64-point
IDCT and DCT Size
: 64-point
Channel Used
: Fading Channel
No. Of data sub carrier
: 52
Data symbol duration (Td)
: 64
Cyclic prefix duration (Tcp)
: 16

Data In

Modulation

S/P

where

B. DCT-Based OFDM
The complex exponential function set is not the only
orthogonal basis that can be used to construct baseband
multicarrier signals. A single set of cosinusoidal functions can
be used as an orthogonal basis to implement the Multi-Carrier
Modulation (MCM) scheme, and this scheme can be
synthesized using a DCT [2]. Hence, we will denote the
scheme as DCT-OFDM. The output signal of a DCT based
OFDM system can be written

IFFT/IDCT

Rayleigh Fading
Channel

Data
Out

is an Nth root of unity.

where d0, d1.dN-1 are Ns independent data symbols obtained

from a modulation constellation, and

FFT/DCT
Demodulation

P/S

Fig. 2. OFDM System flowchart

IV. SIMULATION RESULTS AND DISCUSSION

III. OFDM SYSTEM- TRANSFORM TECHNIQUES

A. BER Comparison of DFT-Based OFDM for Different

Modulation Techniques:
Here performance of DFT based OFDM is analysed for
different modulation techniques and the BER with increasing
EbNo is calculated as tabulated in Table I. Fig.3 to Fig.5 are
graphical representation of theoretical and empirical BER for
each individual modulation used in this category while Fig.6
shows comparison.

A. DFT-Based OFDM
In OFDM systems, digital modulation and demodulations
can be realized with the IDFT and DFT, respectively [2], [6],
[9], [11]-[12]. OFDM employs Ns separate subcarrier to
transmit data instead of one main carrier. Input data is grouped
in to a block of N bits, where N = Ns mn and mn is the
number of bits used to represent a symbol for each subcarrier.
In order to maintain orthogonality between the subcarriers,
they are required to be spaced apart by an integer multiple of
the subcarrier symbol rate Rs. The subcarrier symbol rate is
related to overall coded bit rate Rc of the entire system by Rs =
Rc/N. The output signal of an OFDM can be written as:

20

TABLE I
BER COMPARISON OF DFT-OFDM

Simulation time
(In Seconds)
EbNo
(in dB)
0
5
10
15
20
25
30
35
40
45

BER Comparison (In dB)

BPSK
QPSK
4-QAM
5.127466

5.533471

5.583749

0.1480
0.0658
0.0245
0.0088
0.0031
0.0012
0.0004
0.0002
0.0001
0.0000

0.2539
0.1351
0.0552
0.0198
0.0066
0.0025
0.0009
0.0003
0.0001
0.0000

0.2076
0.1067
0.0444
0.0164
0.0059
0.0021
0.0008
0.0003
0.0001
0.0000

Fig. 5. BER performance of DFT-OFDM using 4-QAM modulation

Fig. 3. BER performance of DFT-OFDM using BPSK modulation

Fig. 6. BER performance of DFT-OFDM using BPSK, QPSK and 4-QAM

modulation

From the above results, it is observe that BPSK

modulation yields better BER performance as compared to
other modulations used. From Fig.6 and Table III, it is
observed that the BER shift in case of BPSK is 0.0016 dB,
while it is found to be 0.1074 dB in QPSK and 0.0612 dB in
4-QAM when compared to theoretical BER in each case
individually. Hence, it can be considered that DFT-OFDM
over Multipath Rayleigh Fading channel will give better
signal quality when BPSK is used as a modulation technique.
In addition to this, it is also observed that, for higher
constellation index M-QAM modulation yields better results
as compared to M-PSK modulations.
B. BER Comparison of DCT-Based OFDM for Different
Modulation Techniques:
Here performance of DCT based OFDM is analysed for
different modulation techniques and the BER with increasing
EbNo is calculated as tabulated in Table II. Fig.7 to Fig.9 is
graphical representation of theoretical and empirical BER for
each individual modulation used in this category while Fig.10
shows comparison.

Fig. 4. BER performance of DFT-OFDM using QPSK modulation

21

TABLE III
BER COMPARISON OF DCT-OFDM

Simulation time
(In Seconds)
EbNo
(in dB)
0
5
10
15
20
25
30
35
40
45

BER Comparison (In dB)

BPSK
QPSK
4-QAM
8.576120

8.995741

9.450963

0.1466
0.0659
0.0245
0.0091
0.0033
0.0011
0.0004
0.0002
0.0001
0.0000

0.2493
0.1312
0.0521
0.0181
0.0065
0.0023
0.0007
0.0003
0.0001
0.0000

0.2017
0.1015
0.0404
0.0144
0.0049
0.0017
0.0006
0.0002
0.0001
0.0000
Fig. 9. BER performance of DCT-OFDM using 4-QAM modulation

Fig. 7. BER performance of DCT-OFDM using BPSK modulation

Fig. 10. BER performance of DCT-OFDM using BPSK, QPSK and 4QAM modulation

From Fig.10 and Table III, it is observed that the BER

shift in case of BPSK is 0.0002 dB, while it is found to be
0.1028 dB in QPSK and 0.0553 dB in 4-QAM when
compared to ideal or theoretical BER in each case individually.
Hence, it can be considered that DCT-OFDM over Multipath
Rayleigh Fading channel will give better signal quality when
BPSK is used as a modulation technique. In addition to this, it
is also observed that, for higher constellation index M-QAM
modulation yields better results as compared to M-PSK
modulations.
C. BER Comparison of DCT-Based OFDM and DFT-Based
OFDM for Different Modulation Techniques:
Here performance of DCT and DFT based OFDM is
analysed for different modulation techniques and the initial
BER shift is measured for BPSK, QPSK and 4-QAM
modulation as tabulated in Table III. Fig.11 is graphical
representation of empirical BER for each individual
modulation used in this category.

Fig. 8. BER performance of DCT-OFDM using QPSK modulation

22

TABLE IIIII
BER COMPARISON OF DCT-OFDM

Modulation

Comparison of BER Shift

(in dB)
DCTDFT-OFDM
OFDM

BPSK

0.0016

0.0002

QPSK

0.1074

0.1028

4-QAM

0.0612

0.0553

REFERENCES
[1]

Remarks

[2]

DCT has less

BER shift then
DFT by
0.0014dB
DCT has less
BER shift then
DFT by 0.046dB
DCT has less
BER shift then
DFT by
0.0059dB

[3]

[4]

[5]
[6]

[7]

[8]
[9]

[10]

[11]

[12]

Fig. 11. BER Comparison of DCT-OFDM and DFT-OFDM using BPSK,

QPSK and 4-QAM modulation

In this section a comparison is made between DFT-OFDM

and DCT-OFDM using BPSK, QPSK and 4-QAM
modulations in fading environment. From Fig. 11 and Table
III, it is observed that BPSK modulation yields better BER
performance as compared to other modulations used in both
DFT-OFDM and DCT-OFDM. It is also observed that the
BER shift in DCT-OFDM is less than DFT-OFDM. Using
DCT as a transform technique in OFDM yields better BER
performance as compared to DFT.
V. CONCLUSIONS
In this paper, BER performance of DFT-based OFDM and
DCT-based OFDM is compared. From the simulation results,
it is observed that:
1. The BPSK modulation shows better BER performance
among all other modulation considered in this paper for
both DFT-OFDM and DCT-OFDM under AWGN and
multipath Rayleigh fading environment. But, for higher
constellation index like M=4, 8, 16 and so on M-QAM
yields better BER performance as compared to M-PSK
2. The DCT-OFDM shows better BER performance over
DFT-OFDM in Multipath Rayleigh Fading channel.
3. DFT-OFDM takes less processing time as compared to
DCT-OFDM.

23

Peng Tan and Norman C. Beaulieu, A Comparison of DCT-Based

OFDM and FFT-Based OFDM in Frequency Offset and Fading
Channels, IEEE TRANSACTION ON COMMUNICATION, Vol. 54,
no. 11, pp. 2113-2125, 2006.
Deepak Gupta, Vipin B. Vts and Kamal K. Garg, Performance
Analysis of FFT-OFDM, DCT-OFDM and DWT-OFDM System in
AWGN Channel, The Fouth International Conference on Wireless and
Mobile Communication, pp. 214-216, 2008.
Jigisha N. Patel and Upena D. Dalal, A Comparative Performance
Analysis of OFDM using MATLAB Simulation with M-PSK and MQAM Mapping, International Conference on Computational
Intelligence and Multimedia Application, pp. 406-410, 2007.
Orlandos Grigoriadis and H. Srikanth Kamath, Ber Calculation Using
Matlab Simulation For Ofdm Transmission, Proceedings of,
International Multi-Conference of Engineers and Computer Scientists
2008, Hong Kong.
Vahid Meghdadi, wireless Communications by Andrea Goldsmith,
2008.
Zhiqiang Wu and Carl R. Nassar, Narrowband Interference Rejection
in OFDM via Carrier Interferometry Spreading Codes, IEEE
TRANSACTIONS ON WIRELESS COMMUNICATIONS, Vol. 4, no.
4, pp. 1491-1505, 2005.
Haitham J. Taha and M. F. M. Salleh, Performance Comparison of
Wavelet Packet Transform (WPT) and FFTOFDM System Based on
QAM Modulation Parameters in Fading Channels, WSEAS
TRANSACTIONS ON COMMUNICATIONS, Vol. 9, no. 8, pp. 453462, 2010.
R.P Singh and S.D. Sapre, Communication System , Second Edition,
TMH Publishing 2007.
Sanjeev Kumar, Swati Sharma, Error Probability of Different
Modulation Schemes for OFDM based WLAN standard IEEE 802.11a,
International Journal of Engineering (IJE), Vol. 4, no. 4, pp. 262-267.
Sanjeev Kumar, Swati Sharma, BER Performance Evaluation of FFTOFDM and DWT-OFDM, International Journal of Network and
Mobile Technology, Vol. 2, no. 2, pp. 110-116, 2011.
Khaizuran Abdullah and Zahir M. Hussain, Studies on DWT-OFDM
and FFT-OFDM
Systems, International Conference On
Communication, Computer And Power (ICCCP09) MUSCAT, 2009.
Xiaozhou Huang and Hsiao-Chun Wu, Inter carrier Interference
Analysis for Wireless OFDM in Mobile Channels, Proceeding of,
IEEE conference WCNC, pp. 1848-185, 2006.

Information Storage on the Cloud: A Survey of

Effective Storage Management System
Avita Katal, Niharika Gupta, Seepaj Sharma and R.H. Goudar
Abstract-- In this paper we have discussed about the need of
effective information management, Storage area network (SAN).
SAN is the hottest buzz word in the computer storage business
today. It seems like every company with a storage product, from
the smallest garage shop to the largest multi-billion dollar
corporation, has a SAN strategy, along with all of the products
that todays business owners and IT managers absolutely need to
run their business in a SAN environment. It is a high-speed
network of storage elements, similar in form and function to a
LAN that establishes direct and indirect connections between
multiple servers and multiple storage elements. This paper
covers the basics of Fibre Channel Storage Area Network (FC
SAN), Internet Protocol Storage Area Network (IP SAN),
concepts of Zoning and Logical unit number (LUN) masking.
The comparison of various vendors EMC, IBM, HP that provide
the services of SAN.

Backups and recovery cause serious traffic issues to

normal application traffic across LAN. For example
even using fast gigabit Ethernet transport, throughput
from a single server to tape is about 25GB per hour
which will take approximately 12 hours to fully back
up a departmental database of 300GB.
II. NEED FOR EFFECTIVE INFORMATION
MANAGEMENT SYSTEM
An effective information management system must provide
the following:
Just in time information to business users :
The tremendous growth in online storage,
proliferation of new servers and application
throughout the enterprises and also the demand for
247 data availability are some of the challenges that
need to be addressed.
Integration of infrastructure with business process:
Without compromising the security and integrity the
storage infrastructure should be integrated with
various business processes.
Flexible and resilient storage architecture:
Storage should be such that the performance
(requirements) of the applications should be high and
at the same time the total cost of managing the
information must be low.

Index terms-- Arbitrated loop FC-AL, Fibre channel switched

fabric(FC-SW), Host Bus Adapter (HBA), Logical Unit Number
(LUN) Masking, Remote Mirroring, Storage area network
(SAN)management software, Zoning.

I. INTRODUCTION

A Storage area network (SAN) that carries data between

computer systems and storage devices which can include tape
and disk resources. A SAN consists of communication
infrastructure which provides physical connection and a
management layer which organizes the connections, storage
elements and computer systems so that data transfer is secure
and robust.
The amount of storage needed for Local area
networks (LANs) and wide area network (WANs)
has increased manifold in recent years. There has
III. COMPONENTS OF SAN
been a huge shift from simple storage to disk arrays.
It is difficult to maintain multiplatform, multi vendor
Broadly categorised three basic components are:
networked environment
1.Server 2. SAN Infrastructure 3. Storage
Disks and tape drives attached to one client or server Each of these can be broken down into even more finite
cannot be used by other systems. Organizations still components such as:
need to purchase storage capacity even though free A. Host bus adapter (HBA)
capacity is available in another platform, thus leading B. Fiber cabling
to ineffective use of hardware resources.
C. Fibre channel switch/hub
Information needs to be shared across networks. D. Storage array
Movement of large files of data across LAN/WAN to E. Management system
create duplicate copies results in significant
performance degradation along with inconsistency in A. Host Bus Adapter (HBA)
mission-critical applications.
HBA provides low level interface functionality with
minimal processor involvement so the CPU load is reduced
Avita Katal is with Department of Computer Science Engg. of Graphic
and it is freeze to perform application processing.
Era University, Dehradun, India (email: avita207@gmail.com).
Niharika Gupta is with Department of Computer Network Engg.of
Graphic Era University,Dehradun,India(email: niharikagupta252@gmail.com)
Seepaj Sharma is with Department of computer Network Engg.of
Graphic Era University,Dehradun,India (email: seepaj257@gmail.com).
R. H. Goudar is Associate professor in Graphic Era University,
Dehradun,India (email: rhgoudar@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

B. Fiber cabling
It can be optical or copper (usually optical). Two types of
optical cables are used, multi mode and single mode.
Multimode fiber (MMF) comes in two diameters 50
24

micron and 62.5 micron, used for short distance because

light degrades due to modal dispersion (used to connect D. Storage Array
The fundamental purpose of any SAN is to provide access
nodes to switches and hubs).Single mode fiber (SMF) is
to storage arrays. There can be two types of storage arrays:
used for longer distances and has a diameter of 7-9 microns
Just a Bunch of Disks (JBOD) and Redundant Array Of
(9 microns being the most common),used to connect two
Independent Disks (RAID).Storage arrays support many of
switches together in a SAN.
the features required in a SAN such as:
C. Fiber channel switches or hubs:
1) High Availability/Redundancy 2) Improved Performance
These are used to connect the nodes. Hubs physically
3) Business Continuity 4) Multiple host connect
connect the
nodes in a logical loop or physical star
topology but they are no longer used in SAN because of
E. SAN management software
availability of low cost and high performance switches.
These are the Suite of tools, used to manage interface
Switches are more intelligent and can route data from one
between host and storage arrays. It provides the core
physical port to another.
functionality including mapping of storage devices,
switches, servers, monitoring and alerting for the
1) Connectivity: Optical and electrical connectors are
discovered devices and finally logical partitioning of SAN.
used in SAN. The SC connector is a standard
Additionally it provides management of SAN components
connector for fiber optic cable used for 1 GB. SC
such as HBA, storage devices, switches and also offers a
connector uses plug and socket which is locked in
central location for full view of SAN, thereby reducing
place with a half twist bayonet lock.
complexity.
SAN management functions:
2) Fabric: A virtual address space in which all storage
nodes communicate with each other. It can be created
by a switch or a group of switches connected
together.

1) Infrastructure protection. 2) Provisioning.

3) Capacity management 4) Performance management
IV. FABRIC MANAGEMENT

3) Arbitrated Loop (FC-AL): The connections used are

low cost. When a node in FC-AL topology attempts
to transmit data, the node sends an Arbitration frame
(ARB) to each node on the loop. When the initiator
node receives the ARB request it sent, it gains control
of the loop. The initiator then transmits data to the
node. The priority is determined on the basis of
Arbitrated Loop Physical Address (AL-PA) and Loop
id.

Switch vendors embed their own management software on

each of their devices. An administrator can access either a
graphical management tool (GUI) or command line interface
(CLI) (via TELNET session).The management activities
include: Switch hardware monitoring, Fabric activity and
Fabric monitoring. In addition to these tools, SAN
management packages are being developed by the third parties
such as storage resource management software (SRM).

4) Fibre Channel Switched Fabric (FC-SW): Each

device has a unique dedicated I/O path to the device
it is communicating with. FC-SW is scalable to
millions of connections and has higher cost.

A. Zoning
Zoning is a FC switch function that enables nodes within the
fabric to be logically segmented into groups that can
communicate with each other [3]. When a port logs on to the
fabric it goes through a device process with other devices
registered in the name server. The zoning function controls
this process by allowing only the members in the same zone
to establish these link level services. Multiple zone sets may
be defined in a fabric. But only one zone set can be active at
a time.
There are three types of zoning:
1) WWN OR Soft zoning uses the WWN to define the
zone. Major advantage is flexibility. It allows the
SAN to be recabled without reconfiguring the zone
information because the WWN is static to the node
port.
2) Port zoning or hard zoning uses the FC addresses of
the physical ports to define zones. Although this
method is secure, it requires updating of zoning
configuration information in the event of fabric
reconfiguration.
3) Mixed zoning combines the quality of both WWN
and port zoning.

5) Topology of Fabric:
Mesh: In this the servers are maximum of one Inter
Switch Link (ISL) hop away The Host and storage
may be located anywhere in the fabric and the Fabric
management is made easier. There are two types of
mesh- partial mesh and full mesh.
Simple Core Edge Fabric: It can be two or three
tiers- Single core tier, one or two edge tiers. In this
the switches are connected in hub and spoke
configuration. The edge tier usually comprises
switches and offers an inexpensive approach to
adding more hosts in a fabric and the core tier usually
comprises enterprise directors that ensure high fabric
availability.
6)

Addressing: Fibre channel devices are identified by

a 64 bit identifier called World Wide Names
(WWN).They are burned into hardware or assigned
through software.
25

Large
investments
implementation.

are

required

for

effective

Table I.
COST COMPARISON BETWEEN FIBRE AND IP SAN

Fig.1. zoning
For-example:
WWN zone =10:00:00:00:C9:20: DC: 40; 50:06:04:82:E8:91:2B:96
Port zone1= 21, 1; 25, 3
Mixed zone= 10:00:00:00:C9:20:DE:56; PORT 21/1

B. Logical Unit Number (LUN) masking

LUN masking restricts volume access to specific hosts
and/or host clusters.When server logs on to the switched
fabric; the WWNs of their HBAs passed to the storage
fibre adapter ports in their respective zones. A storage
system records the connection and builds the filter listing the
storage devices (LUNs) available to that WWN. The HBA
port then sends I/O directed at a particular LUN to storage
fibre adapter. Each request includes the identity of
requesting HBA and identity of requested storage device,
with its storage fibre adapter and logical unit number (LUN).
The storage array processes request to verify that HBA is
allowed to access that LUN on the specified port. Any
request for a LUN that HBA doesnt have access returns an
error to server.

Component

Fibre
List
Price of
Tested

iSCSI Price
of
Tested

iSCSI
Minimum
Price

HBA
Driver

$1000
(included
with
HBA)

Switch(per
port)
Network
interface
card(NIC)
Total
Savings on IP
SAN

$1000

$400
Free for
Linux,Windows,
Novell,NetApp
and HP-UX
$70-250

$400
Free for
Linux,Windows,
Novell, NetApp
and HP-UX
$0

N/A

$50-100

$o

$2000

$50-750
63-74%

$400
80%

VI. IP SAN
A. Advantages of IP SAN over FC SAN
Alternative approach is to create a Fibre channel SAN using
internet protocol or IP SAN.
1) IP management is easier as many administrators are
familiar with it.
2) Existing network Infrastructure can be leveraged,
reducing the cost when compared with an investment
in new SAN hardware and software.
3) IP supports multivendor interoperability.
4) Many long distance disaster recovery solutions
already leverage IP-based Networks.
Standard fibre channel distance include :
Gbps multimode fibre with maximum distance of
500m .
1 or 2 Gbps single mode fibre with maximum
distance of 10kms.
With DWDM (Dense Wavelength Division
Multiplexing) up to 200 km.
5) At higher link speeds, IP can handle synchronous
applications such as:
Disk mirroring
Shared storage
Data sharing
6) Many robust and mature security options are
available for IP SAN.

Fig.2. LUN masking

V. FC SAN CHALLENGES
A. Infrastructure
New separate networks are required demands FC switches,
hubs and bridges with specific GBICs and cabling. In
addition, each host requires dedicated FC HBAs.

B. Protocols used by IP SAN

1) Internet Small Computer Interface (iSCSI)
2) Fibre channel Over IP (FCIP)
3) Internet Fibre Channel Protocol (iFCP)

B. Skill-sets
As a relatively new technology, FC SAN administrative
skills need to be cultivated.

C. Storage Deployment models of IP SAN

1) Native
All Ethernet(No Fibre channel)
iSCSI Protocol
Ethernet Switches and Routers

C. Cost

26

Table III
DIFFERENCE BETWEEN FCIP AND iFCP PROTOCOL

2) Bridging
Servers- Ethernet Attached
Storage-FC attached
iSCSI Protocol

FCIP

3) Extension
Servers and Storage- SAN attached
FCIP or iFCP Protocol
Provides Connectivity across large distances
Table II
DIFFERENCE BETWEEN iSCSI AND FC (FCIP AND iFCP)

iSCSI
Cost

Performance

security

It is designed to
run on IP
therefore
routable with
additional costs.

FC
Not always
acceptable and
affordable
technology
because of its
high price and
complexity.

Performance
considerations
concerning the
most resource
demanding
application.
However
encryption
performance
requires iSCSI
SAN in 10 GB
Ethernet that
allows to handle
any storage
application.

Performance
is same as for
iSCSI for
storage
application.

Doesnt use
zoning. It uses
authentication
technology
called
Challenge
handshake
authentication
protocol
(CHAP). To
protect data in
flight, it uses
IPsec
encryption.

Necessary to
use zones and
to mask all
authorized
volumes on
any disk. FCSP which is
analogous to
IPsec and
CHAP.

iFCP

The entire FC stack

including the lower
layers is placed onto
TCP/IP stack. Entire FC
frame
has
been
encapsulated as the IP
payload. No transport
services of TCP are
utilized.

The top layer of FC stack

is placed onto the existing
IP stack .Thus FC-4 layer
utilizes
the
services
provided.

It is a
protocol.

tunnelling

It is a gateway protocol
and provides dynamic
tunnelling.

FCIP provides SAN to

SAN connection

It provides device to
device communication.

Low cost as only FC to

IP gateway needs to be
installed

iFCP gateway for each

device is needed but with
the advantage that each
device
to
device
connection can utilize a
different transport level
service.

VII. Advanced Storage Technologies.

A. Content Addressable Storage
Content-addressed storage (CAS) is a method of
providing fast access to fixed content (data that is not
expected to be updated) by assigning it a permanent
place on disk.
The benefits of CAS include:
Immutability and authentication :A unique
Content Address is derived from the
content. It is used to enable Write Once
Read Many (WORM) media and and to
authenticate content. It protects against
malicious modifications.
Location independence: CAS completely
insulates the client application from the
physical location of the content. CAS
provides content mobility across physical
placement and geographic locations.
Single instance storage: CAS uses multiple
metadata tags, each tailored to specific
users requirements, can point at the same
piece of unique content
Faster record retrieval: CAS maintains all
content on-line. Thus, there is immediate,
rapid access to information.
Record-level retention, protection, and
disposition
Technology independence: Object based
systems are neutral to the storage media in
use, making it much easier to migrate to
27

E. The primary difference between IBM storage

services and those of EMC are in:
1) The services offered.
2) The geographical coverage model IBM has over
190,000 people in 160+ countries in professional
services, whereas EMC has only 38,000 people in its
entire company.

new storage without disturbing the integrity

of achieved materials.
Online (like Disk) : Immediate availability
of all content.
Optimized Total Cost Ownership (TCO).
Scalability.
B. Cloud Storage

VII. STORAGE COMPARISON AMONG PRODUCTS

OFFERED BY VARIOUS VENDORS

Cloud storage was developed independently from all

historical storage concepts, although it might appear
to be an evolution of CAS. Both are object-based, use
APIs rather than traditional storage protocols and
include per-object metadata. In fact, it is fairly
straightforward to integrate today's cloud storage
systems into applications developed to leverage CAS.
But cloud storage goes further in terms of application
integration and programmability.
The real benefit from cloud storage comes when
applications take advantage of its compelling
distribution, collaboration, and programmability
capabilities. LUNs served up by SAN arrays are
being hidden behind shared file systems in the server
virtualization space.
This is a necessary step to bring about a real storage
revolution that will see a transition from bulk
management of capacity to granular management of
data to integrated use of information.

Table IV.
COMPARISON AMONG STORAGE PRODUCTS OFFERED BY
VARIOUS VENDORS

VIII. STORAGE DIFFERENCES

There are huge differences in the way that EMC and IBM
approach the storage marketplace.
A. EMCs primary goal is to sell mainly disk based
subsystems and related services.
IBMs goal on the other hand, is to sell integrated
systems.
B. EMC strategy in storage is to simply sell storage
period.
EMC
doesnt
provide
operating
environments,
databases
or
development
environments and make only storage hardware and
storage management software.
IBM on the hand is a system infrastructure operating
environment/database/management storage developer
as well as a professional services provider.
C. From SAN perspective, both companies have a
flotilla of SAN offerings, all comparably priced and
with similar functionalities vendors always try to
compose a good total cost ownership (TCO) story.
IBMs DS8000 offers an optional 1, 2, 3 or 4 year
warranty, products offer different warranties.
EMCs Symmetrix and CLARiiON have a Standard
2 year warranties.
D. IBM has targeted products (the IBM System Storage
DS3000 Series and the IBM System Storage DS4700
Express) as part of its Express Advantage program
that combines hardware, software, services, and
financial solutions. These products compete head-on
with EMCs CLARiiON CX4 but are turnkey,
tightly-packaged solutions.

IX. CONCLUSION
SAN has also become an essential part of the business
and computing community. It is difficult to imagine anyone
involved in purchasing storage not investing SANs solutions
28

as part of their Enterprise. Almost 37% share of every storage

industry consists of SAN. Figuring out what direction to go
with storage is proving to be quite challenging as there are too
many variables like cost and TCO; satisfaction of needs and
preparation of growth; Reliability and failover options;
direction in which storage technology is heading to.
In SAN, there are typically only two vendors to pay attention
to Brocade and CISCO combined these two vendors dominate
the FC SAN switch market with some 90% of market share by
revenue according to DellOro group.
X. ACKNOWLEDGEMENT
We see an immense pleasure to present the paper during
M.Tech 1st year .We would like to thank our respected Sir
Dr. Rayan Goudar for his able guidance so that we were able
to complete this paper.
Last but not the least we would like to acknowledge the
support of our parents and our friends whose patience and
encouragement helped in completing this work into reality.
REFERENCES
[1] Jon Tate, Fabiano Lucchese, Richard Moore. Introduction
To Storage Area Networks (IBM).
[2] Anil Vasudeva, President, IMEX Research.SAS, NAS,SAN
Past , present and future ;1997-2000 IMEX Research Reprinted
from SMS Magazine.
[3] EMC Education Services. Storage Technology
Foundations Networked Storage Introduction; 2007
EMC Corporation.
[4] www.emc.com/products/category/storage.htm-unitedstates
[5] www.ibm.com/systems/storage/san
[6] www.emcstorageinfo.com
[7] SAN basics A technical white paper from METASTOR
Storage solution.
[8] SAN tutorial by Manhattaan Skyline Gmbh
[9] jisc technology and standards watch report .
SteveChidlow, University of LEEDS SAN design reference
guide.
[10] Clabby analytics advisory,Storage buying
criteria for small/medium enterprises.
[11] http://www.networkcomputing.com/cloudstorage.
[12] http://www.iscsistorage.com/ifcp.htm .

29

Comparative analysis of Image Compression Using

Image Interpolation and SPIHT encoding
Vaibhav Jain, Nitin Jain and Ashish Parikh
AbstractIn this paper we have discussed compression and
analysis of image using high resolution grid and SPIHT encoding
technique. Firstly the original image is converted in to low
resolution (less size) image, then quantization and SPIHT
encoding, techniques are applied to compress the image. To
restore the original image, the compressed image is
decompressed (dequantized & decoded) and interpolation
techniques using high resolution grid (tukey window and PG
algorithm) are applied to achieve high resolution decompressed
image. The PSNR of the high resolution decompressed image is
high compared to PSNR of low resolution original image. At last
we found the compression ratio is directly proportional to PSNR.

Hence conventional image compression techniques are

avoided in medical images. Medical Images need compression
in such a way that medically relevant information (called ROI
or region of interest) suffers minimum loss.
A variable bit stream coding is adopted for ROI image
compression. A ROI coding is simply an image compression
technique where different parts of the images are encoded at
different rates, therefore having different compression ratio
and PSNR. In a medical image, the area of the image over
which the information is present is called ROI. In medical
image compression scheme, a ROI can be determined by
manual outlining or by segmentation technique. So the
approach is to divide an image into regions and then apply
encoding with different rates over transformed data of those
images. So while encoding ROI part, quantization will
consider more distinct levels where as non ROI part should be
encoded by considering lesser number of quantization level.
The basis of any image compression is quantizing the
values of the images and encoding the quantized values with
the help of an encoding technique like entropy coding,
Huffman coding, zero tree coding, SPIHT and so on.
Quantization requires image values to be unique and need to
remove the sparse information. Therefore representing the
image in the transformed domain is important as against
spatial domain as the significance of the pixels in spatial
domain are not known and therefore assigning them bits is
difficult. Most widely used transformation for the image is
wavelet transform.
A better choice is to first scale down the image resolution
to an acceptable level (say 256x256), Apply compression and
store or transmits. At the decoder, the image must be
uncompressed and then should be mapped to a high resolution
plane (1024x1024) using interpolation technique using
Papoulis-Gerchberg method.

KeywordsSPIHT, ROI Compression, MIC, Peak Signal to

Noise Ratio (PSNR), Compression Ratio (CR), Tukey-wind, PG
algorithm (Papoulis-Gerchberg method).

I.
INTRODUCTION
Image compression is the process of identifying and
removing redundant data from images and then encodes it
with a lossless or lossy encoder in such a way that the
information is represented with less number of bits than the
original image. Uncompressed high resolution images take lot
of memory. For example, a single small 4 4 size colour
picture, scanned at 300 dots per inch (dpi) with 24 bits/pixel
of true colour, will produce a file containing more than 4
megabytes of data. This picture requires more than one minute
for transmission by a typical transmission line (64k bit/second
ISDN). Therefore large image files remain a major bottleneck
in a distributed environment. This problem is generally
overcome by various image compression techniques like
JPEG compression. From the discussion it is clear that an
image compression is essentially a quantization technique.
Therefore at the receiver when the image is represented, there
will be information loss which affects the overall resolution
and clarity of the images. This is a major problem in medical
images.
With increasing number of medical image acquisition
every day, storage, transmission and information preservation
in such images has become a huge challenge. In this work we
addressed this issue by proposing a novel technique for
medical image compression and by showing the efficiency of
the same.
Medical images are very sensitive to losses as the details
are critical in terms of diagnosis and medical observation.

II.

PAPER OBJECTIVE

This project is designed to achieve a high resolution

image with low memory occupancy from a high resolution
image with low memory occupancy, without loss in the image
quality. In other words, the input image for this project is a
high resolution image. The high resolution image is
compressed using the SPIHT Coding. Now the compressed
image is converted into a high resolution image by creating a
high resolution grid and projecting this compressed image
onto the high resolution grid. By using SPIHT Coding is that
the image is compressed with minimum loss in quality.

Vaibhav Jain, Nitin Jain and Ashish Parikh are with Department of
Electronics and communication Engineering, MIT Mandsaur, (email:
vaibhav.jain@mitmandsaur.info,
nitin.jain@mitmandsaur.info
and
ashish.parikh@mitmandsaur.info).

978-1-4673-0455-9/12/$31.00 2012 IEEE

30

III.

VI.

SCOPE OF PROJECT

There are many methods of lossless compression which

are discussed in the forth coming sections. By using this
project both colour and gray scale images can be processed
and their respective high quality high resolution images can be
obtained. In terms of efficiency, this project is much superior
to other methods of image compression and retrieval in the
sense that this project produces effective PSNR and
Normalized Cross Correlation (NCC). In this project, care is
taken to register the input image without any loss. But as there
is no integration mechanism involved for frame by frame
storage, only steady images can be compressed and their high
resolution outputs can be produced. By introducing an
integration mechanism of frame by frame storage of the
processed input images, we can extend the same concept of
first compressing and retrieving the same on a higher
resolution to even video images. If the same concept of first
compressing and retrieving on a high resolution is applied to
video images, we can save large memory spaces, due to which
the videos can be downloaded as uploaded very fastly. Apart
from fast access of the large video file, less storage memory is
required so that many such files can be stored in a low
memory space.
IV.

IMAGE PROJECTION AND INTERPOLATION

Figure Simple representation of image projection from low resolution image

to high resolution image

Figure describes the two steps graphically. On the left hand

side four low-res images are shown (pixel values at integer
pixel only). Motion estimation is used to estimate the pixel
positions of the three images with respect to the 1st image.
Note that these pixel positions would not be at integer values,
but can take any real value. Once this information is
calculated accurately, it is possible to project this information
on a desired high-resolution grid.
Before delving into the solution, lets first try to
understand what are we trying to achieve. Lets say we start
with a high-resolution image. Then we down sample it
(without low-pass filtering). So, we have aliasing in the down
sampled images. Now, in real-life we will be given these
down-sampled images with aliasing and our goal is to create
an HR image from them. So, basically as shown in the figure
below, it boils down to finding the lost high-freq components
and fixing the aliased low-freq values in the HR image. The
Papoulis-Gerchberg algorithm (discussed in more detail below)
along with POCS is used to solve this problem. It concentrates
mainly on fixing the low-freq components, but it turns out that
this algorithm also gives us some high-freq components
depending on the information in the LR images.
The two steps used to solve this problem are shown
below. The detail of each step is given in the following
sections.

TECHNICAL APPROACH

The coding of this project is done using Matlab Software.

The high resolution input image is compressed to a low
resolution image using SPIHT Codes. The compressed low
resolution image is to be scaled. In other words, a scaling
factor is selected and a new high resolution grid is created
which is scaling factor times the dimensions of the low
resolution grid. After the high resolution grid is created, now
we should determine the new pixel values of each pixel in the
high resolution grid. This is done by interpolation i.e. the
known values are assigned directly and the unknown values
of the pixels are determined by knowing the shift and rotate
angles whose relations are explained in the coming sections
and applying these shift and rotate angles to the known pixel
values. Finally, all the pixel values of the high resolution grid
are determined and stored to achieve the high resolution
image with superior image quality and low memory
occupancy.
V.
PROPOSED WORK
Scale down or resize the image
Apply SPIHT or Quad tree encoding to the sub
images or sub band images.
Store number of levels of decomposition in the
encoded data.
Decode data using SPIHT decoding
Apply Inverse transform
Use Projection technique to scale up the low resolution
image to high resolution one.

31

Name
image

of

the

PSNR of high
resolution
decompressed
image
obtained
by
image
interpolation (db)

College logo

35.8311

PSNR of low
resolution
decompressed
image
obtained by
eleven
iteration
(db)
27.4939

Lena image
Bird image
vaibhav
My guide

35.7453
36.1636
37.8634
36.8792

27.7649
25.404
28.3089
27.9604

Fig. 3.Various operations done on the image before applying P-G Algorithm
in step 1

Graph construct in accordance with result analysis table

Various operations done on the image after step 1.

VII.
RESULTS & OBSERVATION
Experiments are performed on various images capture from
mobile phones and digital camera and compare PSNR of low
resolution image and high resolution image. In my technique
first I convert original image in to low resolution then
quantization and SPIHT encoding will be done after then
decoding of image will be done at receiver side I done eleven
iteration for decompression of image to original image but at
this stage image is in low resolution and has low PSNR so I
done something new to increase the PSNR value at this stage
so I use tukey window and pg algorithm to increase PSNR
value.
To prove my concept I perform operation on three image
as shown in table

College logo Decompressed Low Resolution image after 11

Iteration.

32

Comparison between low resolution and high resolution

My image Decompressed Low Resolution image after 11

image in terms of PSNR of College logo.

Iteration.

Lena image Decompressed Low Resolution image after 11

Comparison betweens low resolution and high resolution

Iteration.

image in terms of PSNR of my image

Comparison between low resolution and high resolution

My guide Decompressed Low Resolution image after 11

image in terms of PSNR of Lena image.

iteration.

33

[3]
[4]

[5]

[6]
[7]

Comparison between low resolution and high resolution

image in terms of PSNR of my guide image.

[8]

VIII.
CONCLUSION & FUTURE SCOPE
There have been several techniques for image compression
like the most widely adopted JPEG, SPIHT and so on. But the
emergence of medical imaging and explode of images in this
field has resurfaced the need to tailor made medical image
compression techniques that can attain very high compression
ratio, without compromising the medical information stored in
the images. In this work we developed a two level
compression technique. In the first level the image is
compressed by rescaling the image to lower resolution,
followed by transforming the image with lifting integer
wavelets and encoded using SPIHT. At the decoder side, the
decompressed image is scaled back to the original resolution
using Papoulis-Gerchberg method of image interpolation.
Results show a significant performance improvement over
JPEG compression. But there are certain performance issues
that need to be addressed. Use of the proposed technique
introduces redundant colours in the edge of ROI and non ROI
region when the compression ratio is high (Such redundancy
may lead to misleading diagnosis of the image in automated
image processing technique. A future work of the proposed
technique will be to remove the extra shade, that appears in
the boundary of ROI part. This could be attained using either
fuzzy based techniques or by adopting image inpainting
techniques.

[9]

[10]
[11]

[12]
[13]

[14]

[15]

[16]

[17]
[18]

[19]

IX.
ACKNOWLEDGMENT
All acclamation to God, who has empowered and enabled us
to accomplish the task successfully. First of all we would like
to thank our God Almighty who really helps us in every
problem during the project. We would like to express our
sincere and humble gratitude to Almighty whose blessings,
help and guidance has been a real source of all our
achievements in our life.

[20]

[21]

[22]

REFERENCES
[1]

[2]

[23]

M.A. Ansari ,R.S. Anand, Recent Trends In Image Compression And

Its Application In Telemedicine And Teleconsultation, Xxxii National
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Debin Zhao, Y. K. Chan, And Wen Gao, Low-Complexity And LowMemory Entropy Coder For Image Compression, Ieee Transactions On

[24]

34

Circuits And Systems For Video Technology, Vol. 11, No. 10, October
2001
Ahmed Abu-Hajar And Ravi Sankar, Region Of Interest Coding Using
Partial-Spiht, Icassp, 2004, Ieee 2004
Marco Cagnazzo, Sara Parrilli, Giovanni Poggi, And Luisa Verdoliva,
Costs And Advantages Of Object-Based Image Coding With
Shape-Adaptivewavelet Transform, Hindawi Publishing Corporation
Eurasip Journal On Image And Video Processing Volume 2007,
Article Id 78323, 13 Pages,Doi:10.1155/2007/78323
Lin Ma, Feng Wu, Debin Zhao, Wen Gao, Siwei Ma, Learning-Based
Image Restoration For Compressed Image Through Neighboring
Embedding
David Gibson1, Michael Spann And Sandra I Woolley, Diagnostically
Lossless 3d Wavelet Compression For Digital Angiogram Video
Emmanuel Christophe, W. A. Pearlman, Three-Dimensional Spiht
Coding Of Hyperspectral Images With Random Access And
Resolution Scalability, Proceedings Of The 40th Asilomar Conference
On Signals, Systems, And Computers, October 29 - November 1, 2006,
Pacific Grove, Ca, Usa
D.Vijendra Babu, Dr.N.R.Alamelu, Wavelet Based Medical Image
Compression Using Roi Ezw, International Journal Of Recent Trends
In Engineering, Vol 1, No. 3, May 2009
M.Tamilarasi, Dr.V.Palanisamy, Fuzzy Based Image Compression On
ROI Using Optimized Directional Contourlet Transform, International
Journal Of Recent Trends In Engineering, Vol 2, No. 5, November
2009
Marcus Nystrm, Jerry D. Gibson, John B. Anderson, Multiple
Description Image Coding Using Regions Of Interest
Antnio J. R. Neves, Armando J. Pinho, Lossless Compression Of
Microarray Images Using Image-Dependent Finite-Context Models,
Ieee Transactions On Medical Imaging, Vol. 28, No. 2, February 2009
Aysegul Cuhadar And Sinan Tasdoken, Multiple, Arbitrary Shape ROI
Coding With Zerotree Based Wavelet Coders, Icassp 2003, Ieee-2003
G.R.Suresh, S.Sudha And R.Sukanesh, Performance
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Image Coding Scheme, Proceedings Of 2010 Ieee 17th International
Conference On Image Processing September 26-29, 2010, Hong Kong
D.A. Karras, S.A. Karkanis, D. E. Maroulis, Image Compression of
Medical Images Using the Wavelet Transform and Fuzzy c-means
Clustering on Regions of Interest
Chandrasekhar, Rahim, Shaik,Rajan., Ricean code based compression
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Systems and Cybernetics, 2009. IHMSC '09.
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International Conference on Electro/Information Technology, 2007
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CAS-22, 735742.

WebTrovert : Testing AutoSuggest Search

Results based on Recommendation System
algorithms
Akrita Agarwal , L. Annapoorani, Riya Tayal and Minakshi Gujral
Typically, the recommender system compares a user
profile to some reference characteristics, and seeks to predict
the 'rating' or 'preference' that a user would give to an item
they had not yet considered.

Abstract WebTrovert is a recommendation system

which is based on practically designed algorithms,

having the subsystems: search and suggestions. It
emulates a social networking platform holding user
information and their data in form of documents and
videos.

Our recommendation systems uses the hybrid filtering[1] to

display the PULL and the PUSH, both of which work on the
type of the user. Either the user is registered(personalised) or
new(non personalised) . Here we list the various algorithms
used in the paper, that perform the recommendation task
making use of hybrid filtering.

WebTrovert incorporates autosuggest search and

suggestions to enhance the productivity and user
friendliness of the website.
In this paper, we illustrate the efficiency of the system by
generating the test cases and results.

In-text Impact Index[2]

General Popularity[1]
Rejection algorithm[1]
Item to Item Based Collaborative Filtering[5]
Distance Similarity Matrix[1]

I. INTRODUCTION
Our Recommendation System proposal is based on the
approach of :
pull and push [4]

TABLE I
THE HYBRID RECOMMENDATION SYSTEM DIVISIONAL WORK FLOW -1[1]

The user makes a specific request for information with

PULL and the user is given information he did not specially
request with PUSH

NEW USER

Content
Filtering

Based

Search
(PULL)
Suggestions
(PUSH)

In-text
Impact
Index
Distance Similarity
Matrix

Collaborative
Filtering
General
Popularity
General
Popularity

TABLE II
THE HYBRID RECOMMENDATION SYSTEM DIVISIONAL WORK FLOW -2[1]

EXISTING
USER
Fig. 1 A popular website screenshot illustrating the concept
of PULL vs PUSH

Search
(PULL)

Suggestions
(PUSH)
Akrita agarwal , L. annapoorani , Riya Tayal and Minakshi Gujral are
with the Computer Science Department , Jaypee Institute Of Information
and Technology(email: akrita.ag@gmail.com , annapoorani.ln@gmail.com,
tayal.riya@gmail.com and minakshi.gujral@jiit.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

36

Content
Based
Filtering
In-text
Impact
Index
Rejection
algorithm
Distance Similarity
Matrix
Rejection
algorithm

Collaborative Filtering
General Popularity

Item to Item Based

Collaborative Filtering
General Popularity

In this paper we try to illustrate the test results for the

recommendation algorithms and describe the test case
documents for each of the algorithms mentioned.
II. RETROSPECTING THE SEARCH SYSTEM
Websites must implement the search system efficiently for a
user friendly browsing.
In the following sections we briefly state the algorithms and
provide the detailed analysis of the efficiency of a search
system , webtrovert[1] . It implements the recommender
systems using an autocomplete that adds real time
computing to the search.
A.In-text Impact Index factor (ItIF)
Here we use of the most widely applied IR techniques for
assisting the users in finding their information, the keywordbased search, as adopted by many Web search engines. The
input requirements of ItIF are the basic database availability
and run time access, however the prior familiarity with the
system, its components, structure, users and the data is not
required.

Fig. 1 Webtrovert view of general search result for any text

The test case document for the Intext Algorithm:

TABLE III
TEST CASE DOCUMENT FOR I NTEXT ALGORITHM

Test case
ID :
Purpose
Preconditio
ns

Test data
Steps

Notes and
Questions

Intext Algorithm
Takes any kind of input string and searches
in the database for similar search results

Fig. 2 A database view of the test dataset in mysql

B. General Popularity Algorithm

We know from the Theory Of Conformity[6] that most users
tend to select choices that are popular among the masses .
Thus in this algorithm, we draw preferences on the input
data set based on their General Popularity.

The string should exist in the database.

"
"
,
"hello","123",12hello","!@#","!@#hello","1
2!@#" .
Enter the string in the search box
The entered string is searched in the
database with the name and the description.
The search result is displayed as the user
types the rest of the string.
EXPECTED OUTPUT : The test data set is
verified to be VALID.
The user need not be logged in to start this
search.

The result set of ItIF is used as the input set for my General
Popularity algorithm which acts as a sorting filter for the
result set of ItIF to generate the user-popular result set.
In our test dataset, we make use of the number of views
property on a document (could be a multimedia as well) to
draw the results on the General Popularity Algorithm.
The number of views indicate the average popularity of
the item.

The Intext Algorithm implementation is shown in Fig. 1 and

Fig 2.
A user searches for rome (Fig. 1) and all the results
available after searching in the database (Fig. 2) are
displayed in the autosuggest box.

37

TABLE IV
TEST CASE DOCUMENT OF GENERAL POPULARITY ALGORITHM

Test case
ID :

or not. More the number of views , more popular is the video

or document. So the views of Blink of an Eye is highest
with 5 views followed by The Drop with 4 views and the
rest in decreasing order.

General Popularity Algorithm

Purpose

Precondition
Test data
Steps

Gives the result of the most popular videos

and documents.
The user should be logged in and the
videos and documents should exist for the
users to see.
The videos and documents .
The user logs in.

C. Rejection algorithm
The rejection algorithm works on the principle that user may
not like some results appearing in his Search result and
thus may wish to remove the results. The rejection algorithm
uses the result set of our ItIF and General Popularity as its
input set.
Rejection algorithm is a personalized algorithm and works
exactly according to user interests. However it cannot work
independently since it suffers coldstart problems. Thus when
working with ItIF and general popularity, it removes any
element of overspecialization and doesnt suffer from
coldstart problems as well.

On the required page , the recommended

result is shown.
EXPECTED OUTPUT : The recommended
video or document is viewed by the user.
Notes
and
Questions

This does not suffer from the cold start

problem.

TABLE V
REJECTION ALGORITHM:

TEST CASE DOCUMENT OF

Test case
ID :
Purpose
Preconditions
Test data
Steps

Notes
and
Questions

Fig. 3 webtrovert view of most popular items

Rejection Algorithm
When a result is being searched, the user
can reject a particular search result as per
his/her choice.
The user has to be logged in to start this
search.
delete item,keep item
Enter the string in the search box
The entered string is searched in the
database with the name and the
description.
The search result is displayed as the user
types the rest of the string.
The search results can be rejected by
clicking on the "cross".
The result once rejected by the user will
never be shown in his further searches.

Fig. 5 Webtrovert view of general search result for any text.

Fig. 4 A database view of the test dataset for most popular views in order of
views.

Figure 3 and figure 4 show the General Popularity

Algorithm. As one can notice that the number of views on a
paricular video or a document decides whether it is popular
38

TABLE VI
TEST CASE DOCUMENT OF I TEM TO I TEM BASED COLLABORATIVE FILTERING

Test case ID
Purpose
Preconditio
n

Fig. 6 A database view of the rejection result table updated, in mysql.

Fig. 5 ,Fig. 6 and Fig. 7 illustrate the result of Rejection

Algorithm.After a user rejects a particular result as
illustrated in Fig. 5 , it is stored in a table as shown in Fig. 6
where the user name and the document/video url is stored.
On the next search by the user , that particular search is not
shown as illustrated in Fig. 7.

Test data
Steps

Fig. 7 webtrovert implementation of Rejection algorithm

III. RETROSPECTING THE SUGGESTION SYSTEM

WebTrovert[1] implements the search system along with
another system , the suggestion system . It gives the system
an ability to intelligently suggest to users , content they
might like , irrespective of what they might actually be
looking for at that moment .
The suggestion system is implemented via the following
algorithms , given in brief with their formal test results .

Item to Item Collaborative Algorithm

The likes and the name of videos and
documents are matched to improve the
recommendation system
The user should be logged in and the likes
should be there for any video or document.
User 1 (L-vid4,vid6,vid10 D-adobe1,intel2)
User 2 (L-vid4,vid5,vid6 D-intel2,IBM5)
User
3
(L-vid1,vid2,vid3
Dintel3,Microsoft1)
Like on any video or document.
The corelation coefficient is noted . (i.e. the
likes.)
The "cosine similarity" factor in the
database is updated according to the relative
likes of other users for that video or
document.
More the similarity , the higher the cosine
similarity given to it and better the result
and vice versa.
EXPECTED
RESULT:
User 1 (L-vid4,vid10
D-adobe1)
User 2 (L-vid4,vid5,
D-intel2)
User 3 (L-vid1
D-intel2)
So when a video4 is recommended , video5
will also be recommended for User 1 and
User 2 and the same with intel2 for User 2
and User 3.

B. Distance Similarity Matrix

This algorithm works on the basis that if two documents are
very similar to each other, then if one is recommended, then
the other can be recommended with a conviction that it is
relevant as well .
Two documents are compared on their similarity levels by
comparing them via Text compare method of Levenshtein
function, distance similarity starts functioning when an item
is either uploaded on the web or updated.
Thus for every suggested item, we have a list of distance
similar items too, corresponding to each suggestion.

A. Item to Item Based Collaborative Filtering

Item-to-item Based collaborative filtering analyzes user
interests to suggest him other content , that the user might
like. It focuses on finding similar items of interests, not
similar users.
Every time the user likes an item, a correlation relationship
matrix[1] is updated which predicts the other content the
user might like and suggests them.
Therefore, for each of the users liked items, the algorithm
attempts to find similar items by creating the corresponding
cosine similarity matrix[1]. It then, aggregates the similar
items and recommends them.
Item to item algorithm is highly personalized since it
considers user interests. It is the user customized version of
our general popularity algorithm. However it may suffer
from overspecialization, a problem we can sort out by
applying rejection algorithm and coldstart, which is solved
by replacing item to item functionality by general popularity
till enough acquaintance with the system is obtained or
enough database is available for a useful computation.

TEST CASE DOCUMENT OF

Test case ID
Purpose
Preconditio
ns
Test data
Steps

39

TABLE VII
D ISTANCE SIMILARITY ALGORITHM.

Distance Similarity Algorithm

The documents and the videos are matched
according to their similarity between the
name and description.
The database needs to have valid document
and video name and desciption.
("hello","hell"),("adobe","fun"),("adobe,"hel
lo")
The document and the video is uploaded.

efficiency and practicality , thus opening up avenues for

many other websites to improve upon their search and
suggestion systems. All the algorithms illustrated in this
paper exist in the universe as concepts , however we have
modified them to adapt to the system requirements . A
feature summary along with a camparison study with other
algorithms is given in the table.

The name and the description is matched

with other project names and desciptions.
Less the similarity , the higher the dissimilarity coefficient given to it and vice
versa.
EXPECTED
("hello","hell") =1
("adobe","fruit") =5
("adobe,"hello") = 4
Notes and
Questions

RESULT:
//most similar
//most dis-similar

Features
Compari
-son

This helps in a efficient recommending

system.

Infinite
result set
Personali
sed
Coldstart

it gives the system an ability to intelligently suggest to users

, content they might like , irrespective of what they might
actually be looking for at that moment .

TABLE III
FEATURE COMPARISON STUDY OF RECOMMENDED ALGORITHMS
In text General
Rejection
Item to Distance
impact
Popularit algorithm
item
similaritfactor
-y
based
y
filtering

Non
customiz
ed
Over
Specializ
ation

V. AUTHORS CONTRIBUTION

We have developed a system with algorithms , that are

available in one form or the other and are concepts that form
the solutions of many pratical problems . However , till now
mostly they have been used in e-commerce , or some
mathematical problems ; with little reference to the problem
of enhancing the working on a search engine and the
suggestions .

Fig. 8 .The table showing the distance between the names of two related
documents.

Fig. 8 and Fig. 9 show the Distance Similarity Matrix .

The source shows the item to be matched and the field
shows the item that is being matched. The value gives the
number of characters needed to change the field into
value.
As one can see from Figure 5.2, the sourceid is matrice
algorithm and the fieldid is Peer-to-Peer Search and the
value indicates the number of conversions required to
convert the field to source i.e.14, which is the distance of
the field from the source . Therefore , less the distance value
,more the similarity .

TABLE IV AUTHORS CONTRIBUTION

Algorith
m

Popular Real World

Usage

How we
algorithms

In text
impact
factor

Search a keyword
that matches the
exact query

General
popularit
y

To calculate the
popularity of any
item ; negative or
positive
Calculating the most
accurate value in a
given problem by
rejecting the less
probable solutions.
Used
by
many
websites
as
an
effective tool for ecommerce

The result forms the data

set for other algos ,
reducing the original data
set almost infintly
Sorts these results based on
more popular choices

Rejectio
n
algorith
m
Item to
Item
Based
Collabor
ative
Filtering
Distance
Similarit
y matrix

Fig. 9The table showing the name with the corresponding ids.
IV. CONCLUSION

We have seen that a recommendation system such as

WEBtrovert[1] gives the desired results when tested on
methods of White-Box testing , thus emphasizing upon its
40

Used to compute the

distance
between
vectors

used

these

Gives the user a chance to

view
only
what
is
important to him/her

Peers think alike , so this

algorithm uses that and
gives a friend-based result.

This reduces all the

anamolies of the above
algorithms .

REFERENCES
[1]

[2]

[3]
[4]
[5]
[6]
[7]

[8]

WebTrovert : An AutoSuggest Search and Suggestions implementing

Recommendation System algorithms.Akrita Agarwal, L.Annapoorani,
Riya Tayal , Minakshi Gujral . Yet To Be Published
Bela Gipp, Jran Beel, and Christian Hentschel. Scienstein: A
Research Paper Recommender System. In Proceedings of the
International Conference on Emerging Trends in Computing
(ICETiC09), pages 309315
Vladimir I. Levenshtein. Binary codes capable of correcting deletions,
insertions, and reversals. Soviet Physics Doklady, 1966.
Information Seeking: Convergence of Search, Recommendations and
Advertising.
Hector Garcia-Molina Georgia Koutrika Aditya Parameswaran
Stanford University ,
ACM Transactions on Information Systems
Greg Linden, Brent Smith, and Jeremy York. Amazon.com
recommendations: Item-to-item collaborative ltering. IEEE Internet
Computing, January 2003.
Rashotte, L. (2007), Social influence, In Ritzer G. (eds.) Blackwell
Encyclopedia of Sociology, 4426-4429.

41

A Review on Development of Smart Grid

Technology in India and its Future Perspectives
Shiban Kanti Bala, Student Member, IEEE, B. Chitti Babu, Member, IEEE, and Shyamal Bala

Abstract-- India is truculent to meet the electric power demands

One of such incipient technology, Smart Grid (SG) plays a

very vital role in achieving the key technical benefits like
power loss reduction; refining quality of supply, peak
reduction, economic load dispatch etc. Smart Grid technology
has been a high priority topic of research and development in
many developing as well as developed countries. This
technology also has a dynamic role in remodelling the energy
scenario of the global market. Factors like policies, regulation,
efficiency of market, costs and benefits and services
normalizes the marketing strategy of the Smart Grid
technology. Other concerns like secure communication,
standard protocol, advance database management and efficient
architecture with ethical data exchange add to its essentials [3].
Such technology has a potential to prolific other technologies
like Flexible AC Transmission System (FACTS) and Wide
Area Monitoring (WAM) to redefine the capability of power
system engineering and unite the necessity of the rural,
suburban and urban regions across the globe under single roof
[4]. In addition, the technology employs the reduction of
carbon footprints and foot-dragging the greenhouse gas
emission. This paper designates about the Smart Grid
initiatives along with various examples of existing structures of
automation in India. It also reviews the encroachment made in
Smart Grid technology in R&D, initiated by various public and
private sector organizations supported by prominent
institutions across the globe. Limelight on the current and
future issues involved for the development of Smart Grid
technology for future demands has also been debated.
The organization of the paper is as follows: In section II, an
overview of the Indian Power market along with its current
strategy of power system is presented. Section III describes
the vision of India on Smart Grid (SG) technology along with
section IV debriefing about the prevailing units and its future
enactments. Section V reveals some of the required focus areas
and advent of enhanced smart grid technologies. Section VI is
dedicated to general conclusion followed by references.

of a fast expanding economy. Restructuring of the power industry

has only increased several challenges for the power system
engineers. The proposed vision of introducing viable Smart Grid
(SG) at various levels in the Indian power systems has
recommended that an advanced automation mechanism needs to
be adapted. Smart Grids are introduced to make the grid
operation smarter and intelligent. Smart grid operations, upon
appropriate deployment can open up new avenues and
opportunities with significant financial implications. This paper
presents various Smart grid initiatives and implications in the
context of power market evolution in India. Various examples of
existing structures of automation in India are employed to
underscore some of the views presented in this paper. It also
reviews the progress made in Smart grid technology research and
development since its inception. Attempts are made to highlight
the current and future issues involved for the development of
Smart Grid technology for future demands in Indian perspective.
Index Terms-- Smart Grid; Indian Electricity Act 2003;
Availability Based Tariff (ABT); Demand Side Management
(DSM); Renewable Energy; Rural Electrification (RE); Micro
Grid.

I. INTRODUCTION

HE economic growth of developing countries like India

depends heavily on reliability and eminence of its electric
power supply. Indian economy is anticipated to grow at 8 to
9% in 2010- 2011 fiscal year, which in the impending years is
set to reach double digit growth (10%+) [1]. But India suffers
from serious power shortage which is likely to worsen over the
next few decades. India has a power sector characterized by
deficient generation and high distribution losses. In addition to
that, abhorrent geological and environmental factors have
encouraged carbon footprints since its grass roots level of CO 2
emissions, greenhouse effect and the adverse effect of
globalization in the country [2]. This may cause instability in
the power system and problems like brownout and blackout
might arise. In order to prevent the occurrence of instability, it
is essential to upgrade the prevailing power systems.

II. OVERVIEW OF INDIA POWER MARKET AND ITS STRATEGY

The re-evaluation of the Indian Electricity Supply Act, 1948
and Indian Electricity Act, 1910, has led the Electricity Act
2003 which has facilitated government and many nongovernment organizations to participate and to alleviate the
electricity demand. The act redefines the power market
economy, protection of consumers interest and provision of

Shiban Kanti Bala and B.Chitti Babu are with the Department of Electrical
Engineering, National Institute of Technology, Rourklea-769008, India (eshibanbala@gmail.com, bcbabunitrkl@gmail.com).
Shyamal Bala is with Power Grid Corporation of India Limited (PGCIL),
Western Region (WR-II), Jabalpur, Madhya Pradesh, India (e-mail:
shyamal_bala@yahoo.co.in)

978-1-4673-0455-9/12/$31.00 2012 IEEE

42

power to urban, sub-urban and rural regions across the

country. The act recommends the provision for national policy,
Rural Electrification (RE), open access in transmission, phased
open access in distribution, mandatory state electricity
regularity commission (SERCs), license free generation and
distribution, power trading, mandatory metering, and stringent
penalties for theft of electricity [3]. In addition to these
guidelines, a concept called as Availability Based Tariff
(ABT) has also been implemented to bring effective day ahead
scheduling and frequency sensitive charges for the deviation
from the schedule for efficient real-time balancing and grid
discipline. Exclusive terms like fixed cost and variable cost,
and unscheduled interchange (UI) mechanism in ABT acts as a
balancing market in which real-time price of the electricity is
determined by the availability and its capacity to deliver GWs
on day-to-day basis, on scheduled energy production and
system frequency [5-7].
Indian power system has an installed capacity of around 164
GW and meets a peak demand of 103 GW. According to the
current five year plan (2007-2012) by the year 2012, the
installed capacity is estimated to be over 220 GW and the peak
demand is expected to be around 157 GW and is projected to
reach about 800 GW by next two decades [8-9]. However
certain complexities are envisaged in integrating IPPs into grid
such as, demarcation, scheduling, settlement and gaming [10].
But these issues are being addressed by proper technical and
regulatory initiatives. In addition to that, the transmission
sector has progressed in a very subsequent rate, currently at
installed capacity of 325,000 MVA at 765, 400, 220kV
voltage levels with 242,400 circuit kilometers (ckt-km) of
HVAC and HVDC transmission network, including 765kV
transmission system of 3810 ckt-km [8], [11]. On distribution
sector, the Ministry of Power has also maneuvered to leverage
the digital technology to transform and reshape the power
sector in India to make an open and flexible architecture so as
to meet the core challenges and burning issues, and get the
highest return on investment for the technology [8].
The Electricity Act 2003, created a liberal and competitive
environment, facilitating investments by removal of energy
barriers, redefining the role of system operation of the national
grids. New transmission pricing, loss allocation schemes,
introduction of ULDC scheme and Short Term Open Access
(STOA) schemes have been introduced based on distance and
direction so that power could be traded from any utility to any
utility across the nation on a non-discriminatory basis [12].
Currently, Indian transmission grid is operated by a pyramid of
1 NLDC, 5 RLDCs and 31 SLDCs, monitoring round the
clock with SCADA system enabled with fish as well as bird
eye view, along with advance wideband speech and data
communication infrastructure. In addition, other key features
like smart energy metering, CIM, Component Interface
Specification (CIS), synchrophasor technology, Wide Area
Monitoring (WAM) system using phasor measurements,
enhanced visualization and self-healing functions are being
exclusively employed [11].

III. VISION OF INDIA ON SMART GRID (SG) TECHNOLOGY

Due to the consequence of cutting edge technology,
buzzwords like energy conservation and emission reduction,
green energy, sustainable development, safety factor, reduction
of T&D losses, optimal utilization of assets, have turn out to
be the core of discussion. As India is struggling to meet its
electricity demands, both in terms of Energy and Peak Load,
Smart Grids can help better manage the shortage of power and
optimize the power grid status in the country. A Smart Grid
is a perception of remodeling the scenario of the nations
electric power grid, by the convergence of information and
operational technology applied to electrical grid, allowing
sustainable option to the customers and upgraded security,
reliability and efficiency to utilities [14]. The elite vision of
Smart Grid (SG) Technology allows energy to be generated,
transmitted, distributed and utilized more effectively and
efficiently.
Demand Side Management (DSM) is an essential practice
for optimized and effective use of electricity, particularly in
the developing countries like India where the demand is in
excess of the available generation. Such kind of non-technical
losses can be overcome by electricity grid intelligence [15],
which focuses on advanced control and communication
protocols integrated with the utility providing a complete
package for the requirement of Smart Grid.
With the introduction of the Indian Electricity Act 2003, the
APDRP was transformed to restructured APDRP (R-APDRP)
which has improvised the operation and control [7], [15], and
has attempted a seamless integration of generation (including
distributed energy resources (DER), transmission and
distributed system through usage of intervening information
technology (IT) that uses high speed computers and advance
communication network, and employing open standard with
vendor-neutrality is deemed a cornerstone for embracing the
up-and-coming conceptualization of Smart Grid for India
scenario.
A vivid study of the power scenario has been illustrated
each classified rendering to the timeline in brief. Introducing
with the power strategy management in the past, the whole
system was monitored and controlled using telephonic medium
which was purely a blue-collar job. The system was solely
dependent on a single generation unit or the interconnected
substations. On further progress in science and technology, the
system is monitored round the clock using advance data
communication protocols. As well the substation has the
islanding facility with immediate power backups to maintain
the grid stable.
India as a developing country, the scenario of the power
system changes in exponential basis. Moreover the system is
expected to be more reliable and flexible with its advancement
in data communication and data analysis facility. Fig. 1
illustrates about the advancement and it immediate results
during its implementation in future. The conclusive approach
for the Indian Smart Grid would be visualized accordingly,
with latest technological advancement and extensive features
as shown in Fig. 2 [16].
43

Fig.1. Smarter electricity systems

controls and monitoring technology, one of such is ADA [24].

Further researches are being carried out in some of the elite
institutes in the country in collaboration with some of the
various multinational companies and power sectors across the
nation.
V. ENHANCED SMART GRID TECHNOLOGY
Due to advent of advance information and communication
technology (ICT) and proliferation of green energy, its liable
that Smart Grid technology transforms to more superior and
advanced form. Some the newly innovated prospects like
renewable energy integration, rural electrification and micro
grid are to be featured in it [25].
A. Renewable Energy Integration
Present-day environmental awareness, resulting from coal
fired power station, has fortified interest in the development of
the modern smart grid technology and its integration with
green and sustainable energy. Table-2 provides and brief
analysis of the renewable energy development in India which
has been planned according to Five year Plans by the Indian
Government and the Ministry of New and Renewable Energy
(MNRE) [26].

Fig.2. Hierarchy of Indian Smart Grid

IV. SMART GRID INITIATIVES IN INDIA

As it has been acknowledged earlier that, Smart Grid
Technology has a widespread overview of transforming the
Indian power grid from technology based standard to
performance based standard. The Ministry of Power (MoP)
participated in the SMART 2020 event with The Climate
Group [17] and The Global e-Sustainability Initiative
(GeSI) in October 2008 which aimed to highlight the reports
relevant to key stakeholders in India [7]. Unfortunately, the
possible way forward has not yet been drilled out and is still
a question mark for the Government. But to facilitate demand
side management distribution networks has been fullyaugmented and upgraded for IT enabling, which has enhanced
the grid network with amended customer service.
Table-1 provides a brief analysis of some of the initiative
which has been taken under the supervision of many
government and private bodies and allies [18-23].
In the view of multitude that could be accrued, it is
suggested that there should be ample Government regulatory
support and policy initiatives to move towards Smart Grids.
India is in its nascent stage of implementing various other

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TABLE-2: INSTALLED CAPACITY OF RENEWABLE ENERGY IN

INDIA ACCORDING TO FIVE YEAR PLAN

44

RENEWABLE
ENERGY
RESOURCES

2007-2012
(in GW)

THROUGH 2012
(in GW)

THROUGH 2022
(in GW)

Wind

10.5

17

40

Hydro

1.4

3.5

6.5

Biomass

2.1

7.5

Solar

1.5

20

TOTAL

15

25

74

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TABLE-1: SMART GRID INITIATIVES IN INDIA BY VARIOUS ORGANIZATIONS

SMART GRID INITIATIVES IN INDIA

REGION/LOCATION OF IMPLEMENTATION

FACILITIES

NORTHERN REGION (NR-I and NR-II)

PMUs with GPS system, PDC at

NRLDC, smart load control, online condition monitoring, data
communication using fibre link

POWER GRID CORPORATION OF INDIA LIMITED

(PGCIL)
WESTERN REGION (WR-1 and WR-II)

CROMPTON GREAVES LIMITED (CGL)

NA

NORTH AND WEST DELHI

NORTH DELHI POWER LIMITED (NDPL)

NORTH AND WEST DELHI

BANGALORE ELECTRICITY SUPPLY COMPANY

(BESCO)

8 DISTRICTS OF KARNATAKA

Intelligent monitoring and control

of the interconnected electric
power grid using Wide Area
Monitoring (WAM)
Integrated SCADA solution,
Smart bay control, Smart
protection IEDs, Smart Metering
solution, Smart load break
switches etc.
SCADA controlled grid station,
automatic meter infrastructure,
GSM based street lightning, GIS
platform with fault management
system
Development of SGMM, hi-tech
automation control and
monitoring, integration of grids,
improvise market strategy
T&D Loss reduction, ensuring
reliable and quality power with
least interruption, quick
turnaround, intelligent grid
monitoring

CONSORTIUMS & JOINT

VENTURES
M/s SEL group

TCS, IIT Mumbai, Tata Power

Project funded by CSIR under
NMITLI

Govt. of India

Tata Power, GE SmartGrid

Technologies and Govt. of Delhi

IBM, IUN Coalition

KPTCL

solar energy. Other energy sources like biomass, hydro and

geothermal sources have no such significant problem on
integration of grid.
Integration of renewables with the Smart Grids makes the
system more reliable and flexible in economic load dispatch,
not only in a specified location but in a wide area, even
between the nations. Nordic countries have practised such
grid integration among its neighbouring nations and still future
implementations are being focused on [28]. However,
forecasting approaches, design algorithm and other models are
being developed by many research analysis teams and are to be
established in many regions across the nationwide. Fig. 4
below represents a brief analysis of solicitation of renewables
in smart grid technology in its whole network of power system
engineering.
The volatility of fossil fuels has opened the ground for new
and renewable energy sources. With the inherent
unpredictability, the wind and the photo voltaic cell should be
supported by upcoming technologies like Micro Grid and ICT
[27]. Such emerging technologies will play a major role in
sustainable standard of living with economical insolence.
Large scale implementation of the renewables need to have
motivating government policies and well established
standards. Proper financial support is the governing factor for
a generation deficient and developing country like India.

Fig.3. Renewable Power in India by 2022 (by end of Thirteenth Five Year
Plan)

With the perception of renewable energy, the energy

converges to; reduction in carbon footprints, cleaner
environment, plug-in EV, decentralized power which increases
the quality of living standard and enhances the power system
quality along with the stability of the grid network. But in
contrary to that the power quality also bids some of the
potential challenges such as; voltage regulation, power system
transient and harmonics, reactive power compensation, grid
synchronization, energy storage, load management and poor
switching action etc., [27]. These problems are mainly
visualized for major renewable energy sources like wind and

45

Fig.4. Renewable energy sources in Smart Grid Technology

facilitate alternative approaches in rural electrification, single

light solar lightning system for remote villages and its hamlets.
Table-3 provides a detail analysis of various rural
electrification initiatives taken under the guidance of govt. of
India.
The present rural electrification scenario in the nation is still
uncertain, and is yet to be put on more exploration and verified
by the Ministry of Power (MoP) and Ministry of New and
Renewable Energy (MNRE). Over 500,000 thousand of
Indias 600,000 thousand villages are deemed to be electrified
[33]. As in such case, the Indian Government and Indian
businesses sector would need to invest on more such projects
and schemes, for low-footprint technologies, renewable
sources of energy, smart metering and resource efficient
infrastructure.
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B. Rural Electrification
Technologies are advancing day-by-day, Smart distribution
technologies allowing for increased levels of distributed
generation have a high potential to address rural electrification
needs and minimize the erection costs, transmission losses and
maintenance costs associated with large transmission grids.
Rural Electrification Corporation Limited (REC) is a leading
public infrastructure finance company in Indias power sector
which finances and promotes rural electrification projects
across the nation, operating through a network of 13 Project
offices and 5 Zonal offices. Along with the government of India
has launched various programs and schemes for the successful
promotion and implementation of rural electrification. One
such major scheme is Rajiv Gandhi Gramen Vidyutkaran
Yojana (RGGVY). Other schemes like, Pradhan Mantri
Garmodaya Yojana (PMGY), Three phase feeders-single
phasing and Smart metering, Kutir Jyoti Program (KJP),
Accelerated Rural Electrification Program (AREP), Rural
Electricity Supply Technology Mission (REST), Accelerated
Electrification of one hundred villages and 10 million
households, Remote Village Renewable Energy Programme
(RVREP) and Grid-connected Village Renewable Programme
(GVREP) [5], [29-30]. Some of them have got a remarkable
success but some of them got trapped in for their own interest
due to various non-technical issues [31], [32]. Some of the key
features of such projects are; to achieve 100% electrification of
all villages and habitation in India, provide electricity access to
all households, free-of-cost electricity to BPL households,
DDG system, smart based metering, promote fund, finance and

C. Micro Grid
The renewable resources in absolutely stand-alone mode do
not perform reasonable due to reliability issues subjected to
asymmetrical behaviour and disturbance in weather conditions.
As in such cases, the generators are supported by another
generating technology and/or storage devices consist of two or
more distributed generation system like; wind-PV, wind-diesel
etc., to supply a common load. Such a technology is called
Hybrid energy [34]. Hybrid connection of different resources
and/or storage devices improves the reliability of the system,
as well as is technically and economically sustainable a more
ethical approach is to congregate all such technology into
Micro Grid. There are some similarities between Smart Grid
and Micro Grids or smart Micro Grids. But, the scale, the type
of decision makers involved and the impending rate of growth
are different for both. Smart Grid are realized at the utility and
national grid level, concerning large transmission and
distribution lines, while the smart Micro Grid integrates
various DG technologies into electricity distribution networks
and have faster implementation [25], [34]. Smart Micro Grid
are to create perfect power system with smart technology,
redundancy, distributed generation and storage, cogeneration
or combines heat and power, improve voltage profile, cost
reduction, reduction in carbon credits, smart regulation of
appliances and load etc.. The Fig. 5 gives and overview of
Smart Micro grid architecture with several different AEDGs
split DC and AC buses with centralized and de-centralized
control
system
[35].

TABLE-3: RURAL ELECTRIFICATION SCHEMES INITIATED BY GOVERNMENT OF INDIA

RURAL
ELECTRIFICATION
SCHEMES
Rajiv Gandhi Grameen
Vidyutikaran Yojana
(RGGVY)
Three phase feedersingle phasing and
Smart card metering
Pradhan Mantri
Gramodaya Yojna
(PMGY)

YEAR OF
IMPLEMENTATION

OBJECTIVES OF THE SCHEME

GOVERNING BODY

2005

To achive 100% electrification of all villages and habitation in India to

provide electricity access to all households, to provide free-of-cost
electricity connection to BPL households

Rural Electrification Coorporation (REC)

NA

reliable service that meets the needs of agriculture, household supply,

irrigation facility etc

2000-2001

NA

46

Govt. of India

Rural Electrification Corporation (REC)

and State Electricity Board

Kutir Jyoti Program

(KJP)

1988-89

provide single point light connection, provide electricity access underdeveloped villiages

Govt. of India, later merged with RGGVY

under REC

Minimum Needs
Program (MNP)

NA

targeted states with less than 65% RE and provide 100% loan for last
mile connectivity

Govt. of India, later merged with RGGVY

under REC

Accelerated Rural
Electrification Program
(AREP)

2003-2004

electrification of non-electrified villages/electrification of hamlets/dalit

bastis/ tribal villages and electrification of households in the villages
through conventional and non-conventional source of energy

State utilities, Govt. of India, later merged

with RGGVY under REC

Rural Electricity Supply

Technology Mission
(REST)

2002

identify and adopt technological solutions, promote fund, finance and

facilitate alternative apporach to RE, coordinates with various ministries,
apex institutions and research organizations to facilitate meeting national
objectives, etc.

Govt. of India, later merged with RGGVY

under REC

2007-2012

development of solar thermal system and biogas plant

Planning Commision of India, Govt. of

India

2004-2005

merging interest subsidy scheme AREP and KJP, 40% capital subsidy
was provided for RE projects and balance amount as a soft term loan
through REC

Govt. of India, later merged with RGGVY

under REC

2007-2012

decentralized renewable electricity system, remote village solar lightning

programme (RVSLP)

Planning Commision of India, Govt. of

India

Grid-connected Village
Renewable Energy
Programme (GVREP)
Accelerated
Electrification of one
hundred villages and 10
million households
Remote Village
Renewable Energy
Programme (RVREP)

Fig.5. Smart Micro Grid Architecture

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India has just initiated their effort in this direction with two installed capacity and its remarks [34]. These projects are
by
the
public-private
partnerships.
small Micro Grid projects as described in Table-4, with brief supported
analysis of the projects along with the technology used,
TABLE-4: MICRO GRID PROJECTS
MICRO GRID PROJECTS

Sagar Island Micro Grid

Sundarban Region

Asia Pacific Partnership

(APP) Programmes or AsiaPacific Partnership
Development on Clean
Development and Climate

JOINT VENTURES

Funded by MNRE, Govt. of

India, Indo-Canadian
Enviornment Facility (ICEF)
and West Bengal Renewable
Energy Developmnet Agency
(WBREDA)

Leadership of US alongwith 6
nation (Japan, Australia,
Korea, China, India and
Canada)

TECHNOLOGY USED/
OBJECTIVES

INSTALLED CAPACITY

REMARKS

Solar Power Plant

300kW

Serving more than 1500

consumers

Solar Home Lightning

3200kW approx.

6000 nos. serving about

10,000 people

Bio-mass Gasifier

1000kW

Serving around 1000

consumer

Wind Farm

1000kW

Grid connected

Formation of Renewable
Energy and Distributed
Generation Task Force
(REDGTF) to conduct
preliminary and feasiblity
studies of development of SE

47

NA

Facilitate cost-effective,
cheaper, cleaner, more
efficient technologies and
practices, pollution reduction ,
energy security etc.

[12] Power Grid Corporation of Indian Limited, Unified Load Despatch &
Communications Scheme, Nomination for CSI-TCS Best IT Usage
Award, National IT Awards, 2003.
[13] Y. Pradeep, S. A. Khaparde, and Reji Kumar, Intelligent Grid
Initiatives in India, Proc. Of 14th IEEE International Conference on
Intelligent System Applications to Power Systems (ISAP), Kaoshiung,
Taiwan, Nov 4th9th,2007.
[14] J. P. Conti, Let the grid do the thinking, IET Power Engineer, pp. 34
37, April/May 2006.
[15] Balijepalli, V.S.K.M.; Khaparde, S.A.; Gupta, R.P.; , "Towards Indian
Smart Grids" , Proc. Of TENCON 2009 - 2009 IEEE Region 10
Conference , vol., no., pp.1-7, 23-26 Jan. 2009.
[16] Technology Roadmap, Smart Grid, International Energy Agency (IEA),
http://www.iea.org/papers/2011/smartgrids_roadmap.pdf, pp. 6, 2011
[17] The Climate Group (http://www.theclimategroup.org).
[18] Power Grid Corporation of India, 2011. [Online] Available:
http://powergridindia.com
[19] [Online] northen region load despatch center. available:
http://www.nrldc.org.
[20] [Online] westren region load despatch center. available:
http://www.wrldc.com.
[21] [Online], Available: http://www.cglonline.com/
[22] [Online], Available: http://www.ndpl.com/
[23] Bangalore Electricity Supply Company (BESCOM) website.
(http://www.bescom.org/)
[24] EPRI IntelliGrid, Distribution operations - overview of advanced
distribution automation. [Online]. Available: http://www.intelligrid.info.
[25] Balijepalli, V.S.K.M.; Khaparde, S.A.; , "Smart and sustainable energy
systems for developing countries: An Indian perspective," IEEE Power
and Energy Society General Meeting, 2011 , vol., no., pp.1-8, 24-29
July 2011
[26] Indian Renewable Energy Status Report, Background Report for DIREC
2010, NREL/TP-6A20-48948, October 2010
[27] Shafiullah, G.M.; Oo, A.M.T.; Jarvis, D.; Ali, A.B.M.S.; Wolfs, P.; ,
"Potential challenges: Integrating renewable energy with the smart grid,
Proc. Of IEEE 20th Australasian Universities Power Engineering
Conference (AUPEC), 2010, vol., no., pp.1-6, 5-8 Dec. 2010
[28] Technology Roadmap, Smart Grid, International Energy Agency (IEA),
http://www.iea.org/papers/2011/smartgrids_roadmap.pdf, pp. 15, 2011
[29] Rural Electrification Corporation of India Limited, [Online], Available :
http://recindia.nic.in/ /downloads/rggvy_brochure.pdf
[30] S.A. Khaparde, Infrastructure for Sustainable Development using
Renewable Energy Technologies in India in Proc. IEEE Power
Engineering Society General Meetin., pp. 16, Jun 2007
[31] M. Vijay, Improving Electricity Services in Rural India, Working
paper series, Centre on Globalization and sustainable development, The
Earth, Institute at Columbia University, Dec. 2004.
[32] Document from official website of Ministry of New and Renewable
Energy in India, Conceptual framework of REC mechanism in India,
[Online] http : //mnes.nic.in/pdf/MNRE REC Report.pdf. Nov. 2009.
[33] R. B. Hiremath, . N. Raghunandan, Decentralised renewable energy:
Scope, relevance and applications in the Indian context, Energy for
Sustainable Development, Vol.3, pp. 4-10, Sep. 2009. General Meeting.
[34] Balijepalli, et all; , Deployment of MicroGrids in India, IEEE Power
and Energy Society 2010 , vol.,no., pp.1-7, 25-29 July 2010.

VI. CONCLUSIONS
The paper presents a discussion on Indian Power Strategy
along with its pitfalls in various technical and non-technical
themes, with an organized approach to evolve the
conceptualization of Smart Grid. An overview of Indian Power
Market along with brief analysis about the power system units
is described. Power market in India is generally characterized
by the poor demand side management and response for lack of
proper infrastructure and awareness. Smart Grid Technology
can intuitively overcome these issues. In addition to that, it can
acknowledge reduction in line losses to overcome prevailing
power shortages, improve the reliability of supply, power
quality improvement and its management, safeguarding
revenues, preventing theft etc.. Model architecture as well as
Indias Smart Grid initiatives taken by the government and
many private bodies, are presented in the paper. Further,
various prospects of sustainable energy and off-grid solutions,
Rural Electrification (RE) and evolution of Micro Grid along
with various policies and regulatory affairs of India is also
presented here. In this connection, the paper should act as
advocate to bring forth the significance and fortification of
Smart Grid philosophy and implanting it on the basis of
proposed ideology in Indian subcontinent.
REFERENCES
[1]

Sinha, A.; Neogi, S.; Lahiri, R.N.; Chowdhury, S.; Chowdhury, S.P.;
Chakraborty, N.; , "Smart grid initiative for power distribution utility in
India," IEEE Power and Energy Society General Meeting, 2011 , vol.,
no., pp.1-8, 24-29 July 2011
[2] The Green Grid: Energy Savings and Carbon Emission Reductions
Enabled by a Smart Grid, EPRI Palo Alto, CA: 2008
[3] V.S.K. Murthy Balijepalli, S.A. Kharparde, R.P. Gupta, Yemula
Pradeep, SmartGrid Initiatives and Power Market in India Proc. Of
IEEE Power and Energy Society General Meeting, pp.1-7, Jul. 2010.
[4] Bossart, S.J.; Bean, J.E.; , "Metrics and benefits analysis and challenges
for Smart Grid field projects," Energytech, 2011 IEEE , vol., no., pp.15, 25-26 May 2011.
[5] Electricity Act 2003, Govt. of India, New Delhi, 2003
[6] Central Electricity Authority, 2010. [Online] Available :
http://www.cea.nic.in/reports/electricity_act2003.pdf
[7] Ministry of Power, Government of India Website. [Online] Available :
http://powermin.nic.in, Nov. 2009
[8] Pradeep, Y.; Thomas, J.; Sabari, C.L.; Balijepalli, V.S.K.M.;
Narasimhan, S.R.; Khaparde, S.A.; , "Towards usage of CIM in Indian
Power Sector," IEEE Power and Energy Society General Meeting, 2011
, vol., no., pp.1-7, 24-29 July 2011.
[9] Central
Electricity
Authority,
2010.
[Online]
Available:
http://www.cea.nic.in/reports/yearly/energy_generation_10_11.pdf.
[10] Raoot, M.G.; Pentayya, P.; Khaparde, S.A.; Usha, S.; , "Complexities in
integrating IPPs in Indian power system," IEEE Power and Energy
Society General Meeting, 2010, vol., no., pp.1-9, 25-29 July 2010.
[11] Central
Electricity
Authority,
2010.
[Online]
Available:
http://www.cea.nic.in/power sec reports/executive summary/2010
08/index.htm.

48

Improved Grid Synchronization Algorithm for DG

System using DSRF PLL under Grid Disturbances
Dushyant Sharma, Binita Sen and B. Chitti Babu, Member, IEEE

Abstract- Distributed Generation (DG) System is a small scale

electric power generation at or near the users facility as
opposed to the normal mode of centralized power generation. In
order to ensure safe and reliable operation of power system
based on DS, grid synchronization algorithm plays a very
important role. This paper presents a Double Synchronous
Reference Frame (DSRF) phase locked loop (PLL) based on
synthesis circuit for grid synchronization of distributed
generation (DG) system under grid disturbances. Due to flexible
in characteristics, DSRF PLL can accurately detect the phase
irrespective of the grid conditions. Further, it demonstrates how
the PLLs track the phase angle during some of the major
abnormal grid conditions like voltage unbalance, line to ground
fault and voltage sag etc. The superiority of DSRF PLL over
SRF PLL is well illustrated by the simulations results obtained
from MATLAB/SIMULINK environment.

Few of the earliest known synchronization algorithms

include Zero Crossing Detectors (ZCDs). The performance of
ZCDs is badly affected by power quality problems, especially
in the case of weak grid. The use of Phase Locked Loops
(PLLs) for grid synchronization has shown much better
results as it has been discussed in [5]. The Linear PLL is
mainly used to detect phase for single phase supply. For
balanced three phase supply, Synchronous Reference Frame
(SRF) PLL is used. But it is found that this PLL fails to detect
the phase for unbalanced supply [6]. Hence Decoupled
Double Synchronous Reference Frame (DDSRF) PLL was
proposed to deal with unbalanced grid conditions like voltage
unbalance [7]. DDSRF PLL can detect the positive sequence
phase angle in such conditions. Double Synchronous
Reference PLL based on synthesis circuit was proposed in [6]
which is more frequency adaptive and can be easily
implemented. Other PLL techniques used for grid
synchronization include Enhanced PLL (EPLL) which does
not use Synchronous Reference Frame but rather
synchronizes each phase of a 3 phase system independently
[8]. Other method used for detection of positive sequence is
the use Second Order Generalized Integrator (SOGI) [9-10].
The harmonic rejection capacity of this method is very high.
This paper presents a Double Synchronous Reference
Frame (DSRF) PLL (based on synthesis circuit) for grid
synchronization of DG system under grid disturbances. Due
to flexible in characteristics, DSRF PLL can accurately detect
the phase irrespective of the grid conditions along with
decoupling of positive and negative sequence components.
Further, it demonstrates how the PLLs can track the phase
angle during some of the major abnormal grid conditions like
voltage unbalance, line to ground fault and voltage sag etc.
The superiority of DSRF PLL over SRF PLL is well
illustrated by the simulations results obtained from
MATLAB/SIMULINK environment.
The organization of paper is as follows: The paper begins
with the description and mathematical analysis of SRF PLL
in the section II. In section III, detailed description and
mathematical analysis of Double Synchronous Reference
Frame (DSRF) PLL based on synthesis circuit is given.
Section-IV presents the results and discussion of DSRF PLL

Index TermsGrid synchronization, phase locked loop (PLL),

Dual SRF PLL, power quality, grid disturbances, positive and
negative sequence detection, synthesis circuit.

I. INTRODUCTION
The use of fossil fuels for electric power generation has
imposed several problems on the environment. This along
with the day by day increasing demands of power lead to a
demand of power generation using renewable energy sources,
which mainly include solar power, wind power, small hydro
power etc.[1-2].
The power generation systems based on renewable energy
systems are distributed near the user's facility. These
Distributed Generation (DG) systems need to be controlled
properly in order to ensure sinusoidal current injection into
the grid. However, they have a poor controllability due to
their intermittent characteristics [3]. The major issue
associated with DG system is their synchronization with
utility voltage vector [4]. Henceforth the study of grid
synchronization algorithms is essential.1

Dushyant Sharma, Binita Sen and B. Chitti Babu are with the
Department of Electrical Engineering, National Institute of Technology,
Rourkela-769008,
India
(e-mail:
dushyant.jjn@gmail.com,
binita116@gmail.com, bcbabu@nitrkl.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

49

v d cos() sin() U cos( ) U cos( )

q sin() cos() U sin( ) U sin( )

U cos( ) U cos( )

U sin( ) U sin( )

and conventional SRF PLL under grid disturbances. The

general conclusion followed by references is revealed in
section V.
II. ANALYSIS OF SRF PLL
A synchronous Reference Frame PLL (SRF PLL) is mainly
used for tracking the phase angle in case of 3-phase signals
which uses Parks Transformation of a 3 phase signal as the
Phase Detector (PD). Fig. 1 depicts the block diagram of a
SRF PLL in which va, vb, vc are the components of a 3 phase
signal. First block in the Fig. (1) is Clarkes Transformation
which translates a three-phase voltage vector from the abc
natural reference frame to the stationary reference frame.
The second block is the Parks Transformation which
translates the stationary reference frame to rotating frame.
A Proportional Integrator (PI) controller is used as loop
filter.

va
vb
vc

abc

v
v

vd

dq

vq

PI

1
s

U U cos(2t )

U U sin(2t )

is the angular frequency of

and t in the steady state.
where

III. ANALYSIS OF DSRF PLL

From [6] the Dual SRF PLL (DSRF PLL) is a combination
of two conventional SRF-PLLs. These two frames are
is
separated by a synthesis circuit. The voltage vector
decomposed into positive and negative sequence vectors and

these components are denoted by v and v respectively as

shown in Fig. 2. As shown in Fig. 4, the - and -axis
components both contain the information of the positive
sequence and negative sequence which makes it difficult to
detect the positive sequence component. The two PLLs work
independently, rotating with positive direction and negative
direction respectively and detect the positive sequence and
negative sequence simultaneously.

The SRF PLL can be mathematically described by the

following equations [6]:For a balanced three phase input, the d and q components
can be obtained by the following relationship: -

v d cos() sin() U cos( )

(1)

v
q sin() cos() U sin( )
where and represent the phase of input signal and

output of PLL respectively; U is the amplitude of input

signal; vd, vq are the d- and q-axis components respectively.
Under unbalance utility conditions, the voltage vector can
be generically expressed as:

(2)

where subscripts +, and 0 define the vector for the positive,

negative and zero sequence components.
Using Clarkes transformation, the voltage vector in the
plane is given by: -

v U cos( ) U cos( )
v

U sin( ) U sin( )

voltage vector

So if the conventional SRF PLL is used during unbalanced

grid conditions the second harmonic ripples are so high that
makes it difficult to get the information of phase angle and
amplitude.

Fig. 1 Schematic of a SRF PLL

v v v v0

(4)

C
Fig. 2 Voltage Vector Decomposition (unbalanced voltage)

vd

(3)

LPF U

U cos

U sin

By Parks Transformation

V sin
^

cos
^

Fig. 3 Synthesis Circuit used in DSRF PLL

A
V

50

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dq

1
s

0t

abc

d
q

1
s

dq

LPF ( s)

(7)

The PLL behaviour is analysed by using state variable

model. The state equations can be derived as (taking 2 state

The d-axis component from the Parks transformation is

fed to the synthesis circuit.

This signal is actually the voltage
1

amplitude in steady state.

The
synthesis
circuit
consists of a
dq

s
Low Pass Filter (L.P.F.), two multipliers, and two orthogonal

trigonometric functions as shown inU Fig. 3. The main

orthogonal functions is to create orthogonal
objective
of the

abc

and in-phase
signals with respect to the input signal

multiplying them with the amplitude.

These
signals are used

as decoupling signals as shown in

the
Fig.
4.

dq
s
The two PLLs are required to detect the positive
and
U generated by
negative sequence at the same time. The signals
the synthesis circuit are used as feedback for the unbalanced
0

variables, x1 and x 2 as the state vectors):-

x1 c (U x1 (U x 2 ) cos( ))
(8)

)
cos(

))
x

U
x
U
x

c
2
x U
where 1

x 2 U
At steady state x1 U and x2 U . This implies that

the d- axis component will converge to input voltage vector

amplitude after sometime, and the decoupling of signals by
the synthesis circuit begins.
So each PLL input will be:

input signal. The input to the Parks transformation, v and

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v is the difference of actual v and v and the generated

v v U cos U cos

v v U sin U sin

signals from the other PLL. As the process goes on the input
to the PLL cleans up and the distortion at the output is
cancelled. The positive sequence is detected by the PLL with

0 as

c
s c

where c is the cut off frequency of the LPF.

Fig. 4 Dual SRF PLL structure

(6)

As it can be seen, there are some 2 ripples in the d-axis

component which is attenuated using a low pass filter. This
makes the PLL more stable. The LPF is defined as

is the approximate

v d
U U cos(2 0 t )
v U

U sin(2 0 t )
q

center angular frequency of positive sequence component.

Then (5) becomes

U
a
b
c

at initial state, where

and

v v U cos U cos

v v U sin U sin

the initial angular frequency and the negative

sequence is detected by the one with

0 as

the initial

angular frequency.
The behaviour of DSRF PLL is explained by the equations
given below [6].

(10)

IV. RESULTS AND DISCUSSIONS

At initial state v d 0 , 0 t . Hence the output of the

A. SRF PLL Under unbalanced 3 phase voltage

The results obtained from simulation of SRF PLL for
unbalanced input voltage are shown in Fig. 5. Fig. 5 (a)
shows the 3 phase unbalanced input fed to an SRF PLL such
that phase a magnitude is greater than the other 2 phases. As
described in (4) the d and q axis voltages are not constant,
rather contains second harmonic ripples. Fig. 5 (b) shows
these second harmonic components in d axis and q axis
voltages. This sinusoidal nature in q axis voltage affects the
output of PI controller and generates sinusoidal error signal
and hence sinusoidal angular frequency (at central frequency

synthesis circuit is zero and decoupling circuit has no effect.

Each PLL contains both positive and negative sequence
information. In rotating reference frame, rotating with
positive direction, the Parks transformation output is,

cos( )
cos( )
v d
U

v U

q
sin( )
sin( )

(9)

(5)

51

 0 which

is 100 in this case). This is shown in Fig. 5 (c).

From Fig.5 (d), it can be seen that, the detected phase

obtained by the time integration of angular frequency is not
perfectly triangular but rather contains sinusoidal variations.

(f)

(g)

(a)

(b)

(h)

(c)
Fig. 6 Dynamic response of DSRF PLL under unbalanced grid conditions (a)
grid voltage waveforms (b) d-plus component of grid voltage (c) d-minus
component of grid voltage (d) q-plus component of grid voltage (e) q-minus
component of grid voltage (f) detected angular frequency of positive
sequence component (g) detected angular frequency of negative sequence
component (h) detected phase angle of positive sequence component (i)
detected phase angle of negative sequence component.

Fig. 5 Simulation Results for SRF PLL under unbalanced grid conditions (a)
grid voltage waveforms (b) d-q components of grid voltage (c) detected
angular frequency (d) detected phase angle

Fig. 6(a) shows a 3 phase signal which is balanced upto

time t=0.4 sec and then voltage amplitude of 2 of the phases
reduces to 0.5 from their initial value of 1.5. With this kind of
input the dynamic responses are observed.
The positive and negative sequence components are
separately observed in case of DSRF PLL. As shown in Fig.
6(b) d axis voltage of positive sequence component is almost
constant both during balanced and unbalanced period and
negligible sinusoidal variations are observed during the
transient period (from t=0.4 to 0.5 sec). Similarly as shown in
Fig. 6(c) the d axis component of negative sequence
component is also almost constant having negligible
variations. As shown is Fig. 6(d) the q axis voltage of the
positive sequence component maintains a constant value both
in balanced and unbalanced conditions. The transients are
observed when there is sudden change in input voltage (at
t=0.4 sec). The transient vanishes to give a nearly constant
value (nearly at zero) of q axis voltage of positive sequence
component. A similar nature is observed for q axis voltage for
negative sequence component as can be seen in Fig. 6(e).
The angular frequencies of positive and negative sequence
components are both similar to their respective q axis
voltages and hence a nearly constant angular frequency is
observed for positive and negative sequence components
(Fig. 6(f) and Fig. 6(g) respectively). For these constant
angular frequencies we observe perfectly triangular phase
angle detection for positive sequence (Fig. 6(h)) and negative
sequence (Fig. 6(i)). The detected phase angle varies linearly

B. Dynamic Response of DSRF PLL Under unbalanced

Grid Voltages
The dynamic responses obtained from simulation for
DSRF PLL under unbalance input voltage are shown in Fig.
6. The PI tuning used for these results are Kp=67.5 and
Ki=100.

(a)

(b)

(c)

(d)

(e)

52

every cycle from 0 to 2 for positive sequence and 0 to -2

for negative sequence.
C. Response of DSRF PLL Under Line to Ground Fault
The results obtained from simulation for DSRF PLL under
line to ground fault are shown in Fig. 7. The PI tuning used
for these results are Kp=67.5 and Ki=100.

Fig. 7(a) shows the input to the system when line to ground
fault occurs. The system was initially in balanced condition
(having amplitude 1.5V). Line to ground fault occurs at time,
t = 0.4sec. At this instant the phase voltage of 2 of the phases
reduces and remains at an amplitude of 1.3V. The system
regains its balanced state at time, t = 0.5 sec. The d axis
voltage of positive sequence component shown in Fig. 7(b) is
constant at the amplitude of the signals during balanced input.
During line to ground fault the d axis voltage reduces and
some oscillations with very small amplitude are observed.
The d axis voltage for negative sequence component (Fig.
7(c)) also maintains its constant value other than very small
transients that occur at time t = 0.4 sec and 0.5 sec. The q axis
voltages for positive sequence (Fig. 7(d)) and negative
sequence (Fig. 7(e)) maintains their near zero value at all
instants, with some oscillations at the instants when switching
of voltages occur. The angular frequencies of positive
sequence and negative sequence components maintain their
constant value at 100 and -100 (Fig. 7(f) and Fig. 7(g)
respectively).Therefore the detected phase angle is perfectly
triangular for both positive (Fig. 7(h)) and negative sequence
(Fig. 7(i)).

(a)

(b)

(c)

(d)
D. Response of DSRF PLL Under Voltage Sag
The simulation results obtained for DSRF PLL under
voltage sag are shown in Fig. 8.The PI tuning used for these
results are Kp=67.5 and Ki=100.
As shown in Fig. 8(a), voltage sag occurs at time t = 0.3
sec when all the three phases voltages reduces to 0.45V from
their initial voltage of 0.5V. The 3 phases regain their original
value of 0.5V at time t = 0.4 sec. This kind of sudden
reduction is voltage for small period (2 and half cycles in this
case) is known as voltage sag.Fig.8 (b) illustrates the d axis
voltage of positive sequence component, which is constant at
the amplitude of the input signal. In the duration when
voltage sag occurs, the d axis voltage remains constant but its
value changes to the new amplitude. Similarly as shown in
Fig. 8(c) the d axis voltage of negative sequence component
also maintains its constant zero value. The q axis voltage of
positive sequence component remains constant at a value very
close to zero and some slight transients are observed at the
time of switching (Fig. 8(d)). The same holds good for q axis
voltage of negative sequence component which remains
constant at zero in both the periods (Fig. 8(e)). As q axis
voltages are constant the corresponding angular frequency for
both positive and negative components maintains their
constant value at 100 and -100 (Fig. 8(f) and Fig. 8(g)).The
detected phase for both the sequence components is perfectly
triangular because of the constant angular frequency observed
(Fig. 8(h) and Fig. 8(i)).

(e)

(f)

(g)

(h)

Fig. 7 Simulation results obtained for DSRF PLL under line to ground fault
(a) grid voltage waveforms (b) d-plus component of grid voltage (c) d-minus
component of grid voltage (d) q-plus component of grid voltage (e) q-minus
component of grid voltage (f) detected angular frequency of positive
sequence component (g) detected angular frequency of negative sequence
component (h) detected phase angle of positive sequence component (i)
detected phase angle of negative sequence component

53

conditions. Moreover, the DSRF PLL can also decouple the

positive and negative sequence components of grid voltages
in order to ensure sinusoidal current injection into the Grid.
Further, the obtained results clearly show that the DSRF PLL
gives better response to track the positive sequence
component over conventional SRF PLL which fails to track
the phase angle whenever there is an unbalance in the grid.
On the other hand DSRF PLL properly handles the
abnormalities and the phase angle is perfectly detected in
each case. The improvement in this study will be enhanced by
implementing the DSRF PLL in digital platform using FPGA
in the future work.
REFERENCES

(a)

(b)

(c)

F. Blaabjerg, R. Teodorescu, M. Liserre, and A. V. Timbus, Overview

of Control and Grid Synchronization for Distributed Power Generation
Systems, IEEE Trans. on Industrial Electronics, vol. 53, no. 5, pp.
1398-1409, 2006.
[2] R. Lawrence and S. Middlekauff, The new guy on the block, IEEE
Ind. Appl. Mag., vol. 11, no. 1, pp. 54-59, Jan./Feb. 2005.
[3] F. Blaabjerg, Z. Chen and S. Kjaer, Power Electronics as Efficient
Interface in Dispersed Power Generation Systems, IEEE Trans. Power
Electron., vol. 19, no. 5, pp. 1184-1194, Sep. 2004.
[4] A. Timbus, R. Teodorescu, F. Blaabjerg and M. Liserre,
Synchronization Methods for Three Phase Distributed Power
Generation Systems. An Overview and Evaluation, in Proc. 2005
Power Electronics Specialists Conference, 2005. PESC 05. IEEE 36 th,
pp. 2474-2481.
[5] Francisco D. Freijedo, Jesus Doval-Gandoy, Oscar Lopez, Carlos
Martinez-Penalver, Alejandro G. Yepes, Pablo Fernandez-Comesana,
Andres Nogueiras, JanoMalvar, Nogueiras, Jorge Marcos and Alfonso
Lago, Grid-Synchronization Methods for Power Converters, Proc. of
IEEE, pp. 522 529, 2009.
[6] FANG Xiong, WANG Yue, LI Ming, WANG Ke and LEI Wanjun, A
Novel PLL for Grid Synchronization of Power Electronic Converters in
Unbalanced and Variable-Frequency Environment, Proc. of IEEE
International Symposium on Power Electronics for Distributed
Generation Systems: pp. 466-471, 2010.
[7] P. Rodriguez, J. Pou, J. Bergas, J. I. Candela, R. P. Burgos and D.
Boroyevich, Decoupled Double Synchronous Reference Frame PLL
for Power Converters Control, IEEE Transactions on, Power
Electronics, vol. 22, pp. 584-592, 2007.
[8] M. Karimi-Ghartemani and M. R. Iravani, A method for
synchronization of power electronic converters in polluted and
variable-frequency environments, IEEE Transactions on Power
Systems, vol. 19, pp. 1263-1270, 2004.
[9] P. Rodriguez, A. Luna, M. Ciobotaru, R. Teodorescu and F. Blaabjerg,
Advanced Grid Synchronization System for Power Converters under
Unbalanced and Distorted Operating Conditions, in Proc. 2006 IEEE
32nd Annual Conference on Industrial Electronics, IECON 2006 , pp.
5173-5178.
[10] P.Rodriguez, R. Teodorescu, I. Candela, A. V. Timbus, M. Liserre and
F. Blaabjerg, New Positive-sequence Voltage Detector for Grid
Synchronization of Power Converters under Faulty Grid Conditions, in
Proc. 2006 37th IEEE Power Electronics Specialists Conference, 2006.
PESC o6, pp. 1-7.
[1]

(d)

(e)

(f)

(g)

(h)

Fig. 8 Simulation results obtained for DSRF PLL under voltage sag (a) grid
voltage waveforms (b) d-plus component of grid voltage (c) d-minus
component of grid voltage (d) q-plus component of grid voltage (e) q-minus
component of grid voltage (f) detected angular frequency of positive
sequence component (g) detected angular frequency of negative sequence
component (h) detected phase angle of positive sequence component (i)
detected phase angle of negative sequence component

V. CONCLUSIONS
The paper presents the performance of Dual Synchronous
Reference Frame (DSRF) PLL for phase detection under grid
disturbances. The grid disturbances include, voltage
unbalance, line to ground fault and voltage sag. From the
above discussions, one can observe that, the studied DSRF
PLL can accurately detect the phase irrespective of the grid

54

Analysis of El-Gamal with Diffie-Hellman Scheme

using Hash-Function for Message Security
Neetesh Saxena and Narendra S. Chaudhari, Member IEEE

GSM (Global System for Mobile Communications) is the

most popular standard for mobile telephony systems in the
world. In 1982, the European Conference of Postal and
Telecommunications Administrations (CEPT) created the
Group Special Mobile (GSM) to develop a standard for a
mobile telephone system that could be used across Europe.
The GSM Association estimates that 80% of the global
mobile market uses the standard. GSM is used across more
than 212 countries and territories. [22][23]

Abstract-- The security of SMS is important when a secret

code or one-time password is used while send a message from
one mobile to another like in m-commerce, m-banking, for bank
account details etc. in GSM network. Whenever this kind of
data is moved through wireless mobile system, it must be
encrypted with one-time password so that even mobile operator
couldnt access it. Password based system provides a secure
secret key by exchanging the public keys between sender and
receiver over the communication channel. This secret key is
used to encrypt or decrypt the message. The Diffie-Hellman key
exchange scheme and El-Gamal scheme are suitable for this
kind of operation to be performed. After exchanging the public
keys, sender and receiver both generate the secret key. This key
can be used as a secure secret key. In this paper well see the key
exchange operation by both the schemes. One more property
Integrity must be maintained while the data is transferred over
the channel or in air. The security of these schemes can be
increased by using hash functions. Next, a comparative analysis
shows that El-Gamal key exchange with hash function scheme is
more secure than Diffie-Hellman key exchange with hash
function scheme. At the end, the proposed approach based on
both the schemes, is successfully implemented and able to
prevent from some attacks like man-in-middle attack, reply
attack, message disclosure attack etc.
Index Terms-- SMS; password; cryptography; discrete
logarithm; prime number; secret key; hash function

I. INTRODUCTION

HE mobile messaging market is growing rapidly and is a

very profitable business for mobile operators. Today, text
messaging is the most widely used mobile data service on the
planet with 72% of all mobile phone users worldwide, or 1.9
Billion out of 2.7 Billion phone subscribers at the end of
2006, being active users of the Short Message Service (SMS).
This quote below is from Portio Research, a respected
industry analyst firm covering the mobile commerce [1].
SMS has proved to be the industrys most successful nonvoice service. Globally, SMS is expected to remain the most
widely used messaging format for several years to come.
With the adoption of 3G and increased bandwidth, operators
are expected to continue lowering SMS prices, resulting in
greater use.
_______________________________________________

Fig. 1. GSM Architecture

The existing SMS is not free from the eavesdropping, but

security is the main concern for any business company such
as banks who will provide these mobile banking.
II. LITERATURE REVIEW
The mobile E-commerce identity authentication requires
the SMS resources occupied, the numbers of dialogue with
servers and the data transmission as few as possible [2][13].
The profitability of mobile messaging is under attack. Mobile
SMS spam, spoofing and other SMS-related scams are a
global problem [9]. Public key cryptography technique is also
known as asymmetric technique. The basic aim of public-key
cryptography is to provide the security from unauthorized
access and reduce the security attacks. This can be obtained
by the two functionalities: authentication and confidentiality.

Neetesh Saxena is Research Scholar with the Department of Computer

Science & Engineering, Indian Institute of Technology, Indore, India (e-mail:
neetesh.saxena@gmail.com).
Narendra S. Chaudhari is Professor with the Department of Computer
Science & Engineering, Indian Institute of Technology, Indore, India (e-mail:
narendra@iiti.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

55

III.

Usually, two groups of hash functions are considered: one of

them is derived from iteration of non-linear function such as
SHA-1; and the other one is designed based on block-cipher
such as CBC-MAC [3, 6].
In [4, 5], Herzog, et al, proposed a way in which
cryptographic protocols that use Diffie-Hellman key
exchange scheme can be verified by using formal methods. In
[7], a method was proposed for authentication, which is on
the basis of Diffie-Hellman problem, and a protocol was
advanced that used this method. The method is well suited for
applications with strict power consumption restrictions, such
as wireless medical implants and contact-less smart cards.
Password based system uses the concept of Diffie-Hellman
scheme. Another scheme that also provides the public key
secure cryptographic system is El-Gamal scheme [8]. Both
the schemes are based on the concept of exponentiation. In
the coming sections well see both the schemes in detail.
In a study by Mary Agoyi and Devrim Seral [19] large key
size algorithms are not suitable for SMS encryption due to
small memory and low computational power of mobile
phones. In the paper of Alfredo De Santis, Aniello
Castiglione and Umberto Ferraro Petrillo [20] the results
seem to show that RSA and DSA cryptosystems perform
generally better than ECDSA, except when using very large
keys. Nassim Khozooyi, Maryam Tahajod and Peyman
khozooyi [21] are discussed the security of mobile network
protocol along with information security for governmental
transactions. A new public key-based solution for secure
SMS messaging (SSMS) is introduced by M. Toorani and A.
Beheshti Shirazi [22]. In a study of D. Lisonek and M.
Drahansky [23] the application for securing of SMS has been
designed and implemented, which prevents tapping and also
substituting. In the paper of C. Narendiran, S. Albert Rabara
and N. Rajendran [24] an end-to-end security framework
using PKI for mobile banking is proposed.
Zheng and Seberry [25] have proposed an ElGamal-based
scheme that uses universal one-way hash functions. Lim and
Lee have pointed out that in some of the cryptosystems
proposed in [25], the method of adding authentication
capability may fail just under known plaintext attacks. A
submission to IEEE P1363a based on [25] has been made by
Zheng and another contemporaneous suggestion was put
forward by Johnson, Matyas and Peyravian [27].
Asymmetrically encrypt message, [27] suggest to subject it to
4 rounds of a Feistel network based on a function H, thereby
obtaining a new string M0. It is plausible that if H is modeled
as a random function then the above approach can be proven
sound. Cramer and Shoup describe an encryption scheme
based on the decisional Diffie-Hellman problem which
achieves provable security against adaptive chosen ciphertext
attack. They prove their scheme secure under the decisional
Diffie-Hellman assumption (and a collision-intractable hash
function), or, in the random-oracle model, under the ordinary
Diffie-Hellman assumption [26]. Their scheme is more costly
in terms of key sizes, encryption time, and decryption time
(in particular, encryption takes five exponentiations), but the
scheme is still practical.

PRE-EXISTING SCHEMES

In this section, we present some pre-existing key exchange

schemes that are commonly used to secure passwords for
different systems. Some of these schemes are Diffie-Hellman
key exchange scheme and El-Gamal scheme.
A. Diffie-Hellman Key Exchange Scheme
Diffie and Hellman developed a public key cryptography
algorithm known as Diffie-Hellman key exchange. This
technique allows two users to exchange a key securely that
can be used for the encryption of message [17][18]. A brief
description of this algorithm is given here:
Global Elements
p = prime number
n = a primitive root of p and n < p
User A Key Generation
Select private key a where (a < p)
Calculate public key x where (x = n a mod p)
User B Key Generation
Select private key b where (b < p)
Calculate public key y where (y = n b mod p)
Generation of Secret Key by User A
k = ya mod p
Generation of Secret Key by User B
k = xb mod p
Thus a secure secret key can be generated by both sender
as well as receiver. With the help of this secret key sender
and receiver can encrypt and decrypt the data and vice versa
respectively. Generally Diffie-Hellman scheme uses normal
public encryption to encrypt the data. The next section
presents the El-Gamal scheme [14][15].
B. El-Gamal Scheme
The ElGamal encryption system is an asymmetric key
encryption algorithm for public-key cryptography which is
similar to the Diffie-Hellman key agreement but it uses a
temporary key shared by both sender as well as receiver. The
El-Gamal system is based on the discrete logarithm problem
[18]. ElGamal encryption can be defined over any cyclic
group G. The system parameters consist of a prime p and an
integer n. Here n is a generator for the group or its a
primitive root of prime number p, whose powers modulo p
generate a large number of elements. A brief description of
this algorithm is given here:
Global Elements
p = prime number
n = a primitive root of p and n < p
k = A temporary key shared by sender and receiver.
User A Key Generation
Select private key a where (a < p)
User B Key Generation
Select private key b where (b < p)
Generation of Secret Key by User A
1) Encryption of message by sender User A: Encrypt
message M by sender User A as the pair of integers (y1,
y2) as Ek = (y1, y2) where

56

y1 = na (mod p) and y2 = k M (mod p)

2) Decrypt message M by receiver User B: Decrypt
message M by receiver User B as computing the factors k
and M.
Compute k = (y1)b (mod p)
Compute M = (y2 k-1) mod p
Generation of Secret Key by User B
1) Encryption of message by sender User B: Encrypt
message M by sender User B as the pair of integers (y1,
y2) as Ek = (y1, y2) where
y1 = nb (mod p) and y2 = k M (mod p)
2) Decrypt message M by receiver User A: Decrypt
message M by receiver User A as computing the factors k
and M.
Compute k = (y1)a (mod p)
Compute M = (y2 k-1) mod p
Thus, a message can be encrypted by sender and decrypted
by receiver. In the coming section we are proposing a new
scheme and compare both the existing schemes.
IV.

1) Encryption of message by sender User B: Encrypt

message M by sender User B as the pair of integers (y1,
y2) as Ek = (y1, y2) where
y1 = nb (mod p) and y2 = k M (mod p)
2) Decrypt message M by receiver User A: Decrypt
message M by receiver User A as computing the factors k
and M.
Compute k = (y1)a (mod p)
Compute M = (y2 k-1) mod p
Thus, a message can be encrypted by sender and decrypted
by receiver. In the coming sections, well see a one-time
password based system that uses hash functions and is based
on Diffie-Hellman and El-Gamal with Diffie-Hellman key
exchange schemes respectively.
B. One-time Password Based System Based on DiffieHellman Scheme using Hash Function
This system uses a hash function. The basic purpose of
hash function is to provide authentication by generating a
hash code value [10]. It is easy to calculate H(M) for a given
message M. There are three main properties of hash
function:[11] [12]
A. One way property: For a given value h, it is
computationally infeasible to find M such that H(M) = h.
B. Weak collision resistance: For a given block M, it is
computationally infeasible to find N M such that H(N) =
H(M).
C. Strong collision resistance: It is computationally
infeasible to find any pair (M,N) such that H(M) = H(N) [12].
Here, User A and User B send password and H(password)
instead of only password. Various steps of communication of
Diffie-Hellman scheme using hash function are as follows:
1. User A and User B know their private keys (a random
number) a and b respectively. They also know the global
parameters prime number p and a primitive root of p, n.
2. User A calculates its password (public key) x as [n a
mod p] and H(password) using a hash function.
3. User B calculates its password (public key) y as [n b
mod p] and H(password) using a hash function.
4. User A sends its IDA, Ek [(password) || EkRa
[H(password)]] to User B.
5. User B sends its IDB, Ek [(password) || EkRb
[H(password)]] to User A.
6. User A generates a secret key k by the password of
User B and its private key a. (Use Dk [(password) || EkRa
[H(password)]] to get the password and use public key of
User A kUa to decrypt the H(password). Now calculate
H(password) and match with the decrypted H(password) send
by User B to detect the error.)
k = ya mod p = [nb mod p]a mod p = nab mod p
7. User B generates a secret key k by the password of
User A and its private key b. (Use Dk[(password) || EkRb
[H(password)]] to get the password and use public key of
User A kUb to decrypt the H(password) . Now calculate
H(password) and match with the decrypted H(password) send
by User A to detect the error)
k = xb mod p = [na mod p]b mod p = nab mod p

PROPOSED SCHEME

Here, we present our proposed scheme based on DiffieHellman key exchange scheme as well as El-gamal scheme
with hash function. We have considered the strength of both
the schemes in our proposed scheme.
A. Proposed El-Gamal With Diffie-Hellman Key Exchange
Scheme
This ElGamal encryption with Diffie-Hellman system is an
asymmetric key encryption algorithm for public-key
cryptography which uses the concept of both the schemes. A
brief description of this algorithm is given here:
Global Elements
p = prime number
n = a primitive root of p and n < p
User A Key Generation
Select private key a where (a < p)
Calculate public key x where (x = n a mod p)
User B Key Generation
Select private key b where (b < p)
Calculate public key y where (y = nb mod p)
Generation of Secret Key by User A
k = ya (mod p)
1) Encryption of message by sender User A: Encrypt
message M by sender User A as the pair of integers (y1,
y2) as Ek = (y1, y2) where
y1 = na (mod p) and y2 = k M (mod p)
2) Decrypt message M by receiver User B: Decrypt
message M by receiver User B as computing the factors k
and M.
Compute k = (y1)b (mod p)
Compute M = (y2 k-1) mod p
Generation of Secret Key by User B
k = xb (mod p)

57

with the same mobile network code as the subscriber's

legitimate network to impersonate himself and perform a
man-in-the-middle attack. (solution: one-time password)
2) Replay Attack
The attacker can misuse the previously exchanged
messages between the subscriber and network in order to
perform the replay attacks. (solution: one-time password or
nonce)
3) Message Disclosure
Since encryption is not applied to short message
transmission by default, messages could be intercepted and
snooped during transmission. In addition, messages could be
viewed by users in the SMSC who have access to the
messaging system. (solution: encryption)
4) SMS Tampering
Integrity is a concept of consistency of values, measures,
and outcomes. In ethics, integrity is regarded as the
truthfulness or accuracy of one's actions. (solution: by
authentication functions like MD5, SHA1 etc.)

C. One-time Password Based System Based on El-Gamal

Scheme (With Diffie-Hellman Concept) using Hash Function
This system also uses a hash function. Various steps of
communication of this scheme by hash function are as
follows:
1. User A and User B know their private keys (a random
number) a and b respectively. They also know the global
parameters prime number p and a primitive root of p, n.
2. User A calculates its password (public key) x as [n a
mod p] and H(password) using a hash function.
3. User B calculates its password (public key) y as [n b
mod p] and H(password) using a hash function.
4. User A sends its IDA, Ek [(password) || EkRa
[H(password)]] to User B.
5. User B sends its IDB, Ek [(password) || EkRb
[H(password)]] to User A.
6. User A generates a secret key k by the password of
User B and its private key a. (Use Dk [(password) || EkRa
[H(password)]] to get the password and use public key of
User A kUa to decrypt the H(password). Now calculate
H(password) and match with the decrypted H(password) send
by User B to detect the error.)
k = ya mod p = [nb mod p]a mod p = nab mod p.
7. User B generates a secret key k by the password of
User A and its private key b. (Use Dk[(password) || EkRb
[H(password)]] to get the password and use public key of
User A kUb to decrypt the H(password) . Now calculate
H(password) and match with the decrypted H(password) send
by User A to detect the error)
k = xb mod p = [na mod p]b mod p = nab mod p.
8. Encrypt message M by sender User A as the pair
of integers (y1, y2) as Ek = (y1, y2) where y1 = n a (mod p)
and y2 = k M (mod p). User A sends [IDA || (y1, y2) ||
(H(y1), H(y2))].
Decrypt message M by receiver User B as computing
the factors k and M.
Compute k = (y1)b (mod p) and M = (y2 k-1) mod p. Also
compute H(y1) and H(y2) and compare it with the data
(H(y1), H(y2)) send by User A.
9. Encrypt message M by sender User B as the pair of
integers (y1, y2) as Ek = (y1, y2) where y1 = nb (mod p) and
y2 = k M (mod p). User B sends [IDB || (y1, y2) || (H(y1),
H(y2))].
Decrypt message M by receiver User A as computing
the factors k and M.
Compute k = (y1)a (mod p) and M = (y2 k-1) mod p. Also
compute H(y1) and H(y2) and compare it with the data
(H(y1), H(y2)) send by User B.
V.

VI.

SECURITY ANALYSIS

We can compare both the schemes on the basis of some

factors. In Diffie-Hellman, the sender and all recipients must
have keys in the same group in order to communicate. In
ElGamal, the keys can be in any group and the sender need
not have a certificate [16][17]. The only substantial
difference is that in ElGamal, the sender can use a temporary
key, while in my description of Diffie-Hellman, that key must
be authenticated. The security of the ElGamal scheme
depends on the properties of the underlying group G as well
as any padding scheme used on the messages. Other schemes
related to ElGamal which achieve security against chosen
ciphertext attacks have also been proposed (using hash
function). As the fact, it is easy to calculate the exponent
form a given data rather than to find out the discrete
logarithm to meet the objective. For example, suppose we
have an equation b = ai (mod n). We know a and n. There
may be two cases, first, find b when i is available and
second, find i when b is given. Now it is easy to calculate
b (find by ai (mod n)) while i is given by exponential
function rather than calculate i while b is given by discrete
logarithm.
Encryption and decryption under Diffie-Hellman require
two exponentiations; one for each (for the generation of
public keys of both sender and receiver only). ElGamal
encryption is probabilistic, meaning that a single plaintext
can be encrypted to many possible ciphertexts, with the
consequence that a general ElGamal encryption produces a
2:1 expansion in size from plaintext to ciphertext. Encryption
under ElGamal requires two exponentiations; however, these
exponentiations are independent of the message and can be
computed ahead of time if need be. Decryption only requires
one exponentiation. So, El-Gamal scheme reduces the
possibility of attacks as compared to Diffie-Hellman scheme.
ElGamal encryption is completely insecure against various
active attacks, where a decryption oracle can be used under
appropriate conditions [5]. Thus, both the schemes have their

SMS SECURITY THREATS

Security of message is the most concern area while we are

transmitting it over a network. Understanding the basics of
SMS security opens the door to preventing some common
security threats in SMS usage:
1) Man-in-middle Attack
This is the network that authenticates users. The user does
not authenticate network so the attacker can use a false BTS

58

some advantages and disadvantages. So, a new scheme is

proposed that uses the concepts of both the schemes and is
termed as El-Gamal with Diffie-Hellman key exchange
scheme and it prevents the mobile network (generally GSM)
attacks discussed in previous section IV.C. It prevents the
system from man-in-middle attack as original Diffie-Hellman
is affected by this attack.
VII.

3). Java provides multipolar safety to protect client safety

systems not to be attacked by some unsafe programs. So we
choose J2ME as the tool to implement it.
The most familiar one is SUN's WTK (Wireless Toolkit)
which gives some help to developers on predigesting the
development of J2ME. Figure1 and figure2 show the JEME
startup and compilation of code, while the figure3 shows the
implementation of proposed algorithm.

SIMULATION
VIII. CONCLUSION

J2ME, as a highly optimized Java runtime environment,

has become one of the best solutions for mobile simulation
and compared to other development tools. It is having the
following advantages:
1). Cross-platform: Mobile equipments have several sorts
of mobile operation systems, and Java provides optimal
schemes for application.
2). Powerful abilities about object oriented programming
language: Java is better than other present program languages
and equipments in program contexture, and that makes the
application development has a better efficiency.

It is concluded that El-gamal scheme is more secure than

Diffie-Hellman scheme. We can understand the concepts of
both the schemes by a comparative discussion. The El-Gamal
with Diffie-Hellman scheme using hash function provides
better security and minimizes the possible attacks. The
proposed scheme for one-time password based system has
presented successfully. This algorithm can also be used in
pretty good privacy (PGP). Finally this system prevents from
various attacks like man-in-middle attack, reply attack,
message disclosure and SMS tampering.
IX. ACKNOWLEDGMENTS
Authors would like to thank the referees for their excellent
suggestions and for the considerable time and effort they
invested in helping to improve this paper. Authors also thank
to IIT Indore, India to support this research work.

Fig. 2. J2ME wireless toolkit startup

X. REFERENCES
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[2] Chao Li, Yi-Xian Yang, Xin-Xin Niu, Biometric-based personal dentityauthentication system and security analysis, Journal of China
Universities of Posts and Telecommunications, 2006, vol. 13, no4, pp.
43-47.
[3] E. Khan, M. Watheq El-Kharashi, F. Gebali, M. Abd-El-Barr, Design
and performance analysis of unified, reconfigurable HMAC-Hash
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[4] Jonathan C. Herzog, The Diffie-Hellman Key Agreement Scheme in the
Strand-Space Model, In Proceedings of the 16th IEEE Computer
Security Foundations Workshop (CSFW03), June 2003, pp. 234-247.
[5] Claus Peter Schnorr1 and Markus Jakobsson2, Security of Signed
ElGamal
Encryption,
markus-jakobsson.com/papers/jakobssonasiacrypt00.pdf
[6] L. Xie, G. R. Arce, and R. F. Graveman, Approximate image message
authentication codes, IEEE transactions on multimedia, vol. 3, June
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[7] Jakobsson M, Pointcheval D, Mutual authentication for low-power
mobile devices, In: Syverson P, ed. Financial Cryptography 2001.
LNCS 2339, Berlin: Springer-Verlag, pp. 178195.
[8] CHEN Zhiming, An Improved Encryption Algorithm On Elgamal
Algorithm, Computer Applications And Software, 2005, pp. 82-84
[9] Hua Jiang, Jing Yang, Security technology support system on the
electronic commerce online payment, WSEAS Transactions on
Computers, May 2007, no 5, pp. 813-820.
[10] Hsien-Ch Wu, Min-Shiang Hwang, Chia-Hsin Liu, A secure strongpassword authentication mechanism, Fundamenta Informaticae, no 4,
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[11] Kirovski Darko, Jojic, Nebojsa, Cryptographically secure identity
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Fig. 3. Compiling the code

Fig. 4. Run the code and generate output

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[12] Hui-Feng Huang, Chun-Chie Liu, A new cryptographic key assignment

scheme using a one-way Hash Function, Proceedings of the 9th Joint
Conference on Information Sciences, JCIS 2006, pp. CSI-181-200.
[13] Monga Vishal, Mihcak M. Kivanc, Robust and secure image hashing
via non-negative matrix factorizations, IEEE Transactions on
Information Forensics and Security, September, 2007, no3, pp. 376390.
[14] Zarooni Abdulkarim AI, Mabrouk Ali, AI-Qayedi Ali, Adi Wael,
Secure combined web/mobile E-commerce transactions, Proceedings
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Internet, and Information Technology, 2003, pp. 238-241.
[15] Steven M. Bellovin, and Michael Merritt, Augmented Encrypted Key
Exchange: A Password-Based Protocol Secure against Dictionary
Attacks and
Password
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Computer and Communications Security-1993, pp 243-250.
[16] Xun Yi and Kwok Yan Lam, Hash Function Based on Block Cipher ,
Electronics Letters Online No: I9971336, IEE 1997.
[17] Luo Zhong, Zhao Zhongining and Zhu Chongguang, The Unfavourable
Effects of Hash Coding on CMAC Convergence and Compensatory
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Practice, 2nd edition, Prentice-Hall, Inc., 1999 pp 23-50.
[19] Mary Agoyi, Devrim Seral, SMS Security: An Asymmetric Encryption
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[21] Nassim Khozooyi, Maryam Tahajod, Peyman khozooyi, Security in
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[26] V. Shoup. Using hash functions as a hedge against chosen ciphertext
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May 2000, volume 1807 of Lecture Notes in Computer Science.
Springer-Verlag, Berlin Germany.
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encryption
procedure,
Nov.
1996.
http://stdsbbs.ieee.org/groups/1363/index.html.

60

An Optimal Controller for APF for Customer

Harmonics and Reactive Power Compensation
Nitin Pawar, R. D. Patidar and L. C. Patidar
The instantaneous active and reactive power theory proposed
by H. Akagi et al. [1] is based on - transformation of
instantaneous three-phase voltage and current signals have
been widely used. All these control schemes look very
attractive for compensating harmonics and reactive power for
ideal as well as distorted supply conditions. However, in most
of these techniques, the utility voltage and load current are
transformed and reference current is computed in two-axis
system. Most of these controllers need large number of
transformations, and hence their implementation is complex.
Recently, digital signal processors (DSP) are being used in
most of the applications, which need sophisticated control.
The DSP-based active power filters have been reported with
general purpose and floating-point DSP [10]. S. George and
V. Agarwal [9] presented a DSP based optimal control of
shunt active filter under distorted mains condition. S. K. Jain
et al. [11] presented a concept of maintaining similar
distortion in the compensating source current, as available in
mains voltage. These methods sense the input voltage to
obtain the required compensating currents.
It has been high lightened above that in the todays
distribution system it is difficult to get the purely sinusoidal
voltage at PCC. If this distorted utility voltage is given to the
customers those are innocent in general the current
harmonics generated may be much more than the harmonics
generated in case of sinusoidal source voltage [10]. Thereby,
to segregate the responsibilities of customer and utility for
total harmonic compensation, a method of maintaining
similar distortion in the source current, as present in the
utility voltage is being proposed. The source voltage signals
are computed in terms of the duty ratios hence, the sensing of
the source voltages are not required in the proposed method.
The particle swarm optimization (PSO) technique is used to
optimize the control variables for this purpose.

Abstract This paper presets an optimal current controller for

shunt active power filter to compensate customer generated
current harmonics and reactive power. The compensated source
current maintains the same level of harmonic distortion as
present in the source voltage. The particle swarm optimization
technique is employed for minimizing the objective function to
get the desired value of controller variables. The proposed
controller is simulated in MATLAB/Simulink environment
under sinusoidal and distorted supply conditions with varying
loads.
Index Terms Customer generated harmonics, dc-link
capacitor voltage, particle swarm optimization, reactive power
and shunt active power filter.

I.

INTRODUCTION

In recent days, there has been an increased use of power

electronic devices in distribution system [1]-[2]. These power
electronics devices, generates significant current harmonics
result is distorted voltage at the point of common coupling
(PCC) [2]-[4]. Moreover, the current is also distorted when
the distortions are present in the supply voltage. Thus, the
current harmonics are broadly classified into two categories,
one is customer or load generated current harmonics and
other source generated current harmonics [3]-[4]. The
nonlinear loads used by the customers are responsible for
customer generated current harmonics while the distortion
present in source voltage causes the utility generated current
harmonics. The presence of harmonics in the grid is harmful,
because it will cause additional power losses and
malfunctions of the grid components [3]-[8]. Conventionally,
passive LC filters have been used to eliminate current
harmonics and to increase the system power factor [7]-[8].
However, it has many disadvantages (detuning, resonance,
instability, etc.). To overcome these problems, the shunt
connected custom power devices called active power filters
(APFs) have been developed as a viable alternative.
Several control approaches, namely instantaneous power
theory [1], synchronous d-q reference frame, P-I controller,
etc. have been implemented to control APF.

II.

ACTIVE POWER FILTER

The basic compensation principle of APF is explained in

Fig.1 (a). The instantaneous nonlinear load current can be
represented as [9]:

iL (t ) I Lf sin ( t ) cos (Lf ) I Lf cos ( t ) sin (Lf ) I Ln sin ( n t Ln )

n2

iLfp (t ) iLfq (t ) iLn (t ) where iLn (t ) iLm (t ) iLh (t )

(1)

where, ILf and ILn are the peak values and Lf and Ln are the
phase angles of the fundamental and harmonic component of
the load currents, respectively. The instantaneous nonlinear
load current in (1) is bifurcated into three major components.
The first component iLfp(t) is the active instantaneous
fundamental load current. The second component iLfq(t) is the

Nitin Pawar, R. D. Patidar and L. C. Patidar are in Department of Electrical

and Electronics Engineering of Mandsaur Institute of Technology, Mandsaur
(India)
(email:nitin.panwar@mitmandsaur.info,patidarrd07@gmail.com,
patidarl.c.10@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

61

2
reactive instantaneous fundamental load current and the third
component iLn(t) represents the harmonic instantaneous load
current. The third component iLn(t) contains both customer
iLm(t) and the utility iLh(t) generated harmonics. The APF is
connected in parallel with the load to be compensated and
detects its harmonic and reactive current components and
injects, a compensating current ic(t) of same magnitude and
opposite in-phase, into the system as given in (2).
ic (t ) [iLfq (t ) iLn (t )] [iLfq (t ) iLm (t ) iLh (t )]

vs

100

&
is Amps

vs Volts

50
0
-50
is

-100
0

0.005

0.01

0.015

0.02

0.025

0.03

0.035

0.04

Time(s)

(a)

(2)

201200 (250Hz)

20500 (150Hz)

151200 (250 Hz)

15500 (150Hz)

PL (t ) pLf (t ) pLh (t )
QL (t ) qLf (t ) qLh (t )

isa ,b ,c

iLa ,b ,c

Ls

Rs

Rsm

vsa

Lsm

RL

vsb

vsc

Non-linear Load

Rca

Rcb

Rcc

S1
Lca

For reactive compensation at unity power factor, the active

component of the load current should be in-phase with the
source voltage. Moreover, for eliminating the customer
generated harmonics from the source current, the shape of
source current should be similar to the shape of the source
voltage. Based on this concept, the set of M harmonic
component should be removed and the set of H harmonic
component should remain in the compensated source current.
Thus, after compensation, the source current contains the
same harmonic distortion as present in the source voltage
with equal I/V ratios for each harmonic frequency, similar to
the waveforms and phasors illustrated in Fig. 2 (a) and (b).
For phase-a it can be written mathematically as:

Cdc

Vdc

Pc (t ) pLh (t ) psl (t )
Qc (t ) qLf (t ) qLh (t )

S2

S6

S4

CC-VSI

(a)
isa
Sa
Sa

Sb

PWM1

PWM2

Sb

Sc
PWM3
Sc

isa
I ref

isb
I ref

isc
I ref

isc

isb

Limiter
I ref (t )

K pe

Vdc2

Ver (t )

Iref (t 1)

1/ z

Carrier signal

2
Vdcref

I sah
Yca , where h H
Vsah

1
1

(3)

where, Yca is the admittance factor of the combination of

nonlinear load and active filter for phase -a and H= {1, 2, 3,
4.N}, where N is highest order of harmonics. Similar
expression can be written for phase -b and phase -c also.
From (3) it is evident that:

(b)
Fig. 1. Proposed shunt active power filter (a) Power circuit (b) Control circuit.
III.

7500 (50Hz)

S5

S3

Lcc

Lcb

is

Fig. 2. Distorted source voltage and source current (a) Waveforms (b) Phasors at
different frequencies.

ica ,b ,c

PS (t ) pLf (t ) psl (t )
QS (t ) 0

10000 (50 Hz)

(b)

3-Phase Source

vs

LL

THE PROPOSED ALGORITHM

The main objective of the proposed algorithm is to represent

the APF and nonlinear load as an equivalent conductance
across the source voltage for reactive compensation at unity
power factor. And also to shape the source current as similar
to source voltage by removing the customer generated
harmonics. The power and the control circuit of the proposed
APF controller are shown in Fig.1 (a) and (b), respectively.
To examine the compensation mechanism it is assumed that
the source/PCC voltage vector [vs(t)] consists a set of
harmonic components H is supplying power to the nonlinear
loads. The nonlinear load current vector [iL(t)] is bifurcated
into two major harmonic components. One is the utility
generated harmonics of the order h H, which are common
with the utility voltage. The other is the customer generated
harmonic component of set M and the order m M, which are
uncommon with the utility voltage.

I sah YcaVsah , I sbh YcbVsbh and I sch YccVsch

(4)

Thus, for reactive compensation at unity power factor, while

eliminating customer generated harmonics, the source current
vector [is ( t )] can be written as:

is (t )

isa (t )
Yca vsa (t )
i (t ) Y v (t )
sb

cb sb

i
(
t
)
sc

Ycc vsc (t )

(5)

where, Yca, Ycb and Ycc are the admittance factor for combined
operation of active filter and nonlinear load corresponding to
phase - a, b and c, respectively. Now, to achieve the desired
goal without sensing the input voltage, the scalar control
technique is introduced.

62

Lca

S1

S3

a L
cb _
b _

Lcc

S5

S4

S6

S2

Lcb

Vdc

Lcc

vLcc

(a)
Lcc

Lca

S1

S3

S5

vsbc

Vdc (2 a 1)
(11)
3
Similar expression can be derived for phase-b and c also.
From (5) and (11), for reactive and customer generated
harmonics compensation without sensing the source voltage,
the source current vector in (5) is modified as:
isa (t )
Yca Vdc (2 a 1)
i (t ) 1 Y V (2 1)
(12)
i
t
(
)

s sb
cb dc
b

3
isc (t )
Ycc Vdc (2 c 1)
vsa

vLcb

vsbc

vLca

vsab
Vdc

simplifying (10), the source voltage for phase-a becomes:

Lca

vL

cc

In Fig.3 (a), the voltage across inductor during the ON states

of the switches S1, S2, S6 and the OFF of the switches S3,
S4, S5 (one possibility of the VSI operation) are calculated
using KVL as:

In equation (12), admittance factors ( Yca , Ycb , Ycc ) and the

duty ratios ( a , b , c ) are the control variables for the
objective function to shape the source current waveforms
similar to and in-phase with the respective source voltages.
From (12), the duty ratio for phase-a can be written as:
3 . isa
1
(13)
a 1

2
YcaVdc
Equation (13) can be written in time domain as:
TON 1
3 . isa
(14)
1

Ts
2
I ref
where, YcaVdc I ref , here I ref is the output of the close loop

vsab vLca Vdc vLcb 0

controller

Lcb _
b _

Lcc

_ Vdc

S4

S6

vLcb

vsab

Lcb

S2

Lca

Vdc

vLca

(b)
Fig. 3. APF Configuration (a) For S1, S2 ,S6 ON and S3 , S4 , S5 OFF (b)
For S3 , S4 , S5 ON and S1 , S2 , S6 OFF.

or

vsab Vdc vLca vLcb vLcab

(6)

(7)

(8)

where, a

TON
Ts

obtained

as:
(15)

S6 is triggered by Sb , S5 is triggered by signal Sc and S2 is

triggered by Sc . From (14) the control law for phase-a is
realized as:

(9)

where, TON and TOFF are the ON and OFF time for the
switches S1 and S4. Dividing (9) with time period Ts = TON +
TOFF of the carrier wave,

( vsa Vdc / 3) a (vsa Vdc / 3)(1 a ) 0

is

used in VSI are triggered as follows: S1 is triggered by signal

S a and S4 is triggered by S a , S3 is triggered by signal Sb and

Applying the volt-second balance law for inductor yields the

following relation:
(vsa Vdc / 3 )TON (vsa Vdc / 3 )TOFF 0

and

where, Kpe is the proportional gain and a control variable of

the proposed dc-link controller. The value of Kpe is depends
upon the control variables (Yc and ) as defined above.
Introducing 1/z term in the close loop dc-link controller
improves the steady-state response without integrator
constant. Also, it is an energy based controller (square values
of dc-link capacitor voltage are used), its response being
faster as compared to conventional PI controller [12]. The
source currents are normalized with respect to Iref to generate
i
i
i
normalized source currents ( sa , sb , sc ) . The switches
I ref I ref I ref

Similar expression of voltage across inductor Lca can be

derived during the ON states of the switches S3, S4, S5 and
the OFF states of the switches S1, S2, S6 connected in VSI
configuration as shown in Fig. 2 (b),
vLca (vsa Vdc / 3 )

steady-state

For simplicity Yca Ycb Ycc Yc , the (15) can be written as:
(16)
I ref (t ) YcVdc K peVer (t ) I ref (t 1)

where, vsab is the line value of source voltage between phase-a

and b. The vLca and vLcb are the voltages across the inductor
Lca and inductor Lcb, respectively.The vLcab is the voltage
difference between the inductors of phase -a and b. Putting
vsab = 3 vsa and vLcab = 3vLca in (6) the voltage across
inductor Lca for phase- a is calculated as:
vLca (vsa Vdc / 3 )

under

I ref (t ) K peVer (t ) I ref (t 1)

i
1 2TON
1 sa
(17)

T
I
3 s
ref

The left hand side of (17) represents the shape of the carrier
wave whereas the right hand side indicates normalized source
current.

(10)

is the duty ratio for phase-a. After

63

4
IV. OPTIMIZATION TECHNIQUE

where, j = 1, 2.r and, d= 1, 2 s and

t= number of iterations (generations)
r= quantity of particles in the swarm
s = dimension of solution space, which is the number of
independent variables
w = inertia weight factor which is varies linearly from wmin to
wmax, ranges between (0, 1)
c1 , c2 = are the cognitive and social acceleration factors,
respectively. They adjust the maximum step size of flying to
the pbest and gbest, respectively
1, 2 = uniformly distributed random numbers in the range
of (0, 1)
v (jt,)g = the gth component of the velocity of particle j at

A. Need of the Optimization

When both the source voltage and load currents are nonsinusoidal, it is possible to force the source current waveform
to be identical with source voltage waveform, but at the
expense of power factor. On the other hand, the unity power
factor compensation is possible, but the shape of the source
current will differ with the shape of the source voltage [10].
To obtain both the goals simultaneously than there is a need
to optimize the controller parameters.
B. Particle Swarm Optimization
Particle swarm optimization is a population-based stochastic
optimization technique inspired by social behavior of bird
flocking or fish schooling and become a research focus since
its introduction in 1995 by Kennedy and Eberhart [6]-[7]. It
is initialized with a population of random solutions. The
algorithm searches for optimal solution, to satisfy some
performance index by updating generation. It uses a number
of agents (particles) that constitute a swarm moving around in
the search space looking for the best solution. The PSO
technique can generate a high quality of optimization solution
within a short computation time and exhibits a more stable
convergence characteristic than other optimization methods.
In PSO algorithm, each solution is a bird in the search
space called particle. PSO is initialized with a population of
random particles, and gets optimal solution through iteration.
For each iteration, the particles update themselves through
tracing two positions: one is the optimal solution found by the
particle itself, which is called individual position pbest, the
other being the optimal solution found by the whole swarm,
which is called global position gbest.
The location of the jth particle is represented by a d
dimensional vector X j ( x j ,1 , x j ,2 , x j ,3 ,.........., x j , d )T and its

iteration t
x (jt, )g = the gth component of the position of particle j at
iteration t
x(jt, g1)
pbest j
soc
ial
pa
rt

v(jt, g1)
gbest
part
entum
mom

art
ep
itiv
n
v (jt,)g
cog
current motion

x (jt,)g

(a)
Fig.4. (a) shows the velocity and position updates of a particle
for a two-dimensional parameter space.
Start

Specify the parameters for PSO

velocity is denoted by another d dimensional

vector V j (v j ,1 , v j ,2 , v j ,3 ,.........., v j , d )T . The best previous

Randomly generate the initial set of

solutions (Gen.=0)

th

position
of
j
particle
is
represented
as pbest j ( pbestj ,1 , pbestj ,2 , pbestj ,3 ,.........., pbestj , d )T , that

For each particle find the fitness at

current position

can be considered as the experience of whole swarm. Each

particle decides its next movement through its own
experience and the experience of the whole swarm. For the
(t+1)th iteration, each particle updates its velocity through the
following equations:

v(jt,g1) w* v(jt,)g c1 *1 ( )* ( pbest j, g x(jt,)g ) c2 *2 ( )* (gbestg x(jt,)g )

Gen.=Gen.+0
Gen. > max Gen.?

Yes

End

No
Updates the particle position and
velocity using (20) and (21)

(18)

Equation (18) computes the updated velocity of the jth particle

through three parts:- the former velocity of the jth particle v (jt, )g ,

Fig. 4. (a) Velocity and position updates in PSO algorithm (b) Flowchart for the
PSO algorithm.

the distance between the current position and historical best

position of the jth particle ( pbest j , g x(jt, )g ) , and the distance

The computational flow chart of the PSO algorithm employed

in the proposed controller is shown in Fig.4 (b).

(b)

between the current position of the jth particle and best

position of the whole swarm ( pbest g x(jt, )g ) . The particles
compute new positions through (19).
x(jt, g1) x(jt, )g v(jt, g1)

C. Objective Function
For unity power factor compensation, the active power
supplied by the source must be equal to the source apparent
power. It means that the harmonic frequencies present in the

(19)
64

5
source currents and source voltages should be identical and
the corresponding phase angles should be zero. The
admittance factors and duty ratios are the control variables for
minimizing the objective function. These control variables are
the function of the gain Kpe of the dc-link controller. The
objective is to minimize source apparent power (Ss) so that it
should be equal to active power supplied by the source. The
objective function (f) is given as:

(THDI ) k

and (THDV ) K

hH

hH

( I skh / 2) 2
I sk1 / 2

(Vskh / 2) 2
Vsk1 / 2

vsa

iLa
isa

Amps

ica

0.15

0.2

0.25

0.3

0.35

0.4

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0
-40
0.05
20

Amps

0.1

0
-40
0.05
40

0
-20
0.05
720
650
600
0.05

Time(s)

Fig. 5. Simulated response of the APF for case I: Source voltage (vsa), load
current (iLa), source current (isa), APF current (ica) for phase-a and dc-link
capacitor voltage (Vdc).

D. Constraints
In order to maintain the same individual harmonic contents
in the compensating source currents and source voltages
while compensating the customer generated harmonics and
reactive power required by the nonlinear loads the source
current THD should be equal to source voltage THD. Thus,
(21)
(THDI ) Kh (THDV ) Kh 0
where,

Amps

Vdc

0
-350
0.05
40

V I
f obj min( Ss2 ) min skh skh
(20)
2 2
k K hH
where,
1
1

Vdc (2 k 1)
I skh
(YckhVdc (2 kh 1) and Vskh
3
3

where, K= (a, b, c) phases and H= {1, 2, 3.N} and where

N is the highest order of harmonics.
K

Volts

350

Volts

power factor in this is improved from 0.95 to 0.99. The

application of additional load at t = 0.3 s, it is observed that
APF maintains the source voltages and currents in-phase. The
dc-link capacitor voltage rises at switching instant (t = 0.1 s)
and falls after application of load (t = 0.3 s) but, the controller
recovers dc-link voltage within 1-2 fundamental cycles.

B. Case II) Sinusoidal Voltage and Nonlinear Load

Current
In this case, the source voltage are sinusoidal but load
current are nonsinusoidal due to nonlinear loads, so that the
harmonics presents in the load currents are only customer
generated harmonics. The controller not only makes the
angular difference between source voltage and current zero,
but also eliminates these customer generated current
harmonics. Fig. 6 shows the waveforms of the source voltage,
load current, source current and APF current of phase-a and
dc-link capacitor voltage in this case.

, h H , k K , h 1.

, h H, k K, h 1

vsa

SIMULATED RESULTS AND DISCUSSIONS

iLa

The simulation of active power filter with proposed control

algorithm is developed in MATLAB Simulink environment
using power system block sets. In case I, the reference current
is obtained under sinusoidal source voltage and linear load
condition. In case II, the control algorithm is tested under
sinusoidal source voltage and nonlinear load. In case III, the
performance of controller is tested under nonsinusoidal
source voltage and nonlinear load current. An R-L load is
used for linear load for case I and a three-phase uncontrolled
rectifier with R-L load is utilized as a nonlinear load for case
II and III. The APF is switched-on with above mentioned
loads at 0.1 s in each of the three cases. The load perturbation
response in each of the three cases is also observed by
applying an additional load at 0.3 s. The APF parameters
used for the simulation study.

Amps

-350
0.05
40

Amps

isa
ica

Amps

0.15

0.2

0.25

0.3

0.35

0.4

0.45

0.5

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.45

0.5

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.45

0.5

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.45

0.5

0.1

0.15

0.2

0.25
0.3
Time(s)

0.35

0.4

0.45

0.5

0
-40
0.05
20
0
-20
0.05
700

Vdc

0.1

0
-40
0.05
40

Volts

V.

Volts

350

650
600
0.05

Fig. 6. Simulated response of the APF for case II: Source voltage (vsa), load
current (iLa), source current (isa), APF current (ica) for phase-a and dc-link
capacitor voltage (Vdc).

The power factor is improved from 0.92 to 0.998. The FFT of

the compensated and uncompensated source currents are
carried out. The waveform and harmonic spectrum of the
source current signals before and after compensation are
illustrated in Fig. 7(a) and (b), respectively. The source
current THD in this case is reduces from 24.09% to 0.58% in
phase-a, 26.32% to 0.46% in phase-b and 25.39% to 0.38%
in phase-c.

A. Case I) Sinusoidal Voltage and Sinusoidal Load

Current
In this case, the source voltage as well as load current
signals are sinusoidal, so that the purpose of the APF is only
to compensate the reactive power. The APF is switched on at
0.1 s and additional linear load is applied at t = 0.3 s, the
controller corrects the phase difference between source
current and voltages. The waveforms of the source voltage,
load current, source current and APF current of phase-a and
dc-link capacitor voltage in this case are shown in Fig. 5. The
65

6
500

FFT window: 3 of 27.2 cycles of selected signal

vsa

Volts

40

0
-500
0.05
50

iLa
0.16

0.17

0.18
Time (s)

0.19

isa

100

0.25

0.3

0.35

0.4

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.1

0.15

0.2

0.25

0.3

0.35

0.4

-50
0.05
750

0.1

0.15

0.2

0.25

0.3

0.35

0.4

550
0.05

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0
-50
0.05
50

ica

60

Amps

80

40
20

Vdc

Mag (% of Fundamental)

0.2

-50
0.05
50

0.2

Fundamental (50Hz) = 22.93 , THD= 24.09%

0.15

Amps

-40
0.15

0.1

Amps

0
-20

10
Harmonic order

15

Volts

iLa Amps

20

20

Time(s)

(a)

(a)
FFT window: 3 of 27.2 cycles of selected signal

Phase 'a' voltage vsa x 0.2 and current isa

40

Volts & Amps

100

isa Amps

20
0
-20
-40
0.15

0.16

0.17

0.18
Time (s)

0.19

-100
0.05

0.2

0.1

0.15

Fundamental (50Hz) = 21.74 , THD= 0.58%

0.2

0.25

0.3

0.35

0.4

0.35

0.4

0.35

0.4

Phase 'b' voltage vsb x 0.2 and current isb

100

Volts & Amps

60
40

-100
0.05

20
0

10
Harmonic order

15

0.1

0.15

0.2

0.25

0.3

Phase 'c' voltage vsc x 0.2 and current isc

20

100

Volts & Amps

Mag (% of Fundamental)

100
80

(b)
Fig.7. Source current THD for phase-a (case II): (a) Before compensation, (b)
After compensation.

-100
0.05

0.1

0.15

0.2

0.25

0.3

Time(s)

(b)

C. Case III) Nonsinusoidal Voltage and Nonsinusoidal

Load Current
When the three-phase mains voltages are distorted, the
mains voltages have harmonic components. In order to get a
nonsinusoidal voltage in this case, the 5th harmonic
component of voltage of amplitude 40 volt are added with
each phases. After addition of this, the resultant voltage
signals are distorted with 15.04% THD.
This nonsinusoidal voltage is applied to six pulse
uncontrolled diode rectifier with R-L load which takes a
nonsinusoidal current of 22.54 % current THD. The
harmonics present in the load current are utility as well as
customer generated harmonics. The objective of the controller
in this case is to compensate reactive currents and customer
generated harmonics of the source currents. The
nonsinusoidal source voltage, load current, source current,
APF compensating current of phase-a and dc-link capacitor
voltage in this case are shown in Fig. 8(a). The Fig. 8(b)
reveals the angular difference between source voltages and
source currents before and after compensation. The
waveforms of the source currents after compensation (t > 0.1
s) are similar and in-phase with their respective voltages
waveforms. Load reactive power after compensation is fully
compensated and the source current contains the similar level
of distortion as present in the source voltages. This fulfills the
objective of the proposed APF controller. Fig. 9 shows the
waveform and harmonic spectrum of the source voltage, load
current and compensating source current of phase-a in which
source current THD are almost the same as the source voltage
THD.

Fig. 8. Simulated response of the APF for case III: (a) Source voltage (vsa), load
current (iLa), source current (isa), APF current (ica) for phase-a and dc-link
capacitor voltage (Vdc), (b) Phase-wise source voltage and current.
FFT window: 3 of 50 cycles of selected signal
400

vsa Volts

200
0
-200
-400
0.15

0.16

0.17

0.18
Time (s)

0.19

0.2

Fundamental (50Hz) = 324.7 , THD= 15.34%

Mag (% of Fundamental)

100
80
60
40
20
0

10
Harmonic order

15

20

(a)
FFT window: 3 of 50 cycles of selected signal
40

iLa Amps

20
0
-20
-40
0.15

0.16

0.17

0.18
Time (s)

0.19

0.2

Fundamental (50Hz) = 22.14 , THD= 22.06%

Mag (% of Fundamental)

100
80
60
40
20
0

10
Harmonic order

(b)

66

15

20

7
FFT window: 3 of 50 cycles of selected signal
40

isa Amps

20

[10]

0
-20
-40
0.15

0.16

0.17

0.18
Time (s)

0.19

0.2

[11]

Fundamental (50Hz) = 19.31 , THD= 15.61%

Mag (% of Fundamental)

100
80
60

[12]
40
20
0

10
Harmonic order

15

20

(c)
Fig. 9. THD of various signals of phase-a (case III): (a) Source voltage, (b) Load
current, (c) Source current.

VI.

CONCLUSION

The proposed optimal controller for the three-phase shunt

APF for customer generated harmonics and reactive power
compensation has been simulated to show the effectiveness of
the controller. The shapes of source currents are found similar
to the shapes of the respective source voltages. Also the
compensated source currents are in-phase with their
respective voltages that accomplish the main objective of the
controller. The system power factor after compensation is
improved to almost unity. The realization of the proposed
controller does not require the sensing of load currents and
source voltages, make the controller simple and cost effective.
The optimal control parameters of the APF are obtained by
minimizing the apparent power supplied by the source using
PSO, helps to achieve both the objectives simultaneously. It is
found that the APF can effectively eliminate the customer
generated harmonics and compensates the reactive power
required by the load resulting in unity power factor.
REFERENCES
[1]

[2]

[3]

[4]

[5]

[6]

[7]

[8]

[9]

H. Akagi and S. Atoh, Control strategy of active power filter using

multiple voltage source PWM converters, IEEE Transactions on
Industry Applications, vol. IA-22, pp. 460-465, May/June 1986.
M. El-Habrouk, M. K. Darwish and P. Mehta, Active power filters: A
review, IEE Proceedings on Electric Power Applications, vol. 147, no.
5, pp. 403-413, September 2000.
W. Xu, and Y. Liu, A method for determining customer and utility
harmonic contributions at the point of common coupling, IEEE
Transactions on Power Delivery, vol. 15, no. 2, pp. 804-811, April
2000.
B. Singh, K. Al-Haddad, and A. Chandra, A review of active power
filters for power quality improvement, IEEE Transaction on Industrial
Electronics, vol. 46, no. 5, pp. 960-971, October 1999.
G. W. Chang, A new approach for optimal shunt active power filter
control considering alternative performance indices, IEEE Transactions
on Power Delivery, vol. 21, no.1, pp. 406-413, January 2006.
J. Kennedy, R.C. Eberhart, Particle Swarm Optimization, IEEE
International Conference on Neural Networks IV, Piscataway, NJ, vol.
4, pp. 1942--1948, 1995.
Y. Shi, R.C. Eberhart, A modified Particle Swarm Optimizer, IEEE
International Conference on Evolutionary Computation, Piscataway,
NJ, pp. 69-73, 1998.
G.W. Chang and C. M. Yeh, Optimization-based strategy for shunt
active power filter control under non-ideal supply voltages, IEE
Proceedings on Electric Power Applications, vol.152, no. 2, pp.182190, March 2005.
B. Singh, K. Al-Haddad, and A. Chandra, A new control approach to
three-phase active filter for harmonics and reactive power

67

compensation, IEEE Transaction on Power Systems, vol. 13, no. 1,

pp. 133-138, February 1998.
S. George and V. Agarwal, A DSP-based optimal algorithm for shunt
active filter under nonsinusoidal supply and unbalanced load
conditions, IEEE Transactions on Power Electronics, vol. 22, no. 2, pp.
593-601, 2007.
S. K. Jain, P. Agarwal, and H. O. Gupta, A control algorithm for
compensation of customer-generated harmonics and reactive power,
IEEE Transactions on Power Delivery, vol.19, no. 1, pp. 357-366,
2004.
R. D. Patidar and S. P. Singh, A Fast Acting 1/z Controller for Shunt
Active Filter Operation for Harmonics and Reactive Power
Compensation, IEEE International Conference on Industry and
Information Systems(ICIIS-2008), IIT Khadagpur, India, pp. 1-6,
December 2008.

Wavelet Based Energy Function for

Symmetrical Fault Detection during Power
Swing
Rahul.Dubey, S.R.Samantaray ,Ashok Tripathy, B. Chitti Babu, and Muhammad Ehtesham
with knowledge of the likely speed of movement of the
impedance during the. Power swing. However, with this
setting, the relay fails to block if the apparent impedance
moves fast during power swing. Moreover, the relay may not
respond to genuine faults. Occurring during the power
swing period since it is blocked from operation [4, 5].
This will inevitably delay the operation of relay when a fault
occurs during the power
swings. Therefore, fault detection
during power swing is an important and critical issue for the
distance relays [6].
For a fault occurring during the power swing, the distance
relay should be able to detect the fault and operate correctly.
The power swing center voltage (SCV), defined as the voltage
at the location of a two-source equivalent system where the
voltage value is zero and the angles between the two sources
are 1800 apart, is used to distinguish faults from power swing
[7].However, it is difficult
to set
the
threshold,
especially when a fault arc is considered. It is easy to detect
the unsymmetrical fault and unblock the distance relay during
power swing with the negative and zero sequence
components, which do not exist during stable power swing
[3] .Some symmetrical fault detectors, are based on the
superimposed components or the rate of change of measured
impedance [8].
These detectors are fast, but cannot operate sensitively for
those faults that cause very small superimposed components,
such as those faults that occur at the power swing center
when
the power angle is close to 180.Thus, the issue
becomes more challenging in case of symmetrical faults
during power swing, because both, power swing and
symmetrical faults are balanced phenomena, resulting
blocking of the relay for faults during power swing.
Distinguishing faults from power swing by monitoring
the voltage phase angle at the relay location [9, 10], has been
found during suitable. However, only the single-phase faults
have been simulated and the method has not been applied to
symmetrical and
other
unsymmetrical
faults.
Research
on building intelligent schemes for blocking
power swings using adaptive, neuro-fuzzy
inference
systems
(ANFIS)
[11] has been reported. However,
neuro-fuzzy systems require huge numbers of
training
patterns in achieving a reliable relay function. Moreover,
it might need re-training for use in different power systems.
Advanced signal processing technique such as Wavelet
transform [12,13] is an effective tool for power system
transient analysis and feature extraction The Wavelet
transform is a time-frequency transform, retaining the time
information of the frequency spectrum, an added advantage
over Fourier Transform and basically a series of band pass
filters. However, in achieving a good location in time, it loses

Abstract Fault during power swing is one of the

challenging task for the distance relay functioning. This paper
focuses on developing Wavelet Energy (WE) based function for
symmetrical fault detection during power swing. The process
starts at retrieving the current signal samples during power
swing and processes it through Wavelet Transform to derive
detailed coefficient of wavelet d1 to d7, used to find out energy
of the signal, and called Wavelet Energy (WE). In the case
study, the three-phase symmetrical fault is created in the
transmission line and proposed algorithm detects the fault with
in one and half cycles for 60 Hz system. Simulation results
demonstrate the effectiveness of the proposed approach under
time-varying conditions.
Keywords Power Swing, Symmetrical Fault, Wavelet Energy,
Wavelet Transform (WT).

I. INTRODUCTION

ower swing are caused by sudden removal of faults, loss

of synchronism or changes in direction of power flow as a
result of switching and creates oscillations in power flow.
During power swing, the appearance impedance measured by
a distance relay may move in to the tripping zone of the
distance relay characteristics, causing unwanted trip [1]. To
ensure the reliable operation of the distance relay, power
swing blocking function is employed in most of the modern
distance relays to block the operation during pure power
swing [2, 3].
The most conventional power swing blocking method is.
Based on speed (timing) at which the impedance locus travels
in to the operating zones of the relay characteristics. the fault
conditions the apparent impedance trajectory travels faster
compared to the speed of the locus during power swing
conditions. This happens as this rate depends on the slip
frequency during power swing and is much slower
than the fault case. Generally, the relay takes hundreds of
milliseconds before approaching the relaying zones during
power swing. Thus, the time delay is one of the indices for
discriminating fault from power swing and that has to be set

Rahul Dubey is with Department of Electrical Engineering, National Institute

of Technology, Rourkela-769008, India (email: rahul.dubey2011@gmail.com)
S.R.Samantaray is with School of Electrical Sciences, Indian Institute of
Technology, Bhubaneswar-751 013, India (email: sbh_samant@yahoo.co.in)
B. Chitti Babu is with the Department of Electrical Engineering, National
Institute
of
Technology,
Rourkela-769008,
India
(email:
bcbabunitrkl@gmail.com)
Muhammad Ehtesham is with Department of Electrical Engineering,
National Institute of Technology, Rourkela-769008, India (email:
mdehtesham87@gmail.com)
Ashok Tripathy is with Department of Electrical Engineering, Silicon
Institute
of
Technology,
Bhubaneswar-751024,
India
(email:
tripathy_1948@sify.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

68

2
frequency location and provides such information in
frequency bands [14, 15]. Thus it has become a potential tool
for fault detection during power swing as the frequency of the
system varies over a range around the nominal frequency
during power swings and a fault gives rise to transients.
The proposed technique uses current signal samples and
process it though Wavelet Transform (db-4) and find out the
detailed coefficients at different level. Using the detailed
coefficients, the Wavelet Energy is calculated. Further, the
out-of-step blocking function is defined for final decision
making process which is used for distinguish symmetrical
fault from power swing. This paper is organized as
follows. In Section II, symmetrical fault (LLL) detection
methodology is analyzed. The proposed wavelet energy
functions for fault detection in presence of power swing are
described in Section III. Section IV describes modeling and
the simulation results. Section V reveals the general
conclusions followed by the references.

2.1 Discrete Wavelet Transform

The base functions are generated discretely to avoid
redundant
Information
by
selecting
a a0m and

b nb0 a0m [21]. Thus, discrete wavelet transform (DWT) is

defined as

DWT (m, n) 2

m
t n2

x
(
n
)

2 m
m n

(2)

Where, the discretized mother wavelet is

m,n (t )

1
a0

t nb0 a0m

a0

(3)

a0 ,b0 Are fixed constant with a0 1, b0 1m, n Z where

Z is set of integers.
In discrete case, to analyze the signal at different scales filters
of different cut-off frequencies are used. Signal is passed
through a series of high-pass filter (HPF) and low-pass filter
(LPF) to analyze the high frequency and low frequency
components respectively.

20
10

Pinst(p.u)

m
2

0
-10
-20
-30
0

0.5

1.5
time(second)

2.5

B. Multiresolution Analysis (MRA)

MRA allows the signal to decompose into various levels of
resolution. Course resolution level contains approximate
Information about low frequency components and retains the
main features of original signal. Detailed information
about the high frequency components are retained
from
the level
with finer resolution [20] this is an
effective method in which a signal is decomposed into scales
with different frequency and time resolutions and can be
implemented by using only two filters, one HPF
and Another LPF. Then the results are down sampled by a
factor of two and same two filters are applied to the output of
LPF from the
previous
stage. From the mother
wavelet,
the HPF derived and measures the details in a
particular input. On the other hand, the LPF delivers a
smooth version of the input signal and this filter is
derived from the mother wavelet scaling function.

Fig. 1 Instantaneous power (per unit) during power swing

10

Pmean(p.u)

-10

-20

-30
0

0.5

1.5
time(second)

2.5

Fig. 2 Mean power (per unit) during power swing

II. DETECTION METHODOLOGY

Wavelet Theory is the mathematics, which deals with nonstationary signals, using a set of components that look like
small waves, called wavelets. It provides multiple resolutions
in both time and frequency. It is a linear transformation like
the Fourier transform with one important difference: it allows
Time localization of a given signal with different frequency
components.

d1

A. Continuous Wavelet Transform

Continuous Wavelet Transform (CWT) of a signal x
(t) is defined as

CWT (a, b)

x(t )

d2

d7

g(n)

g(n)

g(n)

h(n)

h(n)

x(n)

1
t b

dt
a
a

20 kHz

10 kHz

(1)
Where (t) is the base function or mother wavelet, *
denotes a complex
conjugate
and a, b R, are the
translation
parameters,
respectively.
R is the real
number system. [20]

Fig. 3. MRA using Wavelet Transform

69

5 kHz

h(n)
0.156 kHz

3
antialiasing lter needs to be employed before the sampling
of the input waveforms
coming
from
instrument
transformers. There are many known solutions available for
implementing the antialiasing lters; hence, no further
discussion is given.

A sampling rate of 20 kHz is selected in this study.

Daubechies wavelet db4 is used as the mother wavelet since it
has given good performance for power system transient
analysis [18], [19]. Based on the sampling rate, the
current/voltage signal can be fully decomposed into seven
levels as shown in Table I [16], [17]. It is expected that the
transient energy will be captured in levels d1d4 and the
energy in level d7 will track the variations of current with
frequency around the nominal frequency. WT will decompose
the signal into 7 levels d1d7 as shown in Table I, each level
having detail coefficients. The total energy D in each level
d can be calculated using the Frobenius norm as

Wavelet
Level
d1
d2
d3
d4
d5
d6
d7

[d (i)]

Frequency
Band
(Hz)
5000-10000
2500-5000
1250-2500
625-1250
312.5-625
156.25-312.5
78.125-156.25

i 1

(4)
The total energy of levels of interestD7 for the current
signal and D1 through D4 for the voltage signal are
calculated and tracked. The reason for selecting the voltage
signal to track the energy of transients is because faults give
rise to more transients in the voltage than in the currents.

Center
Frequency
(Hz)
7500
3750
1875
937.5
468.75
234.375
117.1875

Table-I
Wavelet level and their corresponding frequency bands for a sampling
rate of 20 kHz

Start
A

Line-1

300KM
B

Relay
B

Line-2

Current signal at relaying point

(Phase- A current)

Processing through wavelet

Fault

Transform
Fig. 4 System studied for power swing classification.

Compute the energy of the signals

Ed6

III. PROPOSED WAVELET ENERGY FUNCTION FOR FAULT

DETECTION IN PRESENCE OF POWER SWING
The diagram of the proposed
symmetrical
fault
detection method based on the energy function technique
and wavelet transform is conceptually shown in Fig. 3

Ed6 >
threshold??

A. Data Acquisition
The proposed symmetrical fault detection in presence of
power swing requires data acquisition for all three phase
currents. Those data can be obtained directly from
measurement units of advanced digital relays. Most wavelet
transform based methods require high frequency sampling
rate. The detection method proposed in this paper can be used
in a wide range of sampling rates. Considering advanced
digital relays using sampling
rate of 10 kHz, the
same sampling rate is selected in this study, which can satisfy
the requirements of the wavelet transform proposed in this
scheme with good results. In order to avoid aliasing due to
the fault
transients and low sampling rate, an analog

No
Yes

Fault detected

Power swing

Fig. 5 flow chart for the proposed energy function for fault detection in
presence of power swing

70

Initially, a three-phase fault is created on line-2 and after

15 cycles (0.25 sec) the fault is cleared by opening the
respective circuit breakers at both end of line-2. This
sends the power system into power swing. Fig 4 shows the
voltage and current signals of power swing (a-b-c fault at 80

B. Wavelet Transform
The samples are fed to the relay at a reduced rate of 10 kHz,
because higher sampling rate is not required for normal relay
functions. The samples of the three-phase current of any one
phase(say IA) are processed with WT. Using (1), the indices
D1,D2,D3,D4,D5,D6 and D7 are formed for current(IA).

km from the line, fault resistance RF=10, 45 ).

0

1
d1

C. Wavelet Energy
After processing through WT. We get indices D1 to
D7 and cross ponding that we get Ed1 to Ed7 i.e. shown in
Table-III. Clearly.

0.5

1.5

2.5

0.5

1.5

2.5

0.5

1.5
time(second)

2.5

d2

D. symmetrical Fault Detection (LLL-G)

After calculating the energy(Ed) for each indices then
Comparing Ed6 with Eth (power swing) so fault is detected.
(Ed6>Eth)

0
-2
0

d3

IV. SIMULATION RESULT

0
-5
0

The studied power system is developed using MATLAB

(SIMULINK) software package, is shown in
Fig.2. The
complete power system includes parallel transmission lines
(distributed model) of 300 km each (AB and BC are 150 km
each) and connected to the source (600 MVA) and
infinite bus, respectively, at both ends. The relaying
point R, where voltage and current signal samples (per
unit) are retrieved, is as is shown in Fig.2. The operating
voltage and frequency of the transmission system are 400kV
and the sampling rate is 20 kHz on 60 Hz base frequency
(333 samples per cycle). The system details are given in the
Appendix-I.

Fig. 8. D1 to D3 fault during power swing

d4

5
0

d5

-5
0
5

d6

1.5

1.5

2.5

0.5

1.5

2.5

0.5

1.5
time(second)

2.5

2.5

1.5
2
time(second)

2.5

0
-5
0

0.5

0
-5
0
5

voltage(p.u)

0
-1
0

0.5

Fig. 9. D4 to D6 fault during power swing

0
-0.5

-1.5
0

0.5

1.5
time(second)

2.5

current(p.u)

-1
3

Fig. 6. Phase-A voltage waveforms during power swing.

50
0
-50
0

0.5

0.5

1.5

20

5
d5

current(p.u)

10
0

-10

-5
0

-20
-30
0

0.5

1.5
time(second)

2.5

Fig. 10. Phase-A current and D5 LLL-fault during power swing

Fig. 7. Phase- current waveforms during power swing

71

5
Table II
Energy of the signals for different wavelet level d1 to d7
(delta=450, LLL-faults)

Energy of the
signals
Ed1
Ed2
Ed3
Ed4
Ed5
Ed6
Ed7

Without faults

With faults

0
0.0001
0.0007
0.0018
0.0341
0.4036
6.4198

0
0.001
0.0159
0.0243
0.1033
0.8584
9.0941

APPENDIX-I
The parameter of the system used for simulation (Fig.2) is as
given below.
Equivalent Generator G: 600 MVA, 22 kV, 60 Hz,
inertia constant 4.4 MW/MVA.
Transformer: 600 MVA, 22/400 kV, 60 Hz,
Transmission lines Parameter:Zero sequence impedance: ZL0 =96.45 + j 335.26 ohms
Positive sequence impedance: ZL1 =9.78 + j 110.23 ohms
Source impedance: Z S 6 j 28.5 ohms
Source voltages:
E S 400 kV
Where = load angle in degrees.
REFERENCES

TABLE-III

Xu Zhengya. New distance relay for transmission line, China

water and hydroelectricity press, 2002.
[2] AREVA, MiCOMho P443 fast multifunction distance protection,
AREVA T&D Automation & Information Systems.
[3] NARI-Relays electric limited company. RCS-901A/B EHV
transmission line distance protection.
[4] P. J. Moore and A. T. Johns, New method of power swing blocking
for digital distance protection Proc. Inst. Elect. Eng., Gen.,
Transm.Distrib., vol. 143, no. 1, pp. 1926, Jan. 1996.
[5] X. Lin, Y. Gao, and P. Liu, A novel scheme to identify symmetrical
faults occurring during power swings IEEE Trans. on Power. Del.,
vol. 23, no. 1, pp. 7378, Jan. 2008.
[6] S. Jiao, Z. Bo, W. Liu, and Q. Yang, New principles to detect faults
during power swing in Proc. Inst. Elect. Eng., Developments in
PowerSystem Protectio 7th Int. Conf., Amsterdam, The
Netherlands, 2001, pp. 515518.
[7] G. Benmouyal, D. Hou, and D. Tziouvaras, Zero-setting powerswing blocking protection, 31st Annu. Western Protective Relay
Conf., Spokane, WA, Oct. 2004.
[8] Zhu Shengshi, Theories and techniques of the protection in high
voltage power system, China electrical power press, 1995.
[9] A. Mechraoui and D. W. P. Thomas, A new blocking principle with
phase and earth fault detection during fast power swings for distance
protection, IEEE Trans. on Power. Del., vol. 10, no. 3, pp. 1242
1248, Jul. 1995.
[10] A. Mechraoui and D. W. P. Thomas, A new principle for high
resistance earth fault detection during fast power swings for distance
protection, IEEE Trans. on Power. Del., vol. 12, no. 4, pp. 1452
1457, Oct. 1997.
[11] H. K. Zadeh and Z. Li, A novel power swing blocking scheme
using adaptive neuro-fuzzy inference system, Electric Power Syst.
Res., vol. 78, pp. 11381146, 2008.
[12] J. Faiz and S. Lotfi-Fard, A novel wavelet-based algorithm for
discrimination of internal faults from magnetizing inrush currents in
power transformers, IEEE Trans. Power. Del., vol. 21, no. 4, pp.
19891996, Oct. 2006.
[13] N. Zhang and M. Kezunovic, Transmission line boundary
protection using wavelet transform and neural network, IEEE
Trans. on Power. Del., vol. 22, no. 2, pp. 859869, Apr. 2007.
[14] C. Parameswariah and M. Cox, Frequency characteristics of
wavelets IEEE Trans. on Power Del., vol. 17, no. 3, pp. 800804,
Jul. 2002.
[15] D. C. Robertson, O. I. Camps, J. S. Mayer, and W. B. Gish,
Wavelets and electromagnetic power system transient , IEEE
Trans. on Power Del., vol. 11, no. 2, pp. 10501058, Apr. 1996.
[16] C. Parameswariah
and M. Cox, Frequency characteristics
of wavelets, IEEE Trans. Power Del., vol. 17, no. 3, pp. 800
804, Jul.2002
[17] D. C. Robertson, O. I. Camps, J. S. Mayer, and W. B.
Gish, Wavelets and electromagnetic power system transient, IEEE
Trans. Power Del. vol. 11, no. 2, pp. 10501058, Apr. 1996.
[18] S. Santoso, E. J. Powers, W. M. Grady, and P. Hofmann,
Power quality assessment via wavelet transform analysis,
IEEE Trans. Power Del., vol. 11, no. 2, pp. 924930, Apr. 1996.
[1]

FAULT SITUATIONS TESTED USING THE PROPOSED

WAVELET ENERGY FUNCTION
Fault
Types

a-b-c

Fault
resistance
(ohm)

Fault
location
(km)

Fault
inception
angle
(degree)

Power
angle
(degree)

Response
time
(cycles)

10

60

30

45

1.53

100

170

45

60

1.54

20

50

45

60

1.55

100

160

60

45

1.53

10

85

90

60

1.55

b-c-g

50

120

45

45

1.55

c-a-g

100

180

60

60

1.54

a-b

20

30

45

45

1.54

b-c

50

90

60

60

1.54

c-a

100

160

30

45

1.53

a-g

20

30

45

1.54

b-g

50

130

60

45

1.54

c-g

100

180

30

60

1.55

a-bc-g
a-b-g

V. CONCLUSIONS
A new technique for detecting symmetrical fault (LLL) in
presence of a power swing has been obtained by analyzing the
current signal at relay end. the effectiveness of a new and
reliable approach for the characterization of symmetrical fault
(LLL) during a power swing in time varying condition. the
proposed approach is based on an optimized use of the DWT
by a simple pre-processing of the variables to be analyzed. In
the case study, the three-phase fault is created in the LINE-2
and proposed algorithm detects the fault with in one and half
cycles for 60Hz system. A new diagnostic method based on
the current modulating signals (LINE-1) pre-processing by
Discrete Wavelet Transform (DWT) thereby is here proposed
to detect faults during power swing dynamically over time.
Simulation results demonstrate the effectiveness of the
proposed approach under time- varying conditions.
72

6
[19] A. Osman and O. P. Malik, Transmission line distance
protection based on wavelet transform, IEEE Trans. Power Del.,
vol. 19, no. 2,pp. 515 523, Apr. 2004.
[20] J . Upender, C. P. Gupta and G. K. Singh, Discrete wavelet
transformand
probabilistic
neural
network
based
algorithmfor classification
of fault on transmission systems,
in India conf. IEEE,INDICON 2008,11-13 Dec,2008, Vol.1, pp.
206-211.
[21] L. H. Hansen, L. Helle, F. Blaabjerg, E. Ritche, S. MunkNielsen, H. Bindner, P. Sorensen, and B. Bak-Jensen, Conceptual
survey of generators and power electronics for wind turbines, Ris
Nat. Lab., Rockilde, Denmark, Dec. 2001.

73

A Novel Algorithm for Asymmetrical Fault

Detection in DFIG based Wind-Farm using
Wavelet Singular Entropy Function
Rahul Dubey,Ashok Tripathy, Senior Member IEEE, and Muhammad Ehtesham

particular, with plan of offshore installations, which makes it

more inaccessible, it is vital to simultaneously increase
reliability and service interval [1].
Like every electrical machine, wind generators are prone to
electromechanical faults and require attention at the incipient
stage to avoid escalation of the fault to cause a
breakdown or major damage. Faults may occur in stator,
rotor, bearings, air gap (eccentricity), etc. However, a
literature survey shows that bearing faults and stator
insulation breakdown cause the majority of machine failures
[6], [7]. Induction-machine stator winding insulation
degradation Is one of the major (about 40%) causes of
machine failure [6]. Stator faults begin with degradation of
the insulation between turns, and consequently, an interturn
short circuit occurs.
Fault-diagnostic methods for squirrel-cage induction motors
have been researched extensively, and commercial systems
for diagnosis of mechanical problems such as broken rotor
bars us ing motor-current signature analysis (MCSA) and
bearing faults using vibration analysis are available these
days [4], [8]. However, fault diagnosis for DFIGs has
remained little explored.
Some
research has already been conducted
on
stator interturn-fault diagnosis of DFIGs in the last ve
years, and a literature survey was made to explore
existing methods. It suggests that existing techniques are
based on vibration analysis [2] or MCSA of stator current [1]
, [4], [10]. However, these methods have shortcomings
due to the need of sophisticated vibration-sensing
equipment that is partly invasive, requiring physical
installation of sensors on the generator [4] or based on
experimental results alone, [10] without complete
theoretical basis and fail to prove reliable detections
when the DFIG operates under imbalanced-load conditions
[1], [4].
The control schemes used in DFIGs are typically of ve
types [11], but the most popular schemes are based on a DFIG
with static Kramer drive and a DFIG with back-to- back
converter [6]. DFIGs used as wind generators are grid
connected and are frequently subjected to imbalanced load in
three phases. Hence, it is essential to justify the
existence of frequency used for fault detection with suitable
theory and analysis in order to discover an unambiguous
fault-detection technique in the presence of imbalanced load
in DFIGs. The objective of this paper is to therefore develop a

Abstract This paper proposes a novel technique for

asymmetrical fault detection (LLL-G) in DFIG based
wind farm using wavelet singular entropy function. In this
study, there are six wind turbine driven DFIG are
grouping together to make wind farm and 9 MW power is
feeding to the grid. Further, the rotor is supplied by a
bidirectional PWM converter for the control of active and
reactive power flows from DFIG to the grid. In the case
study, the three-phase fault is created in the grid and
proposed algorithm detects the fault with in one and half
cycles for 60 Hz system. A new diagnostic method based
on the grid modulating signals pre-processing by Discrete
Wavelet Transform (DWT) to derive singular values, used
to find out Shannon entropy, called Wavelet Singular
Entropy (WSE) is here proposed to detect grid faults
dynamically over time. Simulation results demonstrate the
effectiveness of the proposed approach under time-varying
conditions.
Index Terms Doubly Fed Induction Generator
(DFIG), Asymmetrical fault (LLL-G), Wavelet transform
(WT), Wavelet Energy (WE).Wavelet Singular Entropy
(WSE)
I.

INTRODUCTION

in
the area of
fault diagnosis and
RESEARCH
condition monitoring of wind generators has generated
keen interest as the clamor for renewable energy [1][5]
becomes louder and clearer due to burgeoning oil prices.
Wind generators used for high-power range (660 kW to 2
MW) are mainly wound-rotor synchronous generators and
doubly fed induction generators (DFIGs) [5]. Normally, 690V DFIGs are used in this power range and relate to major
market share [5]. The need for an accurate conditionmonitoring and fault-detection method is high to reduce the
operating and maintenance costs of wind energy systems. In

Rahul Dubey is with Department of Electrical Engineering, National Institute

of Technology, Rourkela-769008, India (email: rahul.dubey2011@gmail.com)
Ashok Tripathy is with Department of Electrical Engineering, Silicon
Institute
of
Technology,
Bhubaneswar-751024,
India(email:
tripathy_1948@sify.com)
Muhammad Ehtesham is with Department of Electrical Engineering, National
Institute
of
Technology,
Rourkela-769008,
India
(email:
mdehtesham87@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

74

2
frequency distribution of the fault transient. Shannons
entropy is an important uncertainty measure for evaluating
structures and patterns of analyzed data. It is dened by
Claude E. Shannon in 1948 as follows [12]. Let
X x1 , x2 , x3 ,......xn be a discrete random variable

fault-diagnostic method that could be applied to any DFIG,

irrespective of its control scheme, and provide unambiguous
fault detection in spite of imbalanced loading.
This paper is written in the following way. In section
II, asymmetrical fault (LLL-G) detection methodology is
analyzed. Section III describes proposed WSE function for
fault detection DFIG based wind farm. Section IV discusses
the simulation results and conclusion is given in section V.

with n
whose

t
st
(1)

m
m
Where m the scale is factor and is the translation factor.
The coefcients of WT C m, ) are dened by the following

C (m, ) st W

t dt

B. Wavelet Singular Entropy (WSE)

The following procedures are carried out for computing WSE:
1) Process the current signal samples using WT, where
the db4 mother wavelet and 4-scaled WT are
chosen in the transformation. Then, a 4 n WTcoefcient matrix A can be obtained by means of
(2).
2) The matrix A is decomposed with SVD in (4), and a
singular-value
array
can
be
obtained
as 1 , 2 ,........, r , where r is the rank of the

(3)

0
0

0
0

r 1
0

(5)

i 1

. The value of r may be

diagonal matrix
very large and the value of i
as well as its

called

embodied information will decrease with the

increase of i .
3) In order to obtain the entropy of the singular value
array, the probability p i associated with i
is

singular values of matrix A the singular values are all

nonnegative and arranged in a non-increasing order
(i.e. 1 2 3 ........ r 0 ). If matrix A represents the

(4)

H X EI X pi ln pi

A. Singular Value Decompositions and Shannon Entropy

The Singular Value Decomposition (SVD) for
any m n matrix A, m r orthogonal matrix U , a
transpose of an n r orthogonal matrix V , and a r r
diagonal matrix consequentially exist, which enable A to
be equivalently represented in the SVD form as follows [14]

1
0

0
0

probabilities

is a random variable, it is not suitable for measuring the

uncertainty of the whole data. Therefore, the mathematical
Expectation of I X is dened as entropy which is denoted
by H X

i i 1,2,3...., r are

the

X as self-information which is denoted as IX . As the I X

Generally, WT consists of successive pairs of low- and high

pass lters. For each pair, the high-scale and low-frequency
components are called approximations, while the low-scale
and high-frequency components are called details. The
approximations and details form the WT-coefcient matrix
that we need.

Where
And its diagonal elements

as

of 0 pi 1

The Base-e logarithm will be used throughout this paper [14]

[i.e. a e ln 2 ]. We may call the information content of

(2)

A UV T

terms

i 1,2,3......, n

inner product:
'
,m

the

I xi log a pi

satisfy

associated with those n states. The uncertainty information of

each possible state xi is

The denition of continuous WT for a given signal s (t) with

respect to a mother wavelet (t) is given as follows [13]:

W ,m t

values

and pi 1i 1,2,3....., n

II. DEFINITION OF WAVELET SINGULAR ENTROPY

possible states. Let P p1 , p2 , p2 ,......., pn ,

0
0

0
r

dened as follows:

pi

(6)

4) Finally, the k ordered WSE of s t is obtained by (5)

j 1

WSEk pi ln pi k r

Time-frequency information of the transient, the matrix A

will represent the basic modal characteristics of A. Therefore,
we use SVD to analyze the obtained WT coefcient matrix
and provide briey numerical representation for the time

i 1

75

(7)

3
The order of WSE inuences the WSEk results. We can
conclude after performing number of test that it is proper to
choose k=8 in this paper, with enough precision and
acceptable computing cost.

Where k is the number of effective singular values

involvedin the WSE calculation process.
According to the aforementioned denition, WSE is used
to map the correlative wavelet space into independent
linearity space, and to indicate the uncertainty of the energy
distribution in the timefrequency domain with a high
immunity to noise. Due to its way of implementation, WSE is
sensitive to the transients produced by the faults, and the
fewer modes the transients congregate to, the smaller the
WSE is. Therefore, the proposed WSE will be suitable and
useful for measuring the uncertainty and complexity of the
analyzed signals, and will provide an intuitive and
quantitative outcome for the fault diagnosis which can be
utilized to overcome the drawbacks in the previous
methodologies.

Fault Detection Tests in Simulations

In this study, there are six wind turbine driven DFIG are
grouping together to make wind farm and 9 MW power is
feeding to the grid. Further, the rotor is supplied by a
bidirectional PWM converter for the control of active and
reactive power flows from DFIG to the grid. In the case study,
the three-phase fault is created in the grid and proposed
algorithm detects the fault with in one and half cycles for 60
Hz system.
Relay

30KM

III. PROPOSED WSE FUNCTION FOR FAULT DETECTION

DFIG BASED WIND FARM

DFIG
WindFarm

The denition of WSE in Section II, we set the sampling

frequency to be 20 kHz, take the 400-sample-long sequence in
a time window as the input of WSE, and move this time
window by a step of 400 samples. The order of WSE is
chosen as k=4, 16, 32, 64. Consequently, the results of WSE
at associated instants can be calculated.

B1

Fault

B2

Fig. 2 Simulated Systems

Table I
PARAMETERS OF THE TRANSMISSION LINE

Start

Current data at relaying point (phase-a)

R1=0.1153 /km

R0=0.413 /km

L1=1.05X10-3 H/km

L0=3.37X10-3 H/km

C1=11.33X10-9
F/km

C0=5.01X10-9 F/km

Where
R1: Positive Sequence Resistance
R0: Zero Sequence Resistance
L1: Positive Sequence Inductance
L0: Zero Sequence Inductance
C1: Positive Sequence Capacitance
C0: Zero Sequence Capacitance

WT-coefficient matrix A, by (2)

Singular value of matrix A, by (3)

Probability array P, by (6)

Iabc

K-order WSE, by (7)

WSEK

-5
0
3
2

0.04

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

threshold

1
0
0

WSEK>Threshold

0.02

0.02

0.04

time(sec)

Fig.3. phase-A current (in p.u) and WSE8 results in (LLL-G) faults
condition.(Rf=1, LLL-G fault start at t=0.1sec and at t=0.12sec)

Yes

IV. SIMULATION RESULTS

No

Fig. 2 shows the system selected for simulation. The system

details are given in the Table-II. The system is simulated
through MATLAB computer simulation package. The
sending end (SE) is modeled as an equivalent machine and
the receiving end (RE) is modeled as a DFIG wind-farm. The
corresponding results are presented here. All the simulation

No fault
Faulty phase
involved
Fig. 1 flow chart for the proposed WSE-function for fault detection in presence of
DFIG wind-farm

76

4
result is taken for RF=10 and faults duration t=0.08sec to
0.12sec.

1.5
1

-4

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0.04

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0.04

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0.04

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0
-0.5

-1.5
0

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

0.2

d5

Fig. 8. Stator voltage during LLL-G faults

0.04

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0.04

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0.04

0.06

0.08

0.1 0.12
time(sec)

0.14

0.16

0.18

0.2

I-rotor(p.u)

d7

d6

0.5

-1

d4

d3

d2

0.04

V-stator(p.u)

d1

x 10
5
0
-5
-3
0x 10 0.02
1
0
-1
0.02
0.010
0
-0.01
0
0.02
0.1
0
-0.1
0
0.02
0.2
0
-0.2
0
0.02
0.05
0
-0.05
0
0.02
0.1
0
-0.1
0
0.02

0
-2
-4

Fig.4. Wavelet- d1 to wavelet-d7 decompose signal

-6
0

Iabc

0.02

0.04

0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

0.2

0.14

0.16

0.18

0.2

0.14

0.16

0.18

0.2

0.18

0.2

0.5

0.2
I- grid(p.u)

D7

0.06

-5
0
0.1
0
-0.1
0
2

WSEK

0.04

Fig. 9 rotor current signals during LLL-G faults

0.02

0.04

0.06

0.08

0.1

no fault
0.02 0.04 0.06

0
0

0.12

0.14

0.16

0.18

-0.5

0.2

fault

threshold

0.08

0.1

0.12

-1
0

0.14

0.16

0.18

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

Fig. 10 grid current signals during LLL-G faults

0.2

time(sec)

4
3

Fig.5. 3-phase current (in p.u), wavelet-d7detailed coefficient and WSE8 results
in (LLL-G) faults condition

2
Ia(p.u)

P
Q

1.5
P & Q( in p.u)

0.02

0
-1

-2
-3

0.5

-4
0

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

Fig. 11 Phase-a current signal at relay end during LLL-G faults

-0.5
4

-1
0

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

0.2

Fig. 6 P (active power) and Q (reactive power) during LLL-G faults

1
Ib(p.u)

4
2

I-stator(p.u)

-1
0

-2

-2

-3

-4

-4
0

-6
0

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

Fig. 12 Phase-b current signal at relay end during LLL-G faults

0.2

Fig. 7. Stator current during LLL-G faults

77

5
diagnostic method based on the grid modulating signals preprocessing by Discrete Wavelet Transform (DWT) to derive
singular values, used to find out Shannon entropy, called
Wavelet Singular Entropy (WSE) is here proposed to detect
grid faults dynamically over time. From the simulation
results, we could observe that, the proposed method not only
detects the fault within one and half cycle of fundamental
wave, also it reveals the effectiveness under time- varying
conditions.

4
3
2
Ic(p.u)

1
0
-1
-2
-3
-4
0

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

0.2

Fig. 13 Phase-c current signals at relay end during LLL-G faults

1.22
1.215

Fault
Types

1.21

wr

1.205
1.2

TABLE-II
FAULT SITUATIONS TESTED USING THE PROPOSED
WAVELET SINGULAR ENTROPY
Fault
Fault
Fault
Power
Response
resistance
location
inception
angle
time
(ohm)
(km)
angle
(degree)
(cycles)
(degree)

1.195

a-b-c

1.19
1.185
0

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

Tm

45

1.50

100

170

45

60

1.54

20

50

45

60

1.50

100

160

60

45

1.53

10

85

90

60

1.50

b-c-g

50

120

45

45

1.55

c-a-g

100

180

60

60

1.54

a-b

20

30

45

45

1.50

a-b-g

-0.65

-0.7

-0.75

0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

0.2

Fig. 15 Tm (mech. torque) signals during LLL-G faults

0.5

b-c

50

90

60

60

1.54

c-a

100

160

30

45

1.53

a-g

20

30

45

1.50

b-g

50

130

60

45

1.54

c-g

100

180

30

60

1.55

REFERENCES

[1]

-0.5
Tem

30

a-bc-g

-0.6

-1

[2]

-1.5

[3]

-2
-2.5
-3
0

60

0.2

Fig. 14 wr signals during LLL-G faults

-0.8
0

10

[4]
0.02

0.04

0.06

0.08

0.1
0.12
time(sec)

0.14

0.16

0.18

0.2

Fig. 16 Tem (elec. mag. torque) signals during LLL-G faults

[5]

V. CONCLUSIONS
In this paper, a new technique for detecting asymmetrical
fault (LLL-G) in presence of a DFIG has been studied by
analyzing the current signal at relay end and the effectiveness
of a new and reliable approach for the characterization of
asymmetrical fault (LLL-G) in time varying condition is
observed. The proposed approach is based on an optimized
use of the DWT by a simple pre-processing of the variables to
be analyzed. In the case study, the three-phase (LLL-G) fault
is created in the grid and proposed algorithm detects the fault
with in one and half cycles for 60Hz system. A new

[6]

[7]
[8]

[9]

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P. Caselitz, J. Giebhardt, T. Kruger, and M. Mevenkamp, Development
of a fault detection system for wind energy converters, in Proc. EUWEC,
Gteborg, Sweden, 1996, pp. 14.
Q. F. Lu, C. T. Cao, and E. Ritche, Model of stator inter-turn short circuit
fault in doubly-fed induction generators for wind turbine, in Proc. 35th
Annu. IEEE PESC, Jun. 2004, vol. 2, pp. 932937.
I. Albizu, A. Tapia, J. R. Saenz, A. J. Mazon, and I. Zamora, Online
stator winding fault diagnosis in induction generators for renewable
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932937.
L. H. Hansen, L. Helle, F. Blaabjerg, E. Ritche, S. Munk-Nielsen, H.
Bindner, P. Sorensen, and B. Bak-Jensen, Conceptual survey of
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S. Nandi and H. A. Toliyat, Fault diagnosis of electrical machines a
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[10] W. T. Thomson, On-line MCSA to diagnose shorted turns in low voltage
stator windings of 3-phase induction motors prior to failure, in Proc.
IEEE-IEMDC , 2001, vol. 1, pp. 891898.
[11] J. A. Baroudi, V. R. Dinavahi, and A. M. Knight, A review of power
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[13] Z. Y. He, X. Q. Chen, and G. M. Luo, Wavelet entropy measure
denition and its application for transmission line fault detection and
identication (part I: Denition and methodology), in Proc. IEEE Int.
Conf. Power System Technology, Oct. 2006, pp. 16.
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computation and some applications, IEEE Trans. Autom. Control, vol.
AC-25, no. 2, pp. 164176, Apr. 1980.
[15] J. Upender, C. P. Gupta and G. K. Singh, Discrete wavelet transform and
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fault on transmission systems, in India conf., IEEE,INDICON 2008,1113 Dec,2008, Vol.1, pp. 206-211.
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Classication in EHV Transmission Line Based on Wavelet Singular
Entropy IEEE Transactions on Power Delivery, Vol. 25, No. 4, October
2010.
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transmission lines relaying approach based on the wavelet analysis of the
fault generated traveling waves, in Proc. 39th Int. Univ. Power Eng.
Conf., 2004, vol. 1, pp. 805809.
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79

Performance Evaluation of HVDC System

With ESCR Variation
Ramesh Devarapalli, Student Member IEEE and R. K. Pandey, Senior Member IEEE

Section II gives a brief introduction about the concept of

ESCR for an AC/DC network. Section III provides the system
description used in simulation in PSCAD/EMTDC
environment. Section IV presents various case studies with
varying AC system strength and also analyzes the conditions
critically. Section V concludes the work reported.

AbstractThis paper presents a study of HVDC system with

variation in effective short circuit ratio (ESCR). The sample
system considered is CIGRE benchmark model in PSCAD/
EMDC environment. An analysis has been presented for various
ESCR values which show the sensitivity of converter control
under low ESCR conditions. The investigations reveal improper
converter operations, in case AC system strength is not
maintained adequately. This may be used as guidelines for
upcoming HVDC link in varying AC system strength conditions.

II. CONCEPT OF ESCR

The simplified model of AC/DC network is represented by
Thevenins equivalent as shown in Fig. 1. If SSC denotes the
short circuit capacity at the commutation bus and PdN denotes
the nominal power at the HVDC link then the Short Circuit
Ratio (SCR) is defined [4] as given in (1),

Index TermsEffective Short Circuit Ratio (ESCR), Voltage

Dependent Current Order Limit (VDCOL), CIGRE,
PSCAD/EMTDC.

I. INTRODUCTION
SCR

HE HVDC system has been considered as one of the

effective real power modulating controller in AC/DC
system. Since the system stability is primarily governed by
real power availability at respective AC system, any deficit
may result unwanted oscillations in generating units which, if
not regulated, may be detrimental for entire AC/DC system
[1-3]. The growth of AC system interconnection in improper
way may affect the short circuit ratio. The effective short
circuit ratio (ESCR) is one of the important parameter which
may change the AC system conditions at interface of DC
system. This will affect the respective bus voltages and also
converter control interaction, especially if the terminal is
operating as inverter. Therefore, in order to maintain proper
HVDC system operation, it is essential to study the entire
range of ESCR variation at either side of converter and
accordingly HVDC converter controllers have to be designed
to have minimum instability in converter control.
This paper presents performance evaluation of HVDC
system with varying ESCR and comments on the acceptable
ESCR values and also the repercussions on AC/ DC system
operation.

S SC

(1)

PdN
Id

SCR

Pd

AC network

Qd

Vd

Shunt
Qc
Compensation

ESCR

AC Filter

Fig. 1. Simplified model for AC/DC network.

When the DC-nominal power and AC nominal voltage at the

commutation bus are the bases then SSC is equal to

in per

Z1

unit, resulting in the definition of SCR as given in (2),

SCR

(2)

Z1

In Fig. 1, QC denotes the reactive shunt compensation then

the Effective Short Circuit Ratio (ESCR) which is the SCR
including reactive compensation at the commutation bus is
given as (3),

Ramesh Devarapalli is working towards M.Tech degree at Electrical

Engineering Dept., Institute of Technology, Banaras Hindu University,
Varanasi-221005, India(e-mail: ramesh.itbhu@gmail.com ).
R. K. Pandey is with Electrical Engineering Dept., Institute of Technology,
Banaras
Hindu
University,
Varanasi-221005,
India
(e-mail:
rpsneh@yahoo.co.in ).

978-1-4673-0455-9/12/$31.00 2012 IEEE

80

S SC QC

HVDC transmission system. For the purpose of simulation

and analysis, AC network strengths are kept strong by
selecting ESCR value to 5.0 on both the converter ends. The
PSCAD/EMTDC simulation results for this case are shown in
the Fig. 3.

(3)

PdN

Generally, the AC systems are classified into strong, weak

and very weak systems as per ESCR values of more than 3,
between 3 to 2 and less than 2 respectively.

Rectifier_End : Graphs

2.00

III. HVDC SAMPLE SYSTEM STUDIES

1.50

1.00

1.00

-2.00
0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

A
V

A
V

DC Current

DC Volts

2.00

1.00

1.00

0.50

0.50

0.00

-0.50

-1.00

-1.00

2.00

y (p u )

6.684 [uF]

15.044[uF]

26.0 [uF]

VacI

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0.5968 [H]

...
...
...

0.00

DC Current

DC Volts

2.00

1.50

1.50

1.00

1.00

0.50

0.50

0.00

DC Current

The controller design for the HVDC system has been

shown in Fig. 2 which consists of VDCOL whereas the
inverter controller is equipped with extinction angle
controller as well. By continuous monitoring of DC side
parameters, the firing pulses to the converter are produced by
respective controllers in order to have desired power transfer.
The simulation analysis has been carried out in the
subsequent sections for ESCR variations of AC systems on
both the inverter and rectifier terminals. The simulation
results are analysed and comment on HVDC system operation
has been done.

0.90

1.00

...
...
...

0.10

0.20

0.30

0.40

0.50

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

DC Current

DC Volts

0.00

-1.50
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

0.40

0.50

Inverter_End : Graphs

Pow er

2.3k

2.0k

2.0k

1.8k

1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

0.8k

0.8k

0.5k

0.5k

0.3k

Pow er

0.3k

0.0
0.00

0.80

DC Volts

Rectifier_End : Graphs

2.3k

0.70

0.60

-1.00

-1.50

Untitled_2

0.50

-0.50

-1.00

Fig. 2. PSCAD/EMTDC model for bipolar HVDC system.

0.40

Inverter_Pole2 : Graphs

-0.50

VrmsI

2.5 [ohm]

0.30

-1.50

0.10

2.5 [ohm]

0.20

0.00

-0.50

Pi
0.5968 [H]

0.10

Inverter_Pole1 : Graphs

1.50

0.00

Untitled_1

0.00

Rectifier_Pole2 : Graphs

VrmsR

Pr

...
...
...

1.50

Ibus
Inverter_AC

Rectifier_AC

-1.50

0.10

-1.50

Inverter

VacR

y (p u )

y (p u )

2.00

0.5968 [H]

Rectifier

0.00
-0.50

Rectifier_Pole1 : Graphs

0.00

Rbus

AC Voltage

-1.00

-2.00
0.00

AC Volts (RMS)

0.50

0.00
-0.50

-1.50

26.0 [uF]

Graphs Page

1.50

y (p u )

2.5 [ohm]

2.00

-1.00

y (p u )

2.5 [ohm]

Inverter_End : Graphs

AC Voltage

0.50

The base model [5] has been taken for carrying the
complete analysis. Bipolar configurations of HVDC
transmission has been developed with adequate control
interface in PSCAD/EMTDC environment shown in Fig. 2.
The system data has been given in Appendix A.
0.5968 [H]

AC Volts (RMS)

y (p u )

ESCR

0.0
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

0.40

0.50

Fig. 3. ESCR=5 at both converter terminals

Under the healthier condition of AC systems the HVDC

system is capable of supplying the rated power without any
fluctuations. It has been observed during course of analysis
that as the strength of AC system is getting more, the whole
network is becoming more stable for interactions like short
term line outages, and can operate with rated conditions.

IV. ANALYSIS OF ESCR VARIATION

B. Strong inverter end AC system with variable rectifier end

AC system strength
Unlike to the above condition, in this case the rectifier end
AC system strength has been adjusted to different values of
ESCR by keeping the Inverter end AC system ESCR to 5,
which represents a strong system. As the rectifier end AC
system strength is getting lower, the PSCAD/EMTDC
simulation results are shown in Figs. 4 and 5.
Figs. 4 and 5 show system response with varying AC
system strength, i.e., ESCR from 1.5 to 1 and the difference
may be observed. The strong rectifier end AC system strength

This section presents the simulation results which consist

of AC voltages both instantaneous and RMS, DC voltage and
current at the dc side of the converters for both positive and
negative poles of DC link. Also, the power flow in the AC
side has been demonstrated. All simulated figures have time
scale in x-axis and variables on y-axis. The analysis has been
carried out for both rectifier and inverter terminals.
A. Systems with strong AC networks on both the converter
ends
This is an ideal and the best operational condition for

81

simulation has been shown in Fig. 3, Comparing Fig. 3 with

Figs. 4 and 5, it can be observed that as the ESCR value of
rectifier end AC system is decreasing, the power transfer in
the HVDC system decreases without introducing fluctuations
in the network. So power transfer is taking place without any
blackouts and failure in the converter valves
Rectifier_End : Graphs

AC Volts (RMS)

Inverter_End : Graphs

AC Voltage

2.00

1.50

1.50

1.00

1.00

-0.50

0.00
-0.50
-1.00

-1.50

Rectifier_End : Graphs

-1.50

-2.00

2.00

-2.00
0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

Rectifier_Pole1 : Graphs
DC Current

2.00

1.00

0.50

0.50
y (pu)

y (pu)

DC Current

0.00

0.90

1.00

...
...
...

-0.50

-1.00

-1.00

-1.50

-1.50

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

DC Current

0.00

1.00

-0.50
-1.00

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

2.00

DC Current

2.00

DC Volts

0.00
-0.50

y (pu)

0.50

0.00

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

Rectifier_End : Graphs

2.3k

1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

2.0k

0.8k

0.8k

0.5k

0.5k

0.3k

0.3k

0.0

0.0
0.40

0.50

0.60

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0.70

0.80

0.90

1.00

...
...
...

0.00

Pow er

2.00

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0.50

0.50

0.00

0.00

0.30

y (pu)

y (pu)

...
...
...

0.00

AC Volts (RMS)

AC Voltage

0.10

0.20

0.30

2.00
1.50

1.00

1.00

0.00

-0.50

-1.00

-1.00

-1.50

DC Current

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

DC Current

0.00

2.00
1.50

1.00

1.00

1.00

...
...
...

0.10

0.20

0.30

0.40

0.50

DC Current

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

DC Volts

0.50
y (pu)

y (pu)

0.90

Inverter_Pole2 : Graphs

DC Volts

0.50
0.00

0.00

-0.50

-0.50

-1.00

-1.00

-1.50

-1.50
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

Rectifier_End : Graphs

0.40

0.50

Inverter_End : Graphs

Pow er

2.3k

2.0k

2.0k

1.8k

1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

0.80

-1.50

0.10

1.50

0.8k

Pow er

0.8k

0.5k

0.5k

0.3k

0.3k

0.0
0.00

0.70

DC Volts

Rectifier_Pole2 : Graphs

2.3k

0.60

0.00

-0.50

0.00

0.50

0.50
y (pu)

y (pu)

0.50

2.00

0.40

Inverter_Pole1 : Graphs

DC Volts

0.0
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.90

1.00

...
...
...

0.10

0.20

0.30

0.40

0.50

0.00

0.70

0.80

0.90

1.00

...
...
...

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

DC Volts

0.10

0.20

0.30

DC Current

Fig. 5. Rectifier terminal ESCR=1 and inverter terminal ESCR= 5

82

0.40

0.50

0.60

Inverter_Pole2 : Graphs

DC Volts

2.00

DC Current

DC Volts

0.00
-0.50
-1.00
-1.50

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

0.40

0.50

Inverter_End : Graphs

Pow er

2.3k
2.0k
1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

0.8k

0.8k

0.5k

0.5k

0.00

Rectifier_Pole1 : Graphs

1.50

0.80

1.8k

-2.00
1.00

0.70

2.0k

-2.00

0.00

DC Current

Rectifier_End : Graphs

-1.50

0.90

0.60

0.50

-1.50

0.80

0.50

0.00

0.0

0.70

0.40

1.00

-1.00

DC Current

0.50

-1.50

0.20

0.50

-1.00

2.00

0.40

-1.00

0.10

1.00

0.3k

0.60

0.30

0.00

1.50

-0.50

-0.50

0.50

0.20

0.50

-1.50

1.00

0.40

0.10

-0.50

2.00

1.00

0.30

2.00

-1.00

...
...
...

Inverter_End : Graphs

AC Voltage

1.50

0.20

0.00

Inverter_Pole1 : Graphs

-0.50

Rectifier_End : Graphs

1.50

0.10

...
...
...

1.50

2.3k

0.00

1.00

DC Volts

Fig. 4. Rectifier terminal ESCR=1.5 and inverter terminal ESCR= 5

AC Volts (RMS)

0.90

Rectifier_Pole2 : Graphs

0.00

2.00

0.80

0.00

0.00

...
...
...

y (pu)

Pow er

1.8k

0.30

DC Current

Inverter_End : Graphs

2.0k

0.20

0.70

-1.50

-1.50

0.10

0.60

-1.00

-1.00

-1.50

0.00

0.50

-0.50

-0.50

-1.00

2.3k

0.40

1.00

1.00

0.50

0.60

0.30

1.50

1.00

0.50

0.20

1.50

1.50

0.40

-2.00
0.10

Rectifier_Pole1 : Graphs

...
...
...

0.50

0.30

-1.50

-2.00

0.20

0.00
-0.50
-1.00

-1.50

0.10

AC Voltage

0.50

0.00

0.00

AC Volts (RMS)

Inverter_Pole2 : Graphs

DC Volts

0.20

2.00

1.00

1.00

0.10

Inverter_End : Graphs

AC Voltage

1.50

1.50

0.00

AC Volts (RMS)

1.50

0.50

0.00

-0.50

y (pu)

y (pu)

0.80

DC Volts

Rectifier_Pole2 : Graphs

0.70

1.50

1.00

2.00

0.60

Inverter_Pole1 : Graphs

DC Volts

1.50

0.00

0.50

y (pu)

2.00

0.40

y (pu)

0.10

y (pu)

-1.00

0.00

AC Voltage

0.50

0.00

y (pu)

y (pu)

0.50

AC Volts (RMS)

y (pu)

2.00

C. Strong AC system strength at rectifier end with variable

inverter end AC system strength
In this case, the strength of the rectifier end AC system is
adjusted to the prescribed ESCR values explained in Section I
so that it is in strong mode, here it is adjusted to 4. The
Inverter end AC system ESCR value is varied to find the
operating range of the HVDC system for this particular
condition. The PSCAD/EMTDC simulations are shown in
Fig. 6 and 7 at the point of instability.

Pow er

0.3k
0.0
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

0.40

0.50

Fig. 6. Rectifier terminal ESCR=4 and inverter terminal ESCR= 2.7

Inverter_End : Graphs

2.00
1.50

1.00

1.00

0.50

0.50

0.00
-0.50

-1.50

-1.50

-2.00

-2.00
0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

2.00

0.00

-1.00

0.10

...
...
...

0.00

0.10

0.20

0.30

Rectifier_Pole1 : Graphs
DC Current

2.00
1.50

1.00

1.00

0.50

0.50

0.00
-0.50

DC Current

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

...
...
...

1.00

1.00

0.50

0.50

0.00
-0.50

0.00

-1.00
-1.50
-2.00
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

DC Volts

2.00

1.00

1.00

0.50

0.50

0.00

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

DC Current

2.00

DC Volts

0.00

-0.50

-0.50

-1.00

-1.00

...
...
...

0.00

0.10

0.20

0.30

Rectif ier_Pole1 : Graphs

0.10

y (p u )

DC Current

AC Voltage

0.00

-1.50

0.00

AC Volts (RMS)

-0.50

-1.00

-2.00

Inverter_Pole2 : Graphs

y (pu)

DC Current

0.40

0.50

0.70

0.80

0.90

1.00

...
...
...

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

Inverter_Pole1 : Graphs

DC Volts

2.00

1.50

1.50

1.00

1.00

0.50

0.50

0.00

DC Current

DC Volts

0.00

-0.50

-0.50

-1.00

-1.00

-1.50
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

Rectifier_End : Graphs

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

-1.50

Inverter_End : Graphs

Pow er

2.3k
2.0k

1.8k

1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

2.0k

0.8k

0.8k

0.5k

0.5k

0.3k

0.3k

0.0

Pow er

0.00

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

Rectif ier_Pole2 : Graphs

2.00

0.0
0.10

-1.50

0.10

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

y (p u )

Fig. 7. Rectifier terminal ESCR=4 and inverter terminal ESCR= 2.6

From Figs. 6 and 7, it has been observed that the system is

becoming unstable and leading to the commutation failure for
ESCR value of Inverter end AC system 2.7. So for ESCR
value of 4 on the rectifier end AC system, the inverter end
ESCR is limited to 2.7 for the given rating of system.

DC Current

2.00

1.50

1.50

1.00

1.00

0.50

0.50

0.00

-0.50

-1.00

-1.00

-1.50

DC Current

2.3k

-1.50
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

2.3k

2.0k

2.0k

1.8k

1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

0.8k

0.8k

0.5k

0.5k

0.3k

0.3k

0.0
0.00

0.40

0.50

Inverter_End : Graphs

Power

In the previous two cases it has been explained that the

systems considered either at rectifier as weak or inverter. In
this case, the operating range can be derived by keeping the
both end AC systems as weak. The PSCAD/EMTDC
simulation results show the verge of instability in Figs. 8 and
9.

0.60

DC Volts

Rectif ier_End : Graphs

D. Both converter terminals weak

0.50

0.00

-0.50

0.00

0.40

Inverter_Pole2 : Graphs

DC Volts

y (p u )

y (pu)

1.00

1.50

y (p u )

0.20

-1.50

0.90

2.00

1.50

-1.50

0.10

1.50

0.00

0.80

0.00

1.50

2.3k

0.70

DC Volts

Rectifier_Pole2 : Graphs

0.00

0.60

Inverter_End : Graphs

AC Voltage

-1.00

-1.50

2.00

0.50

AC Volts (RMS)

-0.50

-1.00

0.00

0.40

Inverter_Pole1 : Graphs

DC Volts

1.50

y (pu)

y (pu)

2.00

Rectif ier_End : Graphs

AC Voltage

-0.50

-1.00

0.00

AC Volts (RMS)

y (p u )

AC Voltage

y (pu)

y (pu)

AC Volts (RMS)

1.50

y (p u )

Rectifier_End : Graphs

2.00

Power

0.0
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

0.40

0.50

Fig. 8. Rectifier terminal ESCR=2.4 and inverter terminal ESCR= 2.4

83

Rectifier_End : Graphs

AC Volts (RMS)

Inverter_End : Graphs

AC Voltage

2.00

1.50

1.50

1.00

1.00

0.50

0.50

AC Volts (RMS)

Rectif ier_End : Graphs

2.00

2.00

1.00

-1.00

-1.00

0.50

0.50

-1.50

-1.50

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

2.00

DC Current

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

Inverter_Pole1 : Graphs

DC Volts

2.00
1.50

1.00

1.00

0.50

0.50
y (p u )

1.50

0.00

DC Current

DC Volts

0.00

y (p u )

-2.00
0.10

y (p u )

1.50

1.00

Rectifier_Pole1 : Graphs

-0.50

-1.00
-1.50
-2.00
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

DC Current

-1.00

-1.00

1.50

1.50

-1.50

-1.50

1.00

1.00

0.50

0.50

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

Rectifier_Pole2 : Graphs
2.00

DC Current

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

Inverter_Pole2 : Graphs

DC Volts

2.00

DC Current

DC Volts

0.00

-0.50
-1.00

1.50

1.00

1.00

-1.00

0.50

0.50

-1.50

y (p u )

1.50

0.00

0.00

-0.50

-0.50

-1.00

-1.00

-1.50

-1.50

0.00

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.00

0.10

0.20

0.30

2.3k

1.8k

1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

2.0k

0.8k

0.8k

0.5k

0.5k

0.3k

0.3k

0.0

0.0
0.20

0.30

0.40

0.50

0.60

0.60

0.70

0.80

0.90

1.00

...
...
...

0.70

0.80

0.90

1.00

...
...
...

0.00

Pow er

y (p u )

Pow er

0.10

0.50

Inverter_End : Graphs

2.0k

0.00

0.40

2.00

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

DC Current

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0.00

2.00
1.50

1.00

1.00

0.50

0.50

0.00

-0.50

-1.00

-1.00

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

...
...
...

0.10

0.20

0.30

0.40

0.50

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

0.70

0.80

0.90

1.00

...
...
...

0.60

DC Current

DC Volts

0.10

0.20

0.30

0.40

0.50

Inverter_End : Graphs

Power

2.3k

2.0k

2.0k

1.8k

1.8k

1.5k

1.5k

1.3k

1.3k

1.0k

1.0k

0.8k

0.8k

0.5k

0.5k

0.3k

0.3k

0.0
0.00

1.00

DC Volts

Rectif ier_End : Graphs

From Figs. 8 and 9, for the ESCR value of 2.4 of the AC

system on both ends, it can be seen that there is a
perturbation in the system response which is not leading to
failure, whereas if the ESCR value is further decreased to 2.3
or less, the system is becoming unstable which may
ultimately lead to converter failure.
The value of ESCR of AC system mainly depends on the
load and generations connected at the converter terminal
buses. For the different situations of load ranges, it is
preferred to maintain the system parameters within
acceptable range for safe operation. In this paper STATCOM
is introduced for extending the range of operation of HVDC
system. From Figs. 3 to 9, it has been observed that for the
cases which are having weak inverter end AC system there is
need of extension of range of operation whatever may be the
strength of rectifier end AC system strength. The simulation
results of HVDC system has been shown in Figs. 10 and 11,
for the systems having weak inverter end AC system in which

0.90

-1.50
0.10

...
...
...

Fig. 9. Rectifier terminal ESCR=2.3 and inverter terminal ESCR= 2.3

0.80

0.00

-0.50

2.3k

0.70

0.60

Inverter_Pole2 : Graphs

DC Volts

-1.50

0.10

0.50

-1.50

0.10

1.50

0.00

0.40

DC Current

Rectif ier_Pole2 : Graphs

Rectifier_End : Graphs

2.3k

0.30

0.00

-0.50

y (p u )

0.40

0.30

2.00

y (p u )

-0.50

0.20

0.20

Inverter_Pole1 : Graphs

DC Volts

-0.50

0.10

0.10

Rectif ier_Pole1 : Graphs

0.00

2.00

0.00

AC Voltage

0.00

-1.50

0.00

AC Volts (RMS)

-0.50

-1.00

-2.00

y (p u )

y (p u )

Inverter_End : Graphs

AC Voltage

1.50

0.00

y (p u )

AC Volts (RMS)

0.00

-0.50

-2.00

STATCOM is incorporated at the inverter terminal end bus.

AC Voltage

-0.50

0.00

y (p u )

y (p u )

2.00

Power

0.0
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

0.40

0.50

Fig. 10. Rectifier terminal ESCR=4 and inverter terminal ESCR= 2.3 with
STATCOM

Fig. 10 shows the system response for the case of rectifier

end AC system strength is kept strong while the inverter end
AC system is having lower ESCR value with the STATCOM.
From Figs. 6 and 10 it has been noticed that with the
installation of STATCOM, the range of operation is extended
to the lower ESCR values as well and with proposed model it
is capable of operating for lower inverter ESCR value of 2.3
with STATCOM where as for the normal operation the lower

84

limit of ESCR value is limited to 2.7. So with the installation

of STATCOM in case of weak inverter end AC system
adequate power transfer will take place.
Rectifier_End : Graphs

AC Volts (RMS)

Inverter_End : Graphs

AC Voltage

2.00

1.50

1.50

1.00

1.00

0.50

0.50

0.00

y (p u )

y (p u )

2.00

-0.50

AC Voltage

0.00

-1.00

-1.50

-1.50

-2.00

AC Volts (RMS)

-0.50

-1.00

0.00

-2.00
0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

0.00

0.10

0.20

0.30

Rectifier_Pole1 : Graphs
2.00

complexities. The PSCAD/EMTDC model for multi-infeed

HVDC has been shown in Fig.12.
It has been observed during course of analysis that multi
infeed system is more vulnerable in comparison to single
infeed in terms of both stability and power transfer.
Therefore, the controller like STATCOM may play an
important role in improvement of system operating range
even with low ESCR values. This study is being carried out
in detail and will be reported soon. Due to the space
limitation, the results of multi-infeed may not be
accommodated. However, such system is very sensitive for
any variation in system parameters and may be operationally
acceptable with STATCOM properly introduced.

DC Current

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

Inverter_Pole1 : Graphs

DC Volts

2.00

DC Current

DC Volts

1.00

0.50

0.50
0.00
-0.50

-1.00

-1.00

-1.50

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0.00

0.10

0.20

0.30

2.00

1.00

1.00

0.50

0.50

-1.00

-1.50

-1.50
0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

Pole2
2.5 [ohm]

2.5 [ohm]

0.5968 [H]

VrmsR1

0.00

Pr1

Pi1

Pr2

Pi2

Pr3

Pi3

0.5968 [H]

2.5 [ohm]

2.5 [ohm]

Ibus2

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

...
...
...

Rbus2

A
V

A
V

STATCOM
2.5 [ohm]

2.5 [ohm]

0.5968 [H]

VacI2

1.5k

1.5k

VrmsI2

1.3k

1.3k

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

0.00

0.10

0.20

0.30

0.40

0.50

0.60

0.70

0.80

0.90

1.00

A
P
Power
Q
B

P23

Q23

0.5968 [H]
Pole1

...
...
...

Ibus3

A
V

26.0 [uF]

Fig. 11. Rectifier terminal ESCR=1.9 and inverter terminal ESCR= 1.9 with
STATCOM

Rbus3

A
V

Inverter_AC3

...
...
...

2.5 [ohm]

Pole1

Rectifier_AC3

0.0

VrmsI3

PI
SECTION

0.3k

0.0

VrmsR3

2.5 [ohm]

Q13

26.0 [uF]

0.3k

VacI3

0.5968 [H]

P13

COUPLED

0.5k

A
P
Power
Q
B

150 KM
T/S LINE

VacR3

0.1 [ohm]

0.5k

PI
SECTION

VacR2
VrmsR2

0.8k

0.1 [ohm]

0.5968 [H]

1.0k

200
KM
T/S
LINE

Pole2

Pole2

1.8k

0.8k

stat

#2

HVDC2 Graphs

Pow er

1.8k

0.20

Q12

Pole1

2.0k

0.10

P12

A
P
Power
Q
B

0.5968 [H]

Pole1

2.0k

0.00

100 KM
T/S LINE

#1

2.3k

1.0k

VacI1
VrmsI1

DC Volts

Inverter_End : Graphs

Pow er

Pole2
0.5968 [H]

VacR1

COUPLED

1.00

26.0 [uF]

...
...
...

DC Current

Rectifier_End : Graphs

2.3k

0.90

Inverter_AC2

-0.50

-1.00

0.40

0.80

0.00

-0.50

0.30

0.70

PI
SECTION

0.00

0.20

0.60

COUPLED

y (p u )

1.50

0.10

0.50

0.1 [ohm]

1.50

0.00

0.40

Inverter_Pole2 : Graphs

DC Volts

A
V

26.0 [uF]

y (p u )

DC Current

Ibus1

PI
SECTION

Rectifier_Pole2 : Graphs
2.00

Rbus1

A
V

COUPLED

...
...
...

Pole1

HVDC1 Graphs

-1.50

0.10

Rectifier_AC2

0.00

0.5968 [H]

26.0 [uF]

-0.50

2.5 [ohm]

Inverter_AC1

0.00

2.5 [ohm]

Pole1

Rectifier_AC1

1.00

y (p u )

1.50

26.0 [uF]

y (p u )

0.5968 [H]

1.50

HVDC3 Graphs

From Figs. 8 and 11 it has been noticed that in case of both

converter end terminal AC systems are weak, the system
employing STATCOM with ESCR 1.9 at both converter
terminals can be stabilized which was not possible earlier.
Figs. 3 to 11 show the operation of bipolar link of HVDC
system with isolated conditions. As per the present power
system structure and for the future extensions of new
transmission systems study of multi-infeed HVDC system
should be carried out to have insight of system operational

Pole2

Pole2
0.5968 [H]

2.5 [ohm]

2.5 [ohm]

0.5968 [H]

Fig. 12. PSCAD/EMTDC model for multi-infeed HVDC system with

STATCOM.

V. CONCLUSION
The paper presents a comprehensive analysis of single
infeed HVDC system with varying ESCR. The various
operational ranges have been investigated and it has been
observed that AC system strength evaluation should be
regularly done in order to have overall impact on system

85

stability and reliable power transfer criterion. In case such

studies are not carried out, the HVDC system may experience
unwanted behaviour/oscillations in situations ESCR becomes
low due to improper expansion/modification of adjacent AC
system.
VI. APPENDIX
A. System details for the developed HVDC model
AC voltage base: 345KV (Rectifier end)
230KV (Inverter end).
Base MVA: 1000MVA on both Rectifier and Inverter ends.
Voltage source: 1.08822.180 (Rectifier end)
0.935 -23.140 (Inverter end).
Nominal angle: =150, =150.
Total reactive power supplied by the combination of Filters
and shunt capacitor: 0.625 pu on both the Rectifier and
Inverter ends.
DC line R, L: 5.0 , 1.2 H
Rated frequency: 50 Hz
VII. REFERENCES
[1]

[2]

[3]

[4]

[5]

R. K. Pandey, Arindam Ghosh, Sachchidanand, Development of a Novel

HVDC System Model for Control Design, International Journal of
Electrical Machines & Power Systems, Volume 27, Issue 11, pp. 12431257, Nov 1999.
R. K. Pandey, Arindam Ghosh, Design of self-tuning controller for a two
terminal HVDC link, International Journal of Electrical Power & Energy
Systems, Volume 31, Issues 7-8, pp. 389-395, Sep 2009.
R. K. Pandey, S. K. Soonee, L. Hari, P. Mukherjee, Suajit Banerjee,
Study of HVDC system in open access-an Indian system experience, 16th
National Power System Conference, Dec 2010.
L. X. Bui, V.K. Sood, S. Laurin, Dynamic interactions between HVDC
systems connected to AC buses in close proximity, IEEE Transactions on
Power Delivery, Volume 6, Issue 1, pp. 223-230, Jan 1991.
M. Szechtman, T. Wess, C.V. Thio, "A Benchmark model for HVDC
system studies," International conference on AC and DC power
transmission, pp. 374-378, Sep 1991.

86

Control of Grid Connected Inverter System for

Sinusoidal Current Injection with Improved
Performance
Anup Anurag, Student Member, IEEE, and B. Chitti Babu, Member, IEEE

The main functions of the controllers are to maintain the

power quality and to control the active and the reactive power
of the grid independently. Various control strategies have
been proposed and are extensively studied in the available
literature [3]-[5]. Proper power flow regulation using vector
control principle has also been proposed in [6]. Dual Vector
Current control which was first proposed in [7] uses two
VCCs for positive and negative sequence components along
with DC link voltage control. Synchronous PI current control
has also been proposed in [8] which convert the three phase
grid voltages to synchronously rotating (d-q) frame for proper
decoupling. The grid currents become DC variables and thus
no steady state-state error adjustment is required. A method
for active and reactive power control has been mentioned in
[9]. It controls the DC link voltage by designing a Voltage
Control Loop. However, the transient time has not been taken
into consideration.
Presence of low-order harmonics, voltage swell, voltage sag
and line to ground fault represent the most common grid
disturbances. Harmonics mitigation techniques have been
proposed using high-pass and low-pass filters in [6]. The
MRF PI controller used in the paper doesnt need dq current
signal high pass and low pass filtering. However, injecting
nearly sinusoidal current to the grid in order to counteract
with the distortions provides a reliable method for power
quality improvement. The active and reactive power control
has been done by embedding the cross-coupling and feed
forward terms in PI controller with the reference currents
being engendered by the feedback from the grid side.
This paper presents the design of a current controller along
with active and reactive power control in order to ameliorate
the power quality in the grid. This technique intends to
overcome the hitches faced by the conventional controller
working under unbalanced conditions of the grid. The control
strategy adopted here counterbalances the distortions in grid
voltage by injecting sinusoidal current to the grid through a
MRF PI controller strategy [12]. For the active and reactive
power control, cross coupling is done in order to decouple the
d-q components and thus helping in effective control of the
active and reactive power independently.
The organization of the paper is as follows. Section II
depicts the mathematical modeling of the Grid Connected

Abstract-- This paper presents a control strategy for a threephase Grid Connected Inverter (GCI) under abnormal
conditions of the grid like voltage sag, line to ground fault and
presence of harmonics. This technique intends to overcome the
hitches faced by the conventional controller working under
abnormal conditions of the grid. The control strategy adopted
here counterbalances the distortions in grid voltage by injecting
sinusoidal current into the grid. In addition to this, active and
reactive power control during the step changes of the load has
also been studied. In order to study the dynamic performance of
the system, the models are simulated and the results are
analyzed. Simulation results exhibits improved performance
under grid disturbances and the studied system is modeled and
simulated in the MATLAB/Simulink environment.
Index Terms-- Active and Reactive power control, Current
Controller, Grid Connected Inverter (GCI), Multiple Reference
Frame (MRF) and Power Quality.

I. INTRODUCTION

ITH the impending deregulated environment, it is

imperative that the new technologies provide
acceptable power quality and reliability. It has been
prophesized that Distribution Generation System (DGS)
would play a very vital role in the years to come for meeting
the electrical requirements. The advent of power electronic
devices has ushered a new era for the maintenance of power
quality as they efficiently interface renewable energy system
to the grid. However, the asynchronous interface provided by
the power electronic converter raises issues regarding power
quality [1].The power conversion unit basically consists of the
source side and the grid side converters. Due to the persistent
narrowing of the standards in the grid code compliances, the
grid connected inverter control has taken the centrestage
whenever we consider the improvement of DGS. The grid
code compliances include control of active and reactive power
between the DGS and the grid, balancing the power flow
between the input side converter and the grid, providing high
output power quality and maintaining synchronization with
the grid [2].

Anup Anurag and B.Chitti Babu are with the Department of Electrical
Engineering, National Institute of Technology, Rourkela-769 008, INDIA. (email: anup.rana123@gmail.com, bcbabunitrkl@ieee.org).

978-1-4673-0455-9/12/$31.00 2012 IEEE

87

Inverter (GCI) System. Section III explains the control

algorithm of the Grid Connected Inverter (GCI) along with
detailed mathematical analysis. Section IV describes
simulation results and controller performance. Section V
concludes the paper followed by the references.

did (t )
Rid (t ) Liq (t )
dt
diq (t )
vq (t ) eq (t ) L
Ri q (t ) Lid (t )
dt

vd (t ) ed (t ) L

II. MATHEMATICAL MODELING OF GRID CONNECTED

INVERTER SYSTEM

1
[ed ( s) vd ( s) Liq ( s)]
Ls R
1
iq ( s )
[eq ( s) vq ( s) Lid ( s)]
Ls R

id ( s )

(1)

We can write the dynamic equation for the input side of

the grid connected inverter as:
dv (t )
(2)
ic (t ) idc (t ) i L (t ) C dc
dt
The line voltages and the phase currents can be
transformed into synchronous reference frame (dq
coordinates) by the use of the transformation matrix
(3)
vdq (t ) T .vabc (t )

(12)

Conventional current controllers use only cross coupling

and feedforward terms. It has been seen that even with certain
modifications in the PLL structure, there is little
improvement in the power quality, the main culprit being the
lower order harmonics.
It is seen that the distribution grid voltage is considerably
distorted due to the presence of nonlinear loads. This leads to
the presence of significant lower order harmonic content
especially of 5th, 7th, 11th and 13th order.

va V1 cos( ) V5 cos(5 ) V7 cos(7 )

2
2
2
vb V 1cos( ) V5 cos 5( ) V7 cos 7( )
3
3
3
2
2
2
vc V 1cos( ) V5 cos 5( ) V7 cos 7( )
3
3
3
V1 ,V5 ,V7 ,... denotes the magnitude of the harmonics.

is the transformation matrix and is the rotating angle of

transformation
Now we can transform the dynamic equation directly into
synchronous reference frame (dq coordinates)
LMidq (t )

(11)

A. Analysis of Current Controller

cos( )
sin( )
1

T cos( 2 / 3) sin( 2 / 3) 1
cos( 2 / 3) sin( 2 / 3) 1

dt

(8)

III. CONTROL ALGORITHM OF GRID CONNECTED INVERTER

where

didq (t )

3
Re[( Ed jE q )( I d jI q )*]
2
3
P(t ) [ed (t )id (t ) eq (t )iq (t )]
2
3
Q Im[( Ed jEq )( I d jI q )*]
2
3
Q(t ) [eq (t )id (t ) ed (t )iq (t )]
2
P

Assume that the three phase loop resistance R and L are of

the same value, affection of distribution parameters are
negligible and switching loss and on state voltage drop is
negligible.
Based on the topology, the dynamic equation of the output
side of the grid connected inverter can be deduced as follows:

edq (t ) vdq (t ) Ri dq (t ) L

(7)

For the input side of the converter

RL
(9)
vdc
idc
1 CRL s
Now for the instantaneous power equations we can write
(10)
S (t ) E.I * P(t ) jQ(t )
where * represents the complex conjugate
P(t ) represents the instantaneous active power and
Q(t ) represents the instantaneous reactive power

Fig.1. Schematic diagram of Grid connected PWM Inverter

diabc (t )
Ri abc (t )
dt

(6)

The s-domain representation can be shown as follows:

The schematic diagram of three phase grid-connected PWM

inverter is shown in Fig.1, which consists of dc link
capacitor, IGBT switches and filter circuit in the grid side.

eabc (t ) vabc (t ) L

(5)

(4)

(13)

Transforming these into synchronously rotating reference

frame we get
vd V1 (V5 V7 ). cos(6 ) (V11 V13 ) cos(12 ) .....
(14)
vd (V5 V7 ).sin(6 ) (V11 V13 ) sin(12 ) .....
In addition to these, there are other higher order harmonics
present. However, we do not take them into consideration due

0 1 0
M 1 0 0
0 0 0

By assuming that the three phase voltage source is balanced

without the zero sequence components we can write
88

(16)
S (t ) P(t ) jQ(t )
The instantaneous active and reactive power equations are
given by:

to their low magnitudes in the system. Here it is seen that the

d-q grid voltage components have basically frequency
components which are multiples of six of the frequency of the
grid. During unbalance conditions such as voltage sags,
presence of harmonics and fault conditions the conventional
controller fails to provide the required sinusoidal grid current
and voltage which degrades the power quality of the system.
In order to mitigate lower order harmonics in the grid
current, we require a modified current controller to ensure
proper operation of the grid under distorted conditions. The
use of multiple reference frame (MRF) PI controller is used
here as shown in Fig. 2. The MRF PI controller doesnt
extract harmonics from the current by the application of highpass and low pass filter but injects a component antagonistic
to the harmonics present in the same [10]:

3
P(t ) [ed (t ).id (t ) eq (t ).iq (t )]
2
3
Q(t ) [eq (t ).id (t ) ed (t ).iq (t )]
2

(17)

The dc- link power is known by:

Pdc (t ) Vdc (t ).I dc (t ) Vdc (t ).C

dVdc
dt

(18)

Assuming that the inverter losses are neglected i.e. the

switching losses are zero we can equate the input power with
the output power and the power balance can be given by
3
dV
(19)
VdcC dc [ud (t ).id (t ) uq (t ).iq (t )]
dt
2
Assuming balanced case and taking the q-components to be
zero we get
3
(20)
P(t ) ed (t )id (t )
2
From (5) and (6) it can be seen that the d-component and the
q-component are highly coupled which leads to the
degradation of the dynamic performance. The vector
controller decouples these terms and thus providing the
ability to control each current component independently.

Fig. 2. MRF PI Current Controller structure

B. Filter Design
It is seen that the converter current is mostly plagued by
the lower order harmonics, the major ones being the lower
order harmonics. Appropriate L filters are designed in order
to filter out the harmonic components from the current and
thus making them sinusoidal. The design of the L filters can
be done according to the formula [11]:
Vdc
(15)
L
(1 ma )ma
4.I rated ripple f SW
where I rated is the rated utility current, ripple is the maximum

Fig. 3. Schematic diagram for the Grid Connected Inverter with its control

ripple magnitude percentage (5 % - 25 %), Vdc is the DC link

The elementary principle of the vector oriented control

method is to control the instantaneous active and reactive grid
power which can be done by controlling the grid currents, by
separate controllers independent of each other. Two current
controllers are employed namely d-current controller and qcurrent controller. The grid voltages and currents are first
sensed and with the help of Synchronous Reference Frame
(SRF) Phase Locked Loop, the grid phase angle is detected in
order to synchronize the GCI output with grid.
The demanded amount of current and voltage are then
estimated from the grid at the desired power factor and the
reference currents in a synchronous frame are calculated.
Consequently, the current controllers try to reduce the error
and make the load currents follow the reference current
vector. Thus we try to control the current and therefore
controlling the inherent power flow. So by this process, the
active and reactive powers are meticulously controlled.
The converter DC voltage is determined by:

voltage, L is the total filter inductance, f SW is the switching

frequency (in Hz) and

ma is the modulation index.

C. Active and Reactive Power Control

Moreover the active and reactive power control isnt
possible in case of the conventional controller. We use the
feedback from the grid in order to generate the current
reference which in turn controls the active and reactive power
independently. The advantage of dynamic VAR systems is
that they detect and instantaneously compensate for voltage
disturbances by injecting leading or lagging reactive power at
crucial junctures to the power transmission grids. Through
the dynamic VAR control system, reactive power is supplied
in the grid with fast dynamics. Thus it helps in regulating the
system voltage and stabilizing the grid [13].
The instantaneous power flowing into the grid can be written
as
89

Vdc (t )

1
[ I dc (t ) I l (t )].dt
C

(21)

Kp

The DC voltage can be regulated using PI controller by

choosing the current reference
(22)
I dcref (t ) K v [Vdcref Vdc (t )] K i [Vdcref Vdc (t )].dt

. f SW
Vdc

Ki

. f SW 2

(26)

2.Vdc

where
L / R is grid time constant ;
L is the coupling inductance between the GCI and the grid,
R is the coupling resistance
Vdc is the dc-link voltage in p.u.
fSW is the switching frequency.
The values of the gains K p and K i of the MRF PI controller

where Vdcref is the reference DC link voltage, K p and K i are

the constant gains of the PI controller.

The reference currents can be given by:
2
idref (t )
[U d (t ).Pref (t ) U q (t ).Qref (t )]
3
(23) are calculated according to the formulae [12]
4
2
and K K p where i =0.02 s
(27)
Kp
i qref (t )
[U q (t ).Pref (t ) U d (t ).Qref (t )]
i
i
3.TSWVdc
3
where u d 2 u q 2 , Pref (t ) and Qref (t ) are the active and A. Active and Reactive Power Control
reactive power references.
For the study of dynamic VAR compensation, a single case
is considered i.e. a step change of the load. A lagging reactive
Now,
load is added at 0.02 sec. as shown in the Fig 4. The reference
vdref (t ) ed (t ) U d Ri d (t ) Liq (t )
currents are generated from the grid side according to the
(23) and the actual values are compared with the reference
vqref (t ) eq (t ) U q Ri q (t ) Lid (t )
values through PI controllers in order to bring the currents
(24)
and thus the power to their respective reference values.
where vdref (t ) and v qref (t ) are the d and q voltage references.
In order to estimate the power injection characteristics we
U d and U q are the effective voltage references.
carry out the test of increasing the reactive load component.
The step change to the load is made at 0.02 sec .The response
U d K p .[idref (t ) i d (t )] K i [i dref (t ) i d (t )].dt
(25) of the controller is shown in Fig 4. With the change in load at
U q K p .[i qref (t ) i q (t )] K i [i qref (t ) i q (t )].dt
0.02 s, the active current decreases in order to supply the
lagging power to the load (Fig. 4(d)). The reactive current
where K p and K i are the constant gains of the PI controller.
first decreases and then increases to go above the reference
value to compensate for the reactive nature of the load. The
IV. RESULTS AND DISCUSSIONS
converter phase current decreases due to the change in the
To validate the MRF PI current controller for Grid load as shown in Fig. 4(e). The grid d voltages show a change
Connected Inverter (GCI), extensive computer simulations due to the step change in the load. The harmonic spectrum
were performed using MATLAB/Simulink. Under distorted using Fast Fourier Analysis for the current is realized in Fig.
and undistorted conditions, the detailed switching model of 4(f). We analyze the converter current which shows a THD of
the space vector modulated (SVPWM) grid connected 0.66 % which is very much within the permitted distortion
inverter has been developed.
levels as per IEEE 519-1992 specifications.
The system parameters used in the simulations are given in
the Table-1
0.4

Va
Vb
Vc

0.3

TABLE I
PARAMETERS USED IN SIMULATION

Grid voltages vabc [p.u.]

0.2

0.1

-0.1

-0.2

Parameter

Label

Value

Coupling
inductance

7.52 [mH]

Coupling resistance

0.26 []

Grid voltage

240 [V]

Vdc

580 [V]

-0.3

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.06

0.3

Switching
frequency

fSW

Base voltage

Vb

Grid dq voltages Vdq [p.u.]

0.2

0.15

0.1

0.5

-0

-0.5

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.06

0.15
Ia
Ib
Ic

0.1

Grid phase currents Iabc [p.u.]

DC link voltage

Vd
Vq
0.25

5000 [Hz]

0.05

-0.05

-0.1

-0.15

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.06

0.5
iq current actual
0.4
0.3

Ib

0.2

q-current actual [p.u.]

Base current

964 [V]
7.84 [A]

0.1
0
-0.1
-0.2
-0.3
-0.4
-0.5

The values of the gains K p and K i are calculated according

to the formulae [10]:
90

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.06

Selected signal: 3 cycles. FFT window (in red): 2 cycles

0.01
0
-0.01
0

0.01

0.02

0.03
Time (s)

0.04

0.05

0.06

Fundamental (50Hz) = 0.01212 , THD= 0.66%

Mag (% of Fundamental)

100

II. Under line to ground fault

The grid is assumed to be under fault from 0.03 sec to 0.05
sec. which was created with the help of a programmable AC
source in Simulink environment. Reference d current and
reference q current are taken the same as before. SRF PLL is
used for detection of the phase and to transform the abc to dq
reference frame in order to maintain proper decoupling
between the d and q voltages of the grid. The grid voltages
and grid currents were then examined.

80
60
40
20
0

100

200

300

400
500
Frequency (Hz)

600

700

800

900

1000

Fig.4. (a) Distorted grid voltages (b) dq components of distorted grid voltages.
(c) Converter current to the grid (d) d-current component converter response (e)
q-current component converter response (f) Harmonic spectrum of the grid
current

B. Current Control Strategy

In order to authenticate the MRF PI controller we take
three different conditions of the grid. The first case
investigates the operation under voltage sag conditions. Next
the grid voltages and currents under line to ground fault
conditions were analyzed and finally we observe the GCI
operation under injection of non-sinusoidal grid voltages.
The MRF PI current controller is basically focused on the
mitigation of harmonics in the converter phase currents.
However, it also shows considerable improvement in other
unbalanced conditions. The comparative study regarding the
presence of harmonics is analyzed in detail here. Thorough
comparisons regarding the other cases are avoided for brevity.

0.25
Va
Vb
Vc

0.2

Grid Phase Voltages Vabc [p.u.]

0.15
0.1
0.05
0
-0.05
-0.1
-0.15
-0.2
-0.25

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.06

0.25
Ia
Ib
Ic

0.2

Converter Phase Current Iabc [p.u.]

0.15
0.1
0.05
0
-0.05
-0.1
-0.15
-0.2
-0.25

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.06

0.3

0.25

d-current actual Id [p.u.]

0.2

0.15

0.1

0.05

-0.05

0.06

0.05
Iq

I. Under Voltage Sag

The voltage sag conditions are employed with the help of a
three phase programmable AC source in Simulink
environment as shown in Fig. 5. The frequency was
maintained at 50 Hz. Voltage amplitude was maintained at
0.2468 p.u. The sag is forced at 0.03 sec and maintained up to
0.05 sec. (Fig 5(a)). The reference d-current is taken as a step
input and the reference q current was maintained at zero. SRF
PLL is used for the detection of phase such that the dcomponent of the grid voltage is maintained at phase voltage
and the q component is maintained at zero.

q-current actual [p.u.]

0
-0.1

-0.2

Grid Voltage Vabc [p.u.]

Mag (% of Fundamental)

-0.1
-0.15
-0.2

0.03
Time [sec]

0.04

0.05

0.06

0.25
Ia
Ib
Ic

Converter Phase Current Iabc [p.u.]

0.15
0.1
0.05
0
-0.05
-0.1
-0.15
-0.2
-0.25

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.04

0.05

0.04

0.06

0.05

0.06

0.006
0.004
0.002

100

200

300

400
500
Frequency (Hz)

600

700

800

900

1000

III. Under presence of harmonics using conventional

controller
Due to the presence of huge proportions of non-linear load,
the grid voltages generally deviate from its sinusoidal nature.
A robust controller is required in order to maintain reliability
and regulate quality power flow to the load. Fig. 7 gives
simulation results for GCI operation connected to the
distorted grid when the conventional controller is used. The
response of the current controller was observed. All the other
parameters remained the same as in the previous cases.

0.1

0.02

0.03
0.03 (s)
Time
Time [sec]

Fig. 6. (a) Distorted grid voltages (b) Converter current to the grid (c) d-current
component converter response (d) q-current component converter response (e)
Harmonic spectrum of the grid current

-0.05

0.01

0.02
0.02

0.008

0.05

0.01
0.01

0.01

Va
Vb
Vc

0.2

0
0

Fundamental (50Hz) = 0.1642 , THD= 2.00%

0.15

-0.25

Selected signal: 3 cycles. FFT window (in red): 1 cycles

0.1

-0.1

-0.15

0.25
0.2

-0.05

0.06

0.4
d current actual
0.35
0.3

d-current actual [p.u.]

0.25
0.2
0.15

0.25
0.1

Va
0.2

Vb

0.05

Vc
0.15

Grid Voltages Vabc [p.u.]

-0.05
-0.1

0.01

0.02

0.03
Time [sec]

0.04

0.05

q current actual
0.25
0.2

0.1
0.05
0
-0.05
-0.1
-0.15

0.15

q-current actual Iq [p.u.]

-0.2
0.1

-0.25

Selected signal: 3 cycles. FFT window (in red): 1 cycles

0.05

0.01

0.02

0.03
Time [sec]

0.1

0.04

0.05

0.06

0.3

-0.05

Ia
-0.1

Ib

0.2

-0.15

Ic

-0.1

-0.2

0.01

0.01

0.02
0.02

0.03
Time (s)

0.04

0.03
Time [sec]

0.05

Converter current Iabc [p.u.]

-0.2

-0.25

0.06

0.04

0.05

Fundamental (50Hz) = 0.1645 , THD= 2.68%

0.02

0.1

-0.1

-0.2

-0.3

0.015

Mag

-0.4

0.01

0.02

0.03
Time [sec]

0.01

0.04

0.05

0.06

0.35
d current

0.005

0.3

100

200

300

400
500
Frequency (Hz)

600

700

800

900

d-current actual Id [p.u.]

0.25

1000

Fig.5. (a) Distorted grid voltages (b) Converter current to the grid (c) d-current
component converter response (d) q-current component converter response (e)
Harmonic spectrum of the grid current

0.2

0.15

0.1

0.05

-0.05
0.01

0.02

0.03

0.04
Time [sec]

91

0.05

0.15

V. CONCLUSIONS

0.1

q-current actual Iq [p.u.]

0.05

This paper provides an analytical background of the active

and reactive power control strategy for a grid connected
inverter system. In this method independent control of the
active and reactive power was realized in an effective way. It
also includes an improved current harmonics compensation
capability through the use of MRF PI controller. Comparative
studies made in the text have shown that the MRF PI
controller provides better performance in terms of
improvement of grid dynamics as compared to the
conventional controller. The agreement with the simulation
results to a prodigious extent with a good sinusoidal grid
current, a lesser harmonic component was also obtained by
MRF PI controller.

Selected signal: 3 cycles. FFT window (in red): 1 cycles

-0.05

0.1
0

-0.1

-0.1
-0.15

-0.2
0

-0.2
0.01

0.01

0.02
0.02

0.03

0.03
Time (s)

0.04

0.05

0.04

0.06
0.05

Time [sec]

Mag (% of Fundamental)

Fundamental (50Hz) = 0.1715 , THD= 16.23%

0.1

0.05

100

200

300

400
500
Frequency (Hz)

600

700

800

900

1000

Fig.7. (a) Distorted grid voltages (b) Converter current to the grid (c) d-current
component converter response (d) q-current component converter response (e)
Harmonic spectrum of the grid current.

Fig. 7 (e) shows that the harmonics compensation capability

is very poor considering the use of the conventional
controller. The THD level of 16.23 % expresses it all. From
the Fig. 7(c) and 7(d) it is obvious that the 6 th harmonic and
the 12th harmonic components present around the reference
values arent eliminated.

REFERENCES
[1]

IV. Under presence of harmonics using MRF PI controller

In order to satisfy this drawback the MRF PI current
controller is used where mitigation techniques for the 6 th and
the 12th harmonics are employed. Fig. 8 shows the simulation
results for the GCI operation connected to distorted grid when
the MRF PI controller was used.

[2]

[3]

0.25
Va
0.2

Vb
Vc

Grid Voltages Vabc [p.u.]

0.15

[4]

0.1
0.05
0
-0.05
-0.1
-0.15

[5]

-0.2
-0.25

0.01

0.02

0.03
Time [sec]

0.04

0.05

0.06

0.25
Ia
Ib
Ic

0.2

Converter Currents Iabc [p.u.]

0.15
0.1

[6]

0.05
0
-0.05
-0.1
-0.15
-0.2
-0.25
0.01

0.02

0.03
Time [sec]

0.04

0.05

[7]

0.4
d current actual
0.35
0.3

d-current actual [p.u.]

0.25
0.2
0.15
0.1
0.05
0
-0.05

[8]

-0.1

0.01

0.02

0.03
Time [sec]

0.04

0.05

q current actual
0.25
0.2

q-current actual Iq [p.u.]

0.15

Selected signal: 3 cycles. FFT window (in red): 1 cycles

[9]

0.1
0.05

0.1
0

-0.05

-0.1

-0.1

-0.15

-0.2

-0.2
0

-0.25

0.01

0.01

0.02
0.02

0.03
Time (s)

0.04

0.03
Time [sec]

0.05

0.06

0.04

0.05

[10]

Fundamental (50Hz) = 0.1645 , THD= 2.68%

0.02

Mag

0.015

0.01

0.005

[11]
0

100

200

300

400
500
Frequency (Hz)

600

700

800

900

1000

Fig.8. (a) Distorted grid voltages (b) Converter current to the grid (c) d-current
component converter response (d) q-current component converter response (e)
Harmonic spectrum of the grid current

[12]

It is seen from the Fig.8 (e) that, the THD of the grid
current is reduced to 2.68 % in comparison to the THD of
16.23 % of conventional controller with sinusoidal current
injection into grid. The d-q current components of grid also
show the faster response with proper decoupling over
conventional controller to improve the grid dynamics.

[13]

92

C.V.Dobariya, S.A.Khaparde, "Decoupled Power Controller for Inverterinterfaced Distributed Generation System," IEEE Power Engineering
Society General Meeting, 2007, vol., no., pp.1-6, 24-28 June 2007
F.Blaabjerg, R. Teodorescu, M. Liserre, A.V.Timbus, , "Overview of
Control and Grid Synchronization for Distributed Power Generation
Systems," IEEE Transactions on Industrial Electronics, , vol.53, no.5,
pp.1398-1409, Oct. 2006
M. Prodanovic, T.C. Green, , "Control and filter design of three-phase
inverters for high power quality grid connection," IEEE Transactions on
Power Electronics, vol.18, no.1, pp. 373- 380, Jan 2003
M.P. Kazmierkowski, L. Malesani, "Current control techniques for threephase voltage-source PWM converters: a survey," IEEE Transactions on
Industrial Electronics, , vol.45, no.5, pp.691-703, Oct 1998
M. Prodanovic, T.C.Green, "Control and filter design of three-phase
inverters for high power quality grid connection," IEEE Transactions on
Power Electronics, , vol.18, no.1, pp. 373- 380, Jan 2003
E.M.Adzic, D.P.Marcetic, V.A.Katic, V.A.; M.S. Dzic, "Grid-connected
Voltage Source Converter operation under distorted grid voltage," 2010
14th International Power Electronics and Motion Control Conference
(EPE/PEMC), vol., no., pp.T11-44-T11-51, 6-8 Sept. 2010.
Hong-Seok Song; Kwanghee Nam; , "Dual current control scheme for
PWM converter under unbalanced input voltage conditions," IEEE
Transactions on Industrial Electronics, vol.46, no.5, pp.953-959, Oct
1999.
Ma Liang, T.Q. Zheng, "Synchronous PI control for three-phase gridconnected photovoltaic inverter," 2010 Chinese Control and Decision
Conference (CCDC), pp.2302-2307, 26-28 May 2010.
Ranjan Ku. Behera, Wenzhong Gao, A Novel Controller Design for
Grid-side Converter of Doubly Fed Induction Generator for Wind Power
Interface: An Experimental Investigation, International Journal of
Electric Power Components and Systems Vol. 38, Issue. 14, 2010.
F.A. Magueed, ; A.Sannino, J. Svensson, J.; , "Transient performance of
voltage source converter under unbalanced voltage dips", 2004 IEEE 35th
Annual Power Electronics Specialists Conference, PESC 2004 , vol.2, no.,
pp. 1163- 1168 Vol.2, 20-25 June 2004.
Hanju Cha; T.K.Vu, "Comparative analysis of low-pass output filter for
single-phase grid-connected Photovoltaic inverter," Proc, of 2010 TwentyFifth Annual IEEE Applied Power Electronics Conference and Exposition
(APEC), , vol., no., pp.1659-1665, 21-25 Feb. 2010.
T.C.Y. Wang, Xiaoming Yuan; , "Design of multiple-reference-frame PI
controller for power converters,", Proc. of 2004 IEEE 35th Annual Power
Electronics Specialists Conference, Vol.5, no., pp. 3331- 3335 , 20-25
June 2004.
M.N.N.Amin, O.A.Mohammed, O.A., "Vector oriented control of voltage
source PWM inverter as dynamic VAR compensator for wind energy
conversion system connected to utility grid, Proc. of 2010 25 th IEEE
Applied Power Electronics Conference (APEC), pp.1640-1650, Feb-2010.

Comparative Study between P&O and Current

Compensation Method for MPPT of PV Energy
System
Satarupa Bal, Student Member, IEEE and B. Chitti Babu, Member, IEEE

energy, the electrical energy from photovoltaic is currently

regarded as the prerequisite sustainable resource, since it
offers zero input fuel cost, abundant and clean and distributed
over the Earth [1]. India imports more than 80% of its oil;
hence it has a huge dependency on external sources for
development. Hence, the government of India is investing
huge capital on development of alternative sources of energy
especially on wind energy and solar energy system apart from
the conventional nuclear and large hydroelectric systems,
former is used for large scale power generation system and
later is for low power portable applications [2].
With the advent of the development of material technology
and techniques for extracting maximum power, the hitch of
high initial cost and low energy conversion efficiency has
been overcome. Regardless of the intermittency of sunlight, it
is in the forefront in renewable power generation. The
photovoltaic installation is employed for small and medium
scale distributed power generation or stand-alone generation
system.
A major challenge in using a PV source is to tackle the
non-linear output characteristics with the change in
temperature and irradiation resulting in multiple peaks.
Hence, to maximize the effective use of PV-module, the PVpower system has to track the maximum possible power
(MPP) regardless of the unpredictable variations in the
parameters. Maximum Power Point Trackers (MPPT) are
systems that control the PV-module to extract the maximum
power at all time. A large number of MPPT methods such as
Hill Climbing (P&O) method, Incremental Conductance
method, Fractional Open Circuit Voltage method, Fractional
Short-Circuit method, Current compensation method has
been proposed and deployed in the available literature [3-6].
A tracker consists of two components: a switch-mode
converter and a control with tracking ability. However, power
conversion from solar array with MPPT requires more robust
design due to the risks of an array voltage collapse under
peak load demand or severe changes in the array

Abstract-- This paper presents an accurate mathematical

modeling of photovoltaic (PV) array accomplished by a
simplified single-diode equivalent circuit. A typical 19.8 W
module is employed to investigate the I-V and P-V
characteristics of PV array under non-uniform
temperature and irradiation conditions. The proposed
model is used for developing and evaluating the techniques
for maximum power point tracking (MPPT). This paper
adopts a small-signal analysis of a photovoltaic (PV) array
with dc-dc boost converter with resistive load to extract
maximum power. For that, Perturb and Observe (P & O)
method and Current Compensation method are realized
through switching pulse generation to dc-dc boost
converter. Further, meaningful comparison has been
made between these two methods with respect to the
boosted power output and the amount of energy extracted
from the photovoltaic panel. These systems are modeled
and simulated in a user-friendly MATLAB/Simulink
environment.

Index Terms-- Photovoltaic (PV) array, dc-dc boost converter,

Maximum Power Point Tracking (MPPT), Perturb and Observe
Method, Current Compensation Method.
I. INTRODUCTION

ITH the spurt in the use of non-conventional energy

sources, the
possibility of their exhaustion and
environmental pollution is aggravating. Hence, there is a
tremendous increase in the development of the alternative
sources of energy which are cleaner, renewable, and have
little adverse effect on environment. The alternate sources of
energy include solar energy, wind energy, geo-thermal
energy, tidal energy etc. Among these alternative sources of
Satarupa Bal and B.Chitti Babu are with the Department of Electrical
Engineering, National Institute of Technology, Rourkela-769 008, INDIA
(email: bal.satarupa03@gmail.com,bcbabunitrkl@ieee.org).

978-1-4673-0455-9/12/$31.00 2012 IEEE

93

characteristics. MPP-trackers have been widely implemented

with several techniques and power conditioners. In the work
proposed by Maheshappa et al., the PV array voltage (or
current) is compared with a constant reference voltage (or
current) corresponding to the PV voltage (or current) at the
maximum power point, under specic atmospheric condition.
Hua et all, has proposed the technique to reduce the number
of parameters and implemented the simple feedback structure
for P&O method. The incremental conductance method
proposed by Solodovnik et al. leads to good accuracy in
tracking the MPP under rapidly changing weather condition.
This paper presents a single diode equivalent circuit model
of a photovoltaic (PV) array. A typical 19.8W model is
simulated and the output characteristics corresponding to
variable temperature and irradiation level is employed. This
paper adopts a small-signal model of PV module with
resistive load to track the maximum power point (MPP)
irrespective of the parameter variation.. Perturb and Observe
(P & O) method and Current Compensation method are
adopted and the simulation study have been done for
Maximum Power Point Tracking (MPPT) and a comparative
analysis is made for the studied two algorithms for
effectiveness of the study.
The organization of the paper is as follows. Section II
illustrates the mathematical analysis of the single diode
equivalent circuit and the output characteristics
corresponding to varied alteration in temperature and
irradiation levels. Section III gives a brief idea about the PV
energy system including the dc-dc boost Converter with
resistive load. In addition to that, Perturb and Observe (P&O)
and Current Compensation method are the control algorithms
analyzed and simulated. Section IV reveals the results
obtained for the control algorithm and a comparative study of
them in terms of the boosted voltage and the amount of power
extracted. Finally, section V gives a brief conclusion of the
work carried out in the paper followed with the references.

Fig. 1. PV cell modeled as single diode circuit

The typical I-V output characteristics of P-V cell is

represented by following equations:
Module photo-current ( Iph ):
[ I scr Ki (T 298)]G
I ph
1000
(1)
Module reverse saturation current ( Irs ):

I rs

I scr
e

( qVoc / N s KAT )

(2)
Module saturation current ( Io ):
Io

I rs

T
Tr

qEgo
1 1
)
Tr T

BK (

(3)
The current output of PV-module ( Ipv ):
q (Vpv I phRS )

I pv

N p I ph

NI o [e

( N S AKT )

1]

(4)
Where
Vpv is output voltage of a PV module (V)
Tr is the reference temperature = 298 K
T is the module operating temperature in Kelvin
A is an ideality factor = 1.6
k is Boltzmann constant = 1.3805 10-23 J/K
q is Electron charge = 1.6 10-19 C
Rs is the series resistance of a PV module
Iscr is the PV module short-circuit current =1.1 A
Ki is the short-circuit current temperature co-efficient =
0.0017A / C
G is the PV module illumination= 1000W/m2
Ego is the band gap for silicon = 1.1 eV
Voc is the open-circuit voltage=18 V

II. MATHEMATICAL MODELING OF (PV) ARRAY

A solar cell is basically a p-n junction fabricated in a thin
wafer of semiconductor. Being exposed to sunlight, photons
with energy greater than the band-gap energy of the
semiconductor create some electron-hole pairs proportional to
the incident irradiation [7]. Figure 1 shows a typical
equivalent circuit of a PV cell.

The cognizance of the effects of the changes in solar

irradiation level and temperature is illustrated from the output

94

characteristics of the PV model. Figure 2(a) and 2(b) shows

the I-V and P-V characteristics for different solar irradiations
keeping temperature constant at 25oC. As the irradiation is
increased, the current output increases significantly, as a
result of which the output power increases. Figure2(c) and
2(d) represents the I-V and P-V characteristics for different
temperatures maintaining irradiation level at 1.1 W/sqm. As
the temperature is increased, the output current increases
marginally whereas the output voltage decreases drastically;
henceforth there is a net reduction in output power. To
conclude, the output current of the PV module is thus affected
by the change in irradiation level, whereas the output voltage
is affected by temperature variations. Hence, to be able to
extract the maximum power from the solar panel and to track
the changes in environmental condition, MPPT is
implemented.

III. MAXIMUM POWER POINT TRACKER (MPPT) IN SMALL

SIGNAL PV MODULE
A tracker consists of two components: a switch-mode
converter which provides constant output voltage or current
and a control with tracking capability to provide fixed input
voltage to hold the array at maximum power point. Thus,
maximum output is achieved by adjusting the duty cycle of
the converter.
A. MPP Tracking using Perturb and Observe (P & O)
Method
Perturbation and observation (P&O) method periodically
increments/decrements the panel voltage and compares the
PV output power with that of the previous cycle. If the
perturbation leads to an increase/decrease in module power,
the subsequent perturbation occurs in the same/opposite
direction. Figure 3 shows the flowchart that corresponds to
the implemented algorithm. The P&O algorithm has two
parameters: the step size and the time between algorithm
iterations [8]. There is a trade-off in choosing the step-size
and the time interval between algorithm iterations for faster
tracking of Maximum Power point (MPP) with smaller P&O
step size for accuracy.

I-V plots for different irradiations

2
1.8
1.6

G=1.5
1.4
G=1.3

Ipv(amps)

1.2
G=1.1

G=0.9
0.8
G=0.7

0.6

G=0.5

0.4

G=0.3

0.2
0

10
Vpv(volts)

12

14

16

18

20

(a)
P-V plots for different irradiations

30

25

Power(Watts)

20

G=1.5
G=1.3

15
G=1.1

G=0.9

10
G=0.7

G=0.5

G=0.3
0

10
Vpv(volts)

12

14

16

18

20

(b)
I-V plots for different temperatures

2
1.8
1.6
1.4

Ipv(amps)

1.2
T=60
1
T=50

0.8
T=30
0.6

T=35

T=25

T=45
T=40

0.4
0.2
0

10
Vpv(volts)

12

14

16

18

20

Fig. 3. Flowchart for Perturb and Observe (P & O) method

(c)
P-V plots for different temperatures

30

Recently, an emulated PV array load scheme is introduced.

The emulated load characteristic is matched to intersect with
the PV characteristics near the MPPs. Figure 2(a) illustrates
the emulated load characteristics described by the equation:

25

Power(Watts)

20

15
T=60
T=50
T=35

10
T=25

T=30

T=45
T=40

10
Vpv(volts)

12

14

16

18

20

V pv

I pv r Vref

(5)
Figure 4 shows the model of the PV system with the proposed
MPP tracking method. However, the obvious problem with
this method is when the MPP is reached; the output power
oscillates around the maximum, resulting in power loss in

Fig. 2 Characteristics of PV array (a) Typical Ipv-Vpv characteristics for different

irradiation levels (b) Typical P-Vpv output characteristic for different irradiation
levels.(c) Typical Ipv-Vpv characteristics for different temperature (d) P-Vpv
output characteristics for different temperatures

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95

system. This is especially true in constant or slow varying

atmospheric conditions.

alteration in temperature and irradiation level [10]. This

switching converter operates by periodically opening and
closing of an electronic switch. Figure 6 shows the PV system
consisting of the boost converter, controller and resistive load.

Fig. 6. Schematic of dc-dc boost converter

When switch is closed, the diode is reverse biased. Applying

Kirchhoffs voltage law for the closed loop including the
source, inductor and the closed switch is:

Fig. 4. PV system including DC-DC Boost Converter, controller and resistive

load

B. MPP Tracking using Current Compensation Method

The Current Compensation method produces the continuously
varied reference current for each switching cycle during one
sampling period [9]. The continuously changed reference
current is produced by the voltage control loop. Since, the
output current of PV module follows this continuously
changed reference current in the current control loop, the
MPP tracking is achieved. Figure 5 shows the model of the
proposed MPP tracking system.

VL

VS

diL
dt

(6)
The rate of change of current is constant, so the current
increases linearly while the switch is closed. The change in
inductor current is:

VS DT
L

( iL )closed

(7)
When switch is open, inductor current cannot change
instantly, so diode becomes forward biased to provide path for
inductor current.

VL

VS VO

diL
dt

(8)
The change in inductor current when switch is open given by:

( iL )open

(VS VO )(1 D)T

L

(9)
For steady-state operation, the net change in inductor current
is zero. Using (7) and (9)

Fig. 5. Schematic of MPPT Converter with Current Compensation method

( iL )closed

Thus, the proposed MPP tracking method has considerably

less error power. From figure 5, the PI controller is used as
the current controller. The integrator used as current
controller is reset during each switching cycle to compensate
the continuously changed current reference.

( iL )open

(10)
Solving for Vo we get,

VO

VS
1 D

(11)
The maximum and minimum inductor currents are
determined using the average value and the change in current
from (2)

C. Boost Converter Design

DC-DC converter is usually used as switching mode regulator
to convert an un-regulated dc voltage to a regulated dc output
voltage. The boost converter is one which boosts the voltage
to maintain the maximum output voltage irrespective of the

96

I max

IL

iL
2

VS
VS DT
2
(1 D) R
2L

IL

iL
2

VS
VS DT
2
(1 D) R
2L

A. Perturb and Observe Method

The small-signal simulation of the PV power system is
shown below. Figure 7(a) illustrates the input voltage to the
DC-DC Boost Converter. The Vref engendered from the
MPPT controller is constantly compared with the input
voltage and the error thus obtained, is fed to the PI controller
for generation of the pulses. Figure 7(b) shows the plot of the
error voltage which drops to zero as soon as the input voltage
reaches steady-state. Figure 7(c) illustrates the duty cycle
generated as the error voltage is passed through three
cascaded elements: first order low pass filter with cut-off
frequency Wf , gain A, integrator. The duty-cycle is fed to
PWM where the generated pulses switch on and off the
MOSFET. Figure 7(d) realizes the current through the
inductor under Discontinuous Conduction Mode. The boosted
output voltage across the resistive load is illustrated in figure
7(e).

(12)

I min

(13)
A necessary condition for continuous inductor current is
Imin to be positive. Hence, the boundary between continuous
and discontinuous inductor current is determined by:

I min

VS
VS DT
2
(1 D) R
2L

(14)
From the inductor current ripple analysis from Fig 6, the
value of inductor is calculated as:
(1 D) 2 DR
L
2f
(15)
A large filter capacitor is used to limit the output voltage
ripple. The filter capacitor must provide the output dc current
to the load when the diode is switched off. Hence, the value of
VO / VO is
capacitance to minimize the voltage ripple Vr

16

14

12

Vpv(volts)

10

calculated as:

0.05

0.1

0.15

0.2

0.25
Time(sec)

0.3

0.35

0.4

0.45

0.5

(a)

D
RfVr

3.5

2.5

Error(volts)

(16)
where f is the switching frequency in kHz.

1.5

0.5

0.05

0.1

0.15

0.2

IV. RESULTS AND DISCUSSIONS

0.25
Time(sec)

0.3

0.35

0.4

0.45

0.5

0.3

0.35

0.4

0.45

0.5

0.3

0.35

0.4

0.45

0.5

(b)
0

In order to verify the proposed study of a small scale PV

module of 19.8 W along with an average module of a DC-DC
boost converter and a control tracker is modeled and tested in
MATLAB/Simulink environment. For the simplicity of the
study, all simulations are performed considering the same
temperature and irradiation level. Table-1 illustrates the
parameters used for the simulation study to compare two
MPPT algorithms.

-0.05

-0.1

-0.15

-0.2

-0.25

0.05

0.1

0.15

0.2

0.25
Time(sec)

(c)
8

TABLE I
PARAMETERS USED FOR SIMULATION

VALUES

Vin

15.2 V

Lmin

0.0368 mH

Cmin

64.8 F

fsw

35 kHz

Rload

48

A(gain)

-3

IL(amps)

PARAMETER

0.05

0.1

0.15

0.2

0.25
Time(sec)

(d)

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97

Fig. 8. MPPT analysis by current compensation method (a) Duty cycle of the
current controller (D), (b) Inductor Current (iL), (c) Output Voltage (Vo)

50
45
40
35

C. Comparative Analysis
With the knowledge of the control scheme, we are aiming
to compare the above mentioned two algorithms according to
their application. A very important aspect of any control
algorithm is its tracking factor, that is, the percentage of
available power converted and transferred to the load. As a
result, it is highly essential to present the performance
measures of the control algorithms as the criteria for
comparison. Analyzing Figure 9, the output voltage boosted
up to 45.2 V from 15.3 V for Perturb and Observe (P&O)
method, whereas, under same parameters the voltage is
boosted up to 50.57 V across the resistive load for Current
Compensation Method. Also, the amount of power extracted
from the boost converter increases to above 10% for current
compensation control scheme as compared to conventional
Perturb and Observe method. Hence the newly proposed
control scheme has less error power and thus better utilization
efficiency of the PV Power System. In addition to it, the
proposed control scheme doesnt use DSP which makes the
control algorithm cost effective and simple circuit design.

Vo(volts)

30
25
20
15
10
5
0

0.05

0.1

0.15

0.2

0.25
Time(sec)

0.3

0.35

0.4

0.45

0.5

Fig. 7. MPPT analysis by perturb & observe method (a) PV array voltage
(Vpv),(b) Filtered Error (ef) (c) Duty cycle (D), (d) Inductor current (iL) (e)
Output voltage (Vo)

B. Current Compensation Method

The continuously changed reference current during one
sampling period obtained from the output of the voltage
control loop is fed to the current control loop. The input
voltage illustrated in figure 7(a) is compared with the
reference voltage and the error obtained is passed through the
gain to obtain the continuously changed reference current.
This current is compared with the output current of the PV
module which is then passed through the PI controller. Figure
8(a) illustrates the output of the PI controller which is the
duty cycle for the algorithm. The pulses when compared with
the saw tooth wave generate the pulses which determine the
switching of the MOSFET. Figure 8(b) shows the current
through the inductor under Discontinuous Conduction Mode.
The boosted output voltage across the load is realized in
figure 8(c).

45.2

49.72

50.57

55.627

-4.2

-4.3

-4.4

-4.5

-4.6

-4.7

-4.8

0.05

0.1

0.15

0.2

0.25
Time(sec)

0.3

0.35

0.4

0.45

0.5

(a)

Fig 8. Plot for Comparative analysis of boosted voltage and extracted power for
P&O and current compensation methods.

15

V. CONCLUSIONS

IL(amps)

10

The paper presents MPPT algorithm for PV array module

by employing perturb & Observe and Current compensation
methods. For that, accurate modeling of PV array has been
analyzed with simple diode equivalent circuit model. As a
result, the mathematical model of PV module is an aid to
have a closer analysis of the variation in output
characteristics with perturbation in temperature and
irradiation. Thus, to operate the PV power system with
maximum efficiency, Perturb and Observe and Current
compensation methods are discussed and simulated along
with the dc-dc boost converter. Amongst two algorithms, it
can be seen that, current compensation method can be

0.05

0.1

0.15

0.2

0.25
Time(sec)

0.3

0.35

0.4

0.45

0.5

0.3

0.35

0.4

0.45

0.5

(b)
90

80

70

Vo(volts)

60

50

40

30

20

10

0.05

0.1

0.15

0.2

0.25
Time(sec)

98

considered as superior because of the increase in the boosted

voltage and the amount of power extracted keeping the
parameters of the boost converter constant. In realistic, the
above methods will be practically implemented in FPGA
environment in the future work.
REFERENCES
[1]

M.A.G. Brito, L.G. Junior, L.P. Sampaio, C.A. Canesin."Evaluation of

MPPT Techniques for Photovoltaic Applications", in Proc. of International
Symposium on Industrial Electronics - ISIE, 2011, pp.
[2] B.ChittiBabu, S.R.Samantaray, Nikhil Saraogi, M.V. Ashwin Kumar, R.
Sriharsha and S. Karmaker. Synchronous Buck Converter based PV
Energy System for Portable Applications, in Proc. of IEEE Students'
Technology Symposium 2011, lIT Kharagpur.
[3] O. Wasynczuk, Dynamic behaviour of a class of photovoltaic power
systems, IEEE Trans. Power App. Syst., vol. 102, no. 9, pp. 3031
3037,Sep. 1983.
[4] N. Kasa, T. Iida, and L. Chen, Flyback inverter controlled by sensor less
current MPPT for photovoltaic power system, IEEE Trans. Ind. Electron,
vol. 52, no. 4, pp. 11451152, Aug. 2005.
[5] J. J. Schoeman and J. D. van Wyk, A simplied maximal power
controller for terrestrial photovoltaic panel arrays, in Proc. 13th Annu.
IEEE Power Electron. Spec. Conf., 1982, pp. 361367.
[6] T. Esram and P. L. Chapman, Comparison of photovoltaic array
maximum power point tracking techniques, IEEE Trans. Energy Convers,
vol. 22, no. 2, pp. 439449, Jun. 2007.
[7] N. Pandiarajan and Ranganath Muthu, Mathematical Modelling of
Photovoltaic Module with Simulink, 1st International Conference on
Electrical Energy Systems, 2011.
[8] M. Sokolov, T.C. Green, P.D. Mitcheson, D. Shmilovitz, Dynamic
Analysis of Photovoltaic System with MPP Locus Emulation, 2010 IEEE
26th Convention of Electrical and Electronics Engineers in Israel, IEEEI,
Eilat, Nov. 2010, pp. 212215.
[9] Dong-Yun Lee, Hyeong-Ju Noh, Dong-Seok Hyun, and Ick Choy. An
improved MPPT converter using current compensation method for small
scale pv-applications. In IEEE 18th Annual Applied Power Electronics
Conf. and Expo., 2003.
[10] T.Chaitanya, Ch.Saibabu, J.Surya Kumari, Modelling and Simulation of
PV Array and its Performance Enhancement Using MPPT (P&O)
Technique. International Journal of Computer Science & Communication
Networks, Vol. 1(1), 2011.

978-1-4673-0455-9/12/$31.00 2012 IEEE

99

Hybrid Filter for Harmonics Reduction and

Reactive Power Compensation
Nitin Pawar and R. D. Patidar
Abstract This paper presents a new topology of three-phase
hybrid filter for harmonics and reactive power compensation. In
the proposed topology a three-tuned passive filter is tuned to
compensate 5th, 7th and 11th order harmonics while the active
filter compensates the remaining higher order harmonics. The
active power filter control is based on reference current
estimation in a-b-c reference frame. An algorithm to estimate the
parameters of three tuned passive filters is also proposed. The
effectiveness of the proposed algorithms is confirmed by its
simulation in MATLAB/Simulink environment. The simulated
results show that the use of three-tuned passive filter rather than
three single-tuned filters in conjunction with active power filters
(APF) provides better performance for harmonic compensation.
Index Terms Active power filter, passive filter, harmonics,
hybrid active power filter, power quality, three-tuned.

isa

Ls Rs

iLra
iLrb
iLrc

isb
isc
Distorted
AC mains

iPFa

CC-VSI

Vdc

S3

Rc

S5

LL
RL

Switchgear

iPFc

Non linear load

RT 1

RT 1

LT 1

LT 1

LT 1

CT 1

CT 1

CT 1

LT 2 CT 2

LT 2 CT 2

LT 2 CT 2

LT 3 CT 3

LT

LT 3 CT 3

Cdc

S4

S2

S6

Gate Pulses

ica

CT 3

sin( t

iLra
isa*
+

isb*

iLrb

icc
+

iLrc

vLa
vLb

sin( t 1200

sin( t 1200

Positive
Sequence
Calculator

vLc

iLra

Vsm

icb

Hysteresis Controller

Three-tuned passive Filters

Shunt Active Filter

I. INTRODUCTION
Nowadays the harmonics are increasing in the power
distribution system due to increased use of variable speed
drives, power electronic equipment, arc furnaces, welding
machines, dimmer switches, personal computers, television
sets, etc. [1]. These loads not only inject the harmonics, but
also draw substantial reactive power. These unwanted
distortions cause many adverse effects on the power system
equipment [2].
The active power filters (APFs) have attracted the attention
of power electronics researchers/engineers who have had a
concern about harmonic pollution in power systems in past
few years. However, the APF topologies are not cost effective
for high power applications, due to their large rating and high
switching frequency requirement of the pulse width
modulation (PWM) inverters [3, 4].
The hybrid active power filter (HAPF) is a combination of
passive and active filters which clubs the advantages of both
the filters to meet out the compensation requirements of the
dynamic loads [5]. H. Akagi [6] has presented a general pure
active and passive filter (PF) for power conditioning, and
specific hybrid active filters for harmonic filtering of threephase diode rectifiers. Also the singly-tuned passive filters are
bulky and thereby, the doubly-tuned passive filters are
reported in literature [7, 8].
A control strategy based on different compensation
frequencies for APF and passive filter is introduced and the
performance of the controller is simulated in this paper. In
order to reduce the rating of APF a single three-tuned passive
filter (TTPF) is proposed, instead of three single-tuned passive
filters (STPF).

iPFb

RT 1

Lc

Lsm Rsm

iLc

ica icb icc

S1

iLa
iLb

PCC

I sm

Optimal
Control

PL (t )

Ps (t )
+

LPF

isc*

iLrb

Saturator
PSl(t)

1/z

Kpe

2
Vdcref

iLrc

Vdc2

Fig.1. Power and control circuit of proposed hybrid active power filter.

II. HAPF SYSTEM DESCRIPTION

A three-phase HAPF, consists of an active filter in parallel
with single three-tuned passive filter is shown in Fig. 2. A
three-phase nonsinusoidal voltage source with per phase
resistance and inductance Rs and Ls, respectively is supplying
power to the nonlinear load. Three-phase full bridge
uncontrolled rectifier with R-L load on its dc-side is used as a
nonlinear load. A current controlled APF and a three-tuned
passive filter are connected in parallel with source and load.
The APF consists of an inductor Lc and resistance Rc per phase
and a full bridge three-phase phase IGBT based current
controlled voltage source inverter with a self-charging
capacitor Cdc. Three-tuned passive filters (one for each phase)
consist of fixed value inductors and capacitors and are tuned
to compensates 5th , 7th and 11th order of harmonics.
III. HAPF CONTROL ALGORITHM
The single-phase harmonic equivalent representation of
HAPF with ideal source voltage condition is shown in Fig. 2.
In this figure, iCPF is the harmonic current through three-tuned
passive filter given by (1) in which KA is the compensation
gain of three-tuned passive filter and iLn is the load harmonic
current.

Nitin Pawar is pursuing M. Tech degree in Power Electronics from

Mandsaur
Institute of
Technology (MIT),
Mandsaur (email:
nitin.panwar@mitmandsaur.info)
Nitin Pawar is with Department of Electrical and Electronics Engineering
Mandsaur
Institute
of
Technology,
Mandsaur
(MIT),
India
(email:patidarrd07@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

100

ZS

Ls

isa* isb* isc*

Rs

iCPF

isn

iCAF
Shunt Active
Filter

iLn

R11

R5

R7

L11

L5

L7

C11

C5

C7

Ps (t )
Vsm

usa u sb u sc

(7)

where, Vsm is the peak value of three-phase positive sequence

components of the PCC voltages expressed as:

ZF
Non-Linear
Load

2 2
2
2
{vsa1 (t ) vsb1 (t ) vsc1 (t )}
3

Vsm

Passive filter

(8)

And (usa usb usc ) are the unit vectors of the voltages
generated using phase lock loop (PLL).
The reference source currents are now compared with actual
load currents to obtain the APF compensating currents. The
compensating currents are the input for the hysteresis current
controllers to generate PWM pulses to switch the devices
connected in the inverter configuration.

Fig. 2. Single-phase harmonic equivalent circuit of HAPF.

According to the control strategy the rest of the harmonic

components are to be compensated by the APF. Therefore, the
APF compensating current iCAF can be represent as:

iCAF (t )

The overall compensation gain of HAPF is now the sum of the

compensation through PF and APF and hence, the overall
compensating current is derived as:

ica

isa*

iLa

icb

isb*

iLb

icc

*
sc

iLc

(9)

B. The PF Design Algorithm

The passive filters are used to supply reactive power in

conjunction with eliminating 5th, 7th and 11th harmonics where
as the APF eliminates all reaming higher order harmonics.

Line
CT1
LT1

A. The APF Control Strategy

The APF control algorithm for harmonic and reactive power
compensation is shown in Fig.1. The PCC voltages, actual dclink capacitor voltage and load currents are the main inputs for
the controller. PCC voltages and load currents are used to
estimate the average value of three-phase load power. The
losses in the inverter circuit are estimated by regulating dclink capacitor voltage using close loop controller. The
distorted PCC/source voltages are filtered using low pass
filter. The PCC voltages and load currents are used to obtain
three-phase average active load power Plavg as:

Z1 (

LT2

CT2

CT3

LT3

Z2 (

Z3 (

(a)

Inductive
Capacitive

PSl (t )

2
K pe (Vdcref

Vdc2 ) PSl (t 1)

Impedance

where, (vsa (t ), vsb (t ), vsc (t )) and (iLa (t ), iLb (t ), iLc (t )) are the
PCC voltages and load currents corresponding to phase a, b
and c respectively and T is the time period. Apart from the
load active power source has also supplied the active loss
power PSl of the inverter. This loss component is obtained
using an energy PI controller as expressed as:

Capacitive

(5)

Inductive

Capacitive

(b)
Fig.3. Three-tuned PF (a) Singlephase Equivalent circuit diagram (b)
impedance v/s frequency characteristics.

The total source power Ps is given as:

PS (t ) Plavg (t ) PSl (t )

Inductive

(6)

The configuration of the proposed three-tuned passive filter

is shown in Fig. 3 (a). The 1, 2 and 3 are three different
tuned frequencies. The overall characteristic of the filter is the
sum of the characteristics of series and parallel loops which is
shown in Fig 3(b). Under the conditions of ignoring the
resistance in reactors and dielectric losses in the capacitors,

Now, the three-phase source reference currents are calculated

as:

101

the total impedance of the three tuned filter is the sum of the
impedances of three sections i.e. Z() = Z1() +Z2()
+Z3(), where the impedance Z1(), Z2() and Z3() are the
impedance of three different sections. Based on the reactive
power compensation requirement, selected tuned frequencies
and quality factor of the filter inductor the values of various
filter parameters can be obtained as per [7, 8].
The impedance of the individual first, second and third loops
for nth order will be:

(15)
Putting the value of variables A1, A2, A3, A4 and A5 in
equation (14) we can get the equation (16),

n6 ( A1 A2 A3 )n4 ( A4

t1

t2

t3

1
LT 3CT 3

A5

(16)

A1

A2

A3

A4

H 32 A2

A5

n12 n22 n32

n12 n22 n32

(17)

H 22 A3

(18)

n12 n22 n12 n32 n22 n32

(19)

From equations (15) ~ (19) we will get,

(20)

H12 H 22 H32 n12 n22 n32

The resonant frequencies of the individual first, second and

third loop will be:
1
and
LT 2CT 2

H 22 A3 )n2

In order to get the three positive roots n1, n2, n3 of the equation
(16) we will get the following sets of equations,

(10)

1
,
LT 1CT 1

H 32 A2

t1

(11)

t2

t3

(21)

Finally, the per phase reactive power requirement of the

system QL , bus voltage V1 and the impedance of the threetuned filter at fundamental frequencies are related as:

Now, the three tuned frequencies 1, 2 and 3 of the

proposed three-tuned PF are obtained by equating the filter
impedance zero as:

QL

V12
Z( )
1
CT 1

2
2
t1

(22)

V12
CT 1
CT 3
2
t1
2

CT 1
CT 2
1

2
t1
2

The tuned frequencies (1, 2, 3) of three-tuned passive

filter are the objectives of the filter design. The resonant
frequencies t2 and t3 of the second and third loop circuits
CT2 , LT2 and CT3 , LT3 are chosen based on the design
requirement of 1 , 2 , 3.
IV. SIMULATION RESULTS AND DISCUSSIONS
The characteristics equation can be written as:

Let the variable

Hi

ti

and

The simulated responses of the proposed HAPF controller

under nonsinusoidal source voltages at various operating
conditions are presented to show the performance
characteristics. A nonlinear load of active and reactive power
requirements are PL =22.2kW and QL = 9.2kVAR, respectively
and current THD 30% is taken for harmonics and reactive
power compensation using proposed HAPF. The single and
three tuned PFs are used for compensating 5 th, 7th and 11th
order of harmonics.
The performance of the proposed HAPF controller is
analyzed with single-tuned and three-tuned PFs to show the
effectiveness of the controller. Fig. 4 shows the impedance v/s
frequency characteristics of three single-tuned and single
three-tuned passive filters. Both the curves are almost
overlapping each other which show the performance of the
three-tuned filter is similar to three single-tuned filters. The
tuned frequencies for three-single tuned passive filters were
250 Hz, 350 Hz and 550 Hz while for three-tuned filters were
249.8 Hz, 350.2 Hz, and 548.4 Hz. The parameters used for
simulation study are also given in Table 1.

(i =1, 2, 3) then we can

get the equation (14),

Now adding new variables A1, A2, A3, A4 and A5 as:

102

20

iF5

3-single-tuned

-20
0.08

10

iF7

250

350

550
Frequency (Hz)

Phase (deg)

0.12

0.13

0.14

0.15

0.09

0.1

0.11

0.12

0.13

0.14

0.15

0.09

0.1

0.11
0.12
Time(s)

0.13

0.14

0.15

iF11

-10
0.08

(b)

This section presents the performance of APF with three

-50
single-tuned
passive filters under nonsinusoidal supply
conditions.
A 50 V, 160 Hz, AC source is connected in series
-100
with 10
the existing 40010V,Frequency
50 Hz,(Hz)AC10 source to get 10
the
nonsinusoidal source voltages. Three single-tuned passive
filters tuned for 5th, 7th and 11th harmonic frequencies are
switched on at t = 0.1 s and the APF is switched on at t = 0.15
s. The source currents, during 0 s < t < 0.1 s are similar as the
load currents (nonsinusoidal), during 0.1 s < t < 0.15 s close to
sinusoidal, while perfectly sinusoidal during t > 0.15 s. During
the period 0.1 s < t < 0.15 s the only the selected harmonics
currents (5th, 7th and 11th in our case) of load currents are
compensated by PFs and for the period t > 0.15 s onwards the
all harmonics of the load currents are compensated by APF
and three single-tuned passive filters. The rms value of APF
compensating currents (phase a, b and c) are 2.256 A, 2.234 A
and 2.268 A, respectively. Phase a Source voltage, load
current, APF compensating current, source current are shown
in Fig. 5(a). Figure 5 (b) shows the individual harmonic
current compensated by three single-tuned passive filters. To
show the reactive power compensation capability of the HAPF
the waveform of source voltage and current together for phase
a is shown in Fig. 5 (c). The FFT of the source currents,
before and after the compensation is carried out and the results
are given in Table II.
1

150

(volts)
(amps)
(amps)

0.2

0.25

0.1

0.15

0.2

0.25

0.1

0.15

0.2

0.25

0.1

0.15
Time(s)

0.2

0.25

0.1

0.15
Time(s)

0.2

0.25

B. Case II) APF with Single Three-Tuned Passive Filter

In this case, the proposed three-tuned PF instead of three
single-tuned passive filters with APF is used for HAPF
control. Based on the reactive power required QL =3000
VARs/per phase, source voltage 231 V/phase and tuned
frequencies 250 Hz , 350 Hz and 550 Hz the parameters of the
three-tuned filter are calculated using proposed algorithm and
given in Table II. The performance of the proposed HAPF
system is tested under nonsinusoidal supply voltages
condition. The three-tuned passive filter is switched on at t =
0.1 s and the APF is switched on at t = 0.15 s. The current
through PF is the equivalent of sum of 5th, 7th and 11th
harmonic currents. The Source voltage, load current, APF
compensating current, three-tuned PF current and source
current for phase a are shown in Fig. 6(a). The rms value
APF compensating currents reduces from16.99 A to 2.654 A
in phase a 16.58 A to 2.421 A in phase b and 16.59 A to
2.875 A in phase c as compared to APF alone compensation
case. The phase a voltage and current waveforms are shown
in Fig.6 (b). The Fig.7 shows the change in source active
power, reactive power, and power factor during compensation.
The source reactive power requirement was 9.2 kVAR before
compensation. During 0.1 s < t < 0.15 s the reactive power
requirement reduced from 9200 VARs to 200 VARs which
further reaches to zero during t > 0.15 s. The source active
power remains almost constant throughout the compensation.
The power losses of three-tuned PF and three single-tuned PFs
are compared as given in Table II .The source currents THD

0
-60
0.05

-50

(c)

0
-20
0.05
60

Fig.5. Simulated responses of three single-tuned passive filter under

nonsinusoidal source voltage condition for phase a (a) source voltage (vsa),
load current (iLa), active filter current (ica), source current (isa) (b) fifth
harmonic current (iF5), seventh harmonic current (iF7) eleventh harmonic
current (iF11) (c) Source voltage (vsa) and source current (isa).

0
-60
0.05
20

(amps)

0.15

50

-150
0.05

0
0.1

isa

-100

400

-400
0.05
60

vsa

100

vsa x 0.4 (volts)

vsa

0.11

10

50
A. Case
I) APF with Three Single-Tuned Passive Filters

iLa

0.1

-20
0.08

1000

Fig. 4. Overall impedance v/s frequency characteristics of three- single-tuned

Phase
and single
three-tuned PFs.
100

ica

( amps)

f2

(amps)

f1

0.09

20

f3

isa

1-three-tuned

&
isa(amps)

z (ohms)

15

(amps)

Impedance
20

(a)

103

TABLE I
SYSTEM PARAMETERS FOR SIMULATION

(volts)

iLa

(amps)
(amps)

iPF

(amps)

ica
isa

Parameter

400

(amps)

vsa

are found well within the recommended IEEE 519-1992 limits

as given in Table II.

Nonsinusoidal source voltage(Vs)

-400
0.05
60

0.1

0.15

0.2

0.25

Source Impedance
(Rs : Ls)
Smoothing Impedance
(Rsm : Lsm)
Load Impedance (RL : LL) dc-side
of the uncontrolled rectifier
Filter Impedance
(Rc : Lc)
APF
DC-link capacitor
values
(Vdcref : Cdc)
Q1: Q2:Q3
(RS1: LS1: CS1)
3ST-PFs*
(RS2 : LS2 : CS2)

0
-60
0.05
20

0.1

0.15

0.2

0.25

0
-20
0.05
20

0.1

0.15

0.2

0.25

0.1

0.15

0.2

0.25

0
-20
0.05
60
0
-60
0.05

0.1

0.15
Time(s)

0.2

0.25

(a)
150

vsa

&
isa (amps)

vsa x 0.4 (volts)

100

0.1

0.15
Time(s)

0.2

0.25

3000 VARs/phase
0.2 : 28.55 mH: 58.27 F

APF + 1TTPF**
2.645

2.923
2.998

2.421
2.875

26.36

26.36

27.82

27.82

28.43

28.43

0.36

0.39

0.28

0.29

0.29

0.32

Power loss (W)

66.00

54.00

No. of switchgears required

03

01

Load current
THD (%)

Source current
THD (%)

After Compensation

x 10
2
PS

0.2 : 29.48 mH: 70.12 F

APF + 3STPFs*
2.964

Phase
A

Fig. 6. Simulated responses with single three-tuned passive filters under

nonsinusoidal source voltage condition for phase a (a)
source
voltage(vsa),load current (iLa), active filter current (ica), three-tuned PF
current(iPFa), source current(isa) (b) source voltage (vsa) and source current
(isa).

(Watt)

1200 :1200 : 600 VARs

0.25 : 59.97 mH: 68.71 F

0.5 : 3.3 mH: 41.16 F

APF current rms

(A)

(b)

QS

700 V: 1600 F

TABLE II
VARIOUS RESULTS OF THE PROPOSED HAPF CONTROL

-150
0.05

(VARs)

0.15 : 2.5 mH

(RT3: LT3: CT3)

Parameters

Before
Compensation
0.08

0.1

0.12

Space required
More
Less
3ST-PFs*= Three single-tuned passive filters, 1TT-PF**= One
three-tuned passive filter

PF + APF

PF

0.14

0.16

0.18

0.2

0.22

0.24

V. CONCLUSION
5000

0
0.06

0.08

0.1

0.12

0.14

0.16

0.18

0.2

0.22

0.24

0.08

0.1

0.12

0.14 0.16
Time(s)

0.18

0.2

0.22

0.24

In order to reduce the rating of active power filter a control

strategy which utilizes the advantages of both passive and
active filter for nonlinear load compensation is presented in
the letter. The control strategy not only reduces the rating of
active filter, but also improves the performance of the HAPF
under distorted mains condition. The proposed three tuned
passive filter have advantages of low power loss, less space
and switchgear requirements for its operation. Although the
number of elements are equal in three single-tuned passive
filters and single three-tuned filter but the size of inductor and

1
cos( s )

10 : 10 mH

0.25 : 16.3 mH: 18.9 F

-50

0
0.06
10000

0.1 : 0.25 mH

(RT2 : LT2: CT2)

50
0

0.1 : 0.015 mH

0.2 : 23.59 mH: 35.49 F

1TT-PF**

isa

400 V, 50 Hz + 50 V, 160 Hz

(RS3: LS3 : CS3)

Reactive Power QL
(RT1: LT1: CT1)

-100

Values

0.95

0.9
0.06

Fig.7. Source active, reactive powers and power factor with single three-tuned
passive filters.

104

capacitor required are almost half as given in Table1. The

THD of the source currents after compensation are well below
the permissible limit of harmonic standards IEEE 519. Source
power factor after compensation is close to unity and thus, the
reactive power supplied by the source is almost zero.
REFERENCES
[1]

[2]

[3]

[4]

[5]

[6]

[7]

[8]

A. McEachern, Designing electronic devices to survive power-quality

events, IEEE Industry Applications Magazine, vol. 6, no. 6, pp. 66-69,
November-December 2000.
B. Singh, K. Al-Haddad, and A. Chandra, A review of active power
filters for power quality improvement, IEEE Transactions on
Industrial Electronics., vol. 46, no. 5, pp. 960-971, October 1999.
J. C. Wu, H. L. Jou, Y. T. Feng, W. P. Hsu, M. S. Huang and W. J.
Hou, Novel circuit topology for three-phase active power filter, IEEE
Transactions on Power Delivery, vol. 22, no. 1, pp. 444-449, January
2007.
G. W. Chang, C. M. Yeh and W. C. Chen, Meeting ieee-519 current
harmonics and power factor constraints with a three-phase three-wire
active power filter under distorted source voltages, IEEE Transactions
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X. Zhai, F. Zhuo, R. Duan, W. Lei, P. Zhang and Z. Wang,
Development of a Parallel Hybrid Power Filter with Respective
Harmonic Compensation Method, First annual IEEE, Applied Power
Electronic Conf. 2006.
H. Akagi, Modern active filters and traditional passive filters,
Bulletin of the Polish Academy of Sciences Technical Sciences, vol.
54, no. 3, 2006.
X. Yao, Algorithm for the Parameters of Double Tuned Filter, 8th
International Conference on Harmonics and Quality of Power ICHQP
'98, jointly organized by IEEEPES and NTUA, Athens, Greece,
October,1998.
X. Yao, Z. Jie. And M. Shijie, "Theory for the design of C-type filter,"
Harmonics and Quality of Power,11th International Conference, Lake
Placid, New York, U.S.A, 2004

105

Self-controllable Voltage Level Circuit for Low

Power, High Speed 7T SRAM Cell at 45 nm
Technology
Shyam Akashe, Meenakshi Mishra,and Sanjay Sharma
Abstract- The trend of decreasing device size and increasing

chip densities involving several hundred millions of

transistors per chip has resulted in tremendous increase in
design complexity. Power dissipation occurs in various
forms, such as dynamic, sub threshold leakage, gate
leakage, etc. and there is need to reduce each of these. A
low leakage power, 45-nm 7T SRAM is designed in this
paper. The stand-by leakage power of 7T sram is reduced
by incorporating a newly-developed leakage current
reduction circuit called a Self-controllable Voltage Level
(SVL) circuit. Simulation result of 7t SRAM design using
CADENCE tool shows the reduction in total average
power. In this design seven Transistor (7T) gated-ground
sram is used as a Load Circuit. The Cadence Virtuoso
simulation in standard 45nm CMOS technology confirms
all results obtained for this paper.

paper is to reduce leakage current applying SVL technique and

by investigate the transistor sizing of the 7T SRAM cell for
optimum power and leakage current.
II. 7T SRAM CELL DESIGN
The schematic of 7 transistor SRAM cell is shown in fig1.
In this section, a new 7-transistor SRAM cell which have low
leakage current in stand-by mode. The gated-ground 7T cells
are deemed superior in the high performance process,
while traditional 6T cells are deemed the best in the low power
process. The layout of 7T SRAM cell is shown in fig.2

Keywords- Leakage Current, Low Power, SRAM, SVL, VLSI

I. INTRODUCTION
In modern integrated chips, SRAM cells occupy a major
portion [1]. Now-a-days power dissipation in the memory
circuits has become an important design consideration. The
advancements in the memory chip require that power
consumption during the read and write operations must be low.
Technology scaling results in a high density of components but
there is a significant increase in leakage current [2]. A
minimum size SRAM cell is highly desirable for increasing the
memory integration density. As the integration of components
increases, leakage power is becoming a prime concern in
todays memory chips. Lower voltages and smaller devices
cause a significant degradation of data stability in cells [3]. In
this design seven Transistor (7T) gated-ground SRAM is used
as a Load Circuit. The bottom transistor is intended to cut off
the ground path while the cell is in standby mode to eliminate
the leakage paths through the inverter NMOS sources. This
design has shown that the cell retains its value during standby
even in the absence of a ground path. In this study, the bottom
transistors gate is connected to the WORD line. The bottom
transistor is sized identically to the inverter NMOS transistors
to match their current carrying capacity. The objective of this
Shyam Akashe is Associate Professor of ITM Gwalior, India (email:
Vlsi.shyam@gmail.com)
Meenakshi Mishra is Research scholar of ITM Gwalior, India (email:
mishra.meenakshi13@gmail.com)
Sanjay Sharma is Associate Professor of TU Patiala, India (email:
sanjay.sharma@thapar.edu)

Fig 1. Schematic of 7T SRAM Cell.

The 7 cell investigated is the seven transistor (7T) gatedground SRAM cell depicted in Fig 1.This cell has an
additional NMOS transistor placed in the ground path of a
traditional 6T SRAM cell to reduce leakage while the cell is in
standby mode.[4][5][6] Practice has shown that the cell retains
its value during standby even in the absence of a ground rail.
In this study, the bottom transistors gate is connected to the
WORD line. The bottom transistor is sized identically to the
inverter NMOS transistors to match their current carrying
capacity.[7]

978-1-4673-0455-9/12/$31.00 2012 IEEE

106

B.Read operation of 7T SRAM cell

Given that Q stores 1, at first, WL is set to high to turn
P1 and P2 off, next WL is maintained at a high voltage to keep
N5 on, BL is discharged through N3 and N5. Whereas BLB
stays high because N4 insulates BLB from the GND.The read
operation waveform is shown in fig.4 .The storage nodes Q
and QB completely decouple the datum from the BL during a
read operation. In contrast, when Q stores 0, as long as
turning P1 and P2 off, and turning N5 on, the BLB is
discharged through N4 and N5. The read operation of the
proposed SRAM cell is different from that of the 6T and 4T
SRAM cells. In 7T SRAM cell, reading path is separated from
writing path.

Fig. 2. Layout of 7T SRAM cell.

A. Write operation of 7T SRAM cell

To write 1 to the storage node Q (0 to QB,
simultaneously), at first, BL and BLB are respectively charged
and discharged. WL is set to low to turn P1 and P2 on, next
WL is maintained at a low voltage to keep N5 off. Q is charged
up to high-level by BL through P1, while QB is discharged to
low-level by BLB through P2. When Q is charged sufficiently,
set WL to high and turn P1 and P2 off. In contrast, to write 0
to the node Q (1 to QB, simultaneously), BL and BLB are
discharged and charged, respectively. [8]

Fig. 4. Read operation waveform of 7T SRAM cell with sense amplifier

Reading datum does not interfere the storage nodes.

Besides, the voltage of the storage node, which stores 0, is
closely maintained at the ground level during a read operation.
Therefore, the 7T SRAM cell has higher endurance against
external noise. [8]
III. Self-Controllable Voltage Level

Fig.3. Write operation waveform of 7T SRAM cell

There is no additional power consumption even if the write and

read cycles come alternately, because there is no mismatch
between the voltages level of bit lines in read cycles and that in
write cycles. The write operation waveform is shown in fig.3

The portable systems which are driven by battery,

There are two well-known techniques that reduce leakage
power (Pst). One is to use a multi-threshold-voltage CMOS
(MTCMOS) [9]. It effectively reduces Pst by disconnecting the
power supply through the use of high Vt MOSFET switches.
However, there are serious drawbacks with the use of this
technique, such as the fact that both memories and flip-flops
based on this technique cannot retain data. The other technique
involves using a variable threshold-voltage CMOS (VTCMOS)
[10] that reduces Pst by increasing the substrate-biases. This
technique also faces some serious problems, such as a large
area penalty and a large power penalty due to the substrate-bias
supply circuits requires low leakage power.

107

A self-controllable-voltage-level (SVL) circuitwhich can

supply a maximum DC voltage to an active-load circuit on
request or can decrease the DC voltage supplied to a load
circuit in stand-by mode was developed. This S V L circuit can
drastically reduce stand-by leakage power of CMOS logic
circuits with minimal overheads in terms of chip area and
speed. When CL goes to a high level, VD increases to VDD
(0.7V), while VS decreases to VSS (0V), so the SRAM
becomes active[11]. Three types of self-controllable voltage
level (SVL) circuits are developed.

While gate voltage (VG) of the stand-by inverter shown Fig.

4(a) is kept at 0, the p-MOSFET (pMOS) is turned on while
the n-MOSFET (n-MOS) is turned off. When control signal
(CL) turns on n-SW1 and turns off p-SW, VDD is supplied to
the inverter through n-SWs. Thus, a drain-to-source voltage
(Vdsn), that is, a drain voltage (VD) of the off n-MOS, can
be expressed as
Vdsn= VDD mv,

(1)

Type-1 [Fig.5] has an upper SVL circuit, Type-2 [Fig.6] has a

lower SVL circuit, and Type-3 [Fig.7] combines the upper and
lower SVL circuits. In the following, for simplicity of
explanation of the SVL circuit function, a SRAM cell is
assumed as the load-circuit. The upper SVL consists of a single
p-MOSFET switch (p-SW) and n-MOSFET switch (n-SW)
connected in series. The on p-SW connects a power supply
(VDD) and the load circuit in the active mode on request, and
on n-SW connect VDD and the load circuit in stand-by
mode.

Fig .6. Schematic diagram of LSVL based 7T SRAM cell.

Where v is a voltage drop of the single n-SW and Vdsn can

be changed by varying m or v (or both). Decreasing Vdsn by
increasing m or v will increase the barrier height of the off nMOS; that is, it will decrease the drain induced-barrierlowering (DIBL) effect and, consequently, increase Vthn this
results in a decrease in the sub threshold current of the n-MOS
(Istn); that is, the leakage current through the inverter
decreases.

Fig. 5.Schematic diagram of USVL based 7T SRAM cell

Similarly, the lower SVL circuit, which incorporates a single

n-SW and p-SW connected in series, is located between a
ground-level power supply (VSS) and the load circuit. The
lower SVL circuit not only supplies VSS to the active-load
circuit through the on n-SW but also supplies VSS to the
stand-by load circuit through the use of the on p-SW.The
effect of the SVL circuit on the leakage current through the
load circuit (i.e., reduction in current) was examined. The
SVL circuit and the load circuit were designed using 45 nm
CMOS technology.

In the case of the Type-2 SVL circuit, a negative control

signal (CLB) turns on p-SW1 and turns off nSW so that VSS
is supplied to the stand-by inverter with VG of 0 (i. e. , m
v) through m p-SWs. Thus, according to Equation (1), reduced
Vdsn reduces Istn Furthermore, source voltage (VS) is
increased by mv, so the substrate bias (i.e., back-gate bias)
(Vsub), expressed by
Vsub= mv,

(2)

is increased. Both the reduction in the DIBL effect and the

increase in the back-gate bias (BGB) effect lead to further
increase in Vthn.

The effective gate length of both the n-MOSFET and pMOSFET was 45 nm, the threshold voltage (Vthn) of the nMOSFETs was 0.21 V, and the threshold voltage (Vthp) of
the p-MOSFETs was -0.27 V.

108

The DIBL effect on n-MOS in the stand-by inverter

incorporating the Type-3 SVL circuit is further decreased,
since Vdsn in this case can be expressed as
Vdsn= VDD 2mv,

(3)

The BGB effect due to Vsub [given by Eq. (2)] also occurs
in the Type-3 circuit.The waveform of SVL based 7T SRAM
is shown in fig.8.The operation mode of SVL circuit is shown
in TABLE I.
IV. CIRCUIT SIMULATION AND RESULTS
In this paper a SVL based connection is used in proposed
7T SRAM cell. The parameters and result of SVL based 7T
SRAM cell using cadence virtuoso tool is given in TABLE (II)
and TABLE (III) respectively.
TABLE II
PARAMETERS OF 7T SRAM CELL
Process Technology

Fig. 7. Schematic diagram of SVL based 7T SRAM cell.

45nm

Power Supply Voltage

0.7V

Pre-Charge Voltage

1V

TABLE III
SIMULATION RESULT OF SVL BASED 7T SRAM CELL
Circuit

Leakage Current

7T SRAM during Write

1.347 uA

7T SRAM during Read

1.25 uA

7T SRAM with USVL

1.155 A

7T SRAM with LSVL

1.077 A

7T SRAM with SVL

0.04 A

IV. ACKNOWLEDGEMENT
This work was supported ITM University Gwalior, with
collaboration Cadence design system. The authors would also
like to thank to Professor R.D Gupta sir for their enlightening
technical advice..
Fig. 8. Waveform of SVL based 7T SRAM cel
TABLE I
OPERATION MODE

Mode

Upper SVL Circuit

Lower SVL Circuit

Active

pMOS switch is turned

on

nMOS switch is turned on

VDD is supplied

Vss is supplied

nMOS switch is turned

on

pMOS switch is turned on

VD (<VDD) is supplied

VS(>VSS) is supplied

Standby
Mode

V.CONCLUSION
SVL circuit will play a major role in future. The effect of
the SVL circuit on the leakage current through the load circuit
(i.e., reduction in current) was examined. The SVL circuit and
the load circuit were designed using 45nm CMOS technology.
Sub threshold memory design has received a lot of attention in
the past years, but most of them use large number of transistor
to achieve sub threshold region operation. The new technique
inherently process variation tolerant, this makes the new
approach attractive for nano computing in which process
variations is a major design constraint. In this circuit we have
several advantages in different modes that is in operating mode
high Vds to load circuits for high speed operation, in stand-by
mode load Vds through On MOS switches to Load circuits
for minimum stand-by leakage power, data retention, high

109

noise immunity and SVL circuit small stand-by power

dissipation, negligible speed degradation, negligible area
overhead, high noise immunity, data retentions at stand-by
mode.
REFERENCES
[1]

Kevin,Z., Embedded Memories for Nano-Scale VLSIs. 2009: Springer

Publishing Company, Incorporated.400.
[2] A. Agarwal, C. H. Kim, S. Mukhopadhyay, and K Roy, Leakage in
Nano-Scale Technologies: Mechanisms,
Impact and Design
Considerations, Proc. Of the 41st Design Automation Conference
(DAC04), June 2004, pp. 6-11.
[3] K.Takeda., A read-static noise margin free SRAM cell for low VDD
and high-speed applications. IEEE J. of Solid State Circuits, 41, 113121 (2006).
[4] A. Agarwal, H. Li, and K. Roy, DRG-Cache: A data retention
gatedground cache for low power, Proceedings of the 39th Design
Automation Conference, pp. 473478, June 10-14 2002.
[5] A single-Vt low-leakage gated-ground cache for deep submicron, IEEE
Journal of Solid-State Circuits, vol. 38, no. 2, pp. 319328,February
2003.
[6] K.-S. Yeo and K. Roy, Low-Voltage, Low-Power VLSI Subsystems.
McGraw-Hill, 2005.
[7] David Hentrich,Erdal Oruklu and Jafan SaniiePerformance
Evaluation of SRAM cells in 22nm Predictive CMOS technology.IEEE
4244-3355, 2009.
[8] Yen Hsiang Tseng, Yimeng Zhang , Leona Okamura and Tsutomu
YoshiharaA New 7t SRAM cell design with high read stabilityIEEE
4244-6632, 2010.
[9] S. Mutoh et al., A 1V multi-threshold voltage CMOS DSP with an
efficient power management technique for mobile phone application,
Digest of Technical Papers, IEEE International Solid-State Circuits
Conference (ISSCC96), FA 10.4, pp. 168 - 169, 438, Feb. 1996.
[10] T. Kuroda et al., A 0.9-V, 150-MHz, 10-mW, 4-mm2 2-D discrete
cosine transform core processor with variable threshold-voltage (VT)
scheme, IEEE Jour. of Solid-State Circuits, vol. 31, no. 11, pp. 17701779, Nov. 1996.
[11] Tadayoshi Enomoto and Yuki Higuchi,A Low-leakage Current Power
180-nm CMOS SRAM, IEEE 4244-1922, 2008.

110

Design of Compact Active Magnetic Bearing

with Higher Load Carrying Capacity
Anand Shivanappa Reddy, Praveen Kumar Agarwal, and Satish Chand

Abstract-- Active magnetic bearings (AMB) are suitable for

high speed applications because of their contactless operation. In
many vital applications compact magnetic bearings with higher
load carrying capacity are required for better utilization of
available space, material and also for efficient operation. Hence in
this present work efforts are made to design the AMB to achieve
higher load carrying capacity and compact size. Two basic design
parameters like number of poles and pole winding pattern are
considered and their effect on the load carrying capacity and size
of the AMB is presented. Eight-pole AMB of symmetric
configuration with trapezoidal winding pattern has given the
compact size with higher load carrying capacity.
Index Terms Active magnetic bearing, design, load carrying
capacity, size.

I. INTRODUCTION

ctive magnetic bearing (AMB) offers special advantages

like higher speed, no mechanical wear, active vibration
control and lower maintenance over conventional bearings
because of their contactless operation. AMB bearing
application areas are turbomachinery, machine tools, electric
drives, textile machinery, vibration isolation, vacuum
techniques etc. [1]. AMB basically consists of electromagnets
arranged circumferentially about a shaft, which generates the
attractive force to hold the shaft at the desired location [2].
Fig.1 shows a typical AMB system consisting of a stator with
magnetic poles about which coils of copper wire are wound.
When the current is applied to the coils, an attractive magnetic
force is generated between each of the stator poles and the
bearing journal. This attractive force increases as the distance
between the two surfaces decreases. Therefore the shaft
remains unstable [3]. So in order to stabilize the shaft
displacement sensors are provided which senses the distance
between the stator poles and the rotor. This signal is fed back
to the controller to provide appropriate coil currents from the
power amplifier. In this way, almost constant separation is

maintained between the bearing surfaces and the shaft is

stabilized.
It is found that in many vital applications compact
magnetic bearing with higher load carrying capacity is
required for better utilization of available space, material and
also for efficient operation. Hence the need of the hour is to
design active magnetic bearing to achieve the compact size
and higher load capacity. Eight-pole AMB gives the compact
size when compared to three-pole AMB for the rotor diameter
above 50mm [4]. However three-pole AMB requires only
three power amplifiers hence their cost is reduced [5]. Stator
geometric parameters like stator yoke, rotor yoke, pole leg
width and bearing axial length decides the size of the AMB
[6]. Hence these parameters are optimized to achieve the
higher load capacity at a minimum mass of the entire bearing
structure. Evolutionary algorithm like genetic algorithm is
used to design optimal AMB systems with good stiffness,
damping and stability. Both the geometrical and control
parameters are considered for the optimization [7]. Further
permanent magnet biased AMBs are proposed to reduce the
size and power consumption of the AMB [8]-[9]. This paper
presents the design of AMB and the effect of number of poles
and pole winding pattern on the size and load carrying
capacity of the AMB.
Amp
Pole
Amp
Journal

Controller

Amp

Shaft
Coil

Amp

Sensors

Anand Shivanappa Reddy, Research Scholar, Department of Mechanical

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: reddyanan@gmail.com).
Dr. Praveen Kumar Agarwal, Assistant Professor, Department of
Mechanical Engineering, Motilal Nehru National Institute of Technology,
Allahabad-211004, India (e-mail: pka@mnnit.ac.in).
Dr. Satish Chand, Retired Professor, Department of Mechanical
Engineering, Motilal Nehru National Institute of Technology Allahabad,
Currently Director (Academics and Industrial Affairs), Vishveswaraya Group
of Institutions, Dadri - 203207, India (e-mail: chandsatish1@rediffmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

Fig.1. AMB system

II. DESIGN OF AMB

The AMBs are designed to achieve the higher load carrying
capacity and compact size. The geometry of the eight-pole
AMB is shown in Fig.3. Load carrying capacity of the AMB is

111

defined as the maximum force that the bearing can generate in

any given direction [4]. For all the poles are considered
identical, the number of coil turns (N) and pole face area (A)
for different poles are given by (1) and (2).

N1

N8

N2

coil and has to be less than or equal to the maximum allowable

width that can guarantee no geometrical interference between
two adjacent electromagnets and it is given by (7) [7].

(1)

(2)
A1 A2 A8 A
Now the load carrying capacity along Y-axis is given by (3)
[3].
n B2 A
j
(3)
Fmax
sin j
j 1 2 0
where Bj is the flux density of the jth pole, 0 is the
permeability of air, j is the pole orientation angle of jth pole
and n is the number of poles.
At steady state g1 = g2 = g3 = g4 = g5 = g6 = g7 = g8 = go.
Hence flux density in the jth pole Bj is given by (4)[10].
0

Bj

NI j

(4)

g0

where Ij is the current supplied to the coil of the jth pole

through the power amplifier.
The B-H curve for silicon steel as bearing material is shown
in Fig.2. The end of the linear region of B-H curve specifies
the maximum utilizable flux density in bearing material for
achieving the load carrying capacity. This limit is referred as
saturation flux density Bsat. Therefore from (3) and (4) for
achieving load carrying capacity, the required pole face area A
and number of turns in the coil N are given by (5) and (6)
respectively.
A

n
j

Fmax
B 2j
sin
1 2 0

(5)
j

g 0 Bsat
0 I max

Fig.3. Geometry of eight-pole AMB

Ww

where

r g0 cos

t tan

1
2

1
Wp
2

(7)

constants
n , 2 Ki 1 , t
2 H w and 1 , 2 are
less than unity. Assembly ratio 1 is used here to prevent Ww
from reaching its maximum value and its value is taken as 0.9
for most of the cases. Another assembly ration 2 is used to
prevent assembling error of magnetic bearings in fabricating
processes and value is taken as 0.1 for most of the cases. Iron
ration Ki value varies from 0.3 to 0.8. Pole face width Wp is
given by (8).
1
(8)
2
Height of the pole is given by the winding height. Winding
area required and area available for the winding is given by (9)
[7].

(6)

Wp

2 r

rw tins
wf

g 0 sin

Ww tc

Hw

2tc

(9)

where rw is the radius of the winding wire, tins is the insulation

thickness, wf is a winding factor, tc is the coil casing thickness
and Hw is the height of the winding.
AMB size is defined in terms of its stator outer diameter
(D), and axial length (L), and is given by (10) and (11)
respectively.

Fig.2. B-H curve of a bearing material

All the eight poles of the AMB are provided with the
separate coil. The coil geometry is shown in detail in Fig.4.
The maximum winding width Ww determines the size of the
112

2 r

A Wp

g 0 t H w Wp

(10)
(11)

Wp

Ww

B2 Bmax , B1 B3 Bmax 2 and B4 0 . Hence (14) can

be rewritten for the maximum load carrying capacity Fmax as in
(15).
2
ABmax
Fmax
1
(15)
2 0
Further (13) and (15) can be written in terms of load capacity
factor Klcf as in (16).

tc

Coil

Pole

Hw

Fmax

2
ABmax
K lcf
2 0

(16)

Load capacity factor for both eight-pole and four-pole AMB

configurations is summerized in Table 1. Load carrying
capacity of the eight-pole AMB is found to be 2.414 times
more then the four-pole AMB. This higher load carrying
capacity is due to the better utilization of the available bearing
space.

t
Fig.4. Coil geometry

III. EFFECT OF NUMBER OF POLES

TABLE I
LOAD CAPACITY FACTOR OF AMBS

Based on number of poles eight-pole and four-pole

symmetric configurations of AMB shown in Fig.5 are
considered in the present work. Load carrying capacity and
size of these configurations in terms of the stator outer
diameter (D) and AMB axial length (L) is calculated.

Load capacity
factor

Configurations of AMB based on

number of poles
Eight-pole

Four-pole

2.414

Klcf

TABLE II
DESIGN SPECIFICATIONS

External force, (Fext)

200 N

Weight of rotor, (mg)

50 N

Shaft diameter, (ds)

(b) Four-pole AMB

(a) Eight-pole AMB

Fig.5. Configurations of AMB based on number of poles

For the configuration shown in Fig.5(a) the force along Y-axis

is obtained from (3) and is given by (12).

Fy

B12 sin 0 B22 sin

A
2

B52 sin

B62 sin 5

4 B32 sin

2 B42 sin 3

4 B72 sin 6

B6

B7

maximum
B4 Bmax , B1

B5

load
Bmax 2

carrying
and

0 . Hence (12) can be rewritten for the

maximum load carrying capacity Fmax as in (13).

B8

2
ABmax
2.414
(13)
2 0
Similarly the force along Y-axis for four-pole AMB
configuraton shown in Fig.5(b) is given by (14).

Fmax

Fy
For

A
2

2
1

2
2

B sin 0 B sin

2
3

2 B sin

2
4

B sin 3

5A

Winding wire dia. (wdia)

1.63 mm

Air gap length (g0)

0.5 mm
1.2 T (for Si-steel)

Winding factor (wf)

(12)
For
the
capacity B2 B3

Maximum current, (Imax)

Maximum flux density (Bmax)

4 B82 sin 7

40 mm

0.7

Size of the AMB is determined for the design specifications

given in the Table 2 and summarized in Table 3. The resulting
configurations of the designed AMBs are plotted in Fig.6 to
verify the better utilization of available bearing space. It is
observed that the eight-pole configuration gives the compact
size compared to four-pole configuration of AMB. For the
same length of the AMBs, the stator outer diameter of the
eight-pole AMB is found to be 24% lesser then the four-pole
AMB.

(14)

TABLE III
SIZE COMPARISON OF AMBS

Size of the AMB

Eight-pole

Four-pole

Stator outer diameter (mm)

150

198

Length (mm)

15

15

the

maximum

load

carrying

capacity
113

80

TABLE IV
AMB SIZE FOR DIFFERENT WINDING PATTERNS

Size of AMB

60

Eight-pole

40

Parallel winding
pattern

Trapezoidal
winding pattern

Stator outer
diameter (mm)

150

127

Length (mm)

15

20

-20

15

-40

-60

IV. EFFECT OF WINDING PATTERN

-80

Winding pattern decides the number of coil turns that can be

accommodated in the available space between two adjacent
poles. Winding can be done manually or by using the machine.
By manual winding or trapezoidal winding pattern more
number of tunes are filled in less space. Hence the overall size
of the AMB reduces. By machine winding only parallel
winding pattern is possible. In the present case for eight-pole
AMB both winding patterns are considered and comparison of
the AMB size for both the case is given in Table 4. It is found
that eight-pole AMB with trapezoidal winding pattern gives
15% smaller stator outside diameter compared to eight-pole
AMB with parallel winding pattern. Eight-pole AMB designed
with parallel winding pattern and trapezoidal winding pattern
are shown in Fig.7.

-80

-60

-40

-20

20

40

60

80

60

80

(a) Parallel winding pattern

80

60

40

20

-20

-40

-60

-80

-80

-60

-40

-20

20

40

100

(b) Trapezoidal winding pattern

Fig.7. Eight-pole AMB with different winding patterns

50

V. CONCLUSIONS

-50

-100

-150

-100

-50

50

100

150

(a) Eight-pole AMB

For any application, the required configuration of magnetic

bearing does not have a unique solution. Several solutions can
be obtained by changing various design parameters of
magnetic bearing. In the present work, the effect of design
parameters like number of poles and pole winding pattern, on
the size and load carrying capacity of AMB has been
evaluated.
The effect of poles on AMB load carrying capacity and size
has been evaluated by choosing two symmetric configurations
of AMB based on number of poles as eight-pole and four-pole
AMBs. It has been observed that the eight-pole AMB is having
2.414 times higher load carrying capacity. This higher load
carrying capacity results in reduction of stator outer diameter
by 24%. Further, the bearing can be made more compact by
utilizing trapezoidal winding pattern with manual winding
method, leading to 15% reduction in the size.

100

50

-50

-100

-150

-100

-50

50

100

(b) Four-pole AMB

Fig.6. Cross section of the designed AMBs

VI. REFERENCES

150

[1]
[2]

114

G. Schweitzer, H. Bleuler, and A. Traxler, Active Magnetic Bearing,

Zurich, Switzerland vdf Hochschulverlag A G, 1994.
F . Matsumura, Y. Okada, M. Fujita and T. Namerikawa, State of the
Art of Magnetic Bearings, JSME, The Japan Society of Mechanical
Engineers, series C, vol.40, pp.553-560, 1997.

P. K. Agarwal and S. Chand, Fuzzy logic control of three-pole active

magnetic bearing system, Int. J. Modelling, Identification and Control,
Vol. 12, No. 4, pp. 395-411, 2011.
[4] K. Matsuda, Y. Kanemitsu, and S. Kijimoto, Optimal Number of Stator
Poles for Compact Active Radial Magnetic Bearings, IEEE
Transactions
on Magnetics, vol.43, August 2007, pp. 3420-3427.
[5] S. L. Chen and C. T. Hsu, Optimal Design of a Three-pole Active
Magnetic Bearing, IEEE Transactions on Magnetics, vol. 38, No.5,
Sep.2002, pp. 3458-3466.
[6] G. Stumberger, D. Dolinar, U. Pahner, and K. Hameyer, Optimization
of Radial Active Magnetic Bearings Using the Finite Element
Technique and the Differential Evolution Algorithm, IEEE
Transactions on Magnetics, vol. 36, No.4, July 2000, pp. 1009-1013.
[7] H. Chang , S C Chung,Integrated design of radial active magnetic
bearing systems using genetic algorithms, Mechatronics 2002;
12(1):1936.
[8] C. A. Lee, Z. F. Hsiao and D. Ko, Analysis and testing of a magnetic
bearing with permanent magnets for bias, JSME Int. J. Ser. C, Vol. 37,
No. 4, p. 774, 1994.
[9] Y. Fan, A. Lee and F. Hsiao, Design of a permanent/electromagnetic
magnetic bearing-controlled rotor system, Journal of the Franklin
Institute 334B (1997) 337356.
[10] P. K. Agarwal and S. Chand, Fault-tolerant control of three-pole active
magnetic bearing, Expert Systems with Applications 36 (2009) 12592
12604.
[3]

115

16 Spot Beam Ka-Band Satellite Communication in

India for Rain Fade Mitigation
Bhaktapriya Mohapatra, Prasanna Kumar Sahu, Member, IEEE, and Abhisek Patra

Abstract The frequency band of 26.5 40 GHz is used for KaBand communication which includes wide band multimedia
services, mobile information systems, SPACELAN, e-Commerce
and high bandwidth internet using high capacity for more user
demand. But communication in this high frequency is more
susceptible to rain attenuation which degrades the link quality
and decreases the signal to noise ratio mainly in tropical regions.
In this paper we have proposed rain fade mitigation using spot
beam technology. Here India is divided in to 16 spot beam
locations and we have used multi beam coverage using multi
port power amplifiers for the proposed technique where
dynamic power allocation to the beams occurs depending upon
the traffic. It will compensate the rain attenuation of one beam
by sharing unused power from the other beams. The payload
architecture of the 16 spot beam coverage using MPA has been
designed for the proposed technique. This technique does not
require any additional transmit power and does not cause any
additional traffic burden.

Here we have calculated the rain attenuation using ITU-R and

Crane Global rain model for the 16 spot beam locations in
India.Attenuation by atmospheric gases depends on frequency,
elevation angle, and altitude above sea level and water vapour
density. Frequency below 10GHz it may normally be
neglected, however it is significant above 10GHz, especially
for low elevation angles. Water vapour is the main contributor
to gaseous attenuation in the frequency range below 30GHz
with a maximum occurring at 22.275GHz, which is the
resonance frequency of water particles with RF. Rain fade is
the signal degradation due to interference of rainfall or clouds
with radio waves (RF). It depends on temperature, drop size.
Several rain fade mitigation techniques for Ka-band satellite
systems are being investigated to improve the channel
capacity. Several rain fade mitigation techniques for Ka-band
satellite systems are being investigated to improve the channel
capacity. There are three major classes of fade mitigation
techniques (FMT) i.e. (a) Power Control (b) Diversity and (c)
Adaptive transmission techniques [1][2].

Keywords Ka-band, rain fade, FMT, MPA, power control

I.

INTRODUCTION

The NASA Advanced Communication Technology

Satellite (ACTS) has provided means to investigate the
problems associated with Ka-band satellite transmissions. In
India Ka band communication was implemented in GSAT-4
by ISRO which was having 8 spot beams, frequency reuse
factor four, but due to launching failure it didnt work [4].
Keeping this in mind a novel downlink power control
technique to counter the down link rain fade attenuation is
proposed here for 16 spot beam system [3]. The proposed
technique utilizes the adaptive power sharing of multiple
beams by using multiport power amplifier (MPA) which is
very often used in multi beam systems [7][11]. MPA is often
used for dynamic power sharing of the beams depending
upon the traffic. It is assumed that the channel capacity of all
the beams is not being used to full capacity. The unutilized
power from other beams with lower traffic or no loading is
diverted to the beams which undergo rain fading. The amount
of fade compensation will depend upon the unused power in
other beams.

HE Ka-band (26.5-40 GHz) frequency spectrum has

recently gained attention for satellite communication. It
supports High Definition Television (HDTV), which needs a
much larger bandwidth for transmission, coupled with the
current demand for hundreds of television channels and the
growth in internet communications through Direct-To-Home
(DTH) which is much more advantageous as compared to C
& Ku bands. But communication at this high frequency is
mostly affected by rain fade, which degrades the signal
strength, depolarizes and scatters the signal. This paper
analyzes Ka-band satellite communications link availability
in various geographical separated spot beams in India using
statistical data. This paper proposes 16 spot-beam locations
to cover Indian main land. It is based on global rain models
integrated with the link budget. The global Crane model,
ITU-R and Moupfouma rain models[1] allow us to examine
major system design issues encountered in Ka-band satellite
communications those are susceptible to propagation
impairments [1].

II.

PROPOSAL OF 16 SPOT BEAM SYSTEM

In this proposal we have divided India into 16 spot beam

locations depending upon the traffic density. We have formed
four groups of total 16 spot beams that is, each group is
having 4 spot beams as compared to GSAT4 system [4]. By
this we can achieve frequency reuse. In this technology
instead of using one high power transmitter for total
geographical region of India, we are proposing 16 low power
transmitters used for focusing power into 16 spot beam

Bhaktapriya Mohapatra is with Department of Electrical Engineering,

National Institute of Technology, Rourkela (e-mail: bhakta.srj@gmail.com).
Prasanna Kumar Sahu is with Department of Electrical Engineering,
National Institute of Technology,Rourkela (e-mail: pksahu@nitrkl.ac.in).
Abhisek Patra is with Department of Electrical Engineering, National
Institute of Technology,Rourkela (e-mail: pabhisek87@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

116

locations. The four groups are: A(Mumbai, Patna, Jaipur,

Srinagar), B(Kolkata, Hyderabad, Lucknow, Ahmedabad),
C(Delhi, Bhopal, Madurai, Guwahati) and D(Chennai, Pune,
Bhubaneswar, Chandigarh). For analysis of rain attenuation
we have considered these 16 locations. Accordingly we have
calculated the rain attenuations as in Figure-1 for Group-A
spot beam locations for different annual average rainfall rate
from Table-1. There are several rain models for calculating of
rain attenuation. Among them ITU-DAH and Global Crane
rain attenuation model are most widely used [1][5]. ITU
model is based on DAH rain model. This model can estimate
annual statistics of path attenuation for frequencies up to
55GHz. ITU has divided the earth into 15 rainfall climatic
zones (A,B,C,D,E,F,G,H,J,K,L,M,N,P) depending on average
rainfall rates [1]. India is coming under N (42mm/hr) and K
(95mm/hr). The Global Crane model has divided the earth
into 8 climatic zones as A, B, C, D(D1,D2,D3), E, F, G, H and
India comes under G, H and D3 [1]. For calculation of rain
attenuation using these models we need frequency of
operation, elevation angle to the satellite, latitude of the
ground station, height of ground station, point rainfall rate for
0.01% time of an average year. From this in each case we
calculate rain height and slant path length. Then we calculate
the specific attenuation (R), and then the predicted
attenuation exceeded for 0.01% of an average year (A0.01) [1].
The simulation results of rain attenuation for ITU-R and
Global Crane model using MATLAB coding is shown in
Figure-1.

location which undergoes rain attenuation can be

compensated using available onboard power. The Global
Crane model shows a large variation as compared to the ITU
model. But ITU model gives us a better analysis result as it is
a more advanced model.

TABLE 1. ITU-R ANNUAL AVERAGE RAIN RATE IN 16 SPOT

Fig 1. Simulation result of rain attenuation using ITU-R and Crane

model

BEAM AREAS OF INTEREST (0.01% OF TIME)

III.
Name of the spot beam
Mumbai
Patna
Jaipur
Srinagar
Kolkata
Hyderabad
Luck now
Ahmedabad
Delhi
Bhopal
Madurai
Guwahati
Chennai
Pune
Bhubaneswar
Chandigarh

RAIN FADE MITIGATION TECHNIQUES AND PAYLOAD

CONFIGURATION FOR THE PROPOSED SYSTEM

Rain rate exceeded

(mm/hr)

The main rain fade mitigation techniques are up/down link

power control, diversity, adaptive coding, adaptive
modulation, data rate reduction and onboard beam shaping.
Here we are proposing downlink power control for 16 spot
beams using the multi-beam configuration, where the total
system capacity is divided among 16 spot beams. In
conventional multi-beam transponder concept, one individual
high power amplifier is used for each beam. But in multibeam concept using MPA [7][11] the power required for each
beam is shared between a number of high power amplifiers
depending upon the traffic requirements leading to uniform
loading of the power amplifiers.
The payload architecture of Ka-band system using
multiport amplifier is shown in Figure 2. The proposed
payload configuration has separate transmitting and receiving
antennas to avoid the passive inter-modulation product.
The16x16 switch matrix unit provides the connectivity
between different beams [6][7]. Eight-beam coverage has
been assumed for Ka-band services. The payload
configuration uses 16x16 hybrid network at the input and
output of the power amplifiers. The uplink received signal
from each beam is amplified by a low noise amplifier (LNA).
The signals are then down converted (D/C) to the desired

99.7
77.7
56.8
37.9
99.6
60.0
75.3
51.2
69.1
64.8
91.6
86.6
81.1
79.9
82.8
69.8

Here in the simulation we can see that there is about 15

dB of rain attenuation for the duration of 0.1% time of an
average year(about 87 hours) and 25-60 dB attenuation for
0.01% time of an average year(about 8 hours). So using this
attenuation levels we can predict whether the spot beam

117

frequency (2.5 GHz) in S-band using suitable local oscillator

frequency for each beam. The signals are de-multiplexed, and
beam to beam switching is provided through16x16 switch
matrix. The output signals are up converted (U/C) to Ka-band
and amplified by the 16x16 multi-port amplifiers before
being transmitted in the downlink.

network separates out signal for each beam. The basic

working principal of this hybrid network is similar to butler
matrix but in this configuration there is no need to use
multiple fixed phase shifters. The principle of MPA has been
effectively used for rain fade mitigation to optimize the down
link power of the beam experiencing the rain attenuation.

The 16x16 MPA system consists of input and output

hybrid networks. The signals from each beam are connected
to an input hybrid network. Thus the signals from each beam
shares the power of each amplifiers by the help of hybrid
network. The output hybrid network separates out signal for
each beam. The basic working principal of this hybrid
network is similar to butler matrix but in this configuration
there is no need to use multiple fixed phase shifters. The
principle of MPA has been effectively used for rain fade
mitigation to optimize the down link power of the beam
experiencing the rain fading.

POWER AMPLIFIER

F1

H
Y
B

F2

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F16

H
Y
B

F3
F4

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F5
F6

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F7
F8

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F9
F10

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F11
F12

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F13
F14

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F15
F16

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

H
Y
B

F15
F14
F13
F12
F11
F10
F9
F8
F7
F6
F5
F4
F3
F2
F1

Fig 2. 16x16 Hybrid multi port amplifier

IV.

DYNAMIC POWER ALLOCATION TO 16 BEAM SYSTEM

The total (C/No) depends on the ratio of (C/No)u uplink

and (C/No)d downlink. If a beam suffers rain attenuation
then, (C/No)u > (C/No)d. Now assume that some of the
remote area beams have thin traffic, then total no. of carriers
in the system will not be utilized and also total power
allocated to those beams will not be fully utilized.
TABLE 2. ESTIMATION OF FADE MARGIN FOR DIFFERENT
TRAFFIC LOAD.

Fig2. Payload configuration of 16 Beam Ka-band systems.

The block schematic diagram of the multiport amplifier is

given in Figure 3. Using a pair of 16 port hybrid and 16
amplifying elements, a 16 port power combining network has
been derived. We call this multiport combining network as
hybrid transponder after the name of Butler matrix
transponder [7]. The signals from each beam are connected to
an input hybrid network. Thus the signals from each beam
shares the power of each amplifiers. The output hybrid

118

Traffic
%

Power
Per
Beam
(W)

No. of
Beams

Total
Power
(w)

Excess
Power

Fade
Margin
Available
dB

800

Power
Load
Per
Beam
(W)
50

100

50

16

0.0

80

50

16

800

40

160

4.8

70

50

16

800

35

240

6.5

50

50

16

800

25

400

9.5

The allocation of power to beams can be in three ways.

Static power allocation implies that input powers to the beam
are same at any time of the satellite network operation and
only applicable to clear sky conditions [8]. In dynamic power
allocation scheme the faded beams are compensated by extra
power from the unutilized low traffic beams. Signal level of
the affected beam at the MPA input is controlled by
commandable attenuators as per its fade margin requirement.
Amplifiers are in linear mode and excess unused power from
other beams is transferred to the required beam by reducing
value of attenuator of a particular beam. Depending upon
availability of transmit power, this output power increases
linearly. As power input of every amplifier is shared by
others by using hybrid network, the power from a low traffic
beam is dynamically transferred to a faded beam.

to efficient use of system capacity. The proposed novel

technique for the mitigation of rain fade in Ka-band downlink
does not require any additional onboard transmitting power.
We also can design an efficient algorithm using closed loop
feedback system so that the excess power from the low traffic
beam can be divided optimally among the beams suffering
attenuation. Also using other technique like simultaneous
X/Ka band communication where the communication will be
in Ku band for the rain affected beams as there is very less
rain attenuation in Ku band only for the period of attenuation.
REFERENCES
Louis J. Ippolito. Jr., Satellite Communications Systems Engineering:
Atmospheric effects, satellite link design, and system performance,
Wiley Series on Wireless Communication and Mobile Computing. John
Wiley & Sons Ltd, Chapter no. 6, 7, 8, pp 89-238, First Edition-2008.
[2] T. Pratt, C. W. Bostian and J. E. Allnut, Satelite Communications.
Wiley and Sons, Chapter 4, pp. 96-151, Chapter 8, pp. 295-340,
2nd Edition-2007.
[3] Jayadev Jena, P K Sahu, Rain fade and Ka-Band Spot Beam Satellite
Communication in India, IEEE conference on Recent Advances in
SpaceTechnology Services and Climate Changes (RSTSCC), pp. 304306, Nov-2010.
[4] Kalyan Bandyopadhyaya,GSAT-4,A step towards Indian advanced
communication satellite, IIT,Kharagpur, IWSSC, oct-2008.
[5] ITU-R Recommendations (1999), Specific Attenuation Model of Rain
for Use in Prediction Methods, pp. 838-1, Rain Height Model foe
Prediction Methods, pp. 839-2.
[6] Parimal Majithiya, A. K. Sisodia, V. Muralidhar and V. K.
Garg,Novel down link rain fade mitigation technique for Ka-band
multi beam systems. Wiley Inter Science International Journal of
Satellite Communications and Networking, Vol. 25, pp.45-51, 2007.
[7] Egami S, Kawai M. An adaptive Multiple Beam System Concept,
IEEE Journal on Selected Areas in Communications 1987; SAC5(4):630636.
[8] Aposto Destounis, Athanasios D. panagopolous, Dynamic Power
Allocation for Broadband Multi-Beam Satelite Communication
Network, IEEE Communication Leters, Vol. 15, No. 4, pp. 380-382,
April-2011.
[9] J. P. Choi, V. W. S. Chan, Optimum power and beam allocation based
on traffic demands and channel conditions over satellite downlinks,
IEEE Transactions on Wireless Communication, Vol. 4, No. 6, pp.
2893-2993, 2005.
[10] Y. Hong, A. Srinivasan, B. Cheng, L. Hartman and P. Andreadis,
Optimal power allocation for multiple beam satellite systems,
Proceedings on IEEE Radio and Wireless Symposium, pp. 823-826,
January-2008.
[11] P. Angeletti, M. Lisi, Multiport power amplifiers for flexible satellite
antennas and payloads, Microwave Journal Frequency Matters, 5th
Edition, May-2010.
[1]

The fade compensation is based on downlink beacon

signal quality, which provides information on the extent of
rain fade. The downlink signal quality is continuously
monitored by operation and maintenance center from the
ground station which operates in C band. Every time the
(C/No) d of a beam goes below threshold the power is
compensated by sending command to the commandable
attenuators. Then the attenuators adjust the power of MPA.
By this we can optimally allocate power to all beams [9][10].
Here we have formed four groups of total 16 spot beams
that is, each group is having 4 spot beams as compared to
GSAT4 system. By this we can achieve frequency reuse. The
four groups are: A (Mumbai, Patna, Jaipur, Shrinagar), B
(Kolkata, Hyderabad, Lucknow, Ahmedabad), C (Delhi,
Bhopal, Madurai, Guwahati) and D (Chennai, Pune,
Bhubaneswar, Chandigarh). Accordingly we have calculated
the rain attenuations as in Figure-1 for group D locations for
different annual average rainfall rate from Table-1. The
simulation results of rain attenuation using ITU-R and Global
Crane model is shown in Figure-1.
We have considered here 16 beams each having a
transmitter power of 50 Watts. Assuming various traffic loads
we have calculated that a fade margin of maximum 9.5 dB
power margin can be made available to compensate the faded
beams. The values are shown in Table 2. From this we can
compensate any downlink beam affected by rain fade
attenuation up to a maximum value of 9.5 dB without
affecting the performance of other beams. If the output power
drawn from the amplifier will be higher than intermodulation
product level will be higher.
V.

CONCLUSION

Here we can increase the system capacity by frequency

reuse. The proposed technique neither degrades any transmit
capacity nor requires any extra transmit RF power and it is
easy to control from a satellite master control station. Present
conventional techniques either cause degradation of system
capacity or reduction of throughput and most of the present
techniques are for uplink power control. The use of multi-port
power amplifier in a multi-beam satellite communication
system improves the beam transmission reliability and leads

119

Maximum Power Point Tracking of Multiple

Photovoltaic Arrays
Y. Shasi Kumar, Student Member, IEEE, and Rajesh Gupta, Senior Member, IEEE

Abstract- This paper introduces a novel maximum power

point tracking (MPPT) technique for multiple photovoltaic (PV)
arrays operating under different environmental and load
conditions. Variations in these conditions will cause multiple local
maximum power points (MPPs) on the P-V and I-V curves of the
PV modules. In these conditions it is difficult to find the global
MPP using conventional MPPT techniques. To overcome this
difficulty in this paper an extended perturb and observe (P&O)
MPPT technique has been implemented. The proposed technique
requires only one pair of sensors to find global MPP of multiple
PV arrays, thereby resulting in lower cost, higher overall
efficiency, and simplicity. This paper also discusses about
comparative analysis of extended P&O algorithm and
conventional P&O algorithm. In addition to this the proposed
technique has been verified by comparing with theoretical
analysis under different environmental and load conditions. The
validity of the proposed algorithm is verified by simulation
studies. Algorithm robustness was verified under several partial
shading conditions and for different loads. All the simulation
study has been performed in PSCAD/EMTDC 4.2 version
simulation software.
Index Terms--Extended perturb and observe (P&O) MPPT
technique, global MPP, Multiple photovoltaic (PV) arrays,
PSCAD/EMTDC.

I. INTRODUCTION

lean and renewable energy sources like photovoltaic (PV)

power plays an important role in electric power
generation, and become essential these days due to shortage
and environmental impacts of conventional fuels [1], [2]. The
solar energy is directly converted into electrical energy by
solar photovoltaic modules. Because of nonlinear I-V and PV characteristics of PV sources, their output power mainly
depends upon the environmental conditions and nature of load
connected. Hence, these conditions will effect the overall
efficiency of the PV systems. As the cost of PV panels is high,
we have to utilize them more efficiently. To achieve this, the
PV systems are connected with maximum power point tracker
(MPPT) instead of directly connected PV systems. A boost
converter can act as an interface between load and PV source.
It is difficult to track the MPP of PV array with conventional
MPPT schemes, when it is partially shaded by clouds or trees
etc.. If PV modules are at different insolation level, MPPs of
each PV modules are different.
Under these conditions the conventional MPPT controller
finds local MPP instead of finding the global MPP. Hence, Y. Shasi Kumar is a Masters Student with the Department of Electrical
Engineering, M.N. National Institute of Technology Allahabad, India (email:
shasikumar253@gmail.com).
Rajesh Gupta is an Associate Professor with the Department of Electrical
Engineering, M.N. National Institute of Technology Allahabad, India (email:
rajeshgupta@mnnit.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

-the PV systems will generate less power, and overall

efficiency of the system is low. There are so many methods
and algorithms proposed in the past for tracking of the MPP of
the PV systems [3]. It was demonstrated in [3] to track the
maximum power using look-up table in the microcomputer.
The effectiveness of Perturb and Observe (P&O) has been
explained in [4] and is also called as hill top algorithm. The
method of incremental conductance (IncCond) technique has
been introduced in [5] and [6], but it is complex and more
computationally demanding. Mostly P&O algorithm is used in
practice because it is simple and easy to implement. But with
conventional P&O algorithm it is difficult to find the global
MPP in the situation of multiple arrays at different insolation
levels. In order to overcome this problem we attempt an
extended P&O algorithm in this paper that gives better
response during the transients and rapidly varying atmospheric
conditions. The controller senses the voltage and current
output of the solar PV module and calculates the voltage at
MPP (VMPP), by using the P&O algorithm.
This paper addresses a simple, robust and efficient
maximum power point tracking of photovoltaic system.
Comparative investigations of extended P&O algorithm and
conventional P&O algorithm using boost converter is done in
terms of the maximum power transfer capability of these
algorithms. Rest of the paper is composed as follows. Section
II discusses about multiple PV systems, topologies of PV
systems and its characteristics. Section III discusses about DCDC converter configuration and analysis to control the MPPT
of PV system. Section IV discusses about the proposed MPPT
technique and comparison of P&O algorithm. Finally section
V shows the simulation verification of the proposed MPPT
algorithm.
II. PHOTOVOLTAIC SYSTEMS AND ITS CHARACTERISTICS
A PV cell is the simplest component of a PV module that
generates current carriers when sunlight falls on it. The current
generated by these cells is very small. A solar module is a
combination of number of solar cells that are connected in
series and/or parallel to increase the output power of a PV
module. Because of space limitations for installation, load
voltage and current demands, multiple connection of PV
arrays are recommended [7], [8]. In addition to this in case of
multiple connected PV arrays either in series or in parallel, if
any array is partially shaded, then it is difficult to find the
global MPP with conventional MPPT. If we use individual
MPPTs for each array, then this process will affect the overall
cost of the PV system. In case if the system load is a variable,
then the MPP of the PV array will vary corresponding to the
load of the system. In this situation also it is difficult to find
the MPP with conventional MPPT. To overcome all these

120

difficulties a novel MPPT technique is proposed with

minimum number of sensors.
The characteristics of PV module are shown in Fig. 1,
which varies with the environmental conditions.

separate DC-DC converter for each panel. In topology-2 the

arrays are placed in series strings to maintain lower currents
and higher efficiencies. Topology-3 is similar to topology-1
but these types of PV systems are high power rated like grid
connected and power distribution systems etc. So, each PV
array is connected through a DC-DC converter to satisfy the
load voltage and current demands.
Topology- 1

Fig. 3 Multiple PV arrays connected in parallel before DC-DC converter by a

single MPPT controller.
Fig. 1. Characteristics of PV module with series, parallel connections under
different insolation levels.

Topology-2

In case of two PV arrays are connected either in series or in

parallel, the combined I-V and P-V characteristics are shown
in Fig. 1. This type of characteristics will have multiple local
MPPs (MPP 1 & MPP 2), because of shading effect on one of
the PV array. Under this condition finding global MPP is
difficult with conventional MPPT methods. From Fig. 2 even
it is possible to find the global MPP by connecting multiple
MPPT controllers for multiple PV arrays but the overall cost
of this type of PV systems will be high.
Fig. 4. Multiple PV arrays connected in series before DC-DC converter by a
single MPPT controller.

Topology-3

Fig. 2. Multiple PV arrays connected in parallel after DC-DC converter by

multiple MPPT controllers.

Fig. 3-5 shows some topologies of multiple PV array

connections and implementation of MPPT using DC/DC
converter.
Topology-1 shows the PV system when multiple
arrays/modules are connected in parallel. These types of
systems are applicable for high current and low voltage loads.
In this topology the paralleling of PV arrays is done before the
DC-DC converter. These types of systems are normally low
rated like stand alone systems. Therefore does not require

Fig. 5. Multiple PV arrays connected in parallel after DC-DC converter by a

single MPPT controller.

III. BOOST CONVERTER ANALYSIS

As we know that maximum power transfer takes place
whenever source impedance matches with load impedance. In
order to change the input resistance of the PV module to
match the load resistance, a boost converter is required. Load

121

matching can be done by adjusting the duty cycle of the boost

converter. Thus the converter must be operated with duty
cycle corresponding to maximum power transfer. With
varying load and atmospheric conditions the duty cycle of the
boost converter has to be adjusted to extract maximum power
(PMPP) from PV module, so as to improve the efficiency.
Fig. 6 shows the power circuit of the boost converter with
PV module. It is required to control the switch duty cycle in
order to match the load impedance with source impedance, for
extracting the maximum power (PMPP) from PV module.
IPV

Inductor (L)

IL

Diode (D)

PV input voltage and output power can be maintained at MPP

irrespective of the loads (Rl) by adjusting the duty cycle of the
boost converter. Finally, after simplifying (6), the boost
converter duty cycle can be obtained as below.
D 1

Vmpp
Pmpp Rl

(7)

Where,
Vmpp
: PV input voltage at MPP.
Pmpp
: PV power at MPP.
IV. AN EXTENDED PERTURB AND OBSERVE MAXIMUM POWER
POINT TRACKING METHOD

Resistor (RL)

Switch

Capacitor (C2)

Capacitor (C1)

VPV

Vo

PV Module

Fig. 6. Power circuit of boost converter.

Following can be written based on Fig. 6.

Il

Po
Vo

(1)

Rl

Vo
Il

(2)

Boost converter output voltage (VO) can be expressed as

Vo

Vi
1 D

(3)

Substitute (3) in (1) and (2), following can be written.

Il

Po (1 D)
Vi

(4)

Il

Vi
Rl (1 D)

(5)

Following can be written using (4) and (5)

Vi 2

Po Rl (1 D)2

Where,
Vi (Vpv)
Vo
Il
Po
Rl
D

(6)

: boost converter input voltage, i.e., PV input voltage.

: boost converter output voltage.
: boost converter load current.
: boost converter output power.
: load resistance.
: duty cycle of boost converter.

From (6), the peak power (PMPP) can be extracted from PV

module irrespective of the solar irradiances. Because solar
irradiance is directly proportional to the PV input current and
its effect on PV input voltage is almost negligible. So by
considering this advantage of the PV we have derived (6)
which is independent of the PV input current. From this, the

The aim of the maximum power point algorithm is to extract

maximum power from the photovoltaic module. According to
maximum power transfer theory, maximum power is being
transferred from source to load when source impedance is
equal to the load impedance [9]. Therefore a boost converter is
coupled to the PV module to operate at the duty cycle at which
source impedance and load impedance are equal in order to
extract maximum power from the PV module. It is not
possible to vary manually the duty cycle of the power
converter for rapid changes in atmospheric condition and load.
Therefore an automatic control system is required which
senses the power and changes the duty cycle of the gating
signal. It changes the voltage of the PV module to operate it at
the maximum power point. In recent years intensive research
has been done in the search of effective MPPT algorithm [10][11].
In this section an extended P&O MPPT technique is
proposed [12] to resolve the difficulties with conventional
MPPT techniques as discussed in the previous sections. The
flowchart of an extended P&O algorithm is shown in Fig. 7.
After measuring PV voltage (VPV (k)) and current (IPV (k)), at
the kth instant, the PV power (PPV (k)) is calculated and
compared with the previous value of the power (PPV (k-1)). If
PPV (k) = PPV (k-1), then get the value of PV voltage at MPP
(VMPP). Because at MPP, PPV (k) = PPV (k-1), at this point PV
voltage is called VMPP. If PPV (k) > PPV (k-1), check whether
VPV (k) > VPV (k-1). If yes, then increase VMPP otherwise
decrease VMPP. This same operation will repeated in reverse
direction in case of PPV (k) < PPV (k-1).
After getting VMPP value we have to maintain the PV voltage
at MPP, irrespective of the solar insolation level and the load.
From the PV module characteristics, if PV voltage is at MPP
then the corresponding PV current also lies at MPP, and hence
PV power at the MPP.
The extended P&O algorithm proposed in this paper is
shown in Fig. 7. From flowchart of the extended P&O
algorithm, after getting the VMPP value, difference of VMPP and
VPV (VMPP-VPV) has been calculated. If VMPP = VPV, then duty
cycle of the boost converter remains same as previous value
(Duty (k) = Duty (k-1)). If VMPP < VPV then decrease the Duty,
otherwise increase the Duty. The complete procedure will be
repeated until the maximum power (PMPP) is reached in PV
array.

122

Measure
VPV (k), IPV (k)

Calculate Power
PPV (k) = VPV (k)*IPV (k)

Yes

PPV (k) = PPV (k-1) ?

No
No

No

VPV (k) > VPV (k-1) ?

Yes

No

VMPP (k)=VMPP (k-1)-V

VMPP (k)=VMPP (k-1)+V

Yes

PPV (k) > PPV (k-1) ?

VPV (k) > VPV (k-1) ?

VMPP (k)=VMPP (k-1)-V

Yes

VMPP (k)=VMPP (k-1)+V

VMPP (k)=VMPP (k-1)

Get VMPP Value

Calculate
Diff = VMPP-VPV

Yes
VPV = VMPP ?
No
No

Duty (k) = Duty (k-1)

VPV < VMPP ?

Yes

Duty (k) = Duty (k-1) (Diff * C)

Duty (k) = Duty (k-1) + (Diff * C)

Return

Fig. 7. Flowchart for extended P&O Algorithm.

V. SIMULATION RESULTS
The proposed MPPT technique is simulated using
PSCAD/EMTDC (4.2 version) software at different
environmental and load conditions. The parameters of the PV
module used are shown in Table 1.

50 . As shown in Fig. 5 when two modules are connected in

parallel, with one at healthy condition (G=1000 wm/m2) and
other one is at shaded condition (G=600 wm/m2), theoretically
the total rated power of two modules is 76.58W
(47.87W+28.71W), but with P&O MPPT algorithm we can
able to extract only 43.97W from the PV modules.

TABLE I
Electrical parameters of PV Module
Maximum power (Pmax)

47.87W

Voltage at MPP (Vmpp)

20.3V

Current at MPP (Impp)

2.35A

Open circuit voltage (Voc)

25V

Short circuit current (Isc)

2.5A

Comparative investigations of the extended P&O and

conventional P&O algorithm are presented. To verify the
proposed MPPT technique topology -2 has been as shown in
Fig. 5 is chosen. In this topology we have connected two
module in parallel, one is at healthy condition (G=1000
wm/m2) and another one is under shaded condition (G=600
wm/m2). Fig. 8 shows the tracking performance of VMPP with
conventional P&O MPPT algorithm. From this it is clearly
understandable that because of poor tracking the P&O MPPT
algorithm is failed to locate the global maxima. The tracked
power with P&O algorithm is shown in Fig. 9. As seen from
Fig. 9, the tracked PV power is 43.97 W at resistive load of

Fig. 8. VMPP tracking performance with P&O Algorithm.

Fig. 10 shows the tracking performance of VMPP with

extended P&O MPPT algorithm. When compared with P&O
MPPT algorithm the tracking performance with extended
P&O algorithm has been improved greatly and succeeded to
locate global maxima. The tracked peak power with extended
P&O algorithm is shown in Fig. 11. The extracted power from
PV module with proposed algorithm is 75.93 W at resistive
load of 50 , which is almost equal to the total theoretical
rated power.

123

conditions the achieved boost converter efficiency is around

99%.

Fig. 9. Tracked power by P&O algorithm but failed to track global maxima.

Fig.12. PV Module Power and Load Power with extended P&O algorithm.

Fig. 10. VMPP tracking performance with extended P&O Algorithm.

Fig. 13. PV output power verses load resistance when multiple PV arrays
connected with different MPPT techniques.
TABLE II
Performance of extended P&O algorithm for topology-1 as shown in Fig.3,
when PV1 at G=1000 wm/m2 and PV2 at G=400 wm/m2.
Theoretical rated power = 66.81W
Load
(s)
Fig. 11. Peak power tracked by extended P&O algorithm.

After extracting the maximum power from PV module we

have to transfer that power from source side to load side which
decides the efficieny of boost converter and over all PV
system. From Fig. 12 the extracted PV power is almost
transferred to load side.
Fig. 13 shows the difference in power variation by
changing the load when multiple arrays connected with the
conventional P&O and extended P&O MPPT algorithms.
From this graph it is very clear that, with the conventional
P&O algorithm, the performance of the PV system is not
satisfactory as it fails to track the global maxima, and power is
varying with the load. But with proposed MPPT technique the
PV power is fixed at global maxima with change in the load.
Hence the proposed extended P&O MPPT algorithm perfectly
tracks the maximum power under variable load conditions.
Tables II-IV describes the performance of the proposed
MPPT technique. Multiple PV arrays are connected with
different topologies (Fig. 3 Fig. 5), under different load
conditions. In all the situations the efficiency of proposed
MPPT technique is around 99%. From tables II-IV it can be
observed that for all the topologies the extracted PV power
and the transferred load power is almost equal, hence the
efficiency of the boost converter is good. In all testing
124

PV
Module
Voltage
(V)

PV
Module
Current
(A)

PV
Load Power
Module
(W)
Power
(W)

MPPT
Efficiency (%)
=

Pout (tracked )
*100
Pmax ( rated )
99.49

20

20.26

3.29

66.79

66.47

40

20.25

3.29

66.79

66.43

99.43

60

20.25

3.29

66.79

66.37

99.34

80

20.26

3.29

66.79

66.31

99.25

TABLE III
Performance of extended P&O algorithm for topology-2 as shown in Fig. 4,
when PV1 at G=1000 wm/m2 and PV2 at G=800 wm/m2.
Theoretical rated power = 81.26W
Load
(s)

PV
Module
Voltage
(V)

PV
Module
Current
(A)

PV
Load Power
Module
(W)
Power
(W)

MPPT
Efficiency (%)
=

Pout (tracked )
*100
Pmax ( rated )
97.13

20

39.75

1.98

78.97

78.93

40

41.76

1.93

81.26

80.60

99.18

60

40.81

1.96

80.74

79.96

98.40

80

40.75

1.97

80.68

79.79

98.19

TABLE IV
Performance of extended P&O algorithm for topology-3 as shown in Fig. 5,
when PV1 at G=1000 wm/m2 and PV2 at G=600 wm/m2.
Theoretical rated power = 76.55W

Load
(s)

PV
Module
Voltage
(V)

PV
Module
Current
(A)

PV
Load Power
Module
(W)
Power
(W)

MPPT
Efficiency (%)

20

20.33

3.76

76.55

76.21

40

20.31

3.76

76.55

76.00

99.28

60

20.36

3.75

76.54

75.85

99.08

80

20.34

3.76

76.54

75.71

98.90

VI.

Pout (tracked )
*100
Pmax ( rated )
99.55

Fig. 14 and 15 shows the transient responses of the PV

output voltage, duty cycle of the boost converter and PV
output power during the step change in the load and solar
radiation respectively. Here for a two arrays connected PV
system, step change in the solar radiation has been applied on
one array by keeping the other at constant radiation. The
proposed extended P&O algorithm is well responded for step
in the solar radiation. Similarly it performs equally well for
step change in the load. In both the conditions the boost
converter duty cycle has been adjusted for extracting the
maximum power and VMPP is tracked properly. This is verified
from the figures 14 and 15 where, the extracted maximum PV
power is regained under steady state in very less time.

Fig. 14. PV output voltage, Duty cycle of boost converter and PV output
power response for load step change from 50 to 25 .

CONCLUSIONS

This paper demonstrated a novel MPPT algorithm to

control several PV arrays with only one MPPT controller by
using one pair of voltage and current sensors. The
performance of the proposed MPPT technique has been
verified under various testing conditions. In all situations the
overall efficiency of the PV system and boost converter is
around 99%. From transient analysis the recovery time of the
proposed MPPT technique is observed to be 16ms and 20ms
when step change in load and solar radiation is applied,
respectively. The comparative studies of conventional P&O
and extended P&O MPPT has been obtained. The proposed
MPPT technique is verified to be more efficient.
VII. REFERENCES
[1] Trends in photovoltaic applications: Survey report of selected IEA
countries between 1992 and 2007, IEA, Paris, France, Rep. IEA-PVPS T1T17, 2008.
[2] J. M. Carrasco, L. G. Franquelo, J. T. Bialasiewicz, E. Galvn,R. C.
Portillo Guisado, Ma. . Martacute, J. I. Len, and N. Moreno-Alfonso,
Power-electronic systems for the grid integration of renewable energy
sources: A survey, IEEE Trans. Power Electron., vol. 53, no. 4, pp. 1002
1016, Jun. 2006.
[3] H. E. Ibrahim and F. F. Houssiny, Microcomputer Controlled Buck
Regulator for Maximum Power Point Tracker for DC Pumping System
Operates from Photovoltaic System, Proceedings of the IEEE International
Fuzzy Systems Conference, August 22_25, Vol. 1, pp. 406_411 (1999).
[4] E. Koutroulis, K. Kalaitzakis and N. C. Voulgaris, Development of a
Microcontroller-Based Photovoltaic Maximum Power Point Tracking Control
System, IEEE Trans. Power Electron, vol. 16, pp. 46_54 (2001).
[5] W. Xiao and W. G. Dunford, A modified adaptive hill climbing MPPT
method for photovoltaic power systems, in Proc. 35th Annual IEEE Power
Electronics Specialist Conference, 2004.
[6] T. Esram and P.L. Chapman, Comparison of photovoltaic array
maximum power point tracking techniques, IEEE Trans. Energy Convers,
vol. 22, no. 2, pp. 439-449, Jun.2007.
[7] M. Miyatake, M. Veerachary, F. Toriumi and N. Fujii, Maximum Power
Point Tracking of Multiple Photovoltaic Arrays: A PSO Approach, IEEE
Trans. Aero. Electron, vol. 47, pp. 367-380, Jan. 2011.
[8] A. M. Bazzi and S. H. Karaki, Simulation of a new maximum power
point tracking technique for multiple photovoltaic arrays, IEEE international
conference on electro/information technology, 2008.
[9] D.P. Hohm and M.E. Ropp, Comparative Study of Maximum Power
Point Tracking Algorithms, Conference Record of the Twenty-Eighth IEEE
Photovoltaic Specialists Conference, September 2000, pp.1699-1702.
[10] J.W. Kimball and P. T. Krein, Discrete-time ripple correlation control
for maximum power point tracking, IEEE Trans. Power Electron., vol. 23,
no. 5, pp. 23532362, Sep. 2008.
[11] V. Scarpa, S. Buso and G. Spiazzi, Low-complexity MPPT technique
exploiting the PV module MPP locus characterization, IEEE Trans.
Ind.Electron., vol. 56, no. 5, pp. 15311538, May 2009.
[12] A. K. Abdelsalam, A. M. Massoud, S. Ahmed and P.N Enjeti, HighPerformance Adaptive Perturb and Observe MPPT Technique for
Photovoltaic-Based Microgrids, IEEE Trans. Power Electronics, vol. 26, no.
4, pp. 1010 - 1021, Apr. 2011.

Fig. 15. PV output voltage, Duty cycle of boost converter and PV output
power response for solar radiation step change from 800wm/m2 to 400wm/m2.
125

Model Order Reduction of Continuous Time

Systems using Pole Clustering and Chebyshev
Polynomials
Vinay Pratap Singh, Member, IEEE, Prateek Chaubey, and D. Chandra, Member, IEEE

Abstract-- This paper presents a method for obtaining

stable reduced order model of single-input single-output

(SISO) large scale continuous time system using pole
clustering and Chebyshev polynomial approximation. The
denominator polynomial of the reduced order model is
obtained by clustering the poles of original system. The
cluster centre is obtained using inverse distance measure
(IDM) criterion. The coefficients of numerator are
determined by Chebyshev polynomial series. A numerical
example is provided to illustrate the proposed method.
Index Terms--Chebyshev polynomial,
reduction, Pole clustering technique.

Model

inverse distance measure (IDM) criterion [15]-[16]. This paper

follows as: problem statement is given in section-II, pole
clustering technique is described in section-III, Chebyshev
polynomials are given in section-IV, procedure for obtaining
the reduced order model is provided in section-V, a numerical
example is covered in section-VI while the conclusion is given
in section-VII.
II. PROBLEM STATEMENT
Consider an n th -order linear SISO high-order system
transfer function

order

N ( s)
D( s )

G( s)

a0

a1s an 1s n

(1)

b0 b1 s bn s n

I. INTRODUCTION

HE system modeling often leads to models in the form of

high-order differential equations, which are not well suited
for analysis and design [1]-[2]. Hence, it becomes necessary to
reduce the order of these high-order systems. This need
engineered a tool known as model order reduction in which
high-order system is approximated by its low-order model.
Model order reduction technique plays an important role in
various engineering applications, especially in large scale
control systems.
Many reduction techniques for linear continuous and
discrete time systems such as Pad approximations [3], Routh
approximations [4], time moment matching methods [5],
stability equation methods [6], error minimization methods [7]
and Chebyshev polynomial based methods [8] have been
proposed. In addition to these methods, some methods which
are combination of two or more techniques [9]-[14] have been
proposed in literature.
In this paper, a method is proposed for obtaining the
reduced order model of a high-order system using pole
clustering and Chebyshev polynomial approximation. The
denominator parameters of reduced order model are obtained
by pole clustering technique and numerator parameters of
reduced order model are determined by Chebyshev polynomial
approximation [8]. The cluster center is determined using

It is desired to obtain a rth -order model, such that r

to approximate above transfer function, which is given as

N ( s)
D ( s)

G ( s)

a1s ar 1s r
b0 b1s br s r

(2)

III. POLE CLUSTERING

Sinha and Pal [15] used the inverse distance measure
criterion for deriving the cluster centers from the poles of
high-order system. These cluster centers are poles for reduced
order model. The poles of original system may be all real, a
combination of real and imaginary or all imaginary. For all
these cases, the cluster centers are obtained as:
Let, m real poles in one cluster group be ( p1 , p2 ,, pm )
then the cluster center is obtained using
m

P
i 1

1
pi

(3)

Let, m pairs of complex conjugate poles in a cluster group

be ( p1 jq1 ),( p2 jq2 ),,( pm jqm ) then the cluster
center is obtained using
m

Vinay Pratap Singh, Prateek Chaubey, and D. Chandra are with the
Department of Electrical Engineering, Motilal Nehru National Institute of
Technology, Allahabad-211004, India (e-mails: vinaymnnit@gmail.com,
prateekchaubey@gmail.com, dinuchandra@rediffmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

a0

n,

126

jQ
i 1

1
pi

j
i 1

1
qi

(4)

While computing the cluster centers using IDM criterion,

the cluster centers for real and imaginary poles should be
calculated separately and the poles on imaginary axis should
be retained.
Since rth -order model is being obtained; hence in the
process of pole clustering, r cluster centers are obtained
assuming retained poles of original system as cluster centers.
Depending upon the nature of poles of original system, the
denominator of reduced order model is obtained as:
If obtained cluster centers are real, denominator becomes
r

D (s)

(5)

( s Pi )

The reduced order model (2) can be written as

a0

a1 s ar 1s r
b0 b1s br s r

G ( s)

r/2

D ( s)

s ( Pi

jQi ) s ( Pi

jQi )

(6)

r 1

obtained using Chebyshev polynomial as:

The original n th -order system (1) can be expressed as

where

s ( Pi

jQi ) s ( Pi

jQi )

z i are the poles and zeros of G( s) ,

2

) [8] is defined as:

G ( j ).G ( j )

(15)

n 1

H(

) K2

n
2

z 2i )

i 1

IV. CHEBYSHEV POLYNOMIALS

The Chebyshev polynomial [17], Tn ( y ) of the first kind, is a
polynomial in y of degree n which is defined as:

Tn ( y) cos n

2 yTn ( y) Tn 1 ( y) n 1, 2,

where T0 ( y) 1 and T1 ( y )

) is expanded into power series around

H(

2i

ai

H (T (

))

(9)

G ( s )

and if n is odd, Tn ( y ) is odd and is given as

r 1

(s

H (

H (

p i )

(19)

i 1

) for G (s) can be expressed as

K 2

r 1

z i2)

i 1

r
2

p i2

(20)

i 1

(11)
After obtaining separate expansions in Chebyshev
polynomials for numerator and denominator, the H ( 2 ) can
be written as

i 0

Finally, it can be derived that

1
[Tm n ( y ) T m n ( y )]
2

(18)

( s zi )

Tm ( y )Tn ( y )

G (s) can be expressed as

(10)

is converted into Chebyshev

i 0

i 0

2i 1

ciT2i (

i 1

T2 n 1 ( y)

0 as

polynomials as

2i 1

(17)

H(

The function

y.

y 2i

(16)

i 1

i 0

If n is even, Tn ( y ) is even and is given as

2i

p 2i

H(

(8)

where y cos and y [ 1,1] .

The function given in (8) is orthogonal in interval [ 1,1] .
These polynomials are recursively expressed as

T2 n ( y)

(14)

(7)

i 2

Tn 1 ( y)

pi

i 1

respectively.
Suppose a function H (
H(

i 1

and

pi

( s zi )

where G ( j ) is complex conjugate of G( j ) .

( r 1)/ 2

( s P1 )

n 1

N ( s)
D( s)

G(s)

And if one cluster center is real and remaining are complex

conjugate, denominator becomes

D ( s)

(13)

Step 1: The denominator polynomial D r (s) of reduced

order model is obtained using pole clustering technique using
(5), (6) or (7) depending upon the nature of cluster centers.
Step 2: The numerator polynomial N (s) of model is

i 1

If obtained cluster centers are complex conjugate,

denominator becomes

N r ( s)
D ( s)

(12)

r 1

H (T (

V. PROCEDURE FOR OBTAINING THE REDUCED ORDER MODEL

T (

))

127

i 0
r
i T2 i (

The detailed steps for obtaining reduced order model follow

as:

i 2i
2

i 0

N (T (
D (T (

))

))

(21)

 (s) is already obtained using (5), (6) or (7); D ( 2 )

Since D
(s) . The polynomial N ( 2 ) is
can be obtained from D

P1

obtained by

Grouping -3 and -4, the cluster center is obtained as:

H (T (

)) H (T (

)) k

(22)

3r

1
1

1
3

P2

1
2

(30)

1.3333

1
4

3.4285

(31)

r 1

T (

i 2i

i 0
r

ciT2i (
T (

i T2 i (

i 2i

(23)

Since all the roots of high-order system are real, the

denominator polynomial can be obtained from (5) as:

i 0

D (s)

i 0

r 1

ciT2i (

i 0

i T2 i (

i 0

Comparing the coefficient of T2i (

s2

(24)

i 0

) after application of

c0

(33)

4.7618s 4.5713

Step2: Original system can be written in pole and zero form

as:

(12), we get
0

( s 1.5388)( s 2.7306

1
2

cj

j 2.8531)

( s 2.7306 j 2.8531)
( s 1)( s 2)( s 3)( s 4)

G( s)

(25)

(32)

s 1.3333 s 3.4285

j 1

(34)

putting s= j

and

ci

1
c0
2

1
2

[c s

cs i ]

(j

(26)

s 1

i 1, 2,3, , (r 1)
Using (25)-(26), the parameters
can be obtained. After obtaining

i
i

G( j )
for i

0,1,, (r 1)

(27)

240.0086 2 575.9862
30 6 273 4 820 2 536

) can be expanded around

H(

) 1.0746 1.1962

1.5742
2

The expansion of H (
H (T (

H (T (

(35)

4)

H(

j 2.8531)

) is obtained as:

1.4142

(28)

0 as given below:

1.2864
8

(36)

(37)

) in Chebyshev polynomials

)) becomes:
2

))

0.5520T0 (
0.0048T6 (

VI. NUMERICAL EXAMPLE

Consider a fourth-order system [7] described by the transfer
function as:

2.7306
j 2.8531)
2)( j
3)( j

H(

s 0

.G (s)

2.7306
(j
1)( j

Finally, the transfer function of the reduced order model is

obtained as

G (s)

1.5388)( j

Using (15), H (

, (21) can be obtained

(s) .
which then can easily be translated into G (s) N (s) / D
Step 3: Consider the gain adjustment factor , which is
used for adjustment of the steady state value of the reduced
order model, given as
G( s)
G ( s )

(j

2
2

) 0.0861T2 (

) 0.0011T8 (

2
2

) 0.0198T4 (

(38)

The expansion of denominator polynomial (33) into

Chebyshev polynomial is:
2

G( s)

s3 7 s 2 24s 24
10s3 35s 2 50s 24

T (

i 2i

(29)

(39)

i 0

28.0396T0 (

Suppose, second-order model G (s) is desired.

The steps for obtaining reduced order model follow as:
Step1: Poles of system G( s) in (29) are -1, -2, -3 and -4.

) 7.2664T2 (

Using (25)-(26), the parameters

0

Grouping -1 and -2, the cluster center is obtained as:

15.4782,

) 0.1250T4 (

and

1.5974

Using the parameters

parameters obtained are

128

obtained are:
(40)

and

, the values of model

a0

3.7257, a1

1.7874

(41)

From Fig. 1, it is clear that (44) is better approximation of

(29) than (45)-(46) and the same is also confirmed from
Table I.

(42)

VII. CONCLUSION

Hence the transfer function G (s) becomes

1.7874s 3.7257
s 4.7618s 4.5713

G (s)

Step3: The gain adjustment factor, using (27), is obtained

as:

G ( s) / G ( s)

(4.5713 / 3.7257) 1.2270

(43)

s 0

Therefore, the transfer function of reduced order model,

using (28), is given as:

G (s)

A method for model reduction of continuous time SISO

systems based on pole clustering and Chebyshev polynomials
is presented. IDM criterion is used for clustering the poles of
original system. The reduced order models obtained are stable
as the poles of reduced order models are obtained from the
poles of original systems. This method can be extended for
linear discrete time SISO and MIMO systems.
VIII. REFERENCES

2.1931s 4.5714
2
s 4.7618s 4.5713

(44)

[1]
[2]

While the methods proposed by Shieh and Wei [13], and

Prasad and Pal [14] are given in (45)-(46), respectively.

G S (s)

2.3014 s
2.3014 5.7946s s 2

(45)

G P (s)

34.2465 s
34.2465 239.8082s s 2

(46)

[4]

[5]
[6]

Step Response

[7]

1.2

[8]

[9]

0.8
Amplitude

[3]

[10]

0.6

0.4

[11]

29
44

0.2

[12]

45
46
0

20

40

[13]

60
[14]

Time (sec)
Fig. 1. step responses of system and model.

[15]

Fig. 1 shows the step responses of original system and its

reduced order models. ISEs of step responses of reduced order
models are given in Table I.

[16]

TABLE I
ISES OF STEP RESPONSES

[17]

Reduced order model

ISE

(44)
(45)
(46)

0.09913
0.14763
2.15783

129

L. Fortuna, G. Nunnari, and A. Gallo, Model order reduction technique

with applications in electrical engineering, Springer-Verlag, 1992.
N. H. A. Schildaer, H. A. V. Vorst, and J. Rommers, Model order
reduction: Theory, Research Aspects and Application, Springer, 2008.
Y. Shamash, Stable reduced order model using Pad type
approximations, IEEE Trans. automatic control, vol. 19, pp. 615-616,
1974.
M. F. Hutton and B. Friendland, Routh approximations for reducing
order of Linear, Time-Invariant Systems IEEE Transactions automatic
control, vol. 20, no. 3, 1975.
N. K. Sinhannd and B.Kuszta, Modeling and identification of dynamic
systems, New York: Van Nostand Reinhold, pp.133-163, 1983.
T. C. Chen, C. Y. Chang, and K.W. Han Reduction of transfer
functions by the stability equation method, Jr. Franklin Inst., vol. 308,
no. 4, 1979.
S. Mukharjee and R. N. Mishra, Order reduction of linear systems
using an error minimization technique, Jr. of Franklin Inst., vol 323,
no. 1, pp. 23-32, 1987.
Y. Bistritz and G. Langholz, Model reduction by Chebyshev
polynomial techniques, IEEE Trans. Auto Contr., vol. 24, no. 5, pp.
741-747, 1979.
E. J. Davison and M. R. Chidambara, On a method for simplifying
linear dynamic systems, IEEE Trans. Auto. Control, vol. 12, pp. 119121, 1967.
S. K. Mittal, D. Chandra, and B. Dwivedi, A computer aided approach
for Routh-Pad approximation of SISO system based on multi objective
optimization, Inter. Jr. of Engineering and Technology, vol. 2, no. 2,
2010.
T. C. Chen, C.Y. Chang, and K. W. Han Model reduction using the
stability equation method and Pad approximation method, Jr. Franklin
Inst. vol. 309, no. 6, 1980.
S. K. Mittal, D. Chandra, and B. Dwivedi, The effects of timemoments and Markov parameters on reduced order modeling (ROM),
ARPN Jr. of Engineering and Applied Sciences, vol. 4, 2009.
L. S. Shieh and Y. J. Wei, A mixed method for multivariable system
reduction, IEEE Autom. Contr., vol. 20, pp. 429-432, 1975.
R. Prasad and J. Pal, Stable reduction of linear systems by continued
fractions, Jr. Inst. Eng. India, IE(I)J.EL, vol. 72, pp. 113-116, 1991.
A. K. Sinha and J. Pal Simulation based reduced order modeling using
a cluster technique, Jr. Computer and Electrical Engg., vol. 16, no. 3,
pp. 159-169, 1990.
W. T. Beyene, Pole clustering and rational interpolation techniques for
simplifying distributed system, IEEE Trans. on Circuits and System-I,
vol. 46, no. 12, pp. 1468-1472, 1999.
J. C. Mason and D. C. Handscomb, Chebyshev Polynomials, Chapman
& Hall/CRC, 2003.

Neuro Sliding Mode Controller for Twin Rotor

Control System
Bhanu Pratap, Student Member, IEEE

Abstract-- This paper presents a neuro sliding mode controller

for the twin rotor control system (TRCS). The TRCS belongs to a
class of nonlinear systems having unstable coupled dynamics. A
method is proposed to design a switching surface in the presence
of mismatched uncertainties. The nonlinearities of the TRCS are
assumed to be unknown, which are estimated using Chebyshev
neural network (CNN). The design technique is simple and
computationally efficient. The validity of the controller is
demonstrated with simulation results.
Index Terms-- Chebyshev neural network, nonlinear systems,
sliding mode control, twin rotor control system.

I. INTRODUCTION

LIDING-mode control (SMC) has been confirmed as an

effective robust control approach for non-linear dynamic
systems [1], [2]. The most outstanding features of SMC are its
insensitivity to parameter variations, external disturbance
rejection ability, and fast dynamic response [3]. Other
remarkable advantages of this control approach are the
simplicity of its implementation and the order reduction of the
closed-loop systems.
In general, a neural network (NN) controller with the
learning rule based on sliding mode algorithm, is used to
assure calculation of unknown part of the equivalent control in
the presence of plant uncertainties. And, this controller
possesses the features of robustness under parameter variation
and external disturbance. Moreover, the controller comprises
of two parts: the first one is a NN based equivalent control
calculation with its learning rule determined from sliding mode
design and the second one is a sliding mode based chatteringfree SMC.

mode controllers were also proposed in [8], [9]. A neurosliding controller is proposed for single-axis linear servo drive
in [10]. A survey on SMC with soft computing is presented in
[11].
TRCS [12] is a laboratory setup designed for control
experiments. In certain aspects, its behavior resembles that of a
helicopter which is typically described as having unstable,
nonlinear and coupled dynamics [13], [14]. The modeling and
controller design of TRCS has been addressed in [15][19].
Different kinds of observers based on SMC or NN are
proposed in [20]-[22]. The detailed description of the CNN
and its approximation properties can be seen in [23].
In this paper, a neuro sliding mode controller for TRCS is
presented. The proposed controller does not necessitate exact
knowledge of the system nonlinearities. The CNN is used for
estimating the unknown nonlinearities of the TRCS. The
simulation results obtained reveal that the proposed controller
gives good tracking performance. The paper is arranged as
follows. In Section II, the modeling of TRCS is introduced.
The problem statement is introduced in Section III. In Section
IV, neuro sliding mode controller design is proposed. Section
V presents the simulation results. Finally conclusions are given
in the Section VI.
II. MODELING OF TRCS
The mechanical setup of the TRCS is a multivariable,
nonlinear and strongly coupled system with degrees of
freedom on the pitch and yaw angles as shown in Fig. 1. The
complete dynamics of TRCS is given in [12].

A NN controller, based on the theory of sliding-mode

controllers is used to determine the value of the equivalent
control in the discrete-time sliding mode system in [4]. A
sliding-mode controller with a modified switching function
that produces a low-chattering control is used in parallel with
an artificial NN for online identification of the modeling error,
which improves the controller performance in [5]. In [6], the
NSMC is implemented to control a seesaw system. In [7], a
novel approach that combines SMC and NN control is
presented, the weights of which are determined by a fuzzy
supervisory controller. The authors call this approach as fuzzy
supervisory sliding-mode and NN control. Fuzzy NN slidingFig. 1. Twin rotor control system (TRCS)
Bhanu Pratap is with the Department of Electrical Engineering, Motilal
Nehru National Institute of Technology, Allahabad-211004, India (e-mail:
bhanumnnit@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

The dynamics of the TRCS can be approximately

represented in the state-space form as follows.

130

dt

a1
I1

b1
I1

2
1

B1

a2
I2

2
2

I1

k gy

I1

dt

d
dt
Mg

d
dt
d
dt

a1

d
dt
B1

b2
I2

0.0326
sin 2
2 I1

sin

cos

I1

I2

b1

To simplify the complexity of the TRCS (1) can be rewritten

as

(1)

1.75
kc a1
I2

T20
T21

2
1

b1

X2

A1 X 2

A2 X 3

X 3

A3 X 3

Bu

state vectors, u

, X3

are

2
T

is input vector, y

is

b1
I1

1.75
I2

I2

A3

T10
T11

T20
T21

, B

0
kc b1

k1
T11

k2
T21

b2
I2

Values
6.8 10 2 kg

I 2 = Moment of inertia of horizontal

rotor
a1 = Static characteristic parameter

0.0135

b1 = Static characteristic parameter

0.0924

a2 = Static characteristic parameter

0.02

b2 = Static characteristic parameter

0.09

M g = Gravity momentum

0.32N

2 10 2 kg

m2

0.05s / rad

T11 = Motor 1 denominator parameter

1.1

T10 = Motor 1 denominator parameter

T21 = Motor 2 denominator parameter

T20 = Motor 1 denominator parameter

0.0326
sin 2
2 I1

sin
a1

cos

2
2

2
1

b1

1.75
I2

kc a1

2
1

Here, f is assumed to be unknown nonlinearity which is

m s / rad

0.8

I1

I1

a2
I2

1 10-1N

1.1

Mg

2
1

k gy

f X

m s / rad

k2 = Motor 2 gain

a1
I1

m2

6 10-3 N

k1 = Motor 1 gain

parameter
T0 = Cross reaction momentum
parameter
kc = Cross reaction momentum gain

, A2

B1

TABLE I
TRCS PARAMETERS

Tp = Cross reaction momentum

I1

A1

u1 & u2 are
2
voltage applied to main & tail rotor respectively. The system
parameters and bounds of the control efforts of the TRCS are
given in Table 1 [12].

parameter
k gy = Gyroscopic momentum parameter

u1 u2

are Momentum of main & tail rotor and

parameter
B1 = Friction momentum function

, X2

B1

where
&
are pitch (elevation) & yaw (azimuth) angle;
& are angular velocity across pitch & yaw angle; 1 &

B1 = Friction momentum function

(2)

output vector and A1 , A2 , A3 , B and f X are given by

Parameters
I1 = Moment of inertia of vertical rotor

f X

X1

where X 1

k2
u2
T21

X 1
X
y

k1
u1
T11

2
1

2.5

III. PROBLEM STATEMENTS

T10
T11

u1 and u2 input voltages of rotors

estimated by CNN.
The objective of this paper is to design a neuro sliding
mode controller for TRCS that forces the plant output y to
track a specified smooth reference trajectory yd i.e.,

lim y yd

where yd

y1d

y2 d

IV. NEURO SLIDING MODE CONTROLLER DESIGN

A. Controller Design:
The designing of neuro sliding mode control for TRCS, the
error dynamics is defined as

2
3.5

e
0.2
131

X eq

(3)

where X

X1

X2

X3

S W T

, and X eq is equilibrium point.

The sliding surface S is defined as [6]

cT e

S
where

cT

e2

e1

c3 ,

c1 c2
e3

and
2 2

with ci

(4)

0
the

error
21

, ei

state

vector
2 1

and S

c1e1 c2 e2 c3e3

(5)

where e1

X1 yd , e2 X 2 , e3 X 3 .
The time derivative of S is given by
S

c1 X 1

y d

c2 X 2

c3 X 3

(14)

Kmsign S

where W T W T W T .
Assumption 1: The optimal weight W is bounded by known
positive values Wa so that W F Wa .
Assumption 2: The desired trajectory yd and its derivatives up
to third order are bounded.

Now the sliding surface given in (4) can be rewritten as

B. Stability Analysis:
Theorem 1: Consider the TRCS plant (2) and CNN based
controller (10) satisfying Assumptions 1 and 2. If the weights
of the CNN are updated according to adaptation law

(6)

XS

S W

(15)

where

is learning rates and

is damping coefficient, then
the sliding surface S and CNN weight estimation error
W W W are uniformly ultimately bounded.

Using (2) and (6) gives

S

c1 X 2

y d

c2 A1 X 2

c3 A3 X 3

Bu

A2 X 3

(7)

Proof: Consider the Lyapunov function

Using Gaos power rate reaching law [3],

1 T
S S
2

Kmsign S

(8)

1
tr W T W
2

(16)

The time derivative of (16) is given by

2 2

where K

, m

S1

S2

, with 0

1.

Comparing (7) and (8) we get

Kmsign S

y d

c1 X 2

c2 A1 X 2

c3 A3 X 3

A2 X 3

Bu

(9)

The control effort u on the sliding surface is obtained as

1
c3 B

c1 X 2

y d

c2 A1 X 2

A2 X 3

Kmsign S

c3 A3 X 3
(10)

where f is the estimates of f given in (2).

Substituting u in (7), gives

Kmsign S

(11)

The quantities f and f can be represented as

WT

f W T
where

S T S tr

W T W

(17)

By choosing the weight tuning law as (15) the controller

error e is bounded and neural network weights W converge
to W . Thus the system will approach sliding surface in a finite
time and once the trajectories are on the sliding surface they
remain on the surface and approaches to the equilibrium points
asymptotically. The detailed stability analysis is not presented
here as it is beyond the scope of this paper.
V. SIMULATION RESULTS
A detailed simulation study of the proposed CNN based
controller is carried out. Simulation results show reliable
performance. The simulation parameters used for the
performance analysis of designed controller are given in
Table 1.
The controller (10) has been designed using following
design parameters.

(12)

c1

(13)

is the bounded CNN approximation error, X is the

basis function and W is the estimate of the optimal weight
W.
Thus, (11) can be rewritten as

c3

20

0.1

0.1

0.01 ,

, c2

,K

0.5 ,

0.1

0.1

20

20

0.5 .

The desired trajectories for the main rotor y1d and tail rotor

y2d are given as

132

30

0.1sin 0.2 t 0.5

y2d

0.1sin 0.1 t

0.5sin 0.2 t 0.5

0.4
Yaw Tracking Error (rad)

y1d

0.5sin 0.1 t

The initial weights of the CNN are selected as zeroes. The

initial conditions of the TRCS is chosen as
0 0.1 ,

0.1 , 0

0, 0

0,

0,

0 . The

input and output of CNN are plant states X and estimated

nonlinearity f given in (13) respectively. The simulation

0.6
0.4
0.2
0
-0.2

results are given as follows.

40

50

40

50

40

50

y2d )

0.6
0.4
0.2
0

20
30
Time (sec)

Fig. 5. Yaw angle tracking error (

Control Effort u1 (volt)

Pitch Tracking (rad)

0.8

10

desired
pitch angle
0

10

Fig. 2. Pitch angle tracking (

20
30
Time (sec)

40

50

2
0
-2
-4

10

20
30
Time (sec)

and y1d )

Fig. 6. Pitch control effort ( u1 )

desired
yaw angle

1.5

Control Effort u2 (volt)

Yaw Tracking (rad)

1
0.5
0
-0.5
-1

2
0
-2
-4

10

Fig. 3. Yaw angle tracking (

20
30
Time (sec)

40

50

10

20
30
Time (sec)

Fig. 7. Yaw control effort ( u2 )

and y2d )

0.2
0.06

0.1

|| Wcap ||

Pitch Tracking Error (rad)

0.08

0.04
0.02

-0.1
-0.2

10

Fig. 4. Pitch angle tracking error (

20
30
Time (sec)
y1d )

40

50

10

20
30
Time (sec)

Fig. 8. Norm of estimated CNN weights ( W )

133

40

50

Fig. 2 and 3 shows that the outputs pitch and yaw angles
follow the desired trajectories. The tracking errors for pitch
and yaw angles are shown in Fig. 4 and 5 respectively. Also
Fig. 6 and 7, show that the control efforts applied to main and
tail rotors are within the limits 2.5 . In addition, Fig. 8 shows
that the norm of CNN weights is bounded. These simulation
results show that the tracking performances of the proposed
CNN based controller is quite satisfactory.
VI. CONCLUSIONS
In this paper, a neuro sliding mode controller for TRCS is
presented for systems containing unknown nonlinearities.
These nonlinearities are estimated by CNN. The proposed
nonlinear controller has been validated through simulation
studies. To test the applicability of the proposed controller in
real time is the proposed future scope of work. For real time
implementation, the experiments have to be carried out on the
real-time TRCS system using MATLAB real-time tool box
and Advantech PCI1711 card.
VII. ACKNOWLEDGEMENT
The author acknowledges the contribution of Department of
Science and Technology, Government of India, New Delhi
through project no. SR/ S3/ EECE/ 004/ 2008.

[15] K. U. Khan and N. Iqbal, Modeling and controller design of twin rotor
system/helicopter lab process developed at PIEAS, Proceedings of
IEEE-INMIC, pp.321326, 2003.
[16] J. Kaloust, C. Ham and Z. Qu, Nonlinear autopilot control design for a
2DOF helicopter model, IEE control theory applications, vol.144,
no.6, pp.612616, 1997.
[17] J. G. Juang, M. T. Huang and W. K. Liu, PID control using prescribed
genetic algorithms for MIMO system, IEEE Trans. Systems, Man and
Cybernetics, vol. 38, no.5, pp. 716727, 2008.
[18] Q. Ahmad, A. I. Bhatti, S. Iqbal, Nonlinear Robust Decoupling Control
Design for Twin Rotor System, 7th Asian Control Conference,
ASCC09, Hong Kong, August 26-28, 2009.
[19] C. W. Tao, J. S. Taur, Y. H. Chang, and C. W. Chang, "A Novel FuzzySliding and Fuzzy-Integral-Sliding Controller for the Twin-Rotor MultiInputMulti-Output System," IEEE Trans. on fuzzy systems, vol. 18, no.
5, Oct. 2010.
[20] F. A. Shaik, S. Purwar and B. Pratap, Realtime Implementation of
Chebyshev Neural Network Observer for Twin Rotor Control System,
Expert Systems with Applications, vol. 38, no. 10, 1304313049, 2011.
[21] B. Pratap and S. Purwar, Neural Network Observer for Twin Rotor
MIMO System: An LMI Based Approach, proceeding of IEEE,
International Conference on Modeling Identification and Control
(ICMIC2010), Okayama, Japan, pp. 539544 on July 1719, 2010.
[22] B. Pratap and S. Purwar, Sliding Mode State Observer for 2DOF
Twin Rotor MIMO System, proceeding of IEEE, International
Conference on Power, Control & Embedded Systems (ICPCES2010),
Allahabad, India on Nov. 29Dec. 01, 2010.
[23] Lee T. T. and Jeng J. T, The Chebyshev polynomial based unified
model neural networks for function approximations, IEEE Trans.
Systems, Man and Cybernetics, Part B, vol. 28, no. 6, 925-935, 1998.

VIII. REFERENCES
[1]
[2]
[3]
[4]
[5]

[6]

[7]

[8]
[9]

[10]

[11]

[12]
[13]

[14]

J. J. E. Slotine and W. Li, Applied Nonlinear Control. Englewood Cliffs,

NJ: Prentice-Hall, 1991.
C. Edwards and S. K. Spurgeon, Sliding Mode Control: Theory and
Applications, London, U.K.: Taylor & Francis Ltd., 1998.
J. Y. Hung, W. Gao, and J. C. Hung, Variable structure control: A
survey, IEEE Trans. Ind. Electron., vol. 40, no. 1, pp. 222, 1993.
M. Ertugrul and O. Kaynak, Neuro-Sliding mode control of robotic
manipulators, Mechatronics, vol. 10, 2000, pp. 239263.
D. Munoz and D. Sbarbaro, An adaptive sliding-mode controller for
discrete nonlinear systems, IEEE Trans. Ind. Electron., vol. 47, no. 3,
pp. 574581, Jun. 2000.
C. H. Tsai, H. Y. Chung, and F. M. Yu, Neuro-Sliding Mode Control
With Its Applications to Seesaw Systems, IEEE Trans. Neural Netw.,
vol. 15, no. 1, pp. 124134, Jan. 2004.
H. Hu and P. Y. Woo, Fuzzy supervisory sliding-mode and neuralnetwork control for robotic manipulators, IEEE Trans. Ind. Electron.,
vol. 53, no. 3, pp. 929940, Jun. 2006.
F. Da and W. Song, Fuzzy neural networks for direct adaptive control,
IEEE Trans. Ind. Electron., vol. 50, no. 3, pp. 507513, Jun. 2003.
F. J. Lin and P. H. Shen, Robust fuzzy neural network sliding-mode
control for two-axis motion control system, IEEE Trans. Ind.
Electron., vol. 53, no. 4, pp. 12091225, Aug. 2006.
Y. Yildiz, A. abanovic, and K. Abidi, Sliding-mode neuro-controller
for uncertain systems, IEEE Trans. Ind. Electron., vol. 54, no. 3, pp.
16761685, Jun. 2007.
X. Yu and O. Kaynak, Sliding-Mode Control With Soft Computing: A
Survey, IEEE Trans. Ind. Electron., vol. 54, no. 9, pp. 32753285,
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134

Analog Field Programmable CMOS Current

Conveyor
G. Kapur, S. Mittal, C. M. Markan and V.P. Pyara

Abstract-- We propose a simplified analog design cycle to

generate reconfigurable and accurate prototype of several analog
ICs. On applying the design cycle a comprehensive design
methodology is being developed that make designs customizable
and adaptable by a field user. The basic design of a second
generation current controlled current conveyor is first analyzed
to estimate the basic circuit configuration to verify its basic
functionality. Secondly using its small signal equivalent model, ac
and dc characteristics are being derived in terms of threshold
voltage of transistors, present in the circuit. Indeed, with the help
of floating gate transistors, which has a feature of post
fabrication programmability of its threshold voltage, an accurate
and reconfigurable prototype of the design can be obtained. The
circuit is simulated using BSIM3 level49 MOSFET models in TSpice 0.35m CMOS process. Various Characteristics of CCCII
are being derived and estimated their sensitivity with respect to
threshold voltage of respective floating-gate transistors. The
simulated results demonstrate that by programming threshold
voltages, fine tuning of circuit specifications with wide spectrum
can be achieved. The designs fabricated using our methodology
can be adaptive to any desired value of specification with very
high precision (about 13bit programming precision can attain
with floating gate transistor). It can also make Analog ICs
immune to most drawbacks like processes variations, device
degradation by introducing new possibilities such as self
correction and adaptability.

Index Terms-- Accuracy, Analog Integrated Circuits, Current

controlled conveyor, Field Programmable analog array, Floatinggates, Reconfigure, Specifications, Threshold voltage

I. INTRODUCTION

circuits from long time are getting overshadowed

by digital designs however real world consists of analog,
all electronic systems ultimately have to interface at input
and output with the analog signals. The portable electronic
devices also require higher level of integration with lower
power consumption, which pervades the need of analog. But
NALOG

Garima Kapur is with the VLSI Design Technology Lab, Dayalbagh

Educational Institute, Dayalbagh Agra. INDIA (ph.91-9557444267, e-mail:
kapur.garima@ gmail.com). IEEE student member, VSI student member, SSI
life member.
Sajal Mittal is undergraduate student in the VLSI Design Technology Lab,
Dayalbagh Educational Institute, Dayalbagh, Agra. INDIA (ph.919897694823, e-mail: sajalmittal82@yahoo.co.in). IEEE student member.
Dr. C.M.Markan is with the Department of Physics & Computer Science,
Dayalbagh Educational Institute, Dayalbagh Agra. INDIA (ph.919557790100, e-mail: cm.markan@gmail.com). VSI life member, SSI life
Member.
Prof. V.P.Pyara, is presently head of the department, Department of
Electrical Engineering, Dayalbagh Educational Institute, Dayalbagh, Agra,
INDIA.(ph. 0562-6542001, e-mail: vpprempyara@gmail.com). SSI life
member.

978-1-4673-0455-9/12/$31.00 2012 IEEE

still analog devices are less preferred because analog circuits

are not easy and well defined like digital. There is knowledge
mismatch between books and industrial training kits for
analog circuit designs because teaching courses focus on
analysis of analog circuits rather than on their designing. As
well as, analog design cycle has many iterative steps. Analog
designers have to maintain a tradeoff between fabrication time
and costs. Designers also have to maintain a tradeoff between
accurate and optimized prototype of design. Moreover, each
new derivative (i.e. the same design with new value of
specifications) requires the complete design cycle again.
These limitations with analog ICs can outshine by introducing
adaptability and reconfigure ability in designs. Recent efforts
have introduced a fair degree of design automation and field
programmability in the form of Field Programmable Analog
Arrays (FPAA) [1, 2, 3 and 4]. These FPAAs have an array of
analog components over a range of specifications that can be
switched in/out of a design on the same lines as digital devices
are in a FPGA. These chips can be programmed very close to
desired functionality; besides the in-built device redundancy
also helps to make it fault tolerant to a certain extent.
Despite the phenomenal progress a basic question still
eludes analog ASIC designers. Can we build generic analog
devices that can be customized to desired specification by the
user in a field programmable manner? Thus we would like to
propose a design cycle for analog ICs which integrate
designing and analysis at a very fundamental level. The design
with the basic detail of circuit configurations can be
fabricated. And with the help of post fabrication
programmability of transistors threshold voltage in floating
gate transistors, we can produce accurate prototype of the
design which are customizable to desired specification by a
field user [5, 6 and 7].To verify our methodology we have
considered a current conveyor design, the fundamental
building block for high frequency analog systems [8]. Various
programmable current conveyors with digital programming
circuitry have been developed recently [9, 10 and 11].
However we propose a design methodology for field
programmable, reconfigure and adaptive current conveyor,
CCCII. Using our design cycle we have analyzed, designed
and estimated the circuit functionality with basic circuit
configuration and its specifications in terms of threshold
voltages of respective floating-gate transistors. Furthermore
with the help of iterative simulation results a design
methodology will be proposed in which circuit specifications
can adapt with high precision to any desired value by field
user.
II. NEW DESIGN METHODOLOGY
A new and simpler analog design cycle is being proposed to
introduce field programmability and adaptability in an analog

135

circuit design using on-chip programming concept of floating

gate transistors, leads to a design methodology of the design.
The flow chart of the new design cycle is shown in Figure 1.
Algorithm of the design flow is being illustrated in next
section. Moreover indirect, on-chip programmability of
floating gate transistor is demonstrated in sub-section.
A. Proposed New Analog Design Cycle
The usual design flow for analog designs consists of many
iterative steps and verification tools. For desired specification,
designing starts from first cut design using classroom
equations. To optimize the circuit and to derive optimized
W/Ls for individual transistors before the circuit is ready for
fabrication sophisticated simulation tools with accurate yet
complex simulation device models are required. Wherein,
analog designers have to sustain a tradeoff between the
prescribed design specifications with design sizing and biasing
conditions while maintaining its functionality. Time and cost
are very important gradient in such tradeoff, especially in
determining the accurate and optimized prototype of a design.
Therefore we propose an alternative paradigm in design of
analog devices wherein focus would be to reduce the
overdependence on determining accurate W/L of individual
transistors prior to fabrication. Our proposed design cycle
starts with the designing analog circuits from fundamental
level, defining circuit specifications in terms of threshold
voltage of the transistors and programming it after fabrication
to develop an accurate and stable prototype. Hence it proves to
pave a way of analog-friendly environment in fundamental
teaching, graduate courses and at industry level. Algorithm of
the proposed design cycle is as follows:
Steps:
1.
2.
3.
4.
5.
6.
7.
8.
9.

Analyze circuit with the help of block diagram to

establish desired functionality.
Simulate the circuit to check its functionality with
basic sizing and biasing conditions.
Design the equivalent small-signal model of the
circuit.
Derive specifications in terms of threshold voltage of
transistors.
Analyze sensitivity of each specification with respect
to respective thresholds.
Simulate the circuit to check the sensitivity of each
specification and develop a design methodology.
Layout creation and verification of the circuit with
basic sizing and biasing conditions.
Then after testing and extraction, fabricate the design.
Program the transistors thresholds to adjust the
desired specifications with huge accuracy.

B. Floating-gate Transistor
Floating-gate MOS transistors are conventional MOS
transistors wherein memory is stored in the form of charge
trapped on floating-gate, affecting its threshold voltage.

Figure 1: Proposed Analog Design Flowchart

Two antagonistic quantum mechanical transfer processes, viz.

injection and tunneling, alter the trapped charge on a floating
gate. As these processes can occur during normal operation
(indirect programming [6]), it leads additional attributes to the
FGMOS transistors such as non volatile analog memory
storage on floating-gate, locally computed bidirectional
memory updates and memory modification during normal
transistor operation.
Vtun

Vg

VS

Vfg
Vinj

Figure 2: Symbolic representation of a normal MOS with indirectly

programmable floating gate using injection and tunneling

Figure 3: Pictorial representation of non-volatile, high precision, indirect and

on-chip programming of Floating-gate MOS.

Tunneling
Charge is added to the floating gate by removing electron
from it by means of Fowler-Nordheim tunneling across oxide
capacitor. This shifts the curve (Figure 4) to the right or in
other words threshold voltage of the transistor increases.
Injection
Charge is removed from the floating-gate by adding electron
on it by impact-ionized hot electron injection from the channel
to the floating gate across the thin gate oxide. This shifts the
curve (Figure 4) to the left or in other words threshold voltage
of the transistor decreases.

136

current ib (t), the mixed translinear loop force the drain current
of its each transistor equal to Ib. This consequently gives
Vx(t)=Vy(t). And hence, this equivalent voltage follower
presents at port X a small signal intrinsic resistor Rx that is
inversely proportional to the square root of the bias current I b
[8]. The two complementary current mirrors allows to
duplicate on port Z the input current at X, then iz(t)=ix(t). First,
the design with basic sizing and biasing condition are analysed
to achieve design functionality. The simulation plots of its
characteristic such as current gain is presented in Figure 7, are
being used to analyse the design with basic circuit
configuration.
Figure 4: Output Characteristics of FGMOS transistor

With such simpler design cycle and field programmability

feature of FGMOS, any analog circuit can be designed and
customized at the field user end. It can reduce design time. As
well as, reconfigurable designs reduce total costs of
fabrication. Optimization of design can be performed before
layout creation level because design with only basic circuit
configuration is to be fabricated whereas accuracy can be
attained after fabrication employing on-chip programming.
Hence it can produce highly accurate and optimized designs
without any compromise. Indeed using our proposed design
cycle, a design methodology can be developed that illustrate
specification and its corresponding FGMOS threshold
programming. Consequently such derived and estimated
design methodology for any circuit can be used to generate
accurate as well as reconfigurable prototypes of the design.
II. PROGRAMMABLE ANALOG CMOS CCCII
According to the proposed design cycle, basic design of
CMOS second generation current controlled current conveyor,
CCCII, is being simulated using BSIM3 level49 MOSFET
models in T-Spice 0.35m CMOS process with basic circuit
configuration verifying its basic functionality while all the
transistors in the design are replaced by FGMOS. Secondly
the designs specifications or characteristics are being derived
with the help of its high frequency small signal equivalent
model in terms of respective FGMOS threshold voltages. Next
with the help of iterative simulation results and sensitivity
analysis of each characteristic with respect to threshold
voltages, a design methodology is being designed, which
shows which FGMOS need to be programmed after
fabrication for which design characteristics.

M4

M10

M5

ib

M1

M14

M2

M3

M11

M15

M6

M7

M8

M9

M12

M13

Figure 5: Proposed CMOS CCCII Design employing programmable FGMOSs

B. Derive Characteristics using its Equivalent High

Frequency Small signal
The CCCII design is operated at high frequency. So to
evaluate and derive design characteristics, high frequency
small signal equivalent model is developed. The circuit
consists of four current mirrors and a mixed translinear loop
(as demonstrated in Figure 5). All MOSFETs in the design are
being replaced by their high frequency small signal equivalent
models. Instead of full circuits equivalent small signal model,
we present a high frequency small signal model of mixed
translinear loop in Figure 6. In which the bias current Ib,
attained from two current mirrors, get mirrored equally to two
nodes, node 1 & node 2. In translinear loop as gate-to-source
voltage of transistor M6 and M8 are equal, drain currents of
M6 and M8 can be considered equal. Hence on applying KCL
at node 1, 2, X and Y, intrinsic resistance Rx, voltage gain
(Vx/Vy), and current gain iz(t)/ix(t) are derived, respectively.
Resistance Rx, using Thevinen theorem at port X, is given by:
(1)

A. Analyse CMOS CCCII circuit design

Second generation current controlled current conveyor
(CCCII) is a versatile current mode circuit, gaining acceptance
as both theoretical and practical fundamental block in current
analogue ICs design due to their higher bandwidth, greater
linearity, lower power consumption and less chip area than the
classical op-amps. The CMOS CCCII design consists of four
symmetric current mirrors and a mixed translinear loop with
one low impedance input (controlled by bias current), one
high impedance input, one high impedance output, a suitable
element for both voltage-mode and current-mode circuits [8],
as shown in Figure 5. It is a three terminal device with a
terminal for biasing current. With low magnitude input bias

Transconductances in equation 1 can be expressed in terms of

square root of their respective saturation drain currents:
)

(2)

However, the currents id7 and id9 can be expressed in terms of

bias current of the design, Ib. Hence, on substituting values of
gm7 and gm9 in equation (1) in terms of their respective currents
id7 and id9, which in turn can be written in terms of bias current
Ib, expression of intrinsic impedance R x proves that it is
indirectly proportional to the square root of the bias current I b.
The high frequency small signal analysis of the full design is

137

evaluated while keeping current and voltage at nodes for

illustrating voltage gain and current gain respectively. The
voltage gain (Vx/Vy) across port X and Y in the design is
expressed as:

sensitivity of each specification with respect to respective

FGMOSs threshold voltage is being derived. Indeed
sensitivity of all specification with respect to each FGMOS
programming threshold is verified and a design methodology
is proposed.

(3)
where, Vb is the voltage across the bias current Ib of the circuit.
Moreover, current gain Ai =iz(t)/ix(t), assuming id6 = id7 = id8
and id9 = id7 + ix , is expressed as:
V

Cdg

Cgd

Cgs
Cgs

gds

gds

gm V
6

iy= 0

gm V
7

V
gds

ix

Cgs

gm V
Cdg
8

Figure 7: Frequency response of Current gain of CMOS CCCII design

with basic circuit configuration

gds

gm V
9

Cgd

Figure 6: High frequency small signal analysis of mixed translinear loop

which is a part of the proposed CCCII circuit design.

(4)
The graphs representing frequency response of current gain is
shown in Figure 7. It also shows the pole, at which -3db
bandwidth can be calculated. The values of poles in current
gain and voltage gain and -3db bandwidth are mentioned in
Table I.
Output impedance at port Z from small signal equivalent
circuit of the CCCII design is being derived as:
(5)
Moreover, DC offsets, output offset voltage at X and output
offset current at Z can be expressed by neglecting all parasitic
capacitances in the expression (3) and (4), with no input
voltage Vy or input current ix(t), respectively. Hence the output
offset voltage at X is given by:

C. Derive Sensitivity of each characteristics w.r.t each

FGMOS thresholds and verify with simulation results
The derived characteristics as demonstrated in last section are
verified using simulation results using BSIM3 level49
MOSFET models in T-Spice 0.35m CMOS process.
Secondly sensitivity of these characteristics is derived with
respect to respective transistors.
Current Gain: For current gain, we assume that the floating
gate transistors M12 and M13 make an identical current mirror
and hence the second term of current gain in equation (4) will
be considered equal to 1. Moreover, first term shows
dependence of output current with bias current and hence can
be expressed as:

(8)
Presuming constant sizing and biasing conditions of transistors
M11 and M12, current gain can become programmable by
varying their threshold voltages respectively. Thus, sensitivity
of current gain with respect to threshold voltage of M10 can
be evaluated by partial difference of equation (8), assuming
rest all floating gate transistors with constant thresholds and
hence is given by:
(9)

(6)
Neglecting

And output offset current at Z is given by:

(7)
Therefore characteristics of the design have been derived in
terms of small signal parameters of the transistor operated at
high frequencies (conductances and parasitic capacitances).
However these parameters can be replaced in terms of
threshold voltage as gm, the transconductace is expressed by
equation (2). Hence all derived characteristics are expressed in
terms of threshold voltages of respective FGMOSs. Then

the

term

because

numerator is very small as compared to denominator, i.e., the

term is of very small value and hence very negligible effect on
current gain. Similarly, sensitivity of current mirror with
respect to Vth11, is given by:
(10)
Also, sensitivity of current gain with respect to threshold
variation in floating gate transistor M1, M2, M4 and M5 are
given by:

138

(19)
Similarly, sensitivity of intrinsic impedance with respect to
Vth9 is given by:

(11)

(12)
(20)
Voltage Gain: Voltage gain is between port X and Y, and
expressed by derived equation (3), shows that it depends on
transconductance of M2, M5, M6 and M7. Thus assuming
transistors sizing and biasing condition constant for M6 and
M7, second term of voltage gain can be neglected. Hence,
voltage gain can be expressed as,

Output Impedance: Output impedance expressed with

equation (5), depends on conductance of transistors M2, M3,
M5, M7, M9, M11 and M13 and is given by:
(21)

Hence, sensitivity analysis of output impedance with respect

to threshold voltage of each transistor when considered
individually is given by:
(13)
However, voltage gain of the design (using above equation)
can be programmed by programming floating gates or in other
words threshold voltages of the respective transistors (M2,
M5, M6, M7). Sensitivity analysis of voltage gain with respect
to each floating-gate transistor is illustrated individually,
assuming rest of the floating-gate transistors at constant
thresholds. Hence, sensitivity of voltage gain with respect to
Vth2 is given by:
(14)
Similarly, sensitivity of voltage gain with respect to V th5 is
expressed by:
(15)
And, sensitivity of voltage gain with respect to Vth6, assuming
threshold voltage of rest of the transistors constant, can be
derived as:

(16)
Similarly, with respect to Vth7 is expressed as:

(17)
Intrinsic Impedance: Intrinsic impedance Rx is given by
equation (1) depends on transconductance of transistors M7
and M9. Substituting in terms of threshold voltage in equation
(1), impedance can be programmed using programmable
floating-gate transistors M7 and M9, and is given by:
(18)
However, sensitivity of impedance with respect to threshold
of M7, assuming Vth9 constant, is given by:

(22)

Above equation gives sensitivity of Rout with respect to Vth2,

assuming threshold voltage of rest of the floating-gate
transistors as constant, where in expression

Similar expression for sensitivity of output impedance can be

illustrated with respect to threshold voltage of one transistor
keeping thresholds of rest of the transistors constant.
Therefore, six more equations representing sensitivity analysis
of output impedance with respect to rest of the transistors,
considered individually, have been derived and as they have
similar terms, not displayed in the paper. Sensitivity analysis
of its characteristics with respect to each floating gate
transistor, are illustrated. Moreover, dc offsets can also be
programmed using floating gate transistors. However,
simulation results illustrating sensitivity of design
characteristics while considering each transistor individually
are observed and a design methodology for on-chip
programming of designing the circuit is being designed.
D. Proposed Design Topology for designing CCCII
The programming of all characteristics with each
corresponding FGMOS is verified with simulations and most
sensitive pairs of characteristic and FGMOS is characterized.
The most sensitive pairs are:
Voltage Gain: Vt8
Current Gain: Vt11
Intrinsic Impedance: Vt6 or Vt7
Output Impedance: Vt13
However with variation in Vts of these FGMOS of the
sensitive pairs, rest of the specification also get affected. Thus
while maintaining the most sensitive pair, the change in rest of
the characteristics needs to be compensated. Hence, the plots
in Figure 8 to Figure 11 demonstrate sensitivity of current
gain, voltage gain, intrinsic and output impedance with respect
to most sensitive Vt while compensating rest of the
characteristics using other FGMOS Vt programming.

139

III. CONCLUSION
The CMOS CCCII design is simulated using BSIM3 level49
MOSFET models in T-Spice 0.35m CMOS process and
sensitivity of various characteristic is shown in figures given
below which shows programmability of CCCII characteristic
with threshold voltage of floating gate MOSFETs which
illustrate the on-chip programming steps to generate accurate
and optimized prototype of the design.

Figure 11: The plot representing sensitivity of Rout w.r.t Vt13 while rest
characteristics are constant. Programming range of Rout: 70.946M 72.036M

Hence our proposed analog design cycle gets verified and

can apply to generate accurate and reconfigurable analog
designs with ease.
IV. REFERENCES
E.K.F Lee, P.G Gulak, Field programmable analogue array based on
MOSFET transconductors, Electronics Letters, Vol. 28, Issue 1, pp. 28
29, 1992.
[2] Analog Integrated Circuits and Signal Processing, Special Issue on
Field-Programmable Analog Arrays, Kluwer publishers, Vol. 17,
Numbers 1-2, September 1998.
[3] B. Pankiewicz, M. Wojcikowski, S. Szczepanski, and Y. Sun, A field
programmable analog array for CMOS continuous-time OTA-C filter
applications, IEEE J. Solid-State Circuits, Vol. 37, no. 2, pp. 125136,
Feb. 2002.
[4] J. Becker, F. Henrici, S. Trendelenburg, M. Ortmanns, and Y. Manoli,
A field-programmable analog array of 55 digitally tunable OTAs in a
hexagonal lattice, IEEE J. Solid-State Circuits, Vol. 43, no. 12, pp.
27592768, Dec. 2008.
[5] D. W. Graham, E. Farquhar, B. Degnan, C. Gordon, and P. Hasler,
Indirect programming of floating-gate transistors, in Proceedings of
the IEEE International Symposium on Circuits and Systems, Kobe,
Japan, pp. 2172 2175, May 2005.
[6] K. Rahimi, C. Diorio, C. Hernandez, M.D.Brockhausen, A Simulation
model for floating gate MOS synapse transistors, IEEE International
Symposium on Circuit and Systems, Vol. 2, pp. 532-535, Aug, 2002.
[7] T.S.Hall, C.M. Twigg, J.D.Gray, P.Hasler, D.V.Anderson, Large Scale
field programmable analog array for analog signal processing. IEEE
trans. on circuit and systems-I, Regular paper, Vol.52, No.11, pp. 22982308, Nov, 2005.
[8] M. Y. Yasin, B. Gopal, High Frequency Oscillator Design using a
single 45nm CMOS Current controlled current conveyor (CCCII+) with
Minimum Passive Components, Scientific Research Circuit and
System, Vol.2, pp. 53-59, April 2011.
[9] S.X.Song, H.G.Xie, S.L.Huang,A new CMOS electronically tunable
current conveyor based on programmable current amplifier, proceeding
of Intenational conference on Electric information and control
engineering, ICECE 2011, pp.1043-1046, May, 2011.
[10] F.A.Farag, Digitally programmable CMOS current-conveyor circuit for
filter design, International symposium on signals, circuits and systems,
ISSCS 2009, pp.1-4, July, 2009.
[11] F.A.Farag, Y.A.Khalaf, Digitally-controlled variable-gain-amplifier
based on current conveyor with opamp and inverters only, proceedings
of International conference on Microelectronics, ICM2010, pp.224-227,
Dec, 2010.
[12] Y. L. Wong, M.H Cohen, P. A. Abshire, A 1.2 GHz adaptive floating
gate comparator with 13-bit resolution, published in proceeding of
ISCAS 2005, IEEE(CAS), Vol.6, pp. 6146-49, 2005.
[1]
Figure 8: The plot representing sensitivity of Ai w.r.t Vt11 while compensating
Rout with Vt13. Programming range of Ai: 0.91258 1.2138

Figure 9: The plot representing sensitivity of Av w.r.t Vt8 while compensating

Rout with Vt13 & Rin with Vt6 Programming range of Av: 3.2077 - 3.6774

Figure 10: The plot representing sensitivity of Rx w.r.t Vt7 while compensating
Rout with Vt13 & Av with Vt8. Programming range of Rx: 50.739k 60.183k

140

To Propose a Design Parameter , Resistor

Transfer Parameter for UJT which shows
Resemblance with BJT
S.Mittal, R.Khullar, G. Kapur, V.P.Pyara

Abstract We propose a design parameter (), named as

resistance transfer parameter, which illustrate a resistance
transfer phenomenon among emitter terminal and the base
terminal B1, in the unijunction transistor (UJT). To demonstrate
the phenomena in UJT, a circuit design is proposed which is
based on basic circuit of relaxation oscillator employing UJT.
However an additional resistor is employed at the emitter
terminal which shows reflection at the base terminal. The
proposed resistance phenomena in UJT is observed through
simulation results and verified experimentally on the actual
hardware by building the proposed relaxation oscillator design
on a bread board. The experimental results verify our proposed
phenomenon in UJT. We have performed experiments to check
variation with supply voltage and to analyze variation with
change in Re and Rb1, which verify our proposed phenomenon
that the resistance at emitter gets reflected at base B1. Thus we
propose a new design parameter for UJT, resistance transfer
parameter () which governs the transfer of emitter resistance to
the terminal B1 of the UJT. The proposed phenomena and
transfer parameter () of UJT resembles with the behavior of
bipolar junction transistor (BJT), which in turn verify our
proposed phenomenon. Moreover our modified relaxation
oscillator generates wide duration pulses which in turn can be
used in various applications like SCRs, gate-turn-off thyristor
requiring large duration trigger pulses.
Index TermsBipolar Junction Transistor (BJT), Intrinsic
stand-off ratio(), Relaxation Oscillator, Resistance Transfer
Parameter (), Unijunction Transistor (UJT).

I. INTRODUCTION

ecent research work in unijunction transistor focus on

developing its characteristics like negative resistance
region, conducting region for various applications, such as,
trigger pulses generation in power electronic devices and so
on. UJT is a nonlinear device with negative resistance region
which appears between peak voltage and valley voltage of
UJT characteristic. However it is very difficult to model that

Sajal Mittal is undergraduate student in the VLSI Design Technology Lab,

Dayalbagh Educational Institute, Dayalbagh, Agra. INDIA (ph.919897694823, e-mail: sajalmittal82@yahoo.co.in). IEEE student member
Rohit Khullar is undergraduate student in Dayalbagh Educational Institute,
Dayalbagh, Agra. e-mail: rohit.cool8@gmail.com
Garima Kapur is with the VLSI Design Technology Lab, Dayalbagh
Educational Institute, Dayalbagh Agra. INDIA (ph.91-9557444267, e-mail:
kapur.garima@ gmail.com). IEEE student member, VSI student member, SSI
life member.
Prof. V.P.Pyara, is presently head of the department, Department of
Electrical Engineering, Dayalbagh Educational Institute, Dayalbagh, Agra,
INDIA.(ph. 0562-6542001, e-mail: vpprempyara@gmail.com). SSI life
member.

978-1-4673-0455-9/12/$31.00 2012 IEEE

negative resistance behavior of UJT. Various methods are

adapted to model UJT characteristics like nonlinear model
with the artificial immune system [1], inductor model using
inductive characteristic in UJT [2]. UJT is also used as a high
frequency magnetic sensor by properly biasing the UJT in the
specific region of UJT [3]. In power electronics for power
transmission and power handling, power controlled devices
(SCRs, TRIACs etc) are widely used. They all have gate
terminal to control conduction of devices and to move into
conduction, they require triggering with the help of UJT
relaxation oscillator. The UJT relaxation oscillator generates
very narrow trigger pulses. Indeed, there are various triggering
circuits in which other features are integrated with the circuit
to generate trigger pulses which are used for conduction of
power controlled devices [4]. In power transmission, three
phase supply are used and the value of average voltage is
controlled with the help of silicon controlled rectifier. Thus
three balanced oscillator to fire or trigger the SCRs are
required which can be fulfilled with UJT oscillator [5] [6].
However, power controlled devices such as gate turn-off
thyristors etc. require somewhat large duration trigger pulses
to go into conduction region. Therefore we would like to
develop a UJT oscillator which can generate wider duration
pulses and can be used in various applications of switching
requiring larger duration trigger pulses. While designing such
oscillator we came across a new phenomenon in UJT which
demonstrate that emitter resistance gets reflected at the base
terminal or in other words the resistor at emitter shows same
characteristics as resistor at base B1 in UJT. Therefore we
propose a new design parameter, termed it as, resistance
transfer parameter, , with the help of which we can model the
UJT nonlinear behavior to a linear behavior with good
precision and very less error. Proposed parameter , governs
the resistance transfer between emitter and base terminal of
UJT and can be defined with a relationship which indicate
resembles with the design parameter, , current gain of BJT.
Hence we have organized our paper in sections to clearly
define and verify our proposed phenomenon of UJT. In
section II we introduce briefly the relaxation oscillator circuit
design using UJT with our modification to generate larger
duration trigger pulses, followed by its experimental plots.
Section III illustrates our experiments conducted on proposed
oscillator with supply voltage variation and with varying Re or
R1 resistors respectively, which verify the phenomena.
Secondly in section IV, we propose a relationship for the
parameter, which shows resemblance with BJT parameter ,

141

and is verified with experimental results.

The discharging time constant of capacitor is increased by a

factor of emitter resistance, RE and is given by:

II. PROPOSED WIDE PULSE RELAXATION OSCILLATOR

A. Basic Relaxation Oscillator using UJT
Relaxation oscillator circuit of UJT, as shown in Fig. 1,
consists of a very high charging resistance which charges the
capacitors to peak voltage. UJT goes into conduction and
charged capacitor is discharged through a very low
discharging resistance and generates a very narrow trigger
pulse. The pulse duration is the discharging time of capacitor
which in turn is controlled by the discharging time constant of
capacitor, is given by:
(1)
Where, Rb1 is resistance at terminal B1 and R-ve is the negative
resistance of UJT. It is very small in magnitude, so for
increasing the duration of pulse we have to increase the
discharging time constant. Therefore it can be attained by
increasing the value of capacitor or value of resistor at the
terminal B1 of UJT. However, there are various limitations on
the value of resistance connected in the oscillator circuit. The
charging resistor R is varied in between Rmax and Rmin.
However, there is a design limitation that the resistor at the
terminal B1 is very small as compared to the interbase
resistance Rbb. With increase in resistance at terminal B1
above a certain value, output trigger pulses disappear and
oscillator circuit does not work.

(4)
Hence, discharging time of capacitor is increased such that the
UJT can conducts for a long time and generates a large
duration trigger pulses. Wide trigger pulses find applications
in power controlled devices (gate turn-off thyristor).
To increase the duration of pulse, increase the value of
emitter resistance. However it is observed that after a certain
value of emitter resistor, trigger pulse is going to disappear
and oscillator does not work. Same behaviour is observed in
the case of increasing resistance at terminal B1. Thus, it
verifies that the emitter resistance is reflected to the terminal
B1 of UJT. The similar phenomena can be observed in the
BJT where resistance at base terminal is reflected to the
emitter with multiplication factor (-1). Various experiments
to observe and verify the proposed resistance transfer
phenomenon in UJT shows close resemblance with BJT.

Fig. 2: Proposed Relaxation Oscillator Circuit

C. Experimental Results
The proposed oscillator is designed on breadboard which
generates output trigger pulses. Output waveform of relaxation
oscillator is observed across B1 terminal of UJT. With
increase in emitter resistor, duration of output pulse increases
and peak voltage decrease (as shown in Fig. 3).
Fig. 1: Basic Relaxation Oscillator using UJT

The value of Rmax and Rmin can be calculated as

(2)
(3)
where, Vp and Vv represents the peak voltage and valley
voltage respectively of UJT and Ip and Iv represents the peak
current and valley current respectively of UJT.
B. Proposed Relaxation Oscillator Circuit
The need of large duration pulses in gate-turn-off thyristor
(GTO) motivated us to modify the basic relaxation oscillator
circuit by employing an additional resistor at emitter terminal.
Thus proposed relaxation oscillator circuit is shown in Fig. 2.
142

Fig. 3: Output waveform of proposed oscillator

The trigger pulse is generated when UJT goes into conduction

and capacitor starts discharging. The shape of trigger pulse is
the exponential decay function and drop down to the valley
voltage and then abruptly goes to the zero voltage.
III. EXPERIMENTS PERFORMED TO VERIFY OUR PROPOSED
RESISTOR TRANSFER PHENOMENA IN UJT
Various experiments are performed on the relaxation oscillator
using UJT with varying power supply voltage, with varying
emitter resistance and with varying value of base resistance
RB1. It has been observed with the help experimental results
and plots that with variation in above mentioned parameters,
characteristics of UJT can be changed.

A. Effect of power supply variation

To observe the effect of supply voltage, we have designed
the relaxation oscillator circuit on breadboard and supply
voltage is varied. It is being observed that the peak voltage of
output trigger pulse changes as peak voltage is equal to the
multiplication of supply voltage and intrinsic stand-off ratio.
Moreover, valley voltage also increases with increase in
supply voltage. Hence the characteristic plot of UJT is shifted
upwards, as shown in Fig. 4. The value of peak voltage, valley
voltage and duration of output pulse is tabulated at different
values of supply voltage. Hence, the value of intrinsic standoff ratio increases as value of supply voltage increases
however increment in the ratio reduces.

Table. I Variation in UJT Characteristics with supply voltage

Power supply(Vcc)
12
14
16
18
20
22
24
26

Time of Pulse(uS)
88
93
98
103
107
115
128
198

Peak voltage Vp(V)

6.560
7.920
9.280
10.48
11.76
13.12
14.40
15.80

B. Effect of emitter resistance variation

To observe the effect of emitter resistor variation, an
additional resistor at the emitter terminal is employed in the
circuit, as shown in Fig. 2. Maintaining supply voltage
constant and equal to 12 volts, slowly vary the emitter
resistance step-by-step and observe the effect in output
waveform at the B1 terminal. It is being observed that as the
value of emitter resistor increases, the pulse width of trigger

Valley Voltage Vv(mV)

560
560
640
720
760
800
800
800

Intrinsic stand-off ratio(Vp/Vcc)

0.550
0.565
0.580
0.582
0.588
0.596
0.600
0.607

pulses increases and the peak voltage of trigger pulse is

decreases. Thus from Table II, we infer that as the value of
emitter resistor increases, the value of intrinsic stand-off ratio
decreases and hence, value of discharging time constant
reduces. It results in decrement of negative resistance value,
so that the slope of negative resistance increases. The Fig. 5
represents the characteristic and variation in all the parameter
of UJT at different emitter resistor is tabulated in Table II.

Table.II Variation of UJT characteristics with emitter resistance

Emitter Resistance
Re (ohms)
0
20
30
40
60
70
80
90
100
230
300

Pulse Width(uS)
90
103
109
115
127
134
139
146
152
229
276

Peak Voltage(V)

Valley Voltage(mV)

6.64
5.28
4.8
4.48
4.00
3.76
3.68
3.52
3.44
2.56
2.32

C. Effect of base resistance variation

To observe the effect of base resistance variation, we
connect a variable resistance at the terminal B1 of UJT

Intrinsic Stand-off Ratio()

480
0.553
480
0.440
480
0.400
480
0.373
480
0.333
480
0.313
480
0.306
480
0.293
480
0.286
480
0.213
480
0.193
relaxation oscillator. The resistor changes its value step by
step at different supply voltage value and observed the change
in the output waveform. The variation in characteristic and
parameters of UJT with change in base resistor is tabulated in

143

Table III. The variation in parameters with change in base

resistance is similar to the variation with emitter resistance.
Therefore we would like to conclude that the characteristics of
UJT i.e. slope of negative resistance increases with increase in
value of base resistance RB1. In the Table III, value of RB1
represents the maximum value of base resistance that can be

connected to the terminal B1 of UJT such that it works well

and generates trigger pulse. From discharging time constant,
calculate the effective value of negative resistance offered by
the UJT and expressed with the help of formula given below:
(5)

Table III Variation of UJT characteristics with base resistance

Power
supply(Vcc)
12

RB1(max.)
ohms
507

Value
of RB
0
93
204

Pulse
Width(uS)
16
36
68

Peak
Voltage(volts)
6.6
7.2
7.2

16

250

0
67
135

20
32
52

9.6
10
10

20

177

0
49
65

20
36
40

11.8
12.4
12.4

Discharging
constant(uS)
28.98
56.33
106.4
30.660
46.166
75.000

time

Effective Negative Resistance of

UJT
-71.020
-136.67
-197.60
-69.340
-120.83
-160.00

24.406
-75.5940
41.425
-107.575
46.030
-118.970
parameter () by doing DC analysis of relaxation oscillator
of UJT. When power supply is connected to the relaxation
circuit, capacitor starts charging through a very high charging
resistance and reaches to the peak voltage (Vp) and current
starts flowing through the emitter resistance. Assuming
voltage drop and resistance offered by the diode negligible,
current is given as
(6)
When UJT goes into the conduction region this value of
current starts flowing through the emitter resistance connected
at the B1 terminal and some voltage drop across emitter
resistance is there which is given by
(7)

Fig. 4: Plot representing characteristics of UJT with variable Vcc

The above amount of voltage drop is across the emitter

resistance and the voltage at the emitter terminal of UJT is
expressed as
(8)
Therefore the UJT relaxation oscillator circuit stops
working i.e. trigger pulse are not generated when the voltage
at the emitter terminal is below the valley voltage or just equal
to the valley voltage. UJT does not move to the conduction
region. Capacitor does not discharge and trigger pulse is not
generated. Hence a relationship for transfer resistance
parameters is derived which can transfer the emitter resistance
to the base side of UJT which shows similarity with the
bipolar junction transistor.

Fig. 5: Plot representing characteristics of UJT with variable R B1 and RE

IV. A RELATIONSHIP FOR PROPOSED PARAMETER VERIFYING

RESEMBLANCE WITH BJT
Now after doing various different experiments on the
relaxation oscillator we calculate the resistance transfer

144

(9)
(10)

So here represents the voltage gain which is equal to the

ratio of peak voltage and valley voltage which exactly
resembles the bipolar junction transistor where represents
the current gain parameter and equal to the ratio of emitter
current and the base current in the BJT. The resistance get
transfer from the base side to the emitter side and is governed
with the current gain . And our proposed resistance transfer
phenomenon of UJT from emitter side to the base is governed
with the help of voltage gain parameter .
(11)
(12)
V. EXPERIMENTAL VERIFICATION OF RELATIONSHIP
In experimental verification we have performed some
experiments and verify the exactness of parameter developed
for the UJT resistance transfer phenomena. Observed the
difference in between theoretical and experimental values of
resistance transfer parameter and tabulated in Table IV and
V. For experimental verification two experiments with two
different power supply voltages are conducted while the base
resistance is connected with less than the maximum base
resistance. With connecting variable resistance at the emitter
terminal of UJT, the maximum value of emitter resistance that
can be connected is noted down where oscillator works well
and calculate the value of resistance transfer parameter by
simply dividing the maximum value of emitter resistance to
the value of base resistance. An experimental result with
power supply voltage of 12 volts is shown in Table. IV.

peak voltage and also the value of valley voltage is somewhat

increased. Therefore, from theoretical results as well as from
the experimental data, it is verified that with the increase in
base resistance the value of resistance transfer parameter
decreases.
VI. CONCLUSION
We have developed a new parameter , resistance transfer
parameter which represent that the emitter resistor gets
transferred to the base B1 terminal of UJT. Proposed a
relationship for the parameter , which shows close resembles
with the BJT parameter . The parameter in BJT define that
base resistance is reflected to the emitter side with help of .
Moreover our proposed parameter , model the UJT behavior
with close approximation to the negative resistance behavior.
The parameter and hence the resistance transfer phenomenon
of UJT is experimentally verified on actual hardware. In
addition to it, parameter value, calculated with proposed
equations are approximately similar to the values obtain from
experimental data.

VII. ACKNOWLEDGEMENT
We would like to acknowledge Prof. C.M.Markan, VLSI
Design lab, Dayalbagh Educational Institute for valuable
guidance and encouragement to present our work. We would
also like to acknowledge Department of Physics and
Computer Science, DEI for UGRA fellowship.

Table IV: Variation of Proposed parameter with different Rb at Vcc=12v

RB
100
200
300
400

RBNeed(RBN)
407
307
207
107

RE Max.
1190
774
468
192

[1]

=REMax/RBN
2.92
2.52
2.26
1.79

[2]

[3]

As the value of RB resistance increases the value of resistance

transfer parameter decreases. On comparing it with the
theoretical results from the equation (9) and (10), shows
similarity with the experimental data with small difference.
Another set of experiment is performed at different power
supply voltage of about 16 volts and experiment results are
tabulated in Table V.
Table V: Variation of Proposed parameter with different Rb at Vcc=16v

RB
100
150
200

RBNeed(RBN)
150
100
50

RE Max.
460
300
143

VIII. REFERENCES

=REMax/RBN
3.067
3.000
2.860

Thus it is confirmed as the value of base resistance is

increased, value of resistance transfer parameter decreases
which in turn is confirmed by the theoretical derived equations
As we increases the value of base resistance the value of
intrinsic stand-off ratio decreases which decreases the value of
145

[4]

[5]

[6]

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Zaporozhchenko,investigation of the inductive properties of a
unijunction transistor, journal of radiotekhnika I elektronika, vol.
24, pp.2552-2557, Russia, Dec 1979.
Jean Brini, Georges Kamarinos, the unijunction transistor used as
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sensitivity magnetic sensor, journal on sensors and
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G. Hachtel, D.O. Pederson, Integrated, unijunction transistor
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J.Sperry Wade, L.G. Aya, Design for simultaneous pulse
triggering of
SCRs in Three-phase Bridge configuration ,
proceeding of IEEE conference on industrial electronics and
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B. Ilango, R. Krishnan, R. Subramanian, S. Sadasivam, Firing
Circuit for three-phase thyristor-bridge rectifier, proceeding of
IEEE conference on industrial electronics and control
instrumentation, pp. 45-49, April 2007.

Improving Power System Transient Stability by

PSS and Hybrid Fuzzy-PI based TCSC Controllers
Rajendraprasad Narne, Jose. P. Therattil and P.C.Panda, Senior Member, IEEE

Abstract-- This paper presents the application of Fuzzy Logic

Controller (FLC) for Thyristor Controlled Series Capacitor
(TCSC) to enhance over all stability of electric power systems.
The proposed hybrid controller combines the advantages of FLC
and a conventional PI controller. In this work, we consider
Single Machine Infinite Bus (SMIB) system installed with Power
System Stabilizer (PSS) and Fuzzy-PI based TCSC Controller. In
order to test effectiveness of these controllers, simulations are
carried out in different loading conditions under a symmetrical
three-phase short circuit fault at generator terminals. The
response of Fuzzy-PI controller is compared with that of the PI
controller. The simulation result shows that the Fuzzy-PI
controller has outstanding operation in fast damping of power
system oscillations.
Index Terms-- Hybrid Fuzzy-PI controllers, power system
stabilizer (PSS), SMIB system, thyristor controlled series
capacitor (TCSC), transient stability.

I. INTRODUCTION

ower system oscillation stability refers to the damping of

electromechanical oscillations occurring in power systems
with oscillation frequency in the range of 0.2 Hz to 2Hz.
These low-frequency oscillations are the consequence of the
development of interconnection of large power systems. The
system operation may become difficult in the presence of
these oscillations. To suppress these oscillations, one of the
cost effective solution is fitting the generators with a feedback
controller to inject a supplementary signal at the voltage
reference input of the automatic voltage regulator to damp the
oscillations. This is device known as a PSS [1-2]. In power
systems, using only conventional PSS may not provide
sufficient damping for inter-area oscillations [3]. In these
cases, an Automatic Voltage Regulator (AVR) is an effective
solution. To exploit the advantages of PSS and AVR
controllers, many researchers were made on the coordination
between them [4].

In recent years, the fast progress in the field of power

electronics has opened new opportunities for the power
industry. Flexible AC Transmission System (FACTS)
controllers can balance the power flow and thereby using the
existing power system network most efficiently. Because of
their fast response FACTs controllers can also improve the
stability [5]. The use of FACTS devices is a cost-effective
alternative to improve the flexibility and stable performance of
power system operation. Among various FACTS controllers,
Rajendraprasad Narne, Jose. P. Therattil and P.C.Panda with the Department
of Electrical Engineering, National Institute of Technology, Rourkela, Orissa769008, India (e-mail: nrajnitrkl@gmail.com, josetherattil@gmail.com,
pcpanda@nitrkl.ac.in ).

978-1-4673-0455-9/12/$31.00 2012 IEEE

thyristor controlled series capacitor (TCSC) is one of the most

promising FACTS devices having a few practical installations
around the world [6] and has attracted a lot of attention for
designing an effective control law to enhance the system
stability. Design methodologies of robust damping controller
for TCSC are presented in [7-9].
The PSSs are effective in the oscillation damping. However,
there may be cases where the systems PSSs are not able to
suitably damp inter-area oscillation modes. In such cases, the
simultaneous use of both controller types (PSS and FACTS
damping controller) are required to guarantee a good closed
loop system performance. This paper proposes design of PSSs
and TCSC supplementary damping controllers. Most of the
controllers for FACTS devices are based on the conventional
controllers like PI and lead-lag controllers. Although these
controllers are simple and easy to design, their performance
deteriorates when the system operating conditions vary widely
and large disturbances occur.
Unlike conventional controllers, Fuzzy Logic Controller
(FLC) is capable of tolerating uncertainty and imprecision to a
greater extent so, they produce good results under changing
operating conditions and uncertainties in system parameters.
The most attractive feature is its capability of incorporating
human knowledge to the controller with ease. Recently, an
application of the fuzzy logic theory to the TCSC devices has
attracted a lot of attention for designing an effective control
law to enhance the system stability [10-11]. In this paper, a
Fuzzy-PI controller based TCSC supplementary controller is
designed to combine the advantages of conventional PI control
and knowledge base action of Fuzzy-PI controller. This
proposed work carried on Single Machine Infinite Bus (SMIB)
power system.
This paper is organized as follows: In section II, basic
model of SMIB with TCSC is presented. The modeling of the
power system components is presented in section III. Design
of conventional TCSC Controllers is given in section IV.
Hybrid Fuzzy-PI based TCSC Controller is present in section
V. Discussion and Simulation results are provided in section
VI. In the same section, a small comparative study is done
between proposed controllers. Conclusions are given in
section VII.
II. TEST POWER SYSTEM
In this paper, we focus our attention on single machine
infinite bus (SMIB) power systems. Since SMIB system
qualitatively exhibits important aspects of the behavior of a
multi-machine system and is relatively simple to study, it is
extremely useful in describing the general concepts of power

146

systems stability, the influence of various factors upon

stability, and alternative controller concepts. We consider the
particular SMIB power system arrangement shown in Fig. 1.
III. MODELLING OF POWER SYSTEM WITH EXCITATION SYSTEM
A. Synchronous Machine Modelling
The synchronous generator is represented by model 1, the
machine dynamic equations are [1], [2]:
d (t )
(t ) 0
dt

(1)

d (t )
D
(t ) 0 0 Pm Pe (t )

dt
2H
2H

(2)

dE1q (t )
dt

1
Td10

fd (t ) ( X d

X 1d ) I d (t ) E1q (t )

(3)
Fig. 2. Thyristor excitation system with AVR and PSS

Where

From blocks 3 and 4,

E fd (t ) K AEF (t )
Eq (t )

Pe (t )

X ds
X 1ds

E1q (t )

Eq (t )Vb
X ds

(4)
Xd

X 1d

X 1ds

pv2 K STAB pr
Vb cos( (t ))

sin( (t ))

X ds X d X T X L

X 1ds

X 1d

XT X L

(5)
With
(6)

pv3

(7)
With
(8)

1
(T1 pv2 v2 v3 )
T2

(11)

given by Equation (10). The stabilizer output V S is

(12)

With VS max VS VS min

Models for different types of excitation systems in use are

described in [1]. We will illustrate the method of incorporating
these models into a transient stability program by considering
the excitation system model shown in Fig. 2. It represents a
bus-fed thyristor excitation system (classified as type STIA1)
with an automatic voltage regulator (AVR) and a power
system stabilizer (PSS).

(13)

From block 2, the exciter output voltage is

E fd K A[Vref v1 vs ]

(14)

With EF max E fd EF min

(15)

Initial value of excitation system variables

v1 = Et, v2 = 0, VS =0

From block 1 of Fig. 2, we may write:

1
( Et v1 )
TR

pv2

(10)

given by Equation (2). From block 5,

VS v3

B. Excitation System Modelling

pv1

pr

1
v2
TW

(16)

The AVR reference is

(9)

Vref

E fd
KA

v1

(17)

Thus Vref takes a value appropriate to the generator loading

condition prior to the disturbance.
IV. OPERATION OF TCSC AND DESIGN OF CONVENTIONAL

E fd

CONTROLLERS

Vref
VS
Fig. 1. Single-machine infinite-bus power system with PSS and TCSC
controller.

A TCSC Controller is one of the most important and best

known series FACTS Controllers. A TCSC Controller consists
of a fixed series capacitor (FC) in parallel with a thyristor
controlled reactor (TCR). The TCR is formed by a reactor in
series with a bi-directional thyristor valve that is fired with a
phase angle ranging between 900 and 1800 with respect to
the capacitor voltage [12].

147

According to the variation of the conduction angle () or

the thyristor firing angle (), the process can be modelled as a
fast switch between corresponding reactance offered to the
power system. There is a steady state relationship between
and the reactance XTCSC. This relationship can be described by
the following equation [13]:

X TCSC X C

X C2 ( sin )

(XC X P )

4 X C2 cos2 ( / 2)[ k tan(k / 2) - tan(k / 2)]

( X C X P )( k 2 1)

(18)

Where,
XC: Nominal reactance of the fixed capacitor C
XP: Inductive reactance of inductor L connected in parallel
with C
: Conduction angle of TCSC, 2( - )
: Firing angle of TCSC
k : Compensation ratio, k

XC
XP

The signal wash out block is a high pass filter that prevents
the steady changes in the speed by modifying the conduction
angle. The value of washout time constant Tw should be high
enough to allow signals associated with rotor oscillation to
pass unchanged. Tw may be in the range of 1-20 sec. The
phase lead compensator is used for the phase lag between the
angular speed and the resulting electrical torque, so that the
TCSC controller produces a component of electrical torque in
phase with the rotor speed deviation. The gain of TCSC
controller is chosen such that it provides satisfactory damping.
Here = 0+ , 0 = initial value of conduction angle.
Change in conduction angle changes the initial
compensation.
V. DESIGN OF HYBRID FUZZY-PI CONTROLLER

A TCSC is modelled here as a variable capacitive reactance

within the operating region defined by the limits imposed by
.
Thus,
X TCSC min X TCSC X TCSC max ,
with X TCSC min X TCSC ( max ) X C
and X TCSC max X TCSC ( min )
A. Structure of Conventional PI based TCSC Controller
The structure of proportional-integral (PI) controller based
TCSC is shown in Fig. 3. TCSC controller input signal is
speed deviation () and output signal is the stabilizing
signal. (i.e. deviation in conduction angle ). It comprises of
gain block, signal washout block and proportional-integral
controller block. An optimum controller can be obtained by
suitable selection of Tw, KT, KP and KI with some designing
technique.
Ki

B. Structure of Lead-Lag based TCSC Controller

The commonly used leadlag structure is chosen in this
study as a TCSC Controller. The structure of the LL TCSC
Controller is shown in Fig.4 [7].

At present, the PI controller is most widely adopted in

industrial application due to its simple structure, easy to
design and low cost. Despite these advantages, the PI
controller fails when the controlled object is highly nonlinear
and uncertain. Therefore, we would like to keep the
advantages of the PI controller while designing a Fuzzy logic
controller. This leads to propose a Fuzzy-PI controller shown
in Fig. 5. This controller uses FLC in place of the proportional
term while the integral term is kept, unchanged. The controller
output in this case is [14]:

u (t ) K p u f Ki e(t )dt

Where Kp and Ki are identical to the conventional PI controller

and u is the output of the Fuzzy logic controller.
The inputs to the fuzzy system are e(t) and derivative
of e(t) so that fuzzy system tuner consists of two inputsone output fuzzy system. The fuzzy logic controller involves
Fuzzification, Inference, Fuzzy rule base and Defuzzification
unit.

Ki

Kp
d
dt
Fig. 3. Structure of PI based TCSC Controller.

Fig. 5. Proposed Fuzzy-PI controller

Fig. 4. Structure of Lead-Lag based TCSC Controller.

(19)

Fig. 6. Membership functions of input variables

148

TABLE I.

In presence of PSS with Lead-Lag (LL) based TCSC

Controller
In presence of PSS with Fuzzy-PI based TCSC
Controller

TABLE II. FUZZY RULE BASE

e(t )

e(t )

NB
NM
NS
ZE
PS
PM
PB

NB

NM

NS

ZE

PS

PM

PB

VS
VS
VS
VS
MS
S
SB

VS
VS
VS
MS
S
SB
S

VS
VS
MS
S
SB
S
MS

SB
SB
SB
SB
SB
SB
SB

MS
SB
SB
MB
B
VB
VB

S
SB
MB
B
VB
VB
VB

SB
MB
B
VB
VB
VB
VB

The fault that we consider here is a symmetrical threephase short circuit fault on one of the parallel lines at
point, which is very nearer to the generator bus bar,
occurs at a time t=0.5sec and it is cleared at t=0.62sec
(i.e. the fault is applied for 6 cycles). The performance of
the system is analyzed under following different loading
conditions:
a) Nominal loading: Pe=0.8p.u. and Qe=0.15p.u.
b) Heavy loading: Pe=1.0p.u. and Qe=0.2p.u.
c) Lightly loading: Pe= 0.6p.u. and Qe=0.09p.u.

A. Fuzzification
Fuzzification is a process whereby the input variables are
mapped onto fuzzy variables (linguistic variables). Each
fuzzified variable has a certain membership function. The
membership function used in this work for both inputs is
symmetrical triangular membership function shown in Fig. 6.
Here the inputs are fuzzified using seven fuzzy sets: VS (very
small), MS (medium small), S (small), SB (small big), MB
(medium big), B (big), and VB (very big).

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

Rotor anglevariation

0.4
0.2
0

-0.2

B. Inference
The inference engine provides a set of control actions
according to fuzzified inputs. To determine the degree of
membership function of output variables, the inference engine
used is Min-Max method.

-0.4
0

Time[sec]

-3

x 10

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

Rotor speedvariation

C. Fuzzy Rule Base

The rule base design of fuzzy logic controller is based on
the desired transient and steady state step responses. The
expected incremental output values, which are the fuzzymatrix elements, are deduced according to the tendencies of
error and error sum as shown in Table I.

4
2
0

-2

D. Defuzzification

-4

For the inference mechanism of the proposed fuzzy logic

controller, Mamdani's method [15] has been utilized. Also, the
centre-of-area method is the most well known and rather
simple defuzzification method [15] that is implemented to
determine the output crispy value.

-6
0

Time[sec]

E. Fuzzy logic controller for TCSC

Activepower Pe

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

1.5

For the design of the fuzzy logic based TCSC controller, we

have selected speed deviation () and derivative of speed
deviation as input vectors. The fuzzy controller and the PI
controller try to control the reactance of TCSC.

0.5

VI. SIMULATION RESULTS

In this section, the performance of the designed Hybrid
Fuzzy-PI controller for TCSC in damping of power system
rotor angle oscillations was examined on SMIB system using
MATLAB programming. The close-loop behavior of the
SMIB system is tested with the following control schemes.
In presence of PSS only
In presence of PSS with PI based TCSC Controller

0
0

Time[sec]

Fig. 7. System dynamic response for a six cycle fault disturbance with
nominal loading condition.(a) Rotor angle variation (b) Rotor speed variation
(c) Active power variation

149

0.6

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

0.2

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

0.3
0.2

Rotor anglevariation

Rotor angel variation

0.4

0.1

-0.2

-0.1
-0.2

-0.4
0

Time[sec]

-0.3
0

-3

Time[sec]

-3

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

6x 10

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

Rotor speedvariation

Rotor speedvariation

x 10

2
0

-2

-5

-4

Time[sec]

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

Activepower Pe

Time[sec]

1
0.8

1.5

PSSonly
PSSwithPI-TCSC
PSSwithLL-TCSC
PSSwithFuzzy-PI-TCSC

Activepower Pe

0.6

0.4

0.5
0
0

0.2

Time[sec]

0
0

Fig. 8. System dynamic response for a six cycle fault disturbance with heavy
loading condition.(a) Rotor angle variation (b) Rotor speed variation (c)
Active power variation

The results of time responses computed with the alternative

controllers for nominal loading, heavy loading and lightly
loading conditions are shown in Fig. 7 to 9 respectively. In
each figure (a) demonstrates the power system rotor angle
oscillations with the proposed Hybrid Fuzzy-PI controller and
other conventional controllers. Figure (b) and (c) shows the
responses of rotor speed variation and active power variations
respectively under different control schemes. Hence, form the
response curves it is evidenced that the dynamic performance
of the Hybrid Fuzzy-PI controller is less sensitive to changes
in the power system than that of conventional controllers.

Time[sec]

Fig. 9. System dynamic response for a six cycle fault disturbance with lightly
loading condition.(a) Rotor angle variation (b) Rotor speed variation (c)
Active power variation

VII. CONCLUSION
In this paper, PSS with Hybrid Fuzzy-PI based TCSC
Controller turning is proposed for damping power system
oscillations and the effectiveness of the proposed control
system is compared with Conventional PI based TCSC
Controller and Lead-Lag (LL) based TCSC Controller. To
evaluate the usefulness of the proposed Fuzzy-PI controller,
we performed the computer simulation for single-machine
infinite bus system. Simulation result shows that Fuzzy-PI
controller has a better control performance than PI and LL
controllers in terms of settling time and damping effect when
the three-phase fault occurs under different loading conditions.

150

REFERENCES
[1] P. Kundur, Power System Stability and Control, EPRI Power System
Engineering Series (Mc Graw-Hill, New York, 1994).
[2] P. M. Anderson and A. A. Fouad, Power System Control and Stability.
New York: IEEE Press, 1994.
[3] H. Boules, S. Peres, T. Margotin, Analysis and design of a robust
coordinated AVR/PSS, IEEE Transactions on Power Systems, Vol. 13,
No. 2, May 1998.
[4] P. Kundur, M. Klein, G. J. Rogers, and M. S. Zywno, Application of
power system stabilizers for enhancement of overall system stability,
IEEE Transactions on Power Systems, vol. 4, pp. 614626, 1989.
[5] N. G. Hingorani and L. Gyugyi, Understanding FACTS: Concepts and
Technology of Flexible AC Transmission System IEEE Press. 2001.
[6] R. M. Mathur and R. K. Verma, Thyristor-based FACTS Controllers for
Electrical Transmission Systems, IEEE press, Piscataway, 2002.
[7] X. Zhou and J. Liang, Overview of control schemes for TCSC to
enhance the stability of power systems, IEE Proceedings, Part-C,
Generation, Transmission and Distribution, vol. 146, no. 2, pp. 125-130,
March 1999.
[8] B. Chaudhuri, and B. Pal, , Robust damping of multiple swing modes
employing global stabilizing signals with a TCSC, IEEE Transactions
on Power Systems, vol. 19, n. 1, pp. 499 506, Feb. 2004.

[9] Liu Qian, V. Vittal, and N. Elia, LMI Pole Placement Based Robust
Supplementary Damping Controller (SDC) for A Thyristor Controlled
Series Capacitor (TCSC) Device, IEEE Power Engineering Society
General Meeting, pp. 1085-1090, June 2005.
[10] Wei Li and X. Chang, "Application of hybrid fuzzy logic proportional
plus conventional integral-derivative controller to combustion control of
stoker-fired boilers," Fuzzy Sets and Systems vol. 111, pp. 267-284,
2000.
[11] P.K. Dash, S. Mishra, and G. Panda, "Damping Multimodal Power
System Oscillation Using a Hybrid Fuzzy Controller for Series
Connected Facts Devices," IEEE Transactions on Power Systems, vol.
15, pp. 1360-1366, 2000.
[12] E.V. Larsen, K. Clark and et al, Characteristics and rating
consideration of Thyristor Controlled Series Compensation, IEEE
Trans. Power Delivery, Vol. 9, No. 2, p.p. 992- 1000, Apr. 1994.
[13] Thyristor Controlled Series Compensation, CIGRE Working Group
14.18, December 1997.
[14] A. Kazemi, and M. V. Sohforouzani Power System Damping Using
Fuzzy Controlled FACTS Devices IEEE International Conference on
Power System Technology - POWERCON 2004, Singapore, 21-24
November 2004.
[15] D. Driankov, H. Hellendoorn, & M. Reinfrank, An introduction to
fuzzy
control
New
York:
Springer-Verlag,
1993.

151

Comparison of Neural Based Multiuser

Detection Techniques for SDMA Based
Wireless Communication System
Bagadi Kala Praveen, Susmita Das, Member, IEEE

Abstract--Space-Division Multiple Access-OFDM based wireless

communication has the potential to significantly increase the
spectral efficiency, system performance and number of users.
Research in the development of efficient multiuser signal
detection algorithms for such systems has generated much
interest in recent years. This research proposes MUD schemes
utilizing three neural network (NN) models like Feed Forward
NN (FNN) without any hidden layer, FNN with a single hidden
layer and Recurrent Neural Network (RNN) as possible
alternatives to existing Genetic Algorithm (GA) based Minimum
Bit Error Rate (MBER) MUD. Further, these techniques offer
low complexity. Extensive simulation based performance study is
carried out to prove the efficiency of the proposed techniques.
Better performance of FNN with hidden layer and RNN
compared to FNN without hidden layer is clearly observed in
rank deficient MIMO scenario, where number of users exceeds
the number of receiving antennas. The Bit Error Rate (BER) and
complexity analysis of the proposed neural MUD schemes are
close to optimal ML and show improvement over the previous
implemented technique.
Index Terms-- OFDM, SDMA, Multiuser Detection, GA,
MBE, Neural Networks, FNN, RNN, Complexity.

I. INTRODUCTION

RTOGONAL Frequency Division Multiplexing is a

parallel transmission scheme, where a high data rated
serial data stream is split up into a set of low data rate sub
streams by modulating with orthogonal subcarriers, which
provides resistance from ISI (Inter Symbol Interference) and
ICI (Inter Carrier Interference) [1]. On the other hand, in a
radio uplink design, SDMA can be able to offer superior
performance by supporting multiple users, where each of the
users equipped with a single antenna and the base station was
equipped with multiple antennas [2]. Both these technologies
have their own superiorities, so the combination of both stands
for a breakthrough in next generation fixed and mobile
wireless applications. At the receiver end of a SDMA-OFDM
system, channel estimation and multiuser detection are the two
major tasks which need to be invoked effectively. In this
present article, we focused mainly in multiuser detection
aspect by assuming channel state information to be perfectly
known at the receivers end. In the last two decades, research
Bagadi Kala Praveen is with the Department of Electrical Engineering,
National Institute of Technology, Rourkela-769008, India (e-mail:
kalpraveen.bagadi@gmail.com).
Susmita Das is with the Department of Electrical Engineering, National
Institute of Technology, Rourkela-769008, India (e-mail: sdas@nitrkl.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

in the development of efficient signal detection algorithms for

SDMA-OFDM system has generated much interest [3-8].
Among the various MUDs, the linear MMSE MUD exhibit
low complexity at the cost of a limited performance. The highcomplexity optimum ML MUD has been capable of achieving
the best performance with an exhaustive search, which results
generally avoids its use in practical systems. However,
minimizing mean square error (MSE) in MMSE MUD may
not give a guarantee that the BER of the system is also
minimized. Whereas, the MBER MUD using GA, minimize
directly BER rather than the minimizing MSE resulting to
significantly perform better than the MMSE MUD.
Subsequently, the MBER MUD using some other evolutionary
algorithms like practical swam optimization (PSO) [9],
differential evolutionary (DE) [10] technique results in almost
same performance and complexity.
Moreover, all the evolutionary techniques performs
uniquely and these techniques limited by their slow rate of
convergence. On the other hand, the deployment of the high
degree non-linear, massive parallel structures such as neural
network (NN) can become a good possibility of being
alternative to evolutionary techniques. However, the NN base
MUD, without the knowledge of channel state information can
perform MUD with the aid of some training symbols and their
corresponding received symbol vectors [11]. Furthermore,
during weight updation, the FNN without hidden layer uses
Widrow-Hoff (WH) learning, the FNN with a single hidden
layer uses Back Propagation (BP) algorithm, and the RNN
uses Real time recurrent learning (RTRL) algorithm [12]. The
limited nonlinearity in WH FNN model restricts its
performance in rank deficient scenario, whereas the feedback
paths in RNN and the hidden layer in FNN include more non
linearity, which leads to performance enhancement even in
rank deficient scenario. In this paper, we have studied three
NN model based MUDs schemes. Performance and
complexity curves show that the proposed NN MUDs are
capable of outperforming the GA MUD and other
conventional techniques.
The organization of the paper is given as follows. Section II
describes the model of a slandered SDMA OFDM system.
Section III and IV provide GA and proposed NN model based
MUD techniques respectively. Simulation results and analysis
are presented in Section V. Conclusion is provided in Section
VI.

152

II. SYSTEM MODEL

H

H 12

x2

b2

n1

H 11
H P1 H 21

x1

b1

n2

H 22

H P2

y1

x1

b1

y2

x 2

b2

yP

x P

bP

H 1L

H 2L
H PL

nP

xL

bL

Figure 1. Block diagram of standard SDMA-OFDM system with L users and P receiving antennas.

Fig. 1 depicts the uplink transmission of SDMA-OFDM

system. In this figure, each of the L simultaneous users is
equipped with a single transmission antenna, and the base
station is equipped with P element antenna array. The received
signal corrupted with Additive White Gaussian Noise at each
receiving antenna can be expressed in vector form as [13],

Hx n

(1)

However, eq. (4) can be used as the cost function to optimize

weights in the other evolutionary techniques such as PSO [9],
and DEA [10] in addition to GA [14].
IV. PROPOSED NEURAL NETWORKS BASED MUD SCHEMES
Neural network based MUDs are basically an iterative
training based detection schemes using couple of training
symbol vectors. Thus, x is a (L 1) training symbol vector
t

fed to SDMA-OFDM system shown in Fig.1, and y is a (P

1) corresponding received symbol vector. Furthermore,
t

where y is the (P1)-dimensional vector of the received

signals, x is the (L1)-dimensional vector of transmitted
signals, n is the (P1)-dimensional noise vector with zero
2

, and H is a frequency domain channel

mean and variance
, with
matrix of dimension (PL). The estimated signal of x
the weight matrix W and received signal vector y is given by:

x W H y

(2)

y t is a (2P 1) input vector

t
corresponding to real and imaginary parts of y , d is a (2L
regarding to NN models,

1) desired signal vector corresponding to real and imaginary

t
t
parts of x , and x is a (2L 1) received signal vector.

A. Widrow-Hoff FNN model based MUD

d1

b1

III. GENETIC ALGORITHM BASED MBER MUD TECHNIQUE

Re{ y1t }

Initially, we assume the channel matrix H is explicitly

defined. From [14] the MBER solution for BPSK modulated
signal is defined as the probability of error PE encountered at
the output of the SDMA MUD characterized by the combiner
weight vector wl of user l where wl is the lth column of W, may
be expressed as:

PE ( wl )

1
Nb

Q
j 1

( j)
l

H
l

sgn(b ) w y j
wlH w

Im( y )

(3)

possible value of the noiseless (P 1)-dimensional received

signal vector y. The MBER solution is defined as:
wl

x 2t

t
2

y2t P

Im{ y Pt }

(4)

y2t P

e1
d2

e2

d2L

t
2L 1

e2 L

b2L

the transmitted bit of user l, and y j j 1,....., Nb constitutes a

arg min PE ( wl )

y1t

b2 L

Where Nb is the number of equiprobable combinations of the

binary vectors of the L users, i.e. Nb = 2L, bl( j ) j 1,....., Nb is

wl ( MBER )

t
1

b2
t
1

Re{ y Pt }
Nb

Vlp

d2L

x2t L

e2 L

Figure 2. WH FNN based MUD in SDMA OFDM system.

The architecture shown in Fig. 2 is a simple FNN structure

consisting of 2P input elements and 2L processing neuron
nodes in the output layer. The major advantage of NN is; it
doesnt require a prior knowledge of channel state information.
A learning algorithm (Widrow-Hoff) is used to adopt the
synaptic-weight and bias value sequentially. The received
signal at each output node can be expressed as:

153

xlt

Vlp y tp bl )

(
p

l 1, 2,..., 2 L

(5)

p 1, 2,..., 2 P

where, ypt = Hxpt + n taken from eq.(1), Vlp denotes a synaptic

weight between output node l and input element p, bl denoted
bias of the neurons, and (.) denotes a nonlinear function
having sigmoid nonlinearity. Furthermore, the error obtained
in each training step is:

el

xlt

dl

(6)

U kj f '( z tj )

here, f(.) represents fist derivative function. Updated synoptic

weights and biases of hidden nodes and output nodes are
respectively
V ji

V ji
1
l

e( y ) ,

bl

U kj

(7)

( x tp )T

1
l

bl

(11)

k
k

t T
p

Vlp

(10)

The error gradient at each hidden neuron is given by:

The updated synoptic weights and bias under each WH

learning step with learning rate are respectively:
Vlp

ek

b
U kj

bl2

(12)
(13)

j
k

( zlt )T

bl2

(14)
(15)

Here (.)T denotes transpose. Finally, the well-trained model

after a couple of training vectors can be used to detect user.

Here (.)T denotes transpose. Finally, the well-trained model

after a couple of training vectors can be used to detect user.

B. Back Propagation FNN model based MUD

C. RTRL RNN model based MUD

b1J

V ji

Re y

t
1

U kj

z1t

t
1

b 2J
Im y1t

z 2t

y2t

Re y

t
2P 1

x 2t

e2

d2L

x 2t L

b2KL

Layer J

e2 L

d 2L

x2t L

z2t L

y2t P

Layer I

e1
d2

b2KL 1
t
2L 1

b2JL
Im y Pt

d1

x1t
b 2K

b2JL 1
t
P

b1K

e2L

d1

b1

Layer K

Re y1t

x1t

y1t

e1
d2

b2

Figure 3. BP FNN based MUD in SDMA OFDM system.

Im y1t

A feed forward neural network with an hidden layer does

better complex mapping tasks and has high computational
efficiency. The FNN is trained with supervised learning and
used back propagation algorithm. Fig. 3 shows an FNN model
of 2P input elements, 2L hidden neuron nodes, and 2L output
neurons. The output neurons are summing units only. The
resultant signals at each hidden node in hidden layer J and
output node in output Layer K are expressed respectively as:

x 2t

y2t

b2 L

Re y

t
P

d2L

x 2t L

t
2P 1

b2L

Im y Pt

e2

e2 L

x2t L

y2t P

d2L

e2L

Wkh

Figure 4. RTRL RNN based MUD in SDMA OFDM system.

z tj

V ji yit

j, k 1, 2,..., 2 L
i 1, 2,..., 2 P

b Jj )

x kt

U kj z tj

bkK

(8)
(9)

The RNN structure, as shown in Fig. 4, has 2P external input

connections and 2L neurons. The external input vector
y tf (n ), where f [1,2,...,2 P ] and one step delayed output vector
xkt (n), where k [1,2,...,2 L] with an initial value zero ( xkt (1)

where, Vji denotes a synaptic weight between hidden node i

and input element j, Ukj denotes a synaptic weight between
output node k and hidden node j, b Jj denoted bias of the hidden

0)
are connected to form an input vector u(n) to the RNN
module, whose hth element at time index n is denoted by
uh (n ) ,which is given by:

neurons, and bkK denoted bias of the output node. The error
obtained at output node is same as eq. (6). Furthermore, the
back propagation algorithm requires the error gradient at
each layer. The error gradient at each output node is given by:

978-1-4673-0455-9/12/$31.00 2012 IEEE

154

uh (n) =

xkt (n) if h [1,2,...,2L]

y tf (n) if h [2L +1,2L + 2,...,2L + 2P]

(16)

Let Wkh is a 2L(2L+2P) weight matrix, then the output vector

can be expressed as:

xkt (n )

Wkh (n ) uh (n ))

(17)

The error obtained in each training vector is:

e j (n)

d j ( n ) x tj ( n ) where j [1, 2,..., 2 L]

Application of RTRL algorithm involves primarily the

evaluation of sensitivity parameter; a triply indexed set of
variables pkhj is evaluated as follows [11]:

pkhj (n 1)

f '( xkt (n ))

W ji ( n ) pkhj (n )

kj

In simulation, we have taken four-users four receiving antenna

scenario, and the parameters used in our simulations are
outlined in Table I. In this investigation, the z-domain transfer
function of Gaussian channels associated with all 4- users, and
4-receiving antennas are taken from [10]. Initially, NN models
are trained with a few number of training symbols. The
received symbol vector of SDMA-OFDM system is applied to
trained models. The real and imaginary values corresponding
to detected user symbols of SDMA-OFDM system are taken
from the output of NN models. Average BER performance for
four users case employing the parameters summarized in Table
I is studied.
0

10

uh (n ) (18)

MMSE
GA MBER
WH FNN
RTRL RNN
BP FNN
ML

-1

10

i [1,2,...,2 P ]

Kronecker delta as given by,

kj

-2

0 and kj is termed as
1 for j=k , zero otherwise.

10
Bit Error Rate

pkhj

with an initial condition

The incremental change in connection weights of the RNN

module is determine by the following expression.

-3

10

-4

10

e j (n) pkhj (n)

Wkh (n)

(19)

-5

10

The updated weight in each training step is:

Wkh (n 1) Wkh (n)

15

20

25

30

35

Figure 5. The average BER performance of the four different users in an

SDMA-OFDM system employing parameters as in Table I.

Wkh (n)

V. SIMULATION RESULTS
SIMULATION PARAMETERS

Parameter

10

SNR

Please use automatic hyphenation and check your spelling.

Additionally, be sure your sentences are complete and that
there is continuity within your paragraphs. Check the
numbering of your graphics (figures and tables) and make sure
that all appropriate references are included.

TABLE I.

Description

SDMA OFDM Parameters

Number of active Carriers

128

Guard Interval length

32

Number of OFDM Symbols

1000

Modulation Technique

BPSK

Fig. 5 shows the average BER performance for four

simultaneous users each equipped with a single antenna and
four receiving antennas at base station in an uplink of SDMAOFDM system. It is observed the MMSE MUD gives poor
performance, as the ML MUD is optimal one. The
performance of GA MBER MUD is better than MMSE, but
the performance of NN model based MUDs are better than GA
MBER MUD and is close to that of the theoretical optimal ML
MUD. It is observed that at a BER level of 10-5 around 3 dB
improvement in SNR over GA MUD is noticed in case of FNN
BP MUD.
0

10

MMSE
GA MBER
WH FNN
RTRL RNN
BP FNN

-1

10

-2

10

Number of input elements

Number of output nodes

Number of hidden layers in FNN model

Number of hidden neurons in FNN model

Number of feedback lines in RNN model

Nonlinear function

Bipolar Sigmoid

GA Parameters

As specified in [13]

Bit Error Rate

NN Model parameters

-3

10

-4

10

-5

10

-6

10

1000

2000

3000

4000
5000
6000
Num ber of iterations

7000

8000

9000

10000

Figure 6. The BER performance of user 1 versus complexity of various

MUDs invoked in SDMA-OFDM system at 15 dB SNR.
155

On the other hand, the complexity of various MUD schemes

refers to number of a time the cost function is evaluated. Thus,
the complexity of NN based MUDs can be defined as the
number of times error is calculated. In fig. 6 it is observed that
the BER performance for user 1of four users and four
receiving antennas in SDMA-OFDM system at 15 dB SNR.
From this figure, we can see that the NN model based MUDs
can attain the minimum BER at a low complexity compared to
GA MBER MUD.

Bit Error Rate

10

10

10

10

10

10

-1

10

-2

10

-3

Bit Error rate

10

8 Users
7 Users
6 Users
5 Users
4 Users
3 Users
2 Users
1 User

-4

-5

10

10

15

20
SNR

25

30

35

8 Users
7 Users
6 Users
5 Users
4 Users
3 Users
2 Users
1 User

-1

-2

-4

10

10

10

10

10

15

10

8 Users
7 Users
6 Users
5 Users
4 Users
3 Users
2 Users
1 User

-1

-2

10

-3

-4

10

10

10

-5

10
5

10

15

20
SNR

20
SNR

25

30

35

40

(b)

[3]

-5

40

Bit Error Rate

Bit Error Rate

10

[1]

-3

(a)
10

REFERENCES

[2]
10

10
0

25

30

35

RNN MUD has an edge over than WH FNN in case of rank

deficient scenario. The WH FNN model is able to support
more users but not as efficient performance wise compared to
the proposed BP FNN and RNN models. It was also shown
that all the proposed NN model based MUD outperforms the
existing GA MBER MUD and have low complexity. The
complexity gain of NN Base MUD is observed through less
number of iteration to attain the desired solution. Thus
application of nonlinear MUD models at receivers end in a
SDMA-OFDM system gives a promising solution as the
number of users continues to increase in the present scenario.

40

[4]

8 Users
7 Users
6 Users
5 Users
4 Users
3 Users
2 Users
1 User

-1

-2

[5]
[6]

-3

-4

[7]

-5

10

(c)

15

20
SNR

25

30

35

40

(d)

[8]

Figure 7. The BER performance of user 1, while varying number of users in

SDMA-OFDM system with four receiving antennas. (a) MMSE MUD. (b)
WH FNN MUD. (c) RTRL RNN MUD. (d) BP FNN MUD
[9]

In fig.5 and fig. 6, we have considered the number of users and

number of receiving antennas to be same. Now we have
studied the BER performance by varying number of users
keeping the number of receiving antenna fixed (four in this
case). Fig. 7 shows the BER performance for user 1, when
increasing the number of users in four receiver antenna
scenario. In this observation, the linear MMSE MUD support a
maximum number of users that is equal to number of receiving
antennas and beyond that number of users, its performance
degrades. The non-linear structures perform better than MMSE
MUD by supporting more users than the number of receiving
antennas. The feedback paths in RNN structure and the hidden
layer in FNN structure can offer additional support to MUD in
terms of more users compared to WH FNN model.

[10]

[11]
[12]

[13]

[14]

VI. CONCLUSION
In this paper, we have shown that the NN based models can be
applied in an SDMA-OFDM system for multiuser detection.
The BER performance curves show that NN based MUD has
an edge over than GA-MUD and also closer to the
theoretically optimal ML MUD. Like GA MBER MUD, the
BP FNN based MUD is capable of supporting more users
compared to the number of receiver antennas. Though the
performance of RNN MUD and WH FNN are similar, the
978-1-4673-0455-9/12/$31.00 2012 IEEE

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Building Extraction from Very High Resolution

Multispectral Images using NDVI based
Segmentation and Morphological Operators
Durgesh Singh, Rohit Maurya, Ajay Shankar Shukla, Manish Kumar Sharma and P.R Gupta

Abstract In this paper, we have proposed an approach for

building extraction from very high resolution (VHR)
multispectral images using NDVI (Normalized Difference
Vegetation Index) based segmentation and morphological
operations. This approach uses both spatial and spectral
properties of an image scene for building detection. Spectral
properties are related to NDVI based segmentation and spatial
properties are related to the morphological operations. Normally
an image scene consists of natural region (vegetation and soil)
and manmade regions (buildings and roads). Use of NDVI
(spectral properties) eliminates the chance of shadow being a
building region and other similar regions that are not road like
soil, vegetation etc because shadow is a spatial property and
NDVI is based on spectral property irrespective of brightness in
the image. By using NDVI we can eliminate the natural regions
from the manmade regions because NDVI values of these two
regions differ a lot, so using NDVI as a threshold we can segment
image into two parts one is natural and other is our desired parts
that consists of manmade regions (buildings and roads). After
segmentation here comes the use of spatial property, use of
morphological operation to separate the roads from building
regions on the basis of their spatial property that roads have
elongated and larger area than buildings and mostly building has
the rectangular rooftops. This approach provides very
satisfactory results with very less overhead and time.
KeywordsMorphology.

Building

I.

extraction,

NDVI,

Figure 1 High Resolution Multispectral Image of Buildings

Lots of previous works have been done on building extraction

but their performance differs on the basis of quality of result,
speed and the overhead of data availability. Some of which are
semiautomatic and needs user interaction [10] so based on
previous work our aim is to develop some method that will
overcome the problem and obtain better results. Aytekin et al.
[1] have developed an approach that is based on remotely
sensed image composed of low resolution multi spectral image
and high resolution bands. They have first identified
vegetation area using NDVI then using YIQ color space
shadow area is extracted. By masking this area only manmade
area are left then mean shift algorithm is performed followed
by morphological operation and principal component analysis
to finally extract the building segments. Lie hu et al. [2] has
used the shadow to extract the building on the basis of the
shadow angle with the building and structure of shadow. They
have deduced the fact that the structure of shadow is
somewhat will be similar to building rooftops. Aaron K.
Shackelford et al. [3] has used DMP (Differential
Morphological Profile) to extract the building and shadows
form the satellite image. Where DMP is a multi-scale image
analysis technique where an image profile is constructed
through the use of morphological opening and closing
operation with varying size structuring element. Kannika
Komwong et al. [4] has used supervised classification to
extract the building extraction. Sebastien Lefevre et al. [5] has

Segmentation,

INTRODUCTION

The building extraction has always been a keen interest area

for image processing researchers. Due to recent advances in
high resolution image, multispectral image and aerial images it
has gained more attention. Building extraction is very
important due to its application in disaster management,
military application, urban planning, traffic planning. So the
various semiautomatic and automatic building extraction
methods have been developed trying to automate the whole
building extraction process and to reduce the effort and time
required. But it is very difficult and challenging task due to
complexity of building shapes and the similarity between the
building and other similar area like road that are not building.
Building extraction also depend on the quality of image, quality
of brightness, weather conditions in which image has taken,
thats why it is not possible to obtain 100% results. So by
minimizing the dependency of building extraction methods on
these factors we can achieve better results.
978-1-4673-0455-9/12/$31.00 2012 IEEE

157

A. Segmentation using NDVI

extracted the building segments based on the assumption that

building either appear as a darker or brighter in the image,
using cluster fusion and morphological operation. Z. J. Liu et
al. [7] has used the multi-scale object oriented classification
and probabilistic hough transforms to extract the building. In
the first step multispectral and panchromatic high resolution
image are fused for spatial resolution improvement and color
information enhancement then multi resolution image
segmentation is applied and in the second step probabilistic
Hough transform is perform to extract the buildings. Our aim
is to minimize the overhead [1] and dependency [2] to get
better results. Our approach consists of basically two main
steps first is the segmentation of high resolution multispectral
image using NDVI and the second step is the removal of false
region using morphological operator. Use of NDVI in
multispectral image makes the segmentation independent of
the shadow region because shadow is the spatial property and
NDVI is based on the spectral property so by calculating the
NDVI for vegetation, soil and other region we can eliminate
the area that are not buildings. We dont have to worry about
whether shadow is there or not because if there is shadow on
the ground it will be detected as false region by masking the
soil area. In section II we discuss about the method of building
extraction. After extracting the buildings we evaluate the
result based on various quality factors like correctness and
completeness in the section III.
II.

Normalized difference vegetation indices (NDVI) have been

extensively used for monitoring and detecting vegetation and
land cover change. Plants absorb light energy with the help of
chlorophyll, a green pigment present in leaves in order to
perform photosynthesis. Light is absorbed more in the red and
reflected in near-infrared regions. Vegetation Index (NDVI)
which can be defined as follows:
NDVI = NIR - red / NIR + red

(1)

Where is the spectral reflectance.

The equation produces values ranging from 1 to 1.
Negative values are indicative of clouds, snow, water and
other non-vegetated, non-reflective surfaces, while positive
values denote vegetated or reflective surfaces. Soils which
generally exhibit a near-infrared spectral reflectance somewhat
larger than the red, and thus tend to also generate rather small
positive NDVI values (around 0.3). So the NDVI value for
vegetation is 0.3. [8]
So the basis of NDVI values for soil and vegetation we can
segment the image into the natural region and the manmade
region or we can binarize the image because we are segmenting
the image into two segments.
Input Image

BUILDING EXTRACTION METHOD

Read NIR and Red Bands

Image
Calculate NDVI
NDVI = (NIR Red) / (NIR +
Red)

Segmentation Using
NDVI

Band Threshold
B(x) = 1 if I(x) <= T (0.30)
0 otherwise

Filtering

Morphological Opening
Output segmented
or Binary Image

Extracted
Buildings

Figure 3 Process of Segmentation Using NDVI

Figure 2 Process of Building Extraction

In the first step the near infra red (NIR) and red bands are
read then NDVI value is calculated. In the last step band
threshold is done to remove vegetation and soil area from the
building and similar manmade area.

The process of building extraction consists of three steps as

shown in figure 2. The first step will segment the image into
two parts, manmade region and natural region. In the second
step manmade region is filtered to remove the larger segments
like road that are not buildings. In the third step the
morphological operation is applied on the image that is
obtained from the second step to extract the building based on
the assumption that building has rectangular shape.

B(x) =

1 if I(x) <= T (0.30)

0 otherwise

158

(2)

A.

B.

C.

D.

Figure 4 (A) NDVI classification (B) Band Threshold (C) Extracted Building (D) Building boundaries

Where B is output binary image. I is the input image and

T is the NDVI threshold which value is 0.30 (Manmade area
false below this value).

We have used the erosion to find out the rectangular

shape, but also shrink the buildings. So we have used dilation
in next step to restore the shape of buildings.

B. Filtering

Final output is shown in Figure 4(C).

In a particular scale image, the small isolated region

should be affirmed as non-building. Therefore, after the
image segmentation, use mathematical morphology filter
with the right parameter after image to remove these isolated
points. The area of the building should have a reasonable
scale. The region whose area is too big is not building
certainly.

III.

The method for evaluating the results of building extraction

can be done by completeness, correctness and quality
measure evaluation. The quality of output depends on how
much part of our building region we have extracted.

Filtering is used to separate the building area from other

area.
MinThresh < Buildings < MaxThresh

Completeness, Correctness and Quality

(3)
The accuracy of building extraction technique can be
determined by measuring the completeness and correctness.
In order to evaluate the results the quality measures
completeness, correctness and quality (Heipke et al., 1997)
[9] are examined. The classification of building extraction is
done as true positive (TP), false negative (FN), or false
positive (FP). Where true positive (TP) means the number of
buildings among the extracted building that are actually
buildings. False positives (FP) means that the number of
buildings among the extracted results that are not buildings
and falsely extracted as building. False negative (FN) means
no of building that are actually building but are not extracted
and left as non-building area.

Here we used the concept that building cannot be

smaller than a minimum threshold because building has
some minimum predictable size, below which it may be
some vehicle or noise.
MaxThresh is used to remove the area like river or road
because building has some maximum predictable size and
cannot be larger than roads or river.
So in filtering process the isolated region which has area
greater than minimum threshold and lesser than the
maximum threshold is extracted and other false area is
filtered.
C. Morphological Opening

Completeness =

Based on the assumption that building has usually

rectangular shape the morphological opening is performed
on the filtered image in order to extract the buildings. [6]

Number of extracted buildings that are

actually building
Total number of building in a scene

Morphological opening is defined as a combination of

erosion and dilatation:
O (I) = (I S) S

RESULT EVALUATION

(4)

TP
TP + FN

(5)

Completeness [0; 1]

Where I = input image

Completeness tells us how complete our approach is. It
means that how many buildings out of the actual no of the
buildings have been extracted.

S = Structuring element of rectangle type

O = Output Image

159

Correctness

= Number of extracted buildings that are

actually building
Total number of extracted buildings

TP
TP + FP

IV.

CONCLUSION

As we see in the table 1 the building extraction method has

very good results in terms of completeness, correctness and
quality. This method provides very satisfactory results but
building region with very complex shape needs to research
further.

(6)

Correctness [0; 1]
Correctness tells us how correct our approach is or what is
the chance of being a building of each building that is being
extracted.
Quality =
Number of extracted buildings that are actually
building
No of building extracted in output

TP
TP +FP+ FN

(7)

Quality [0; 1]

Quality tells us how good approach is. It is the measure of

both completeness and correctness the more complete and
correct approach the more the quality.

Figure 6 Output 2

REFERENCES

Building extraction was performed on landsat data and

results are given in the following table.

[1]

TABLE 1: RESULTS

TP
106
206

FP
9
5

FN
18
25

Completeness
0.92
0.89

Correctness
0.85
0.97

Quality
0.79
0.87

[2]

[3]

The output the results are shown in the figure 5 and figure 6
respectively.
[4]

[5]

[6]

[7]

[8]

Figure 5 Output 1

160

Aytekin, O.; Ulusoy, I.; Erener, A.; Duzgun, H.S.B.; , "Automatic and
unsupervised building extraction in complex urban environments
from multi spectral satellite imagery," Recent Advances in Space
Technologies, 2009. RAST '09. 4th International Conference on , vol.,
no., pp.287-291, 11-13 June 2009.
Hu, Lei; Zheng, Jin; Gao, Feng; , "A building extraction method
using shadow in high resolution multispectral images," Geoscience
and Remote Sensing Symposium (IGARSS), 2011 IEEE International
, vol., no., pp.1862-1865, 24-29 July 2011.
Shackelford, A.K.; Davis, C.H.; Xiangyun Wang; , "Automated 2-D
building footprint extraction from high-resolution satellite
multispectral imagery," Geoscience and Remote Sensing Symposium,
2004. IGARSS '04. Proceedings. 2004 IEEE International , vol.3, no.,
pp. 1996- 1999 vol.3, 20-24 Sept. 2004.
Komwong, K.; Simking, R.; Nuangjumnong, P.; , "Automatic 2D
Building Extraction Using High Resolution Image in Bangpli District,
Samut Prakan Province, Thailand," Computational Science and Its
Applications (ICCSA), 2010 International Conference on , vol., no.,
pp.277-280, 23-26 March 2010.
Lefevre, S.; Weber, J.; , "Automatic Building Extraction in VHR
Images Using Advanced Morphological Operators," Urban Remote
Sensing Joint Event, 2007 , vol., no., pp.1-5, 11-13 April 2007.
Acar, U.; Bayram, B.; , "Building extraction with morphology,"
Recent Advances in Space Technologies, 2009. RAST '09. 4th
International Conference on , vol., no., pp.33-38, 11-13 June 2009.
Liu, Z.J.; Wang, J.; Liu, W.P.; , "Building extraction from high
resolution imagery based on multi-scale object oriented classification
and probabilistic Hough transform," Geoscience and Remote Sensing
Symposium, 2005. IGARSS '05. Proceedings. 2005 IEEE
International , vol.4, no., pp. 2250- 2253, 25-29 July 2005.
Richard Tran Mills, Forrest M. Hoffman, Jitendra Kumar, William W.
Hargrove,Cluster Analysis-Based Approaches for Geospatiotemporal
DataMining of Massive Data Sets for Identification of Forest
Threats,International Conference on Computational Science, ICCS
2011,Procedia Computer Science 4 (2011) 16121621.

[9]

C. Heipke, H. Mayer, C. Wiedemann, and O. Jamet. Evaluation of

automatic road extraction. In International Archives of
Photogrammetry and Remote Sensing, volume 323-4W2, pages 151160, 1997.
[10] Jiang, N.; Zhang, J.X.; Li, H.T.; Lin, X.G.; , "Semi-automatic
building extraction from high resolution imagery based on
segmentation," Earth Observation and Remote Sensing Applications,
2008. EORSA 2008. International Workshop on , vol., no., pp.1-5,
June 30 2008-July 2 2008.

161

New Approaches for Harmonics Reduction in Solar

Inverters
Mohammad Ahmad and B. H. Khan, Senior Member, IEEE

Index TermsH-Bridge inverter, Level Module (LM), multilevel

inverter, Power Quality, Total Harmonic Distortion (THD).

DC
Source

S4

S3

L
O
A
D

978-1-4673-0455-9/12/$31.00 2012 IEEE

162

S1

S2
S4
S2

S1

S2
S4

S4

S1

S3

DC
Source

S2

DC
Source

S4

Mohammad Ahmad is M. Tech Student in Department of Electrical

Engineering of Aligarh Muslim University AMU, Aligarh, INDIA 202002
(Email ID: ahmadbtech@gmail.com).
B. H. Khan is Professor in Department of Electrical Engineering, of Aligarh
Muslim University (AMU) Aligarh, INDIA 202002.

DC
Source

S3

A. Cascaded H Bridge Inverter

Conventional cascaded multilevel inverter is one of the most
important topologies in the family of multilevel and multi-pulse
inverters. The cascade topology allows the use of several levels
of DC voltages to synthesize a desired AC voltage. The DC
levels are considered to be identical since all of them are fuel
cells or photovoltaic, batteries, etc. H-Bridge Inverter consists of
four switches, a dc source and a load (Isolated or Grid) across
the two arm of H-Bridge. Each switch conducts for a period of
180. The gate pulses for diagonal switches are identical.
-----------------------------------------------------------------------------

S3

Fig. 1 Single Stage H-Bridge Inverter

S1

I. INTRODUCTION
Rising fuel costs, increasing concerns for global climate change
and a growing worldwide demand for electricity has led to
global effort towards increasing use of renewable energy
sources such as solar, wind, biomass etc. In case of solar PV the
energy is harnessed in dc form. This dc power is converted into
ac form and then fed to the grid or used in isolated load. Various
methods are available for dc to ac conversion. Multilevel
Inverters have gained popularity in recent times. The power
quality gets increasingly better with the no. of levels in the
output wave.
Two approaches for dc to ac conversion are discussed
in this paper.

S2

S1

A single stage H-Bridge Inverter is shown in Fig. 1. A cascaded

multi-level inverter consists of a number of H-Bridge inverter
units with separate dc source for each unit and it is connected in
cascade or series as shown in Fig. 2.

S3

Abstract This paper analyzes and compares two approaches for

dc to ac power conversion. First approach uses cascaded H-Bridge
Inverter and second uses new Multi-level Scheme having Level
Modules and H-Bridge. The simulation is done in SIMULINK/
MATLAB Software. The Total Harmonic Distortion in output load
voltage, active Power and reactive Power produced by both the
approaches are compared. It is shown that THD produced in
second scheme is better upto a certain stages of the first scheme.
And the available active and reactive powers are larger for the
second scheme.

DC
Source

L
O
A
D

-50
0.02

0.025

0.03

0.035

0.04

0.045

0.05

0.055

0.06

0.025

0.03

0.035

0.04
Time

0.045

0.05

0.055

0.06

10
5
0
-5
-10
0.02

Fig. 4 8 level output voltage and Load current waveforms for V=49 V
TABLE I
SIMULATION RESULTS FOR SINGLE STAGE, TWO STAGE AND THREE
STAGE MULTI LEVEL INVERTER
Active
Reactive
THD
1
2
3
S.No.
Power P
Power Q
(%)
()
()
()
(W)
(VAr)

15
Load Voltage (V)

50
Load Voltage (V)

The THD, Active Power, Reactive Power are calculated for

single stage as well as multi stage H-Bridge inverter.
SIMULINK/MATLAB software is used for simulation of the
circuit. The variation of delay angles result in variation of
THD in load voltage. For a particular delay angle THD is found
to be minimum. Further THD reduction is achieved by
increasing the stages of the converter. For single stage,
minimum THD of 48.47% is found for =30. While for second
stage minimum THD is 29.49% for 1=45, 2=90.
If the no. of stages of the converter is increased, the
level of the output wave is also increased. In this case, the no. of
level is one higher than the no. of stages.
For single stage, output has two levels. For two stages,
output has 3 levels and so on. Fig. 3 and Fig. 4 show 3 level and
8 level output voltage waves and load currents respectively. Let
the input voltage for single stage V=7 Volt, for two stage V=14
Volt and so on. The simulation is done upto 8 stages and the
THD obtained in voltage is continuously decreasing with the
stages.
The simulation is done for a fixed RL load having R=5 and
L=5mH.

17.62% is found to be minimum for 1=30, 2=60, 3=90,

4=120. For 5 Stage inverter THD of 14.99% is found to be
minimum for 1=0, 2=25, 3=50, 4=75, 5=100.

Load Current (A)

Fig. 2 Cascaded Multilevel H-Bridge Inverter

10
5
0
-5

Single
Stage

-10
-15
0.02

0.025

0.03

0.035

0.04

0.045

0.05

0.055

0.06

7.2

2.26

48.77

30

7.2

2.27

48.47

30

60

26.9

8.46

32.14

45

90

24.57

7.73

29.49

60

120

21.59

6.8

31.57

40

80

46.19

14.52

22.2

25

50

75

57.63

4.38

24.4

30

60

90

53.7

16.9

22.15

V=7V

Load Current (A)

3
2

Two
Stage

1
0

V=14V

-1
-2
-3
0.02

0.025

0.03

0.035

0.04
Time

0.045

0.05

0.055

0.06

Fig. 3 Three level output voltage and Load current waveforms

for V=14 Volt

Three
Stage

For a particular stage number, the variation in delay angles

results in variation of THD, Active Power and Reactive power.
For a particular delay angle combination THD is found to be
minimum while P and Q are maximum at some other
combinations of delay angles. Thus only one of the three
performances may be optimized at a time. Table I, II and III,
shows the variation of THD in voltage, P & Q with delay angles.
1 is the delay angle for first stage, 2 for second stage, 3 for
third stage and so on.
For 3 Stage inverter THD of 22.15% is found to be minimum
for 1=30, 2=60, 3=90. For 4 Stage inverter THD of

V=21V

For 6 Stage inverter THD of 12.34% is found to be minimum

for 1=20, 2=40, 3=60, 4=80, 5=100, 6=120. For 7
Stage inverter THD of 12.14% is found to be minimum for
1=0, 2=15, 3=30, 4=45, 5=60, 6=75, 7=90. For 8
Stage inverter THD of 9.6% is found to be minimum for,
1=15, 2=30, 3=45, 4=60, 5=75, 6=90, 7=105,
8=120.

163

The level of output voltage shape depends on the level module

used in the circuit.
Output Level
n = 2(m+1) 1

TABLE II
SIMULATION RESULTS FOR 4 STAGE, 5 STAGE AND 6 STAGE MULTI
LEVEL INVERTER
S.No

()

()

()

()

()

()

4
Stage

30

60

V=28V

25

30

1
5
Stage
V=35V

P
(W)

Q
(VAr)

THD
(%)

90

80.5

25.36

17.76

50

75

90.0

28.3

17.8

60

90

120

805

25.36

17.62

20

40

60

80

139.7

44

15.8

20

40

60

90

120

152.8

28.5

16.5

25

50

75

100

120.8

38.0

14.99

25

50

75

100

120

124.6

39.2

15.09

15

30

45

60

75

210

66.2

16.5

6
Stage

20

40

60

80

100

178.7

56.2

12.82

V=42V

25

50

75

100

125

143.3

45

16.3

20

40

60

80

100

120

178.8

56.2

12.34

where m is the no. of Level Module used.

The no. of switches used in the circuit
r = 2m+4
The input dc voltage varies as: Vk = 2(k1) Vd
Where k =1, 2, 3, m.

B. New Multilevel Approach

The proposed multilevel inverter circuit consists of Level
Module, H-Bridge inverter, input dc voltage and RL load as
shown in Fig. 5. This load may be an isolated RL type or a grid.

Fig. 5 Proposed Multilevel circuit

TABLE III
SIMULATION RESULTS FOR 7 STAGE AND 8 STAGE MULTI LEVEL INVERTER

7 Stage
V=49V

8 Stage

P (W)

Q (VAr)

THD in
Voltage
(%)

120

210.4

66.2

13.2

75

90

269.2

51

12.85

75

90

105

198.7

63.6

12.82

50

70

85

100

242

76

12.27

30

45

60

75

90

105

315.8

99.3

10.26

30

45

60

75

90

105

120

454.6

119.2

9.6

20

40

60

80

100

120

140

231

72.6

15.4

10

30

40

50

60

80

90

563

197

14.02

10

20

30

50

60

80

90

100

604.8

206.9

11.9

S. No

()

()

()

()

()

()

()

()

20

40

60

80

100

15

30

45

60

15

30

45

60

15

30

15

15

3
V=56V

164

50

2
1

Load Voltage (V)

Gate pulse for Qo

Fig. 6 Matlab Model for the proposed circuit

0
-1

0.002

0.004

0.006

0.008

0.01

0.012

0.014

0.016

0.018

0.02

-50

-1

0.005

0.01

0.015

0.02

0.025

0.03

0.035

0.04

0.005

0.01

0.015

0.02
Time

0.025

0.03

0.035

0.04

10
0

0.002

0.004

0.006

0.008

0.01

0.012

0.014

0.016

0.018

0.02

2
Pulse for Q2

Load Current (A)

Pulse for Q1

1
0
-1

0.002

0.004

0.006

0.008

0.01
Time

0.012

0.014

0.016

0.018

0.02

5
0
-5
-10

Fig. 7 Gate pulses for Qo, Q1 and Q2 respectively

In the proposed circuit, 3 Level modules, 1 H-Bridge inverter,

and 3 dc voltage sources of Vd, 2Vd and 4Vd are used. Output
wave has 15 level and the total no. of switches used are 10.
Total dc voltage used in the circuit is 7Vd. The gate pulse for
first LM switch Qo is a SPWM pulse having 7 pulse in each half
cycle. To find the gate pulse for second LM switch Q 1, this Qo is
given to the clock of a negative edge triggered JK flip flop with
J=K=1. Further this Q1 is given to the clock of another JK flip
flop to get gate pulse for third LM switch Q2. The gate pulses
for Qo, Q1 and Q2 are shown in Figure 7.

Fig. 8 15 level output voltage wave and load current

The variation of dc voltage Vd results in the variation of THD, P

and Q for a constant load R=5 and L=5mH. The simulation is
done in SIMULINK/MATLAB software. The model of the
circuit in MATLAB is shown in Fig. 6.
The 15 level output voltage wave and load current is shown in
Fig.8.
When the dc voltage Vd is varied, the Active Power and
Reactive Power changes while the THD remains the same as the
THD depends only on the shape of the wave. If the Vd is
increased from 1V to 8V, P will increase from 3.72 W to

165

238.2W, Q will increase from 1.17 VAr to 74.8 VAr while the
THD remains constant as 13.49% as shown in TABLE IV.
TABLE IV
SIMULATION RESULTS FOR PROPOSED MULTILEVEL INVERTER

S. No.

Vd
(Volt)

Total DC
Input
Voltage
(Volt)

Active
Power
P (W)

Reactive
Power Q
(VAr)

THD
(%)

3.72

1.17

13.49

14

14.9

4.68

13.49

21

33.5

10.53

13.49

28

59.5

18.7

13.49

35

93

29.2

13.49

42

134

42.1

13.49

49

182.4

57.3

13.49

56

238.2

74.8

13.49

II. COMPARISION
The THD in output voltage obtained in second scheme is
13.49% while for cascaded H-Bridge inverter the minimum
THD found upto 5 stages is 14.99%. This shows that if the
stages of the converter in first scheme (Cascaded H-Bridge) is 5
or less, the THD will be more i.e. the power quality will be poor
as compare to second scheme. Also the switches used and the
output level in first scheme having 5 stages are 20 and 6
respectively. While the switches used and output level in second
scheme are 10 and 15 respectively.
The variation of THD with no. of stages is shown in
Figure 9. For the case of single unit and upto cascade connection
of 5 units, the second scheme is seen to offer less THD. If the
stages are increased beyond 5, the THD will be better for first
scheme.
This paper shows only the comparison of two schemes
without the use of filter. The THD obtained in output load
voltage may always be reduced below 5% by using filter in both
schemes. In first scheme, for 8 stage converter, the THD in
voltage is found to be 9.6%. However, the cost of this scheme
becomes very large as compare to second scheme due to large
no. of switches used.
Active power and reactive power of first scheme are
greater for the same input dc voltage and same load. P and Q
increases as the total input dc voltage increases. The results
show that for 5 stages converter having total dc input voltage as
35 Volt, active power and reactive power found in first scheme
are 120.8W and 38.0VAr while in second scheme, these values
are 93W and 29.2VAr respectively.
III. CONCLUSION
In this paper, THD in load voltage, Active Power and Reactive
Power are evaluated for the two schemes using SIMULINK /
MATLAB software and then compared for the same dc input
voltage and same RL load without using the filter. In both
schemes, THD obtained in load voltage may always be reduced
below 5% by the use of filter.
The THD is better as well as cost is less for the second
scheme. This means that if the Solar Panels having same power
rating and same characteristics are connected in both the
scheme, the Power Quality will be better and cost is less for
second scheme. Active Power and Reactive Power are more for
cascaded H-Bridge Inverter as compare to new multilevel
scheme.
REFERENCES
[1]

No. of Stages

[2]

Fig. 9 THD Vs DC Input Voltage (No. of stages) for Cascaded H-Bridge and
New Proposed Multilevel Schemes.

166

E. Beser, S. Camur, B. Arifoglu, E. Kandemir Beser, Design and

application of a novel structure and topology for multilevel inverter, 2008
International Symposium On Power Electronics, Electrical Drives,
Automation and Motion, Vol.1-3, pp. 969974, Jun. 2008.
E. Kandemir Beser, B. Arifoglu, S. Camur and E Beser, Design and
Application of a Single Phase Multilevel Inverter Suitable for using as a
Voltage Harmonic Source, Journal of Power Electronics, Vol. 10, No.2,
March 2010.

[3]

[4]

[5]

[6]

[7]

[8]

E. Beser, S. Camur, B. Arifoglu, E. Kandemir Beser, A grid connected

photovoltaic power conversion system with single phase multilevel
inverter, Solar Energy 84 (2010), pp. 2056-2067.
Abu Tariq, Mohammed Aslam Husain, Mohammad Ahmad and Mohd.
Tariq, Simulation and study of a grid connected Multilevel Converter
(MLC) with varying DC input, IEEE Conference on Environment and
Electrical Energy International Conference EEEIC 2011, Italy, Rome, May
2011.
J. Rodriguez, J.-S. Lai, and F. Z. Peng, Multilevel inverters: A survey of
topologies, controls and applications, IEEE Trans. Ind. Electron., Vol. 49,
No. 4, pp. 724738, Aug. 2002.
G. Mahesh, Manivanna Kumar and S. Rama Reddy, Simulation and
Experimental Results of 7-Level Inverter System, Research Journal of
Applied Sciences, Engineering and Technology,pp. 88-95, 2011.
Jagdish Kumar, Biswarup Das and Pramod Agarwal, Harmonic
Reduction Technique for a Cascade Multilevel Inverter, International
Journal of Recent Trends in Engineering, Vol 1, No. 3, May 2009
http://www.mathworks.com.

167

Resolving the Menace of Spyware through

Implementations in Application Layer and Network
Layer
Abhay Mittal
Abstract-- Spyware, a potentially unwanted program (PUP),
monitors the online activity of the users and introduces serious
privacy disclosures and potential security breach to the systems.
Various measures are adopted to counteract it and presently we
hugely rely on the various antispyware softwares. However, the
existing spyware tools are stateless because if any new system is
added to a network, the system is made to have its own
antispyware software methods in order to safeguard itself. This
paper thus proposes a new technique wherein the antispyware
software is done away with and in place we utilise the
fundamentals of the network layer and the application layer to
eliminate the spyware. The technique scans the various outgoing
HTTP requests at the browser itself and then proposes a new
addendum at both the DNS and the network layer in order to
detect the presence of spyware and filter off the potentially
unwanted program.
Index Terms-- Spyware, NETSPY, Detector bit, DNS message,
Time to live field.

I. INTRODUCTION
Spyware is a type of potentially unwanted program (PUP)
that monitors and steals user information and jeopardises
system security [1]. It is a class of malware that accesses user
information without their permission. Moreover, it degrades
system performance and affects system dependability. Popular
examples of spyware include keyloggers, programs that
monitor web browsing activities and Trojans that download
and install other types of malware. Most spyware masquerade
themselves as programs that provide useful functionality, such
as browser plug-ins and extensions and compromise the
security of the unsuspecting individuals who download this
illicit spyware unknowingly. A recent study observed an
overall average of 362 Web malware encounters per month
during 2011 [6] while another accounted spyware for 100% of
all infections for Android devices [7].
A spyware, in essence, downloads onto a host computer
unknowingly and starts scanning the user activities. It then
starts sending the requisite data back to some local host server
and thus breaches the security of the system. Regardless of the

Abhay Mittal is with the Department of Electronics and Communication

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: mailingabhaymittal@gmail.com).

various infecting methods, the spyware possesses certain

system interfaces to acquire a long term residence in
computers. In Windows operating system these are called
Auto-Start Extensibility Points (ASEP) [2]. Because of this
surreptitious snooping behaviour of the spyware and reporting
back to a remote local host, the detection of spyware becomes
really challenging. However, the term spyware should not be
confused with the term virus as it does not self replicate.
The spyware detecting techniques fall under two main
categories- host based detection and network based detection.
Host based detectors work much like the simple virus
scanners wherein they match the signatures of the various
spywares against those that are present on their own database.
On the other hand, network based detectors employ
networking techniques in order to flag off the very existence
of spywares. They monitor network traffic and then
judiciously segregate the spywares from the useful data.
This paper focuses on the network based detection of
spywares and utilises the concept of Netspy [3], a type of
network based intrusion detection mechanism and then goes
on resolving the issue of spyware without the involvement of
processes that are generally carried out at the host computer
by the various antispyware tools. The key idea involved
here is that by means of Netspy, when a certain spyware
definition has been located, we can then transfer this
information back to the default router of that link. There, at
the router itself, this information may be stored within a
regular network layer datagram. Thus, when the default router
is ready to forward the packet, by just examining one of the
fields it may determine whether the packet is to be outsourced
or not.
II. DETECTING AND FILTERING OF THE SPYWARE
Netspy, a network based intrusion detection scheme(NIDS)
is a handy tool as far as segregating spywares are concerned at
the application layer of an individual host computer. This
primarily has two goals: (i) to automatically detect suspicious
malware activity and (ii) generate NIDS signatures [3].
This software may often be accessed as a plug-in with the
various internet browsers. Suppose, if a user wants to visit the
uniform resource locator (URL) www.google.com. On a clean
system, this would ordinarily generate two requests as shown
in Figure 1. However, with an infected spyware the same
thing might generate more than one request as shown in
Figure 1. Here, there are two sets of requests that are
generated. One set of requests correspond to a clean set of
URLs while the other set reflects those URLs that are infected

978-1-4673-0455-9/12/$31.00 2012 IEEE

168

with spyware. From Figure 1 it is inferred that the top two

requests are generated when the system is not infected by a
spyware. However, in case the system is infected by a
spyware, additional URLs are generated as well. To
differentiate the clean and the infected URLs, the infected
URLs have been appended with the original URL as
highlighted in Figure 1[3].

Destination
clean

www.google.com
www.google.com

HTTP request
GET /
GET/intl/en/images/logo.gif

data.browseraccelerator.com

GET/data/track.aspx?...&theurl
=http:// www.google.com

client.browseraccelerator.com

four requests destined to this

host are omitted for brevity

Z field is conventionally set to 0. In case, spyware is not

detected the Z field is set to 1. This detector bit(in the form of
Z field) just buffers the knowledge about the veracity of the
spyware from the browser to the DNS and then back to the
browser itself as in the return DNS message the Domain
Name Server just copies back this bit in the detector field.
In particular, we consider A as a set of inputs such that it
contains {a1,a2,a3,.......an} where ai (i=1,2,3,.....n) be the URLs
under observation and another set D such that it contains
{d1,d2,d3,......dn} where di (i=1,2,3,.....n) be the DNS request
messages. Now the proposal tends to scan the input set A, and
in conjugation with the set D tends to provide a
comprehensive view of the entire process of modifying the
detector bit

Figure 1: Making distinction between clean and infected addresses

Subsequently, when the Internet protocol (IP) address of a

certain URL is sought, the browser extracts the host name
from the respective URL (shown in Figure 2) and sends it to
the Domain Name Server (DNS). At the DNS itself, the host
name is mapped onto the corresponding IP address. Now if
the remaining part of the URL is considered as well with the
earlier part which only sufficed in extracting out the host
name, we can easily try and get a grip on the existing spyware
differentiation as meted out by the NETSPY. The primary
implementation of the proposal takes its first step at this
juncture. The browser now takes on a roller coaster ride to
check for the entire URL apart from the extracted host name
about the whereabouts of an infected URL. It runs down a
searching algorithm much like it did while extracting the host
name. The browser now searches for the appended query
Figure 3: An extended version of the DNS message format
Host name extracted
1 1 1 1 1 1
0 1 2 3 4 5 6 7 8 9 0 1 2 3 4 5
+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+
|
ID
|
+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+
|QR|
Opcode |AA|TC|RD|RA|
Z
|
RCODE
|
+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+
|
QDCOUNT
|
+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+
|
ANCOUNT
|
+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+
|
NSCOUNT
|
+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+
|
ARCOUNT
|
+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+--+

http://www.databrowseraccelerator.com/GET/data/track
.aspx?......&theurl=http://www.google.com
Figure 2: Schematically extracting the host name

labelled as &theurl=http://www.google.com (in this case as

mentioned in Figure 1, it can otherwise take on a general URL
labelled as &theurl=http://www.******.com). In case it
detects such a presence, the browser now intimates such a
detection to the DNS and may now modify a field in the DNS
message format labelled as the detector bit as shown in Figure
3. (Reference [5] shows a similar figure without the additional
mention of the detector bit). The format for the DNS header
section is shown in Figure 4 [8]. The detector bit may be
incorporated into the Z field as shown in Figure 4. The Z field
is conventionally reserved for future purposes and is always
kept 0. So now when the presence of a spyware is known, the

Figure 4: DNS header section format

So, now there be

C(A)={<a1,d1>,<a2,d2>,.......,<an,dn>}
signifying the set relationship of each input with its
corresponding DNS message. The proposal now tends to

169

verify each of the input elements of A and checks for the

appended query &theurl=http://www.*******.com. The
proposal now generates an output set DR such that it contains
{dr1,dr2,dr3,.........,drn} where dri (i=1,2,3,......n) be the DNS
messages. This set DR is now equipped with the detector bit
which identifies a clean or an infected URL.
The set DR is now returned back to the browser which
now sends it to the DNS. A schematic flow sheet of the entire
algorithm is as shown in Figure 5. The web browser is now
equipped with a thorough understanding of the URL its user
wants to visit. Firstly, by means of the DNS, it knows the
destination IP address and secondly with the detector bit, it is
well acquainted of the fact whether the desired URL is
spyware infected or not. The presence of 1 in the detector bit
implies clean URL while a corresponding 0 signifies an
infected URL. It thus now remains an uphill task for the
browser and its lower layer protocols to filter off this
unwanted URL. Now when the application layer pushes down
the data packet through a particular socket, it transports this
knowledge of an infected URL onto the transport layer itself.
This very knowledge may again be incorporated in yet another
header field as schematically shown in Figure 6 (Reference
[5] shows a similar diagram without mentioning the detector
bit) which depicts a transport layer segment. Thus the
application layer which originally possessed the esoteric
knowledge about the spyware whereabouts successfully hands
it down to its lower layers. Once there, the transport layer
segments need to be converted into the network layer
datagrams for their host to host delivery.

the data segments, the network layer now checks for the latter
as well. The detector bit may be judiciously extracted from the
header fields of the transport layer segment and can be
checked for a clean 1 or an infectious 0. In case of the former,
the data is encapsulated as such with the time to live field of
the IPv4 datagram or the hop count field of the IPv6 datagram
being set in the conventional manner. However, if the result of
this verification of the detector bit turns out to be zero, the
data segment is still encapsulated as in the previous case with
an essential difference. In this scenario, the time to live field
of the IPv4 datagram and the hop count field of the IPv6
datagram is set to zero. Thus when the data packets are
forwarded to the default router, the router in all its essentiality
first checks for the time to live or hop count of the datagram.
With a clean URL, the required field is conventionally set
thereby facilitating a normal route for the data packet.
However, with an infected URL, the corresponding time to
live or hop count field is set to zero. The router thus discards
the data packet destined for a spyware server thereby saving
the end user from the hazardous snoopy behaviour of the
troublesome PUP.

Input:

A: the set of URL to be verified

{a1,a2,a3.......an};
C(A)={<ai,di>i=1,2,3,......n}
Output: DR: the set of DNS request
messages with the detector bit.
1 C(A)={<ai,di>i=1,2,3,......n}// set of URLs
and the DNS messages under verification;
foreach(ai) do
2 if(any part of ai ==(&theurl=http://www.******.com))
then
set the detector bit =0
else
set the detector bit=1

Figure 6: Source and destination port numbers along with the detector bit.

III. EVALUATION
A. Performance

3 Modify the detector bit to the set D where D

contains {d1,d2,d3,.........dn} such that di is DNS
message.
4 Return the new modified set of D, the set DR.
Figure 5: Algorithm for the appending of the detector bit

Conventionally, the network layer encapsulates the segments

received from the transport layer, adds some of its own header
fields and makes it ready for the forwarding process.
However, with the detector bit at hand, while encapsulating

170

The subtlety of this proposal lies in the faithful

generation of the many spyware signatures by the
NETSPY. The faithful generation of the spyware signatures
can only be made if the NETSPY constantly updates its
database knowledge stored in some remote server regarding
the verification of spywares. There are a few reasons as to
why this algorithm is implemented at the browser, the
result being sent back to the DNS and again retrieved at the
browser itself. Firstly, it is desired that the DNS is not
loaded up with any authentication or verification process as
the overall need is to determine the IP address as soon as

possible. Secondly, the process of not sending the detector

bit for an URL to the DNS and storing it at the browser
itself would have inordinately invited for greater
complexities. In face of a large number of requests flowing
out of the browser, it would have been all the more
cumbersome to involve some memory storage technique.
Thirdly, with the information being sent to the DNS and
again recovered back at the browser, the application layer
keeps track of the detector bit against the specified
destination IP address, a task which the browser would
otherwise have to perform.
Furthermore, starting from the application layer and
following a top down approach, all the layers up to the
network layer are acquainted with the bit value of the
detector bit. Thus, it makes it all the more easy for future
works to nip the menace even at a much earlier level.
Moreover, the final process of dropping out the packet
corresponding to the infected URL could have only been
performed at the router. With the involvement of the time
to live field of the IP layer datagram, the router is saved
from the otherwise authentication and verification
procedures in order to relieve the network of such a packet.
B. Challenges
The advent of any proposal is fraught with a large
number of challenges. This one is no exception. The first
and the foremost challenge is to provide the NETSPY as a
proper plug-in to the various browsers. The plug-in itself
needs to be of small size, in terms of memory bandwidth,
and must judiciously discharge its functions of gathering
information about the spywares. The second gruelling
challenge is the maintenance of the large and ever growing
database of NETSPY. However, this issue may be tackled
to a certain level by the use of cloud computing. Moreover,
another question arises over the veracity of the detector bit
transported from the browser to the DNS. There is a
probability that the detector bit while being transported
from and back to the browser might undergo corruption due
to the various channel noises. Thus, there is a need for the
error checking of this detector bit, in wake of which the
entire mechanism faces a death blow. Also, the issue of
time complexity must be considered while implementing
the proposal. Inadvertently, while the browser checks for
the spyware and allocates the detector bit, some time is
utilised. Moreover, while the transport layer segments are
being encapsulated and the time to live header is being
marked, certain time period is exhausted. Efforts must be
made to minimise this time interval in order to achieve a
greater throughput of the entire networking service. To a
greater extent, one of the key issues that continue to
challenge the proposal is the standardisation of the existing
protocols and their message/segment/packet formats. The
proposal seeks to modify the present attitude and thus in
turn demands a complete overhaul of the system. This
necessity may somehow seem a herculean task given the

number of Internet users raking in thousands of millions or

perhaps even more.
C. Evading
In addition to the various merits of the
aforementioned proposal, the same is subjected to certain
limitations. These may be numerated as below:
(a) If the spyware is time triggered, i.e., if it sends back its
monitoring activity back to the remote server in certain
intervals of time, and the Netspy is not activated at this
time, then that spyware activity is deemed as
benign[3].
(b) If there is a physical connection between the attacker
and the destination address, the attacker may then
intercept the data flowing and in this case the whole
detection scheme fails [3]. However, such a probability
is very low.
(c) Moreover, in case the detector bit is subjected to noise
and undergoes change, the proposed system finds it
difficult to meet out the required specification.
(d) In addition, as the huge database of the NETSPY may
be handled by cloud computing measures which are
themselves subjected to critical security issues [4],
pilfering of the database may take place.
IV. CONCLUSIONS
In the above sections, a revised approach towards tackling
the issue of spyware has been proposed. It makes use of the
already existing NETSPY and then goes on building a new
path to overcome the global concern of spyware. The
technique makes certain modifications in both the application
layer and the network layer thereby placing the onus of
filtering off the spyware on the computer network itself. In all
this process, the end user is saved the cumbersome task of
personally worrying about a suitable antispyware system
which might enhance the host security.
REFERENCES
[1]

[2]

[3]

[4]
[5]

[6]
[7]

[8]

171

Ming-Wei-Hu, Yennun Huang, Yi-Min Wang, Sy-Yen Kuo, A

Stateful Approach to Spyware Detection and Removal, 12th Pacific
RIM International Symposium on Dependable Computing, 2006.
Wang, Y. M. Roussev, R. Verbowski, C. , Johnson, A., Wu, M. W.,
Huang, Y. N. and Kuo, S.Y. Gatekeeper, Monitoring Auto Start
Extensibility Points(ASEPs) for Spyware Management
in
proceedings of the Usenix 18 th
Large Installation System
Administrations(LISA 04).
Hao Wang, Somesh Jha, Vinod Ganapathy, Netspy: Automatic
Generation of Spyware Signatures for NIDS, proceeded at the 22nd
Annual Computer Security Applications Conference(ACSAC 06).
Farzad Sabahi, Cloud Computing Security Threats and Responses.
James F. Kurose, Keith W. Ross, Computer Networking-A top down
approach featuring the Internet, 3rd ed., Pearson Education, 2009 pp
160-217.
CISCO 4Q11 Global Threat Report, 2012.
Malicious Mobile Threats Report 2010/2011, An objective briefing on
the Current Mobile Threat Landscape Based on Juniper Networks
Global Threat Center Research, 2011.
RFC 1035, Internet Engineering Task Force, pp. 25.

Issues in the Grid Frequency Regulation with

Increased Penetration of Wind Energy Systems
K.V. Vidyanandan, Member, IEEE and Nilanjan Senroy, Member, IEEE

AbstractThis paper presents some of the issues being

encountered in the system frequency regulation function when
the penetration level of wind energy in the electric grid
increases considerably. Enhanced share of wind energy in the
system mix will result in a proportional reduction of the
conventional generating capacity. The traditional synchronous
generators, which form the backbone of large power system,
possess certain qualities which are very essential in controlling
the grid frequency. Inertia and speed droop are two such
important parameters responsible for balancing the system
frequency. Since the modern wind turbine generators (WTGs)
operate in variable speed mode to extract optimum energy
from the wind, the electrical coupling between these generators
and the grid will be missing due to the power electronics
interfacing. Thus the increasing penetration of wind energy in
the existing system will reduce the total inertia and increase the
overall system droop, which in turn result in increased
frequency deviations after load events in the system.
Index TermsDFIG, droop, frequency, inertia, WTG

I. INTRODUCTION

HE frequency of the power system is directly related to

the rotating speed of synchronous machines connected
to the network. Traditional turbo-generators are generally
entrusted with the responsibility of providing system
frequency regulation. However, the continuously increasing
share of wind energy systems will eventually reduce our
reliance on fossil fuel powered conventional synchronous
machines. Although wind based power generation
technology is in existence for several years, because of the
low penetration levels of these systems, focus of the
industry was mainly on the turbine and generator protection
aspects. However, with the increasing percentage of wind
energy into the network, new challenges with regards to the
functioning of the current power system are emerging.
When wind energy needs to be integrated into the power
system, various unique characteristics associated with the
wind resource and the energy conversion methods are to be
properly analyzed. Some important aspects associated with
the wind power include: intermittent and fluctuating nature
of the wind, capability of active and reactive power control
and the point of coupling with the system. The increased
share of wind power in the grid leads to higher participation
of this technology in the total system generation mix. While
this can potentially improve the availability, efficiency and

K.V. Vidyanandan is with the Power Management Institute, NTPC

Ltd., NOIDA, Uttar Pradesh, India (e-mail: kvvidyas@gmail.com).
Nilanjan Senroy is with the Department of Electrical Engineering,
Indian Institute of Technology Delhi, India (e-mail: nsenroy@ee.iitd.ac.in).
This work was supported in part by the Department of Science and
Technology, Govt. of India vide its grant RP02322 dated March 2011.

quality of the power system, it also has implications on the

system frequency support capability available at any time.
It is a known fact that more the number of generators
participating in grid frequency regulation, more smoothened
frequency excursions result after system events. However,
most of the distributed generation resources, including the
wind turbines (WTs), currently do not participate in
frequency regulation. That means, these units do not
increase or decrease their power output when the frequency
deviates from its nominal value. Since frequency stability in
the power grid is essential for maintaining security of the
supply, this inadequacy of the WTGs may pose a limit to the
level of penetration of these technologies into the existing
system. It will thus become mandatory that as the
penetration level of wind energy systems in the power
network increase, they must contribute to frequency
regulation exactly like the conventional synchronous
machines [1].
Wind energy systems can be broadly classified into two
basic categories: fixed speed and variable speed. In fixed
speed WTGs the electric generator is usually of cage rotor
type induction generators. Since the rotational speed of
these types of WTGs is limited to a very narrow range
governed by the generator slip, any fluctuations in
mechanical torque due to wind speed variation will impact
the network where the wind farm is connected. Besides, due
to constant speed operation, the energy conversion in these
types of WTGs is less efficient. This can be seen in Fig. 1.

Fig. 1. Rotor speed Vs Power output of WTG at two different wind speeds.

At wind speed U1, the wind turbine runs at the optimum

speed N1 such that the generated power P1 is the maximum
for that speed. When there is an increase in the wind speed
from U1 to U2, and if the speed of the WTG is fixed at N1,
the machine power output will be P2. However, for the wind
speed U2, the optimum power is P3, which occurs at a rotor
speed of N2. With variable speed design, the machine can
run at speed N2 for wind speed U2, and thus can generate the
highest possible power P3 for that wind speed.
Therefore, for capturing optimum energy from the wind
resource, variable speed WTGs is the preferred choice. As
reported, the energy capture in variable speed operation can
be 8-15% more than fixed speed operation in some specific
sites [2]. Variable speed generator drives allow the wind

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172

turbine control system to adapt the rotational speed of the

rotor to the instantaneous wind speed over a relatively wide
range. These machines can be more conveniently regulated
to get primary frequency support than fixed speed machines.
The electric machines typically used in variable speed
WTs are the Doubly Fed Induction Generator (DFIG) and
the multi-pole Permanent Magnet Synchronous Generator
(PMSG). Due to variable speed operation, the power output
of these WTGs will not be at the nominal frequency.
Therefore, they require power electronic converters for
interfacing the electric machine with the power system.
DFIGs use partial scale power electronic converters in their
rotor circuit, while PMSGs use full scale power electronic
converters in their stator circuit for grid connection. Because
of the full scale converters, speed control range of PMSG is
much higher than partial scale converter based DFIGs. Since
only a small fraction of the generated power flows through
the DFIG rotor circuit, the converter required in these types
is only 20-30% of the full capacity. Among these two
technologies, presently, DFIG based WTGs are more
commonly used.
The integration of wind energy conversion systems into
the existing power grid depends on a number of factors,
both technical and regulatory. The regulatory aspects
include the percentage wind energy share, location of
common point of coupling, WTG technology, and the size
and characteristics of the network in which it is connected.
The technical aspects include the effect on the system inertia
and the droop [3]-[6].
The focus of this work is to highlight the relevance of the
inertia and the droop in controlling the system frequency
and to show how the effects of these parameters are realized
in DFIG based WTGs by suitable control strategies. The rest
of the paper is organized as follows: the modeling of various
system dynamics are discussed in Section II, the test system
comprising of conventional thermal system and wind farm is
presented in Section III, emulation of inertia and droop in
DFIG-WTG is discussed in Section IV and the conclusions
are presented in Section V.
II. SYSTEM MODELING
A. System Inertia
The inertia of the power system is proportional to the
amount of rotating masses in the system [7]-[9]. It
determines the rate of change of frequency following a load
event. The larger the system inertia, the less is the frequency
rate of change following a power imbalance. Whenever
there is a mismatch between the supply and demand in the
system, the rotors of the connected generators and motors
will release or absorb kinetic energy and as a result, the
rotational speed and frequency will change. This is known
as inertial response. The inertial response will be available
instantly following the load change and last for about 3-5s.
No control action is activated within this duration. In the
next stage after the load event, as soon as the frequency
error exceeds a predefined set value, the speed governor
takes over and adjusts the steam/water inflow to the turbine
and thus arrests further change in the speed.
The initial governor action, known as primary control,
establishes the active power balance between generation and

demand by using proportional control action, also known as

droop control, and arrests frequency dips [10]-[11]. The
contribution due to primary response usually lasts for 2030s. Subsequently, secondary controllers modify the active
power set point of participating units such that the primary
control reserve is replenished within 20-30m, frequency will
be brought back to its nominal level, and thus the system
will be ready for the next event. In this way, system
frequency and tie-line power flows are restored to their
scheduled values after a disturbance [12]. The time span of
inertial, primary and secondary controls is shown in Fig. 2.

Fig. 2. Time span of inertial, primary and secondary responses of the

system after an increase in load from P1 to P2.

In order for any generating system to be used for primary

frequency regulation, availability of sufficient reserve
capacity is an important requirement. This reserve, known
as primary control reserve, is indented to limit the
immediate frequency reduction after a system event such as
starting of a large load or tripping of a generating unit. In
case of fixed speed wind turbines with cage rotor generators,
the electrical coupling between the generator stator and the
power system is strong due to the direct connection of the
stator to the grid. Any deviations in the system frequency
will result in small changes in rotational speed due to the
low nominal slip of 1%2%. This linking of rotor speed
with system frequency gives rise to some amount of inertial
response by the machine, which results due to the change in
stored kinetic energy in the rotating mass. The power
contribution due to inertial effect can be estimated as
follows. Frequency variations in the power grid are the
outcome of electromechanical transients result due to the
swings in rotor angle of synchronous machines. The
imbalance between the torques acting on the rotating mass,
which causes the rotor to swing, can be described as [7]:
Ta Tm Te

where, Ta
Tm & Te

= Accelerating torque
= Mech. & electrical torques

(1)
[N-m]
[N-m]

In case Tm Te, the rotating mass will experience an

angular acceleration or deceleration, dm/dt, determined by
the equation of motion,
d m
(2)
J
Ta Tm Te
dt
J = Rotational inertia of the rotor mass [kg-m2]
where,
m = Angular velocity of the rotor mass [rad/s]

173

The resulting change in kinetic energy is computed as

1
(3)
KE J 2m
2
The associated accelerating or decelerating power, Pa, is
d m
d ( KE )
Pa
J m
(4)
dt
dt

The inertia constant (H) of a generating unit represents

the time duration in which it will be able to supply the rated
power when the rotor decelerate from the nominal speed
down to zero, using only the available kinetic energy in the
rotor mass [13]. By definition, H (unit, s) is expressed as [9]
1 J 2m
2S H
(5)
H
or
J
2 S
2m
where,

Machine rating

[MVA]

Substituting the value of J in (4) gives

2 S H d m
Pa
m dt

Fig. 3. Implementation of (a) inertia and (b) speed droop.

(6)

Recognizing that if the speed change is very small, m

can be approximated as R, the rated speed. Then (6)
becomes
2 S H d m
Pa
(7)
R dt
Replacing dm/dt with df/dt, R with fR, the rated (or
nominal) frequency, and then normalizing (7) using rated
values, the inertial power contribution (in pu) arising out of
power mismatch in the system can be approximated as
df
df
1
(8)
Pa 2 H
or

dt
dt
H
From (8), it follows that large system inertia decreases
the frequency deviation following a power imbalance,
resulting in system frequency being less vulnerable to power
imbalances. The implementation of inertia is shown in Fig.
3a. The inertia of the power system is the combined inertia
constants of individual synchronous machines connected to
the network. A typical value of inertia constant for the
synchronous machines is in the range of 29s, and that of
the WTGs is in the range of 26s [10]. However, inertia of
the variable speed WTGs remains hidden from the system
due to the power electronic interfacing between the machine
and the network. Consequently, inertial contribution of these
machines available to the system is much less than similar
sized conventional thermal or hydro generating units.
Therefore, the increasing presence of wind energy
conversion systems in the power system network will reduce
the conventional synchronous generators that supply the
major portion of active power needed in the grid. As the
synchronous machines are responsible for the overall
frequency regulation, the increasing penetration of wind
energy and the subsequent reduction in the inertial
capability will result in increased rates of change of
frequency after every system event.
B. Speed Droop
The droop parameter of the primary speed governor of a
generating unit allows multiple units to share common
loads. The speed droop parameter (R) is defined as [7]
(9)
where,

f
P

=
=

frequency response of a generating unit to a frequency

deviation. The speed drooping characteristic is obtained by
adding a steady state feedback gain, 1/R, in the turbinegovernor transfer function, as shown in Fig. 3b. The action
of droop in a generating unit is to decrease the speed
reference of the prime-mover as load increases.

Incremental change in frequency

Incremental change in power

Steam driven turbines equipped with electro-hydraulic

governors have controllable droop in the range of 2.5-8%
and for hydro-turbines; droop is in the range of 0-10% [14][15]. Grid codes of various countries stipulate governor
droop settings between 3-6%, for all units participating in
system frequency regulation [16]-[17].
The increasing penetration of wind energy in the power
grid increases the equivalent droop parameter of the system
[13]. For instance, with a 20% wind penetration, the
conventional generating capacity capable of providing
primary frequency response reduces to 100/120=83.33%.
The effective stiffness of the system decreases as the speed
droop increases to R/0.8333=1.2R, where R is the initial
value of permanent droop. The increase in droop value
translates into a weaker system, less responsive to load
changes and consequently, more frequency excursions result
after every system event.
C. Wind Turbine Aerodynamics
The maximum mechanical power (Pm) extracted from the
wind by a wind turbine is calculated as [18]-[19]
1
(10)
Pm AU w3CP ( , )
2
where,
= Air density
[kg/m3]
A = Rotor sweep area
[m2]
Uw = Wind speed
[m/s]
CP = Performance coefficient
[deg]
= Blade pitch angle
= Tip speed ratio
D. Pitch Angle Controller
The pitch angle controller is used for adjusting the wind
turbine blade pitch during high wind speeds, so that the
rotor speed can be maintained within the tolerable limit. The
dynamics of the blade pitch is realized using a PI controller,
along with a servomechanism to stabilize its response. The
error between actual rotor speed (r meas) and reference
speed (r ref) is the actuating signal for the pitch controller.
The simulation arrangement of the WTG and the pitch angle
controller along with its servo system is shown in Fig. 4.
The reference speed r ref is calculated as
P
(11)
r ref ref
Tmec

[pu]
[pu]

The speed droop, which determines the power-frequency

characteristic of a generating unit, is generally expressed as
a percentage. Control action of droop represents the primary
174

where,

Pref =
Tmec =

Power reference of DFIG

Measured mechanical torque

[pu]
[pu]

Fig. 4. Modeling of wind turbine along with the pitch angle controller.

E. Doubly Fed Induction Generator (DFIG)

The DFIG is a wound rotor induction generator, with its
stator windings are directly connected to the power grid,
while the rotor windings are connected to the network via
bi-directional back-to-back voltage source converter through
slip rings. The converters control the power flow and rotor
speed. DFIGs offer several advantages when compared with
fixed speed generators; including speed control within
limited range, improved energy conversion efficiency,
independent active and reactive power control capabilities
etc. By changing the rotor current, torque profile of DFIGs
can be varied in both sub-synchronous and supersynchronous regions. However, as the speed control range
of DFIGs is far from sufficient to obtain a generator speed
of 20-30 rpm, which is common to wind turbines, a gear box
is necessary in the drive train.
The reduced DFIG model used in this work consists of a
rotor block along with blocks for inertial response and
lookup tables. The data for the variable speed operation of
the DFIG is incorporated in the form of a lookup table
having two columns, one for the rotor speed r and the
other for the power output Pe. In the detailed DFIG models,
output of the lookup table serves as the reference for the PI
controllers for the rotor side converters. Based on a variable
speed rigid drive train representation of the turbinegenerator system, the change in generator speed (r) that
result from a difference in electrical and mechanical torque
can be calculated using the generator swing equation as
d r
1

(Tm Te )
(12)
dt
2H
Neglecting the rotor dynamics is a valid assumption as
they are much faster than the drive train dynamics. In other
words, in (12) it is assumed that the generator torque is
instantly available [20].
III. TEST SYSTEM
To analyze the impacts of introducing wind energy
systems in the power grid, a 100 MVA turbo-generator
based power system is considered. An integral controller is
modeled in the turbine governor for the secondary frequency
regulation. The test system is shown in Fig. 5. The wind
farm was modeled by simulating one DFIG-WTG and then
scaling its output to realize the required wind penetration
level. WT aerodynamic data are taken from [19] and the
remaining system parameters are given in the Appendix.

Fig. 5. Implementation of the power system for frequency response studies.

Fig. 6. Load variation in the system.

Wind penetration in this work was varied from 0% to

50%. Two load events were considered for the study, as
shown in Fig. 6. At time 5s load demand was increased from
0.75 pu to 0.97 pu and at 15s load demand was reduced
from 0.97 pu to 0.92 pu. The following assumptions are
made in this part of the study: a) during the period of the
study, the power output from the wind farm is considered
constant by assuming steady wind conditions and b) the
WTGs do not participate in the system frequency regulation.
The share of power by the thermal system and the
WTGs, with a wind penetration of 40% is shown in Fig. 7.
As shown earlier, penetration of wind energy in the system
mix increases the overall system droop and reduces the
inertia. Both these situations are demonstrated individually
and collectively and the results are shown in Figs, 8-10.
A. Increased Wind Penetration and its Effect on the Droop
The effect of increased droop on the frequency is shown
in Fig. 8. With no wind share, the increased load at 5s
resulted in a fall in frequency from 50 to 49.48 Hz whereas
with 50% wind presence, the frequency falls to 49.24 Hz.
Likewise, during the load change at 15s, the frequency rises
to 50.11 Hz without wind support and to 50.18 Hz with
wind support.
B. Increased Wind Penetration and its Effect on the Inertia
The frequency dynamics due to the change in system
inertia resulted out of varying wind penetration is shown in
Fig. 9. With 50% wind support, during load increase at 5s,
the frequency dropped to 49.33 Hz, whereas without wind
support, frequency dropped to 49.48 Hz. Similarly, during
the reduction in load at 15s, the frequency rises to 50.15 Hz
and 50.1 Hz respectively, with and without wind presence.
C. Increased Wind Penetration and the Combined Effect on
the Droop and the Inertia
The system frequency dynamics due to the combined
effect of reduced inertia and increased droop on account of
increased wind integration is shown in Fig. 10. For a 0.22 pu
rise in load at 5s, the frequency in the conventional
synchronous machine based power system falls to 49.48 Hz,
whereas when 50% wind generation is introduced, the
frequency falls to 49.05 Hz. When there was load reduction
at 15s, the similar changes in frequency was 50.11 Hz and
50.23 Hz, respectively.
The adverse effects of increasing wind energy
penetration in the grid without any regulation feature in the

175

former can be clearly visualized from the above results. The

frequency dips and peaks after every load event increases
with increased wind presence. Therefore, it is not
technically a sound decision to increase wind energy to
displace the ageing thermal based conventional units from
the system mix, straightaway.

Fig. 7. Load share by the conventional system and the WTGs with 40%
wind penetration, WTGs do not participate in frequency regulation.

Fig. 8 System frequency dynamics considering the droop parameter

variation due to the increased penetration of wind energy in the system mix.

Fig. 9. System frequency dynamics considering the inertia constant

variation due to the increased penetration of wind energy in the system mix.

Fig. 10. System frequency dynamics considering the combined effect of

variations in droop and inertia due to the increased wind penetration.

IV. EMULATING INERTIA AND DROOP IN WTGS

One possible way to address the above technical
challenge is by incorporating fast acting energy storage for
contributing to frequency regulation and keeping the wind
systems as just energy sources without any regulation

capability. This, however, may not be an easy proposition

due to various technical and economic reasons. Another
feasible solution will be to extract the same kind of features
from the wind units as that of the synchronous machines.
For instance, if WTGs can emulate some level of the
characteristics that the conventional machines provide, the
increased wind penetration will be as practical and
beneficial as that of the conventional system. This is
possible by incorporating new control philosophies;
especially in the DFIG-WTGs. In order to make DFIG based
wind turbines to participate in frequency regulation
function, two control strategies are proposed in the
literature: the inertial control and the primary frequency
control [4]-[6].
As represented in (8), conventional generators respond to
frequency variation by releasing or gaining kinetic energy of
their rotating masses. The additional amount of energy
supplied or drawn from the network during system events is
proportional to the rate of change of frequency, df/dt. This
inertial response can be emulated in variable speed WTGs
by adding a control loop using df/dt to the power (or torque)
reference signal of the DFIG.
In conventional machines, the droop action reduces the
prime-mover speed reference as the system frequency falls
and as a result the active power injection from the unit
increases. This behavior can be emulated in WTGs by
making a change in the active power injection proportional
to the difference between the measured and the nominal
system frequency (f = fmeas - fnom). A supplementary control
loop to emulate the inertial response and the droop effect in
DFIG based WTGs is shown in Fig. 11.

Fig. 11. Emulating system inertia and droop in the variable speed DFIG
based wind turbine as a supplementary control loop.

Out of the two input signals f and df/dt in Fig. 11, the f
signal makes DFIG to respond to frequency changes and the
df/dt signal emulates the inertia. The proportional gain, k2, in
the f loop is comparable with the droop parameter of a
turbo-generator. The output (P) of this additional loop is
used to manipulate the torque reference signal derived based
on the wind speed acting on the turbine blades. The resultant
torque reference (Tref) is responsible for controlling the
firing angle of the DFIG converter to maintain the required
rotor speed for realizing the set torque or power.
To test the effectiveness of artificially introduced inertial
and droop effects in DFIG-WTGs, the supplementary
control loop as shown in Fig. 11 has been simulated in the
torque computation circuit of the DFIG. The inertia constant
of WTG is taken as 4s, and the droop value is taken as 5%.
For the analysis, the same load events as in the previous
case (Fig. 6) have been considered in this case as well. For
the participation of WTGs in the frequency regulation
function through supplementary control, it is assumed that
sufficient generation margin is available in the wind

176

generation system. The power output of WTG is limited to a

maximum of 1.0 pu under all conditions through the action
of pitch angle controller.
The share of real power by the synchronous machines
and the wind farm with 40% wind penetration are shown in
Fig. 12. Due to the influence of the supplementary control
loop, the response of the WTGs to system events can be
noticed at time 5s and 15s. Because of the wind contribution
to frequency regulation, the power excursions in the output
of conventional system have reduced considerably during
both the load events.
The dynamics in the system frequency for various wind
penetration levels is shown in Fig. 13. Comparison of Fig.
13 with Fig. 10 clearly shows the effectiveness of wind
systems participating in frequency regulation. The dips and
peaks in frequency after both load events improved
considerably. Since all the generating resources, including
the WTGs, participate in frequency regulation, the dynamics
of frequency become more promising with increased wind
penetration in the system mix increases, as the combined
inertia of the system increases.

WTGs are to be used for integrating wind energy in to the

power grid, the hidden inertia and droop capabilities from
these machines are to be extracted. This paper shows a
control strategy to realize the inertial and the droop
contribution from variable speed DFIG based WTGs. With
this control, a variable speed WTG could be regulated
almost like a conventional synchronous machine and can be
used for frequency regulation.
APPENDIX
A. Wind Turbine and DFIG
Capacity=1.5 MW, Inertia constant, H = 4s, Droop
parameter, R = 5%.
B. Steam Turbine Driven Synchronous Generator
Capacity = 100 MVA, H = 5s, Governor time constant =
0.1s, Turbine time constant = 0.25s, R = 5%.
REFERENCES
[1]

[2]

[3]

[4]
Fig. 12. Load share by the grid and the wind generators with 40% wind
penetration when WTGs participate in system frequency regulation
function.

[5]

[6]

[7]
[8]
[9]
[10]

Fig. 13. System frequency dynamics when WTGs participate in system

frequency regulation function.

[11]
[12]
[13]

V. CONCLUSION
The increasing penetration of wind energy in the power
grid will effectively reduce the overall system inertia and
increase the equivalent system droop. The change in these
two vital system parameters will adversely affect the
frequency regulation capability of the network, leading to
increased peaks and dips in frequency after every load
events. If cage rotor based fixed speed WTGs are used in the
wind energy system, there will not be much change in the
inertial and droop response, as these machines are directly
connected to the grid. However, in the case of variable
speed WTGs, the power electronics interface between the
generator and the network result in an electrical decoupling,
due to which the inertial and droop capabilities will be
missing. If the WTGs provide no inertial and droop
capabilities in times of low system frequency, the robustness
of the system will be in danger. Therefore, if variable speed

[14]

[15]

[16]

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178

A Survey on Different Keeper Design

Topologies for High Speed Wide AND-OR
Domino Circuits
Pushpa Rani, Amit Kumar Pandey, R.K. Nagaria and R.A. Mishra

deep-submicron circuits is mainly due to the high leakage

current, crosstalk noise, supply noise, and charge-sharing [2].
As the technology scales down, the leakage of the evaluation
transistors exponentially increases due to lower threshold
voltage.
Although fast and compact, wide fan-in dynamic circuits
suffer from several limitations. However, robustness is a major
concern for domino gates. In dynamic circuits to measure the
reliability of the circuit a figure of merit, called Unity-Gain
Noise Margin (UGNM), is defined as the DC input noise
voltage generating an equal level of noise in the final output of
the domino gate and is used as a metric of robustness.
Moreover, the supply voltage and capacitance of dynamic
(precharge) nodes scales down, reducing the amount of charge
stored on the dynamic nodes. Due to all these concurrent
factors, the noise immunity of domino gates substantially
decreases with technology scaling. Since the leakage current is
proportional to the fan-in of domino OR gates, the noise
immunity also decreases with fan-in increase.
This paper is organized as follows. Section I presented the
introduction. Sections II surveys the different keeper designs.
Section III shows the simulation results comparing the different
keeper design topologies. In Section IV we have summarized
the work indicating some possible scope of future direction.

AbstractIn this paper, we analyze and compare different

keeper design topologies for lowering the active mode power
consumption, increasing the speed, enhancing the noise immunity
and reducing the subthreshold leakage energy of domino logic
circuits. This work briefly surveys domino keeper techniques for
high fan-in domino circuits. We compared the power, delay,
process tracking and VDD tracking of different topologies.These
topologies have been prototyped in 130nm CMOS technology at
125C temperature. The simulation results reveal that conditional
keeper technique gives the better results in terms of reduction in
delay, power consumption whereas Leakage current replica (LCR)
based keeper shows superior performance in terms of noise
overhead, process variation and VDD tracking as compared to
other alternatives keepers. As compare to conventional circuit,
conditional keeper gives 55% reduction in delay as well as 15%
reduction in power while leakage current replica (LCR) gives 95%
reduction in noise overhead and providing capability of process
and VDD tracking.
Index terms Keeper, Leakage current, Process variation,
Robustness, Wide Domino Circuit.

I. INTRODUCTION

OMINO Circuits are widely used in high performance

microprocessors and DSP circuits, such as high fan-in
multiplexer or comparator circuits. Although high speed
high fan-in dynamic circuits are especially susceptible to all
kinds of noises, they must be guaranteed to function correctly.
With the advance of technology, leakage current, coupling noise
and power/ ground fluctuation noise are increasing the softerror rate of dynamic circuits. A figure of merit called Unity-1.
Gain DC Noise Margin (UGDN) is used to measure the ability2.
to resist lumped DC noises applied to all input terminals of3.
dynamic circuits. The noise sensitivity of domino circuits is due4.
to their low switching threshold voltage, which is equal to the
threshold voltage of nMOS devices in the evaluation network.
With technology scaling, the supply voltage is scaled down to
decrease the power consumption. The main source of noise in
Authors are with the Department of Electronics & Communication
Engineering, Motilal Nehru National Institute of Technology, Allahabad, India:
(e-mail:
enggpush555@gmail.com,
amitkumarpandey1@gmail.com,
rkn@mnnit.ac.in and ramishra@mnnit.ac.in)

II. DIFFERENT KEEPER TOPOLOGIES

There are several categories of keeper designs topologies for
footless domino:
1. Conventional domino logic with standard Keeper.
2. Conditional keeper (CKP).
3. Current mirror-based Leakage Current Replica (LCR)
Keeper.

A. Conventional domino logic with standard Keeper topology

In most high-speed timing plans, the input signals to wide
dynamic gates are ready before or close to the start of the
evaluation phase (when clock goes high). In such a case, the
maximum time window for any potential output transition is

978-1-4673-0455-9/12/$31.00 2012 IEEE

179

only a fraction of the total evaluation time, which is often the

half-period time of a 50% duty-cycle clock. Thus, the outputs of
the dynamic gates are exposed to leakage and noise for an
unnecessarily long time. Fig.1 shows conventional domino
circuit. In conventional dynamic circuits, the standard keeper
has to be upsized to cover the entire evaluation time. This
degrades the performance of the gates since the standard keeper
is turned on unconditionally at the start of the evaluation phase.
VDD
CLK

Total evaluation time =Tclk/2

Transition Window
Tkeeper

Clock
Output

keeper

.Weak keeper
(faster transition)

Rest of evaluation phase [Tclk/2]Tkeeper

.Strong keeper If output High

.No keeper if output Low
(Good noise robustness)

Input

n0 A1 n1 A2 n2

A0
B0

B2

B1

An nn

Fig. 3. Dynamic timing diagram of conditional keeper topology

Bn

Fig. 1. Conventional domino logic with the standard keeper topology

A. Conditional keeper topology

A conditional keeper (CKP) with variable strength can be
used to reduce the contention between keeper transistor and
pull-down network.Fig.2 shows the conditional keeper
technique. A conditional keeper [3] circuit consists of two
pFETs, one connected identically to a conventional keeper and
the other controlled by a delayed clock signal and the dynamic
node (Fig. 2). During evaluation, the extra pFET is
conditionally enabled after a time set by the delayed clock
signal if the dynamic node has not been already discharged. In
this technique a weak keeper holds the state of the dynamic
node during the transition window (when NMOS logic pulls
down) and a strong keeper is conditionally activated based on
the state of the dynamic node after a certain delay , if the
dynamic output should remain High. The weak keeper during
the transition window results in reduced contention and a faster
output transition, while the strong keeper during the rest of
evaluation time results in good robustness to leakage and noise.

Fig. 3 shows the circuit implementation with two keepers: a

fixed keeper, PK1, and a conditional keeper,PK2 . At the onset
of the evaluation phase (clock Low-to-High), PK1 is the only
active keeper. After a delay time, TKeeper =TDelay element +TNAND ,
the keeper PK2,is activated, i.e., the output of the NAND gate
goes Low, only if the dynamic output should remain High. The
output transition is faster and thus the delay improvement is
larger when PK2,is activated close to or later than the worstcase clock-to-output transition window, TMAX .The delay of the
inverter chain is set such that the robustness of the dynamic gate
is maintained for the worst case noise and process (fNsP)
conditions. The delay chain being a combinational logic does
not show much variation in delay for the fNsP and sNfP corners
shown in Fig.4.Thus, the shorter delay time set for the fNsP
corner, degrades the performance of the dynamic gate in the
sNfP corner. This is shown in Fig. 4 where the switching delay
of a 20-wide AND-OR domino gate with CKP varies by over
100% across the fNsP and sNfP corners.

Delay Chain
Clock

Strong keeper

Pk2

Week keeper
Pk1

A0
B0

n0 A1 n1
B1

A2 n2

An nn

B2

Bn

Fig. 4. Switching delay (normalized to the tNtP corner delay of the domino
gate) of a 20-wide AND-OR domino gate and the propagation delay (from A
to B in Fig. 2) of the delay chain used to activate keeper across different process
corners

C.

Fig. 2. Conditional keeper topology

Leakage Current Replica (LCR) Keeper technique

A current mirror-based keeper (LCR) technique was

proposed for better process tracking. The LCR keeper uses a
conventional analog current mirror that tracks any process
180

corner as well as voltage and temperature. A dynamic gate with

an LCR keeper (Fig.5) includes one extra series pFET and a
replica current mirror that can be shared among all gates having
the same topology. The current mirror tracks the leakage current
and copies it into the dynamic gate through p1 The overhead
per gate is p1 plus a portion of the shared current mirror.
Assuming that Ileak is the dynamic gate leakage current, we
construct a current mirror to draw sf. Ileak where sf is a safety
factor.
The safety factor sf is set by ratioing the transistor
geometries. Assuming that p1 and p3have the same channel
length and that all nFETs have the same channel length, is given
by
(a) Variation with noise

Where Wnprl,Wp1 and Wp3 denote the width of nrpl,p1 and

p3,respectively,and Wni denote the width of ni (i= 0.n)
Shared replica
mirror

VDD
p1

CLK

KPR

p3

lleak

sf.Ileak
nrpl
p2

Z
A0

n0 A1

B0

B1

n1

A2
B2

n2

An

nn

(b) Variation with supply voltage

Bn

Fig. 7. The variation of the delay of a 20-wide domino gate with input noise
level and VDD.
Fig. 5. LCR keeper topology

Fig. 6. Delay versus number of legs for different keeper design topologies.

Fig. 8. Normalized Ip3/Ip1 current ratio versus process corners.

181

leakage current replica (LCR) gives 95% reduction in noise

overhead and providing capability of process and VDD tracking.
The future work can also be extended for proposing a hybrid
keeper design to meet advantage of both conditional as well as
LCR keeper design topologies.
REFERENCES
P. Gronowski, Issues in dynamic logic design, in Design of HighPerformance Microprocessor Circuits, A. Chandrakasan,W. J. Bowhill,
and F. Fox, Eds. Piscataway, NJ: IEEE Press, 2001, ch. 8, pp. 140157.
[2] R R. Kumar. (2001) Interconnect and noise immunity design for the
Pentium 4 processor. Intel Technol. J. [Online], vol (5Q1). Available:
http://www.intel.com.technology/itj/ql2001/articles/art_5.htm
[3] A. Alvandpour, , R.K. Krishnamurthy, K. Soumyanath, and S.Y. Borkar,
A sub-130-nm conditional keeper technique, IEEE journal of solid-state
circuits, Volume 37, Issue 5, May 2002 pp. 633 638
[4] Y. Lih et al., A leakage current replica keeper for dynamic circuits, in
IEEE ISSCC Dig. Tech. Papers, 2006, pp. 442443.
[5] C. H. Kim, K. Roy, S. Hsu, R. Krishnamurthy, and S. Borkar, A process
variation compensating technique with an on-die leakage current
sensor for nanometer scale dynamic circuits, IEEE Trans. Very Large
Scale Integr. (VLSI) Syst., vol. 14, no. 6, pp. 646649, Jun. 2006.
[6] L. Ding and P. Mazumder, On circuit techniques to improve noise
immunity of CMOS dynamic logic, IEEE Trans. Very Large Scale
Integr. (VLSI) Syst., vol. 12, no. 9, pp. 910925, Sep. 2004.
[7] H. F. Dadgour, R. V. Joshi, and K. Banerjee, A novel variation-aware
low power keeper architecture for wide fan-in dynamic gates, in Proc.
DAC, 2006, pp. 977982.
[8] V. Kursun and E. G. Friedman,Domino logic with variable threshold
voltage keeper, IEEE Trans. Very Large Scale Integr. (VLSI) Syst., vol.
11, no. 6, pp. 10801093, Dec. 2003.
[9] C.-H. Hua, W. Hwang, and C.-K. Chen, Noise-tolerant XOR-based
conditional keeper for high fan-in dynamic circuits, in Proc. IEEE Int.
Symp. Circuits Syst., (ISCAS), 2005, pp. 444447.
[10 H. Mahmoodi-Meimand and K. Roy, Diode-footed domino: A leakagetolerant high fan-in dynamic circuit design style, IEEE Trans. Circuits
Syst., I, Reg. Papers, vol. 51, no. 3, pp. 495503, Mar. 2004.
[11] R. Jacob Baker, Harry W. Li and David E. Boyce. CMOS circuit design ,
layout, and Simulation, Second Edition, IEEE Press, 2008.
Sung-Mo Kang Yusuf Leblebici.CMOS Digital Integrated Circuits:
Analysis and Design,Third Edition Tata McGraw-Hill ,2003.
[12] A.K.Pandey, R.A.Mishra and R.K.Nagaria, Low Leakage Power in sub45nm with Multiple Threshold Voltages and Multiple Gate-Oxide
Thickness footed Domino Circuits, Proc, IEEE International Conference
on Current Trends in Technology (NUiCONE-2011), Institute of
Technology, Nirma University, Ahmedabad, Dec. 2011.
[13] R. G. D. Jeyasingh and N. Bhat, A lowpower, process invariant keeper
design for high speed dynamic logic circuits, in Proc. ISCAS, 2008,
pp. 16681671
[14] R. G. D. Jeyasingh and N. Bhat, Adaptive Keeper Design for Dynamic
Logic Circuits Using Rate Sensing Technique, IEEE Trans. Very Large
Scale Integr. (VLSI) Syst., vol. 19, no. 2, feb,2011
[1]

Fig. 9. Average contention current versus keeper design topologies

III. SIMULATION RESULTS

In order to evaluate this work, we implement high fan-in
domino logic in 0.13um CMOS technology at 125C
temperature and simulate with BSIM4 0.13um spice model.
Simulations have been performed to study both the worst case
delay (A1=0 1, B1=1.2V, A2AN and B2BN= 0V) for
worst case noise (A1AN= UGDN level and B1BN= 1.2V)
conditions.

TABLE I
Performance Comparison of Different Keeper Topologies
Delay
(20 legs)

Power

PDP

Noise
Overhead

Process
VDD
tracking tracking

Conventional 234 Ps
keeper

49 W

11.46 fJ

62 %

No

No

Conditional
keeper [3]

151 Ps

19 W

2.86 fJ

55%

No

No

Leakage
Current
Replica
keeper
[4]

176 Ps

28 W

4.92 fJ

28%

Yes

Yes

IV. CONCLUSION
In this paper different keeper techniques for improving
power consumption, enhancing the noise robustness and
increasing the speed are presented. The simulation results reveal
that conditional keeper technique gives the better results in
terms of reduction in delay, power consumption whereas
Leakage current replica (LCR) based keeper shows superior
performance in terms of noise overhead, process variation and
VDD tracking as compared to other alternatives keepers. As
compared to conventional circuit, conditional keeper gives 55%
reduction in delay as well as 15% reduction in power while
182

A Novel Fault Classification Scheme Based on

Least Square SVM
H.C. Dubey1, A.K. Tiwari2, Nandita3, P.K. Ray4, S.R. Mohanty2 and Nand Kishor2

(MOV) is employed for protection of the series capacitor

from over-voltage during faulty situations. However, it acts
non-linearly during faults and increases the complexity of
the protection problem. Due to resonance between the
system inductance and series capacitor, non fundamental
decaying components as well as decaying DC components
are present in the voltage and current signals. Odd
harmonics are due to MOV conduction during faults and
sub-synchronous frequencies having frequency components
varying around half the fundamental frequency value, high
frequency components (which results from resonance
between line capacitance and line inductance) are present in
addition to fundamental components of the steady state
fault current. Thus, these signals are not processed very
accurately with conventional methods such as full cycle
DFT/half cycle DFT (FCDFT/HCDFT) or least square
error (LSE) technique; thereby cause large error in
estimation of the fundamental phasor. In light of these
issues, the fault classication task is complicated in the
presence of TCSC [3]-[4]. Techniques based on fuzzy
logic, adaptive Kalman ltering, neural network, wavelet
transform and support vector machine have been addressed
in research studies for fault classification task [5-14]. In
[5], Kalman ltering based technique has been used for
fault classication task. However, the validity of the
proposed method had been tested on a limited number of
test cases. Classification technique based on articial neural
network (ANN) in a series compensated transmission lines
is addressed in [6]-[8]. However, ANN involves empirical
risk minimization and suffers from drawbacks like over
fitting and trapping in local minima. Further in [6]-[8], the
performance of the classification schemes have not been
investigated over extensive test cases and the compensation
level was kept constant.
In [9]-[10], authors have suggested classification
schemes based on wavelet transformation. Also, in [9]-[10],
the proposed technique was validated only for limited
cases. Some techniques based on fuzzy logic have also
been presented for fault classication applications in [11][13]. A hybrid approach based on wavelet transform and
fuzzy logic is proposed in [11]-[12]. Combination of fuzzy
logic and higher order statistics (HOS) has been
investigated in [13] for classication task considering a
wide variation in the system conditions. Recently, support
vector machine (SVM) based technique has been proposed
for fault classication [14]-[17].
The presence of FACTS devices in transmission
line influence pre-fault as well as post-fault current signals
thereby making the task of fault classification a

Abstract-- This paper presents a novel approach for fault

classification and section identification in a series
compensated transmission line based on least square support
vector machine. The current signal corresponding to onefourth of the post fault cycle is used as input to proposed
modular LS-SVM classifier. The proposed scheme uses four
binary classifier; three for selection of three phases and fourth
for ground detection. The proposed classification scheme is
found to be accurate and reliable in presence of noise as well.
The simulation results validate the efficacy of proposed
scheme for accurate classification of fault in a series
compensated transmission line.
Index Terms-- Digital relaying, distance relay, fault
classification, least square-support vector machine, modular
classifier, series compensated transmission line.

I. INTRODUCTION

ransmission lines are protected by digital relays which

operate accurately and reliably as compared to their
solid state counterparts. Digital relay are invariably based
on signal processing techniques. Faults occurring in
transmission lines need to be detected, classified, and
located fastly and accurately for keeping faulty part isolated
from the healthy part thereby, ensuring minimum damage
and disturbance. The speed, accuracy and reliability of
digital protective relays are dependent on underlying
techniques used in design. Fault classification task is an
important task after the detection of fault for isolating the
faulty section from healthy one, thus reducing damages to
power systems [1]-[2].
The FACTS employed in modern power system
achieve enhancement in transmittable power, improvement
in the system stability, reduction in transmission losses and
more exibility in power control. On the other hand,
presence of FACTS devices like TCSC complicates the
protection task because [1, 2]: the metal oxide varistor

Harish Chandra Dubey is with the Department of Electronics and

Communication Engineering, Motilal Nehru National Institute of
Technology, Allahabad-211004, INDIA (e-mail: dubeyhc@ieee.org ).
2
Ashutosh Kumar Tiwari, Soumya Ranjan Mohanty and Nand Kishor are
with the Department of Electrical Engineering, Motilal Nehru National
Institute of Technology, Allahabad-211004, INDIA(e-mail: aktiwari@ieee
.org , soumya@mnnit.ac.in, nandkishor@mnnit.ac.in ).
3
Nandita received the Bachelor of Technology degree in Electronics and
Communication Engineering from Birla Institute of Technology (BIT),
Mesra-814142, INDIA (email: nandita16bit@gmail.com).
4
Prakash Kumar Ray is with the Department of Electrical and Electronics
Engineering, International Institute of Information Technology,
Bhubaneswar- 751003, INDIA (email: prakash@iiit-bh.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

183

complicated one. In spite of research studies done, fault

classification in series compensated transmission lines still
remains a challenge in terms of accurate and reliable
classification with reduced computational burden and
number of data sets for sake of online implementation. One
of the most promising approach used for fault classification
applications in a transmission line as reported [13, 15] is
SVM. SVMs are classiers based on structural risk
minimization. An improved version of SVM is least square
SVM (LSSVM) that retains all advantages of SVM with
lesser computational burden.
This paper proposes a novel scheme for accurate
classification of faults in a series compensated transmission
line based on LSSVM classifier using modular topology.
The use of modular topology reduces the computational
burden and time complexity of the proposed classification
technique. The novelty of the work is three fold. First, the
fault classification is studied in a series compensated
transmission line rather a normal transmission line. Second,
the introduction of LSSVM is new to fault classification
task. Third, the modular topology of binary LSSVM
classifier improves the performance. The proposed
classifier is trained with input and output data-sets
generated using Simulink model of studied power system in
MATLAB environment.
The rest of the paper is presented as follows; the
LSSVM is briefly described in section II, proposed scheme
is discussed in section III, followed by simulation and
results in section IV. Finally, conclusions based on
simulation results are given in section V.

y( x)

K ( x, x ) b
k

(1)

k 1

The optimal separation of hyperplane is shown in Fig.1.

LSSVM aims to build a classifier which is chracterized by
following optimization problem:

1 T
1 N 2
J
(
w
,
b
,
e
)

w
w

ek
LS
min
2
2 k 1
w ,b , e

(2)

Subject to the equality constraints

yk wT xk b ek , k 1,2,..., n

(3)

Where ek are slack variable and is a positive real constant

known as regularization parameter. The parameter 0
determines the trade-off between fitting error minimization
and smoothness.

HP
w
margin=
2/w
Class 2
w.x+b=+1
Class 1

w.x+b=0

II. LEAST SQUARE SUPPORT VECTOR MACHINE

margin

Support vector machines (SVMs) are statistical

learning systems based on structural risk minimization used
for pattern recognition. But, the computational complexity
of SVMs is related to the number of training samples. As
the sample size increases, the solution of the corresponding
quadratic programming problem becomes complex
resulting in slow computing speed. Least square SVM
(LSSVM) is an improvement over SVM without losing its
advantages [18]-[19]. LSSVM technique for classification
and non-linear regression are characterized by linear
Karaush-Kuhn-Tucker (KKT) systems [19]. Sparseness can
be imposed in LSSVM using pruning as known in NNs.
Non-linear SVM for classification and regression problems
involves convex quadratic programming. The LSSVM as a
classifier differs from conventional SVM in two ways;
firstly it uses equality constraints and secondly, a squared
loss function is taken as error variable [19].
Given a training data set of N points ( xk , yk ) ,

w.x+b=-1

Fig.1 The optimal hyperplane of the binary classifier

The lagrangian involved in the optimization problem is

L(w, b, e; a) wT w

1n 2 n
ei a i (wT ( xi ) b ei yi )

2 i1 i1

(4)

Where ai R N , i 1, 2,.., n are Lagrange multipliers. The

conditions for optimality are given by:

n
L

o; gives; w ai ( xi )

i 1

n
L 0; gives; a 0

i
b

i 1

0;
gives
;
a

e
,
i

1,2,3,...,
n

i
i
b

T
e 0; gives; b yi w ( xi ) ei ; i 1,2,3,.., n
i

a i

k=1,2,,n where xk Rn is the k-th input data-set and

yk R is the k-th output data-set. The SVM based classifier
involves a decision function which is given by y wT x b .
Using the kernel function, the non-linear SVM becomes:

184

(5)

The solution of eqn. (5) is obatined as:

T

1 b 0
0

a y
1

1 1

3
4
5
6
7
8
9
10

(6)

a [a1 , a2 , a3 ,..., an ]
(7)
ij ( xi ) ( x j ) K f ( xi , x j ); i, j 1,2,3,..., n (8)

-1
1
1
-1
1
1
1
-1

-1
1
-1
1
1
1
-1
1

1
-1
1
1
1
-1
1
1

1
1
1
1
1
-1
-1
-1

B-G
R-Y-G
R-B-G
Y-B-G
R-Y- B-G
R-Y
R-B
Y-B

1 [1,1,1,...,1]T ,

The outputs of four modules of binary classifiers are used

for deciding fault type as according to Table I. Here, +1
represents the involvement of phase or ground in fault and
-1 represents its absence. The binary LSSVM classifier are
combined to form a modular network of four binary
classifier, thus forming a multi-class classifier to
discriminate between R-G, RY, RY-G, RYB and RYB-G
faults.

The classifier based on LS-SVM model is then constructed

as follows:

1 T
1 n 2
min
w
w

ei
a ,b , e
2
2 i1
such that ei yi ( wT ( xi ) b),

A. LSSVM for section identification

(9)

Identification of faulty section is also necessary

with fault classification in a series compensated
transmission line. Due to presence of FACTS devices the
apparent impedance of the transmission changes and hence
just after the midpoint and just before that there is a
significant change in current, so the section having fault
must be identified.

i 1,2,3,..., n
The feature vector ( x) is known by means of the positive
definite kernel function. The kernel function are required to
satisfy Mercers condition, which implies that

K f ( xk , x j ) ( xk )T ( x j )

Input to
modular
classifier

(10)

The kernel function which are commonly used are linear,

polynomial radial basis function (RBF) and multi-layer
perceptron (MLP). The selection of regularization
parameter and the kernel parameter 2 is very important
for the classifiers. This work uses grid-search to decide
appropriate regularization parameter and the kernel

LSSVM-R
IR

Fault type

IY
LSSVM-Y
IB

parameter 2 . Grid-search is easy and direct as each pairparameter J,V is independent and it can be sorted in
parallel. This classifier finds the optimal parameters in the
objective function with cross-validation until the best
parameters with high precision are found.

Fault section

IG
LSSVM-B
Fig.2 Proposed LSSVM based classification scheme

III. PROPOSED SCHEME

TABLE II

This section presents the application LSSVM to

develop the modular multiclass classifier [20]. The block
diagram of proposed scheme for fault classification and
section identification is shown in Fig.2. The LSSVM based
classifier are found to perform better when trained on lesser
data sets thus enabling better accuracy with lesser training
data sets [18]-[19].

TESTING OF LSSVM-S FOR SECTION IDENTIFICATION

TABLE I
FAULT TYPE IDENTIFICATION

S.No.

1
2

Output
of LS
SVM-R
1
-1

Output
of LSSVM-Y
-1
1

Output
of LSSVM-B
-1
-1

LSSVM-S

Output
of LSSVM-G
1
1

Type of
fault
R-G
Y-G
185

Fault

Kernel

Classification

Poly
RBF

Parameter
Value
1.3269
0.208

RY fault at 25%,
FIA=135o, LA=40o, Rf=
60 ohm
RB-G fault at 30%,
FIA=175o , LA=30o, Rf=
80 ohm
RYB-G fault at
75%,FIA=120o , A=65o,
Rf = 80 ohm
YB-G fault at 90%,
FIA= 95 o LA=55o, Rf=
100 ohm

Poly
RBF

1.322
0.206

1
1

Poly
RBF

1.440
0.220

1
-1

Poly
RBF

1.389
0.276

1
-1

1
1

RB fault at 30%,
FIA=110 o LA=45o , Rf=
85 ohm
RYB fault at 10%,
FIA=125o LA=55 o, Rf=
80 ohm

Poly
RBF

1.889
0.250

1
1

Poly
RBF

1.888
0.246

1
1

(uF/km)
Series compensated
MOV
Current transformer
(CT)

To demonstrate the potential of the proposed approach, all

ten cases of fault event are simulated. The data-set consists
of 916 test cases comprising all the ten types of faults with
varying fault resistances, different fault inception angles,
different source impedance values, different fault positions,
different percentage compensation levels for validation of
proposed approach. Fig.4 shows the current signals of three
phases in case of R-G fault with fault resistance 50 ohm
and fault inception angle of 50 degree with 50%
compensation level.

Section identification is accomplished by training the

LSSVM-S to build an optimized classifier. The current
samples corresponding to one-fourth cycle of post fault
current are fed as input to the LSSVM-S and the output is
+1 (before series capacitor) or -1 (after series capacitor).
The training is done using 208 data sets and the accuracy of
identification is tested over 916 datasets. The average
classification rate for section identification for 916 data sets
is found to be 97.25 % for all fault types which is
reasonably good. Table II depicts the results for section
identification
with
proposed
approach.
Also,
misclassification is observed for the RYB-G fault at 75%,
FIA=120o, LA=65o, Rf=80ohm, Poly misclassifies showing
the output as 1.Other cases shown in Table II shows correct
identification.

V. RESULTS AND DISCUSSIONS

The classification accuracy of LSSVM-R
classifier with RBF kernel as function of two parameters is
shown in Fig.6. There is no significant change observed in
accuracy as these parameters are varied. The proposed
LSSVM based classifier performs consistently well and
gives accurate classification for all fault types. This
suggests the efficacy of proposed technique. The
classification accuracy indicates the average performance
obtained by different types of kernel functions used in the
proposed scheme. Fig.6 shows overall classification
accuracy of the proposed technique which again supports
its utility in fault classification task.

IV. SIMULATION STUDIES

A three phase transmission line of 250 km length,
230 kV, 50 Hz connecting two systems with MOV and
series capacitor kept at midpoint of line as shown in Fig.3
is used for testing of proposed scheme. The model of
transmission system with TCSC shown in Fig.3 has been
simulated using MATLAB/Simulink environment. The
various parameters of transmission line used for simulation
are given in Table III. The post-fault current signal is
retrieved at the relaying end bus A and used for recognition
of fault events. The sampling rate used is 1.0 kHz at
nominal frequency 50 Hz, thus giving 20 samples per
cycle.
Bus A
CT

MOV

Relay

Air-gap

70 % C =178.54 of
40 kV 5 MJ
230kV, 50 Hz, 2000:1 turns
ratio

Bus B

C
Source 1

Source 2

Fig.3 Series compensated transmission line

Fig.4 Current signal for the R-G fault
TABLE III

100.5

System voltage
System frequency
Voltage of source 1
Voltage of source 2
Transmission
line
length
Positive sequence

Zero sequence

Classification accuracy

PARAMETERS OF THE SIMULATED TRANSMISSION LINE

230 kV
50 Hz
1.0 0 degree pu
1.0 20 degree pu
250 km
R = 0.0368 (ohm/km), L =
0.55(mH/km), C = 0.028
(uF/km)
R = 0.0328 (ohm/km),
L=1.722 (mH/km), C = 0.024

100
99.5
99
98.5
98
0

10
20
30
Regularization parameter
(a) Regularization parameter,

186

40

Classification accuracy

[5]

99.2
99
98.8
98.6
98.4
98.2
98
97.8

[6]

[7]

0.1

0.2

0.3
[8]

Kernel parameter
(b) Kernel parameter,

[9]

Classification accuracy of LSSVM-R classifier with RBF Kernel

Overall classification
accuracy

Fig.5

[10]

97.9
97.8
97.7
97.6
97.5

[11]

[12]

[13]

[14]

Fault type

[15]
Fig.6 Classification accuracy of the proposed scheme

VI. CONCLUSION

[16]

The present paper investigates a novel approach

for fault classification and section identification in a series
compensated transmission line. The proposed scheme is
based on a modular network consisting of four binary
LSSVM classifiers. The proposed classifier has been tested
under various system changing conditions. One-fourth
cycle of post-fault current samples are used as input by
classification scheme. Simulation result validates the
consistency and accuracy of proposed scheme. It is found
that LSSVMs require lesser training sets for most
optimized classification with less number of training
samples compared to the neural network and neuro-fuzzy
systems. Hence the proposed method is comparatively fast,
accurate and robust for the protection of transmission line.

[17]

[18]

[19]

[20]

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[2]
[3]

[4]

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Characterization and Simulation of Different

7T SRAM Topologies
Rachana Ekbote, Aparna Gupta, Shyam Akashe and Sanjay Sharma
Abstract Static Random Access Memory (SRAM) units are
often directly integrated onto the same die with the
microprocessors and influence the design metrics significantly.
SRAM often consumes large percentages of the die size and their
leakages significantly contribute to the static power dissipation
of those chips. The main objective of this article is to
characterize the leakage and acces time(speed) of Six different
7T SRAM cells The simulation results indicate that the timing
behavior of SRAM cells are largely the same but power
dissipation, leakage power in particular, vary significantly in
45nm technology.

various 7T SRAM cells at the 45nm CMOS technology node.

Six 7T SRAM cells are evaluated at the 45nm
technology node:
1) 7T Gated-ground SRAM Cell
2) Subthreshold 7T SRAM Design
3) A novel tri-Vt 7T SRAM cell
4) SOI-7T-SRAM with Look-Ahead Body-Biasing with
Word / Bit Line Signals
5) Single ended 7T SRAM cell:
6) High stability 7T SRAM Cell.

Keywords Access time, Leakage current, operating

current, SNM, 7T SRAM.

II. DESIGN and OPERATION of 7T SRAM CELL

I. INTRODUCTION
Low power, minimum transistor count and fast access
static random access memory (SRAM) is essential for
embedded multimedia and communication applications
realized using system on a chip (SoC) technology. Hence,
simultaneous or parallel read/write (R/W) access multi-port
SRAM bitcells are widely employed in such embedded
systems. Static Random Access Memory (SRAM) continues
to be one of the most fundamental and vitally important
memory technologies today. Because they are fast, robust,
and easily manufactured in standard logic processes, they are
nearly universally found on the same die with
microcontrollers and microprocessors. The demand for ever
larger and ever faster microprocessors has aggressively driven
the scaling of transistor geometries down, density of SRAM
cells up, and speed of SRAM cells up. However, along with
these benefits, significant challenges have emerged that must
be addressed at every transistor technology shrink. The two
primary challenges (among others) are that the rail voltages
are decreased to prevent thermal destruction to the transistors
and that the current leakage through the transistors increases.
Decreased rail voltages result in slower transistors (although
this is offset by the reduction in capacitance afforded by
smaller transistors). Increased current leakage occurs due to
the necessary lowering of the transistor threshold voltages (Vt)
and the reduction in the thickness of the gate insulators.
Discussions concerning the adjustment of rail voltages, Vt,
and sizing as they relate to SRAM timing and power can be
found in [1] and [2]. This paper Concern about Different
types of 7T SRAM, shows different results and may use
accordingly. The results of a study that evaluates the speed
and power performance for

Rachana Ekbote is Research scholar of ITM Gwalior, India(email:

rachana.ekbote@gmail.com).
Aparna Gupta is Research scholar of ITM Gwalior, India (email:
aparnagupta.vlsi@gmail.com).
Shyam Akashe is Associate Professor of ITM Gwalior, India (email:
shyam.akashe@itmuniversity.ac.in).
Sanjay Sharma is Associate Professor of TU, India (email:
sanjay.sharma@thapar.edu).

An easy way to comply with the conference paper

formatting requirements is to use this document as a template
and simply type your text into it.
A. 7T Gated-ground SRAM Cell
This 7T Shown in Fig.1 has an NMOS transistor placed in
the ground path of a traditional 6T SRAM cell to reduce
leakage while the cell is in standby mode. The bottom
transistor is intended to cutoff the ground path while the cell
is in standby mode to eliminate the leakage paths through the
inverter NMOS sources. Practice has shown that the cell
retains its value during standby even in the absence of a
ground rail. In this study, the bottom transistors gate is
connected to the WORD line. The bottom transistor is sized
identically to the inverter NMOS transistors to match their
current carrying capacity The next three cells are variants of
the Self-Controlled Voltage Level (SVL) circuit as applied to
SRAM [3]. SVL circuits are meant to be placed in the VDD
and/or VSS paths of a circuit to select between full rail
voltage when the underlying circuit is in use and a reduced
rail voltage when the underlying circuit is in standby. This
technique can be applied to a wide range of circuits. SVL
circuits are merely a way of dynamically adjusting the
voltage to a circuit based on whether it is being utilized or
not.[4]. Its Read/write waveforms and layout are shown in
Fig.2 and 3 respectively.

Fig. 1 Schematic of 7T Gated-ground SRAM Cell

978-1-4673-0455-9/12/$31.00 2012 IEEE

188

Fig. 4 Read/write waveform

Bitlines from data storage nodes during a read operation. The

design tradeoffs in a 7T SRAM cell are explored in this
design.

Fig. 2 Read/write waveform

B. Subthreshold 7T SRAM Design

Operation of this design is performed on two bitlines (BL
and BLB), while the Read operation is performed only on
one bitline (BL). From Fig.3, and 4 during read operation,
the Read wordline (here VDD) signal of the proposed design
is Set to high, while Write word line signal is also kept
high to simultaneous results. The problem of read failure is
removed by cutting off the feedback connection between
INV2 output terminal and INV1 input terminal by applying
Low to middle transistor. These control values are reversed
during write operation. As middle transistor is in on state,
write operation is accomplished by pulling down the input of
INV1 or INV2, depending on the value to be stored.
Therefore, the conflict between read and write stability is
removed by cut-off transistor. During data retention
operation, when SRAM bitcell is not being accessed, both
Word line are set to 0, and the design metric of robustness
is enhanced by the positive feedback from cross-coupled
inverter pair as the cut-off transistor is still in on state [5].
C. A novel tri-Vt 7T SRAM cell
SRAM data stability and leakage currents are major concerns
in nanometer CMOS technologies A seven-transistor (7T)
SRAM cell provides enhanced data stability by isolating the

The multi-threshold-voltage SRAM circuits offering the

highest data stability, widest write margin, smallest read and
write power consumption, and lowest leakage currents are
identified. This 7T SRAM circuits designed with the Cadence
CMOS technology. Standard Performance High-Vt (SPHVT),
Standard Performance Regular-Vt (SP), and Standard
Performance Low-Vt (SPLVT) transistors are provided. The
schematic of a 7T SRAM cell with this tri-Vt CMOS
technology is shown in Fig. 5. Minimum-sized SPHVT
transistors are employed in the cross-coupled inverters
(except for right NMOS) of all the cells in order to reduce the
leakage power consumption. Different threshold voltage
options are considered for remaining NMOS to explore the
tradeoffs among various important design metrics such as
data stability and leakage power consumption. To avoid
increasing the cell layout area, right NMOS and RBL NMOS
have the same threshold voltage. The 7T memory circuits
operate as follows. The RBL is periodically pre-charged to
VDD in each clock cycle. To start the read operation, the read
signal R transitions to VDD while the write signal W is
maintained at VGND. If a 1is stored at Q, RBL is
discharged through the transistor stack formed by both
NMOS. Alternatively, if a 0 is stored at Node1, RBL is
maintained at VDD. The storage nodes (Q and QB) are
completely isolated from the bitlines during a read operation.
The data stability is thereby significantly enhanced because
cross-coupled inverters are not on the read path. The sizes
and threshold voltages of the transistors in cross-coupled
inverters therefore do not affect the read speed. Prior to a
write operation, WBL is charged (discharged) to VDD
(VGND) to write 1 (0) onto Q. To start the write
operation, the write signal W transitions to VDD while the
read signal R is maintained at VGND. The data is forced onto
Q through the WBL access transistor. It transfers a degraded
1 (due to the Vt drop across the N-channel access transistor)
during a write operation. A high-Vt PMOS and a low-Vt
NMOS are preferred to form an inverter with a low switching
threshold voltage. The inverter formed by these facilitates the
write operation by assisting the transfer of a full 1 with a
high write margin onto Q[6].

Fig.3 Schematic of Subthreshold 7T SRAM Design

189

Fig. 7 Schematic of SOI-7T-SRAM with Look-Ahead Body-Biasing with

Word / Bit Line Signals

Fig.5 Schematic of A novel tri-Vt 7T SRAM cell

E. Single ended 7T SRAM cell

For demonstration of the effectiveness of the flow, 45nm
single-ended 7-transistor SRAM is used as example circuit
Fig.9. For demonstration of effectiveness of the flow, a

Fig. 6 Read/write waveform

D. SOI-7T-SRAM with Look-Ahead Body-Biasing with Word

/ Bit Line Signals:
Fig. 8 Read/write waveform

7T-SRAM cell adopting the active body-biasing control on

PD-SOI, where the Vth of each transistor can be dynamically
controlled thorough the direct body contact [7] - [8].
In this 7T-SRAM cell shown in Fig. 7, the write bit line
(WBL) provides the body-bias for INV(R) and the write and
read word lines (WWL and RWL) control the body of access
transistors and driver transistor. Here, the body voltages of
pMOS and nMOS in INV(L) are fixed to VDD and GND,
respectively, which corresponds to the zero body-bias. In the
case of 0-write (write0) operation, the Vth of pMOS (P1) in
INV(R) is lowered by the forward body-bias under the
condition of WBL = Low, which accelerates the charging
speed of node V2. In addition, during the 1-write (write1)
operation where the WBL = High, the Vth of nMOS can be
lowered, hence the discharge current from node V2 is
increased. Namely, the Vth of pMOS and nMOS in INV(R)
can be controlled by the write data of WBL beforehand in
order to assist the write operation. Moreover, the body biases
employing the WWL and RWL improve the write and read
current owing to the lowered Vth of access transistors and
driver transistor, which therefore shortens the access time
both in the write and read operation. Here, since the activated
WWL would destroy the stored cell data in the unselected
column in the write mode, the proposed cell should be
applied with the approaches where the column is selected per
written block such as the divided word line structure [9][10].

45nm single-ended 7-transistor SRAM is used as example

circuit. the word line is asserted high prior to the read and
write operation which is similar to the standard 6-transistor
SRAM cell. In the hold mode, the word line (WL) is low and
a strong feedback is provided to the cross coupled inverters
with the help of transmission gate. For detailed understanding,
the read 1 and write 0 operations are discussed. In this
case, WL and BL will be at high level in order to read a value.
So, Q node will have 1 and corresponding NMOS will be
in OFF state, carrying gate-oxide leakage current and
subthreshold leakage current. PMOS and NMOS Transistor
will have dynamic current along with gate oxide leakage
current, as they are in ON state. Qb will be 0. In the read
operation, the transistors of the transmission gates will be in
ON state, hence, carrying dynamic current and gate-oxide
leakage current. In write 0 bit line will be 0 and WL is
precharged to level 1. In order to write 0 on the SRAM
cell, Q will be 0. Corresponding Transistors are ON so
they will have dynamic current and gate-oxide leakage
current. Another PMOS and NMOS Transistors will have
subthreshold leakage current and gate-oxide leakage current
as they are in OFF state. The transistors of transmission
gate will be in OFF state in case of write operation, hence
will have subthreshold leakage current and gate-oxide
leakage current. Similarly, current paths during read 1 and
write 0 operations can be identified [11].

190

F. High stability 7T SRAM Cell:

To overcome the read data destruction and to gain stability
at IOW-VDD this seven-transistor (7T) SRAM cell is
implemented. In order to overcome the static noise margin at

Fig. 11 Schematic of High stability 7T SRAM Cell

Fig. 9 Schematic of Single ended 7T SRAM cell

Fig. 12 Read/write waveform

Fig. 10 Read/write waveform

low VDD 7T SRAM cell [12] is implemented in Fig. 11. It

has one additional transistor compared with 6T cell but
operates more efficiently than 6T cell at IOW-VDD. The 7th
transistor which is nMOS transistor is between the node and
the driver transistor. The voltage dividing effect takes place at
the inverter which stores '0', will be pulled up. In order to
stop this transition the 7th transistor at the other node is
turned off so that the node which stores '1' will not be pulled
down by the driver transistor as it acts a switch between the
node and the driver transistor. In the data retention period, the
SRAM data will not be accessed. In this period the wordline
signal /WL is '1' and the nMOS transistor N5 is ON. In the
read operation, the logical threshold voltage of the CMOS
inverter driving node B increases when the data protection
transistor N5 is turned OFF [13][14].

Fig. 13 Layout of 7T Gated Ground SRAM Cell

III.SIMULATION RESULTS of STUDIED CIRCUIT

TOPOLOGY of 7T SRAM CELL
Circuit simulation result of various 7T SRAM topologies is
shown in Table I and Table II.The result of Leakage current,
Read Access time, Write Access time , Operating current and
SNM would be calculated using Cadence VIRTUOSO Tool.

191

TABLE I

Parameters
Examined

Process
Technology
Power Supply
Voltage
Pre-Charge
Voltage
Write Access
time
Read access
time
Leakage
Current
During Write
Operating
Current
SNM

Subthresh
old 7T
SRAM

7T
Gatedground
SRAM
Cell

choose 7T circuit. Merits and demerits of the proposed

designs are investigated in detail and compared with existing
approaches. We applied 0.7 volt power supply and get
different leakage and operating current. Every circuit
produces different SNM which shows variability in SNM
with different circuit topologies.

A novel
tri-Vt 7T
SRAM
cell

45nm

45nm

0.7V

0.7V

0.7V

0.7V

75.6ps

30ps

2.2ns

45ps

REFERENCES

45nm
[1]

0.7V
0.7V
28ps
1.6ns

[2]

[3]

[4]

2.43nA
641.65nA
0.39V

11.95pA

5.48nA

154.96nA

34.8nA

[5]

0.647V

[6]

TABLE II

Parameters
Examined
Process
Technology
Power Supply
Voltage
Pre-Charge
Voltage
Write Access
time
Read access
time
Leakage
Current
During Write
Operating
Current
SNM

SOI-7TSRAM
45nm
0.7V
0.7V
0.8ns
2.1ns

[7]

Single ended
7T SRAM
cell
45nm

High
stability
7T SRAM
45nm

0.7V

0.7V

0.7V

0.7V

24.6ps

0.43ps

51.2ps

1.92ns

1.51nA

704.8pA

[8]
[9]

[10]

[11]

[12]

13.8pA
641.65nA
0.336V

28.64nA

151.91nA
[13]

0.324V

[14]

IV. ACKNOWLEDGEMENT
This work was supported ITM University Gwalior, with
collaboration Cadence design system BANGLORE.
V.CONCLUSION
Static Random Access Memory (SRAM) units are often
directly integrated onto the same die with the
microprocessors and influence the design metrics
significantly. SRAM often consumes large percentages of the
die size and their leakages significantly contribute to the
static power dissipation of those chips. Thats why we design
Different circuit Topologies of 7T SRAM Cell. Every circuit
produce different results and aspects Shown in Table I.
According to that aspects and requirements designer can
192

E. Morifuji, T. Yoshida, M. Kanda, S. Matsuda, S. Yamada, and F.

Matsuoka, Supply and threshold-voltage trends for scaled logic and
SRAM MOSFETs, IEEE Transactions on Electron Devices, vol. 53,
no. 6, pp. 14271432, June 2006.
E. Morifuji, D. Patil, M. Horowitz, and Y. Nishi, Power optimization
for SRAM and its scaling, IEEE Transactions on Electron Devices,
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T. Enomoto, Y. Oka, and H. Shikano, A self-controllable voltage
level (SVL) circuit and its low-power high-speed CMOS circuit
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David Hentrich, Erdal Oruklu and Jafar Saniie Performance
Evaluation of SRAM Cells in 22nm Predictive CMOS Technology
Department of Electrical and Computer Engineering Illinois Institute
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SRAM Cell,IEEE TRANSACTIONS ON CIRCUITS AND
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H. Zhu and V. Kursun Data Stability Enhancement Techniques for
Nanoscale Memory Circuits: 7T Memory Design Tradeoffs and
Options in 80nm UMC CMOS Technology Department of Electronic
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Technology Clear Water Bay, Kowloon, Hong Kong .
V. Kursun, S. A. Tawfik, and Z. Liu, Leakage-Aware Design of
Nanometer SoC, Proceedings of the IEEE International Symposium
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Masaaki Iijima, Kayoko Seto, Masahiro Numa, Akira Tada, Takashi
Ipposhi Improved Write Margin for 90nm SOI-7T-SRAM by LookAhead Dynamic Threshold Voltage Control Kobe University, 1-1
Rokko-dai, Nada, Kobe 657-8501, Japan Renesas Technology Corp.,
4-1 Mizuhara, Itami, Hyogo 664-0005, Japan.
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Nagao, S. Kayano, and T. Nakano, A Divided Word-Line Structure
in the Static RAM and Its Application to a 64K Full CMOS RAM,
IEEE Journal of Solid-State Circuits, vol. SC-18, no. 5, pp. 479-485,
Oct. 1983.
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Pradhan4 P3 (Power-Performance-Process) Optimization of NanoCMOS SRAM using Statistical DOE-ILP Department of Computer
Science and Engineering, University of North Texas, USA.1,2,3
Department of Computer Science, University of Bristol, UK.4 .
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analysis of SRAM Cells for Nanometer Technologies", Member,
IEEE, and Wim Dehaene, Senior Member, IEEE Journal Of SolidState Circuits, Vol. 41, No. 1, November 2006.
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Engineering Wright State University Dayton, OH 45435 USA.

Induction Motor Bearing Fault Identification

Using Vibration Measurement
Raj Kumar Patel, Sanjay Agrawal and

AbstractCondition monitoring and fault diagnosis of

equipment and processes are of great concern in industries. Early
fault detection in machineries can save money in emergency
maintenance cost. Therefore, it is necessary to fault detection of
various parts of the machine. In this paper we present the
detection of running speed frequency and bearing defect
frequencies of an induction motor using vibration data through
the wavelet transform and the Hilbert transform. Bearing defect
frequencies are frequencies at which roller elements pass over a
defect point. The analysis result shows that the proposed method
can diagnose faulty bearing.
Index TermsDiscrete wavelet transform, Hilbert transform,
Power spectrum, Rolling ball bearing, Spectrum.

I. INTRODUCTION

N induction motor ball bearings are among the most

important part which need to monitor. According to the
motor Reliability working group and investigation carried by
the Electric Power Research Institute, the most common
failure mode of an induction motor is bearing failure followed
by stator winding failures, and rotor failures. Therefore, proper
monitoring of bearing condition is highly cost effective in
reducing capital cost.
Vibration monitoring is the most widely used and reliable
method to detect, and distinguish defects in ball bearings. In
most machine fault diagnosis and prognosis system, the
vibration of the induction machine bearings is directly
measured by an accelerometer and conducted typically
following phases: data acquisition, feature extraction and fault
detection or identification.
When localized damage in a bearing surface strikes another
surface, impact vibrations are generated. The signature of a
damaged bearing consists of exponentially decaying ringing
that occurs periodically at the characteristic defect frequency
[1]. For a particular bearing geometry, inner raceway, outer
raceway and rolling element fault generate vibration spectra

Navin Chandra Joshi

with unique frequency components. These frequencies known

as defect frequencies are function of the running speed of the
motor and the pitch diameter to ball diameter ratio of the
bearing. The difficulty in the detection of the defect lies in the
fact that, the signature of a defective bearing is spread across a
wide frequency band and hence can be easily masked by noise
and low frequency effects. Fourier transform (FT) was used to
perform such analysis [2]-[4]. If the level of random vibration
and noise are high, the result may mislead about actual
condition of the bearings so that noise and random vibration
may be suppressed from the vibration signal using signal
processing technique such as filtering, averaging, correlation,
convolution, etc.
Advance signal processing methods, including wavelet
transform (WT) and Hilbert transformation (HT), have been
presented to extract vibration features in recent years [5]-[9].
When a local fault exists in a ball bearing, the surface is
locally affected and the vibration signals exhibit modulation
[10]. Therefore, it is necessary to implement filtering and
demodulation so as to obtain fault sensitive features from the
raw signals. At present, the Hilbert transform has been widely
used as a demodulation method in vibration-based fault
diagnosis [11]-[12]. It has a quick algorithm and can extract
the envelope of the vibration signal. In addition, WT which
can provide the useful information from vibration signal in
time domain with different bands of frequencies [12]-[14],
which can be treated as band-pass filters. Further we can
calculate the energy of each signal components and select the
higher energy signal component for the envelope detection.
This paper is organized as follows. In section II, wavelet
and Hilbert transforms are briefly introduced. Section III a
method is proposed for detection of bearing fault. In section
IV, the real vibration data of induction machine bearing is
used and evaluate the proposed method.
II.

THEORETICAL BACKGROUND

A. Wavelet Transform
Raj Kumar Patel, M.Tech student in Department of Electrical
Engineering, National Institute of Technology, Hamirpur-177005, India (email: rajkp007@gmail.com).
Sanjay Agrawal, M.Tech student in Department of Electrical Engineering,
National Institute of Technology, Hamirpur-177005, India (e-mail:
sanjay.ucer2009@gmail.com).
Navin Chandra Joshi, M.Tech student in Department of Electrical
Engineering, National Institute of Technology, Hamirpur-177005, India (email: navinjoshi.gbpec@gmail.com).

The use of wavelet transform is particularly appropriate

since it gives information about the signal both in frequency
and time domains. The continuous wavelet transform (CWT)
with wavelet
of a finite energy time domain signal
is defined as [15].

978-1-4673-0455-9/12/$31.00 2012 IEEE

193

(1)

and

(6)
(2)

Where t is the time, is the wave or mother wavelet and it

has two characteristic parameter namely, is the scale and b
is the location or space, which vary continuously. Here the
space parameter, , controls the position of the wavelet in
time and a small scale parameter
corresponds to a highfrequency component. This means that the parameter
varies for different frequencies.
The parameters and take discrete values and can
perform discrete wavelet transform (DWT). The DWT
employs a dyadic grid and orthonormal wavelet basis
functions and exhibits zero redundancy. The DWT compute
the wavelet coefficients at discrete intervals (integer
power of two) of time and scales [18], that is
and
, where m and n are integers.
Therefore the discrete wavelet function and scaling function
can be defined as follows:

Where and are the time and transformation parameters

respectively.
Because of the possible singularity at
, the integral is
to be considered as a Cauchy principle value. The Hilbert
Transform is equivalent to an interesting kind of filter, in
which the amplitudes of the spectral components are left
.
unchanged, but there are phase shifted by
In machinery fault detection, modulation on caused by local
faults is inevitable in collected signals. In order to identify
fault related signatures, demodulation is necessary step, and it
can be accomplished by forming a complex value time domain
analytic signal
with
and
That is
(7)
Where
,

(3)
and

(4)

;
is the envelope of
which
representation estimate of the modulation in the signal.

S. Mallat introduced an efficient algorithm to perform the

DWT known as the Multi-resolution analysis (MRA) [18].
MRA can decompose signals at different level. The ability of
signal decomposition can decompose a variety of different
frequency components of the mixed-signal intertwined into
different sub-band signals, which can be effectively applied to
signal analysis and reconstruction, signal and noise separation,
feature extraction, and so on. For example, if
is the
sampling frequency then the approximation of level DWT
decomposition corresponds to the frequency band
and
the detail covers the frequency range

III. THE PROPOSED METHOD FOR ROLLING BEARING FAULT

IDENTIFICATION

A. Rolling Bearing Failure Behaviour

For a particular bearing geometry, inner raceway, outer
raceway and rolling element faults generate vibration spectra
with unique frequency components, called bearing defect
frequencies, and these frequencies are linear function of the
running speed of the motor. The formulae for various defect
frequencies are as follows [19].

.
Fundamental train frequency

In MRA, signal is passing through high-pass and low-pass

filters, from which the original signal can be reconstructed.
The low frequency sub-band is called as approximation
and the high frequency sub-band by detail . Thus, at three
levels signal can be reconstructed as
.

Ball spin frequency

Outer raceway frequency
Inner raceway frequency

(5)

B. Hilbert Transform
The HT, as a kind of integral transformation, plays a
significant role in vibration analysis [16]. One of the common
ways it can be used as a direct examination of a vibration
instantaneous attributes frequency, phase and amplitude. It
allows rather complex signals and systems to be analysed in
the time domain.
The HT of function f (t) is defined by an integral transform:

Where, ,
, are the revolution per second of IR or
the shaft, Ball diameter, pitch diameter and contact angle
respectively. Manufacturer often provide these defect
frequencies in the bearing sheet.

B. The Proposed Method

For the proper identification of bearing defect frequencies,
from the vibration signal measured by accelerometer, used two
techniques DWT and HT. First one is quadratic sub band
filtering technique that can decompose the captured signal up
to three decomposition levels, using mother wavelet db10 of
Daubechies family. After decomposition of signal into detail

194

and approximation coefficient, signal was reconstructed and

calculates the energy of detail reconstructed signal using
Parsavels theorem of each level, later one provides a means
of signal demodulation. In this proposed method, the selection
of detail reconstruction signal for HT is based on the higher
energy contain by that detail reconstructed signal.
To make the signals comparable regardless of difference in
magnitude, the signals are normalised by using following
equation
(8)
Where
is reprocessed signal, and the mean value
respectively.
and standard deviation of
When a local fault exists in the bearing, there is modulation
in the signal. To reduce the impact of modulation, the Hilbert
transform was performed on higher energy detail
reconstructed signals using (6) and (7), and the corresponding
analytical signals and their envelopes,
, can be obtained.
th
is the envelope signal of the j detail reconstructed
Here,
signal
after the Hilbert transform. To identify the
existence of defect frequency components (such as BS, IR,
OR, FTF) of the bearing, perform the spectrum analysis of
A flow chart of the bearing defect frequencies identification
based on wavelet and the Hilbert transform as shown in Fig. 2.

data is acquired using accelerometers, which are attached in to

the housing with magnetic basis. Digital data us sampled at
12,000 samples per second and recorded using 16 channel
DAT recorders. Motor bearings were seeded with faults using
electro-discharge machining (EDM). In this paper, four set of
data were obtain from experiment system:
1. Under normal condition.
2. With inner raceway fault.
3. With outer raceway fault.
4. With a ball element fault.
The selected fault is 0.5334 mm in diameter on full load
and speed during the experiment near to 1754 rpm. The time
domain vibration signals considered for the analysis are
collected for four different condition of the bearing at full load
is shown in Fig. 2(a), 2(b), 2(c), 2(d).
B. Experimental Result
Listed in Table I, II shows the specification and the main
defect frequencies based on geometric structure of the bearing
respectively [19]. The vibration data analyzed for this case is
for a faulty bearing located at the drive end side at full load. In
order to evaluate the proposed method, FFT is taken of raw
signal with inner race defect is shown in Fig. 3 and find that, it
is very difficult to identify the defect frequency so that, the
proposed method applied to the bearing vibration data and
result shown in Fig. 4 to Fig. 7. The location of the
frequencies peaks can be used to distinguish between normal
and abnormal behaviors.
The shaft rotating frequency is about 29 Hz on full load so
that at normal condition the only peaks exist at multiple
integral of shaft rotation frequency as shown in Fig. 4.
From Fig. 5, it can be seen that the dominating frequency
are 158 Hz and its multiple integral which is identified as the
IR. Such a frequency indicates the existence of a localized
defect on inner raceway.
0.25
0.2
0.15

Amplitude

0.1
0.05
0
-0.05
-0.1
-0.15
-0.2
-0.25
0

0.05

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.45

0.5

Time (sec)

Fig. 2. (a) Vibrartion signal of normal condition

3

Amplitude

Fig. 1. Flow chart for identification of defect frequencies

result and discussion

-1

A. Description of Experiment
Vibration signals provided by the CWRU (Case Western
Reserve University) bearing data center [20], collected a 2 HP
motor fixed in a test stand is used for investigation. Vibration

-2

-3
0

0.05

0.1

0.15

0.2

0.25

0.3

0.35

Time (sec)

Fig. 2. (b) Vibrartion signal of Inner race defect condition

195

0.4

0.45

0.5

spectrum indicates that the fault localized in ball of the

bearing.

16

Amplitude

x 10

raw signal
0

14

-2

12
-4

0.05

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.45

Amplitude

10
-6
0

0.5

Time (sec)

Fig. 2. (c) Vibrartion signal of Outer race defect condition

6
0.5

0.4
0.3

X: 444
Y: 1.161e+005

Amplitude

0.2
0.1

0
0

1000

2000

3000

4000

5000

6000

frequency f/Hz

-0.1

Fig. 3. Power spectrum of Inner race defect bearing raw vibration signal
-0.2
-0.3
-0.4
0

0.05

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.45

500

0.5

Time (sec)

Normal

450

Fig. 2. (d) Vibrartion signal of rolling element defect condition

400
350

Specification

Value

Number of rolling element, N

spectrum P/W

TABLE I
BALL BEARING SPECIFICATION

300
250
200

fr

150

Diameter of rolling element, Bd

X: 29.3
Y: 146.2

7.940 mm

Pitch diameter of bearing, Pd

39.039 mm

Contact angle,

100

2*fr

50
0
0

200

400

600

800

1000

frequency f/Hz

Fig. 4. Power spectrum of ball bearing vibration signal at normal condition

TABLE II
CHARACTERISTICS OF BALL BEARING

Defect Frequencies
Running speed frequency,

Value

500

29.23 Hz

450

IR

400

Fundamental train frequency,

IR Defect

X: 157.5
Y: 418.9

11.64 Hz
68.89 Hz

Outer raceway frequency,

104.76 Hz

Inner raceway frequency,

158.34 Hz

spectrum P/W

350

Ball spin frequency,

300
fr
250

2*IR

200
BS
IR+fr

150
100

As shown in Fig. 6, the dominating frequency exists at 105

Hz and its multiple integral can be identified as the OR. The
existence of such frequency component in the spectrum
indicates that the rolling bearing developed a localized defect
on its outer raceway.
Figure. 7, shows the dominating frequency at 99 Hz, This
frequency is identified as BF+fr and also exist at BF+2*fr,
BF+3*fr. The existence of such frequency component in the

IR-fr

3*IR
50
0
0

200

400

600

800

1000

frequency f/Hz

Fig. 5. Power spectrum of bearing vibration signal at inner raceway defected

condition.

196

[3]
1000
OR Defect

900

OR

[4]

800

spectrum P/W

700

fr

X: 104.7
Y: 788.5

[5]

600
OR-fr

[6]

500
400
OR+fr

300

[7]
2*OR

200

3*OR

100
0
0

200

400

[8]
600

800

1000

frequency f/Hz

Fig. 6. Power spectrum of bearing vibration signal at outer raceway defected

condition.

[9]

[10]

500
Ball Defect

450

[11]

400

spectrum P/W

350
300

[12]

250
200
150

X: 99.61
Y: 134.3

fr
100

[13]

BS+fr
BS+2*fr

[14]

50
0
0

200

400

600

800

1000

[15]

frequency f/Hz

Fig. 7. Power spectrum of bearing vibration signal at ball defected condition.

IV. CONCLUSION

[16]

This paper has presented an approach for identification of

bearing defect frequencies at full load. The approach takes
advantage of the merits of DWT and HT to extract the features
from bearing vibration signal of an induction motor. The
experimental bearing results obtained have shown this
proposed method can be used for bearing fault detection and
diagnosis.

[17]
[18]
[19]
[20]

V. ACKNOWLEDGMENT
The authors would like to thank Professor L. A. Laparo of
Case Western Reserve University for providing access to the
bearing data sheet.
VI. REFERENCES
[1]

[2]

S. Wadhwani, S. P. Gupta and V. Kumar, Wavelet based vibration

monitoring for detection of faults in ball bearings of rotating machines,
Journal Inst. Eng. (India) -EL, vol. 86, pp. 77-81, 2005.
B. Yazc, G.B. Kliman, An adaptive statistical time-frequencymethod
for detection of broken bars and bearing faults in motors using stator
current, IEEE Trans. Ind. Appl., vol. 35, no. 2, pp. 442452, 1999.

197

S. Seker, Determination of air-gap eccentricityin electric motors using

coherence analysis, IEEE Power Eng. Rev, vol. 20, no. 7, pp. 48-50,
2000.
S. Seker, E. Ayaz, A study on condition monitoring for induction
motors under the accelerated aging processes, IEEE Power Eng. Rev.,
vol., 22, no. 7, 2002.
N.G. Nikolaou, I.A. Antoniadis, Rolling element bearing fault
diagnosis using wavelet packets, NDT& E International,vol. 35, pp.
197-205, 2002.
Michael Feldman, Hilbert transform in vibration analysis- A tutorial
review, Mechanical Systems and Signal Processing, vol. 25, pp. 735802, 2011.
G.K. Singh , Saleh Al Kazzaz Saad Ahmed, Vibration signal analysis
using wavelet transform for isolation and identification of electrical
faults in induction machine, Electric Power Systems Research, vol. 68,
pp. 119-136, 2004.
Serhat Seker, Emine Ayaz, Feature extraction related to bearing
damage in electric motors bywavelet analysis, Electric Power Systems
Research, vol. 65, pp. 197-221, 2003.
Hasan Ocak, Kenneth A. Loparo, Estimation of the running speed and
bearing defect frequencies of an induction motor from vibration data,
Mechanical Systems and Signal Processing, vol. 18, pp. 515-533, 2004.
J. Antoni, and R.B. Randall, Differential diagnosis of gear and bearing
faults, Journal of Vibration and Acoustics, vol.124, no.2, pp.65- 171,
2002.
D. Wang, Q. Miao, X. Fan, and H.Z. Huang, Rolling element bearing
fault detection using an improved combination of Hilbert and wavelet
transforms. Journal of Mechanical Science and Technology, vol.23,
no.12, pp. 3292-3301, 2009.
Y. Qin, S. Qin, and Y. Mao, Reasearch on iterated Hilbert transform
and its application in mechanical faults diagnosis, Mechanical Sustem
and Signal Processing, vol.22, no.8, pp. 1967-1980, 2008.
D. Wang, Q. Miao, and R. Kang, Robust health evaluation of gearbox
subject to tooth failure with wavelet decomposition, Journal of Sound
and Vibration, vol.324, no.3-5, pp. 1141-1157, 2009.
G. Niu, A. Widodo, J.D. Son, B.S. Yang, D.H. Hwang, and D.S. Kang,
Decision-level fusion based on wavelet decomposition for induction
motor fault diagnosis using transient current signal, Expert Systems
with Applications, vol.35, no.3, pp. 918-928, 2008.
F. Al-Badour, M. Sunar, L. Cheded, Vibration analysis of rotating
machinery using time-frequency analysis and wavelet technique,
Mechanical System and Signal Processing, vol. 25, pp. 2083-2101,
2011.
Michael Feldman, Time-varying vibration decomposition and analysis
based on the Hilbert transform, Journal of Sound and Vibration, vol.
295, pp. 518-530, 2006.
A. Mertins, Signal analysis: wavelets, filter banks, time-frequency
transforms and applications. John Wiley & sons Ltd; 1999.
S. Mallat, Awavelet Tour of Signal Processing, Academic Press, New
York, 1997.
V. Wowk, Machinery Vibration, Measurement and Analysis, McGrawHill, New York, 1991.
Case Western Reserve University, Bearing data center [online],
Available:URL:http://www.eecs.cwru.edu/laboratory/bearing/download.
htm, 2011.

Design of FPGA based Digital Controller for 2nd

and Higher Order Systems
Avishek Adhikary, Munmun Khanra, Karabi Biswas, Member, IEEE

AbstractThis paper describes a new method for designing

digital controller and their FPGA based realization schemes.
The design method is based on time domain response to meet
three different time domain specifications settling time, peak overshoot/rise time and closed loop gain ensuring minimal ITAE. This
design method follows Graham Lathrop optimal polynomials (GL
Polynomials) with an introduction of Left Hand Side zero (LHS
Zero). The same design method to be applicable for any system
from 2nd to 6th order. Simulation results of tests for robustness
and specifications change also featured in this paper.
Index TermsDigital controller, FPGA based realization, Time
response specifications, Minimal ITAE, GL Polynomials, LHS
zero, 2nd to 6th order systems, Robust Controller.

I. I NTRODUCTION

LTHOUGH more advanced methods for controller design are starting to become available, the PID control
algorithm will in all likelihood continue to be used for most
process control applications for some time to come due
to its simplicity, familiarity, availability and generally good
performance when the application is not too demanding [1].
Though a number of PID tuning algorithms are existing still
very few of them give the liberty to achieve all three desired
specifications (i.e. settling time, peak and gain) independently
and ensuring minimal ITAE at the same time and fewer can
be generalized for 3rd or higher order system. The general
practice in such cases, is to go for online tuning process based
on different optimization techniques [2], [3].
Digital Controller design process, adopted here, is based
on Graham Lathrop Optimal ITAE Step Response Coefficients
[4]. Beside, this digital controller design is aimed to meet time
response specifications as time response specifications can be
visualized easily. More over in the era of modern control,
time response specifications were revisited and gained more
significance than frequency response specifications. Here, once
the controller is designed on time response specifications, their
frequency response specifications are also evaluated.
The controller has its domain in linear time invariant system;
though many non-linear systems can be linearized around
the point of operation and many slowly varying systems can
be considered as time invariant over a small period of time

Avishek Adhikary is student of M.Tech. Program in the Department of

Electrical Engineering, Indian Institute of Technology (IIT) Kharagpur, India
(adhikary_avi@yahoo.com)
Munmun Khanra is research scholar in the Department of Electrical Engineering, Indian Institute of Technology (IIT) Kharagpur, India
(munmunkhanra@gmail.com)
Karabi Biswas is Assistant Professor in the Department of Electrical Engineering, Indian Institute of Technology (IIT) Kharagpur, India
(kbiswas@ee.iitkgp.ernet.in)

978-1-4673-0455-9/12/$31.00 2012 IEEE

[5]. On judicial LTI representation, such systems can also be

controlled by this design algorithm.
The beauty of this design algorithm lies in the fact that same
design algorithm is applicable for 2nd to 6th order system and
controller coefficient calculation in this process is a simple
one. Beside, the algorithm takes 3 specifications as inputsettling time, either of the output rise time or output peak
overshoot (this specification ensure that system to be neither
sluggish nor too peaky) and overall gain. Also design ensures
stability for all open loop stable and unstable processes, zero
steady state error for constant input, and closeness to minimal
ITAE. Briefly, it is an algorithm which designs a controller for
any system up to 6th order with 3 degrees of freedom ensuring
stability, zero steady state error and low ITAE.
The paper is organized as follows. Section II details determination of optimal transfer function. In Section III, digital
controller design method has been explained. Results of robustness test comes under section IV. Section V contains test
result for changes in specifications. Frequency response are
included in section VI. Section VII concludes the paper.
II. O PTIMUM T RANSFER F UNCTION
In this paper the design method will be discussed, at first,
on the basis of a second order plant of
G (s) =

4175
(s2 + 9.1056s + 266.3424)

(1)

i.e. peak overshoot(MP )=40.14%, settling time(ts )= 879 ms,

open loop gain = 15.675.
Here the controller is designed to meet following specifications - peak overshoot(MP )=8%, settling time(ts )= 200 ms
and closed loop gain is unity with zero steady state error.
The analog PID controller design is based on the fact that
for the nth order system, the closed loop response with PID
controller is going to be (n+1)th and hence should follow
the corresponding optimal ITAE Transfer Function set by
Graham and Lathrop [4]. Y. Cao modified Coefficient values
to get lesser ITAE [6] but the differences in values are so
small that they will be hardly reflected after digitization due
to quantization. They determined the optimal solution for
minimum ITAE as optimal transfer function,
TOP T (s) =

n
sn + 1 sn1 + + n2 s2 + n1 s + n

(2)

The coefficients i are tabulated in Table I from where it

is clear that TOP T (s) is actually a f (n ). The desired n is
then to be approximated from given ts (0.2sec) from second
order step response criteria [7]

198

ts = 4/n

(3)

TABLE I
G RAHAM L ATHROP C OEFFICIENTS (i )FOR O PTIMAL S TEP R ESPONSE
P OLYNOMIAL

Here value is approximated from second order response

equation

2
(4)
MP = e/ (1 )

order s6
2
3
4
5
6
1

n3 /(s3 +

This n is used in the 3rd order ITAE system i.e.

1.75ns2 + 2.25n2 s + n3 ) (for 2nd order plant; one order
more is required, as controller itself will introduce one more
pole [viz. Fig. 1] ) and value of ts is verified. Time ts is to
be found greater than the specified value, so value of n is
increased iteratively to meet the desired ts and required n is
determined.
It is important to note that, though n varies, the GL
polynomials always yield a fixed peak overshoot i.e. 2% [viz.
Fig. 2]. So to get desired peak overshoot /rise time, a LHS
zero as (as+1) has been introduced in this work and here
the algorithm determine the location of zero -1/a iteratively
to achieve desired peak. Gain is adjusted multiplying a gain
factor as necessary. The Optimal Transfer Function TOP T (s)
then becomes
TOP T (s) =

Fig. 1.

k (as + 1) n3
s3 + 1.75n s2 + 2.15n2 s + n3

(5)

2nd order plant with PID controller is a 3rd order system

s5

s4

s3

1
3.2n

1
2.8n
2
6.6n

1
2.1n
2
5.0n
3
8.6n

s1
1.40n
2
2.15n
3
2.70n
4
3.40n
5
7.95n

s0
2
n
3
n
4
n
5
n
6
n

will be very much dependent on the value of sampling interval

(T) and will approximate the analog response only at very low
value of T [8].
Designing the Controller coefficients in z domain directly
will bypass the requirement of very high sampling rate as well
as will help us to implement one pulse delay in feedback loop
which now inevitable [9], [10] as the output value will be
available at comparator point only in the next clock pulse, in
digital domain[ viz. Fig. 3]. This one pulse delay in feedback
path also helps to consider the ADC and DAC conversion
delays with in it. And this same delay also make an n th order
bi-proper open loop system to be an (n+1) th order system
in closed loop. It is worthy to mention here that digitization
process may make any strictly proper analog system to a
bi-proper one. (like in the case of bilinear method). So for
generality the closed loop system (with one delay unit in
feedback path) will be considered to be of one order more
than open loop system. Optimality in ITAE will be found on
the basis of this (n+1)th order system. Sampling frequency is
chosen more than 10 times the desired value of n [8]. Here T
is chosen 10ms giving s = 628.32 radian/sec which is more
than 16 times of n .
Input

n 2 (z) /
d 2 (z)

n 1 (z) /
d 1 (z)

20

1000

s2
1
1.75n
2
3.40n
3
5.50n
4
7.45n

X 1 (z)

R (z)
PreFilter1

Output

X 2 (z)

E ( z)

r 2 (z) /
p 2 (z)

C 2 (z) /
1-z -1
U (z)
Controller

PreFilter2

Y (z)
Plant

16

800

z -1
a = .235

600
ts
(in
ms)

12
'a' i

ncr

400

200

eas

es

a=0

B (z)

MP
(in
%)

Fig. 3.

0
0

20

40

60

80

A. Zero Order Hold Method

100

Both TOP T (s) and G(s) are discretized to TOP T (z 1 ) and

G(z 1 )[= N (z 1 )/D(z 1 )] step invariance method. Now
from Fig. 3, we get,

w n (in rad /s)

Fig. 2.

Digital Controller with Cascaded Pre-Filter

MP and ts versus n for varying a (LHS Zero)

TCL (z 1 ) =

III. D ESIGN OF D EIGITAL C ONTROLLER

Design of Digital controller can be done by discretizing
the controller and pre-filter block. But since discretized blocks
will always have different Transfer Functions depending on the
method of discretization (say, Backward/ Forward Rectilinear,
Impulse or Step Invariance, Bilinear or Tustin etc) the response

I+P z 1 +Dz 2 r(z 1 )

1z 1
p(z 1 )
1
2 r(z 1 )
1+z 1 I+P z +Dz
1
1z
p(z 1 )
1
2
1

(6)

(I+P z +Dz )r(z )

(1z 1 )p(z 1 )+z 1 (I+P z 1 +Dz 2 )r(z 1 )

Now there is z 1 and z 2 terms in numerator of G(z 1 )

i.e. in r(z 1 ) Hence the denominator of TCL (z 1 is no more
of the same order of TOP T (z 1 ). TOP T (z 1 ) is then modified

199

to TOP T (z 1 ) when,

TP F (z 1 ) =
1

a 0 + a1 z + + aM z
TOP T (z 1 )
TOP T (z 1 ) =
a0 + a1 z 1 + + aM z M
(7)
M = no. of poles in TCL (z 1 ) - no. of poles in TOP T (z 1 )
For second order plant, from (6) and (7), we get,
1

(a0 + a1 z + a2 z )(D0 + D1 z + D2 z + D3 z
= (1 z 1 )p(z 1 ) + z 1 (I + P z 1 + Dz 2 )r(z 1 )

D0
D1

D2

D3

0
0

0
D0
D1
D2
D3
0

a p

0 0
0
0
0
0
0 r0 0
0 a1 p 1 p 0

a2
D0 r1 r0 0
p2 p1

= p2
I
D1 r2 r1 r0
P 0
D2 0 r2 r1
D
0
D3 0
0 r2

i


N (z 1 )
n(z 1 )
=
d(z 1 )
(I + P z 1 + Dz 2 )r(z 1 )

an din = pi pin +

n=0

i


(13)

cn rin

n=0

(8)
Equation (13) produces square matrix of rank (2N + 2) to
get N + 1 controller coefficients (ci ) and (N + 1) no. of ai
coefficients as required and equation (13)implies
[Q](2N +2)(2N +2) [X]1(2N +2) = [P ]1(2N +2)

(9)

D0
0
D1
D0

D2
D1

Dn Dn1
[Q] =
Dn+1 Dn

0 Dn+1

0
0

The desired numerator term N (z 1 ) is achieved by a prefilter of transfer function [8],

TP F (z 1 ) =

(12)

from (11) and (12), we get

From (6) we get,

a(z 1 )N (z 1 )
c(z 1 )r(z 1 )

(10)

With this designed value of ni , di , and I, P, D we get the

desired time response as in Fig. 4.

0
0
0
0
r0
0
0
r1
r0

D0 rn1 rn2
D1
rn rn1
D2
0
rn

Dn+1
0
0

0
0
0

0
r0
r1

rn

[X] = [a0 an c0 cn ]T and [P] =[P1 P2N +2 ]T

where Pi = pi pi1 ; pi = 0 if i < 0 or i > n.

Step Response

1.4
1.2

(14)

Amplitude

1
Step Response

0.8

3.5

0.6

Controlled_Response

0.4

Perunitized_Uncontrolled
Controlled_Effort

0.2

2
Amplitude

0
0.2

Controlled_Response
Perunitized_Uncontrolled

2.5

1.5

0.2

0.4

0.6

Time (sec)

0.8

1.2

0.5
0

Fig. 4.

Controlled response and Control Effort

0.5

The modification of TOP T (z 1 ) to TOP T (z 1 ) burden the

pre-filter with some extra delay (z 1 terms). It is advisable to
realize the pre-filter with two or more smaller blocks in cascade (viz. Fig. 3) rather than with a large one having large no.
of delays, otherwise conversion-truncation-quantization error
will accumulate at every stage leading undesired response.
B. Design for Higher Order System

Fig. 5.

0.2

0.4

Time (sec)

0.6

0.8

Controlled Response for Third Order Unstable System

C. FPGA Implementation in Xilinx

The design methods for 2nd order system, detailed above,

can be applied for higher order systems or the systems
with zero also. The modification required is that controller
numerator will not of 3 term (i.e. I, P, D) only, rather they
are to be generalized as c1 , c2 , c3 ...cQ where Q = order of the
uncontrolled plant. Now from (6) and (7), we get

In Xilinx the controller and pre-filter block was realized

applying velocity algorithm [8]. Fig. 6 and Fig. 7 correspondingly will show their realization scheme through FPGA blocks.
The underlying design algorithm of realization is detailed
below for pre-filter block - [viz. Fig. 7]

a(z 1 )D(z 1 ) = (1 z 1 )p(z 1 ) + z 1 c(z 1 )r(z 1 ) (11)

200

x(z 1 )
r(z 1 )

n0 +n1 z 1 +n2 z 2 +n3 z 3

d0 +d1 z 1 +d2 z 2 +d3 z 3

VI. F REQUENCY R ESPONSE OF C ONTROLLED O UTPUT

Frequency response of controlled loop has been depicted
in Fig. 8. It is evident from magnitude response that the
controlled loop act as low-pass filter. The output will follow
the sinusoidal input up to around 7 Hz and suffer about 60 dB
attenuation at 50 Hz or more.

Fig. 6.

Controller Realization in Xilinx

TABLE II
R ESULT FOR T EST IN ROBUSTNESS OF D IGITAL C ONTROLLER
Case
No
1(kP )
2()
3(n )
4(all)

Change in MP
+25% nominal
+4.65 +7.97
+3.40 +7.97
8.20 +7.97
6.90 +7.97

(%)
25%
+10.75
+11.65
+25.22
+28.30

Change in ts (ms)
+25% nominal 25%
.240
.198
.320
.110
.198
.210
.460
.198
.320
.270
.198
.300

i.e.
r(z 1 )(n0 + n1 z 1 + n2 z 2 + n3 z 3 )
= x(z 1 )(d0 + d1 z 1 + d2 z 2 + d3 z 3 )
or,
n0 r(k) + n1 r(k 1) + n2 r(k 2) + n3 r(k 3)
= d0 x(k) + d1 x(k 1) + d2 x(k 2) + d3 x(k 3)

Fig. 8. Frequency Response for Controlled System with Digital Controller.

or,
n0 r(k) = d0 x(k) + d1 x(k 1) + d2 x(k 2)
+d3 x(k 3) n1 r(k 1) n2 r(k 2) n3 r(k 3)
(15)
Finally since Spartan 3A/3AN FPGA Board are to be used
with clock frequency 50 MHz hence the clock time period is
20 ns where sampling time is 10 ms. This signifies that one
pulse delay in feedback path will cover all the ADC and DAC
conversion delays.
IV. A T EST OF ROBUSTNESS
Case 1. Uncompensated gain changes 25%
Case 2. Plant changes 25%
Case 3. Plant n changes 25%
Case 4. Plant gain, , n , all changes 25%
Results are tabulated in table II.
V. A T EST FOR C HANGE IN S PECIFICATION
The required value of ts has been reduced gradually from
200 ms to 20 ms. Corresponding change in digital controller
coefficients was observed. They suffer around 100 times
increase for this (1/10)th change in specification. And that
is much less or less-diversified change with respect to analog
controller. The analog controller designed for same TOP T (s)
needs 10 to 1000 times increase for kD , kP and kI . (viz. Table
III).

VII. C ONCLUSION
Here plant is discretized by step invariance method, hence
the design take care of that inherent proneness to instability
come with S/H operation.
This method utilizes pole-zero cancellation for achieving
numerator polynomials which exclude the scope of shaping
RHS zeros, present in a plant.
Beside the test of robustness shows (viz. Table II) a good
relative stability has been achieved by this design algorithm.
Although the MS (Peak of Sensitivity Function Frequency Response) and MT (Peak of Complementary Sensitivity Function
Frequency Response) can be determined not controlled here.
RHS zero handling and MS , MT control are two scopes where
possible enhancement of this method lies. That is to be focused
on the future work.
Since the method has a generic design approach for higher
order system, hence it will have useful utilization in fractional
order plant control where the plant are supposed to approximated through high integer order system.

201

R EFERENCES
[1] K. J. Astrom and T. Hagglund, The future of PID control, IFAC
J.Control Engineering Practice, vol. 9, pp. 1163 1175, 2001.
[2] A. E. A. Awouda and R. BinMamat, Refine PID tuning rule using itae
criteria, Computer and Automation Engineering (ICCAE); Conference
of the IEEE, 2010.

Fig. 7.

Pre-filter Realization in Xilinx

TABLE III
C OMPARISON OF A NALOG AND D IGITAL C ONTROLLER C OEFFICIENT S VALUE , WHILE DESIRED SETTLING TIME REDUCED FROM 200 MS TO 20 MS
ts
kP
kI
kD
a
P
I
D
Ts

20ms
12957
73.593
.1563
.0015
170.300
274.238
113.183
1ms

40ms
1632
18.448
.0773
.0035.
42.476
68.164
28.038
2ms

60ms
495
8.294
.0512
.0060
18.923
30.230
12.387
3ms

80ms
211
4.662
.0380
.0080
10.601
16.880
6.896
4ms

100ms
109
2.977
.0300
.0105
6.751
10.714
4.365
5ms

[3] Il Hong Suh and Zeungnam Ben, Use of time-delay actions in the
controller design, Transactions of the IEEE, vol. 25, no. 3, pp. 600
603, 1980.
[4] D. Graham and R.C. Lathrop, The synthesis of optimum response:
Criteria and standard forms, part 2, Transactions of the AIEE, vol. 72,
pp. 273 288, 11 1953.
[5] R. D. Dorf and R. H. Bishop, Modern Control Systems. PrenticeHall.Inc, 9 ed., 2001.
[6] Y. Cao, Correcting the minimum ITAE standard forms of zerodisplacement-error systems, Journal of Zhejiang University (Natural
Science), vol. 23, no. 4, pp. 550 559, 1989.
[7] I. J. Nagrath and M. Gopal, Control Systems Engineering. TATA
McGRAWHILL, INDIA, 4 ed., 2007.
[8] M. Gopal, Digital Control and State Variable MethodsConventional
and Intelligent Control System. TATA McGRAWHILL, INDIA, 3 ed.,
2009.
[9] T. R. Padmanabhan and B. Bala Tripurasundari, Design through Verilog
HDL. John Wiley and Sons, 1 ed., 2005.
[10] Samir Palnitkar, Verilog HDL, A guide to Digital Design and Synthesis.
Prentice-Hall.Inc, 2 ed., 2011.

202

120ms
63
2.059
.0247
.0125
4.66
7.372
2.996
6ms

140ms
41
1.528
.0211
.0145
3.431
5.401
2.187
7ms

160ms
28
1.168
.0183
.0165
2.615
4.100
1.656
8ms

180ms
20
.909
.0160
.0185
2.042
3.194
1.288
9ms

200ms
14
.716
.0141
.0210
1.623
2.534
1.021
10ms

Wave Atom-SVD Based Digital Image

Watermarking Scheme
Hem Kandpal, Hitanshu Katiyar, and Manoj Kumar

Abstract-- Digital watermarking is a technique of embedding

some information (usually hidden copyright notices) into an
image. It has found applications in a number of varied fields
like copyright protection, content authentication, document
annotation, medical imaging. In this paper we propose a hybrid
image watermarking technique based on wave atom transform
and singular value decomposition (SVD). Experimental results
clearly show that this proposed scheme is quite resilient to
various image processing attacks.
Index Terms-- Authentication, copyright protection, digital
watermarking, singular value decomposition (SVD), wave atom.

I. INTRODUCTION

NTERNET has made it extremely easy for anyone to share

any kind of data with or without the consent of its owner; to
curb this menace of unauthorised data transmission digital
watermarking [2], [3] came out as a solution. In digital image
watermarking we embed a hidden copyright notice onto the
cover image. Later it could be extracted to claim the
ownership of the image. It is also being used for content
authentication, document annotation, biomedical image
processing [4], [5], secret communication [1]. A good
watermark should be robust and imperceptible. Robustness
refers to resilience of the watermark towards common image
processing attacks as well as intentional attacks. In particular,
watermark should still be detectable or extractable even after
common signal processing operations (such as geometric
transformations,
cropping,
compression,
filtering,
resampling, scaling, rotation etc.) have been applied to the
watermarked image. Imperceptibility means that it should not
affect the visual quality of the cover image due to its presence.
Robustness and imperceptibility of the watermark have a
trade-off between them. It is desirable for a watermarking
scheme to achieve a balance between both these properties.
Watermarking can be categorised into spatial domain or
transform domain depending upon how the watermark is
being embedded. In spatial domain the watermark is directly

Hem Kandpal is with the Department of Electronics and Communication

Engineering, Govindh Ballabh Pant Engineering College, Pauri Garhwal246194, India (e-mail: hemkandpal17@gmail.com).
Hitanshu Katiyar and Manoj Kumar are with the Department of Electronics
and Communication Engineering, Govindh Ballabh Pant Engineering College,
Pauri
Garhwal-246194,
India
(e-mail:
hitanshukatiyar@gmail.com
manoj_nand@rediffmail.com).

embedded onto the pixel level itself. It has the advantage that
it is fast and easy to implement but the embedded watermark
gets distorted even in the slightest introduction of noise or in
case of any tampering. In transform domain, watermark is
added onto the coefficients of the cover image obtained after
the transformation e.g. discrete cosine transform (DCT),
discrete wavelet transform (DWT), and singular value
decomposition (SVD). Transform domain techniques are
usually preferred over spatial domain techniques because of
the fact that they are more resilient to various image
processing attacks.
Demanet introduced a new multi-scale transform called
wave atoms [7]. It can be used to represent warped oscillatory
functions. It produces a sparser expansion in case of oriented
textures as compared to wavelets. Wave atom has found
application in the field of image de-noising [10] and image
compression. A slight modification of textured areas is
usually imperceptible by human eyes as the human visual
system (HVS) is not very sensitive to presence of noise in
textured areas. Thus, modifying significant wave atom
coefficients would not degrade the image quality extensively.
One of the important properties [6] of the SVD is that
singular values of a matrix do not exhibit prominent change
when slight variation in the matrix elements is being carried
out. This property encourages watermark insertion onto the
singular values of the matrix. In this paper we propose a
hybrid digital image watermarking technique combining both
these transformation methods. Experimental results have also
been provided to prove extreme robustness of this proposed
scheme.
II. BACKGROUND REVIEW AND THE PROPOSED APPROACH
A. Wave Atom Transform
Wavelet transform has been widely used to perform
watermarking, using the multi-resolution and localization
properties of HVS. However, it cannot effectively represent
textures and fine details in images for lacking of
directionality. Indeed, wavelets are not suited to the
representation of anisotropic objects. Wave atom transform
introduced by Demanet [7] can be seen as a variant of 2D
wavelet packets which obey the parabolic scaling law, i.e.
wavelength (diameter)2. The main properties of wave atoms
transform are the ability to adapt to arbitrary local directions

978-1-4673-0455-9/12/$31.00 2012 IEEE

203

of a pattern and the ability to sparsely represent anisotropic

patterns aligned with the axes. The elements of a frame of
wave packets {u ( x)} , x R2, are called wave atoms when
there is a constant CM such that
M
M
u CM 2 j 1 2 j u CM 2 j 1 2 j u

u C M 2 j 1 2 j x xu
denotes

Fourier

with

transformation

2The

M=1,
and

(1)

the

cap

subscript

u ( j, m1 , m2 , n1 , n2 ) of integer-valued quantities index

and point ( xu , u ) in phase space as
xu ( x1 , x 2 ) u 2 j (n1 , n2 ),

(2)

u (1 , 2 ) u 2 j (m1 , m2 ),
where, C A 2 j max k 1, 2 mk C B 2 j , with

C A and C B

positive constants whose values depend on the numerical

implementation. Hence, the position vector xu is the center
of u (x) , and the wave vector u denotes the centers of both
bumps of ( ) .

atom frame. For MATLAB based wave atom tool box refer
[9].
B. SVD-Based Watermarking
Singular value decomposition is a mathematical tool used
to decompose a matrix into two orthogonal matrices and one
diagonal matrix consisting of the singular values of the
matrix. From the point of image processing an image can be
considered as a 2D matrix. Therefore, consider an image A to
be an m x m matrix; the SVD of A can be given by A=USVT,
where U and V are orthogonal matrices, and S=diag (i ), is a
diagonal matrix of singular values i=1, 2, m arranged in
decreasing order. The columns of V are the right singular
vectors, whereas the columns of U are left singular vectors of
the image A. In case of SVD based watermarking, SVD of the
cover image is taken and then singular values of the matrix
are modified by introducing the watermark. SVD approach
has found use in watermarking field because of the fact that
singular values obtained after decomposition of the image
matrix are very stable and do not change on introduction of
small perturbations. Moreover, singular values represent
intrinsic algebraic image properties [6].
C. Proposed Wave Atom-SVD Watermarking Scheme

The parabolic scaling is encoded in the localization

conditions as follows [8]: at scale 2-2j , the essential frequency
support is of size 2-2j . The subscript j denotes different
dyadic coronae and the subscripts (m1, m2) label the different
wave number u within each dyadic corona.
In fact, wave atoms are constructed from tensor products of
1D wavelet packets. The family of real-valued 1D wave
packets is described by

mj 1,n1 ( x)

S W U w S wVwT
(3)

m1

where, m1 (1) m1 and m1 (2m1 1) / 4 . The function

g is an appropriate real-valued C bump function, compactly
supported on an interval of length 2 and chosen such that

(4)
The 2D extension is formed by the products

( x1 , x2 ) H ( x1 2 n1 ) H ( x2 2 n2 )
j

(8)

j
m2

4. Obtain modified coefficient matrix Ac i.e.,

u ( x1 , x2 ) mj 1 ( x1 2 j n1 ) mj 2 ( x2 2 j n2 ),

(7)

where, denotes the scale factor. The scale factor

is used to control the strength of the watermark to
be inserted. Its value should be chosen wisely or
else the watermark would adversely affect the visual
quality of the cover image.

Ac* USwV T

( ) 1
0
m1

(6)

3. Modify the singular values with the watermark

image and then apply SVD to it, i.e.,

m0 1 (1 ) e i / 2 {e i m1 g[ m1 (1 m1 )]
2

i
e
g[ m11 (1 m1 )]},

j
m1

Ac USV T

functions, where

j 0, m1 0 and mj 1,n1 ( x1 ) 2 j / 2 m0 1 (2 j x1 n1 ) with

1) Watermark embedding:
1. Apply forward wave atom transform to the cover
image A to obtain five sub bands (in our case) in the
form of cell arrays, manipulate the cell arrays to
obtain matrix Ac consisting wave atom coefficients.
2. Apply SVD to Ac. i.e.,

(5)

5. Manipulate Ac to obtain a cell array; take inverse

wave atom transform to obtain the watermarked
image Aw.
2) Watermark Extraction:
1. Apply forward wave atom transform on the
*

Where H is the Hilbert transform, u=(j,m1,m2,n1,n2) and

u(1) (u u ) / 2 , u( 2) (u u ) / 2 form the wave
204

watermarked image Aw (possibly distorted) to

obtain five sub bands in the form of cell arrays;

manipulate these sub bands (cell arrays) to form a

Mw Nw

*
cw .

matrix A

NC

2. Apply SVD to Acw i.e.,

(i, j )]

i 1 j 1

(14)

Mw Nw

Mw Nw

[W (i, j )] [W
2

*
Acw
U * S w*V *T

3. Compute,

[W (i, j )].[W
i 1 j 1

(9)

D* U w S w*VwT
(10)

4. Extract the watermark image, i.e.,

( D* S )
W*

(i, j )]2

i 1 j 1

where, Mw and Nw denote the size of the watermark image.

More the similarity between the extracted watermark and the
original watermark more is the normal correlation value.
Maximum value attained by normal correlation (NC) can be
1, resembling perfect matching of the extracted watermark
with the original watermark image.

(11)

III. EXPERIMENTAL RESULTS

A number of experiments are performed on the
watermarked image to test the resilience of the proposed
scheme towards common image processing attacks. 512 x 512
gray scale Lena and baboon images are used as cover
image and watermark image, respectively. These images are
shown in Fig. 1(a) and (b). Fig. 1(c) and (d) show the
watermarked image and the extracted watermark image
respectively.
Quality of the watermarked image is calculated using peak
signal to noise ratio (PSNR). PSNR of an image can be
calculated using the mean squared error. The mean squared
error (MSE) between the original image and the watermarked
image is given by:

MSE

1 M N
[ I (i, j ) I ' (i, j )]2

M .N i 1 j 1

(b)

(c)

(d)

(12)

where, I(i , j) and I(i , j) denote the pixel value at position(i,

j) of the original image I and the watermarked image I. Both
having sizes M x N pixels. Thus, Peak signal to noise ratio
(PSNR) can be given by

255 2
PSNR 10 log 10

MSE

(a)

Fig. 1 (a) Cover Image (b) Watermark Image (c) Watermarked image
(PSNR=65.4544) (d) Extracted Watermark (NC=1).

(13)

To test the robustness of the proposed scheme, the

watermarked image is tested against various image
processing attacks like cropping (CR), rotation (RO),
Gaussian noise (GN) introduction, average filtering (AF),
median filtering (MF), JPEG compression(JPEG), Contrast
Adjustment (CA) and histogram equalisation (HE).
Normalised cross-correlation (NC) is employed to evaluate
the robustness of the algorithm. The Normal Correlation (NC)
between the embedded watermark, W (i, j) and the extracted
watermark W*(i, j) is given by,

205

TABLE I
NORMALISED CROSS CORRELATION VALUES OF EXTRACTED WATERMARKS
FROM DIFFERENT ATTACK

SF

GN

RO

JPEG

CR

0.01

0.9456

0.8747

0.9580

0.9283

0.03

0.9223

0.9567

0.9891

0.9776

0.05

0.9326

0.9732

0.9949

0.9883

0.07

0.9449

0.9815

0.9972

0.9926

SF

AF

MF

HE

CA

0.01

0.7948

0.9007

0.9998

0.9412

0.03

0.9358

0.9710

0.9999

0.9830

0.05

0.9631

0.9840

0.9999

0.9904

0.07

0.9747

0.9894

0.9999

0.9934

Experimental results shown in Table I describe the

resilient nature of the watermarking scheme for
aforementioned attacks. As the scale factor (SF) is gradually
increased from 0.01 to 0.07, we can observe an increase in the
normalised cross correlation values of the extracted
watermarks, also signifying degradation in the watermarked
image quality as increasing the scale factor adversely affects
the imperceptibility of the embedded watermark. Table I also
suggests that we obtain moderate results in case of Gaussian
noise introduction. MATLAB software is being used to carry
out all the experiments.
IV. CONCLUSION
In this paper, a hybrid image-watermarking technique
based on wave atom transform and SVD has been presented,
where the watermark is embedded on the singular values of
the cover images wave atom transformed matrix. Results
suggest that the proposed scheme can be used to extract a
good quality watermark for various image processing attacks.
V. REFERENCES
Kiyoshi Tanaka, Yasuhiro Nakamura and Kineo Matsui, Embedding
Secret Information into a dithered multi-level image, IEEE, 1990.
[2] S. Katzenbeisser and F. A. P. Petitcolas, Information Hiding Techniques
for Steganography and Digital Watermarking, Artech House, Boston,
Mass, USA, 2000.
[3] C. I. Podilchuk and E. J. Delp, Digital watermarking: algorithm and
application, IEEE Signal Processing Magazine, vol. 18, no. 4, pp.33
46, 2001.
[4] Rajendra Acharya U, Deepthi Anand, Subbanna Bhat P, and Niranjan U.
C, Compact Storage of Medical Images with Patients Information, IEEE
Transactions on Information Technology Biomedicine, vol. 5, no. 4,
December 2001.
[5] Xuan Kong and Rui Feng, Watermarking Medical Signals for
Telemedicine, IEEE Transactions on Information Technology in
Biomedicine, vol. 5, no. 3, September 2001.
[6] R. Liu and T. Tan, An SVD-based watermarking scheme for protecting
rightful ownership, IEEE Trans. Multimedia, vol. 4, no. 1, pp. 121128,
March 2002.
[7] L. Demanet, Curvelets, wave atoms, and wave equations, Ph.D. thesis,
Caltech,2006,http://math.stanford.edu/laurent/papers/ThesisDemanet.pdf
.
[8] L. Demanet and L. Ying, Wave atoms and time upscaling of wave
equations, Numerische Mathematik, vol. 113, no. 1, pp. 1-71, 2009.
[9] [online] http://www.waveatom.org/.
[10] J. Rajeesh, R. S Moni, and S. Palanikumar, Noise reduction in magnetic
resonance images using wave atom shrinkage, The International Journal
of Image Processing,vol. 4, no. 2, pp. 131-141, 2010.
[1]

206

K-means versus K-means ++ Clustering Technique

Shalove Agarwal, Shashank Yadav and Kanchan Singh
based on data similarity, and then assign labels to the
relatively small number of groups. Additional advantages of
such a clustering-based process are that it is adaptable to
changes and helps single out useful features that distinguish
different groups.

Abstract: The k-means method is a widely used clustering

technique that seeks to minimize the average squared distance
between points in the same cluster. Although it offers no
guaranteed accuracy, its simplicity and speed are very
appealing in practice. In this paper, we present a way of
initializing k-means by choosing random starting centers with
very specific probabilities. By augmenting k-means with a very
simple, randomized seeding technique, we obtain an algorithm
that is (log k)-competitive with the optimal clustering.
Preliminary experiments show that the augmentation improves
both the speed and the accuracy of k-means.
Keywords:
clustering.

K-means

algorithm,

k++

means

A.
Similarity and dissimilarity measures
There are a plenty of similarity and dissimilarity metrics, as
in [1]-[8], few of them are Euclidian distance, Manhattan
distance, and Minkowski distance. The choice of the metrics
depends on the available data type. Also in many real
databases, objects are described by mixtures of intervalscaled and categorical variables. Computing dissimilarity
between objects of mixed variable types is itself a challenge.
One approach is to group each kind of variable together,
performing a separate cluster analysis for each variable type.
This is feasible if these analyses derive compatible results.
However, in real applications, it is unlikely that a separate
cluster analysis per variable type will generate compatible
results. A more preferable approach is to process all variable
types together, performing a single cluster analysis. One such
technique combines the different variables into a single
dissimilarity matrix [1], bringing all of the meaningful
variables onto a common scale of the interval [0.0, 1.0].

algorithm,

I.
INTRODUCTION
The process of grouping a set of physical or abstract objects
into classes of similar objects is called clustering, as in [10].
Clustering can be defined into two categories: Hard
clustering and Fuzzy clustering. Hard clustering assign each
feature vector to one and only one of the clusters with a
degree of membership equal to one and well defined
boundaries between clusters. Fuzzy clustering allows each
feature vector to belong to more than one cluster with
different membership degrees (between 0 and 1) and vague
or fuzzy boundaries between clusters. A cluster is a collection
of data objects that are similar to one another within the same
cluster and are dissimilar to the objects in other clusters. A
cluster of data objects can be treated collectively as one
group and so many be considered as a form of data
compression. Although classification is an effective means
for distinguishing groups or classes of objects, it requires the
often costly collection and labeling of a large set of training
tuples or patterns, which the classifier uses to model each
group. It is often more desirable to proceed in the reverse
direction, as in [11]: First partition the set of data into groups

II.
RELATED WORK
k-mean is a widely used clustering technique because of its
simplicity, efficiency and observed speed and the Lloyds[15]
method remains the most popular approach in practice
(Lloyd, 1982). It has some drawbacks as: (1) A priori fixation
of number of clusters (2) Random selection of initial seeds.
Inappropriate choice of number of clusters and bad selection
of initial seeds may yield poor results and may take more
number of iterations to reach final solution. In this study we
are concentrating on selection of initial seeds that greatly
affect the quality of the clusters, the number of iterations and
number of distance calculations required for final solution.
Fahim[19](2006) proposed a method to minimize the number
of distance calculations required for convergence. Here we
briefly present previous initialization schemes. One of the
first schemes of centroids initialization was proposed by Ball
and Hall (1967). A similar approach is also provided by Tou
and Gonzales [20] under the name Simple Cluster Seeking
(SCS) (Tou and Gonzales, 1977) and is adopted in the
FACTCLUS procedure. The SCS method is as follows:

Shalove Agarwal and Shashank Yadav are with the Department of

Information Technology, ABES Engineering College, Ghaziabad-201009,
India (Email: shalove.abes@gmail.com , Shashank.yadav24@yahoo.com )
Kanchan Singh is the Associate Professor with the Department of
Information Technology, ABES Engineering College Ghaziabad- 201009,
India (Email: reach.kanchan@gmail.com

207

978-1-4673-0455-9/12/$31.00 2012 IEEE

centers from this set. They use 10 subsamples from the data
set, each of size 1% of the full dataset size. Finally, a last
round of k-means is performed on this dataset and the cluster
centers of this round are returned as the initial seeds for the
entire dataset. This method generally performs better than kmeans and converges to the local optimal faster. However, it
still depends on the random choice of the subsamples and
hence, can obtain a poor clustering in an unlucky session.
More recently, Arthur and Vassilvitskii[2] (2007) proposed
the k-means++ approach, which is similar to the KKZ
Katsavounidis[13]., 1994) method. However, when choosing
the seeds, they do not choose the farthest point from the
already chosen seeds, but choose a point with a probability
proportional to its distance from the already chosen seeds. In
k-means++, the point will be chosen with the probability
proportional to the minimum distance of this point from
already chosen seeds. Note that due to the random selection
of first seed and probabilistic selection of remaining seeds,
different runs have to be performed to obtain a good
clustering.

Initialize first cluster centroid with the first input.

Select a point as a new seed if it is the distance apart from
all selected seeds, stop when k seed clusters are initialized
After scanning all input samples, if there are less than k
seed clusters generated and then decrease d and repeat 1-2
The SCS and the method suggested by Ball and Hall[17] are
sensitive to the parameter d and the presentation order of the
inputs. Astrahan[16] (1970) suggested using two distance
parameters, d1 and d2. The method first computes the density
of each point in the dataset, which is given as the number of
neighboring points within the distance d1 and it then sorts the
data points according to decreasing value of density. The
highest density point is chosen as the first seed. Subsequent
seed point are chosen in order of decreasing density subject
to the condition that each new seed point be at least at a
distance of d2 from all other previously chosen seed points.
This step is continued until no more seed points can be
chosen. Finally, if more than k seeds are generated from the
above approach, hierarchical clustering is used to group the
seed points into the final k seeds. The drawback in this
approach is that it is very sensitive to the values of d1 and d2
and requires hierarchical clustering. In the worst case it
requires (n2 log n) time complexity. Kaufman[14] and
Rousseeuw[14] (1990) introduced a method that estimates
the density through pair wise distance comparison and
initializes the seed clusters using the input samples from the
areas with high local density. A notable drawback of the
method lies in its computational complexity. Given n input
samples, at least n(n-1) distance calculation are required. This
could be much more time consuming than k-Means itself
when n is large. Katsavounidis[13] suggested a parameter
less approach, which is called as the KKZ method based on
the initials of all the authors. KKZ chooses the first centers
near the edge of the data, by choosing the vector with the
highest norm as the first center. Then, it chooses the next
center to be the point that is farthest from the nearest seed in
the set chosen so far. This method is very inexpensive (O
(kn)) and is easy to implement. It does not depend on the
order of points and is deterministic by nature as single run
suffices to obtain the seeds. However, KKZ is sensitive to
outliers, since it is selecting farthest point from the selected
centroids. Bradley and Fayyad[18] (1998) proposed an
initialization method that is suitable for large datasets. The
main idea of their algorithm is to select m subsamples from
the data set, apply the k-means on each subsample
independently, keep the final k centers from each subsample
provided that empty clusters are not be allowed, so they
obtain a set contains mk points. They apply the k-means on
this set m times; at the first time, the first k points are the
initial centers. At the second time, the second k points are the
initial centers and so on. And the algorithm returns the best k

III.

CLUSTERING TECHNIQUES

A.
K-MEANS CLUSTERING
The term "k-means" was first used by James MacQueen in
1967, as in [12]. The standard algorithm was first proposed
by Stuart Lloyd in 1957 as a technique for pulse-code
modulation, though it wasn't published until 1982.In statistics
and data mining, k-means clustering is a method of cluster
analysis which aims to partition n observations into k clusters
in which each observation belongs to the cluster with the
nearest mean. This results into a partitioning of the data space
into Voronoi cells. The result of k-means is such that the
resulting intra cluster similarity is high but the inter cluster
similarity is low. Cluster similarity is measured in regard to
the mean value of the objects in a cluster, which can be
viewed as the clusters centroid or centre of gravity.The basic
k-means algorithm is as follow:
1.
2.
3.

Select k data points as the initial centroids.

(Re)Assign all points to their closet centroids.
Recompute the centroid of each newly assembled
cluster.
4. Repeat step 2 and 3 until the centroids do not
change.
The k-means algorithm is attractive in practice because it is
simple and it is generally fast. Unfortunately, it is guaranteed
only to find a local optimum, which can often be quite poor.
Lets see a graphical demonstration of the algorithm

208

B.
K-MEANS++ CLUSTERING
In applied statistics, k-means++, as in [9], is an algorithm for
choosing the initial values (or "seeds") for the k-means
clustering algorithm. It was proposed in 2007 by David
Arthur and Sergei Vassilvitskii, as an approximation
algorithm for the NP-hard k-means problema way of
avoiding the sometimes poor clustering found by the standard
k-means algorithm. The k-means algorithm begins with an
arbitrary set of cluster centers. We propose a specific way of
choosing these centers. At any given time, let D(x) denote the
shortest distance from a data point x to the closest center we
have already chosen. Then, we define the following
algorithm, which we call k-means++, as in [9].The algorithm
is similar to k-means.

Fig. 1. k initial "means" (in this case k=3) are randomly selected from the
data set (shown in color).

1.
2.

Choose an initial center c1 uniformly at random

from X..
Choose the next center ci, selecting
with
probability

3.
4.

Fig. 2.

Fig. 3.

Repeat Step 2 until we have chosen a total of k

centers.
Repeat Step 2-4
with the standard k-means
algorithm.

We call the weighting used in Step 2 simply D2 weighting.

This seeding method gives out considerable improvements in
the final error of k-means. Although the initial selection in
the algorithm takes extra time, the k-means part itself
converges very fast after this seeding and thus the algorithm
actually lowers the computation time too. The authors as in
[2] tested their method with real and synthetic datasets and
obtained typically 2-fold improvements in speed, and for
certain datasets close to 1000-fold improvements in error.
Additionally, the authors as in [2] calculate an approximation
ratio for their algorithm. The k-means++ algorithm
guarantees an approximation ratio O(log k) where k is the
number of clusters used. This is in contrast to vanilla kmeans, which can generate clustering arbitrarily worse than
the optimum, as in [6].

k clusters are created by associating every observation with the

nearest mean.

The centroid of each of the k clusters becomes the new means.

IV.

RESULTS

The results for k-means and k-means++ are displayed in the

following tables, as in [2].

Fig. 4.

Steps 2 and 3 are repeated until convergence has been reached.

209

TABLE I:
.
EXPERIMENTAL RESULTS ON THE NORM25 DATASET (N = 10000, D = 15). FOR K-MEANS, WE LIST THE ACTUAL POTENTIAL AND TIME IN
SECONDS. FOR K-MEANS++, WE LIST THE PERCENTAGE IMPROVEMENT OVER K-MEANS: 100%.

.
Average K

Average
K means

Minimum

K means ++

K means

Average T

K means ++

K means

K means ++

10

1.365

8.47%

1.174

0.93%

0.12

46.72%

25

4.233

99.96%

1.914

99.92%

0.90

87.79%

50

7.750

99.81%

1.474

0.53%

2.04

1.62%

TABLE II:
EXPERIMENTAL RESULTS ON THE INTRUSION DATASET (N = 494019, D = 35). FOR K-MEANS, WE LIST THE ACTUAL POTENTIAL AND
TIME IN SECONDS. FOR K-MEANS++, WE LIST THE PERCENTAGE IMPROVEMENT OVER K-MEANS.

Average

Minimum

Average T

K means

K means ++

K means

K means ++

K means

K means ++

10

3.387 108

93.37%

3.206 108

94.40%

63.94

44.49%

25

3.387 108

99.20%

3.100 108

99.32%

257.34

49.19%

50

3.079 108

99.84%

3.076 108

99.87%

917.00

66.70%

The paper list the absolute results for k-means, and the
percentage improvement achieved by k-means++ (e.g., a
90% improvement in the running time is equivalent to a
factor 10 speedup). It can be seen that k-means++
consistently outperformed k-means, both by achieving a
lower potential value, in some cases by several orders of
magnitude, and also by having a faster running time. The D2
seeding is slightly slower than uniform seeding, but it still
leads to a faster algorithm since it helps the local search
converge after fewer iterations. The synthetic example is a
case where standard k-means does very badly. Even though
there is an obvious clustering, the uniform seeding will
inevitably merge some of these clusters, and the local search
will never be able to split them apart. The careful seeding
method of k-means++ avoided this problem altogether, and it
almost always attained the optimal clustering on the synthetic
dataset. The difference between k-means and k-means++ on
the real-world datasets was also substantial.

V.

CONCLUSION AND FUTURE WORK

Thus we can say that there is a way to seed the k-means

algorithm that is O(log k) competitive with the optimal as
clustering. Furthermore, the seeding technique is as fast and
simple as the k-means algorithm itself, which makes it
attractive in practice. This can be verified by experiments on
several real-world datasets, and it is observed that kmeans++ substantially outperformed standard k-means in
terms of both speed and accuracy. Although the analysis of
the expected potential E[] achieved by k-means++ is tight to
within a constant factor, a few open questions still remain.
Most importantly, it is standard practice to run the k-means
algorithm multiple times, and then keep only the best
clustering found. This raises the question of whether kmeans++ achieves asymptotically better results if it is
allowed several trials. For example, if k-means++ is run 2k
times, our arguments can be modified to show it is likely to
achieve a constant approximation at least once. We ask
whether a similar bound can be achieved for a smaller
number of trials. Also, experiments showed that k-means++
generally performed better if it selected several new centers

210

[9]D. Arthur and S. Vassilvitskii, k-means++: the

advantages of careful seeding, in Proceedings of the
eighteenth annual ACM-SIAM symposium on Discrete
algorithms,. New Orleans, Louisiana, USA: Society for
Industrial and Applied Mathematics, 2007, pp. 10271035.
[10] Phipps Arabie, Lawrence J.Hubert and Geert De Soete,
editors. Clustering and Classification, Word Scientific, River
Edge, NJ, 1998.
[11] William H. E. Day and Herbert Edelsbrunner, Efficient
algorithms for agglomerative clustering methods. Journal of
classification, 1(1):7-24, 1984.
[12]MacQueen, J. B. (1967). "Some Methods for
classification and Analysis of Multivariate Observations". 1.
Proceedings of 5th Berkeley Symposium on Mathematical
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281297.MR0214227..Zbl.0214.46201..http://projecteuclid.or
g/euclid.bsmsp/1200512992.Retrieved 2009-04-07
[13] Katsavounidis, I., C.C.J. Kuo and Z. Zhen, 1994. A new
initialization technique for generalized Lloyd iteration, IEEE.
Sig. Process. Lett., 1: 144-146. DOI: 10.1109/97.329844
[14] Kaufman, L. and Rousseeuw, 1990. Finding Groups in
Data: An Introduction to Cluster Analysis, Wiley,New York,
ISBN: 0471878766, pp: 342.
[15]Lloyd, S.P., 1982. Lease square quantization in PCM.
IEEE
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Inform.
Theor.,
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[18] Bradley, P.S. and U.M. Fayyad, 1998. Refining initial
points for K-means clustering. Proceeding of the 15th
International Conference on Machine Learning (ICML98),
July 24-27, ACM Press, Morgan Kaufmann, San Francisco,
pp:9199..http://portal.acm.org/citation.cfm?id=645527.65746
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Ramadan, 2006. An efficient enhanced k-means clustering
algorithm. J. Zhejiang Univ. Sci. A., 7: 1626-1633.
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d, U.M., G. Piatetsky-Shapiro, P. Smyth and R. Uthurusamy,
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AAAI/MIT Press, ISBN: 0262560976, pp: 611.

during each iteration, and then greedily chose the one that
decreased as much as possible. Unfortunately, our proofs do
not carry over to this scenario. It would be interesting to see a
comparable (or better) asymptotic result proven here. Finally,
we are currently working on a more thorough experimental
analysis. In particular, we are reviewing the performance of
not only k-means++ and standard k-means, but also other
variants that have been suggested in the theory community.
ACKNOWLEDGEMENT
We would like to thank Ms. Kanchan Singh for her helpful
guidance which help us to bring out the initials of the
clustering approaches in this paper.
REFERENCES
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on Principles of database systems, pages 155 165, New
York, NY, USA, 2004 ACM Press.
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analysis of the ICP algorithm, with an application to the k
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212

Design Of A Novel Bandstop Filter Using Log

Periodic Based Circular Split Ring Slots
Somdotta Roy Choudhury, Student Member, IEEE, Susanta Kr. Parui, Santanu Das, Member, IEEE

Abstract- Compact planar microstrip bandstop filters are

introduced here. These filters consist of log-periodic based 3
resonator elements. These defects or slots on the signal plane
effecting resonant frequency of the filters due to increment of
slow wave factor, which exhibits good bandstop characteristics.
The filters can be designed to function in a low frequency to a
very high frequency range depending upon the physical
dimension of the slots. When the filters are designed at lower
frequency, the guided wavelength is increased by increasing the
radius of the split ring slots and vice versa. First of all a unit cell
is investigated. A set of circular split ring slots are designed to
achieve stopband of the filter at desired frequency range.

ln 1 d n 1

k
ln
dn

(1)

where k is a constant known as scale factor. The each of these

elements in this region is about /2 long.
Here, log periodically arranged a nos. of split rings slots are
introduced on the signal plane of the microstrip line. These
slots of split rings are designed as an open loop ring
structures where open ends are facing the source. The radii of
these split ring slots and the resonator-to-resonator distances
are not uniform in nature. The dimensions of the filter
structure are logarithmically dependent on frequency.

I. INTRODUCTION
Microstrip structures have been an interesting approach to
perform as RF and microwave filters, with good trade-offs
regarding selectivity, insertion loss, volume, size, among
other requirements.
There are many works specifying
diverse types of discontinuities applied in microstrip lines
including electromagnetic band gap structures (EBG) and
defected ground structures (DGS). A defect etched in the
metallic ground plane of a microstrip line yields rejection
band and slow-wave characteristics due to perturbation of the
shield current distribution. Dumb-bell shaped DGS is
explored first time by D. Ahn and applied to design a lowpass
filter [4,5]. Such DGS with quasi-elliptical response was
proposed in recent time. The radiation from the ground plane
is the major constrain to design a DGS based circuit. But
defects on microstrip line provide same slowwave
characteristics, keeping ground plane intact.
A logarithmically expanding periodic structures stops the
signal when the periodic elements are close to resonance so
that with change in frequency the stopband moves along the
elements [3]. This expanding array of resonators differs from
the uniform array of resonators. The lengths of the resonators
increase along the array so that the included angle is a
constant, and the lengths l and spacing d of adjacent elements
are scaled so that,

Somdotta Roy Choudhury, Susanta Kr. Parui and Santanu Das are with the
Department of Electronics and Telecommunication Engineering, Bengal
Engineering and Science University, Shibpur, Howrah 711103, India.(email:som_datta6@yahoo.co.in,arkapv@yaoo.com,santanumdas@yahoo.com).

rn+1
rn

Fig.1: Log-perodic array for deter mining the relation of parameters

From the geometry of Fig.1for a section of array the apex

angle is related to the wavelength by [3]

tan

ln1 ln

(2)

where

ln1 2 rn1 and ln 2 rn

Taking ln 1 / 2 , the obtained relationships given by

tan

1 1 k
4d

where

is the apex angle, k is the scale factor and d is the

wavelength

978-1-4673-0455-9/12/$31.00 2012 IEEE

213

toward

(3)

element.

The

length

l 2 2 r is related to the radius of the split ring

resonator. The length l and spacing s for any n+1 is kn greater

than element 1, obtained by [3]

ln 1
kn F
ln

Magnitude(dB)

(4)

Where F = frequency ratio.

This type of filter provides a sharp bandstop response. Here, it
will be shown that the numbers of poles depends on the
numbers of resonators.

0
-5
-10
-15
-20
-25
-30
-35
-40
-45
-50

S11_mea
S21_mea
S11_sim
S21_mea

II. DESIGN OF SINGLE SPLIT RING STRUCTURE

4
6
Frequency(GHz)

10

Fig. 3(b): Comparison between simulated and

measured response of proposed unit cell.

First of all a unit cell of the split ring filter shown in Fig.2 is
studied. It shows a one pole band reject response as plotted in
Fig. 3.This unit split ring is etched on the material with
dielectric constant and thickness is 2.5 and 2.36mm
respectively. The split ring has an outer radius, r =3.1mm and
slit width, w = 0.5mm which is etched out from the 50 Ohm
microstrip line of width, W1=6.7036 mm. The split gap
width, g = 0.5 mm. The filter shows a cutoff frequency fc =
5.1GHz and pole frequency, fp = 5.8 GHz as simulated Sparameter result. The maximum attenuation pole is at 30.8
dB and sharpness factor is 33 dB/GHz. The Fig.2 (b) shows
the equivalent circuit of the unit split ring. The current path
inside the circular periphery provides the inductance and the
split gap yields the capacitance to the circuit.

Fig.4: Photographic view of the proposed unit cell

0
r

Magnitude(dB)

-5
W1

g
W

(a)

-10
-15

ri=2.1_S21

-20

ri=1.6_S21

-25

ri=2.6_S21

-30

(b)

Fig.2: (a) Schematic diagram of proposed unit cell, (b) Equivalent circuit of unit
cell

Frequency(GHz)

10

(a)
10

Frequency(GHz)

Magnitude(dB)

0
-10
-20
S11

-30

S21

-40

8
6
4

fc
fp

2
0
2

-50
0

12

15

2.2

2.4

2.6

2.8

3.2

Radii(mm)

Frequency(GHz)

(b)
Fig .3(a): S-parameter response of proposed unit cell

Fig: 5(a): shows the variation of frequency with length of slot on microstrip line,
(b) shows the variation of attenuation zero and attenuation pole frequency with
the length of slot on microstrip line.

214

Magnitude(dB)

From the simulated S-parameters as shown in Fig. 5(a), it is

observed that the investigated filter shows one pole bandstop
response, which varies with the radius of the total split ring
slot. The passband of the proposed bandpass filter can be
tuned by simply changing the radius of the slot. It is realized
that if the radius of the split ring slit increased, the cut off
frequency as well as pole frequency decreased and vice-versa.
III. THREE- POLE LOG-PERIODIC FILTER
Here present a step toward the design of an open loop log
periodic filter. Discussion will focus on a log-periodic (LP)
array using a three split ring type resonators.
Table: 1
Lengt
2r
Radii(r)
Distance
h (l)
mm
mm
(s=/2=l/2)
mm
mm
19.47
19.47
3.1
19.08

19.08

3.04

9.74

18.70

18.70

2.97

8.54

Table: 2
n
1
2

0.019
0.02

S1r2

r1

0.019
0.02

d2r2

S2
r4

r3

(a)

0
-5

Magnitude(dB)

-10
-15
-20
-25
-30
-35

S11_sim

-40

S21_sim

-45
0

2
3
4
Frequency(GHz)

0
-5
-10
-15
-20
-25
-30
-35
-40
-45

S21_mea
S21_sim

Frequenc y(GHz )
Fig.8: comparison between the simulated and measured result.

The first, low-profile resonator arrays, which used simple and

familiar open loop structures all are facing in one direction to
achieve three numbers of poles. These poles are achieved with
an electromagnetically coupled resonator array of circular slot
elements etched on the microstrip line depicted in Fig. 6(a)
are described in the Table 1. From the Eq.2 it is obtained that
for this structure n 1 n 2 , shown in Table. 2.
A slotted microstrip feed line of 50 ohm is chosen due to its
simplicity of construction and its ability to excite a slot etched
on its signal plane, with the same dielectric constant of 2.5
and thickness of 2.36mm. A three element prototype array
was constructed with the following parameters: the mean
radius of the circular split rings, r1=3.1 mm, r 2=3.04 mm,
r3=2.97 mm. respectively. Element to element periodic
distances are, s1=9.74 mm and s2=9.54 mm. The scale factor
of these logarithmically arranged circular split ring slots is
0.98. The simulated S-parameter response shows a cutoff
frequency of 5.1 GHz and pole frequencies are at 5.7 GHz,
5.9 GHz and 6.3 GHz respectively. The maximum stopband
rejection level is at 40.4 dB. The sharpness factor is same as
that of the single unit i.e. 70.5 dB/GHz. From the simulated
response the filter provides three poles. The -20dB bandwidth
of the stopband is 1.02GHz respectively.

IV. ACKNOWLEDGEMENT

(b)

Fig.6: (a) Schematic diagram of 3-poles log-periodic filter, (b) simulated result
of the proposed filter

This work is funded by Council of Scientific and Indutrial

Research (CSIR), Govt. of India.
V. CONCLUSION
A circular and square split ring slot resonator as defected
structures on the microstrip line is studied. The split ring unit
on the signal plane provides a narrow stopband response. The
rejection band of the filter is improved by using circular 3
split ring resonator slots on microstrip line based on the
logarithmic periodicity. This proposed filter provides a
rejection bandwidth of 1.02 GHz with -20 dB attenuation.
This filter can be employed for WLAN band applications.

Fig.7: Photographic view of the three poles log periodic filter structure.

215

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216

Improvement of Voltage Profile in Smart Grid

Using Voltage Sensitivity Approach
Kulprakash Kumar Singh, Rajeev Kumar and R.C.Jha, IEEE Member

Abstract--The Smart Grid modernizes the aging power

system and is characterised by two-way flow of electrical power
and information within the network. Voltage stability is the
prime concern of over stressed power system network. In Smart
Grid, the overall voltage profile of the power network can be
efficiently improved and thus avoids problems of voltage
collapse and resultant blackouts. A simulation work has been
done where reactive power requirement at different buses is
calculated that improves the voltage profile of the overall
network with the proposed approach using voltage sensitivity at
the buses and effective locations for reactive power injection
within the buses is determined. Also an approach is presented
for capacitor bank operation associated to a bus. Voltage
stability assessment considering different voltage stability
indices is done under different system conditions that give vital
information about the network (including weak buses & lines,
maximum loading, most secure buses etc.) and these
assessments can be very helpful in taking decisions to avoid
uneven outages.
Index Terms-- Smart Grid, Voltage Stability, Voltage
Collapse, Reactive Power Support, Voltage Stability Indices,
Ranking.

I. NOMENCLATURE
FACTS
SVC
TSC
EL
CL
EMS
FVSI
LQP
NLSI
SCADA

Flexible AC Transmission System

Static Var Compensators
Thyristor Switched Capacitors
Electrical Link
Communication Link
Energy Management Systems
Fast Voltage Stability Index
Line Stability Factor
Novel Line Stability Index
Supervisory Control and Data Acquisition
II. INTRODUCTION

ower Systems, nowadays, have become heavily loaded

and operating at its maximum capacity, due the increase
in power demand. Electric utilities continue to use their
traditional approach for maintaining reliability and quality of
Kulprakash Kumar Singh (kulprakashsingh@gmail.com), Rajeev Kumar
(imcoolrajeev.kumar@gmail.com), R.C.Jha (rcjha@bitmesra.ac.in) all are
associated with Department of Electrical and Electronics Engineering, Birla
Institute of Technology, Mesra, Ranchi-835215, Jharkhand, India

978-1-4673-0455-9/12/$31.00 2012 IEEE

service by planning generation, transmission and distribution.

There is not much scope of installing extra capacity to
accommodate possible changes in customers demand and
recover from uneven outages. The existing option that
utilities have is to add generation, transmission, and
distribution facilities. There are very few options open to an
electric utility to control or manage the system along with
matching generation to consumption. In fact, only solution
left to protect utility assets from damage is to interrupt the
services provided to customers.
In order to overcome the existing limitations of the
conventional system, Smart Grid is now replacing the
traditional system to effectively enhance the supply and to
overcome the existing limitations of the power system [1].
Smart technology uses advanced information technology,
automation, advanced control capabilities to distribute and
use energy more efficiently, reliably and safely from the point
of generation to load end (consumer end). It also comprises a
diverse range of generation, distribution and storage options.
Smart grid as a result increases the connectivity, automation
and coordination between Genco, Transco and Disco [2].
With emerging requirements for renewable portfolio
standards (RPS), limits on greenhouse gases (GHG), Demand
Response (DR), energy conservation measures and
environmental issues has restricted utility business to balance
production and consumption at all levels, i.e. from customer
premises to the generation point. In future there will be high
speed integration of different utilities [3-5]. Two-way
integrated communication system is essential part of smart
grid and it increases system sensing capacity, customer
linkages and self healing capability [6-10].
Voltages of the system must be within acceptable range for
proper operation and voltage stability of the network. Voltage
Stability is the ability of a power system to maintain steady
acceptable voltages at all buses in the system under normal
operating conditions or after being subjected to a disturbance.
Voltage instability occurs when any disturbance causes a
progressive and uncontrollable fall of voltage at any bus. It is
characterized by loss of a stable operating point as well as by
the deterioration of voltage levels [11-12]. The most common
cause of Voltage instability or Voltage collapse in a system is
due to the deficiency in reactive power supply.
Reactive power resources can be used to raise the overall
voltage of the system and thus avoids chances of voltage
instability to a great extent [13]. Benefits of the reactive

217

power compensation techniques increases transmission

efficiency, energy transfer capability, reduce transmission
losses and enhance grid reliability. A key element of voltage
stability studies [14-19] is the determination of a critical bus
or a cluster of critical busses where chances of voltage
collapse is maximum. These buses can now be monitored for
reactive power support. In a radial transmission system
consisting of a generator serving several loads along a
transmission line, the critical or weak bus is generally located
away from the generator and where reactive power
deficiencies occur.
This paper focuses on the improvement of the voltage
profile of the system by determining locations of the buses in
the system and the amount of reactive power required to be
injected at the buses. Also an approach is developed that uses
the conventional assessment techniques that helps to monitor
system conditions and avoid chances of voltage collapse. In
the proposed work IEEE 24 [20] bus system has been used to
simulate the proposed techniques. The organization of the
paper is as follows: Section III deals with the communication
system in smart grid. In Section IV, a method is proposed to
effectively determine the locations and amount of reactive
power injection that improves the overall voltage profile of
the system. In Section V, a method is proposed that uses
conventional indices for voltage stability assessment of the
system. Section VI deals with the evaluation of reactive
power support and the stability study with the proposed
approach. Finally, the conclusions are made in Section VII.
III. COMMUNICATION SCENARIO IN SMART GRID
Smart Grid reveals the importance of an efficient
communication system infrastructure such that data and
information can be effectively communicated between Genco,
Transco and Disco of high accuracy at high speed and .Real
time data transfer security is one of the important aspects
along with security of data. Information sent to different units
need to be authentic and reliable else any erroneous data may
results in heavy damage or maloperation of the system. So it
is not necessary to have more reliable control over the
generation and transmission grid but throughout the
distribution grid as well as all the way to the retail
consumers side of the meter. The various devices used
include supervisory control and data acquisition (SCADA)
devices, distribution automation (DA) devices, automatic
meter reading (AMR) devices and smart meters.
Emerging technologies and energy management systems
(EMS) are required for monitoring and control of retail
premises, electric utilities using the communication channels.
Fast, digital, two-way communications will be required
throughout the Smart Grid for remote monitoring and

CB

CB
Bus 9

Bus 3

EL
CB

CB

Bus 8

Bus 4
MAIN
CONTROL
CENTRE

Bus 20

Bus 5

CB

CB

EL

Bus19

CL

Bus 6

CL

CB

CB

Fig. 1. Communication system in Smart Grid.

Arrow represents communication link (CL).
Line represents electrical link (EL).
CB represents capacitor bank

control. Electric utilities use a wide variety of digital or

analog telecommunication system both physically connected
(wired) and wireless.
IV. SENSITIVITY ANALYSIS AND REACTIVE POWER INJECTION
CONTROL FOR VOLTAGE STABILITY
The electrical distribution network is usually designed to
supply customers demands in maintaining accurate voltage
and frequency levels. Voltage drops in lines from distribution
substation to customer points are unavoidable. However, the
designers aim to limit this drop by redesigning, restructuring
the networks, reconfiguring the feeders and loads. By
analyzing the voltage sensitivity of lines, the weak network
voltages are identified and can be improved with reactive
power support.
The flowchart of the overall process is described below:
START

K= Multiplier
Vlim=Limiting Voltage
n=Bus number
Slim=Sensitivity limit
q=reactive power flow

no

Is

Increase
k=k+0.1

Set K=1,i=1,n=24
Vlim=0.97,
Vlim1=0.9,
Slim=0.001

Update bus
data and
reset i=1

Calculate Jacobian
Matrix and Sensitivity
by Newton Raphson
Load Flow Analysis

yes

In

Increase
i=i+1

no

Get line data

Bus data

Is
V(i) Vlim1
S(i)>Slim
q(i)<0

yes

Is
V(i) Vlim

no
yes
Injected MVAR
Q(i)=k*q(i)

Is
in

no
STOP

Fig. 2. Flowchart for reactive power injection control.

218

Increase
bus
number
i=i+1

Voltage stability studies are considered using static

analysis (load-flow or steady-state analysis). The power flow
equations employed in static analysis assume constant system
frequency. Generation output equals load demand plus losses.
A static approach for calculating sensitivity is used [12]. A
system is stable in terms of voltage at a given operating
condition if at all the buses magnitude of bus voltage is
within the specified limit. In other words, a system is stable if
V-Q sensitivity is positive and unstable if V-Q sensitivity is
negative for any bus when reactive power is injected. For
finding the voltage sensitivity, the reduced Jacobian matrix is
used. Jacobian matrix is obtained by considering active
mismatch to be zero.
START
Read j=bus no,
n=capacitor bank units
connected to a bus,
capacity cap and
operational state of units
Required MVAR in
each bus creq, i=1,
ct=0, ct1=0

bus to decide the locations or the choice of buses for reactive

power injection. Thus, the locations are selected based on the
above mentioned conditions. Voltage and reactive power flow
at a bus is obtained using Newton Raphson load flow
technique. IEEE 24 bus test system has been used and voltage
is set at 0.97 pu, so that voltage at the buses remains close to
1 pu. A multiplying factor k is introduced which is initially
assumed to be 1 and is increased by 10% after each load-flow
analysis. Net reactive power injected is the product of
absolute value of reactive power flow at the concerned bus in
the particular iteration and the multiplying factor. Finally the
injected reactive power is replaced in the bus data to obtain
new voltage, sensitivity and lineflows using Load-flow
analysis.
Fig. 3 shows an approach that decides the operation of
devices attached to a bus that provides the reactive power
required to improve voltage profile of the system.
As per the requirement of reactive power at a particular bus
as obtained from flowchart of fig.2, the given approach
decides, which units connected, sufficiently fulfill the
requirement. The number of units connected to a bus and
their individual capacities has to be pre-defined so that the
best possible combination of units can be properly
determined.

Sort cap in descending

order

V. VOLTAGE STABILITY ASSESSMENT

no

Increase bus
no

Stability analysis to be properly conducted especially at the

planning stage .Voltage stability study is able to determine
the maximum capacity limit of the system before voltage
collapse must be carried out so that necessary precaution can
be taken to avoid system capacity violation.
The approach made considers only the load buses of the
system. Certain voltage and line stability indices (L value,
FVSI, NLSI, LQP) [14-19] has been used in the given
approach. These indices are calculated with respect to a bus.
After considering every line contingency, the indices are
compared along with change in reactive load. The line index
in the inter-connected system in which the value that is
closed to 1.00 indicates that the line has reached its instability
limit which could cause sudden voltage drop to the
corresponding bus caused by the reactive load variation. The
indices are capable in determining the point of voltage
collapse, maximum permissible load, and weak buses in the
system and the most critical lines in an inter-connected
system. The results from the voltage stability analysis enable
us to identify the closeness of system to its instability point,
the line which is responsible for the voltage instability
condition to the whole system and the weakest bus that is
closed to its maximum allowable load. The most critical or
weakest bus in the system could be predetermined and the
corresponding line responsible for the possible violation could
also be pre-identified, thus necessary precaution could be
taken in avoiding such incidents.

If j 24

yes
Increase i

no

Cnow=creq(j)

yes

If
i n, ct Cnow
operate ==1

ith Unit is off

ct unchanged

ith Unit is on
ct = ct + cap(i)
Cmore1=cmore-ct1

no

no

if
ct > Cnow

yes

Operate(i)==0
Ct1cmore
cap(i)cmore1

yes
Ct1=ct1+cap(i)
Cmore1-cmore-ct1
operate(i)=1
DISPLAY FINAL ON UNITS

STOP

Fig. 3. Flowchart for capacitor bank units operation

A method is proposed that takes into account the

conditions of voltage, sensitivity and reactive power flow at a
219

21

17

START

18

22

23

Read all
buses and bus
codes i
19

16

Increse bus
number

Is bus code
i == 0

14

15

13

24

11

12

Outage a line
corresponding to
a bus

20

10

Select next
line

Run Newton
Raphson load
flow

Increase
reactive load

Fig. 5. IEEE 24 bus system.

If load flow
converged

For selecting the buses as reactive power support following

conditions has been used: (1) voltage at a bus v<=0.97, (2)
absolute value of sensitivity s>0.0001 and (3) reactive power
flow at a bus q<0.

Calculate FVSI, LQP,

NLSI indices &
stability value (L)

0.99

bus voltage in per unit

If any
index < 1

Find the line for

which collapse
occurs

0.98

0.97

0.96
initial voltage profile
2nd iteration
3rd iteration
final voltage profile

0.95

Average L values in
descending order

0.94

9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25

bus number

Highest L values is
ranked 1 and the rest
values are ranked
accordingly

Fig. 6. Comparison of voltage profile of initial and final case of the injection
principle.

Fig. 4. Flowchart for voltage stability study.

VI. RESULTS AND DISCUSSION

IEEE 24 Bus Test System [20] has been used to test the
proposed approach. The test system has low voltages of 0.95
pu. It is desired to improve the overall system voltages to
around 1.0 pu by appropriate reactive power injection at
selected positions. At first, Newton Raphson load flow
analysis is done to obtain the initial bus voltages and line
flows and voltage sensitivity. The buses in the system are
divided into different groups. They are: Group 1- Buses (3, 4,
6, 8 and 24) have low voltages of around 0.95 pu. Group 2:
Buses (11, 12, 17 and 24) have reactive load of zero. Group
3: Buses with voltage 1 pu (2, 7, 13, 18, 21, 22 and 23),
Group 4: Buses with leading reactive power (13, 15, and 18)
and Group 5: Buses with reactive load of zero (11, 12, 17 and
24).

1.01

bus voltage in per unit

STOP

The calculated reactive power required to be injected is then

replaced in the busdata to obtain new voltage and line flows
and the process repeats until all the bus voltages are greater
than or equal to 0.97 pu. After reactive power injection at the
selected buses load flow analysis is done again and new buses
are identified where reactive power injection is required.
After each load flow analysis the multiplying factor initially
assumed to be 1 is increased by 10 % of the previous value
and the amount of reactive power to be injected at a bus is the
product of multiplying factor and the reactive lineflow at the
respective buses

0.99

0.98

0.97

0.96

initial voltage profile

0.95

voltage profile after reactive pow er injection (calculated)

voltage profile after actual capacitor bank units operation

0.94

10

11

12

13

14

15

16

17

18

19

bus number

Fig. 7. Comparison of voltage profile after actual operation

220

20

21

22

23

24

25

LINE 8-9

Fig. 6 shows the comparison of initial and final voltage

obtained after the reactive power injection along with
intermediate iterations. The reactive power required at a bus
can be fulfilled using conventional capacitor banks, switched
capacitors and other FACTS devices.
Fig. 7 and TABLE-I shows the comparison of voltage
profile obtained using figure 2 which gives theoretical
estimate of reactive power required and figure 3 where actual
capacitor bank units associated with the bus are in operation.

1.2

FVSI VALUES
LQP VALUES
NLSI VALUES

Index Values

0.8

0.6

0.4

0.2

-0.2

0.5

1.5

2.5

3.5

Reactive load in per unit

Fig. 9. Comparison of indices for line 8-9

TABLE I.
FINAL RESULT OF THE INJECTION CONTROL

LINE 8-10

1
0.9

Initial
Voltage
(pu)

Reactive
Power
Injected
(MVAR)

Final
Voltage
(pu)

Actual
Reactive
Power
Injected
(MVAR)

Actual
Final
Voltage
(pu)

0.0000
0.0000
50.400
20.000
20.800
40.400
0.0000
50.800
47.800
55.800
0.0000
0.0000
0.0000
55.800
0.0000
45.400
0.0000
0.0000
50.800
35.400
0.0000
0.0000
0.0000
0.0000

1.010
1.020
0.990
1.006
1.009
1.019
1.010
1.001
1.005
1.016
1.003
1.005
1.010
0.999
0.990
1.000
0.999
1.000
1.000
1.000
1.000
1.000
1.000
0.981

FVSI VALUE
LQP VALUE
NLSI VALUE

0.8
0.7

Index Value

Bus
No.

0.6
0.5
0.4
0.3
0.2

1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
12.
13.
14.
15.
16.
17.
18.
19.
20.
21.
22.
23.
24.

1.0000
1.0000
0.9420
0.9570
0.9670
0.9500
1.0000
0.9530
0.9540
0.9590
0.9670
0.9780
1.0000
0.9590
0.9800
0.9800
0.9930
1.0000
0.9740
0.9860
1.0000
1.0000
1.0000
0.9560

0.0000
0.0000
48.840
19.800
18.480
36.960
0.0000
46.200
47.520
52.820
0.0000
0.0000
0.0000
51.480
0.0000
44.9375
0.0000
0.0000
48.840
34.320
0.0000
0.0000
0.0000
0.0000

1.0000
1.0000
0.9846
0.9903
0.9957
1.0012
1.0000
0.9871
0.9929
1.0012
0.9983
0.9956
1.0000
0.9809
0.9800
0.9800
0.9926
1.0000
0.9844
0.9950
1.0000
1.0000
1.0000
0.9723
LINE 7-8

LQP VALUES
FVSI VALUES
NLSI VALUES

Index Values

-0.1
-0.2
-0.3
-0.4
-0.5
-0.6
-0.7
0

0.5

1.5

Reactive load in per unit

Fig. 8. Comparison of indices for line 7-8

2.5

3.5

0.1
0

0.5

1.5

2.5

3.5

Reactive load in per unit

Fig. 10. Comparison of indices for line 8-10

TABLE II.
COMPARISON OF STABILITY INDICES
Bus
No.
3.
4.
5.
6.
8.
9.
10.
14.
19.
20.

Reactive
load
(pu)
2.52
2.18
2.97
2.50
3.33
4.07
3.86
4.86
9.12
7.92

Voltage

Critical
Branch

FVSI

LQP

NLSI

0.745
0.733
0.726
0.701
0.759
0.766
0.780
0.791
0.754
0.828

3-24
4-9
5-10
6-10
8-10
9-12
10-12
14-16
19-20
20-23

0.7865
0.9847
0.9983
0.9408
0.9996
0.9174
0.8660
0.9085
0.9985
0.9981

0.9934
0.9374
0.9370
0.9367
0.9369
0.9977
0.9994
0.9978
0.9856
0.9836

0.8110
0.9959
0.9637
0.9994
0.9482
0.9325
0.8856
0.9833
0.9701
0.9960

Fig. 8-10 shows the comparison of FVSI, NLSI and LQP of

line 7-8, 8-9 and 8-10 respectively with respect to bus 8.
TABLE II shows the maximum reactive loading, voltage, the
most critical line and comparison of the indices of different
load buses. TABLE III shows the outage effect on different
lines of BUS 3 and corresponding ranking is done when the
reactive loading at bus 3 is 1pu. The highest rank signifies
the most critical line referred to a bus. Fig. 11 shows the
maximum reactive loading of different buses and Fig. 12
shows the minimum voltage at the buses at that maximum
reactive power loading. Bus 3 has minimum reactive loading
and so is the weakest bus. Bus 19 has the maximum reactive
loading and so is the most secure bus. Bus 6 has the
minimum voltage whereas bus 20 has the maximum voltage.

221

maintained and improved in a more efficient manner under

the vision of SMART GRID.
REFERENCES
[1]

[2]
Fig. 11. Comparison of reactive power loading of buses

[3]

[4]

[5]

[6]
[7]
[8]
Fig. 12 Comparison of voltage at the buses with maximum reactive power
loading
TABLE III.
COMPARISON OF STABILITY INDICES OF BUS 3

[9]
[10]

BUS 3
Voltage
(pu)

0.774

Stability
Value (L)

0.1057

0.844

0.0467

0.850

0.0425

Reactive
Load (pu)

1.0

1.0

1.0

Branc
h

FVSI

LQP

Outage Of Branch 3-24

1-3
-0.5111 -0.3675
3-9
0.6016 0.7619
Outage Of Branch 1-3
3-9
0.2778
0.2786
3-24
0.4739
0.6788
Outage Of Branch 3-9
1-3
-0.5430 -0.5022
3-24
0.4444
0.6361

NLSI

RANK

[11]
-0.6368
0.8096

1.

0.2795
0.6960

2.

-0.5460
0.6601

3.

[12]
[13]

[14]

VII. CONCLUSION
This paper focuses on the improvement of voltage profile
by necessary VAR compensation, the proposed methodology
is tested on IEEE 24 bus system and the amount of
compensation required is calculated based on the voltage
violation of the bus and comparison between the theoretical
requirement of reactive power and the actual value is done.
Stability studies has been conducted based on the various
indices such as FVSI, LQP, NLSI these indices are sufficient
to determine the stability margin of the system also
comparison of the stability indices is done. contingency
ranking is performed based on these indices from which we
can determine the most severe line outage such as on the
outage of the line 3-24 and 3-9 line 1-3 is having negative
value of index which shows that collapse have been occurred,
these studies provide vital information to take decisions to
avoid emergency situations in the power network.
Conventional distributed reactive power sources like
synchronous condensers; SVCs, shunt capacitors can be
utilized to efficiently improve the overall system voltage. The
strong communication architecture further strengthens the
reliability of the network in terms of real time data exchange
among different utilities. Thus, voltage scenario can be

222

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[16]

[17]

[18]

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A Comparative Study of Improved Embedded

Zerotree Wavelet Image Coder for True and
Virtual Images
Priyanka Singh, Student Member, IEEE, Priti Singh, Member, IEEE

Abstract-- The objective of this paper is to implement an

improved Embedded Zerotree Wavelet (EZW) Image Coder for
true and virtual images. EZW used here is specially designed
for wavelet transform and effective image compression
algorithm. It has property that the bits in the bit stream are
generated in order of importance, yielding a fully embedded
code. We have used here different Wavelet Filters such as
Biorthogonal, Coiflets, Daubechies, Symlets and Reverse
Biorthogonal Filters. We have applied above filters on two
images one true Rice image (256X256) and one virtual Human
Spine image (256X256). MATLAB program is written to
achieve an image compression based on EZW algorithm. We
have compared our result using various parameters such as
Compression Ratio, Bits per Pixel, Mean Square Error, and
Peak Signal to Noise Ratio. By using this algorithm, the highest
PSNR values & Low MSE for a variety of images can be
obtained.
Index TermsBits per Pixel (BPP), Compression Ratio
(CR), Embedded Zerotree Wavelet, Image Compression, Mean
Square Error( MSE), Peak Signal to Noise Ratio(PSNR).

technologies have been developed to try to keep pace with the

potential for data creation.
A. Need for Compression
Today is an era of internet, images, motion pictures etc.
Transmission and usage of image cannot be avoided.
Image compression is a technique which makes storage and
transmission of images more practical. Regarding image
quality, the most critical step in going from the analog world
or high to the digital world is the digitization of the signals.
For this step, the basic requirement of maintaining image
quality is easily translated into two basic quantitative
parameters:
1) Rate of digital image data transfer or data rate (Megabit
per second or Mb/s).
2) Total amount of digital storage required or data capacity
(Megabyte).
With image compression both data rate and data capacity
are reduced to great extent. So less space, less time and less
bandwidth are required for storage and transmission of digital
images.

I. INTRODUCTION

ith the growth of technology and the entrance into

the Digital Age, the world has found itself amid a vast
amount of information. Dealing with such enormous amount
of information can often present difficulties. Digital
information must be stored, retrieved, analyzed and processed
in an efficient manner, in order for it to be put to practical
use. Image compression is technique under image processing
having wide variety of applications. Image data is perhaps the
greatest single threat to the capacity of data networks [1,2].
As image analysis systems become available on lower and
lower cost machines, the capability to produce volume of data
becomes available to more and more users. New data storage
Priyanka Singh is with the Department of Electronics &
Engineering, Amity University, Gurgaon, Haryana,
priyanka10_ec@gmail.com).
Priti Singh is with the Department of Electronics &
Engineering, Amity University, Gurgaon, Haryana,
pritip@rediffmail.com).

Communication
India (e-mail:
Communication
India (e-mail:

B. Fundamentals in image compression

The fundamental components of compression are
redundancy and irrelevancy reduction. Redundancy means
duplication and Irrelevancy means the parts of signal that
will not be noticed by the signal receiver, which is the Human
Visual System (HVS).
There are three types of redundancy can be identified:
Spatial Redundancy i.e. correlation between neighboring
pixel values.
Spectral Redundancy i.e. correlation between different
color planes or spectral bands.
Temporal Redundancy i.e. correlation between adjacent
frames in a sequence of images.
Image compression focuses on reducing the number of bits
needed to represent an image by removing the spatial and
spectral redundancies. The removal of spatial and spectral
redundancy is often accomplished by the predictive coding or
transforms coding. Quantization is the most important means
of irrelevancy reduction [1, 2].

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223

C. Basic types of image compression

Basic types of image compression are lossless and lossy.
Both compression types remove data from an image that isn't
obvious to the viewer, but they remove that data in different
ways. Lossless compression works by compressing the overall
image without removing any of the image's detail. As a result
the overall file size will be compressed. Lossy compression
works by removing image detail, but not in such a way that it
is apparent to the viewer. In fact, lossy compression can
reduce an image to one tenth of its original size with no
visible changes to image quality! [2, 3].
The organization of the paper is as follows: Section 2
provides a brief description of the Embedded Zerotree
Wavelet. Section 3 provides the literature survey carried out
of EZW algorithm for image compression. Section 4 provides
information about Embedded Zerotree Wavelet (EZW) image
coder .Section 5 provides description of implementation of
EZW Encoding algorithm. Section 6 provides information on
performance results & analysis of improved EZW algorithm
and finally section 7 concludes the paper.
II. EMBEDDED ZEROTREE WAVELET (EZW)
The EZW algorithm was introduced in the paper of
Shapiro [1]. The core of the EZW compression is the
exploitation of self-similarity across different scales of an
image wavelet transform. The Embedded Zero-tree Wavelet
(EZW) algorithm is considered the first really efficient
wavelet coder. Its performance is based on the similarity
between sub-bands and a successive-approximations scheme.
Coefficients in different sub-bands of the same type represent
the same spatial location, in the sense that one coefficient in a
scale corresponds with four in the prior level. This
connection can be settled recursively with these four
coefficients and its corresponding ones from the lower levels,
so coefficient trees can be defined. In natural images most
energy tends to concentrate at coarser scales (higher levels of
decomposition), then it can be expected that the nearer to the
root node coefficient is, the larger magnitudes it has. So if a
node of a coefficient tree is lower than a threshold, it is likely
that its descendent coefficients will be lower too.
We can take profit from this fact, coding the sub-band
coefficients by means of trees and successive-approximation,
so that when a node and all its descendent coefficients are
lower than a threshold, just a symbol is used to code that
branch The successive-approximation can be implemented as
a bit-plane encoder. The EZW algorithm is performed in
several steps, with two fixed stages per step: the dominant
pass and the subordinate pass.
In Shapiro's paper the description of the original EZW
algorithm can be found. However, the algorithm specification
is given with a mathematical outlook.
We present how to implement it, showing some
implementation details and their impact on the overall codec
performance. Consider we need n bits to code the highest

coefficient of the image (in absolute value). The first step will
be focused on all the coefficients that need exactly n bits to be
coded. In the dominant pass, the coefficients which falls (in
absolute value) in this range are labeled as a significant
positive/negative (sp/sn), according to its sign. These
coefficients will no longer be processed in further dominant
passes, but in subordinate passes. On the other hand, the rest
of coefficients are labeled as zero-tree root (zr), if all its
descendants also belong to this range, or as isolated zero (iz),
if any descendant can be labeled as sp/sn. Notice that none
descendant of a zero-tree root need to be labeled in this step,
so we can code entire zero-trees with just one symbol. In the
subordinate pass, the bit n of those coefficients labeled as
sp/sn in any prior step is coded. In the next step, the n value
is decreased in one so we focus now on the following least
significant bit [1-2]. Compression process finishes when a
desired bit rate is reached. That is why this coder is so called
embedded. In the dominant pass four types of symbols need to
be code (sp, sn, zr, iz), whereas in the subordinate pass only
two are needed (bit zero and bit one). Finally, an adaptive
arithmetic encoder is used to get higher entropy compression.
EZW approximates higher frequency coefficients of a wavelet
transformed image. Because the wavelet transform
coefficients contain information about both spatial and
frequency content of an image, discarding a high-frequency
coefficient leads to some image degradation in a particular
location of the restored image rather than across the whole
image. Here, the threshold is used to calculate a significance
map of significant and insignificant wavelet coefficients.
Zerotrees are used to represent the significance map in an
efficient way.
III. EZW ALGORITHM FOR IMAGE COMPRESSION
When searching through wavelet literature for image
compression schemes it is almost impossible not to note
Shapiros Embedded Zerotree Wavelet encoder or EZW
encoder for short [1]. Here, EZW algorithm is selected due to
following following features:1. Discrete Wavelet Transform which provides compact
multi- resolution presentation of image.
2. Zerotree coding which provides compact multiresolution
presentation of significant maps, which are binary maps
indicating positions of significant coefficients.
3. Successive Approximations which provides multiprecision
presentation of significant coefficients.
4. Larger coefficients are more important than smaller
coeffients regardless their scales.
5. The algorithm runs sequentially and stops whenever target
bit rate or target distortion rate is met [3].
An EZW encoder is an encoder specially designed to use
with wavelet transforms, which explains why it has the word
wavelet in its name. The EZW encoder was originally
designed to operate on images (2D-signals) but it can also be
used on other dimensional signals. The EZW encoder is

224

based on progressive encoding to compress an image into a

bit stream with increasing accuracy. This means that when
more bits are added to the stream, the decoded image will
contain more detail, a property similar to JPEG encoded
images. Progressive encoding is also known as embedded
encoding, which explains the E in EZW [3, 5]. The EZW
encoder is based on two important observations:1. Natural images in general have a low pass spectrum.
When an image is wavelet transformed the energy in the
sub-bands decreases as the scale decreases (low scale
means high resolution), so the wavelet coefficients will, on
average, be smaller in the higher sub-bands than in the
lower sub-bands.

C. Coding
The quantizer stage will be followed, by the scanning
process, zero run length coding and Huffman coding. The
performance of Wavelets can be improved by exploiting the
cross-correlations among the sub bands in the encoding
process. The EZW encoder consists mainly of two algorithms,
viz., the dominant pass and the subordinate pass. The
dominant pass and subordinate pass procedures are the
algorithms for the EZW encoder that helps in selecting the
significant values and discarding the sub threshold values.
To reconstruct the image, the decoder basically performs
the three main inverse operations in reverse order as shown
in Figure
V. EZW ENCODING ALGORITHM

2. Large wavelet coefficients are more important than

small wavelet coefficients. Since its inception in 1993, many
enhancements have been made to make the EZW algorithm
more robust and efficient. One very popular and improved
variation of the EZW is the SPIHT algorithm [4, 5].
IV. EZW IMAGE CODER
Fig 1 shows typical EZW codec system. It comprises of
three main stages: transformation (wavelet decomposition),
quantization and coding by rounding to the nearest integer.
A. Transformation
The principle of wavelet image coding is based on the
decomposition of an image into a number of frequency bands
referred to as sub-bands. In order to increase efficiency,
quantizer and coder for each band can then be designed to
match the statistic and energy activity of each sub band.

1. Initialization: Set the threshold T to the smallest power

of that is greater than max (i,j) |c i,j|/2, where Ci,j are the
wavelet coefficients.
2. Significance map coding: Scan all the coefficients in a
predefined way and output a symbol when |Ci,j | > T. When
the decoder inputs this symbol, it sets ci,j = 1.5T.
3. Refinement: Refine each significant coefficient by
sending one more bit of its binary representation. When the
decoder receives this, it increments the current coefficient
value by 0.25T.
4. Set Tk = Tk-1/2, and go to step 2 if more iterations are
needed [1-2].
VI. PERFORMANCE RESULTS & ANALYSIS
We have anaysized our result on the following two images
as shown in the figure using software MATLAB 2011(a) &
wavelet toolbox. We have applied different available wavelet
filters such as Biorthogonal, Coiflets, Daubechies, Symlets &
Reverse Biorthogonal on both the images and calculated
various parameters. The results of experiments are used to
find the CR, BPP, PSNR & MSE for the reconstructed
images.
Original True Image for e.g. Rice Image (256X256) is
shown in figure 2(a) & Reconstructed Image using EZW
Coder is also shown in the following figure 2(b).Similarly a
virtual Image such as Human Spine is shown in figure 3(a)
and reconstructed image is shown in figure 3(b).

Fig 1. EZW Image Coder System

B. Quantization
Each sub bands are quantized using uniform scalar
quantizer, which is used to control the total bit rate. Each sub
bands are quantized using the step size defined by the
quantization matrix and is implemented for the frame of
image, followed by rounding to the nearest integer.
Fig 2(a) Original True Image

225

(b) Reconstructed True Image

TABLE II
THE VALUES OF DIFFERENT PARAMETERS OF TRUE IMAGE ARE TABULATED
USING VARIOUS WAVELET FILTERS

Image ---spine (256X256), Size---2.73KB, Entropy-4.102

Fig 3(a) .Original Virtual Image

(b) Reconstructed Virtual image

Following Tables show performance Evaluation of EZW

Algorithm for True and Virtual Images.The main features of
EZW include compact multiresolution representation of
images by discrete wavelet transformation, zerotree coding of
the significant wavelet coefficients providing compact binary
maps, successive approximation quantization of the wavelet
coefficients, adaptive multilevel arithmetic coding, and
capability of meeting an exact target bit rate with
corresponding
rate
distortion
function
(RDF).The
Comparison
Chart
of
values
of
Compression
Ration,maximum Error and Bits per pixel of True Image is
shown in figure 4.where we have used various wavelet
Families for caluculating different parameters. Similarly
figure 5 shows the Comparison chart of different values for
Virtual Image [7-8].Further Figure 6 & 7 shows the
comparison Analysis of Values MSE & PSNR of
True
Image & Virtual Image respectively.
TABLE I
THE VALUES OF DIFFERENT PARAMETERS OF TRUE IMAGE

Wavelet

CR

BPP

Max error

mse

psnr

bior2.2
bior2.4
bior2.6
bior2.8
bior3.1
bior3.3
bior4.4
bior5.5
bior6.8
dmey
db4
db8
db16
db32
sym2
sym5
coif2
coif5
rbio2.2
rbio4.4
rbio5.5
rbio6.8

17.57
18.16
18.57
18.98
13.98
18.81
16.55
16.66
17.39
19.06
18.55
19.13
20.81
22.31
19.29
17.91
17.91
18.13
24.04
20.29
20.58
19

1.41
1.45
1.49
1.52
1.12
1.51
1.32
1.33
1.39
1.52
1.48
1.53
1.67
1.78
1.54
1.43
1.43
1.45
1.92
1.62
1.65
1.52

6
8
6
6
7
7
8
9
6
6
6
6
4
3
9
7
8
6
32
8
6
8

0.17
0.28
0.66
0.18
0.57
0.22
0.23
0.59
0.27
0.26
1.24
0.26
0.28
0.31
0.45
0.27
0.47
0.29
0.86
0.25
0.58
0.29

55.92
53.62
49.95
55.64
50.55
54.62
54.42
50.45
53.75
54.04
47.2
53.98
53.71
53.19
51.61
53.89
51.46
53.47
48.81
54.09
50.47
53.58

ARE

TABULATED USING VARIOUS WAVELET FILTERS

Image ---Rice (256X256), Size---51KB, Entropy-7.0115

Wavelet

CR

bior2.2
bior2.4
bior2.6
bior2.8
bior3.1
bior3.3
bior4.4
bior5.5
bior6.8
dmey
db4
db8
db16
db32
sym2
sym5
coif2
coif5
rbio2.2
rbio4.4
rbio5.5
rbio6.8

38.26
39.21
39.9
40.6
26.67
43.18
36.47
36.91
37.47
38.94
39.08
40.13
40.81
41.55
40.15
38.35
38.23
38.38
47.89
41.83
42.25
39.98

BP
P
3.06
3.14
3.19
3.25
2.13
3.45
2.92
2.95
3
3.12
3.13
3.21
3.26
3.32
3.21
3.07
3.06
3.07
3.83
3.35
3.38
3.2

Max Error

MSE

PSNR

28
25
24
24
36
21
25
22
26
17
28
21
16
20
34
26
31
25
49
36
25
23

13.36
13.14
13.21
12.78
42.41
15.45
13.84
13.94
12.83
12.99
12.92
13.31
13.17
13.05
13.1
12.62
13
12.71
16.22
13.08
12.74
13.14

36.87
36.94
36.92
37.06
31.86
36.24
36.72
36.69
37.05
37
37.02
36.89
36.93
36.97
36.96
37.12
36.99
37.09
36.03
36.96
37.08
36.94

Fig 4. Values of CR,BPP & max Error analysis of True(Rice) image

226

VII. CONCLUSION
The paper shows, the EZW CODER have been
successfully implemented in MATLAB Version 2011(a).
Embedded Zero tree Wavelet (EZW) algorithm has been
applied for True gray scale and Virtual Grayscale Images
using various Wavelet Families. The Embedded Zero tree
Wavelet (EZW) algorithm has proven to be an extremely
efficient and flexible compression algorithm for low bit rate
image coding. The results of the designed EZW coder are
compared using various parameters values from the
reconstructed images shown in above tables and figures.
From the experiment and performance analysis it was
observed that the reconstructed images are having Less
Compression Ratio, low BPP also high PSNR values and low
MSE values.
Fig 5. Values of CR,BPP & max Error analysis of virtual( human spine) image

VIII. REFERENCES
[1] J. M. Shapiro, Embedded image coding using zero trees of wavelet
Coefficients, IEEE Trans. Signal Processing, vol. 41, pp. 34453462, 1993.
[2] Basics of image compression - from DCT to Wavelets: a review.
[3] Bopardikar, Rao Wavelet Transforms: Introduction to Theory and
Applications.
[4] Shamika M. Jog, and S. D. Lokhande, Embedded Zero-Tree
Wavelet (EZW) Image CODEC ICAC309, January 2324, 2009,
Mumbai, Maharashtra, India.
[5] S.P.Raja, Dr. A. Suruliandi Performance Evaluation on EZW &
WDR Image Compression Techniques, IEEE Trans on ICCCCT,
2010.
[6] Loujian yong, Linjiang, Du xuewen Application of Multilevel 2- D
wavelet Transform in Image Compression. IEEE Trans on 978-14244-3291-2, 2008.
[7] Javed Akhtar, Dr Muhammad Younus Javed Image Compression
with Different Types of Wavelets. IEEE Trans on Emerging
Technologies, Pakistan, Nov 2006.
[8] R.Sudhakar, Ms R Karthiga, S.Jayaraman Image Compression
Using Coding of Wavelet Coefficients A Survey ICGST-GVIP
journal, volume (5), Issue (6), June 2005.
[9] Rafael C. Gonzalez and Richard E. Woods, Digital Image
Processing, 2nd Edition, Prentice Hall Inc, 2002.
[10] Khalid Sayood, Introduction to Data Compression, 3rd Edition
2009
[11] G. Sadashivappa, K.V.S. Ananda Babu, WAVELET FILTERS
FOR IMAGE COMPRESSION, AN ANALYTICAL STUDY
ICGST-GVIP journal, volume (9), Issue (5), September 2009,
ISSN: 1687-398X
[12] Lou jian yong,Lin jiang and Du xuewen Application of
Multilevel 2-D wavelet Transform in Image CompressionIEEE
Trans on Signal Processing 978-1-4244-3291-2, 2008.
[13] J. Oliver and M.P. Malumbres An implementation of the EZW
Algorithm. 2000

Fig 6. Values of MSE & PSNR analysis of True(Rice ) image

Fig 7. Values of MSE & PSNR analysis of Virtual(Human Spine) Image

227

Stabilization and Tracking Control for

ElectromagneticSuspension System Using Feedback
Linearization
Amit Kumar Kushawaha and G.N.Pillai, Member, IEEE
AbstractThis paper presents a nonlinear control technique,
feedback linearization, for an electromagnetic suspension (EMS)
system which is a nonlinear system. It is shown that the EMS
system is feedback linearizable as it satisfies the required
conditions. For the EMS system, feedback linearization
technique is used to design stabilization control and tracking
control. For the tracking control a random sinusoidal trajectory
is taken as the reference signal. Also, these results are compared
with that obtained using the standard linear state-feedback
controller whose design is based on a linearized model of the
plant obtained by small perturbations of the plant around an
operating point.
Index Terms Electromagnetic suspension system, feedback
linearization, relative degree, tracking control.

I. INTRODUCTION
suspension refers to suspending an object in a
Magnetic
fluid without any physical support, just by using
magnetic force to counter balance the weight of the object and
any other forces acting on the object. This phenomenon is of
prime interest in applications like high speed magnetic
levitation vehicles [1], magnetic levitation motor, wind tunnel
magnetic levitation system [2] etc. Electromagnetic
suspension (EMS) system is a simple platform for
experimenting this magnetic suspension phenomenon to
understand the modelling and controlling of complex systems
based on it.
EMS system works via the force of attraction between an
electromagnet and the object. If the object gets too close to the
electromagnet, the current in the electromagnet must be
reduced. If the object gets too far, the current in the
electromagnet must be increased to pull back the object to the
equilibrium point. It is a nonlinear, third order, open loop
unstable system, and thus requires a feedback control scheme
for stable operation.

The authors are with Electrical Engineering Department, Indian Institute of

Technology,
Roorkee-247667,
India(email:
akk_iet@yahoo.in,
gopinath.pillai@gmail.com).

A straight forward way of controller design for this system

is to approximate its nonlinear dynamics by linear ones which
are obtained by limiting the perturbations of the system states
to a small region around an operating point of interest, and
then designing a state-feedback controller for this system.
This approach is worked upon in [3]-[4]. In [5], the author has
proposed a proportional plus derivative (PD) controller for a
transfer function model of the EMS system obtained by same
linear approximations. This methodology, however, fails to
give proper performance whenever the values of states, either
initial or due to some disturbance, are too large for the
allowed range of operation on which the linear approximation
was based. In such cases the system may go unstable. Also,
thetracking performance deteriorates rapidly with increasing
deviationsfrom the nominal operating point.Further, linear
controllers typically require some type of gain scheduling
procedures to change the operating points.
In this paper the controller design for EMS system using
feedback linearization method is considered. This is a
nonlinear control technique in which a nonlinear invertible
state transformation along with a nonlinear input
transformation is used to linearize the system exactly. A linear
control law using state-feedback is then designed for the
resulting linear system. Finally the nonlinear state
transformations are inverted back to obtain a nonlinear statefeedback control law. The necessary and sufficient conditions,
that the system must follow to be feedback linearizable, are
also discussed. If a nonlinear system follows these conditions
then only it can be reduced to a controllable linear system
through state and input transformations.The concept of
relative degree is introduced in context of input-output
linearization. If the relative degree of a system is equal to the
order of the system then after above mentioned
transformations it reduces to a chain of integrators. Since this
method is based on exact linearization of the system
dynamics, it does not put any restrictions on the operating
range. It gives good tracking over long ranges of travel
[6].Also, this method provides a more robust design to
parameter variations over standard linear state-feedback
controller, as proposed in [7].
Section II, considers the modelling of an experimental
prototype of EMS system and its nominal equilibrium point
conditions. In section III, the controller design based on
feedback linearization is discussed. Then in section IV, it will
be shown that the dynamics of this EMS system follow the

978-1-4673-0455-9/12/$31.00 2012 IEEE

228

necessary and sufficient conditions for being feedback

linearizable. Controllers are designed for it using feedback
linearization technique. Section V is devoted to control of
EMS system by standard linear controller. Then, the
performance of thesecontrollers is validated bygiving
simulation results in section VI. Also, the performance of this
nonlinear controller is compared with that of a linear statefeedback controller designed for the same system. At last
some conclusions are summarized in section VII.
II. MODELLING OF THE PLANT
A schematic diagram of EMS system [8], to be controlled is
shown in fig. 1. The control task is to stabilize the ball
position at the nominal equilibrium point or to make the
height of the ball track a reference height variation. The figure
indicates the forces acting on the metallic ball. F is the
electromagnetic force and f is the viscous friction acting on
the ball.

andthus the force (, ) is calculated using (2) as

(3)

The inductance of the electromagnet depends on the position

of the ball and can be modelled as in [1], as
, =

= 1 +

(4)

1+

where1 is the inductance when ball is not present, 0 is the

incremental inductance when ball is next to the coil, and is a
constant.
The dynamics of the electromagnet are given by
= +

. (5)

where
= the source voltage
= series resistance of the circuit
= current flowing in the electromagnet
Using equations (1) to (5) and defining state variables as
1 = ,2 = , 3 = , input as = and output as = 1 ,
the plants state-space model is obtained in vector form as
follows
= +
=

(6)

where
2

0 3 2
2

2 + 1
=

3 + 0 2 3 2

; =

+ 1

1 +
The dynamics of suspended object in vertical plane are given
by
2
= ,
2

1+ 1

1+ 1

= 1
Let the equilibrium position of the suspended object be =
1 , then the equilibrium condition is expressed as

(1)

= 1

where
= mass of the suspended object
= acceleration due to gravity
= distance of ball surface from the bottom of the
electromagnet( 0)
= coefficient of viscous friction
= current in the coil
, = force generated by the electromagnet

+ 1

= + 1

2
0

2
0

(7)

= 1
III. FEEDBACK LINEARIZATION CONTROL

Now, energy stored in the electromagnet is given as

1
, = 2
2

1 +

Fig.1. Schematic diagram of an EMS system

0
0
1

(2)

This section considers the feedback linearization [9]of a single

input single output (SISO) nonlinear system and the related
conditions.
Consider a single-input-single-output nonlinear system

229

= +
= ()

Rest of the states accounts for the internal dynamics

which must also be stable.
The state transformation (10) is a diffeomorphism in , so it
is smooth and its inverse exists and is also smooth.

(8)

where
,
,
and
, are sufficiently smooth vector functions in
and is a sufficiently smooth scalar function in .

A. Stabilization Control
The last equation in (12) gives the input output map as
() =

This system is feedback linearizable if, and only if, there

exists a region such that the following conditions hold

since (12) is completely controllable, a state-feedback control

law is obtained by pole placement [10], as

1. The vector fields 1

are
linearly independent in
2. The set 2 is involutive in

= 1 (1) 1 0

where is the lie bracket of and repeated times.

Involutivity of a set of vector function means that the lie
bracket of any pairs of vector function formed from the set
can be expressed as a linear combination of the original vector
functions.
A SISO system is said to have relative degree ,1 n in
a region if, x
1 = 0,

= 1, 2, , 1;

1 0
(9)

replacing this in (11), we get the actual control law

=

If system (8) satisfies above mentioned conditions then using

the state transformation
1 2

(10)

The control task here is to make the output of (8),

(),track a reference trajectory .
= () ()

Assuming that the derivatives of of required orders are

available and smooth, again by pole placement
= () 1 (1) 1 0
andthe actual control law

(11)

1
+ 1 (1) 1 0
1
(14)

then causes the tracking error to converge to zero

asymptotically.

nonlinear system (8) reduces to linear system given as

= +

Define tracking error as

+
1

1 0 (13)

B. Tracking Control

and input transformation

=

whichyields a locally asymptotically stable closed-loop

system.

wheren is the system order. is the lie derivative of

with respect to and is the lie
derivative of with respect to .

1
1
1

IV. FEEDBACK LINEARIZING CONTROL OF EMS SYSTEM

12

Applying (9)on (6), relative degree of (6) comes out to be 3.

Also, system given by (6) is found to be satisfying the
conditions given in section II for being feedback linearizable.
However for satisfying these conditions and for relative
degree to be defined, the region is defined by
where
010
001
=
000
000

0
0

1
0

0
0
=
0
1

1 > 0, 3 > 0

is the relative degree of the system and is the new input to

be determined now.

and as evident by the physical inspection of the plant, 1 , 3 in

fact lies in the allowable range.
Since the equilibrium states of the system are not the origin
and depends on the desired static position of the suspended
object, the system has to be modified to shift the equilibrium
states to the origin.

230

1 (, ) 1 (, ) 1 (, )
1
2
3
2 (, ) 2 (, ) 2 (, )
=
1
2
3
3 (, ) 3 (, ) 3 (, )
1
2
3

The change of variables

= ,

= ,

(15)

results in shifted dynamics as

= + + + + +
+
(16)
= +

1 (, )

2 (, )
=

3 (, )

By defining state and input transformations as

1 2 3

= 2
3 +
=
2

(17)

the nonlinear system (16) reduces to following linear system

which is a chain of three integrators
1 2 3

= 2 3

= 1 1 2 2 3 3

3 1 2 3 2
2

(20)
Again, definingtacking error as = , the control law
which forces the system to track a reference trajectory , is
given by
= +

3 + 1 ( )
2 ( )3 (2

(21)
=

V. LINEAR STATE-FEEDBACK CONTROL OF EMS SYSTEM

For designing a linear controller the system (6) is
approximated by a linear system considering small
perturbations around a nominal equilibrium point. The linear
system obtained is given as
= +
=

, = 1 , 2 , 3 ,

The stabilizing control law is obtained by pole placement

method as
= 1 1 1 2 2 2 3 3 3

(19)

Replacing (19) in control given by (17) and using (15) a

nonlinear control law is obtained, which stabilizes the system
asymptotically, as below

()

()

where

(18)

Since (18) is completely controllable, a suitable control law,

to place all the close loop poles in the left half of s-plane, can
be obtained as below

= +

; =

(23)

VI. SIMULATION RESULTS

The performance of proposed feedback linearization
controller is checked by simulation using SIMULINK of
MATLAB. The control algorithm is converted to MATLAB
m-file code and used with simulation structure of the complete
closed loop system, in embedded MATLAB function block.
The values of parameters, the nominal equilibrium point and
the initial conditions used for simulations are given in
Appendix. The time mentioned in seconds in all the figures is
the simulation time. Controlled input voltage is limited
between 0 V and 15 V. Feedback gains of feedback linearized
system are calculated by pole placement method as 1 = 90,
2 = 48, 3 = 11. These feedback gains place the close loop
poles at5, 3 + 3i, 3 3i. These values of feedback gains
give sufficiently good results and no remarkable change
appears in the performance by increasing them further
because, as long as closed loop poles remains in left half, the
response of nonlinear system hardly depends on their position
and depends largely on the initial conditions.
Fig. 2 shows the system response with stabilization
controller. The overshoot in the figure shows that from the
initial position, first the object goes down and current
increases, and then it is attracted towards equilibrium position.
The object settles down in 2.34 sec.

(22)

with matrices

231

0.08

0.08

0.07

0.07

system response

0.06

position (meters)

position (meters)

system response

equilibrium position

0.05

0.06
0.05
reference trajectory
0.04

0.04

0.03

0.03

10

10

time (sec)

time (sec)

Fig. 4Suspended object tracking controlled positionsimulation

result for frequency = 1 /

Fig. 3 shows the stabilization response in presence of

disturbance. To show the performance of the controller in
presence of disturbance, a disturbance input is added in the
simulation by modelling it as pulse of short duration. During
simulation a positive pulse of magnitude 0.1 and duration 0.1
sec isadded at 5 sec. This represents a downward displacement
of the suspended object from the equilibrium position. Then a
negative pulse of magnitude 0.1 and duration 0.05 sec,
showing upward displacement, is added at 10 sec. Fig. 3
shows that after both the disturbance the object returns to it
equilibrium position.

Again, same disturbance is modelled and used with

tracking simulation. Fig. 5 shows the tracking response with
disturbance. Once again simulation results show that as soon
as disturbances are removed, tracking is retained.
0.08

0.06
0.05
0.04
0.03

0.08

reference trajectory
0.02

due to downward disturbance

position (meters)

0.07
0.06

6
8
time (sec)

10

12

14

Fig. 5Suspended object tracking controlled positionsimulation

result for frequency = 1 /(with disturbance)

0.05

However, as the frequency of reference trajectory

increases, the tracking suffers a phase lag. This is evident
from fig. 6 which shows the tracking response with reference
trajectory frequency as = 2 /.

0.04
due to upward disturbance
0.03

system response

0.07

position (meters)

Fig. 2 Suspended object controlled position simulation result

6
8
time (sec)

10

12

14

0.08

Fig. 3Suspended object controlled position simulation result

(with disturbance)

system response

position (meters)

0.07

For showing the tracking performance a sinusoidal

reference,with its zero level at the equilibrium position of the
suspended object, is modelled as
= 0.05 + 0.01 sin

reference trajectory
0.06
0.05
0.04

During simulation this reference and its derivatives are fed

into the system. Also,tracking will be more accurate when the
frequency of reference trajectory is small. As its frequency
increases, the system response will not be able to track it
exactly and a consistent phase difference will be there. Fig. 4
shows the variation of position of the suspended object, with
respect to sinusoidal reference trajectory,without disturbance
for frequency of reference trajectory as = 1 / and the
plots are almost overlapping.

0.03

10

time (sec)

Fig. 6Suspendedobject tracking controlled positionsimulation

result for frequency = 2 /

A. Performance Comparison
For the linear controller, feedback gains are calculated as
1 = 17.9292, 2 = 1.6351, 3 = 0.7253 for the same
locations of closed loop poles as in case of nonlinear
controller. Using the same initial conditions in this case also,
simulation is done using linear controller. Fig. 7 shows the
response of linear and nonlinear controller, without
disturbance, on the same scale

232

APPENDIX

0.075
Linear State-Feedback

position (meters)

0.07
0.065

TABLE II
SYSTEM PARAMETERS FORSIMULATION

Feedback Linearization

0.06

Parameter
Suspended Object Mass

Symbol

Value
0.1

Coil Inductance

0.02

Incremental Inductance

0.01

Coil Resistance

Gravity Acceleration

9.81 /2

Coefficient of Viscosity

0.001 /.

Constant

Equilibrium Position

0.055
0.05
0.045

0.5

1.5
time (sec)

2.5

Fig. 7Suspendedobject controlled positionsimulation result with

the two controllers

Initial Conditions

The comparison of specifications of two responses is

shown quantitatively in table 1.

Linear StateFeedback
0.45
38 %
2.43

VII. CONCLUSIONS
In this paper the stabilization and tracking control of
electromagnetic suspension system is studied by
designingcontroller using feedback linearization technique.
The response of the system is obtained by simulation and is
found to be satisfactory, both in case of stabilization and
tracking a slowly varying reference trajectory. However, it is
found that as the frequency of input sinusoidal reference
increases, some tracking error appears. This tracking error
varies nearly sinusoidal whose maximum amplitude increases
with increase in reference input frequency as tabulated below
TABLE II
VARIATION OF TRACKING ERROR WITH REFERENCE FREQUENCY

max(cm)

0.02

0.40

0.87

1.25

1.44

0.05
0

[ 1 2 3 ]

[ 0.05 0 6.2642 ]

REFERENCES
Gysen, B., Paulides, J., Janssen, J., Lomonova, E., Active Electromagnetic Suspension System for Improved Vehicle Dynamics, IEEE
Transactions on Vehicular Technology, Vol. 59, Issue 3, pp. 1-6, 2008
[2]. Muscroft, R.J.M., Sims-Williams, D.B. and Cardwell, D.A., The
Development of a Passive Magnetic Levitation System for Wind
Tunnel Models, SAE Transactions: journal of passenger cars:
mechanical systems, 115 (6), pp. 415-419, 2006
[3]. Woodson, H.H. and Melcher, J.R., Electromechanical Dynamics, PartI: Discrete Systems, pp. 192-200, John Wiley, New York, 1968
[4]. Sinha P. K., Electromagnetic Suspension: Dynamics & Control, IEE
Contr. Eng. Series, Vol. 30, 1987.
[5]. Hurley W.G. and Wolfle W.H., Electromagnetic Design of A
Magnetic Suspension System, IEEE Transactions on Education, Vol.
40, No. 2, May 1997
[6]. Mizutani, T., Katayama, H., Ichikawa, A., Tracking Control of a
Magnetic Levitation System by Feedback Linearization, presented at
SICE Annual Conference, Sapporo, Japan, August 4-6, 2004
[7]. Zhang, J., Tao, T., Mei, X., Jiang, G. and Zhang, D., Non-linear
robust control of a voltage-controlledmagnetic levitation system with a
feedback linearizationapproach, Proc. Institution of Mechanical
Engineers, Part I: Jour. of Systems and Control Eng., Vol.225,2011
[8]. Googoltech Experimental Manual, Magnetic Levitation System,
Googol Technology Limited, 2007
[9]. Slotine J.-J.E. and Li W., Applied Nonlinear Control, New Jersey,
Prentice Hall, 1991
[10]. Gopal, M., Digital Control and State Variable Methods, 3 rd Ed, New
Delhi, Tata McGraw Hill Education Private Limited, 2009
[1].

The authors are thankful to the Electrical Engineering

Department IIT Roorkee for providing platform and lab
facilities for carrying out this work.

Feedback
Linearization
0.42
36 %
2.34

Frequency of
reference input (rad/s)

ACKNOWLEDGEMENT

TABLE I
SPECIFICATION -WISE PERFORMANCE COMPARISON OF THE TWO CONTROLLERS

Controller
Specification
Peak Time (sec)
Maximum Overshoot
Settling Time (sec)

Equilibrium Position

0.05

Also, the performance, in terms of stabilization, of the system

with this nonlinear controller is compared with that obtained
by a linear state-feedback controller, and it is found that the
transient response is better with the nonlinear controller.

233

An Improved Unsharp Masking Algorithm for

Enhancement of Mammographic Masses
Siddharth, Rohit Gupta, Vikrant Bhateja.

Abstract-- Unsharp Masking (UM) is a classical and popular tool

for sharpening in digital images. Mammographic masses with
diameters less than 1 cm are generally benign, while those with
diameters above 2 cm could prove cancerous and hence require
further investigation. This paper introduces two new filter
templates to catalyze the performance of UM algorithm using an
improved high pass filter. The conventional UM algorithm is
extremely sensitive to noise because of the presence of the linear
high pass filter, on the other hand region segmentation does not
prove effective when dealing with the objects having multiple
discontinuities. The proposed algorithm combines the
conventional UM algorithm with the region segmentation
approach. Simulation results show a marked improvement in
performance in terms of contrast and edge enhancement as
compared to the recently published works in literature. Moreover
the results are also subjectively evaluated by medical experts
which validates the effectiveness of the proposed technique.
Index Terms-- Digital Mammography, Spiculated Masses,
Unsharp Masking (UM), Edge Enhancement, Image Sharpening.

I. INTRODUCTION
Breast Cancer is the most frequently diagnosed cancer and the
leading cause of cancer death in females worldwide,
accounting for 23% (1.38 million) of the total new cancer
cases and 14% (458,400) of the total cancer deaths in 2008
[1]. Breast Cancer forms in tissues of the breast, usually the
ducts (tubes that carry milk to the nipple) and lobules (glands
that make milk). This cancer may be invasive if it has spread
from the milk duct or lobule to healthy breast tissues. The most
common type of breast cancer is ductal carcinoma, which
begins in the cells of the ducts. Cancer that begins in the lobes
or lobules is called lobular carcinoma. Development of mass is
an outcome of various internal processes affecting the breast
tissues in different ways. A round, oval, or lobulated mass with
sharply defined borders has a high likelihood of being benign.
Masses can be broadly classified as circumscribed and
spiculated, circumscribed masses grow faster than spiculated
masses. Masses with irregular boundaries are generally

This work was supported by SRMGPC, Lucknow (U.P.), India.

Siddharth and Rohit Gupta are B.Tech. final semester students from the
Deptt. Of Electronics & Communication Engineering, SRMGPC, Lucknow,
India. (e-mail: link.siddharth@gmail.com, grohiteng24@yahoo.in)
Vikrant Bhateja, is an Assistant Professor in the Deptt. of Electronics &
Communication Engineering, (SRMGPC. He is the project supervisor for the
above authors. (e-mail: bhateja.vikrant@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

malignant [2]. For early diagnosis of breast cancer

mammography screening is a method that has proven to be
useful. Mammography is capable of detecting and locating
underlying tumors which are non-palpable in nature that may
be cancerous at a later stage. A mammogram is basically an Xray of the breast. Mammographic images are limited by poor
radiologic resolution, especially in case of patients with denser
breasts, prior surgery, previous radiation or breast implants. In
spite of high sensitivity and specificity, even the deadly tumors
are missed by mammography. For accurate computer aided
detection of this breast tumor, edge enhancement techniques
are applied to digital mammograms. Thus, computer assisted
diagnostic techniques serve to be an important tool for
improving breast cancer detection. These techniques are useful
in early detection of breast cancer, thus providing a remarkable
reduction in disease mortality [3]. Traditional enhancement
techniques applicable in the spatial domain do not prove very
effective for sharpening of the images. Unsharp Masking
(UM) is a very common technique used to enhance the edges
of the breast tumor. Conventional linear UM method [4] is
very simple but poses certain disadvantages. The usage of
linear high pass filter in the linear UM method makes the
system extremely sensitive to noise. In addition to this, the
usage of a global enhancement factor for the entire image leads
to over-enhancement of the high contrast areas thereby
introducing some undesired artifacts in the finally processed
image. Many variants of the conventional UM methods are
proposed in the literature to overcome these limitations.
Strobel used quadratic operator [5] in place of linear high pass
filter to improve the performance of UM method. However,
usage of this operator introduces some visible noise depending
on the enhancement factor. Mira et al. proposed a normalized
non-linear approach [6] which replaced the high pass
component of the conventional UM method by a fraction
obtained from the quadratic filter. However, this approach
amplified the noise in high contrast areas which created a very
unpleasant effect in the finally enhanced images. Xiao et al.
combined UM with the histogram equalization (HE) [7]
leading to the normalization of the grayscales of the entire
image including the low as well as high contrast areas.
Because of the global treatment of the image with HE
approach, this method does not yield satisfactory results for
enhancement of the details of the mammographic masses. The
cubic UM approach was suggested by Ramponi [8] uses a
quadratic function of local gradient to suppress noise. This
filter works well in some areas but may introduce some visible
noise depending on the choice of enhancement factor. Yang et

234

al. proposed a UM method based on region segmentation [9].

However, the authors have used conventional high pass filter,
hence it is not able to enhance the details and the lesion edges
in region of interest (ROI) effectively. In addition to this, some
over shoots are also present because of high enhancement
factors. Wu et al. proposed an improved unsharp mask method
[10], but some overshoot artifacts can still be seen and the
edges are also not clearly visible. This paper introduces an
improved unsharp masking (UM) algorithm based on region
segmentation for edge enhancement of digital mammograms.
In this work two new 5x5 templates are proposed to improve
the performance of the high pass filter, thus providing high
frequency components of the targeted ROI which are
insensitive to noise. Combination of this high pass filter with
the UM based on region segmentation, not only enhances the
contrast of the lesion details and edges but also suppresses the
background noise. The rest of the paper is organized as
follows: The first part of Section II discusses the proposed
work. Results and discussions are presented in Section III,
while the concluding remarks are given under Section IV.
II. PROPOSED UNSHARP MASKING ALGORITHM
A. UM Based on Region Segmentation
Segmentation is the process of partitioning a digital image into
multiple segments such that the set of segments cover the
entire image. In region segmentation approach, the pixels
corresponding to an object are grouped together and marked; it
then compares the gray level variance of the pixels for
segmentation and at the same time it assumes that points on the
same object will project to spatially close pixels on the image.
This assumption does not hold true for all the cases, thus this
method fails to divide the regions efficiently for objects with
multiple discontinuities. UM based on region segmentation [9]
works on the principle of dividing the entire image into three
different segments according to their characteristics. These
three segments are low-detail, medium-detail and high-detail
regions correspond to low, medium and high frequency
regions respectively. To assign a pixel to any one of the three
segments, a local variance vi is computed over a 3x3 pixel
block using the formula:
vi ( m, n)

1 m 1 n 1
( y (i , j ) y ( m,n))2
9 i m 1j n 1

(1)

where: y (m, n) is the average luminance level of the 3x3 pixel

block. Let 1 and 2 be the two threshold values (chosen to
divide the image in to three segments) such that both the
values should be greater than zero and 1 should lie between
zero and 2. The conventional linear equation for UM can be
modified and given as:
(2)
e( x, y) h( x, y )
( x, y ) f ( x , y )
where: e(x, y) is the final enhanced image, h(x, y) is the
original image and f(x, y) is the output of the linear high pass
filter, (x, y) is the enhancement factor, the value of which is
different for different regions.

B. Modified UM based on Region Segmentation Method

UM based on region segmentation [9] uses a selective
mechanism for making the choice of the enhancement factor
for every pixel of the image. This should enhance the image
effectively but the high pass filter used, is the conventional
one. Thus, it is unable to effectively enhance the
morphological details, along with the introduction of noise.
The new convolution templates proposed in this work
effectively improves the high pass, thereby modifying the
sharpening effect of the UM algorithm. The new high pass
filter produces the high pass filtered image by subtracting the
low pass filtered image from the original image. The
background prediction process is achieved using the low-pass
filter and then this image is subtracted from the original input
image producing a high frequency image in which the
background information is suppressed. The expression for the
improved high pass filter can be given as:
'

(3)
f ( x, y) h( x, y) l ( x, y)
where: f (x, y) is the high pass filtered image, h(x, y) is the
input image and l(x, y) is the image containing the background
information obtained from a low pass filter. The low pass
filtering and the background prediction is performed by
convolution of the proposed template T1(m,n) and T2(m,n)
with the original image h(x, y) is defined as:
(4)
l ( x, y ) h ( x, y ) T1 ( m, n)
and

l ( x, y )

(5)

h ( x, y ) T2 ( m, n )

The convolution templates T1(m,n) and T2(m,n) are expressed

as :
4

4 16 12 16

24 18

24

18

18

T1 ( m, n)

1
180

4 12

T2 ( m, n)

12

4 16 12 16

24 18

24

270

Now, substituting the output of the high pass filter f (x, y), in
(2), the modified expression for the UM method based on
region segmentation can be stated as:
'

(6)
e( x, y) h( x, y)
( x, y) f ( x, y)
The proposed method in (6) is applied to the ROI with low
enhancement factor, in order to effectively extrude the edges
of mammographic masses. The block diagram representation
of the proposed UM algorithm is shown in figure 1.
III. RESULTS AND DISCUSSION
A. Simulation Results
The images used in this paper for simulations are taken from
the Mammographic Image Analysis Society (MIAS) database
[11]. It is publically available and one of the most easily
accessed databases. In this work, a pre-processing operation is
performed on the input mammograms. This involves ROI
extraction, where a particular section of the mammographic
image is cropped, from the probable area of lesion location
and then normalized. The test images include ROI of size 256
x 256 pixels extracted from mammograms containing
circumscribed masses which may be benign or malignant. The

235

Input Image
(MIAS Database)

Pre-Processing
(Normalization and
ROI extraction)

Multiplication by
Enhancement factor
((x,y))

Improved High Pass

Filtered Image

Low Pass filtering Using

Proposed Template
Final Enhanced
Image
(e(x,y))
Figure 1: Block diagram of the working of the proposed UM algorithm.

proposed UM method is then applied to the pre-processed

ROI. For the purpose of comparison, the results of enhanced
ROI produced by linear UM method [4], UM based on region
segmentation [9] employing low and high enhancement factor
are also shown. Fig. 2 shows the results of enhanced ROI
produced by proposed as well as other UM methods. ROI
produced by Linear UM method [4] (as in fig. 2(b)) is
generated using a constant enhancement factor equal to 3. In
UM based on region segmentation [9], For region
segmentation with high enhancement factor, chosen values of
(x, y) are 7 and 9 respectively, whereas for low enhancement
factor are 3 and 5 respectively. Region segmentation method is
then applied with low enhancement factors.
B. Subjective Evaluation
The features of mammograms are ultimately monitored by the
radiologists and hence to evaluate the proposed algorithm,
along with objective evaluation using CEM, the enhanced
mammograms are also evaluated against subjective scores. The
subjective evaluation method uses the mean opinion score
(MOS) recommended by ITU-T. In this test four human
observers (each being from the radiology field) visually
evaluates the set of 5 mammograms from MIAS database
which were enhanced using the proposed method of contrast
enhancement. The observers rate the images on a scale of 1-5,
where a score of 5 represents best visual enhancement results.
These evaluations resulted in Mean Opinion Score (MOS),
which are the scores given by the individual observers to the
images according to the perceived quality. The MOS signifies
the rating of the images according to the practical application
and hence gives a basis for subjective quality assessment.

Ob. 1
3.5
3.2
3.7
3.8
3.0

Ob. 2
3.0
3.1
3.2
3.5
2.9

Ob.1-Ob.4 are the ratings given by the medical experts.

Ob.3
3.0
2.9
3.0
3.1
3.2

Ob.4
3.2
3.0
3.6
3.4
3.3

MOS
3.17
3.05
3.37
3.45
3.10

(b)

(c)

(d)

(e)

(f)

(g)
(h)
Fig. 2: (a) Pre-processed ROI (mdb184) containing a spiculated mass.
Enhanced ROI obtained using (b) Linear UM [4]. (c)Quadratic UM [5]
(d) UM based on region segmentation with high enhancement factor
[9]. (e) UM based on region segmentation with low enhancement
factor [9]. (f) UM algorithm by Wu et al. [10]. (g) Proposed algorithm
using template T1. (h) Proposed algorithm using Template T2.

TABLE 1: Subjective Evaluation Of Images Enhanced By The Proposed

Algorithm

Image
mdb005
mdb132
mdb134
mdb184
mdb202

(a)

C. Objective evaluation & Comparison of Results

The degree of contrast or edge enhancement provided by any
particular algorithm for mammographic images is adjudged by
its ability to enhance the difference between the average gray
scale values lying in the in the background and the foreground
regions. S. Singh and K. Bovis proposed three different
quantitative measures [12] for evaluation of the enhanced
image quality. Combined enhancement measure (D) is used as
236

TABLE 2 : Performance Comparison Of Different UM Algorithms On ROI

Algorithm
Linear UM
[4]
Quadratic
UM [5]
RS with high
enhancement
factors [9]
RS with low
enhancement
factors [9]
UM
algorithm by
Wu et al.[10]
Proposed
Method (T1)
Proposed
Method (T2)

DSM

TBCs

TBCe

0.0602

0.1098

0.1248

1.5626

0.0592

0.1125

0.1205

1.5521

0.0740

0.1028

0.1503

1.4742

0.0940

0.0905

0.2799

1.4319
Fig. 3: Graph showing the comparison of values of D obtained by applying
various UM algorithms.

0.1040

0.0954

0.3016

1.4028

0.1904

0.1967

0.9340

1.1424

0.1628

0.1624

0.7230

1.1962

an evaluation parameter for the ROI processed by different

algorithms. It combines DSM, TBCe and TBCs for a particular
algorithm by representing each value within a three
dimensional Euclidean space. The algorithm giving the
smallest value of D is selected as the best enhancement
algorithm for ROI and is calculated as:
1
(10)
D
(1 DSM )2 (1 TBCs )2 (1 TBCe )2 2
The values of D obtained by processing of the digital
mammograms by various algorithms are enlisted under table 2.
It can be observed from the results obtained in table I that the
Linear UM method [4] enhances the contrast of the edges but
there are many overshoots present in the enhanced image and
noise is enhanced as well, yielding a high value of D.
Quadratic UM [5] does not enhance noise but some overshoots
are still present. UM based on region segmentation [9] yields
lower values of D in comparison to linear UM [4]. It can be
observed in fig. 2(d) and (e) that region segmentation method
provides some overshoots in case of high enhancement factors
whereas these are not present for low enhancement factor.
However, some background noise can still be seen for both
high and low values of enhancement factor in region
segmentation. The proposed UM method (as shown in fig. 2(g)
and (h)) produces the ROI with enhanced edges along with due
suppression of background noise, thereby yielding the lowest
value of D in comparison to other algorithms. The graph
shown above compares D values obtained from various UM
algorithms applied on the mammograms. It can be observed
from the graph in figure 3 that the results obtained from the
proposed algorithm are lowest in comparison to the other UM
algorithms, thus proving its better performance. The
coefficient of correlation between the MOS score and D is
0.85 which strongly support the results shown above. The
results are even better as compared to the recent proposed UM
method by Wu et al. [10].
IV. CONCLUSION
This paper presented a novel algorithm for contrast as well as
edge enhancement of mammographic masses. Conventional
UM algorithms are limited because of being extremely
sensitive to noise and also there are many overshoots present
in the finally enhanced images. This happens because of the

presence of the linear high pass filter. On the other hand UM

based on region segmentation does not prove effective when
dealing with the objects having multiple discontinuities. It uses
an improved high pass filter template to improve the
performance of the high pass filter, and also combines the
result with the region segmentation algorithm. Experimental
results shown in this paper demonstrate that the improved
approach not only suppresses the noise in the background
areas, but also enhances the edges of the masses very
effectively.
V. REFERENCES
[1]

A. Jemal, F. Bray, M.M.Center, J. Ferlay, E. Ward, and D. Forman,

(2011), Global cancer statistics. CA: A Cancer Journal for Clinicians,
61: 6990. doi: 10.3322/caac.20107
[2] D. B. Kopans, Breast Imaging, 3rd ed. Baltimore, MD: Williams &
Wilkins, 2007.
[3] J. Tang, R. M. Rangayyan, Jun Xu, I. E. Naqa, and Y. Yang,
Computer-Aided Detection and Diagnosis of Breast Cancer With
Mammography: Recent Advances, IEEE Transactions on Information
Technology in Biomedicine, vol. 13, no. 2, pp. 236-251 March, 2009.
[4] J Rogowska, K Preston and D Sashin, Evaluation of digital unsharp
masking and local contrast stretching as applied to chest radiology,
IEEE Transactions on Biomedical Engineering, vol.35, issue 10, pp
817-827, Oct 1988.
[5] N.Strobel, Quadratic Filters for Image Contrast enhancement, Dept. of
Electrical Engineering, University of California, Santa Barbara,June
1994.
[6] T.H.Yu and S.K.Mitra, Unsharp masking with monlinear filters, in
Proc. of seventh European Signal processing conf., EUSIPCO-94,
Edinburgh, Scotland, September, 1994, pp. 1485-1488.
[7] X.Xiao and X.Zhang, An improved unsharp maskingmethod for
borehole image enhancement, in proc. of second International
Conference on Industrial Mechatronics and Automation, pp. 349-352,
May 2010.
[8] G.Ramponi, A cubic unsharp masking technique for contrast
enhancement,Signal Process., vol. 67, pp 211-222, June 1998.
[9] Y.B.Yang, H.B.Shang, G.c.Jia and L.Q.huang, Adaptive unsharp
masking method based on region segmentation, Optics and Precision
Engineering, vol. 11, pp. 188-191,Apr 2003 (in Chinese ).
[10] Z. Wu, J. Yuan, B. Lv and X. Zheng, Digital mammography image
enhancement using improved unsharp masking approach, in Proc. of
3rd International Conference on Image and Signal Processing, pp. 668671, Dec 2010.
[11] J. Suckling, et al., The Mammographic Image Analysis Society
Mammogram Database, Proc. 2nd Int. Workshop Digital
Mammography, York, U.K. , pp. 375378, 1994.S. Singh, K. Bovis An
evaluation of contrast enhancement techniques for mammographic
breast masses. IEEE Transactions on Information Technology in
Biomedicine, 2005, vol. 9, pp 109-119.
[12] S. Singh, K. Bovis, "An Evaluation of Contrast Enhancement
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Information Technology in Biomedicine, vol. 9, no.1, pp.109-119,
2005.

237

Optimisation of Energy Efficiency in Wireless

Sensor Networks using Error Control Codes
Himanshu Sharma, Student Member, IEEE, Vibhav Kumar Sachan, Syed Akhtar Imam and Monika
Abstract -

cooperatively pass their data through the network to a main

location as shown in fig.1.

Energy saving optimisation is a prime concern

in the design of Wireless Sensor Networks as sensor nodes
are deployed in different terrains where no source of
power supply is available and sensor devices are operated
by battery. The energy consumption of a sensor node is a
function of internodes distance, desired BER, channel
conditions, operating frequency, modulation schemes and
error correcting codes (ECC). In this paper, we present a
systematic approach to explore a design space to find an
energy-optimal ECC in wireless sensor networks (WSN).
ECC provides coding gain, resulting in transmitter energy
saving at the cost of added decoder power. Further, for
coded transmission, it is shown that that benefit of coding
gain varies with the transmission distance referred as
crossover distance (dxo).
Keywords - Cross over distance (dxo), Energy Efficiency,
Error correcting codes (ECC), Reed Solomon (RS) Codes.

Fig.1 Wireless sensor nodes connected remotely to a Computer

The main components of a sensor node are shown in fig.2

and internal architecture is shown in fig.3 which consists
following subsystems [2]:

I. INTRODUCTION

EECENT advancements in wireless communication

and Micro electro-mechanical systems (MEMS) has led
the researchers to evolve the design of low cost, low power,
multifunctional wireless sensor nodes which are smaller in
size and communicate in short distances (100-500 meters)[1].

A Sensor Subsystem
A Computing/Processing Subsystem
A Communication Subsystem
A Power Supply Subsystem
Location finding Subsystem (optional)
Mobilizer Subsystem (optional)

The concept of WSN is based on a simple equation:

Sensing + CPU + Radio = Thousands of potential
applications
(1)
The WSN is built of "nodes" from a few to several hundreds
or even thousands, where each node is connected to one (or
sometimes several) sensors. A wireless sensor network (WSN)
consists of spatially distributed autonomous sensors to monitor
physical or environmental conditions, such as temperature,
sound, vibration, pressure, motion or pollutants and to
Fig.2 Typical example of a Wireless Sensor Node
Himanshu Sharma is a student of M.Tech. (ECE) in the department of
Electronics & Communication Engineering, Krishna Institute of Engineering
& Technology, Ghaziabad, U.P., INDIA, (Contact No.+91-9711148818,
email:himanshusharma@kiet.edu).
Vibhav Kumar Sachan is with Department of Electronics & Communication
Engineering, Krishna Institute of Engineering & Technology, Ghaziabad, UP,
INDIA.
Dr. Syed Akhtar Imam is with department of Electronics &
Communication Engineering, Faculty of Engineering & Technology, Jamia
Millia Islamia, New Delhi, INDIA.
Monika is with Department of Electronics & Communication Engineering,
Krishna Institute of Engineering & Technology, Ghaziabad, UP, INDIA.

978-1-4673-0455-9/12/$31.00 2012 IEEE

Fig.2 Typical example of a Wireless Sensor Node

The processing unit is a part of microcontroller unit which

can read sensor data, perform some minimal computations and
make a packet ready for transfer in the wireless
communication channel. The communication subsystem is
typically an RF transceiver that should support the IEEE
802.15.4 Standard. IEEE 802.15.4 is a standard which

238

2
specifies the physical layer and media access control for lowrate wireless personal area networks (LR-WPANs) [3]. In
wireless sensor networks (WSN), the maximum amount of
energy is consumed in communication subsystem (SendReceive) as compared to other subsystems in sensor node. Fig.
4 shows power consumption of WSN in various subsystems
[4].
This paper is organised as follows: Section I discusses the
introduction to Wireless sensor Networks & needs for Energy
savings using Error Correction Codes. In Section II various
error correcting codes are explained. In Section III Energy
models for wireless sensor networks is discussed. In section
IV selection procedure of error correction code is developed.
In section V performance analysis of various ECC is done and
finally section VI concludes the optimised ECC for given
parameters.

be detected and sometimes corrected using coding techniques.

Generally, the error control methods are of two types [5]:
(i) Error detection with retransmission
(ii) Forward acting error correction.
In case of first method, when an error is detected, the
retransmission request (ARQ) is sent back to the transmitter.
In the second method, the errors are detected and corrected by
proper coding techniques at the receiver end. Whenever a
single source transmits data to a number of receivers, the
forward acting error correction is used. This is due to the fact
that the retransmission is impossible in this case [6].
Coding techniques add some extra bits to the message bits and
these bits are used to detect errors at the receiver end.
Although these extra bits reduce the bit rate of the transmitter
Code Block Inputs

k bits
Message
bits

Channel
Decoder

Message block Outputs

(n-k) bits

k bits

Check
bits

Message
bits

Fig. 5 Functional Block diagram of a Linear Block Decoder

and its power but the advantage is that error probability is

reduced [7]. The error correction codes can be broadly
classified in to two categories as[7] (1) Linear Block Codes
and (2) Convolution Codes. The theoretical error correcting
capabilities with respect to Minimum distance (dmin) are
shown in Table I.
A. Minimum Distance (dmin)
Minimum distance (dmin) is the smallest hamming distance
between the valid code vectors[7]. The hamming distance
between two code vectors is equal to the number of elements
in which they differ. For the (n,k) block code, the minimum
distance is expressed as dmin n k + 1.

Fig.3. Internal Architecture of a Wireless Sensor Node called Mote

B. Crossover Distance (dxo)

As we know that the coding gain varies with distance (in
meters), the distance at which an Error control scheme
becomes energy efficient is called crossover distance (dxo).[2]
Therefore the coding gain begins to achieve at crossover
distance.
C. Coding Gain
The saving in transmission energy (E) of data by using
an Error correction method as compared to uncoded data
transmission is called coding gain.[5].
TABLE I .ERROR CORRECTING CAPABILITIES AND DISTANCE [7]
S.No.
Error detected/ Corrected
Distance
requirement
1.
Detect up to s error per word
dmin s+1

Fig.4. Power consumption of a Sensor Node

II. ERROR CONTROL CODES IN WIRELESS SENSOR

NETWORKS
During the transmission process, the transmission signal
passes through some noisy channel. Due to noise interference,
some errors are induced in the received data. These errors can

239

2.

Correct up to t errors per word

dmin 2t+1

3.

Correct up to t errors and detect s >t

errors per word

dmin t +s+1

3
Etx = Etx = Ete + Eta d

(4)

where,
Ete: Energy Consumed by Transmitter circuit
: Path Loss Exponent (ranges between 2-6)
Eta: Energy consumed in transmitter Power Amplifier
Section

SNR r (i ) NFRX N O BW 4

Eta=
Gant amp RBit

(5)

where,
(SNR)r(i): Desired SNR at the ith receiving node
NFRX: Receiver Noise Figure (Figure of Merit)
N0: Thermal Noise of receiver
BW: Bandwidth of noise in Channel
: Wavelength
Gant: Gain of Transmitting Antenna
amp: Transmitter Efficiency
Rbit : Channel bit rate
The number of bit transmitted is equal klog2(q2). Therefore,
Etotal = k log2 (q2) [m Etx + (m-1) Erx]
Fig. 6. Various types of Error Correcting Codes used in Wireless Sensor
Networks

IV. SELECTION OF ERROR CORRECTION CODE IN WIRELESS

SENSOR NETWORK

III. ENERGY MODEL FOR WIRELESS SENSOR NETWORK

For every application a maximum bit error rate (BER) is

specified to achieve a certain quality of Service (QoS)[13]. To
maintain the BER within this limit, either the transmitter
power can be increased or Error control codes can be used.
ECC reduced the required transmitter signal energy due to its
coding gain. ECC adds additional bits redundant bits and
hence more energy is requires for transmitting, encoding and
decoding of extra bits. Therefore at very small distance (<10
meters), using ECC is less efficient [14]. But if the distance is
more (50-100 meters and above) then using ECC is energy
efficient as the coding gain will keep the transmitter power
low for the same BER [3, 15]. We can design a frame work for
design space exploration for selection of error control codes
(e.g. Hamming, Goley, Convolutional, BCH, RS Codes) in
wireless sensor networks [16]. The choice of a particular error
correcting code depends upon type of application, and other
sensor network constraints such as environmental conditions,
channel fading, distance requirements, number of nodes and
type of modulations techniques (e.g. BPSK,QPSK, MPSK,
QAM, OQPSK etc) used [3,17]. In this paper, we have
considered various error correcting codes performance
evaluation in terms of their Bit Error rate versus E b/N0 curves
all with using BPSK modulation technique. The Cyclic codes
are considered better choice than convolutional codes as they
require high transmission power [14, 18]. In The design space
exploration we select an error correction code and then

The energy consumed by a sensor network can be

computed by calculating the energy consumed by one node in
transmitting and receiving modes and then for all nodes
present in the network. In a wireless sensor network, when a
node is transmitting the data all other nodes are receiving it
simultaneously. The energy consumed in a Wireless Sensor
Network is computed as [1,12]:
ETOTAL =EENC+ETX+ERX

(2)

where,
ETOTAL: Total energy consumed in a node
Eenc: Energy consumed by encoder of transmitting node
ETX: Total Energy consumed in transmission by all nodes
ERX: Energy consumed by all receiving nodes except
transmitting one
ETOTAL= Eenc +

m 1

N
i 1

Etx N b E rx

(6)

(3)

i 1

where,
Een: Energy consumed by encoder of transmitting node
Nb: Total no. of bits Transmitted
Etx: Energy consumed in transmitting a single bit from a
node
Erx: Energy consumed in receiving a single bit by a node
240

4
depending upon application requirements the candidate
configuration is made [19]. In case of RS codes, the equation
for total energy consumed is obtained from equation (5) as
follows:
2

Etotal = ERS (q 1) log2 (q ) [m Etx + (m-1) kErx]

and their corresponding energy consumption is measured [10].

For RS codes, n is chosen as {7, 15, 31, 511} and k varies in
{4, 11, 21, 479}.
WSN
Applications

(7)

where, ERS : Energy consumed in encoding

(q2 1) : fundamental Length of a code word
(q2 1) log2 (q2) : Length of RS code word

ECC Library:
1. Convolutional
Code
2. Hamming
Code
3. Golay Code
4. RS Codes

V. EXPERIMENTAL SETUP
To simulate the total energy consumed by the sensor
network, we have used Qualnet 5.0 network Simulator tool
which can simulate Wireless sensor Networks with its strong
wireless sensor Model library. We can also use Sim panalyzer
energy simulator, which is a cycle accurate power simulator
for the ARM instruction set architecture. Specifically, it
simulates Strong Arm SA-1100 processor. To make the
computation energy model close to a real sensor node, we
have configured the simulator to include the external memory
for data and instructions [3]. The simulator takes the encoding
(or decoding) function, written in C, and after compiling it for
the target architecture, it estimates the overall energy spent by
the processor in executing these functions. The resultant
graphs shown here are obtained in MATLAB version 7[23]. A
Framework for selection of Error Correction Code in Wireless
Sensor Network is shown in fig.7. Here we take error control
codes one by on for a particular choice of WSN application
and WSN constraints. The energy consumption is calculated
using energy simulator and Configuration Energy is compared
with other Error codes performance. The various parameters
for simulation of error correcting codes are shown in Table III
[3]. Then finally the optimal ECC code is find out by
comparing the power consumption of all codes as shown in
the resultant Table III [1].

PFS

13.7 mW

1.9

0.55 mW

Gr ,Gt

PBPF

6.12 mW

PIFA

0.2 mW

NF

10 dB

PLPF

0.29 mW

Peb

10-5

PADC

4.1 mW

BW

1 MHz

100 ms

fc

2.4GHz

Configuration
Selector

Candidate
Configuration

WSN
Configuration
with optimal
Energy

Energy
Simulator

Configuration
Energy

Fig. 7 A Framework for selection of Error Correction Code in Wireless

Sensor Network

From fig. 8, it is clear that the Hamming Code (7,4)

provides coding gain of 0.4 dB and convolutional Code
(7,(171 133)) with hard decoding algorithm provides 3.1 dB as
compared to uncoded data transmission. The Goley Code
provides Coding gain of 1.4 dB and RS code provides a
coding gain of 2.4 dB. Now here the coding gain of
Convolutional Code is highest i.e. 3.1 dB but it provides more
bit error rate (BER 100) and the second highest gain is
provided by RS codes i.e. 2.4 dB and also it provides
optimised (BER10-1) performance. Thus we analysed that RS
codes perform better BER characteristics than other
counterparts codes. The power consumption of various RS
codes is shown in Table III.

TABLE II. PARAMETERS FOR SIMULATIONS

PLNA

WSN
Constraints

VI. PERFORMANCE ANALYSIS

In this section, we present and compare the performance of
the uncoded transmission with Hamming, Goley, RS and
Convolutional Codes in terms of their error correcting
capability in bit error rate (BER). In fig. 8 the performance of
Convolutional and RS codes are analyzed by varying n and k
241

TABLE III.POWER CONSUMPTION OF VARIOUS RS CODES

RS Codes

Power Consumption (mW)

RS(7,4)Code

125 mW

RS(15,11)Code

76 mW

RS(31,21)Code

58 mW

RS(511,479)Code

35 mW

REFERENCES
[1]

[2]

[3]
Fig.8. Energy Efficiency of different Error Correction Codes
[4]

[5]

[6]

[7]
[8]
[9]
[10]

[11]

Fig.9. Energy efficiency is of different RS Codes

[12]

VII. CONCLUSION

[13]

In this paper we have analyzed various error correcting codes

(ECC) to find energy-optimal code for a particular choice of
BER [21]. From fig. 9 we observe that the RS (511,479)
codes for BER lesser than 100 provides coding gain of 2.4 dB
and the RS (31, 21) codes for BER lesser than 101 provides
optimized coding gain of 2 dB. The Table III shows the
simulated result of various RS codes power consumption for
wireless sensor networks. From [14] and Table III [21] it is
concluded that the RS (31,21) code consumes 58 mW power
in an Additive White Gaussian (AWGN) Channel whereas the
power consumed by RS (511,479) is 35mW. But form [13] the
RS (511,479) codes has larger block length which is not
suitable for small wireless sensor nodes at smaller distances.
Hence we choose RS (31, 21) code as optimized ECC code for
this scenario. In future work, we plan to extend this analysis to
other ECCs and this would reduce the search space
considerably to find an energy optimal ECC code.

Mohammad Rakibul Islam Error Correction Codes in Wireless Sensor

Networks: An Energy Aware Approach , World
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Chouhan, R. Bose, and M. Balakrishnan, Integrated Energy Analysis
of error Correcting Codes and Modulation for Energy Efficient Wireless
Sensor Nodes IEEE transactions on Wireless Communication, vol. 8,
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S.Anandamurugan, Wireless Sensor Network Research monograph
(University Science Press) New Delhi, 2010 Anna, H.:Wireless
sensor
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Asurvey on sensor networks, IEEE Commun. Mag., pp. 102114,pp.393- 422, August, 2002.
Polastre, J., Hill, J., and Culler, D, Versatile low power media access
for wireless sensor networks, In Proceedings of ACM international
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Rappaport, T. S. , Wireless communications: principles and
practice,New York: Prentice Hall, 1996.
Proakis, J. G. , Digital communications. New York: McGraw- Hill,
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Hendrix, H. , Viterbi decoding techniques for the TMS320C54x DSP
generation, In Texas instruments application report SPRA071A, 2002.
Karvonen, H., and Pomalaza-Raez, C, Coding for energy efficient
multi hop wireless sensor networks, Proc. Nordic
Radio Symposium
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E. Shih, S. Cho, F. S. Lee, B. H. Calhoun, and A. Chandrakasan,
Design considerations for energy-efficient radios in wireless micro
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Signal, Image, and Video Technology, vol. 37, no. 1, pp. 7794, 2004.
G. Balakrishnan, M. Yang, Y. Jiang, and Y. Kim, Performance analysis
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2006.

[14] P. Lettieri, C. Fragouli, and M. B. Srivastava, Low power error

control for wireless links," in Proc. International Conf. Mobile
Computing Networking, 1997, pp. 139-150.
[15] W. Peterson and E. Weldon, Jr., Error-Correcting Codes, 2nd
Edition,The Massachusetts Institute of Technology.
[16] Anna, H.: Wireless sensor network design (Wiley), 2003
[17] Hajjarian Kashani, Z., and Shiva, M., Channel coding in multi- hop
wireless sensor networks, Proc. 6th Int. Conf. ITS Telecommunication
(ITST) 2006, Chengdu, China, 21-23 June 2006.
[18] Sankarasubramaniam, Y., Akyildiz, I.F., and McLaughlin, S.W.,
Energy efficiency-based packet size optimization in wireless sensor
networks, Proc. 1st IEEE Int. Workshop on Sensor Networks
Protocols and Applications(SNPA03), Anchorage,
Alaska, USA, 11
May 2003 (held in conjunction with ICC03)
[19] Vasudevan, S., Goeckel, D., and Towsley, D., Optimal power
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[20] P. Chen, B. ODea and E. Callaway, Energy Efficient System Design
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IEEE International Conference on Comm. (ICC 2002), vol. 2, pp.
945-952, 28 April - 2 May 2002
[21] J. P. Odenwalder, Error control coding handbook (final report),"
Linkabit Corporation, San Diego, CA, Tech. Rep., 15 July 1976.
[22] B. Sklar, Digital Communications: Fundamental and Applications, 2nd
ed. Upper Saddle River, NJ: Prentice-Hall PTR, 2001.
[23] MATLAB version 7 (Release 2009) www.mathworks.com/simulink
[24] Qualnet5.0ScalableNetworkTechnologies, Inc., http://www.scalablenetworks.com/qualnet
[25] Sim Panalyzer available online: http://www.eecs.umich.edu/panalyzer

243

Finite Element Analysis of Solid-Core Photonic

Crystal Fiber
Gautam Prabhakar, Akshit Peer, Ajeet Kumar and Vipul Rastogi

Abstract-- In this paper, we have modeled a solid-core photonic

crystal fiber (PCF) by using full vectorial finite element method
(FEM). Modal properties of the PCF have been investigated by
calculating the effective index of the supported mode. Results for
effective index and the dispersion are presented. COMSOL Multiphysics software has been used to calculate the effective index
of the supported mode of the fiber, both with and without including fundamental space-filling mode (FSM) layer in the fiber design. Hexagonal geometry with three ring structure is used to
model the fiber; however, the present analysis can also be applied
to any kind of fiber geometry.
Index TermsFinite element method (FEM), fundamental
space-filling mode (FSM), photonic crystal fiber (PCF), solidcore photonic crystal fiber (SC-PCF), waveguide dispersion

I. INTRODUCTION

HOTONIC crystal fibers (PCFs) are a new class of optical

fibers which have the potential to revolutionize optical
fiber technology. Apart from the term photonic crystal fiber,
these fibers are also referred to by some other names in the
literature such as holey fibers (HF) and microstructured optical fibers (MOF). These fibers are essentially low-loss waveguides and consist of a core which is surrounded by a periodic
array of air holes in the cladding region. This configuration
has led to a number of novel properties like endless single
mode (ESM) operation, controllable birefringence and dispersion characteristics and a high degree of nonlinearity [1]. Due
to these properties, it has potential applications in high power
fiber lasers, fiber amplifiers, non-linear devices, optical sensors, fiber-optic communication and many others [2].
The cladding of a photonic crystal fiber can be constructed
with a structure similar to that found in photonic crystal. This
is where the term photonic crystal fiber originates. Photonic
crystals, first studied by Yablonovitch [3] and John [4] are
essentially a photonic analog of the electronic crystal. They
are periodic structures on the scale of optical wavelength

G. Prabhakar is with the Department of Electrical Engineering, Delhi

Technological University, Delhi-110042, India (e-mail: gautamprabhakar.gp@gmail.com).
A. Peer is with the Department of Computer Engineering, Delhi Technological University, Delhi-110042, India (e-mail: capricornpeer@yahoo.com).
A. Kumar is with the Department of Applied Physics, Delhi Technological University, Delhi-110042, India (e-mail: ajeet.phy@dce.edu).
V. Rastogi is with the Department of Physics, Indian Institute of Technology Roorkee, Roorkee-247667, India (e-mail: vipul.rastogi@osamember.org).

(much larger than the atomic size of electronic wavelengths).

This leads to Bragg-like diffraction resulting in photonic
bandgaps, which are a range of frequencies for which light
cannot propagate through the crystal [5].
There are two classes of photonic crystal fibers viz. solidcore PCF (SC-PCF) and hollow-core PCF (HC-PCF). The
term solid-core photonic crystal fiber refers to those structures
that have a solid core which is usually made of silica. These
fibers guide light by the phenomenon of total internal reflection. On the other hand, hollow-core photonic crystal fiber has
an air hole in the core region and transmits light by photonic
bandgap type guidance [6]. In this paper, we will be dealing
with SC-PCF and henceforth, HC-PCF will not be considered.
A solid-core photonic crystal fiber is an all-silica fiber consisting of a solid core surrounded by an array of air holes in
the cladding. The array of air holes forms a medium with an
effective refractive index below than that of the core region.
This results in a refractive index profile that is quite similar to
that of step index fiber, with the array of air holes becoming
an effective cladding to the high index core region. It is for
this reason that these fibers guide the light by the same phenomenon as the step index fiber does i.e. by total internal reflection [7]. The air holes lower the effective refractive index
of the cladding region to levels much lower than that of standard optical fiber. This results in a large numerical aperture
(NA) for the structure i.e. a very strong guidance effect.
In this paper, we have modeled a solid core PCF using
COMSOL Multiphysics finite element method (FEM). For
designing the fiber, we have used hexagonally symmetric SCPCF. We have calculated the effective index and dispersion
loss of the fiber both with and without including fundamental
space-filling mode (FSM) layer in the fiber design. The results
have been compared with those present in the literature and
are shown to be in good agreement with them.
II. FIBER DESIGN
We have designed a solid-core PCF having a hexagonal
geometry with a periodic triangular lattice arrangement of air
holes such that the holes are arranged at the corners of an
equilateral triangle [8]. This type of arrangement can be described by two parameters: pitch (i.e. periodic length between the holes) and filling factor d/ (i.e. the ratio of hole
size to pitch). The properties of the PCF can be controlled to a

978-1-4673-0455-9/12/$31.00 2012 IEEE

244

large extent by varying these parameters. The degrees of freedom available in designing pitch and filling factor result in a
number of interesting properties of PCF.
In the fiber, the core is surrounded by 3 successive rings of
air holes with radii , 3 and 2 respectively, each containing six holes placed symmetrically on the ring, as shown in
Fig. 1. Generally there are several layers of holes in a typical
fiber. However, only the first few of these significantly
change the optical properties of a fiber. Thus, we consider
only three layers of holes for the present model.

III. MODELING AND ANALYSIS

A. Modeling
To model the fiber in COMSOL, following steps are followed in order (Fig. 3):

Fig. 3. Flowchart for modeling of PCF in COMSOL.

Fig. 1. Geometry of solid-core photonic crystal fiber.

In this ring picture of the fiber, the holes are regularly arranged around the core and the rings have a six-fold angular
symmetry, with
as the pitch and d as the hole diameter.
Thus, the geometry of fiber is such that the axis = 0 (according to polar coordinates) passes through the center of the fiber.
Inclination of holes in the 1st and 3rd rings is same while the
holes in 2nd ring are shifted by an angle of /6 [8].
In the second approach, a uniform medium of index equal
to the effective index of the fundamental space-filling mode
(FSM) beyond the holes of the third ring has been used, as
shown in Fig. 2. The fundamental space-filling mode of a PCF
is defined as the mode with the largest modal index of the
infinite two-dimensional photonic crystal that constitutes the
PCF cladding [9].

In geometrical modeling, a solid-core PCF having hexagonal geometry with appropriate parameters is designed. In the
next step, the physical parameters such as wavelength of light
used and refractive index of silica and air holes are specified
using the Sellmeiers equation. This is followed by generation
of triangular mesh and its further refinement. The effective
index of fiber is thus computed by solving the eigenvalue
equation for each of these triangular meshes using
COMSOLs FEM. Finally, the results are interpreted using
post-processing and visualization tools [10]. This includes
generation of various graphs and field plots.
The analysis of optical waveguides is based on Maxwells
equations. For our model of optical fiber, we will assume that
the fiber consists entirely of homogenous dielectric material.
Also, it is assumed that no sources of light exist inside the
fiber, so that no free charges or currents exist inside the fiber
and thus and J are zero in Maxwell's equations.
We further assume that there is a linear relationship between electric field (E) and displacement (D) and the materials within the fiber (typically silica and air) are macroscopic
and uniform in all directions. This ensures that E and D are
related by a scalar dielectric constant . Last it is assumed that
the fiber is lossless and thus dielectrics are described by real
numbers [6]. Using these assumptions, we obtain the
eigenvalue equation:
(1)

Fig. 2. Geometry of solid-core photonic crystal fiber with FSM layer.

B. Finite Element Method

The finite element method (FEM) is a numerical technique for finding approximate solutions of partial differential
equations as well as integral equations. This method approximates the PDE as a system of ordinary differential equations
which can be solved separately using various numerical techniques. While solving the eigenvalue equation (1), COMSOL

245

Multiphysics uses the finite element method. It sub-divides

the object into very small but finite size elements. This
process is called meshing and is shown in Fig. 4 for the solid-core PCF. Each element of the mesh is governed by a set of
characteristic equations which describe its physical properties
and boundary conditions. These equations are then solved as a
set of simultaneous equations to compute the effective index
of the modes supported by the fiber [10].

the fiber is calculated using (4) and the variation of dispersion

with wavelength is plotted in Fig. 8.
In Table II, the refractive index of the FSM layer is calculated by scalar analytical approach (SAA) using (3). In this
approach, a hexagonal unit cell is approximated as a circular
one as shown in Fig. 5.

Fig. 5. Approximation of a hexagonal unit cell for a circular one in SC-PCF.

Fig. 4. Solid-core PCF with triangular meshing.

IV. SIMULATIONS AND RESULTS

The COMSOLs finite element method (FEM) has been
used for the modal analysis of a solid-core photonic crystal
fiber formed by three ring structure with a hexagonal arrangement of circular air holes on the cladding of pure silica.
The results obtained have been compared with those obtained
using other methods available in the literature [2]. In the simulations, the refractive index of silica n() has been obtained
using Sellmeiers equation [11] given below:

(a)
(2)
where C0 = 1.4508554, C1 = -0.0031268, C2 = -0.0000381, C3
= 0.0030270, C4 = -0.0000779, C5 = 0.0000018, l = 0.035 and
is measured in m.
For the simulations, the core radius is taken as 0.625 . All
the calculations are done for = 3m, and d/ = 0.2. For this
optical fiber, the plot of time average power flow in z direction (Fig. 6) is obtained using our model for = 1.50 m.
The numerical results for effective index and dispersion of
the solid-core PCF defined above have been tabulated in Table I and Table II.
In Table I, the refractive index of silica is calculated using
(2). The effective index of the fiber neff is calculated and compared with a reference effective index taken from the literature
[2] and the percentage error is calculated. The dispersion in

(b)
Fig. 6. Field plot of time average power flow (W/m2) (a) without FSM and
(b) with FSM.

246

TABLE I
EFFECTIVE INDEX OF THE FUNDAMENTAL MODE OF SOLID-CORE PCF (WITHOUT FSM) AT VARIOUS WAVELENGTHS

1.437978

neff using
COMSOL's
FEM
1.437371

Percentage
Error in neff
(x10-2)
4.22298

1.4484

1.443370

1.443075

2.04424

09.40

1.10

1.4495

1.445168

1.444902

1.84095

-25.94

4.

1.00

1.4507

1.447012

1.446800

1.46530

-38.08

5.

0.60

1.4584

1.456844

1.456866

0.15100

-267.20

6.

0.55

1.4602

1.458943

1.458899

0.30159

-427.90

7.

0.50

1.4626

1.461572

1.461516

0.38316

-605.00

S.No.

Wavelength
(m)

Refractive Index
(Silica)

Reference neff [2]

1.

1.50

1.4450

2.

1.20

3.

Dispersion
(ps/km-nm)
17.25

TABLE II
EFFECTIVE INDEX OF THE FUNDAMENTAL MODE OF SOLID-CORE PCF (WITH FSM) AT VARIOUS WAVELENGTHS

1.437179

neff using
COMSOL's
FEM
1.437080

Percentage
Error in neff
(x10-2)
0.68884

1.4441

1.442771

1.443186

2.87640

1.4454

1.446564

1.446808

1.68675

S.No.

Wavelength
(m)

Refractive Index
(Silica)

Refractive Index
of FSM Layer

Reference neff [2]

1.

1.50

1.4450

1.4424

2.

1.20

1.4484

3.

1.00

1.4507

(3)
In (3), u2 = n2silica k2 - 2 , w2 = 2 - n2air k2 , a=d/2 is the air
hole radius, R is the radius of the equivalent circular unit cell
(Fig. 5), Il is the modified Bessel function of the first kind of
order l, and Jl and Yl are Bessel functions of the first kind and
second kind of order l, respectively [9].
In Fig. 7, the variation of effective index as a function of
wavelength is plotted for the solid-core PCF without FSM
layer.

One of the most significant parameter for an optical fiber is

dispersion. For a photonic crystal fiber, effective control of
dispersion characteristics can result in very high negative dispersion as well as near zero dispersion over a broad range of
wavelengths. However, it is important to calculate the effective index of a fiber accurately as waveguide dispersion is
related to the second order derivative of effective index with
respect to wavelength [8]. Waveguide dispersion is given by:
(4)
Using the above formula, waveguide dispersion is calculated for solid-core PCF at different wavelengths and a graph
is obtained using MATLAB. The graph is shown in Fig. 8.
Dispersion (pskm-1nm-1)

The characteristic equation for SAA is:

Wavelength (m)
Fig. 7. Plot of effective index v/s wavelength.

Fig. 8. Dispersion characteristics of the PCF.

247

V. CONCLUSION
We have simulated a solid-core photonic crystal fiber with
three ring hexagonal geometry using finite element method.
Numerical results of the effective index of the fiber are presented and compared with those in the literature. Numerical
simulations have shown that the results of the finite element
method are in a very good agreement with those in the literature.
Finite element method is one of the most widely used methods to model various problems due to its ability to handle
complex calculations and analysis. It is a useful tool for computing the effective index of microstructured fibers which
have complex geometries and structures.
However, it suffers from some inherent drawbacks. First, a
general closed form solution of the effective index with variation in the wavelength of light is not obtained. Second, powerful computers with adequate memory and processing speed
along with reliable FEM software are required to apply this
method effectively. These are also essential to reduce the
computation time of the effective index. Third, this method
provides only approximate solutions to the problems.
Although the method was applied for a lossless fiber, its extension to leaky structures is straightforward. It requires the
inclusion of perfectly matched layer (PML) in the fiber design
with suitable boundary conditions. Also, apart from the conventional hexagonal geometry used here, various other fiber
designs like hollow core structures and those with elliptical
holes can be analyzed using this method.
VI. ACKNOWLEDGMENT
This work has been partially supported by the UK India Education
and
Research
Initiative
(UKIERI)
major

award on Application specific microstructured optical fibres.

VII. REFERENCES
Joseph Lizier, Applications of Holey Fiber Splicing, Spot-size
conversion and Coupling, School of Electrical and Information
Engineering, University of Sydney, Sydney, Australia, 2000.
[2] V. Jandieri, K. Yasumoto, A. Sharma and H. Chauhan , Modal analysis
of specific microstructured optical fibers using a model of layered
cylindrical arrays of circular rods, IEICE Trans. Electron., vol. E93.C,
pp. 17-23, January 2010.
[3] E. Yablonovitch, "Inhibited spontaneous emission in solid-state physics
and electronics", Physical Review Letters, vol. 58, pp. 2059-2062, May
1987.
[4] S. John, "Strong localisation of photons in certain disordered dielectric
superlattices", Physical Review Letters, vol. 58, pp. 2486-2489, June
1987.
[5] J.D. Joannopolous, P.R. Villeneuve and S. Fan, "Photonic Crystals:
putting a new twist on light", Nature , vol. 386, pp. 143-149, March
1997.
[6] Stig E. Barkou Libori, Photonic crystal fibers: from theory to practice,
Ph D Thesis, Technical University of Denmark, Kongens Lyngby,
Denmark, February 2002.
[7] J.C. Knight, T.A. Birks, P.St.J Russel, and D.M. Atkin, All-silica
single-mode optical fibre with photonic crystal cladding, Optics
Letters, vol. 21, pp. 1547-1549, 1996; with errata vol. 22, pp. 484-485,
1997.
[8] Anurag Sharma and Hansa Chauhan, A new analytical model for the
field of microstructured optical fibers, Opt. Quant. Electron., vol. 41,
pp. 235-242, December 2009.
[9] Y. Li, C. Wang, Y. Chen, M. Hu, B. Liu and L. Chai, Solution of the
fundamental space-filling mode of photonic crystal fibers: numerical
method versus analytical approaches, Appl. Phys. B:Lasers and Optics,
vol. 85, pp. 597601, May 2006.
[10] COMSOL Multiphysics Users Guide, Version: COMSOL 3.5, 2008
[11] Ajoy Ghatak, Optics, 4th ed., Tata McGraw Hill, New Delhi, 2009, pp.
10.1-10.15.
[1]

248

A Novel Keyless Algorithm for Steganography

Supriya Rai and Ruchi Dubey

AbstractSteganography is one of the most powerful tools for

information hiding. In this paper, we have modified least
significant bit (LSB) substitution method for data hiding.
Conventional LSB technique uses the least significant bit of
consecutive pixels for embedding the message which draws
suspicion to transmission of a hidden message. If the suspicion is
raised, then the goal of steganography is defeated. Still LSB
technique is the most widely used as it is simple. In our
implementation pixels to be substituted with information are
selected randomly which makes it superior to the conventional
approach. The robustness of the algorithm is further increased by
using keyless steganography. This paper proposes a novel
technique to hide information in a 24 bpp RGB image using
modified LSB substitution method.
Index Terms--bits per pixel (bpp), least significant bit (LSB),
pixel, RGB, steganography.

I. INTRODUCTION

teganography means concealment of information in such a

way that no one, apart from the sender and intended
recipient, suspects the existence of the information.
Cover File
Steganography
algorithm

forthcoming attack to Greece by writing it directly on the

wooden backing of a wax tablet before applying its beeswax
surface.
In modern times steganographic technologies have been an
important part of the future of security and privacy on open
systems such as internet. Much research work has been done in
this field till date. An introduction to steganographic
technologies and their applications is given in [1]. The most
common method for steganography is LSB insertion method
[2]. LSB method comes under substitution techniques of
steganography. For hiding maximum data more than one LSB
can be modified. 4 LSB substitution method which modifies
last four bits of a pixel is one such work, see [3]. The LSB
substitution method is a versatile technique for steganography
and can be used for various file formats see [4]. Security of
hidden message can be increased manifold by complementing
steganography with cryptography [5]-[6]. Random LSB
insertion method in which the secret data are spread out among
the image in a random manner requires a secret key to retrieve
this data. Steganography with secret key along with
cryptography [7] has been implemented for random insertion
of data bits. In the following section a novel technique has
been proposed for random LSB insertion which uses no key.
III. PROPOSED TECHNIQUE

Stego File

Message
Fig. 1. Steganography process.

Section II discusses the existing work in the field of LSB

substitution method for steganography. Section III gives out
the details of the proposed technique. It is a keyless random
location selection algorithm. In Section IV, the proposed
technique is implemented. The algorithm is implemented on a
24 bpp RGB bmp image. Section V compares the two images
graphically. Section VI shows the experimental results after
implementation. Section VII concludes the paper highlighting
the advantages of the proposed technique.

Reference [8] shows that we can hide the message by

substituting the LSB of each pixel with information bits in 24
bpp RGB image. 24 bpp RGB image is a 24 bit depth colour
image using RGB colour model. 24 bit refers to 8 bit for each
RGB colour channel, i.e. 8 bits for red, 8 bits for green and 8
bits for blue. This implies that we can store three bits of
information per pixel at the LSB of RGB. By changing the
LSB of RGB values of each pixel, we may get maximum
2X2X2=8 different shades. This change in the pixel bits will
be indiscernible to the human eye.
Divide the image into appropriate number of parts. Say we
are using a 1024X768 image. We divide the image in 3 rows
and 4 columns as shown in the figure. Each block has a
dimension of 256X256 pixels.
I
II III
IV

II. PREVIOUS WORK ON LSB TECHNIQUE

Steganography has been used for information hiding since
ancient times. The first recorded use of steganography can be
traced back to 440 BC when Demaratus sent a warning about a
Supriya Rai is with the Department of Instrumentation and Control, Netaji
Subhas Institute of Technology, New Delhi-110078, India (e-mail:
raisupriya90@yahoo.com).
Ruchi Dubey is with the Department of Information Technology,
Galgotias College of Engineering and Technology, Greater Noida-211004,
India (e-mail: ruchi.dubey29@yahoo.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

VI

VII

VIII

IX

XI

XII

Fig. 2. Image divided into 256X256 blocks.

Let us say the first pixel to be modified is a shade of pink

which lies in block XI and has value 250:218:221 i.e.
11111010:11011010:11011101
The LSB values of RGB are 0:0:1 which are substituted
with three information bits. Therefore, each pixel can carry 3

249

bits of data. The altered pixel is used to select the next pixel to
be modified. The next pixel may lie in any of the next two
consecutive blocks i.e. XII or I in this case.
Each block is a grid of 256 pixels in horizontal direction
and 256 pixels in vertical direction i.e. 256X256. To get an
address in this grid we need 16 bits as they are required to
represent 256X256 in binary, i.e. 8 bits for horizontal 256
pixels and 8 bits for vertical 256 pixels. One extra bit is
needed to select the next block from the two subsequent blocks
as it can have two values 0 or 1. Here, when our current
location is in block XI, 0 represents block XII and 1 represents
block I.
Note that a particular space of the image will have different
shades of same colour. Therefore, there would be very little
change in most significant bits of RGB values. If these bits
form most significant bits of the next location which is chosen
from the current pixel location then same location may be
pointed repeatedly. This is due to the fact that there is very
little change in most significant bits of RGB values within an
area as the colour intensity of that area, which may be an entire
block, is nearly the same. For instance RGB values of dodger
blue 1 is 00011110:10010000:11111111 and dodger blue 2 is
00011100:10000110:11101110. Notice that most significant
bits of the two colours are the same.
To avoid this and to increase overall randomness, 8 bits for
the horizontal 256 pixels are derived from LSB to LSB-4 of
red and LSB-3 to LSB-5 of blue (LSB of red being the most
significant bit of next location), 8 bits for the vertical 256
pixels are derived from LSB to LSB-4 of green and LSB to
LSB-2 of blue (LSB of green being the most significant bit of
next location) and the bit for selecting from subsequent two
blocks is derived from LSB of blue of the current pixel.

We have used 1024X768 bmp image. ASCII describes a

communications system where 7-bit words represent printable
symbols and control codes.
The message to be embedded is meetatnine.
ASCII of m= 109= 1101101
ASCII of e= 101= 1100101
Three pixels are required to store 7 bits of one letter or
symbol. Only red colour of the third pixel is used. Green and
blue colours remain unaltered. Say the first pixel to be
modified is (1,1) which is in block I.
Original pixel value: 01110000:10010001:11000110
Modified pixel value: 01110001:10010001:11000110
Horizontal location of next pixel= 10001000=136
(LSB to LSB-4 of red and LSB-3 to LSB-5 of blue)
Vertical location of next pixel= 10001011=139
(LSB to LSB-4 of green and LSB to LSB-2 of blue)
Block number of next pixel=0
(LSB of blue)
As the current block is I and block number for next pixel is 0,
therefore, the next block in which pixel is to be altered is II.
We have divided the image in 256X256 blocks. End
coordinates of the first block are (1,1), (256,1), (256,256) and
(1,256). As we are moving from block I to block II, thus, the
next pixel location is (136,256+139) = (136,395).
TABLE I
OBSERVATION TABLE

Pixel
location
(1,1)
Block I
(136,
395)
Block II
(158,
691)
Block III
(187,
848)
Block IV
(469,
137)
Block V
(330,
340)
Block VI

Fig. 3. Next pixel location derived from current pixel.

Even after following the above procedure there is a slight

possibility that the new location generated was already
modified. To fix this, store all the modified pixel locations in a
file which is checked before each modification to avoid
location clash.
IV. IMPLEMENTATION
The first pixel to be modified is known to sender as well as
intended receiver. From the value of this pixel we determine
the location of the next pixel to be modified.
Let us take an example demonstrating the technique:

Original
pixel value
R
G
B
R
G
B
R
G
B
R
G
B
R
G
B
R
G
B

01110000
10010001
11000110
10111000
11001101
11011110
11011101
11101010
11110000
11101011
11110001
11101101
00110011
00011101
00010000
01010001
01001101
01000001

Modified
pixel
value
01110001
10010001
11000110
10111001
11001101
11011110
11011101
11101010
11110000
11101011
11110001
11101100
00110010
00011101
00010000
01010001
01001101
01000001

message
bit

Messag
e

1
1
0
1
1
0
1
--1
1
0
0
1
0
1
---

From the above observation we can see that only four pixels
are changing, that too by a single shade. In pixel location (1,1)
only red value is changed after embedding message bits. The
original and modified values of the pixel are 112:145:198 and
113:145:198 which are both very close shades of blue.

250

Fig. 4. Original image of a light house

Fig. 6. Intensity plot

Fig. 5. Modified image containing message meetatnine

There is always a possibility of location clash i.e. the new

location generated was previously modified. To make sure that
no clash occurs a file is created that stores all modified pixel
locations. This file is checked before each modification to
avoid overwriting the already modified pixel. If at some stage
clash occurs then shift the current location to the next pixel
and modify it. At the time of steganalysis this file is again
created to keep track of clashes. Number of modified pixels
should be known for steganalysis. This number is stored in any
pixel location known to the intended receiver. By applying
reverse algorithm message is retrieved.

On comparing the above histograms it is concluded that

modifications in the original image are difficult to detect as the
patterns of the two histograms are nearly the same.
By further comparison using modified Euclidean distance
method proposed by Jain and Vailaya [9]. This method is used
for comparison of coloured histograms. I and Q are the
histograms of the original image and the image containing the
message respectively. Formula proposed for comparing the
histograms is as follows:

S 1.0

(I R (r) Q R (r))

(I G ( g ) QG ( g ))

(I B (b) Q B (b))

where S is similarity coefficient.

Using this method the calculated value of similarity
coefficient is 1.0. This implies that the two histograms are
nearly the same.

V. PERFORMANCE ANALYSIS
The accomplishment of the proposed algorithm can be
highlighted by studying colour histograms of original and
modified images. Red, green and blue planes of the image are
plotted separately. X axis of the histogram represents pixel
intensity whose range is [0,255]. Y axis of the histogram
represents the number of pixels of a particular value or
intensity. So, if there is an image that contains 50 pixels with
an intensity of 0 then x value will be 0 and y value will be 50.

VI. NOVELTY OF PROPOSED ALGORITHM

The scheme used for selecting and modifying pixels is the
focus of the proposed algorithm. In conventional methods
selection of pixels is done in an orderly fashion, usually using
a key, whereas in the proposed algorithm selection of pixels to
be modified is performed randomly. This makes the algorithm
securer than conventional algorithms. Another highlight of this
algorithm is that the capacity of storing information per pixel
is greatly increased without perceivable changes in the
modified image. The above mentioned points highlight the
uniqueness of this algorithm and justify its novelty.

251

VII. RESULTS

VIII. CONCLUSION

By adopting the above stated methodology stego process

has been performed. Following are some stego covers and
stegged images.

The block based steganography provides robust and

effective technique for information hiding. It was shown by
experimental results that the proposed method offers a
significant improvement over the conventional techniques.
LSB technique used for steganography of 8 bit format is far
more vulnerable to attacks as compared to 24 bit format. The
advantage of using a bmp file is that it is capable of hiding a
large message. The randomness in pixel selection renders
detection of hidden information difficult. In this algorithm
storage space is significantly increased by increasing the
number of modifiable bits per pixel. The main highlight is that
the proposed steganography process requires no key. Mainly
no attacker can identify the presence of secret data due to the
high quality of stego image. Even if the attacker is suspicious
the complete retrieval of hidden message is impossible due to
randomness of pixels containing the information.

Fig. 7. Original image of a coloured flower

REFERENCES
[1]

[2]

[3]

[4]
Fig. 8. Modified image containing message beautifulflower
[5]

[6]
[7]

[8]

[9]

Fig. 9. Original image of a cartoon character

Fig. 10. Modified image containing message cutegarfield

252

M. M Amin, M. Salleh, S . Ibrahim, M.R.K Atmin, and M.Z.I.

Shamsuddin, Information hiding using steganography, IEEE 4th
National Conference on Telecommunication Technology Proceedings,
Shah Alam, Malaysia, pp. 21-25, January 2003.
Deshpande Neeta, Kamalapur Snehal and Daisy Jacobs,
Implementation of LSB steganography and its evaluation for various
bits, IEEE 1st International Conference on Digital Information
Management, India, pp. 173-178, December 2006.
S .K. Moon and R.S. Kawitkar, Data security using data hiding, IEEE
International Conference on Computational Intelligence and Multimedia
Applications, India, pp. 247-251, January 2007.
V. Lokeswara Reddy, Dr. A. Subramanyam and Dr.P. Chenna Reddy,
Implementation of LSB steganography and its evaluation for various
file formats, Int. J. Advanced Networking and Applications, vol. 2, pp.
868-872, 2011.
Gandharba Swain and Saroj Kumar Lenka, A hybrid approach to
steganography embedding at darkest and brightest pixels, Proceedings
of the International Conference on Communication and Computational
Intelligence ,Kongu Engineering College, Perundurai, Erode, T.N.,
India, pp.529-534, December 2010.
William Stallings, "Cryptography and Network Security, Principles
Practice" Edition 3rd. Prentice Hall 2003, ISBN 0-13-091429-0.
M. S. Sutaone and M.V. Khandare, Image based steganography using
LSB insertion technique, IET International Conference on Wireless,
Mobile and Multimedia Networks, India, pp. 146-151, January 2008.
Beenish Mehboob and Rashid Aziz Faruqui, A steganography
implementation, IEEE-International symposium on Biometrics &
security technologies, ISBAST, Islamabad, April 2008.
A Vadivel, A.K.Majumdar and Shamik Sural, Performance comparison
of distance matrices in context-based image retrieval applications, IIT
kharagpur research work.

Availability Quantification Model for Design

Phase
Suhel Ahmad Khan, Student Member, and Raees Ahmad Khan

Abstract-- The aim of this paper is to produce quantified

values of availability security attributes based on object oriented
design methodology. Availability Quantification Model has been
developed for security estimation through the complexity
perspective for the design phase. The proposed model is
formulated using a multiple regression technique for design phase
using design complexity metrics. The proposed model is validated
and its statistical explanation is helpful for model validity.
Index TermsSoftware Security, Complexity Attributes,
Object Oriented Design Constructs, Availability Quantification
Model

I. INTRODUCTION

n modern era computer has been dominant in each aspect of

life to facilitate humanity. The world is growing rapidly to be

Hi-Tech, and is dependent on computer, internet and other
technological advancements. In such circumstances the most
advantageous assignment is to keep sensitive information safe
from security breaches. Various incidents of security breaches
reveal the fact that unsecured design is responsible for
successful attacks. Experts have been advocated to incorporate
security steps at an early stage of development to reduce
vulnerability, flaws and unwanted complexity at design time.
An endeavor to gain security, it is required to design and
incorporate security policy and measures well in advance. For
an operational design unit, all information must be available to
serve its purpose. Total supporting services is union of
behavior of class elements and efforts to provide protection to
the basic components of object oriented design. Total
supporting services with applied protection techniques and
privileges for services on operational units such as class
structures which are connected through coupling/aggregation
at design time should be available when it is needed. This will
helpful to improve the quality and performance of software. A
scientific structured approach is required to deal with complex
design to ensure that application software is secure, reliable
and stable.

Suhel Ahmad Khan is with the Department of Information Technology,

Babasaheb Bhimrao Ambedkar University, Lucknow-226025, India (e-mail:
ahmadsuhel28@gmail.com).
Raees Ahmad Khan is with the Department of Information Technology,
Babasaheb Bhimrao Ambedkar University, Lucknow-226025, India (e-mail:
khanraees@yahoo.com).

II. AVAILABILITY AT DESIGN TIME

Availability is the readiness for correct services, which
can also be defined as the degree to which a system or
component is operational when required for use. Availability is
related to total supporting services which provides cumulative
measures of behavior of entities and applied protection.
Information must be protected for secure availability by
providing minimum privilege between services and requests to
avoid ambiguity. Therefore services for availability security
attribute relies the proper behavior, applied protection and
privilege of services and requests. The higher the availability,
the weaker will be the security. Therefore securities of services
need adequate protection in the form of physical and other on
apposite privileges and total supporting services of use entities
or components.
For any information system to serve its purpose, the
information must be available when it is needed. This means
that the computing system units used to store and process the
information, security control units used to protect it, and the
communication channels used to access it, must be functioning
correctly. If a mission-critical system is unavailable to its end
users, the organizations mission may be affected. Loss of
system functionality and operational effectiveness for example,
may result in loss of productive time, thus impeding the end
users performance of their functions in supporting the
organizations mission. Object oriented design methodology
provides an excellent structuring mechanism at class level. It
decomposes whole structure into well designed unit for better
reusability and security. It reduces the design complexity by
decomposing its functional privileges between services and
request into the class hierarchy. [1]. It strengthens the
mechanism that data is secure from intruders.
III. ESTABLISHING CORRELATION BETWEEN SECURITY
ATTRIBUTES & COMPLEXITY
The detailed discussion on security quantification
summarizes that nothing precisely have been done at design
phase. In this regard only secure design best practices or some
theoretical basis are available [2, 3, 13]. Quantitative analysis
of software security at early stage enables the evaluation and
assessment of security and provides the basis for assessing
security technologies. The best way to deal with design
complexity is to develop quantification model which correlate
security attributes with complexity factors in object oriented
design perspective.

978-1-4673-0455-9/12/$31.00 2012 IEEE

253

increase/decrease when the independents are held

constants.
And is the intercept.

Fig. 1. Relation Diagram

The significance of this study is to quantify security with an

optimized set of complexity attributes which having impact on
security attribute with identified metrics is discussed in Fig. 1
[2], [4]-[5]. It also authenticates that applied protection on data
must engage with total supporting services which is bound
with applied security techniques and behavior of components.
The bound entities through coupling/aggregation are evaluated
by object oriented design constructs including abstraction,
inheritance, coupling and cohesion all affect availability at
design time. The values of cohesion metrics can be evaluated
by counting the disjoint set of methods assigned to services
and requests for minimum privilege. An orthogonal metric are
analyzed by counting services at run time environments when
they are demonstrating polymorphic behavior. The motivation
of hierarchical decomposition is to distribute complexity
across multiple components with less interdependence. The
used metrics are helpful to minimize/control the intolerable
design complexity which is taken from [4]-[9].

The following regression equation to quantify the

availability for object oriented design is taking into account
the impact of total supporting services, and required privileges
between services and request in class structure. A class
hierarchy of Online Photo Management System depicted in
Fig. 2 has been presented to quantify the availability through
giving complexity attributes of design diagram. The five
versions of class hierarchies are being used for metric value
depicted in Table1 and data needed for standard availability
values is taken from [12]. The multiple linear regression model
is fitted to the minimal set of availability metric and result is
shown in equation (3).
Availability= + 1*TSS + 2 * MPSR

1 X1

2X2

3X3

....................

nXn

Session Manager
-User Id
+Get User()
*

Customer

Photographer

-Customerid
-ContractBegin
-ContractEnd
+Update Profile()
+Place Order()

-ID
-Specialization
+Update Photo()
+Grant Access()
+Approve Order()

*
List Manager
-List name
1
+Create
*List()
*

*
1

1
Order
-Order Number
-User ID
-Order Date
-Status
+Download Image()
+Set order Status()
*

Image List

Image
-Name
-Description
-Size
-Image Location
-Shot by
+Edit Details()
+Upload()

1
Order Detail
-Order Id
-Image No
-Quantity
+Get Value()

Fig. 2. Online Photo Management System

(1)

Where
Y is dependent variable,
The X1, X2, X3.Xn are independent
variables related to Y and are expected to explain
the variance in Y.
The 1, 2, 3,n are the coefficients of the
respective independent variables. Regression
coefficient is the average amount of dependent

-Userid
-Password
-Name
+Verify Login()
+()

IV. AVAILABILITY QUANTIFICATION MODEL DEVELOPMENT

A multiple linear regression technique has been used to
get the coefficients. This technique establishes a relationship
between a dependent variable and multiple independent
variables.
Based upon the relationship of the Availability and
complexity factors, the relative significance of individual
factors that has major impact on security at design phase is
weighed proportionally. A multiple linear regression technique
has been used to get the coefficients. This technique
establishes a relationship between dependent variable and
multiple independent variables and is shown in equation 1.

User

(2)

Fig. 3. Online Purchase System

254

-Name
-Keyword
-Image no
+Verify Customer()
+Get Image()
+Upload Image()

*
Permission
-Image Id
+Set Permission()

CD2
CD3
CD4
CD5
CD6

TABLE 1
AVAILABILITY CALCULATION TABLE

Class
Diagram

Aval_Stand

TSS

MPSR

CD1

0.555

3.11

1.55

CD2

0.60

3.60

1.20

CD3

0.454

3.45

1.81

CD4

0.545

3.81

1.81

4.41
4.45
4.0
3.30
4.33

1.33
1.27
1.42
1.61
1.33

0.416
0.636
0.643
0.615
0.583

0.626
0.639
0.590
0.522
0.622

It is mandatory to check the validity of the proposed model

for acceptance. A 2-sample t test has been introduced to test
the significance of Aval_Stand values to Aval_Cal Values. A
hypothesis test based on 2-sample t test is being performed and
confidence interval is being observed by the difference of two
standard means. The t test history of availability is mentioned
in Table 4.

TABLE 2

TABLE (4)

MODEL SUMMARY

T TEST OF AVAILABILITY

Model

0.835

R
Square

Adjusted
R Square

Std. Error of
the Estimate

0.698

0.094

0.059

Availability= .654 + .048 * TSS - .180 * MPSR

Mean

Std. Div.

Std. Err

Aval _ Stand

0.588

0.087

0.03555

Aval_ Cal

0.590

0.048

0.0197

T Value = 0.0492

(3)

P Value = 0.9617 (Two Tailed)

The model summary of calculating data is mentioned which

discusses the statistical interpretation of used data that model
is highly effective.
Where
Availability is the dependent variable,
Total Supporting Services, Minimum Privilege
between Services & Request are independent
variables. These variables are expected to
explain the variance in Availability.
1, 2, and 3 are the coefficients of respective
variables
And is the intercept.
Table 2 summarizes the results of the correlation analysis
for the Availability quantification model, and shows that for all
the System, all of the design constructs are highly correlated
with Availability.

Ho: (Null hypothesis): There is a significant difference

between Aval_Stand and Aval_Cal.
H1: (Alternate hypothesis): There is no significant difference
between Aval_Stand and Aval_Cal.
Ho: 1-2=0 verses H1: 1-2 0
Where 1 and 2 are the sample means and 0 is the
hypothesized difference (zero) between the two sample mean.
Mean, Standard Div, Standard Error, Standard Error
difference have been calculated for giving two samples at the
Table (4). Given samples are trusted by 95% confidence with
concluding remarks that the sample means are same. There is
no difference between tabulated data and calculated data.
Therefore the null hypothesis is rejected and alternate
hypothesis is accepted. The obtained equation through using
design parameters for availability calculation is highly
accepted.

V. MODEL VALIDATION

VI. CONCLUSION

An experimental validation of the proposed model namely

Availability Quantification Model (AQM) has been carried out
using sample tryouts to check its effectiveness and efficiencies
for practical use. The following sections describe the details of
validations and data regarding validation for confidentiality
formulation is carried out from six versions of class diagram of
online purchase system in Fig. 3 and taken data are depicted in
Table 3.

This research work has developed and implemented a

multivariate linear model Availability Quantification Model
(AQM) for quantification of availability of object oriented
software in the design phase. Case study has been conducted to
formulate and validate the proposed model through complexity
perspective and its statistical analysis signifies the validity of
calculated data.

TABLE 3

VII. ACKNOWLEDGMENT

AVAILABILITY DATA TABLE

Class
Diagram
CD1

TSS

MPSR

Aval_Stand

Aval_Cal

3.45

1.54

0.636

0.542

This work is sponsored by University Grants Commission

(UGC), New Delhi, India under F. No. 34-107\2008 (SR).

255

VIII. REFERENCES
[1]
[2]
[3]

[4]
[5]

[6]
[7]

[8]

[9]

[10]

[11]
[12]

[13]

G. Booch, Object Oriented Analysis and Design with Application,

Addison Wesley, 3rd Edition, ISBN-0-201-89551-X.
H. Walton, T. A. Longstaff, R.C. Linder, Computational Evaluation of
Software Security Attributes, IEEE, 1997.
S Chandra, R. A. Khan, Software Security Metric Identification
Framework (SSM) International Conference on Advances in
Computing, Communication and Control, ICAC309, ACM.
S. R. Chidember and C. F. Kemerer, Towards A Metric Suite for
Object Oriented Design, OOPSLA91, ACM, pp:197-211.
S.A.Khan, R.A. khan, Securing Object Oriented Design: A Complexity
Perspective, International Journal of Computer Application, Volume 8,
No 13,Oct 2010,pp:8-12.
K. Mustafa, R.A.Khan, Quality Metric Development Framework,
Journal of Comp. Sci., 2005, 1(3) ISSN: 1549-3636,pp:437-444.
Dr. Linda Rogenberg, Dinnis Brennan, Principle Components of
Orthogonal Object Oriented Metrics (323-08-14), White Paper
Analyzing Results of NASA Object oriented Data, Oct 200.1
GL. W. Henry, Maintenance Metrics for the Object Oriented
Paradigm, Proceeding of the First International Software Metrics
Symposium, May 1993, pp:52-60.
M. Dowd, John Mcdonald, The Art of Software Security Assessment:
Identifying and Preventing Software Vulnerabilities, Addison Wesley
Professional, ISBN: 978-0-321-44442-4.
Wang C, Wulf, A Framweork for Security Measurement, Proc.of
National Information Systems Security Conference, 7-10 Oct
1997,pp:522-533.
R. G. Dromey, A Model for Soft. Product Quality, IEEE Transaction
on Soft. Engg. 21(2), Feb. 1995, PP:146-162.
S. Chandra, R.A. Khan, Availability State Transition Model, ACM
SIGSOFT Software Engineering Notes, Volume 36, Issue 3, May 2011,
pp:1-3.
Dr. Holger Peine, Rules of Thumb for Developing Secure Software:
Analyzing and Consolidating two Proposed Sets of Rules, The Third
International Conference on Availability, Reliability and Security, DOI
10.1109/2008IEEE,pp.1204-1209.

256

Network Constrained Economic Load Dispatch

Using Biogeography Based Optimization
Manish Gupta, Nikhil Gupta, Member, IEEE, Anil Swarnkar, Member, IEEE, and K. R. Niazi, Senior
Member, IEEE
generator

Abstract-- This paper presents a Biogeography Based

Optimization (BBO) algorithm to solve Economic Load Dispatch
(ELD) problem of thermal power units while satisfying generator
and network constraints. Biogeography-based optimization
(BBO) is a relatively new optimization technique. Mathematical
models of biogeography describe how a species arises, migrates
from one habitat (Island) to another, or gets extinct. This
algorithm searches for the global optimum mainly through two
steps: Migration and Mutation. The effectiveness of the proposed
algorithm has been verified on IEEE 30- bus, 6 generator system.
Considering the quality of the solution obtained, this method
seems to be a promising alternative approach for solving the ELD
problems under practical conditions.
Index Terms- Biogeography Based Optimization, Economic
Load Dispatch, IEEE 30-bus standard load flow test system,
Migration, Mutation.

I. NOMENCLATURE

Pi (MW)

Real power generation by ith generator

PD (MW)
Fi ($/hr.)
Ft ($/hr.)
PL (MW)

Power demand

Pi min (MW)

Minimum generation by ith generator

Pi

max

(MW)

Fuel cost per MW of ith generator

Total fuel cost
System power loss

Maximum generation by ith generator

Vi min (p.u.)

Minimum voltage limit at ith bus

Vi (p.u.)

Bus voltage at ith bus

max

(p.u.)

Maximum voltage limit at ith bus

(MVAR)

Minimum reactive power generation by ith

generator

Qi max (MVAR)

Maximum reactive power generation by ith

Vi

Qi min

Manish Gupta, Nikhil Gupta, Anil Swarnkar and K. R. Niazi are with the
Department of Electrical Engineering, Malaviya National Institute of
Technology, Jaipur-302017, India (e-mail: manish2594695@gmail.com,
nikhil2007_mnit@yahoo.com,mnit.anil@gmail.com,
krn152001@yahoo.co.in).

Qi (MVAR)
N

Reactive power generation by ith generator

Maximum immigration rate

Maximum emigration rate

Number of generators

II. INTRODUCTION
The network constrained economic load dispatch (NC-ED)
seeks best generation schedule to supply load and losses at
minimal cost while taking into account, the generator as well
as transmission network limitations. The NC-ED can also be
viewed as a special case of the optimal power flow (OPF)
problem in which the objective is the fuel cost minimization
while considering some of the network constraints. Thus three
power system optimization problems are classified in
decreasing degree of generality and complexity as follows:
OPF, NC-ED, and ED [1].
Previously a number of derivative-based approaches
including Lagrangian multiplier method [2] have been applied
to solve conventional Economic Load Dispatch (ELD)
problems. These methods require that incremental cost curves
are monotonically increasing in nature. But in practice, the
input-output characteristics of modern generating units are
highly nonlinear due to valve-point loadings, ramp-rate limits,
multi-fuel options, etc. The calculus-based methods fail in
solving these types of problems.
Wood and Wollenberg proposed dynamic programming
[3], which does not impose any restriction on the nature of the
cost curves and solves both convex and non-convex ELD
problems. But this method suffers from the curse of
dimensionality and simulation time increases rapidly with the
increase of system size.
More interests have been focused on the application of
artificial intelligence technology for solution of ELD
problems. Several methods, such as genetic algorithm (GA)
[4]; artificial neural networks [5]; simulated annealing (SA),
Tabu search; evolutionary programming [6]; particle swarm
optimization (PSO) [7]; ant colony optimization; differential
evolution [8]; etc. have been developed and applied
successfully to ELD problems.

978-1-4673-0455-9/12/$31.00 2012 IEEE

257

All of the above mentioned techniques were used to solve

conventional ELD problems in which network limitations were
not considered. However bus voltage limitation has been
considered in this paper and the problem is solved using a
relatively new optimization technique based on biogeography,
proposed by Dan Simon [9].
Like GA and PSO, Biogeography Based Optimization
(BBO) has a way of sharing information between solutions.
GA solutions die at the end of each generation, while PSO
and BBO solutions survive forever. PSO solutions are more
likely to clump together in similar groups, while GA and BBO
solutions do not necessarily have any built-in tendency to
cluster. Again in BBO poor solutions accept a lot of new
features from good solutions. This addition of new features to
poor solutions may raise the quality of those solutions. These
versatile properties of this new algorithm encouraged to apply
this newly developed algorithm to solve NC- ED problem.

for biological species are said to have a high habitat suitability

index (HSI) and variables such as rainfall, diversity of
vegetation, diversity of topographic features, land area, and
temperature affecting HSI are called as suitability index
variables (SIVs).
Species migrates from a habitat of high HSI to a habitat of
low HSI by the virtue of large population they host.
Immigration of new species to low HSI habitats may raise the
HSI of the habitat, because the suitability of a habitat is
proportional to its biological diversity [9]. This is called as
migration of species from one habitat to another.
Immigration (arrival) and Emigration (departure) rate are
the control variable that controls the migration of species from
one habitat to another. The equation for emigration rate K and
immigration rate K for K number of species and habitat size n
can be written as per the following way [10].

EK
)
n
K
I (1
)
n

III. MATHEMATICAL FORMULATION OF THE PROBLEM

Ft of NC-ED problem may be

The objective function

written asN

Ft

min[

Fi ( Pi )]

(1)

i 1

The objective function

Ft is subjected to following

constraints 1) Real Power Balance Constraint:

N

Pi

PD

PL

(2)

i 1

2) Generator Capacity Constraints: The power generated

by each generator shall be within their lower limit

Pi min and upper limit Pi

Pi min

Pi

Pi

max

max

be within their lower limit Vi

max

Vi min

m( s )

Vi

Ps - Probability of a habitat having s number of species

P max - Maximum probability

(4)

V. BBO ALGORITHM TO SOLVE NC-ED PROBLEM

4) Reactive Power Constraint: The reactive power

generated by ith generator shall be within their lower
limit Qi min and upper limit Qi

Qi min

Qi

Qi

max

max

(8)

m max - Maximum mutation rate

and upper

max

1 Ps
m max (
)
P max

species

. So that

Vi

(7)

Where,
m(s ) -Mutation rate of a habitat having s number of

(3)

min

(6)

Also biogeography typically incorporates some sort of

elitism in order to retain the best solution in the population.
This prevents the best solutions from being corrupted by
immigration.
There may be a situation in which SIV of a habitat might
get changed suddenly due to some natural calamity. This is
equivalent to mutation of an SIV. Few kind of elitism is kept
in mutation process to save the features of good solution.
Mutation rate of each set of solution can be calculated in terms
of species count probability using the following equation [10].

. So that

3) Bus Voltage Constraint: The voltage on each bus shall

limit Vi

. So that
(5)

The BBO algorithm can be described in the following

steps:
1. Initialize number of habitat (possible solutions) and
BBO parameters like maximum mutation rate mmax,
maximum immigration rate I, maximum emigration
rate E, elitism parameter p, etc. Set maximum
number of iteration.

IV. BIOGEOGRAPHY
Biogeography describes how species migrate from one
island to another, how new species arise, and how species
become extinct [9]. Islands that are well suited as residences

258

2.

Randomly initialize the generation of all the

generators (SIVs to a habitat) excluding slack
generator while satisfying generator constraints.

3.

Calculate HSI or the total fuel cost of each habitat.

4.

According to the total fuel cost, identify elite

solutions and perform migration operation on nonelite solutions.

TABLE I

5.

Check for all constraints.

6.

Again calculate the total fuel cost of each possible

solution obtained after migration and identify elite
solutions.

7.

Perform mutation operation on a non-elite solution

and calculate the total fuel cost.

8.

Check for all constraints.

9.

Go to step 3, this process would be continuous till all

the possible solution represents same fuel cost.
10. Calculate network parameters and value of slack
generator through Newton-Raphson load flow.

OPTIMAL RESULTS FOR IEEE 30-BUS SYSTEM

Population Size
Maximum Fuel Cost ($/hr.)
Minimum Fuel Cost ($/hr.)
Average Fuel Cost ($/hr.)
Standard Deviation
Average Computational Time
(sec)
Minimum Bus Voltage (p.u.)

100
807.704
807.648
807.67057
0.0200
326.71

0.93937

0.93926

Table II shows the generation schedule, losses,

computational time and number of iterations at minimal cost
obtained after 36 trials with population size of 100.
TABLE II
GENERATION SCHEDULE AND OTHER PARAMETERS AT MINIMAL COST

VI. NUMERICAL EXAMPLE AND SIMULATION RESULT

An adaptation of the IEEE 30-bus, 6 generators standard
load-flow test system is used to demonstrate the performance
of the method. System data used and the parameters of BBO
are given in [11] and [10] respectively. The lower and upper
voltage magnitude limits at all the buses are 0.9 p.u. and 1.1
p.u. respectively. Fig.1. shows the convergence characteristics
of the algorithm for the population size of 100. It can be
observed from the curve converges in 25 iterations.
810

Fuel Cost ($/hr)

50
807.942
807.666
807.82874
0.1186
149.48

809.5

Slack Generator(MW)
G1 (MW)
G2 (MW)

174.342
49.2855
21.8340

G3 (MW)

23.5502

G4 (MW)
G5 (MW)
Losses (MW)
Cost ($/hr.)
Computational
time(sec)
No. of Iterations

13.1560
12.0095
10.8469
807.6456
615.13
23

809

VII. CONCLUSION
808.5
808
807.5
0

10

15

20

25

No. of iterations
Fig.1. Convergence characteristic of 6 generator systems

Table I shows solution obtained after 10 trials with the

population size of 50 and 100. It can be observed from the
table that the standard deviation of fuel costs obtained after 10
trials is within permissible limits and hence the results
obtained are good.
Also the fuel cost obtained with the population size of 100
is better than the fuel cost obtained with the population size of
50.

Biogeography Based Optimization Technique has been

successfully implemented to solve Economic Load Dispatch
problem with generator and network constraints. It has been
observed that the Biogeography Optimization Technique has
the ability to find the good solution as the standard deviation
between fuel costs obtained after a number of trials is within in
permissible limit.
In future, Biogeography Based Optimization Technique can
be applied to solve multi-objective Network Constrained
Economic Load Dispatch problem in which not only the fuel
cost, but also the losses, bus voltage and computational time
can be minimized.
VIII. REFERENCES
[1]

[2]

[3]

259

G. Damousis, A. G. Bakirtzis, and P. S. Dokopoulos, Networkconstrained economic dispatch using real-coded genetic algorithm,
IEEE Trans. Power Syst., vol. 18, no. 1, pp. 198205, Feb. 2003.
A. El-Keib, H. Ma, and J. L. Hart, Environmentally constrained
economic dispatch using the Lagrangian relaxation method, IEEE
Trans. Power Syst., vol. 9, no. 4, pp. 17231729, Nov. 1994.
J.Wood and B. F. Wollenberg, Power Generation, Operation, and
Control, 2nd ed. : Wiley, 1984.

P. H. Chen and H. C. Chang, Large-scale economic dispatch by

genetic algorithm, IEEE Trans. Power Syst., vol. 10, no. 4, pp.1919
1926, Nov. 1995.
[5] C.-T. Su and C.-T. Lin, New approach with a Hopfield modeling
framework to economic dispatch, IEEE Trans. Power Syst., vol. 15,
no. 2, p. 541, May 2000.
[6] T. Jayabarathi, G. Sadasivam, and V. Ramachandran, Evolutionary
programming based economic dispatch of generators with prohibited
operating zones, Elect. Power Syst. Res., vol. 52, pp. 261266, 1999.
[7] Z.-L. Gaing, Particle swarm optimization to solving the economic
dispatch considering the generator constraints, IEEE Trans. Power
Syst., vol. 18, no. 3, pp. 11871195, Aug. 2003.
[8] N. Nomana and H. Iba, Differential evolution for economic load
dispatch problems, Elect. Power Syst. Res., vol . 78, no. 3, pp. 1322
1331, 2008
[9] D. Simon, Biogeography-based optimization, IEEE Trans. Evol.
Comput., vol. 12, no. 6, pp. 702713, Dec. 2008.
[10] Bhattacharya and P. K. Chattopadhyay, Biogeography Based
Optimization for Different Economic Load Dispatch Problems, IEEE
Transactions on Power Systems, vol. 25, no.2, pp. 1064-77, May 2010.
[11] Alsac, O., Stot, B. Optimal load flow with steady-state security, IEEE
Trans. Power Appar. Syst., 1974, PAS-93, (3), pp. 745751.
[4]

260

Power Flow Control in Distributed Microgrid with

Wind Energy System
Megha Goyal, Student Member, IEEE and Rajesh Gupta, Senior Member, IEEE
AbstractIn this paper, power flow is controlled in a distributed microgrid. The local loads in the microgrid are supplied
from the distributed generator (DG) with wind energy system
(WES). In DG, a voltage source inverter (VSI) is operated in a
current control mode in order to inject real power and achieve
load compensation. The generation of reference currents for voltage source inverter depends upon the available wind power for
real power injection and load reactive and harmonic component
for load compensation. Simulation studies are performed using
PSCAD/EMTDC to validate the proposed power flow control
and load compensation in the distributed microgrid.
Index Terms Current control, distributed generation (DG),
microgrid, power flow control, wind power.

-variable speed wind turbine with permanent magnet synchronous generator (PMSG) is considered. Output voltage of
the PMSG is changed according to the wind speed. AC output
of the PMSG is converted into DC using uncontrolled rectifier. To interface this wind energy system with the grid voltage
source inverter is considered which is operated in current control mode to inject the real power with load compensation
current components to offset the harmonics, reactive and unbalance component of the load current. The reference current
generation for the VSI is derived using instantaneous symmetrical component theory [6] and it depends upon the available
wind power.

I. INTRODUCTION

eneration of electrical power from wind power and its

interface to the local microgrid is a newer concept and
gaining importance due to its utilization and environmental
advantages. A wind turbine can be used in wide variety of
ways to generate electrical power. There are many aspects to
use electrical power generated from the wind power [1]. These
include feeding local loads, interface to the existing power
grid, strengthening local micro grid, etc. Besides these the
wind power can also be used for power quality enhancement.
In this paper, wind energy conversion system is used to supply
real power to the local load supplied from the main power grid
and load compensation to support reactive, harmonic and unbalanced components of the load [2]. These features are not
only required in the domestic power supply system but also of
importance in the industrial distribution system. The example
includes process control industries, medical support systems,
manufacturing plants, etc.
Cluster of DGs connected to the grid can be viewed as micro-grid. In this paper, power flow from wind turbine to the
grid is controlled based on the available wind power and the
local load requirement [3]. The estimate of the available wind
power is obtained using wind speed measurement. The wind
turbine is modeled for torque control of wind turbine generator. It is shown that if the power requirement by the load is
more than the available wind power then excess power can be
received by the grid [4].
Wind power is important renewable technologies that require an inverter to interface with the grid [5]. In this paperMegha Goyal is a Master student in the Department of Electrical Engineering, Motilal Nehru National Institute of Technology, Allahabad-211004, India
(e-mail: gylmegha@gmail.com).
Rajesh Gupta is an Associate Professor in the Department of Electrical Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: rajeshgupta310@rediffmail.com).

II. SYSTEM STRUCTURE

The power system model with two wind DGs basic structure is shown in Fig.1.Microgrid is connected to the grid [7].
Both DG1 and DG2 are connected to the micro grid through
VSI. Each DG has its own individual local loads.
PS

Pl , Ql

is

Grid

Microgrid

il

RD1

PG1

is1
Pdg1, Qdg1

Rsh1
Lsh1

ish

PG

Utility Load

PG2

RD2

is2

PL1, QL1

il1

PL2, QL2

il2

Lsh2

Pdg2, Qdg2

idg2

idg1

DG1

Rsh2

Unbalanced
& Non linear
local load

Unbalanced
& Non linear
local load

DG2

Fig. 1. Schematic representation of Microgrid and utility system.

The active and reactive power flow is represented by P and

Q, respectively. The function of the DGs with WES is to
supply the real power according to the available wind power
with the load compensation to offset the harmonics, reactive
and unbalance component of the load currents. The VSI is
operated in current control mode to track the specified reference current.
Therefore, appropriate reference currents need to be generated for each phase for real power injection and load compensation. The structure of the three legs VSI supplied from the
common DC link is shown in Fig. 2.

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261

III. REFERENCE CURRENT GENERATION SCHEME

PCC1

Lsha
Rsha

idg1a
idg1b
Lshc
Lshb
Rshc
Rshb

In this section, the reference current generation for DG is

obtained. The VSI is operated in current control mode to track
the specified reference current. Both the DGs have same control strategy. Therefore description of only one DG and its
compensator are given. The main aim of the DGs is to compensate the nonlinear, reactive and harmonic components of
the local loads and supply the available wind power. DGs are
also supplying the reactive power of the utility load. To fulfill
these, zero sequence components of the source current will be
zero[13,14], i.e.,

idg1c

Cdc

Cdc

is1a is1b is1c 0

For the unity power factor, the reactive power delivered from
the source is zero, i.e.,

Fig 2. Schematic diagram for the real power injection and load compensation
scheme.

The DC link of the VSI is fed from the uncontrolled rectifier

as shown in Fig.3. The variable speed wind energy system
with permanent magnet synchronous generator is connected to
the bridge rectifier.
UNCONTROLLED
RECTIFIER

wg

WIND
TURBINE

Vwind

TM

PMSG

(vb vc ) is1a (vc va ) is1b (va vb ) is1c 0

va isa vbisb vcisc ps

VSI

VDC

Pw

e
np

(6)

PG1 Plav1 Pw1

(7)
(8)

Where, Plav1 is the average local load 1 power which can be

computed by a moving average filter using instantaneous
power pl1 defined as below

(1)

pl1 va il1a vb il1b vc il1c

(9)

Pl is the average utility load power which can be computed by

a moving average filter using instantaneous power pl defined
as below

(2)

pl va ila vbilb vc ilc

For the torque control of the variable speed wind turbine,

the generator side rotational speed (GSRS) is feedback [11,12]
as shown in Fig. 3.
In this paper, the generator side rotational speed e is fedback to the wind turbine as mechanical rotating speed g.

PS PG Pl

PS1 Plav1 0.5* Pl Pw1

Where, is air density, A is swept area of turbine, Vw is wind

speed, Cp is power coefficient which is a function of blade
pitch angle and tip speed ratio . The pitch angle is kept
constant at optimum position in torque controlled wind turbine. The torque Tr is defined by the following equations.

(5)

VSI is also injecting the real power according to the available wind power. Source will supply only the active power to
the local and utility load. Both DGs will supply the reactive
power of utility load. Lets assume that both the DGs share
utility load power equally, such that the following is satisfied.

The wind turbine converts the wind energy into the mechanical energy through a suitable turbine configuration [8]. The
wind power pw extracted by the wind turbine can be defined as
below [9], [10].

Tr

(4)

Instantaneous real power is supplied from the source, i.e.,

Fig. 3. Schematic representation of proposed wind energy system.

pw 1/ 2* AVw3C p ( , )

(3)

(10)

Pw1 is available wind power for DG1, i.e., computed using (1).
Assuming, VSI will track the reference shunt current.
Therefore the reference shunt current for three phases can be
written as

(3)

idg1kref il1k

Where, np is the number of pole pair in the PMSG. The operation of PMSG in normal mode implies that the machine rotor
speed varies according to the applied per unit torque as input
argument.

ilk
is1k
2

where, k = a,b,c

(11)

Combining (3)-(11), the expression for reference current generation for the DG-1 three phases VSI is as follows.

262

ila
i
v
is1aref il1a la a ( PS1 )

2
2
ilb
ilb vb
il1b
is1bref il1b

( PS1 )

2
2
i
i
v
il1c lc is1cref il1c lc c ( PS1 )

2
2

idg1aref il1a
idg1bref
idg1cref

(12)

Where, in (12) is defined as below.

va2 vb2 vc2

(13)

and PS1 can be computed using (8).

Fig. 4 (a) Wind Speed For DG1 and DG2

In a similar way, expression of reference current generation

for the DG-2 can be calculated.
IV. SIMULATION RESULTS
For simulation studies the system data is given in Table I
and Table II. The source voltage is assumed to be 250 V (rms)
per phase. A combination of nonlinear and unbalanced linear
load is considered with the values given in Table II. The simulation results are obtained through the PSCAD/EMTDC software.
A. Sharing of local load and utility by DGs
DG with WES is partly supplying real power to its own local loads and performing load compensation for it and also for
utility loads such that the current supplied from the grid become balanced and sinusoidal with unity power factor. Balance real power requirement of the local loads and utility load
is supplied from the main power grid. Both DGs with WES
have different wind speed. Here DG1 wind speed is considered 8m/sec and DG2 wind speed is considered 10m/sec, as
shown in Fig. 4(a). Fig. 4 (b) shows the DC link capacitor
voltage which is constant for a particular speed under steady
state.
Both DGs have its individual local loads. DGs with WES
are supplying real power according to available wind power.
Both DGs have different wind speed so real power supplied
by these DGs to its local load is different as shown in Fig.4(c)
and Fig.4(d), respectively. The total local load real power is
supplied by the grid and its DG. Reactive power of the local
load and utility load are supplied from the DGs as shown in
Fig. 4(e) & (f). It shows that the reactive power supplied by
the grid is close to zero. Fig. 4(g) represents the three phase
source current which is balanced and closed to sinusoidal. Fig.
4(h) shows the source current in a phase with the source voltage. This means that the grid is supplying only real power to
the loads.
The local loads are considered unbalanced and non-linear.
Therefore the load current contains the harmonics and reactive
power. These local load harmonics and reactive power component is supplied by the DG and the grid supplies only the
active power component of the load current. This is shown in
the Fig. 4(i).

Fig. 4 (b) DC link capacitor voltage.

Fig.4(c) Active power distribution for local load 1

Fig. 4(d) Active power distribution for local load 2

263

Fig.4(i) Source current and local load current.

Fig.4(e) Reactive power of Local load 1, supplied by DG1 to utility load,
DG1 and Grid Reactive Power.
TABLE I
SYSTEM PARAMETERS
Parameters
Source voltage(vs)
System frequency(fo)
Net shunt impedance (Lshk,Rshk)
DG-1 Local Unbalanced load
The subscripts a, b and c denote
three phases.
Non linear load
Contains three-phase rectifier supplying load.
DG-2 Local Unbalanced load
The subscripts a, b and c denote
three phases.
Fig.4(f) Reactive power of Local load 2, supplied by DG2 to utility load, DG2
and Grid Reactive Power.

Non linear load

Contains three-phase rectifier supplying load.
Balanced Utility load

DC Link capacitor

Numerical value
250V (L-N)
50Hz
5mH, 1
Zl1a =11.25 + j5.43
Zl1b =10.00 + j7.85
Zl1c =10.62 + j6.59
50- j3.18
Zl2a =11.25 + j5.43
Zl2b =10.00 + j7.85
Zl2c =10.62 + j6.59
50 - j3.18
Zla=11.25 + j5.43
Zlb=11.25 + j5.43
Zlc=11.25 + j5.43
2200F

TABLE II
WIND GENERATION SYSTEM
Parameters

Numerical value

Generator rated voltage

300Vrms(L-N)

Rotor radius
Fig. 4(g) Three Phase Source Current.

3.5m

Rotor area

38.5 m2

Air density

1.2 kg/m3

Power Coefficient

0.4789

V. CONCLUSIONS
This paper presents the power flow control in a distributed
microgrid. The DGs with WES are supplying active power
according to the available wind speed and the remaining active power requirement of the local load is supplied from the
grid. The DGs are capable of compensating the harmonics,
reactive and unbalanced components of its own local loads
and the utility loads. Therefore the microgrid is not putting
any effect of its local loads on the grid.

Fig. 4(h) Source voltage (reduced by factor 2) and source current.

REFERENCES
4

264

M. Yin, G. Li, M. Zhou, and C. Zhao, Modeling of the wind turbine

with a permanent magnet synchronous generator for integration, IEEE
Power Energy Soc. Gen. Meet., pp.1-6, 2007.
[2] S. Goyal, A. Ghosh and G. Ledwich, A Hybrid Discontinuous Voltage
Controller for DSTATCOM Applications, Pittsburgh, PA, Jul. 2024,
2008.
[3] P. Samuel, R. Gupta, and D. Chandra, Grid interface of wind power
with large split-winding alternator using cascaded multilevel inverter,
IEEE Trans. on Energy Conversion, vol.26, no.1, pp.299-309, March
2011.
[4] R. S. Bajpai and R. Gupta, Voltage, and power flow control of grid
connected wind generation system using DSTATCOM, in Proc. IEEE
Power Energy Soc. Gen. Meet., Pittsburgh, PA, Jul. 2024, 2008.
[5] Piagi, P. and Lasseter, R.H., Autonomous Control of Microgrds, in
Proc. IEEE Power Engineering Society General Meeting, Montreal,
June 2006.
[6] A. Ghosh and G. Ledwich, Power Quality Enhancement Using Custom
Power Devices. Boston, MA: Kluwer, 2002, pp. 241331.
[7] Majumder, R., Ghosh, A., Ledwich, G. and Zare, F., load sharing and
power quality enhanced operation of a distributed microgrid, in Renewable Power Generation, IET ,vol.3, pp. 109-119, 2009.
[1]

[8] M. R . Patel, Wind and Solar Power Systems. USA: CRC Press,
1999,pp. 5056.

[9] A. Murdoch, R. S. Barton, J. R. Winkelman and S. H. Javid, Control

design and performance analysis of a 6 MW wind turbine generator,

IEEE Trans. Power App. Syst., vol. PAS-102, no. 5, pp. 13401347,
May1983.
[10] Seul-Ki Kim and Eung-Sang Kim, PSCAD/EMTDC-based modeling
and analysis of a gearless variable speed wind turbine, IEEE Trans. on
Energy Conversion, vol.22, pp.421-430, 2007.
[11] Hansen A D, Jauch C, and Sorensen P. Dynamic wind turbine models in
power system simulation tool DIgSILENT[R]. Roskilde: Riso National
Laboratory, 2003.
[12] Mingfu Liao, Li Dong, Lu Jin, and Siji Wang, Study on rotational
speed feedback torque control for wind turbine generator system,
Energy and Environment Technology, ICEET '09, pp. 853 - 856, 2009.
[13] A. Ghosh and A. Joshi, A new approach to load balancing and
Power factor correction in power distribution system, IEEE Trans.
Power Delivery, vol. 15, pp. 417422, Jan. 2000.
[14] A. Ghosh and G. Ledwich, Load compensating DSTATCOM in weak
AC Systems, IEEE Trans. on Power Delivery, vol. 18, pp. 1302-1309,
Oct. 2003.

265

Automated Data Flow Testing

Harsh Kumar Dubey1, Prashant Kumar1, Rahul Singh1, Santosh K Yadav2, Rama Shankar Yadav3
1
M.Tech Scholar, Department Of Computer Science and Engineering, MNNIT Allahabad
1
(IS1007, IS1025, CS1125)@mnnit.ac.in
2
M.Tech Scholar, Department Of Electronics and Computer Engineering, IIT Roorkee
3
Department Of Computer Science and Engineering, MNNIT Allahabad
3
rsy@mnnit.ac.in
Abstract-- Testing is a process of executing a program with the
intent of finding an error [7]. A good test is one that has a high
probability of finding an as-yet-undiscovered error. A successful
test is one that uncovers an as-yet-undiscovered error. Testing
can be manual, automated, or a combination of both [6]. Manual
testing of the software is inefficient and costly. If the testing
process could be automated, the cost of developing software
could be significantly reduced. There are mainly two strategies
of testing, one is structural and other is functional. In structural
testing the knowledge to the internal structure of the code is
used to find the number of test cases [3] required to guarantee a
given level of test coverage. For example data flow testing which
selects paths of a program according to the locations of
definition and uses of variables in the program. On the other
hand, in functional testing, only observation of the output for
certain input values is used as test cases. For example boundary
value analysis [7]. So, in this paper we are focusing on one of the
method of Structural testing called Data Flow Testing. For Data
Flow Testing we have developed a tool which will automatically
find the bugs in the program.
Consequently, complexity and expected output of the program
will be improved. The tool concentrates on the usage of variables
and the focus points are: 1. Statements where variables receive
values. 2. Statements where these values are used or referenced.
As we know, variables are defined and referenced throughout
the program. We may have few define/reference anomalies: 1. A
variable is defined but not used/referenced. 2. A variable is used
but never defined. 3. A variable is defined more than one time
before it is used. These anomalies will be identified by static
analysis of code i.e, analyzing code without executing it.
Key Terms--Data Flow Testing, Defining Node, Usage Node,
Dupath, Dc-path, Line Number Generation, Variable
Recognition

I. INTRODUCTION
Automated testing is a technique, where test engineer run the
script on any testing tool for testing. This is not an easy
process for new test engineer to test the software using script
in automated tools, the engineer should have a good
programming knowledge, and then they can write a good
script against any test case [3]. Here these people follow the
and make various script for various testing. It is totally a time
taking work to convert test case into a script.
Advantages
-Easy to cover up all cases in a limited time period.

-You can check all type of case like load, performance of

software by using tool.
-In case of Regression testing [4, 5] (Repeatedly testing),
it is a best choice.
-When a website requires immediate evaluation, automated
testing should be used.
-Automated testing saves a huge amount of time. Testing
results for a webpage can be obtained in short of time
period.
-Automated testing can be performed on different operating
systems simultaneously.
-Automated tools are easy for volume testing.
A. Evolution of Automation Testing
Every software development group tests its products, yet
delivered software always has defects. Test engineers strive to
catch them before the product is released but they always
creep in and they often reappear, even with the best manual
testing processes. Automated software testing is the best way
to increase the effectiveness, efficiency and coverage of your
software testing [7]. Manual software testing is performed by
a human sitting in front of a computer carefully going
through application screens, trying various usage and input
combinations, comparing the results to the expected behavior
and recording their observations. Manual tests are repeated
often during development cycles for source code changes and
other situations like multiple operating environments and
hardware configurations. An Automated software testing tool
is able to playback pre-recorded and predefined actions,
compare the results to the expected behavior and report the
success or failure of these manual tests to a test engineer.
Once automated tests are created they can easily be repeated
and they can be extended to perform tasks impossible with
manual testing. Because of this, savvy managers have found
that automated software testing is an essential component of
successful development projects.
B. Why Automated Testing?
-Automated Software Testing Saves Time and Money:
Software tests have to be repeated often during development
cycles to ensure quality. Every time source code is modified
software tests should be repeated. For each release of the
software it may be tested on all supported operating systems
and hardware configurations. Manually repeating these tests

978-1-4673-0455-9/12/$31.00 2012 IEEE

266

is costly and time consuming. Once created, automated tests

can be run over and over again at no additional cost and they
are much faster than manual tests. Automated software
testing can reduce the time to run repetitive tests from days to
hours. A time savings that translates directly into cost
savings.
-Automated Software Testing Improves Accuracy:
Even the most conscientious tester will make mistakes during
monotonous manual testing. Automated tests perform the
same steps precisely every time they are executed and never
forget to record detailed results.
-Automated Software Testing Increases Test Coverage:
Automated software testing can increase the depth and scope
of tests to help improve software quality. Automated software
testing can look inside an application and see memory
contents, data tables, file contents, and internal program
states to determine if the product is behaving as expected.
Automated software tests can easily execute thousands of
different complex test cases during every test run providing
coverage that is impossible with manual tests.
-Automated Software Testing Does What Manual Testing
Cannot:
Even the largest software departments cannot perform a
controlled web application test with thousands of users.
Automated testing can simulate tens, hundreds or thousands
of virtual users interacting with network or web software and
applications.
-Automated Software Testing Helps Developers and
Testers:
Shared automated tests can be used by developers to catch
problems quickly before sending to QA. Tests can run
automatically whenever source code changes are checked in
and notify the team or the developer if they fail. Features like
these save developers time and increase their confidence. Automated Software Testing Improves Team Morale: This is
hard to measure but weve experienced it first hand, automated
software testing can improve team morale. Automating
repetitive tasks with automated software testing gives your
team time to spend on more challenging and rewarding
projects. Team members improve their skill sets and
confidence and, in turn, pass those gains on to their
organization.
II. STRUCTURAL TESTING
Structural Testing [7] of Software is predicted on a close
examination of procedural detail. We do not pay any attention
to specifications. The knowledge to the internal structure of
the code can be used to find the number of test cases required
A. Data Flow Testing :
Data flow testing [7, 9] is atesting technique based on the
observation that values associated with variables can effect
program execution [1]. Data flow testing not only explores
program control flows but also pays attention to how a
variable is defined and used at different places along control
flows which could lead to more efficient and targeted test
suites than pure control-flow-based test suites. An important

insight that data flow testing shows a way to distinguish

between the useful ones and the less useful ones among test
cases generated from pure control-flow-based testing
techniques and trim the number of required test cases without
reducing the effectiveness of the test suite. It is a kind of
Structural Testing. Here, we concentrate on the usage of
variables and the focus
points are:
- Statements where variables receive values.
-Statements where these values are used or referenced.
As we know, variables are defined and referenced throughout
the program. We may have few define/reference anomalies
[2,8]:
-A variable is defined but not used/referenced.
- A variable is used but never defined.
- A variable is defined more than one time before it is used.
These anomalies can be identified by static analysis of code
i.e, analyzing code without executing it. The definitions
related to DFT are:
Defining nodes, referred to as DEF(v, n): Node n in the
program graph of P is a defining node of a variable v in the
set V if and only if at n, v is defined. For example, with
respect to a variable x, nodes containing statements such as
input x and x = 3 would both be defining nodes.
Usage nodes, referred to as USE(v, n): Node n in the program
graph of P is a usage node of a variable v in the set V if and
only if at n, v is used. For example, with respect to a variable
x, nodes containing statements such as print x and a = 3 +
x would both be usage nodes.
Du-Path: A path in the set of all paths in P(G) is a du-path for
some variable v (in the set V of all variables in theprogram) if
and only if there exist DEF(v, m) and USE(v, n) nodes such
that m is the first node of the path, and n is the last node.
Dc-Path: A path in the set of all paths in P(G) is a dc-path for
ome variable v (in the set V of all variables in the program) if
and only if it is a du-path and the initial node of the path is
the only defining node of v in the path.
Example Showing Defining Node and Usage Node :
1. main(){
2. int a ;
3. printf(Enter value of a:);
4. scanf(%d,&a); // Defining Node for variable a
5. if(a%2==0) { // Usage Node for variable a
6. printf(Number is Even!);
7. }
8. else {
9. printf(Number is Even!);
10. }
11. getch();
12. return 0;
13. }

267

III. DEVELOPMENT OF DATA FLOW TESTING TOOL

The Automated DFT Tool is developed using C# language on
.Net plateform. The platform used is Windows 7, and other
software and tools used are covered by free software licenses.
A. Architecture
Conceptually, the architecture of the DFT Tool is divided into
Four layers. The first layer provides the authentication i.e.
only authorize person can perform testing on automated
testing tool. The second layer is the source layer which takes
C-file as a input. The third layer is the processing layer. This
layer processes the data obtained from the source and convert
it to meaningful format for the fourth layer called
presentation layer. The fourth layer is the presentation layer.
This layer presents meaningful data such as du-path, dc-path,
defining node, usage node, by debugging we can improve the
complexity of the program. All the layers are shown in the fig
1, fig 2, fig 5, fig 6, fig 7.

Fig. 9. Steps of Algorithm

B. Algorithm Used
For making automated DFT Tool, algorithm is devided into
four steps, which are given below:
1) Line Number Generation
Line Generation Algo follow given steps:

-Give the first line number to the main().

-Whenever any semicolon occurs, then give the new
line number to the next statement.
-Give a new line number to that statement which
includes any method() or if() up to the occurrence
of opening brace.
2) Variable recognition
Include those words which come just after the data type
without any parentheses, before the first occurrence of
semicolon and separated by a comma.
3) Defining Node
Include those variables which are bound by the given
condition:
- When variable is followed by assignment operators.
- When variable is used in any input statement like
scanf(), gets(), getch(), getche(), getchar() etc.
4) Usage Node
Usage Node consider only those variables which are
bound with given condition:
- When variable is associated with any operator other
than assignment.
-When the variable is used in any output statement
like printf(), puts(), putch(), putche(), putchar() etc.
All the steps of algorithm is given in fig 9.
IV. GUI LAYOUT
The layout of the Automated Software Testing Tool is fully
designed using C# on .Net plateform. It is designed in such a
way that reports, read print line, variables, defining node,
usage node, du-path, anomalies in a given C-file and the
main layout is in its own window. Fig. 1 shows the main
window which consists of two text box, one for user name and
other for password for authenticating the user. As we enter
the correct user name and password then we will be able to
approach the main testing window which is shown in fig. 2.
Fig. 2 shows the C-file input window which consists of a
button Browse to load the file and also contains many
buttons for different purposes. Read Print Line button used for
generating line number to the input C-code, Variables button
list the all variables which are used in a input program,
Defining Node button is used to list the variable with the
corresponding line number where variables receiving the
values; these lines are called defining node, Usage Node
button is used to list the variable with the corresponding line
number where variables are using their values; these lines are
called the usage node, Du-path button is used for generating
the all possible du-path in the input program, and Anomalies
button is used for checking those du-path which are not dcpath i.e. bugs in the program. Output of these buttons are
shown in various windows which are given below:
V. CONCLUSION
This Automated Data Flow Testing tool provides an easy
and efficient way for the user to test his/her software written
in C-Language automatically. This tool can be used to find
the anomalies in the program and it can performe White Box
Testing in an efficient manner. Automated DFT tool is
developed to save the time and manual efforts in a large scale

268

and it can be easily extended to develop other software testing

techniques. Since, software testing is very intensive and
expensive and accounts for a significant portion of software
system development cost. If the testing process could be
automated, the cost of developing software could be
significantly reduced. Thus our tool deals with reducing
manual effort, time and cost.

269

IV. REFERENCES
[1]

P. G. Frankl, E. J. Weyuker,: An applicable family of data flow testing

criteria. In: IEEE Transactions on Software Engineering, Volume 14,
Issue 10, Pages 1483 1498, October 1988.
[2] P. C. Jorgensen,: Software Testing: A Craftsmans Approach. In: CRC
Press, 2nd ed., 2002.
[3] Jun-Yi Li, Jia-Guang Sun,: Automated Test Data Generation Algorithm
Based on Reversed Binary Tree. In: Eighth ACIS International Conference
on Software Engineering, Artificial Intelligence, Networking, and
Parallel/Distributed Computing, 0-7695-2909-7/07 Copyright 2007 IEEE
DOI 10.1109/SNPD.2007.418
[4] T.M.S.Ummu Salima , A.Askarunisha, Dr. N.Ramaraj: Enhancing The
Efficiency Of Regression Testing Through Intelligent Agents In: 0-76953050-8/07 Copyright 2007 IEEE,DOI 10.1109/ICCIMA.2007.294
[5] Roger Ferguson, Bogdan Korel,: The Chaining Approach for Software
Test Data Generation. In: 1996 ACM 1049-331 X/96/0100-0063
[6] Pressman, R.S,: Software Engineering: A Practitioners Approach. In:
McGraw Hill, 2002.
[7] K. K. Aggarwal and Yogesh Singh,: Software Engineering. In: New Age
International Publishers.
[8] Phyllis G. Frankl*, Elaine J. Weyukert: An Analytical Comparision of the
Fault-detecting Ability of Data Flow Testing Techniques. In: 1993 IEEE
Pages 414-424.
[9] Elaine J. Weyuker: An Empirical Study of the Complexity of Data Flow
[10] Testing. In: 1988 IEEE Pages 188-195.

270

DSRF and SOGI based PLL-Two Viable Scheme for

Grid Synchronization of DG Systems during Grid
Abnormalities
Binita Sen, Dushyant Sharma and B. Chitti Babu, Member, IEEE

Abstract- Distributed Generation (DG) System based on

renewable energy sources provides a good substitute to the
centralized power generation systems which consumes fossil fuels
and has imposed several problems on the environment. The safe
operation of DG systems requires proper synchronization with
power grids by using power electronics converters. The use of
Phase Locked Loop (PLL) is an important technique for grid
synchronization along with control optimization. This paper
presents a comparative study between Dual Synchronous
Reference Frame (DSRF) PLL based on synthesis circuit and
Second Order Generalized Integrator (SOGI) based PLL. The
comparative study has been made on the basis of how they track
the phase angle during different abnormal grid conditions like
voltage sag, line to ground fault and frequency deviations. The
results are obtained from MATLAB/SIMULINK environment
and are analyzed for feasibility of the study.
Index Terms Distributed Generation (DG) system, Grid
synchronization, Dual Synchronous Reference Frame (DSRF)
PLL, Second Order Generalized Integrator (SOGI) based PLL,
Quadrature Signal Generation.

I. INTRODUCTION1
The Distributed Generation (DG) systems based on
renewable energy systems which include solar power, wind
power, small hydro power etc. present a good prospect for the
future power demands. The most important aspect of DG
systems is their proper control so as to ensure sinusoidal
current injection into the grid. For this their proper
synchronization with the grid (utility voltage vector) is very
essential [1]. The information about phase angle of utility
voltage vector is very important especially to control the flow
of active and reactive power and to turn on and off power
devices [2]. Hence it should be tracked properly.
Phase Locked Loops (PLLs) are used as an important
technique for grid synchronization and to track the phase
1

Binita Sen, Dushyant Sharma and B. Chitti Babu are with the Department of
Electrical Engineering, National Institute of Technology, Rourkela-769008,
binita116@gmail.com,
dushyant.jjn@gmail.com,
India
(e-mail:
bcbabu@nitrkl.ac.in).

angle. For single phase synchronization Linear PLL is used,

whereas for three phase grid synchronization, PLLs based on
Synchronous Reference Frame (SRF) are used. But SRF PLL
fails to detect the phase angle for unbalanced conditions [3-4].
To detect the phase angle in abnormal grid conditions various
advanced PLL algorithms have been proposed like Double
Synchronous Reference Frame (DSRF) PLL based on
synthesis circuit proposed in [4], Decoupled Double
Synchronous Reference Frame (DDSRF) PLL proposed in [5],
etc. Enhanced PLL (EPLL) was proposed that synchronizes
the three phases separately and does not use the Synchronous
Reference Frame [6]. The PLLs based on Synchronous
Reference Frame uses Parks Transformation which takes two
orthogonal signals as inputs and generates constant voltages.
To generate orthogonal components Clarkes transformation is
employed [3-4]. The use of Second Order Generalized
Integrator (SOGI) was proposed as an alternative of Clarkes
transformation to generate orthogonal signals and then to use
it for grid synchronization. Dual Second Order Generalized
Integrator Frequency Locked Loop (FLL) was proposed as
an advanced method for grid synchronization [7-8]. Other
than orthogonal signal generation SOGIs can be used as
current controller, to eliminate harmonics [9] and to detect
multiple grid frequencies. Multiple Second Order Generalized
Integrator Frequency Locked Loop (MSOGI FLL) was
proposed in [10] which estimate not only the positive and
negative sequence components at fundamental frequency but
also other sequence components at multiple frequencies.
In this paper, a comparative study is made between DSRF
PLL (based on synthesis circuit) and SOGI based PLL for
phase angle detection under grid disturbances. Both the PLLs
can accurately detect the phase irrespective of the grid
conditions along with decoupling of positive and negative
sequence components. But the steady state and dynamic
response of the SOGI based PLL is better than DSRF PLL.
Further, it demonstrates how the two PLLs can track the phase
angle during some of the major abnormal grid conditions like
voltage unbalance, line to ground fault and voltage sag etc.

978-1-4673-0455-9/12/$31.00 2012 IEEE

271

The difference in response of the two PLLs is studied in

MATLAB/SIMULINK environment.
The organization of the paper is as follows: The paper
begins with the description and mathematical analysis of
DSRF PLL (based on synthesis circuit) in section II. In
section III, a detailed description and mathematical analysis of
SOGI based PLL is given. Section-IV presents the comparison
of results and discussion of DSRF PLL and SOGI PLL under
grid disturbances. The general conclusion followed by
references is revealed in section V.

The two frames rotate in positive direction and negative

direction respectively and detect the corresponding phase
angle simultaneously. The d-axis component from the Parks
transformation, which is the voltage amplitude in steady state,
is fed to the synthesis circuit. The synthesis circuit, as shown
in Fig. 3 is used to create decoupling signals. These
decoupling signals are used as feedback [4]. In rotating
reference frame, the inputs to the two Parks transformation
blocks are described by (1) and (2).

v v U cos

v v U sin

II. ANALYSIS OF DSRF PLL

(1)

and
Dual Synchronous Reference Frame PLL (DSRF PLL) is a
combination of two conventional SRF PLLs which are
separated by a synthesis circuit. This PLL decomposes the
voltage vector v into its positive and negative sequence
vectors (v+ and v- respectively) as shown in Fig. 1.

v U cos

v U sin

This gives the Parks transformation output for positive

sequence as,

cos( )
cos( )
v d
U

v U

q
sin( )
sin( )

(2)

At initial state 0 t , which reduces (3) to

(3)

v d
U U cos( 2 0 t )
v U

U sin( 2 0 t )
q

where

Fig. 1 Voltage Vector Decomposition (unbalanced voltage)

0 is

(4)

the approximate center angular frequency of

positive sequence component.

dq

V
a
b
c

abc

As it can be seen, there are some 2 ripples in the d-axis

component which is attenuated by using a low pass filter. The
decoupling of signals by the synthesis circuit begins when the
input to each PLL achieves its steady state (given by (5) and
(6)).

1
s

U A

d
q

v U cos

v U sin

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1
s

dq

(5)

and

v U cos

v U sin

(6)

Thus, the output signal distortions die out [4].

Fig. 2 Dual SRF PLL structure

III. ANALYSIS OF DOUBLE SOGI BASED PLL

vd

LPF U

U sin
dq sin
U cos
cos U

d
q

1
s

1
s

1
s

v'

Fig. 4 SOGI based Quadrature Signal Generation (QSG)

qv'

Fig. 3 Synthesis Circuit

used in DSRF PLL
abc

d
q

0
1
s

dq

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272

v a abc v SOGI
QGS
vb
v
SOGI
vc

QGS

v'
qv'

v '
qv'

v
1 / 2
v

vd
v
q

v
v

1/ 2

1/ 2

1/ 2

dq

IV. RESULTS AND DISCUSSION

PI

A. Response of DSRF PLL and SOGI based PLL Under Line

to Ground Fault
The results obtained from simulation for DSRF PLL and
SOGI PLL under line to ground fault are shown in Fig. 6. For
this study, the gain of PI controller was taken as Kp=67.5 and
Ki=100. The K value for QSG of SOGI was taken as 1. The
explanation for the study is given as follows.

v
0
v

dq PI

Fig. 5 SOGI based PLL structure

The PLL based on Second Order Generalized Integrator

(SOGI) also separates and perfectly detects the phase angle of
positive and negative sequence components but with a much
better dynamic response.
The PLL structure involves Quadrature Signal Generation
(QSG) with the use of SOGI as shown in Fig. 4. Two SOGI
based QSGs are used to obtain the in phase and quadrature
components of the axis (represented by

(a)

v' and qv'

respectively) and axis (represented by v ' and qv'

(b)

respectively) voltages. The and axis voltages for positive

and negative sequence components are calculated by the
following equations [8], [11], [12]:

v 2 (v' qv' )

1
v (qv' v' )
2

(7)

v 2 (v' qv' )

1
v (qv' v' )
2

(8)

(c)

(d)

The and axis voltages of the positive and negative

sequence components so obtained are fed to two separate
conventional SRF PLLs which separately obtain the d and q
axis voltages of the two sequence components and hence the
corresponding phase angles are properly detected. The d and q
axis voltages of positive sequence components are given by
(9) [4], [8], [12].

v d cos( ) sin( ) U cos( )

q sin( ) cos( ) U sin( )

U cos( )


U sin( )

(e)

(f)
(9)

Same relationship holds good for negative sequence. The

whole model of a DSOGI based PLL is shown in Fig. 5.
(g)

273

B. Response of DSRF PLL and SOGI based PLL Under

Voltage Sag
The simulation results of two PLLs under voltage sag are
explained in this section and are illustrated in Fig. 7.
(h)

(a)
Fig. 6 Simulation results obtained for DSRF PLL and SOGI based PLL under
line to ground fault (a) grid voltage waveforms (b) d-plus component of grid
voltage (c) d-minus component of grid voltage (d) q-plus component of grid
voltage (e) q-minus component of grid voltage (f) detected angular frequency
of positive sequence component (g) detected angular frequency of negative
sequence component (h) detected phase angle of positive sequence component
(i) detected phase angle of negative sequence component

Fig. 6(a) shows the input to the system when line to ground
fault occurs. The system was initially in balanced condition
(having amplitude 1.5V). Line to ground fault occurs at time, t
= 0.4sec. At this instant the phase voltage of two of the phases
reduces and remains at an amplitude of 1.3V. The system
regains its balanced state at time, t = 0.5 sec. Fig. 6(b) shows
the d axis voltage of positive sequence component. For both
DSRF and SOGI PLL the d axis voltages are constant at the
amplitude of the input signal during balanced input but during
unbalance the voltage reduces slightly. Even in this case the
voltage given by SOGI PLL is constant but the voltage given
by DSRF PLL has got some negligible oscillations. The
transients are observed with DSRF PLL when input voltage
changes but with the SOGI PLL the transient oscillations are
absent and the d axis voltage achieves its final value
smoothly. For both the PLLs the final value is same. The d
axis voltage for negative sequence component (Fig. 6(c)) also
maintains its constant value other than very small transients
that occur for DSRF PLL at time t = 0.4 sec and 0.5 sec. The q
axis voltages for positive sequence (Fig. 6(d)) and negative
sequence (Fig. 6(e)) maintain a value which is almost equal to
zero value at all instants but some oscillations are observed in
case of DSRF PLL. Similar nature is observed for angular
frequencies of positive sequence and negative sequence
components which maintain their constant value at 100 and 100 (Fig. 6(f) and Fig. 6(g) respectively) with some
oscillations in the case of DSRF PLL and almost no
oscillations in case of SOGI PLL. As a result of constant
angular frequencies the detected phase angle is perfectly
triangular for both positive (Fig. 6(h)) and negative sequence
(Fig. 6(i)) for both the PLLs. The detected phase changes
linearly from 0 to 2 in each cycle for positive sequence and 0
to -2 for negative sequence.

274

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(a)

Fig. 7 Simulation results obtained for DSRF PLL and SOGI based PLL under
voltage sag (a) grid voltage waveforms (b) d-plus component of grid voltage
(c) d-minus component of grid voltage (d) q-plus component of grid voltage
(e) q-minus component of grid voltage (f) detected angular frequency of
positive sequence component (g) detected angular frequency of negative
sequence component (h) detected phase angle of positive sequence component
(i) detected phase angle of negative sequence component

(b)

As shown in Fig. 7(a), voltage sag occurs at time t = 0.3 sec

when voltage amplitude of all three phases reduces to 0.45V
from their initial amplitude of 0.5V. The original value of
amplitude is regained at 0.4 sec. The d axis voltage of positive
sequence component, equal to the amplitude of input signal is
shown in Fig.7 (b). Smooth change is observed for SOGI PLL
as compared to oscillations in DSRF PLL, whereas the time
taken to achieve new value after switching is less in case of
DSRF PLL. Similarly the d axis voltage of negative sequence
component, as shown in Fig. 7(c) maintains its constant zero
value but oscillations are observed for DSRF PLL. The q axis
voltage of positive sequence component (Fig. 7(d)) remains
constant at a value very close to zero. Likewise the q axis
voltage of negative sequence component remains constant at
zero (Fig. 7(d)). The DSRF waveform for both the q axis
voltages contain some oscillations, while in the other case it is
almost straight line and oscillations are very less. The angular
frequencies for both the components have same nature as the q
axis components. The values are almost constant at 100 and 100 (Fig. 7(f) and Fig. 7(g)) with some small oscillations
observed in case of DSRF PLL. As a result of constant
angular frequencies, the detected phase for both the sequence
components is perfectly triangular (Fig. 7(h) and Fig. 7(i)) for
both the two PLLs.

(c)

C. Response of DSRF PLL and SOGI based PLL Under

Frequency Deviation
This section explains the response of two PLLs during
frequency deviation and the corresponding results are shown
in Fig. 8.

(d)

(e)

(f)

(g)

(h)

275

conditions. This is due to the fact that, the estimated phase

(sin(wt) and cos(wt)) by SOGI based PLL is perfectly
sinusoidal and it takes less computation time at the time of
real-time implementation in DSP or FPGA environment.
REFERENCES
Fig. 8 Simulation results obtained for DSRF PLL and SOGI based PLL under
frequency deviation (a) grid voltage waveforms (b) d-plus component of grid
voltage (c) d-minus component of grid voltage (d) q-plus component of grid
voltage (e) q-minus component of grid voltage (f) detected angular frequency
of positive sequence component (g) detected angular frequency of negative
sequence component (h) detected phase angle of positive sequence component
(i) detected phase angle of negative sequence component

To study the response of frequency deviation, the frequency

of the input signal is changed from 50 Hz to 52 Hz at 0.3 sec
as shown in Fig. 8(a). Fig.8 (b) and Fig. 8(c) illustrates the d
axis voltages of the two sequence components. The d axis
component of negative sequence contains oscillations in case
of DSRF PLL when frequency changes while the oscillations
are very less in the case of SOGI PLL. The same nature is
observed for q axis voltages (Fig. 8(d) and Fig. 8(e)) and
hence for the angular frequencies (Fig. 8(f) and Fig. 8(g)) of
the two components too. The angular frequencies are almost
constant at 100 and -100. Though negligible, but the
harmonic oscillations in case of DSRF PLL are more than the
SOGI PLL. The almost constant natures of angular
frequencies result in the perfect triangular detection of phase
angles (Fig. 8(h) and Fig. 8(i)).
V. CONCLUSIONS
The paper presents the comparative analysis of Dual
Synchronous Reference Frame (DSRF) PLL based on
synthesis circuit with Second Order Generalized Integrator
(SOGI) based PLL for detecting the phase during major grid
abnormalities like voltage sag, line to ground fault and
frequency deviations. From this study, it can be seen that,
DSRF PLL detects the phase angle by decoupling the positive
and negative sequence components and tracking the
corresponding phase angles, the SOGI based model uses
Quadrature Signal Generation (QSG) followed by separate
tracking of positive and negative components. Unlike the
former one, for the later model the positive and negative
sequences are independent to each other. Further, the
transients response of SOGI based PLL during grid
abnormalities is better than DSRF PLL, even though both the
PLLs can detect the phase angles accurately. However, the
phase angle detection of the two sequence components is
more accurate as in the case of SOGI PLL due to less
harmonic oscillations during the steady state and transient

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276

Laser Assisted Rapid Manufacturing

Technique for the Manufacturing of
Functionally Graded Materials
Amit Joshi, Amar Patnaik, Brijesh Gangil and Sandeep Kumar

Abstract-- Functionally Graded Material (FGM) is a material

with engineered gradients of composition, structure and/or
specific properties aiming to become superior over homogeneous
material composed of same or similar constituents. In the recent
years, research has been undertaken on manufacturing of
functionally graded materials (FGM) using numerous techniques
like powder metallurgy, melt processes, centrifugal casting,
electrophoretic deposition, spark plasma sintering, physical vapor
deposition, chemical vapor deposition etc. Most of these
techniques may be well suited for a specific application yet they
suffer from one or more limitations like lower graded thickness,
low deposition rate, complexity in process requirement, or high
processing cost. To circumvent these limitations innovative
technique called laser assisted manufacturing technique is applied
for manufacturing functionally graded materials. Three methods
that employ Laser for synthesis of FGM is elaborated in this work
(i) 3-D Laser Cladding, (ii) LENS and (iii) Selective laser
sintering. Laser Cladding is used for obtaining coatings of FGM
by direct powder injection into the laser beam. 3-D Laserengineered net shaping (LENS) is used to fabricate FGM directly
from CAD solid models and thus further reduce the lead times for
metal art fabrication. Selective laser sintering (SLS) is a layered
manufacturing based freeform fabrication approach for
constructing three dimensional structures in functionally graded
composites. All these methods are used to manufacture FGMs in a
short interval of time and the process can be controlled digitally,
thus all these methods come in the heading of rapid
manufacturing (RM). These methods have a huge industrial
potential and can be commercialized for manufacturing bulk
FGM.
Index Terms--FGM, 3-D laser cladding, LENS, selective laser
sintering, manufacturing techniques.

forward for reducing thermal stress [1, 2]. FGM are a recent
development in composite materials and such heterogeneous
structure or assembly can be developed by vapor deposition,
plasma spraying, electrophoretic deposition, controlled powder
mixing, slip casting, metal infiltration, etc. A laser-based
approach may be more versatile than the above mentioned
routes in developing FGM [3]. LASER is a coherent and
monochromatic beam of electromagnetic radiation that can
propagate in a straight line with negligible divergence and
occur in a wide range of wavelength, energy/power and beammodes/configurations. As a result, lasers find wide
applications in the mundane of the most sophisticated devices,
in commercial to purely scientific purposes, and in life saving
as well as life-threatening causes. One of the most recent
applications of laser in material processing is development of
rapid prototyping technologies, where, lasers have been
coupled with computer controlled positioning stages and
computer aided engineering design to enable new capability
[4]. This development implies that manufacturers are no longer
constrained to shape metals by removal of unwanted material.
Instead, components can now be shaped into near net shape
parts by addition-building the object in lines or layers one after
another. The fabrication of conceptual and functional
prototypes is establishing in the market rapidly. The current
future trend is shifting towards rapid manufacturing (RM), thus
eliminating the need for most prototype tooling and production
tooling.
This paper reports three main techniques for the development
of graded structures along with its distinct advantage and
limitations.
II. THREE DIMENSIONAL LASER CLADDING

I. INTRODUCTION

UNCTIONALLY gradient materials (FGM) are materials

that have a gradual variation of material properties from
one end to another. The concept of FGM was first put

Amit Joshi is with the Department of Mechanical Engineering, Govindh

Ballabh Pant Engineering College, Pauri Garhwal-246194, India (e-mail:
amitattafe@gmail.com).
Amar Patnaik is with the Department of Mechanical Engineering, National
Institute of Technology (NIT), Hamirpur-177005, India (e-mail:
patnaik.amar@gmail.com).
Brijesh Gangil and Sandeep Kumar are with the Department of Mechanical
Engineering, Govindh Ballabh Pant Engineering College, Pauri Garhwal246194,India (e-mail:brijeshgangil@gmail.com, sandeepagra06@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

It is also known as laser generating. Laser cladding is a

technique used to coat a substrate with a layer of other
materials to improve surface properties such as resistance to
corrosion, erosion or wear. Here the powder is coaxially
delivered in a gas jet through nozzles with the laser beam
(perpendicular to the substrate). The powder beam axis may
also form an angle between them (usually from 0 to 45).
The process typically involves blowing a powder mixture
pneumatically into the laser melted zone [5-7]. The processing
parameters such as laser power, transverse speed, and powder
flow rate are controlled to achieve the required thickness with
minimum dilution from the substrate. The two main laser
cladding (and alloying) techniques are:

277

A. Pre-Placed Powder
Here powder is preplaced on the substrate with a binding
agent to stick the powder into place until it is melted by the
laser beam. The whole process is normally shrouded in an inert
gas such as argon. It has a small operating region of process
parameters where low dilution and a good fusion bond is
possible.
B. Blown Powder
It has a much larger operating region. Powder is blown
directly into a laser generated melt-pool as it scans across the
surface of the substrate. The powder melts and a clad track is
built up. Complete coverage is achieved by overlapping the
tracks.

circumference of the head either by gravity, or by using an

inert, pressurized carrier gas. Even in cases where its not
required for feeding, an inert shroud gas is typically used to
shield the melt pool from atmospheric oxygen for better
control of properties, and to promote layer to layer adhesion
by providing better surface wetting. Most system use powder
feed stocks, but there has also been work done with material
provided as fine wires [10]. In this case the material is fed offaxis to the beam. The building area is usually contained within
a chamber both to isolate the process from the ambient
surroundings and to shield the operators from possible
exposure to fine powders and the laser beam. The laser power
used varies greatly, from a few hundred watts to 20KW or
more, depending on the particular material, feed-rate and other
parameters. Objects fabricated are near net shape, but
generally will require finish machine. They are fully dense
with good grain structure, and have properties similar to, or
even better than the intrinsic materials.

Fig. 1 Schematic diagram of Laser Cladding

The laser cladding process utilizes little laser power of range 1

to 4Kw and a metallic substrate is needed for the process. The
melting point of substrate should be enough so that it will not
get melted by the laser. The typical process is dependent on
the factors like intermetallic phase at the interface, overlapping
of the substrate clad, wettability, powder feeding rate, relative
positions of laser beam waist and nozzle outlet and laser power
density. The surface finish thus produced is good.
III. LASER ENGINEERED NET SHAPING (LENS)
It is a technology that is gaining importance and in early
stages of commercialization. Its strength lies in the ability to
fabricate fully dense metal parts with good metallurgical
properties at reasonable speeds. A high power laser is used to
melt metal powder supplied coaxially to the focus of the laser
beam through a deposition head. The laser beam typically
travels through the centre of the head and is focused to a small
spot by one or more lenses. The X-Y table is moved in raster
fashion to fabricate each layer of the object [8-9]. Typically
the head is moved up vertically as each layer is completed.
The laser beam may be delivered to the work by any
convenient means like right angle mirror or fibre optics. Metal
powders are delivered and distributed around the

Fig. 2 Schematic diagram of LENS technique

Objects fabricated by LENS are near net shape and doesnt

require secondary operations and a dense FGM with good
grain structure and properties similar or even better than the
intrinsic materials can be achieved. . It provides better control
of properties and promotes layer-to-layer adhesion through
better surface wetting. Fine wires can also be used instead of
powder by feeding material off-axis to the laser beam. Laser
power varies from few hundred watts to 20KW or more
depending on the particular material, feed rate, and other
parameters. LENS offers few limitations to the material to be
fabricated including reactive materials like titanium.
IV. SELECTIVE LASER SINTERING
It was developed in the late 1980s as layer manufacturing
process that was used for rapid prototyping. Later on it also
becomes a common technology to produce products for long
term use. SLS have the potential to be ideal technique to
automatically build complex components using material
gradation [11]. SLS creates objects directly from CAD models
using a layer-by-layer material deposition and consolidation

278

approach [12]. Thin layers of powders are successively

deposited and selectively fused using a computer-controlled
scanning laser beam that scans patterns corresponding to slices
of the CAD model. With appropriately designed powder
deposition systems, this approach allows deposition systems;
this approach allows successive layers but also within each
layer, enabling the manufacture of FGM components. In this
process a thin layer of powder is first deposited from the raised
part build cylinder onto the part-build area. The laser beam
guided by the galvano mirrors is scanned onto the powder bed
to from solidified/sintered layers [13]. The powder in other
areas remains loose and acts as a support. After building-area
drops one layer thickness (typically 0.02-0.1mm) another
powder layer is deposited. The cycle is repeated until the 3-D
part is complete. The fabrication chamber is closed and the
process is performed in an inert atmosphere (nitrogen or
argon) to avoid oxidation. For good powder flow and
spreading the particle size should be in the range of 10-150m.
By this technique three dimensional parts with one
dimensional material gradient in a single run can be processed
[14].

by powder metallurgy can be formed. Direct fabrication of

graded products of high density and excellent mechanical
properties is possible by using these techniques. The three
process discussed have their distinct advantages and
limitations. In 3-D laser cladding thin single track of clad is
possible, in LENS nearly a net shape product with better
mechanical properties is achieved and nearly all materials can
be fabricated. While in SLS toughest components can be
produced without post curing.
V. REFERENCES
[1]
[2]
[3]

[4]
[5]

[6]

[7]

[8]

[9]

[10]

[11]

[12]
Fig. 3 Schematic diagram of SLS technique

SLS produces the toughest components compared to other

processing techniques. Different parts can be built right on top
of others and the left over powder can be reused. No post
curing processes are needed and a relatively short production
time (approximately 1 inch/hr) is possible. Due to stair step
effect a rough surface finish is produced and the components
are less detailed due to a high processing temperature and high
shrinkage. SLS offers freeform construction and localized
control of the process parameters and composition as
compared to other techniques [15].

[13]

[14]

[15]

V. CONCLUSION
Laser assisted technology shows considerable progress to
meet the challenge for fabrication of complex shape functional
models from commercial metallic powders. One of the
principle criteria is the accuracy of fabrication with respect to
the desired dimensions of the final product. With this
technology, materials that cannot be consolidated successfully
279

Koizumi, M. (1997). FGM Activities in Japan, Composites Part B, 28B.

M. Sasaki, T. Hirai (Eds.), Proceedings of the First International
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Shishkovsky I. V. Syntehsis of the functional tools from graded
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Wiehua-Wang W, Holl M R, Schwartz D T, 2001; J. electrochem. Soc.
148: C363-C368.
J. H. Abboud, R. D. Rawlings and D. R. F. West; Functionally graded
nickel-aluminide and iron-aluminide coatings produced via laser
cladding; Journal of Materials Science 30 (1995) 5931-5938.
Y. T. Pei, V. Ocelik and J. H. M. DE Hosson; SiCp/Ti6A14V
functionally graded materials produced by laser melt injection; Acta
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Develpoment of W/Cu-functionally graded materials; Fusion
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TiC/Ti composites by laser engineered net shaping; Scripta Materialia
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Application of Laser Engineered Net Shaping (LENS) to manufacture
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stiffness porous Ti structures for load bearing implants; Acta
Biomaterialia 3 (2007) 997-1006.
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Ahrens; Proceedings of the solid free form fabrication symposium, The
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I. Shishkovsky, V. Scherbakov and A. Petrov; Laser Synthesis of the
functional graded filter elements from metal-polymer powder
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bead particulate-filled functionally graded Nylon-11 composites
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Henrique Ahrens; Microstructural characterization and mechanical
properties of functionally graded PA12/HDPE parts by selective laser
sintering; Int j Adv Manuf Technol. 2011.

A Robust Approach to Prevent Software Piracy

Ajay Nehra, Rajkiran Meena, Deepak Sohu, and Om Prakash Rishi

Abstract-- Software piracy is a main concern in todays world.

Many techniques are proposed and implemented to stop it. In
this paper we are refining a newly proposed technique Software
Piracy Prevention through SMS Gateway to make it more stable and effective against piracy. The targeted approach is based
on SMS gateway service to install software on a system, but the
technique left some problems untouched i.e. issues related to
MAC address, time offset and Man in the middle attack (MiTM)
[1]. In refined approach the server will initiate authentication
process instead of client at regular time intervals, and this facility
increase the effectiveness of the technique.
Index Termspiracy, Anti-piracy, software protection, piracy
prevention, SMS gateway,

I. INTRODUCTION

NLAWFUL creation and distribution of any software is

considered as software piracy and that resultsviolation of
software copyright. The roots of software piracy may lie in the
early 1960s, when computer programs were freely distributed
with mainframe hardware by hardware manufacturers. In the
late 1960s, manufacturers began selling their software separately from the required hardware.
Some file sharing programs like bit torrent and napster
are also contributing in software piracy. According to the BSA
statistics, the piracy rate is increased from 2% to 43% inshort
span, just because of the highly demanded PC market in developing countries like INDIA, CHINA, and BRAZIL. As of
2008, piracy practices have reached considerable levels in
France, wherein the piracy rate is estimated at 45 % and the
calculated loss of income for software developers was about
2.9 billion Euros [2].

key (Dongle) to use software. The dongle significantly increases the level of security in a non-linear way, because a
hardware key is an external device that is controlled and protected by the security solution provider and not the end-user
[4].
Another approach is Client Side Component (CSC) that can
be integrated with any software. In this approach, CSC is delivered to the software developerwhich is integrated in the partially developed software and the final product (software with
integrated CSC) is delivered to the client. Now client makean
activation request to install the software through internet by
sending unique set of hardware characteristics of client machine. Then Server side Component collects the secure information and store it in the SoftLock data store on the system.
Activation command is send from the server based software to
the client [5].
In some other approach, software piracy is prevented by the
use of software birthmark i.e. set of intrinsic characteristics of
software program or program module. In this approach, a
birthmark is created for each software and then compared to
other software birthmarks to estimate the similarity between
them [6].
To prevent copyright infringement, a smart approach is
proposed to makeevery system only beable to read copyright
information. This may require some new hardware in our existing system but itwill improve the efficiency of system
against pirated documentsandcan block the access of data [7].
The most recent technique suggestedfor preventing software piracy Software Piracy Prevention through SMS
Gateway is used to communicate with the authentication
server by user system.
III. ISSUES IN SOFTWARE PIRACY PREVENTION THROUGH SMS
GATEWAY APPROACH

II. RELATED WORK

Many approaches are proposed and implemented to prevent
software piracy, but still no approach is completely able to
stop this work [3]. Some people gave the concept of hardware
Ajay Nehra is M.Tech. Student in Department of Computer Science and
Engineering, Central University of Rajasthan, Kishangarh, India (e-mail:
ajayaman@curaj.ac.in).
Rajkiran Meena is M.Tech. Student in Department of Computer Science
and Engineering, Central University of Rajasthan, Kishangarh, India(email:rajkiranmeena@curaj.ac.in).
Deepak Sohu is M.Tech. Student in Department of Computer Science and
Engineering, Central University of Rajasthan, Kishangarh, India (e-mail:
deepak.sohu@gmail.com).
Om Prakash Rishi is with the Department of Computer Science and Engineering, Central University of Rajasthan, Kishangarh, India (e-mail: omprakashrishi@yahoo.com).

Normally software piracy prevention approaches consider

the issues related to MAC address, time offset, and man in the
middle attack (MiTM). But in this approach these issues remain untouched. The targeted approach use XORing of entities like date, MAC address but may interpret ambiguously.
A. MAC Address
MAC address of any machine depends on itsNIC card. If
a machine is having two or more NIC cards then it will not
have unique MAC address. Suppose a machine having a LAN
card and a wireless card then for each NIC ithas a unique
MAC address and it will be effective accordingly[8]. So if any
user installs the software second time on thatmachine using

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280

different NIC card then it will show an error message, and that
is not fair for client machine.
B. Time Offset
As we know, the time in UTC clock system varies from
location to location and so does the date. In targeted approach,
XOR of date and MAC address is sendto the server and in
response server sends XOR of unique id and server date to the
client. Date on client and server side may vary due to different
time offset on different geometric locations. Whenever server
tries to retrieve the MAC address (by XORing the received
digest and current local server date) it may misinterpret and
will get wrong MAC address for that machine. In another case
when server sends the digest of unique code and current date
then user machine may also misinterpret the unique code and
whenever client enter the unique code in installing process,
the process will terminate with an error message that the
unique code is not correctand a genuine user will not get the
services he required.
For e.g. Suppose a software is installed in new Delhi
(UTC+05:30) and the verifying server is in USA Alaska
(UTC-09:00).Lets assumethe date and time is (23rd August
2011) and 12:31in Delhi, at the same time USA Alaska server
will show the time 22:01and date 22nd August 2011.So if client is installing on the above mentioneddate and time, the
server will interpret the wrong MAC of the machine. And in
the same case whenever client will get the XOR of unique id
and date then client will also misinterpret the unique id and
error message encounters.

what should be done next. Figure 1 shows overall flow of the

system.

Fig. 1.Overall flow of the system

In proposed technique, at the time of purchasing software,

authentication server maintains serial number SN and a mobile number MN association. Server starts the process by
sending periodic challenge to each of itsclient on registered
mobile number by sending server time stamp Ts along with
hash of time stamp H{Ts} which is encrypted by private key
of server SKr i.e. server sends Ts+E(SKr,H{Ts}) which provides integrity with authentication and then server waits for
response from client. Client receives challenge and compare
received H{Ts} with D(SKu,E(SKr,H(Ts))) or decrypted hash
of server timestamp with public key of server i.e. SKu. Otherwise, if client will not receive challenge at fix period or received hash is not equal to calculated hash i.e. challenge is
tempered, software Uninstallation process starts.

C. Man in the Middle Attack (MiTM)

In this approach, no one focuson data security in transmission mode. A third person can easily capture all the data
packets and can easily get the unique code without actually
buying the product [9].
Initially, whenever the client send the XOR of the current
date and MAC of its machine, the middle person simply captures the packet and can retrieve the MAC of that machine by
XORing the current date with the captured data and save it for
future attack. Now whenever the server sends the packet with
the product (XOR of unique id and current date), the middle
man can also capture the packet and can retrieve the unique
code by simply XORing the current date with the captured
data. The middle man has the unique id (only necessary item
to run the software) without actually paying for it.
IV. PROPOSED APPROACH
The most recentapproach discussed, uses SMS gateway in
order to overcome from the problem of software piracy but
still unable to prevent software piracy completely. In this paper, we are suggesting an approach that dependson server
based challenge in which server initiates the authentication
process and identify the genuine software copy. Server starts
the process by sending the authentication challenge to client
then client will response to it and server will verify the response. After getting expected reply from client, server will
send status message to client by whichclient machine decides

Fig. 2.Server side flow diagram.

Client will send response which includes timestamp for client Tc, Ts, serial number SN, random number RN (client
software generates random number for every challenge) and
E(CKr,H{Tc+Ts+SN+RN}) where CKr is client private key.
Server checks for authentication of response by decrypting the
hash with client public key CKu and integrity by calculating
hash and comparingit with decrypted hash. If

281

H{Tc+Ts+SN+RN} is not equal to D(CKu,E(CKr,

H{Tc+Ts+SN+RN})) or SN associated with different mobile
number MN then server will prepare a STATUS message
Tc+Ts+RN+STATUS_ FAIL which is encrypted with CKu to
provide confidentialitythen generate its hash i.e.
h{Tc+Ts+RN+STATUS_FAIL} to provide integrity
and
finally encrypt it using private key of server i.e. E(SKr,
h{E(CKu,Tc+Ts+RN+STATUS_FAIL)}) to provide authentication and then sends itto the client. Otherwise, server will
send
E(CKu,Tc+Ts+RN+STATUS_SUCCESS)+E(SKr,H{
E(CKu,Tc+Ts+RN+STATUS_SUCCESS)}) on service providing server number through SMS. Figure 2 and 3 are systematic flow chart of server and client respectively.

V. THEORETICAL PROOF FOR CORRECTNESS

Lets just break the whole process into steps and verify
each step in reverse order. After client receives
Ts+E(SKr,H{Ts}), it can verify authenticity of sender by
decrypting hash using key SKu and integrity of timestamp
Ts by comparing the calculated and received hash, that
means no fake server no fake request. Now if server receives Tc+Ts+SN+ RN+E(CKr,H{Tc+Ts+SN+RN}) it will
ensure about Clients authenticity and integrity in same explained way, which means no replay attack. Again client
will ensure about false response in the same way.
Proof is purely theoretical and can be verified by using
any asymmetric encryption/decryption algorithm.
VI. CONCLUSION AND FUTURE WORK
In this paper, we proposed a SMS gateway based technique,
checking the authenticity of the Software atevery fixed time
interval gives it advantage to identify fake unauthorized users.
And then blocking such installed software save software companies from huge loss. But a manual response for each S/W in
the client machine will be a tedious task thereforewe need to
find anautomation process.

REFERENCES

Fig. 3.Client side flow diagram.

Client software checks STATUS message authentication,

integrity and retrieve decrypted STATUS. If Status is
_SUCCESS and received RN, Tc, Tsare same as sent then s/w
will run uninterrupted for next challenge or otherwise software will uninstall.
The proposed technique is implemented theoretically and is
under the procedure of experimental implementation. The
experimental results will be discussed in the subsequent publication.

[1] Abhinav Kumar, Anant Kumar Rai, Ankur Kumar

Shrivastava, DhirendraYadav, Monark Bag andVrijendra
Singh,Software piracy prevention through sms gateway,
Networks and Intelligent Computing 5th International
Conference on Information Processing ICIP 2011.
[2] Busniss Software Alliance, Eighth annual bsaglobal software2010 piracy study,May 2011.
[3] AttayaHeger,Software piracy and producers developers
strategies, June 2009.
[4] Ireneusz J. Jozwiak and KrzysztMarczak,A hardwarebased software protection systems analysis of security
dongles with time meters, Dependability of Computer
Systems, DepCoS-RELCOMEX '07, 2nd International
Conference, June 2007.
[5] SaadiaMumtaz, SameenIqbal and Engr. IrfanHameed,
Development of a Methodology for Piracy Protection of
Software Installations, 9th International Multitopic Conference, IEEE INMIC, Dec. 2005.
[6] YasirMahmood,Zeeshan Pervez, SohailSarwar and Hafiz
Farooq Ahmed,Method Based Static Software Birthmarks: A New Approach to Derogate Software Piracy,2nd International Conference on Computer, Control
and Communication, IC4 2009, Feb. 2009.
[7] Shamos Michael, Machines as readers: A solution to the
copyright problem,Journal Of Zhejiang University Science 2005, pp. 1179-1187.
[8] MAC address, en.wikipedia.org/wiki/MAC_address.
[9] Alberto Ornaghi and Macro Valleri,Man in the Middle
Attacks Demos,BlackhatConference USA-2003.

282

Interference Cancellation and BER

Improvement in a Wireless Network Using
Network MIMO
Abhisek Patra, Prasanna Kumar Sahu,Smita Parija and Bhaktapriya Mohapatra
(MIMO) techniques to be part of any future solution.
In particular, this paper will focus on a family of MIMO
techniques called Network MIMO and their ability to improve
spectral efficiency in uplink by reducing interference.
Network MIMO is also a powerful tool for increasing data
rates but that was left as topic for future research.

Abstract This paper outlines the current state of Network

MIMO as a viable technique for increasing the performance of
wireless communication systems by cancelling the intercell
interference in the near future. It also presents the results of a
simulation environment designed to compare the BER
performance capabilities of a wireless multiuser OFDM systems
with and without the use of Network MIMO. Simulations
confirm that Network MIMO techniques can result in significant
reductions in interference. Network MIMO is a family of
techniques where each user in a wireless system is served through
all the access points within its range of influence. Taking prior
information theoretic analyses of MIMO to the next level, this
report quantify the spectral efficiency gains obtainable under
realistic propagation and operational conditions. The results
confirm that Network MIMO stands to provide a multiple fold
increase in spectral efficiency by cancelling intercell interference
and reducing Bit-Error-Rate under such conditions.

II. THEORY
The goal of this project is to investigate the ability of
Network MIMO techniques to increase data rates in multi-user
indoor wireless networks of various sizes. This is inspired by
the work done in [1-3] but I have used a more simplified
communication model.
A virtual indoor wireless system, consisting of a fixed
wireless environment and base stations but a variable number
of randomly placed users will be created. Furthermore, to
facilitate the coordination between access points, we postulate
an indoor deployment organized around a Gigabit-Ethernet
backhaul. Using an approximation of the Wi-MAX
communication system those users will then be allowed to
communicate at a fixed SNR or transmit power. By comparing
the average data throughput of all users with Network MIMO
to those without Network MIMO the performance advantages
can be determined as a function of the number of users. Least
squares channel estimation shall be used to perform the
necessary matrix inversions for the network MIMO.
These MIMO systems rely on coordination between
transmit and receive antennas as well as spatial diversity to
distinguish between multiple interfering signals. This type of
multiple access scheme is called space division multiple
access (SDMA) and it does not require users to distinguish
them self in the frequency, time, or code domains. But it does
require multiple receive and transmit antennas. The SDMA
topology can be seen in Figure 1.

Index TermsNetwork MIMO, Intercell Interference, Access

point, BER, Spectral efficiency, Simulation.

I. INTRODUCTION
Today as wireless systems continue to surge in demand,
there has been growing pressure for system designers to
develop networks that will support more users at faster rates.
Current proposals for 4G and Wi-MAX systems require
multiple fold increases in data rates. While, the number of
wireless customers in next generation systems continues to
grow.
In addition, present day techniques for reducing
interference, allowing for more users, and increasing data
rates are fast approaching there theoretical limits. Frequency
reuse in most wireless systems is near one and
present day power control techniques allow for precise control
of interference in most circumstances.
These factors have motivated researchers to explore new
means for increasing data rates, improving spectral efficiency,
and reducing interference. Although there are several ways to
overcome these challenges, recent studies

A. Network MIMO
Network MIMO is a means of coordinating and
processing the information gathered from multiple- input
multiple- output (MIMO) communication systems to increase
spectral efficiency, robustness, and data rates. These
properties make it a topic of great interest in the near future as
the number of wireless users continues to grow and their

Authors are with the Department of Electrical Engineering, National

Institute of Technology, Rourkela(Email: pabhisek87@gmail.com,
ksahu@nitrkl.ac.in).

have highlighted the potential of multi input multi output

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283

individual demands on bandwidth climb. Systems employing

Network MIMO capitalize on the fact that intercell
interference, a major problem for dense wireless systems, is a
superposition of signals. With careful coordination between
receivers (and transmitters) these superposition can be
decoupled and the information they contain can be utilized.

Y1( fj ) [ k ]
Y2 ( fj ) [ k ]
.
.
( fj )
YN r
[k ]

Yi ( fj ) [ k ]

(1)

For all k, (k=1, 2, , L) and all j, (j=1,2, ,Nc). Where

Nr is the number of access points, in this case sixteen, L is
the length of the transmitted message, and Nc is the number
of subcarriers, 256 in this scenario.
Similarly letting, X i ( fj ) [ k ] represent the kth signal sent
from transmitter i at frequency j, we can group all the
transmitted signals into collection of matrices (just as before).

x1( fj ) [ k ]
x2 ( fj ) [ k ]

Useful transmission over a set of frequency, time or code S1

Useful transmission over a set of frequency, time or code S2
Note: S1 & S2 are not mutually exclusive, Orthogonal & having
Low autocorrelation

X i ( fj ) [ k ]

(2)

.
.
xNt

Fig. 1: Illustration of MIMO interference Control method between user &

Access point in a cell based wireless environment.

( fj )

[k ]

For all k, (k=1,2, , L) and all j, (j=1,2, , Nc). Where Nt

is the number of users, in this case sixteen, L is the length of
the transmitted message, and Nc is the number of
subcarriers, 256 in this scenario. Given these conventions, it is
most logical to define a channel matrix, H, as follows:

Significant research has been done to characterize the

various performance gains that can be achieved through the
use of Network MIMO technology. However, the ability of
Network MIMO systems to increase data rates and good
throughput to me, appears the most promising. It is for this
reason this project will focus on data rate performance of
networked MIMO and non- networked MIMO systems.

hr1t1( f 1) [k ] hr1t 2 ( f 1) [k ] . . hr1tNt ( f 1) [k ]

hr 2t1( f 1) [k ] hr 2t 2 ( f 1) [k ] . . hr 2tNt ( f 1) [k ]
H ( fj ) [k ]

III. PROBLEM FORMULATION

The simulated system was modeled after an OFDM multipoint access MIMO network. The environment consisted of
sixteen, six by six meter square cells, with each cell containing
an access point at its centre and a randomly placed user within
its perimeter. All users were allowed to transmit over the
entire systems frequency range. This was done to mimic the
interference patterns in a network with frequency reuse of one.
Also, each user and access point processed a single transmit
and receive antenna. The physical layout of simulation
environment can be seen in Figure 3.
The scope of this project shall be on uplink exclusively, the
state of the channel shall be assumed to be dynamic at the cost
of a fixed number of pilot symbol overhead and all base
stations will be assumed to be perfectly synchronized in time
and phase.
( fj )
Letting, Yi [k ] represent the kth detected signal at access

. .

. .

(3)

hrNt1( f 1) [k ] hr1t 2( f 1) [k ] . . hrNrtNt ( f 1) [k ]

For all k, (k=1,2, , L) and all j, (j=1,2, , Nc). Where

hritj

( fj )

[ k ] represents the channel coefficient between access

point i and user j at time symbol k and at frequency l.

Each of these coefficients represents the effect of pathless,
frequency-selective fading, and shadowing. The channel
coefficients themselves were defined as:

hritj ( fj ) [k ]

point i and frequency j, we can group all the received

signals into a set of matrices

rritj ( fj ) [k ] ( S ritj ) (

Dritj
Dref

For all k, (k=1, 2, , L) and all j, (j=1,2, , Nc).

284

(4)

selective fading in the channel between access point i and

user j at time symbol k and at frequency l; S ritj

in the receiver. Note that the original symbol X [k ] has

duration of Ts, but its length has been extended to
Tsym NTs by transmitting N symbols in a parallel form.

represents the effects of shadow fading on the channel

between access point i and user j; is the reference SNR

The OFDM symbol corresponds to a composite signal of N

symbols in a parallel form, which now has duration of Tsym .

desired by the transmitter at some reference distance Dref .

Meanwhile, it has been shown that this multi-carrier

modulation can be implemented by IFFT and FFT in the
transmitter and receiver, respectively.

Where rritj

( fj )

[ k ] represents the effects of frequency

Where Dritj is the distance between access point i and

user j; and is the path-loss exponent.
Taken together, these naming conventions allow us to
express the system of equations relating X and Y in matrix
form as shown below.

Yi ( fj ) [k ] H ( fj ) [k ]* X i ( fj ) [k ] Ni ( fj ) [k ]

V. CHANNEL ESTIMATION

In an OFDM system, the transmitter modulates the

message bit sequence into PSK/QAM symbols, performs IFFT
on the symbols to convert them into time-domain signals, and
sends them out through a (wireless) channel. The received
signal is usually distorted by the channel characteristics. In
order to recover the transmitted bits, the channel effect must
be estimated and compensated in the receiver. Each subcarrier
can be regarded as an independent channel, as long as no ICI
(Inter-Carrier Interference) occurs, and thus preserving the
orthogonality among subcarriers.
Thus, the transmitted signal can be recovered by estimating
the channel response just at each subcarrier. In general, the
channel can be estimated by using a preamble or pilot symbols
known to both transmitter and receiver, which employ various
interpolation techniques to estimate the channel response of
the subcarriers between pilot tones.
In order to choose the channel estimation technique for the
OFDM system under consideration, many different aspects of
implementations, including the required performance,
computational complexity and time-variation of the channel
must be taken into account.

(5)

For all k, (k=1,2, , L) and all j, (j=1,2, ,Nc). Where

N i ( fj ) [ k ] represents the noise at access point i, at time
symbol k, and at frequency j.
Particular to this simulation,

rritj ( fj ) [k ] was set as a zero-

mean circularly symmetric complex Gaussian variable, so as

to mimic a Rayleigh fading channel. rritj ( fj ) [k ] was then
allowed to vary independently among channels but was
correlated in time and frequency. In frequency, contiguous

rritj ( fj ) [k ] is within 120 kHz blocks were assumed to have

100% correlation. While, in time, rritj ( fj ) [k ] was assumed
to have the same value for an entire frame, consisting of 40
OFDM symbols. The variance of S ritj was set to 0dB,
was modeled to have a value of 2.5, and

Dref

was set to 3
A. Training Symbol-Based Channel Estimation

meters.
The first symbol of every frame was used to perform
channel estimation. By interleaving pilot symbols across
various subcarrier frequencies, each users pilot signals were
kept isolated in frequency. Then the values of intermediate
channel coefficients were estimated using a simple least
square channel estimation. Each receiver then used a MMSE
detector of the form W, seen in equation to demodulate
received signals and best estimate what was sent.

(H H * H

Where

is the standard deviation of system noise.

X [0]

IV. BASIC PRINCIPLE OF OFDM

X [1]

X [ N 1]

I)

Training symbols can be used for channel estimation,

usually providing a good performance. However, their
transmission efficiencies are reduced due to the required
overhead of training symbols such as preamble or pilot tones
that are transmitted in addition to data symbols. The leastsquare (LS) and technique is widely used for channel
estimation when training symbols are available.
We assume that all subcarriers are orthogonal (i.e., ICIfree). Then, the training symbols for N subcarriers can be
represented by the following diagonal matrix:

(6)

OFDM modulation and demodulation can be illustrated by

the block diagram shown in Figure 2 .OFDM Signal can be
demodulated by using the orthogonality among the subcarriers

285

(7)

Fig. 2: Block Diagram of OFDM System

Where X [ k ] denotes a pilot tone at the

E X [k ]

2
x

Var X [k ]

0 and

(Y XH ^ )H (Y XH ^ )

kth subcarrier, with

,k

0,1,...N 1 .

Y Y Y XH

Note that X is given by a diagonal matrix, since we assume

that all subcarriers are orthogonal. Given that the channel gain
is H [k ] for each subcarrier k, the received training signal

^ H

H X Y H X H XH ^

By setting the derivative of the function with respect to H^

to zero,

Y [ k ] can be represented as.

Y [0]

X [0]

Y [1]

H [0]

Z [0]

X [1] .

H [1]

Z [1]

Y [ N 1]

XH
Where

H [0], H [1], ....H [ N 1]

Z [0], Z [1], ..., Z [ N 1]

Var X [k ]

2
x

, k

X [ N 1]

H [ N 1]

Z [ N 1]

channel
T

vector

^
H LS

given

E X [k ]

Y , which gives the solution to

X 1Y

(11)

(9)

be diagonal due to the ICI-free condition, the LS channel

estimate can be written for each subcarrier as

as

( X H X ) 1 X HY

(8)

^
H LS
[k ]

and

Y [k ]
,k
X [k ]

0,1, 2.....N 1

(12)

VI. SIMULATION RESULTS

0,1,...N 1 In the following

A simulation capable of comparing the BERs of a multiaccess OFDM MIMO system was successfully implemented.
The code featured an intentionally high level of flexibility in
the inputs that it allowed. The simulation is capable of running
tests with various numbers of users/access points, various
numbers of subcarriers, and several different channels
properties and message lengths.

discussion, let H^ denote the estimate of channel H.

B. Least Square Channel Estimate
The least-square (LS) channel estimation method finds the
function is minimized channel estimate H in such a way that
the following cost

j( H ^ ) || Y XH ^ ||

2( X H XH H )

Let us denote each component of the LS channel estimate

^
^
by H LS [k ] , k 0,1, 2...N 1 Since X is assumed to
H LS

and Z is a noise vector given as

with

2( X H Y )

We have X XH
X
the LS channel estimation as

Z
is

J (H ^ )
H^

(10)

286

5
Simulation Environment

Figure 5 shows only the Pilot symbols for 3 different users,

which shows how the pilot symbols are inserted in an OFDM
symbol in a periodic manner. These pilot symbols are then
used for channel estimation.

16

Y-Axis Position

Users
APs
12

First OFDM Symbol with Pilot for Users 1Frequency-Domain

5

8
X-Axis Position

12

Magnitude

Pilot
Symbol

16

Fig. 3: Randomly generated User Positions & cellular Environment

1

This simulation will first generate a certain number of users

and base stations (or APs) in square area as shown in figure 3.
Each AP will have a square cell coverage area and one
randomly placed user within it. This one-to-one ratio between
APs and users is intended to mimic the interference that would
occur in a cellular communication system with a universal
frequency reuse scheme.

0
7.55

7.6

7.65

7.7
7.75
7.8
frequency[Hz]

7.85

7.9

7.95
6

x 10

Fig. 6: Periodic pilot symbol Insertion for single user

Fig. 6 shows the regular and periodic inserted pilot symbols.

These pilot symbols are used for channel estimation at the
receiver end.

Distance from access points For User in Cell -1

20

LS channel Estimation
4

15

True Channel
LS-linear

10

power [dB]

Distance

1
0
-1
-2

0
0

10
Access Points

15

-3
-4

Fig. 4: Distance of User 1 in cell 1 from all other access points

Figure 4 shows the graphical representation of distance of

user 1 in cell 1 from access points in other cell. This distance
is used to calculate various parameters like path loss and
power allocation etc. As it shows users are placed at random
locations and at varying distance from the access points.

Magnitude

15
10
5

7.64
7.66
7.68
frequency[Hz]

7.7

7.72

15
20
Subcarrier Index

25

30

35

After channel estimate using those channel parameters we

can calculate the received signal using above mentioned
methods.
The results of multiple simulation runs, averaged and
plotted in Figure 8, it show that the system employing network
MIMO experienced BERs between 6 and 3% while the system
that did not use network MIMO experienced BERs greater
than 30%. Over 18 million bits were transmitted to ensure
accuracy.

20

7.62

10

Fig. 7 shows how the channel is estimated using the pilot symbols and least
square channel estimate technique. It shows the estimated channel is
approaching true channel.

25

7.6

Fig. 7: Channel Estimation

OFDM Pilot Symbol for Users 1,2,and 3 in the Frequency-Domain

40
User 1
35
User 2
User 3
30

0
7.58

7.74
6

x 10

Fig. 5: OFDM Pilot Symbol Insertion for 3 different users

287

processing costs associated with network MIMO. Such

techniques offer less spectral gains but they do provide system
Engineers with a more tools as they begin to implement the
next generation of wireless networks.

BER as a function of SNR

10

BER w/o Network MIMO

BER w/ Network MIMO

REFERENCES

BER

[1]
-1

10

[2]

[3]

[4]
-2

10

10

12

14

16

18

20

[5]

SNR
[6]

Fig. 8: Shows BER Improvement by using Network MIMO

It was also noted that while the BER for the system
employing network MIMO decreased as SNR increased, the
BER for the non-network MIMO system remained virtually
constant. This is believed to be due to poor power control.
Since the transmit power of each user only considered pathloss, users were likely interfering strongly with each other. So
increasing the SNR would result in BER reductions for some
users and BER increases for others. The net result being that
BERs in the non-network MIMO system were unaffected by
SNR.

[7]

[8]

[9]

VII. CONCLUSIONS
In this paper the results of a simulation comparing the
BERs of two systems are presented. The first system did not
employ Network MIMO and suffered from high BERs that
were virtually independent of SNR. The second system did
employ network MIMO and was able to achieve significantly
lower BERs, by roughly an order of magnitude. This verifies
the benefits of network MIMO and highlights it potential in
upcoming wireless systems.
The simulation results presented in this paper did not take
into account the possible effects effective power control in
reducing BERs. Such control schemes would likely reduce the
BERs of both network MIMO and non-network MIMO
systems. But are likely to more significantly affect the later,
making network MIMO less effective than it appears here.
Writing the code for this simulation also highlighted the
Computational price for performing network MIMO and the
added overhead required in the form of extra pilot symbols.
Future design engineers hoping to employ network MIMO to
improve spectral efficiency will be forced to weigh these costs
against the benefits in interference control and data rates
before deciding how best to proceed.
Future research also points to the use of smaller network
MIMO clusters as a potential way to reduce overhead and

288

Network MIMO: Overcoming Intercell Interference in Indoor Wireless

System, Sivarama Venkatesan, Angel Lozano, Reinaldo, IEEE,Aug,
2006, Vol. 13, 1.
A WiMAX-Based Implementation of Network MIMO for Indoor
Wireless Systems, Sivarama Venkatesan, Howard Huang, Angel
Lozano, and Reinaldo Valenzuela, EURASIP Journal on Advances in
Signal Processing, 2009, July, Vol. 2009, 1, 2.
Performance Analysis of Network MIMO Technology, Lin Hui, Wang
Wen Bo, Asia-Pacific Conference on Communications, 2009, unkown
month, volume, 1.
Networked MIMO with Clustered Linear Pre-coding, Lin Hui, Wang
Wen Bo, Asia-Pacific Conference on Communications, 2009, unkown
month, volume, 6,7.
UTRA-UTRAN Long Term Evolution (LTE), 3rd Generation
Partnership Project (3GPP), Nov. 2004.
IEEE Standard for Local and Metropolitan Area NetworksPart 16:
Air Interface for Fixed Broadband Wireless Access Systems, IEEE 802
LAN/MAN Standards Committee, Nov. 2005.
S. Shamai and B. M. Zaidel, Enhancing the cellular downlink capacity
via co-processing at the transmitting end, Proc. of Vehic. Techn. Conf.
(VTC01 Spring), vol. 3, pp. 17451749, May 2001.
S. Venkatesan, "Coordinating base stations for greater uplink spectral
efficiency in a cellular network," Proc. of the Int'l Conf. on
Personal, Indoor and Mobile Radio Communications (PIMRC'07),
Sept. 2007.
M. Viberg and T. Boman, "Simulation of MIMO Antenna Systems in
Simulink and Embedded Matlab", Sweedish Foundation for
Strategic Research (SFF), 2009.

Analyses and Design of an Air Cooled Heat

Exchanger
Rahul Jain1, Atul Anand1, Gautam Jain1, Laltu Chandra2

Abstract-- It is well known that in arid regions like

Rajasthan the use of Air Cooled Heat Exchange (ACHE) systems
is inevitable. This paper presents a brief overview on the
development of air-cooled heat exchange system and possibilities
of efficiency improvement. The efficiency improvement in view of
its applicability is considered in this paper. For this purpose,
tube bundles with different shapes are considered, namely,
elliptical and the widely employed circular geometry.
Furthermore, validation of the employed code indicates a
possible set-up that can be adopted for analyzing the heat
exchange from these tubes with air. A detailed analysis has
clearly revealed the potential or possibilities of improvement in
heat transfer in ACHE. Finally, a planned experiment is also
described for further evaluation of this system.
Index Terms--Air-cooled heat exchanger(ACHE), Cross flow
heat exchange, Energy ratio, Elliptical tube, Turbulence
Modeling.

I.

INTRODUCTION AND LITERATURE REVIEW

Air cooled heat exchangers (ACHE) is a device for

rejecting heat from a fluid or gas directly to ambient air. Such a
device is being preferred currently due to environmental
concerns as well as scarcity of water [1].
Obviously, in arid region like Jodhpur, air cooled heat
exchanger (ACHE) may be preferred over water cooled heat
exchanger. In view of this, the current paper investigates the
different ways by which performance of air/air-water cooled
heat exchangers can be improved.
The activities are on-going that aims at improving the
efficiency of currently operating ACHE (e.g. Shree cement
plant at Beawar, personal communication). One of the
employed methods used is the use of elliptical tubes instead of
Circular tubes; see e.g. [2]-[10]. They compared the heat
transfer from elliptical and circular tubes (single or in bundle).
Some of these literature indicated heat transfer enhancement,
some have showed no major differences, and, some have
indicated a lower heat transfer with elliptical tube in
comparison to the circular tube. Therefore, it may be inferred
that, further investigations are required for a better
understanding on the influence of shape of tube on the heat
transfer.
1

1: Rahul Jain, Atul Anand and Gautam Jain areassociated with the
Mechanical Engineering, Indian Institute of Technology Rajasthan, Jodhpur342011, India.
2: Dr. Laltu Chandra isassociated with the Mechanical Engineering/CoE
Energy, Indian Institute of Technology Rajasthan, Jodhpur- 342011, India (email: chandra@iitj.ac.in).

A 3-D numerical simulations using CFD is performed to

investigate the influence of Reynolds number, fin pitch on the
Heat transfer by air e.g. [11]. They have compared the
calculated heat transfer using two different models, namely,
with or without water flow inside the tubes. The heat transfer is
due to air flow around the heated tube. They reported that there
is only little difference between the calculated Nusselt numbers
for the case with or without water flow inside the tubes, for a
wide range of Reynolds numbers. Therefore, in the present
analyses, considering air flow around the tube/tube bundle with
constant surface heat flux is reasonable.
Considering structural aspect of ACHE, the behavior of
tube bundle in a cross flow was observed by, e.g. [12]. This
paper states that the behavior of circular tube bundle in a cross
flow exhibits three main characteristics. At low flow velocities
vibrations are minimal but as fluid velocity increases, the
vibration level increases in proportion to square of fluid
velocity, which further develops a peak as the flow velocity
continues to increase. Finally, as the flow velocity continues to
increase, a fluid elastic instability develops and the cylinders
are expected to respond with large amplitude motions.
The adopted flow induced vibration model for analyses is
proposed by [13] is based on vortex-induced vibration in both
cross-flow and in stream-wise direction. An analytical
expression of vortex-induced force could be deduced using a
linear approximation of fluid-structure interaction.
The performance of ACHE can be enhanced considerably
using spray of water, in so called Air-water Hybrid Heat
Exchanger, see e.g. [14]. This will be useful for introducing
such a hybrid system in real life power plants, such as, solar
thermal power plants in arid regions of Rajasthan.
As a starting point, the considered activities are aimed at
understanding the basic principles of heat transfer in ACHE.
For this purpose, heat transfer from a single circular tube is
considered. However, it is not sufficient to estimate the heat
transfer from a single tube for an ACHE. Therefore, as a next
step,
heat
transfer
from
a
tube
bundle
is
investigated. Moreover, the shape of tube is known to
influence the heat transfer mechanism. As a consequence,
elliptical tubes are also employed in order to compare its
performance with the usually employed circular tubes.
Currently, all the analyses are performed for horizontal
tube bundles. However, A-shaped designs are mostly utilized
for the purpose of condensation. Such a design is known to
mitigate the deposit of non-condensate that causes backflow in
the system [15].
Enhancement of heat exchange can be achieved by
introducing fins in such a tube bundle [1]. Apart from this,
structural parts also come into play as it may vibrate as a
result of a high air flow rate [12]. Vibrations are observed due

978-1-4673-0455-9/12/$31.00 2012 IEEE

289

to both internal and external flows in and around the tube or

tube-bundle, respectively.
The objectives of the current activities are:

Hilpert correlation:
(2)

To understand the design of ACHE through

experiments and analyses
To improve in the efficiency of the designed ACHE.
To achieve these goals, this paper is divided into 3 tasks:

Zukaukas correlation:

Design of Experiment
Modeling and simulation
Vibration Analysis
The first section deals with experiment design of ACHE.
Selection of parameters like air flow rate, heat transfer
coefficient, surface temperature is done by theoretical
calculation.
Next section deals with Simulation using information and
data obtained in first section. Results obtained from theoretical
analyses and simulations have been verified. The subsequent
sub/section deals with vibration analysis, aiming the allowable
pitch to diameter ratio which minimizes vibration influence.

Where, C, m, and c are coefficients depending on different

Reynolds no.

(3)

Churchill &Bernstein:
(4)
It is already known that the Zukauskass correlation (as
given in eqn. (3)) has an accuracy limit of 20% [16]. In order
to estimate the convective heat transfer rate the outer tube
diameter is considered. In case of tube bundle the same
correlations do not hold.
Nusselt number correlation for a tube bundle:

II. MATHEMATICAL MODELLING

This section deals with the employed steady state
mathematical models and basic equations to describe the
steady state heat transfer (see e.g. [16]) and vibrations due to
external flow.
Basic assumptions:
The fluid is considered as incompressible.
A constant heat flux is assumed over the length of a
single tube and in a tube bundle.

(5)
Where, C and C2 are the correction factors.
In order to estimate the drag coefficient for a tube Hoerner
correlation is employed:
(6)
With, a= major axis, d=minor axis
For Friction factor calculation, following equation has been
used:
; a=ST/d(7)
Finally, air side pressure loss is calculated as:

Air blown by fan

(8)

Fig. 1. Schematic showing principle of ACHE

In Fig. 1, horizontal arrows represent hot fluid flowing

inside the tube while vertical arrows represent the surrounding
air flow. Its effect is modeled with an applied constant heat
flux to the tube surface. Air in cross flow removes the heat
from the surface.
A. Air side heat transfer
Assumed heat from the tube surface is being removed by
air flowing across the tubes, and principle of conservation of
energy is followed,

From equation (6), it can be deduced that elliptical tube has

a low drag coefficient in comparison to circular tube, which
causes less pressure drop. This leads to a lower power
requirement during heat transfer. With increase in axis ratio of
ellipse drag factor keeps on decreasing.
B. Vibration analysis for single cylinder in cross flow
The equation of vibration of a cylinder in a cross flow is as
follows; see e.g. [13]:
Y(t ) {2

U [CD
s

CD cos
2 DM r

(t )]

U2
cd }Y (t )
2
oD Mr

2
o

Y (t )

U2
CL cos
2 DM r

(1)

(9)

Heat transfer and pressure loss of air depend on whether

the air flow is induced or it is forced. In addition, heat transfer
is influenced by the number of tube rows in the bundle. Nusselt
number for single tube system in external cross flow is
estimated by various correlations, like,

Non-dimensionalizing the above equation is reduced as

follows:
(10)
Where cos ( ) is a bounded noise function

290

(t )

considered. The considered dimensions are summarized in

Table I.
As an example, the geometrical model of ACHE system
with a 4 circular tube-bundle is shown in fig. 3.For CFD
analyses the computational domain is meshed using a multizone method with hex-core so that most of the volumetric
elements remain hexagonal and quality will be improved.
Therefore, a solution with reasonable physical features can be
obtained.

=parametric instability factor

=damping induced instability factor
Using first order linear perturbation analysis as given in [14]
(11)
By substituting q and solving differential equation,
1

2
o

(12)

( ) 2 }2
2

III. EXPERIMENTAL AND CFD SET-UP

A test experiment has been set up for measuring heat
transfer and other parameters from the tube bundle in a crossflow of air on the basis of results from preliminary steady state
analyses of the system. This setup includes a test section, water
system, fan, and measuring instruments.
Fig.3. Geometrical model for 4 circular tube system

A section of mesh for 4 circular tube bundle system is

shown in fig. 4 and it can be seen that most of the elements are
hexagonal. These show both the boundary layer and hex-core
around the tubes.

Fig. 2. Basic Experimental System with 4 circular tubes

Fig. 2 shows the basic components of the test rig. Air is

driven by a fan in a forced-draft configuration.
This system has been setup in lab and will be used for
validation of data like pressure drop, Nusselt number and
obtainable energy ratio investigated from theory and Fluent
numerical analyses.
A.

Geometrical Modeling:
For preliminary steady state CFD analyses of ACHE, a
forced draft model with single circular and elliptical tube,
single pass is designed with ANSYS. These are used for
comparing heat transfer by air from tubes with water flowing
inside these tubes.
Further analyses and study has been performed with a four
tube bundle arranged in a staggered fashion, with transverse
distance of ST =50mm and diagonal distance of SD = 40mm.

Fig. 4. Computational grid for 4 circular tube ACHE system

In order to analyze the influence of mesh on the heat

transfer the considered two different meshes are employed.
These are summarized in table II.
TABLE II
THE CONSIDERED COMPUTATIONAL MESH

TABLE I

1 circular tube

1000

O.D.= 30

Axis
ratio
1

1 elliptical tube

1000

a=16.5, b=13.3

1.25

4 circular tubes

600

O.D.= 33.4

4 elliptical tubes

600

a=18, b=15.3

1.175

L(mm)

Aspect ratio

No. of elements

7.54

112200

Coarse Mesh

22

38300

IV. RESULTS

GEOMETRICAL DATA FOR TUBE BUNDLES DESIGNED

Geometry

Mesh
Fine Mesh

Tube(mm)

The resulting pitch to diameter ratio is 1.5. This is based on

the estimated ratio as a result of vibration analyses. These
analyses consider air flow around a four tube-bundle. For CFD
analyses both circular and elliptical tube bundles are

A. CFD results
In the present work Reynolds Averaged Navier Strokes
(RANS) simulations are performed with ANSYS Fluent.
Turbulence models like isotropic, two-equation K-eps, and an
anisotropic Reynolds stress (RS) are used for analyses.
Reynolds Number for air flow is selected in such a manner that
flow becomes turbulent, as turbulent flow causes mixing,
which enhances heat transfer.
In these analyses, on account of a low velocity, the air is
treated as incompressible. Equations like continuity, energy are
satisfied using a semi implicit method for pressure linked
equations, which is referred to as SIMPLE method. For
numerical solution, first order discretization scheme is used. In

291

line with the best practice guidelines the scalable wall function
is adopted for the solution purpose which automatically
balances the grid and makes Y* (min) > 11, where log-law is
used for solution in ANSYS Fluent.

independent of grid, as shown in fig. 7, using, e.g., K-eps

model.

B.

Turbulence Model Selection

Values of the CFD analyzed Nusselt number for air flow
around a single tube at various Reynolds numbers are obtained
using Reynolds Stress and K-epsilon models. These values for
Nusselt numbers are compared with correlations as given in
eqns. (2), (3) and (4).This comparison is shown in Fig. 5.
It is observed that:
Values of Nusselt number obtained using Reynolds
Stress model lie in the described accuracy range, i.e. in 20%
region with eqn. (3); see e.g. [16].
Nusselt number calculated using K-eps model is beyond
this range and is also overestimated.

Fig.7. Comparison of Nusselt number obtained using fine and

coarse meshes for K-eps model

D. Comparison: elliptical tube Vs circular tube

Fig.8. Comparison of Fan power requirement for single

elliptical(e)tube and Circular(c)tube(Left), and, Nusselt number
comparison of above tubes(right)
Fig. 5. Nusselt number Vs Reynolds number using RS and K-eps
model and their comparison with theoretical correlations

The convergence of the obtained solution is determined

based on the residuals for the continuity, energy equations
and for many of the predicted time averaged variables. The
total residual for a given variable is based on the imbalance in
an equation for conservation of that variable summed over all
computational cells. The residuals for solution convergence
are set to 10-5 for nearly all computed residuals, an example is
shown in Fig. 6.

It is observed that considering elliptical tube instead of

circular tubes, reduces the fan power requirement by about 1525% in the considered flow range. However, the Nusselt
number remains practically the same, as shown in fig. 8.
Consequently, it can be expected that the use of elliptical tube
may enhance the performance of such a system, in general.
E. Heat and fluid flow analyses around a 4 circular tubebundle
1) Vibration Analyses: Using eqn. (12) a curve between
damping induced instability factorand reduced
frequency is plotted to find a stable frequency region
for different damping factors for analyses.The region
inside the curve is unstable while the region outside the
curve is stable zone.
=1
.. =0.5

----

=0

Fig. 6. Residual vs. Iterations showing solution convergence

C. Grid Independence
Grid independence is tested for a single tube ACHE system
with two grids with different aspect ratios and sizes. For these
grids, the Nusselt numbers at various Reynolds numbers are
analyzed. It is observed that the obtained results are practically

292

Fig. 9. Region of stability plotted between damping instability

factor and reduced frequency of oscillation

From fig. 9, it can be seen that as damping factor

increases the stable zone increases and from this plot an
operational frequency can be obtained, from which a
stable pitch to diameter ratio of nearly 1.27 for damping
factor 0.5 is inferred. For the current tube bundle
analyses, a pitch-to-diameter ratio greater than this value
is employed for safety.

words, Class of 4 tube bundle ACHE has been upgraded from

C to B.

2) CFD analyses: Table III shows the input parameters

used for a 4 circular tube-bundle based ACHE system,
which is employed in the simulation. The geometry is
already shown in fig. 3.
TABLE III

Fig. 11. Maximum RANS analyzed surface temperature Vs Energy ratio for
circular and elliptical tubes.

INPUT PARAMETERS FOR SIMULATION (4 CIRCULAR TUBES)

Inlet air velocity

3-8 m/s

Inlet air Temperature

Heat flux removed from tube surface

333 K
10KW/m2

Table IV shows the ACHE energy efficiency classes as

described by standards [17].
TABLE IV
ENERGY EFFICIENCY CLASS [17]

Based on all the above aspects and analyses, i.e.

turbulence model selection and grid independence test,
the RS model is preferred with the finest grid for
simulating the heat transfer around the described tubebundle.

Class

Energy consumption

Energy ratio

Extremely low

R>=110

Very low

70=<R<110

Low

45=<R<70

Medium

30=<R<45

High

R<30

V. CONCLUSION

Fig. 10. Contour of RANS analyzed surface temperature of tubes

with velocity vectors for 4 circular tube assembly

Fig. 10 shows the RANS analyzed- surface

temperature of tubes and velocity vectors of air flow
around the considered tube-bundle. Higher velocity
leads to a lower time averaged surface temperature and
a lower velocity results in a higher surface temperature.
These are clearly shown in this figure; with blue
indicate a low and red indicating a high temperature.
F. Energy Ratio
Energy ratio, which is a measure of total heat transfer with
respect to fan power requirement, is also investigated in both
elliptical and circular four tube bundles in staggered
arrangement as shown in fig. 11.
In order to improve the energy ratio or the measure of
quality, it is necessary to reduce the air flow rate. At the same
time, attention is to be given that the surface temperature does
not exceed beyond acceptable or allowable limit.
It is observed that for the maximum allowable averaged
tube surface temperature of around 680K, for a 4 Circular tubebundle, the maximum obtainable Energy ratio is around 65.
Under the same consideration, for an elliptical 4 tube-bundle
the maximum estimated energy ratio is around 95. In other

This work aims at understanding, designing and finding

possibilities of improvement of the efficiency in an Air Cooled
Heat Exchange (ACHE) system.
As a starting point, an ACHE with a single- circular and
elliptical tube is considered. For these test cases, various
parameters, like, Nusselt number, pressure drop are
investigated using theory and simulations at various Reynolds
numbers. It is observed that fan power requirement in elliptical
tubes decreases by about 15-25% without much reduction in
heat transfer.
Also, the obtained Nusselt numbers from RANS analyses
using various turbulence models are compared with the
preferred Nusselt number correlation. It is found that the
anisotropic Reynolds Stress based CFD analyzed Nusselt
number is conservative and is within the given error margin.
Based on detailed analyses, an experiment with 4 circular
tube bundles is already set up. This takes into account the
minimum pitch-to-diameter ratio greater than 1.27, as
suggested by the vibration analyses. Furthermore, both
elliptical and circular four tube-bundles are analyzed using
Reynolds Averaged Navier Stokes (RANS) approach. The
maximum achievable Energy ratio for elliptical tube bundle
was found about 15-25% higher than that of a 4 circular tube
bundle, without any practical loss in heat transfer. This results
in improvement of energy ratio with elliptical tube bundle in
comparison to circular tube bundle.

293

TABLE V

[8]

NOMENCLATURE
D

Diameter of tube

Heat transfer coefficient

Nu

Nusselt number

Surface Area of tube

Heat flux over tube surface

Ts

Surface temperature

Tlm

Log mean temperature

Tamb

Temperature of air near tube surface

Friction factor

mair

Mass flow rate of air

Cd

Drag coefficient

Cl

Lift coefficient

Pressure

Velocity

Density

CP

Specific heat capacity of air

ST

Transverse distance between two tubes

N
k
0

Number of tubes
Thermal Conductivity
Natural frequency

Reduced frequency

Magnitude of deflection

Reduced magnitude of deflection

[9]

[10]

[11]

[12]

[13]

[14]
[15]
[16]
[17]

ACKNOWLEDGEMENT
All the authors of this paper duly acknowledge the support
from IIT Rajasthan colleagues, especially, Dr. Barun Pratiher,
Dr. P. Pradeep Kumar during this activity.
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AC/DC/AC Converter Based on Parallel

AC/DC and Cascaded Multilevel DC/AC
Converter
Shweta Gautam, Student Member, IEEE, Anil Kumar Yadav, and Rajesh Gupta, Senior Member,
IEEE
1

Abstract This paper presents a single phase AC/DC/AC

converter based on parallel AC/DC and cascaded multi-level
DC/AC Converter. For a two-cell AC/DC/AC converter, two
units of full-bridges are connected in parallel and two units of
half-bridges are connected in cascade. It is proposed that instead
of using two separate control loops of DC link voltages at the AC
to DC conversion stage, only a single control loop with only one
voltage sensor is proposed in this paper when two cells are
equally loaded. It is also shown that by controlling only one cell
DC link voltage, the other dc link voltage also gets controlled
automatically. In addition, the power factor is also improved to
unity at the AC side of the AC/DC conversion stage. Use of
simple and unipolar ramp comparison control at both the stages
leads to fixed switching frequency operation of all the switches
along with the improved quality of input current and output
voltage as compared to simple PWM control. The simulation
result for the proposed topology has been obtained through the
PSCAD/EMTDC simulation studies, for a two-cell based parallel
cum cascaded AC/DC/AC converter. The experimental
verification of the proposed topology and control strategy has
been obtained using LABVIEW FPGA module with the help of
PCI-7831R data acquisition board.
Index Terms AC/DC converter, DC/AC converter,
AC/DC/AC converter, field programmable gate array (FPGA),
parallel converter, unipolar PWM.

I. INTRODUCTION
IGH power converters employed in industrial and power
system applications employ distribution of power among
multiple power semiconductor devices. Advancements in
the special topologies of power converters give additional
benefits of high reliability, redundancy and better out power
quality. Concern of power quality in power systems has
gained considerable attention in past decade. Thus these
special topologies of power-electronic converters are
increasingly used in power conditioning, power filtering,
electrical drives, distributed generation applications and
development of electric drive trains for large vehicles.
There are many converter topologies that come under the
two stages of the AC/DC/AC converter. A single phase to
three-phase drive system using two parallel single phase
rectifiers are used in [1]-[2]. In order to resolve the problem of

Shweta Gautam is a research scholar in the Department of Electrical

Engineering, M. N. National Institute of Technology, Allahabad-211004,
India (e-mail: ekta.ppn@gmail.com)
Anil Kumar Yadav is a working with UP Rajkiya Vidyut Nigam Limited,
Uttar Pradesh, India (e-mail: anilyadav9386@gmail.com)
Rajesh Gupta, is an Associate Professor, in the Department of Electrical
Engineering, M. N. National Institute of Technology, Allahabad-211004,
India (e-mail: rajeshgupta@mnnit.ac.in)

978-1-4673-0455-9/12/$31.00 2012 IEEE

circulating currents among the cells different converter

topologies have been proposed in [3]-[8]. In all these
topologies the THD at the input AC side is reduced
considerably but the THD at the output side still remain high.
Transformer less back-to-back connected topology used in [5]
reduces the cost as well as THD in both input current and
output voltage but this additionally increases circulating
current. For reducing the THD at output AC voltage a
multilevel converter with series connected cells is described in
[6]. The converter has reduced harmonics in the output voltage
as well as in the input current and has high efficiency but uses
separate control loops for each cells of the converter at the AC
to DC conversion stage.
Grid interface or utility supplied power conversion mainly
involves either AC to DC, DC to AC or combination of both
the converters. An AC to DC to AC converter or AC/DC/AC
system interfaces two AC subsystems using two stage power
conversions that is from AC to DC and then DC to AC. Such
AC/DC/AC converters consist of two back-to back AC/DC
converters which are interfaced through their DC sides. The
advantages of two stage power conversion are simple control,
low total harmonic distortions, improved power factor,
reduced number of switches, variable frequency output,
decoupling of different AC signals, etc. The two main high
power converter topologies used in AC/DC and DC/AC
converters are parallel converter and multilevel converter,
respectively. The parallel converter has the advantage of
distribution of currents among the number of subunits,
whereas the advantage of multilevel converter is the
distribution of voltage among number of subunits of the
converter.
In this paper advantage of both these converters are utilized
by connecting parallel converter topology in the input stage
and cascaded multilevel converter in the output stage of the
AC/DC/AC converters. It is shown that unipolar PWM is
better for AC/DC converter (high ripple frequency in input
current) in input side and simple PWM is better for DC/AC
converter at output side due to limitation of cascaded half
bridge inverter An experimental laboratory model is
implemented with the controller embedded in FPGA to
validate the proposed results.
II. CONVERTER TOPOLOGY
Fig. 1 shows the proposed AC/DC/AC converter for twocell converter system. One single AC voltage source vac is
used for each cell of the converter connected in parallel in the
input AC/DC converter stage. Multiple DC outputs of the
parallel inverter are cascaded to give one single AC output in

295

the output DC/AC converter stage. The combination of above

two-stages thus forms a single-phase AC/DC/AC converter.
Each cell contains six switches and two capacitors. In the first
cell, the switches S11, S12, S13, S14 and capacitors C1, C2 are
used to develop AC/DC voltage converter and switches S15,
S16 are used for half bridge inverter. Similarly, the switches
S21, S22, S23, S24, S25 and S26 are used in the second cell. The
voltages Vdc1 and Vdc2 represent the DC link voltages of the
two cells. The half bridge inverters of two cells are connected
in cascade through an AC load. The AC load is considered
linear consisting of resistance Rl and inductance Ll. The
isolated DC of each of the AC/DC converter stage feeds the
half-bridge cells of the cascaded two-level inverter to generate
AC output. The output voltage of the inverter is the sum of
half-bridge inverter voltages which are in series at any instant.
The vo and ia represents the inverter output voltage and
current.

Vtri min

1
4 ftri

diref
dt

Vdc
Ls

(1)

Equation (1) shows the minimum carrier amplitude for fixed

switching frequency for general pulse width modulation. If the
amplitude of the triangular carrier Vtri is chosen according to
(1) above, the average switching frequency of the power
switches shown in Fig. 1 becomes constant and equal to the
carrier frequency [11], [15].
1) Control of AC/DC converter unit with simple PWM
For input stage, the principle of boost rectifier along with
simple two-level bipolar PWM is used. A control loop is used
to convert AC into DC with unity power factor at input AC
side as shown in Fig. 2.

Fig. 2. Control block of rectifier unit with simple PWM.

Fig. 1. AC/DC/AC converter based on parallel AC/DC converter and

cascaded multilevel inverter.

III. CURRENT CONTROL FOR AC/DC CONVERTER

A. Control of AC/DC/AC converter by simple PWM
In this paper ramp comparison current control method is
used in AC/DC converter and DC/AC inverter side to obtain
the fixed switching frequency operation of the switches as
shown in Fig. 1. In this control, the error which is the
difference between the reference current iref and the actual
input current iact is compared with the fixed switching
frequency triangular carrier given by vtri having frequency ftri
to get the constant switching frequency switching signals. In
this control method the error e is proportional to the amplitude
of the carrier [11]-[15]. However there is minimum amplitude
of the carrier below which the switches will not operate at the
fixed carrier switching frequency, rather it enters into the
multiple crossings and leads to non-uniform switching
operation. To determine this minimum amplitude, the criteria
of slope should be satisfied [13], [14]. In paper [11] for the
AC/DC converter consisting of AC source with inductance Ls
and DC link voltage referred towards DC side Vdc is
considered. The minimum amplitude of the carrier for fixed
switching frequency operation can be obtained as

In this method, the DC link voltages of one cell, i.e.Vdc1 or

Vdc2, and the input currents of the ac source, iac are sensed and
fed-back to generate switching signals for the full bridge
switches of two cells to track the common reference isref and
control the DC link voltages of both the cells to the reference
Vdcref. A PI controller is used to control the dc link voltage and
the ramp comparison current controller is used to track the
reference current as shown in Fig. 2. The reference current is
generated by multiplying the sinusoidal template of same
frequency as that of the AC supply voltage. The error of the
current is then compared with the triangular carrier to generate
the switching signals. The same switching signal is given to
both the rectifiers of the two cells.
2) Control of DC/AC inverter unit with simple PWM
For output stage a simple PWM for current control is used
for the cascaded half bridge inverter as shown in the Fig. 3. In
this the reference current is compared with the actual current
to generate error and this error is then compared with a
triangular carrier to generate switching signal for the inverter
switches. The same control signal is given to both upper and
lower half-bridges of the cells.

Fig. 3. Control Block of inverter unit.

B. Control of AC/DC/AC converter by Unipolar PWM

1) Unipolar PWM Control of AC/DC Converter
In this method for input stage boost rectifier along with the
unipolar phase shifted multicarrier modulation is proposed for
control of the multiple DC link voltages and input current

296

wave-shaping and power factor improvement with reduced

current total harmonic distortion.
Fig. 4 shows the unipolar PWM control block diagram of
the full bridge rectifier to control the DC link voltage at unity
power factor. Voltage control loop and reference current
generation is same as in the simple PWM. In unipolar PWM,
there are two triangular carriers. The first one has the phase of
0 and other has phase of 90. The switching signals are
generated as shown in the Fig. 4.

triangular carriers to generate the gating signals. For upper cell

half bridge inverter, gating signals are generated for the
switches S15 and S16 shown in Fig. 1. The same error signal is
again compared with 90 phase shifted triangular carrier to
generate the switching signal for the lower cell half bridge
inverter switches S25 and S26 as shown in Fig. 1.
IV. SIMULATION RESULTS
In this section, simulation is performed for the proposed
two-cell AC/DC/AC converter in PSCAD/EMTDC. The
parameters considered for the power circuit of the converter
are given in Table I.
TABLE 1
PARAMETERS FOR SIMULATION

Similarly for carrier phase-shifted unipolar PWM (1) is

modified as (2), effective carrier frequency is four times as in
simple PWM. Therefore the (2) is modified for unipolar
modulation as follows.

2)

1
4* 4 ftri

diref
dt

Vdc
Ls

Numerical value

Input ac supply and inductance

DC Capacitor
Transformer
Load resistance and inductance
DC link voltage
Switching frequency
Iref at AC side

2.3 kV (rms), 40 mH
4400 F
2.3/2.3 kV, 100 kVA
10 , 30.0 mH
5.0 kV
5 kHz
150 A (peak)

The other parameters used for simulation are proportional

controller gain, Kp = 10; integral time constant, Ti = 0.01sec
and triangular carrier frequency, ftri = 5 kHz. The AC/DC/AC
converter shown in Fig. 1 is controlled first by simple PWM
and then by carrier shifted unipolar PWM.

Fig. 4. Control block of rectifier unit with unipolar modulation.

Vtri min

Parameters

(2)

Control of DC/AC inverter unit with Unipolar PWM

C. Control of AC/DC/AC converter by simple PWM

In this case, both the parallel cells are controlled from the
same switching signal. Only one dc link of the upper cell is
sensed and used to control the output voltage. Also only input
ac current is sensed to track the generated reference current.
With equal loading of the two cells both the DC link voltages
are controlled equally and uniformly. For switching frequency
of 5 kHz, triangular carrier frequency, ftri = 5 kHz, triangular
carrier magnitude is calculated using equation described in (1)
as Vtrimin = 20V. The switches of the converter operate at this
switching frequency without any multiple crossings. Fig. 6
shows the equal convergence of both the DC link voltages.
The current tracking performance is shown in the Fig. 7 which
is showing the reference current and actual current at input
stage. Fig. 8 shows the reference current and actual current at
the load side. Fig. 9 shows input source current in phase with
the input source voltage. The THD for input ac current is 10%.

Fig. 5. Control Block of inverter unit.

For output stage, the principle of triangular carrier

comparison method of current control with unipolar phase
shifted multicarrier modulation is proposed for better current
tracking and improved output voltage total harmonic
distortion. The unipolar pulse width modulation of half bridge
inverter is shown in the Fig. 5. In this two triangular carriers,
one with 0 phase and another with 90 is used. Like simple
PWM control of inverter, the error is compared with the two

Fig. 6. DC voltage control with same control signal.

297

reduced harmonics in the output voltage as well as in the input

current and has high efficiency.

Fig. 7. Current tracking of input ac source current.

Fig. 10. DC voltage control.

Fig. 8. Output current tracking of the inverter.

Fig. 11. Current tracking of input ac source current.

Fig. 9. Source current in phase with source voltage.

D. Control of AC/DC/AC converter by phase-shifted unipolar

PWM
The simulation results for this converter are shown in Fig.
10 to 13. For switching frequency of 5 kHz, triangular carrier
frequency, ftri = 5 kHz, triangular carrier amplitude is
calculated using equation described in (2) as Vtrimin = 5V. Fig.
10 shows the equal convergence of the DC link voltages of the
two-cells. The current tracking performance is shown in the
Fig. 11 which showing the tracking of the reference current.
Fig. 12 shows the tracking of the reference current at the
inverter output side. This gives the output current along with
the improved quality of output voltage waveform. Fig. 13
shows input source current in phase with the input source
voltage. This gives enhanced performance in terms of
lowering harmonic distortion in the input current. Important
conclusion of this simulation study is that although the
switches are operating at 5 kHz and the ripples present in the
individual cells has the frequency at the 5 kHz, but the main
current drawn from the source has the ripple cancellation due
to the carrier phase shifted property and therefore the ripple
frequency will lie at 20 kHz. The total harmonic distortion
(THD) of input ac current in AC/DC/AC converter improved
to 0.25%. The unipolar PWM control has better quality and
low THD as compared simple PWM control as the switching
components shifts to the frequency at 4ftri due the property of
unipolar phase-shifted multi-carrier PWM. The converter has

Fig. 12. Output current tracking of the inverter.

Fig. 13. Source current in phase with source voltage.

V. EXPERIMENTAL RESULTS
Experimental setup for the proposed AC/DC/AC converter
is implemented by using an Intelligent Power Module (IPM)
which is a six-pack converter. Hence two IPMs are required
for the two-cell AC/DC/AC converter. The control circuitry is
implemented using LabVIEW FPGA module programming.
The voltages and current feedback are obtained using Hall
effect transducer LEM LV-25P and LEM LA-25P,

298

respectively, for implementing proposed single loop control.

The values of parameters for loads are given below;
Resistance Rl = 50 , inductance Ll =12 mH, Transformer=
230/24 V, 5 A, Current Sensor ratio = 1 V/A Voltage sensor
ratio = 0.02 V/V. With these power circuit parameters, the
AC/DC Converter is controlled by two different control
algorithms: simple PWM and phase-shifted unipolar PWM.
The experimental results obtained are discussed below.

Fig. 16 shows the tracking of the reference current at the

input side. The current is shown in phase with the supply
voltage showing the operation of the converter at unity power
factor. The equal convergence of the DC link voltages of two
parallel units is shown in Fig. 17 when the loads on two cells
are equal (60 ohm each).

A. Control of AC/DC converter by simple PWM

In this PWM control algorithm, same switching signal of
frequency 1 kHz is given to both the cells in parallel. The
following control parameters used for experiment are Kp = 25,
Ki = 0.001sec, Vtri= 1.0V, ftri = 1 kHz, Vdcref = 50V. Fig. 14
shows the tracking of reference current by the controller. The
current is shown in phase with the supply voltage, showing the
operation of the converter at unity power factor. Fig. 15 shows
the dc voltage convergence across the two capacitors.

Fig. 16. Supply voltage, reference current and actual source current in
unipolar PWM.

Fig. 14. Supply voltage, reference current and actual source current in
unipolar PWM.

Fig. 17. DC voltage convergence on same value with unipolar PWM on equal
Loading.

Fig. 15. Equal DC voltage convergence on with unipolar PWM.

It can be clearly seen from the Fig. 14 that the ripple

frequency is 1 kHz, i.e., same as that of the switching
frequency.
A. Control of AC/DC converter by unipolar PWM
In unipolar PWM control the power circuit parameters are
same as used in case of the simple PWM Control. The other
control circuit parameters used are KP = 25, Ki = 0.001sec,
Vdcref = 50V, ftri = 1 kHz, Vtri =0.6V. The corresponding
experimental results are shown in figures from Fig. 16 to Fig.
17.

Similar to simple PWM control here also the converter

operates at unity power factor. It can be seen from Fig. 16 that
the tracking of the reference current is improved due to lower
value of the carrier amplitude. Also the ripple frequency is
shifted to 4 kHz due to cancellation of ripples at 1 kHz due to
carrier phase shifting property.
The experimental result verifies the simulation results
presented in the paper. The input current harmonics distortion
goes lower and tracking of the current improves and ripple
frequency increases as we go for carrier phase-shifted unipolar
instead of simple PWM.
VI. CONCLUSIONS
In this paper single loop control with simple and unipolar
PWM using single voltage and current sensor has been shown
to control the DC voltages of two cells of parallel connected
AC/DC/AC converter. It is shown that the control method
achieves unity power factor in the input AC side along with
the improved quality of the input current of the AC/DC
converter. It is also verified that the ripple frequency in input
current is four times of the carrier frequency in unipolar PWM

299

due harmonics cancellation. The power rating of each cell

reduces to half for two cells AC/DC/AC converter in
comparison if one cell AC/DC/AC converter is used.
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[14]

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P. Lezana, High-voltage multilevel converter with regeneration
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converters, IEEE Trans. Ind. Applications, vol.32, pp-509-517,
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review of multilevel power converters IEEE IE(I) Journal. EL, Vol.86,
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Industrial Electronics Magazine, June 2008.
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300

General Variable Neighbourhood Search for

Cyclic Bandwidth Sum Minimization Problem
Dharna Satsangi, Kamal Srivastava and Gursaran, Member, IEEE

Abstract-- In this paper we apply a general variable

neighbourhood search (GVNS) to the cyclic bandwidth sum
problem (CBSP). In CBSP the vertices of a graph must be laid
out in a circle in such a way that the sum of the distances between
pairs of vertices connected by an edge is minimized. GVNS uses
different neighbourhood operations for its shaking phase and
local search phase. Also the initial solution is improved using
random variable neighbourhood search. Extensive experiments
were carried out on classes of graphs with known results for
which optimal values of cyclic bandwidth sum was achieved. On
other classes of graphs, values less than known upper bounds
were achieved.
Index Terms-- Cyclic bandwidth sum minimization problem,
graph layout problem, variable neighbourhood search

I. INTRODUCTION

he minimum linear arrangement problem (MinLA) or the

bandwidth sum problem of graphs is to lay its vertices on
a path in such a way so that the sum of the distances
between the pairs of vertices connected by an edge is
minimized. This problem has application background in errorcorrecting codes and VLSI layout designs [1]. When the
vertices are laid on a cycle, it is known as the cyclic bandwidth
sum problem (CBSP). Chung [2] had proposed a general
framework: label the vertices of a graph G by distinct vertices
of a host graph H, subject to the condition: the total sum of
distances in H between adjacent vertices in G is minimized.
The case of H being a cycle was first studied by Jinjiang [3]
and was shown to be NP-hard. Some upper and lower bounds
for the cyclic bandwidth sum were studied by Jianxiu [1].
Since this problem is closely related to the well known
Bandwidth sum problem, Chen and Yan [4] provided the
sufficient and necessary condition to characterize graphs with
equal bandwidth sum and cyclic bandwidth sum and used it to
show that the bandwidth sum is equal to cyclic bandwidth sum
for all trees. CBSP has been solved only for a few classes of
graphs - complete graphs, star and wheel graphs [1], paths,
cycles, and complete bipartite graphs [4]. Some bounds are
also provided by Jianxiu [1] along with the upper bounds for
Cartesian products of certain classes of graphs.
D. Satsangi is a research scholar with the Department of Mathematics,
Dayalbagh
Educational
Institute,
Agra,
India
(e-mail:
dharna.satsangi@gmail.com )
K. Srivastava and Gursaran are with the Department of Mathematics,
Dayalbagh Educational Institute, Agra, India (e-mail: kamal.sri@dei.ac.in,
gursaran.db@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

CBSP can be easily described in mathematical terms.

Given a graph G = (V, E) with n = |V | and m = |E|, a
labeling f of G is a bijection from V to the set of integers {1, 2
, . . . , n}. For an edge uvE, its length under the labeling f is
given by (uv, f) = |f (u) f (v) |n where |x|n = min{x, n-x}. The
cyclic bandwidth sum of G for the labeling f is CB (G, f) =
uvE (uv, f). The cyclic bandwidth sum of G, denoted by
CBS (G), is min f CB (G, f). Therefore, CBSP consists of
finding a labeling f that minimizes CBS (G, f). A labeling f
which is simply a n-permutation will be referred to as a
solution throughout the paper. Also, the value of CBS (G) will
be referred to as the Optimal cyclic bandwidth sum and the
corresponding labeling as the optimal labeling. The term
Cyclic bandwidth sum (CBS) will be used for the value
obtained by the experiments.
As mentioned earlier, only a few results are available for
the cyclic bandwidth sum in the literature, and no heuristic
method has been suggested so far. In this paper we propose a
General Variable Neighbourhood Search (GVNS) heuristic for
CBSP. Extensive experiments are conducted on the classes of
graphs with known cyclic bandwidth sum besides some other
classes of graphs. GVNS achieves the optimal results in all the
cases and gives results much below the suggested upper
bounds for the remaining instances of graphs.
Rest of the paper is organized as follows. GVNS in the
context of CBSP is described in Section 2 followed by its
implementation details in Section 3. Results of experiments are
presented in Section 4 and Section 5 concludes the paper.
II. GENERAL VARIABLE NEIGHBOURHOOD SEARCH
Variable Neighbourhood Search (VNS) is a metaheuristic
technique which exploits, systematically, the idea of
neighbourhood change, both in descent to local minima and in
escape from the valleys which contain them. Over the last few
years, a large amount of VNS variants have been proposed.
These are Variable Neighbourhood Descent (VND), Reduced
VNS (RVNS), Basic VNS (BVNS), Skewed VNS (SVNS),
and General VNS (GVNS) [5]. Here we have focused on
GVNS. We first give GVNS for CBSP and then the
intermediate procedure RVNS which is followed by its
description.

301

Procedure GVNS
Step G1: Initialize f, kmax, lmax, max_cnt
Step G2: Set cnt0
Step G3: Apply Procedure RVNS on f
Step G4: while (cnt <= max_cnt)
Step G5: Set k1
Step G6: while (k <= kmax)
Step G7:
f1 Nk (f)
Step G8:
Set l1
Step G9:
while (l <= lmax)
Step G10:
f2 Nl (f1 )
Step G11:
if (s2< s1)
Step G12:
Set f1 f2, l1
Step G13:
else
Step G14:
l l +1
Step G15:
endif
Step G16: endwhile
Step G17: if (s1< s)
Step G18:
Set f f1, k1
Step G19: else
Step G20:
k k +1
Step G21: endif
Step G22: endwhile
Step G23: cnt cnt +1
Step G24: endwhile

search (LS) is applied from Step G9 through Step G16. In the

LS phase a set of neighbourhood operations Nl, l=1, , lmax is
used. A solution f2 obtained in an iteration of LS replaces f1 if
its cost s2 is lesser than the cost s1 of f1. The best solution
obtained from the local search phase replaces f in Step G18 if
it has lesser cost than f. The shaking phase is repeated max_cnt
times.
III. IMPLEMENTATION DETAILS OF GENERAL VARIABLE
NEIGHBOURHOOD SEARCH

Local
Search
Phase

A. Initial solution
The vertices of graph are labeled by the sequence 1 through n.

Shaking
Phase

B. Neighbourhood Operations for Shaking Phase

We propose six neighbourhood operations for shaking phase
(SP) of GVNS and search of RVNS:
SP_Ins: This has been adapted from the work of Kapoor et al.
[6]. In this operation a neighbourhood solution is obtained by
choosing two random positions i and j where 1 i < j n. Let
solution f = { 1, 2 , ... , i , i+1 , . . . n } where i is the
vertex v V such that f(v) = i. SP_Ins(f, i, j) is defined by
means of a move which consists of removing the vertex i
from its current position , shifting elements i+1 , . . . j left by
one position and then inserting i in position j. Thus, given a
solution f , SP_Ins (f, i, j) results in a new solution f1 which
corresponds to the sequence of vertices { 1, 2 , ... , i-1 , i+1 ,
. . . j-1, j, i, ... n }. Here j and i get adjacent labels.

Procedure RVNS
Step R1: Initialize max_cnt1
Step R2: Set cnt10
Step R3: while (cnt 1<= max_cnt1)
Step R4:
Set k1
Step R5:
while (k <= kmax)
Step R6:
f1 Nk (f)
Step R7:
if (s1< s)
Step R8:
Set f f1, k1
Step R9:
else
Step R10:
k k+1
Step R11:
endif
Step R12: endwhile
Step R13: cnt1 cnt1 +1
Step R14: endwhile

SP_Ins_rand: Let f = { 1, 2 , ... , i , i+1 , . . . n }be a

solution. In SP_Ins_rand two random positions i and j, where
1 i < j n, are selected in f, i is deleted from its current
position in the sequence and inserted in position j and
elements i+1 through j-1 are shuffled randomly.
SP_flip2: In this operation a neighbourhood solution is
obtained by flipping two randomly chosen vertices i and j.
Thus, given a solution f = { 1, 2 , ... , i , i+1 , . . . n },
SP_flip2 (f, i, j) results in a new solution f1 which corresponds
to the sequence of vertices { 1, 2 , ... , i-1 , j , . . . j-1, i ,...
n }.

In GVNS, neighbourhood search starts with one initial

solution f. We try to improve this solution by applying
Procedure RVNS. Procedure RVNS starts by improving the
solution using a set of neighbourhood operations Nk, k=1, ,
kmax. These operations are described in Section III B. The
modified solution f1 obtained after the application of a
neighbourhood operation (Step R6) replaces the solution f if it
has lesser cost, s1, (cost of a solution t is CBS (t)) than the cost
s of f. This process is repeated for all the operations and for
max_cnt1 iterations. The best solution obtained by RVNS is
used in the iterative process of GVNS. The set of
neighbourhood operations used for RVNS are used in the
shaking phase (SP) of GVNS as detailed in Section III B. In
the shaking phase of GVNS, all the neighbourhood operations
are applied on f one by one. An application of a
neighbourhood operator on f gives f1 in Step G7. On f1 local

SP_flip3: In this operation a neighbourhood solution is

obtained by flipping three labels sequentially by choosing first
label i randomly where 1 < i n/2. In other words SP_flip3 is
defined by means of moves which consist of taking the vertex
i from its current position in the sequence and inserting it at
the position i+1, the vertex i+1 at position i+2 and the vertex
i+2 to position i. Thus, given a solution f = { 1, 2 , ... , i ,
i+1 , . . . n }, SP_ flip3 (f, i) results in a new solution f1 which
corresponds to the sequence of vertices { 1, 2 , ... , i+2 , i ,
i+1,... n }.
SP_block_reverse: In this operation a neighbourhood solution
is obtained by placing the vertices of a randomly selected
block of vertices between i and j, where 1 i < j n, in the

302

reverse. For instance, f = { 1, 2 , ... , i , i+1 , . . . n }, SP_

block_reverse (f, i, j) results in a new solution f1 which
corresponds to the sequence of vertices { 1, 2 , ... , j , j-1,
, i+1, i, ... n }.

A. Test Graphs
We used following three types of graphs for our
experiments.

SP_swap_block: This has been adapted from the work of

Kapoor et al. [6]. In this operation a neighbourhood solution is
obtained by swapping blocks of vertices. Thus given a solution
f = { 1, 2 , ... , i , , j, , k, . .., l, n }, SP_
swap_block (f, i, j, k, l) results in a new solution f1 which
corresponds to the sequence of vertices { 1, 2 , ... , k, . .., l,
i , , j, ... n }.

Complete bipartite: A complete bipartite graph, Kx,y with

|V|=x+y is a simple bipartite graph such that two vertices
are adjacent if and only if they are in different partite sets.
Path: A path Pn is a simple graph whose vertices can be
ordered so that two vertices are adjacent if and only if
they are consecutive in the list.
Cycle: A cycle Cn is a graph with an equal number of
vertices and edges whose vertices can be placed around a
circle so that two vertices are adjacent if and only if they
appear consecutively along the circle.
Wheel: A graph is called a wheel Wn+1 if it consists of an ncycle, every point of which is joined to a single common
point by a line.
Star: The star graph Sk is a complete bipartite graph K1,k-1, a

a) Standard graphs:

C. Neighbourhood Operations for Local Search Phase

We propose two local search (LS) operators for CBSP which
are described below.
LS_switch1: In this operation a neighbourhood solution is
obtained by flipping two sequential labels throughout the
solution. Thus given f = { 1, 2 , ... , i , i+1 , . . . n }, LS
_switch1 (f) results in a new solution f2 which corresponds to
the sequence of vertices { 2, 1 , ... , i+1, i. .., n , n-1}.
LS_length: In this local search process the focus is on those
edges which have maximum contribution to the CBS. For a
E is 'longest' if (uv, f) is maximum
solution f, an edge uv
among all edges. Let L_EdgeSet(f) denote the set of all longest
edges for the solution f. In order to improve the solution f, for
each edge uv L_EdgeSet(f) following procedure is applied.
Keeping the label of vertex u fixed, we attempt to perform a
swap between the labels of vertex v with a subset of its
neighbours. The criterion for selecting this subset is based
upon the tabu search approach proposed by Marti et al. [7].
Define max(v) = max{ f(x): xv
V(G)} and min(v) = min
{f(x): xv V(G)} and best(v) = floor(max(v) + min(v))/2). The
set of suitable subset for swap is taken as SwapSet(v) = { x :
|best(v) - f(x)| < |best(v) - f(v)|}. The swapping is now
implemented as:
for each w SwapSet(v)
Obtain f2 by swapping the labels of v and w.
if cost(f2) < cost(f)
f f2;
endfor
IV. EXPERIMENTS AND RESULTS
This section describes the computational experiments that we
performed to study the efficacy of GVNS on various test
graphs. In Section IV A we describe the classes of graphs that
we use in the experiments. For each graph, 20 distinct
executions of GVNS were carried out and summary statistics
were generated which are reported in Section IV B. Values of
max_cnt and max_cnt1 were taken to be 50 and 20. The code
for the experiments was written in MATLAB 7.0.1 and run on
an Intel Core 2 Duo E8400@3.00 GHz machine with 4GB
RAM.

tree with one internal node and k-1 leaves. It has k

vertices and k-1 edges.
Power: The kh power of a graph G is the graph Gnk, with the
same vertex set as G and (u, v)
E if d(u,v) < k+1;
(d(u,v) is the distance between the vertices u and v in G).
Cartesian product: The cartesian product of two graphs G
and H, denoted as GH, is the graph with vertex set
V (G) V (H) where (u1,v1) is adjacent to (u2,v2) if either
(u1,u2)

E (G) and v1= v2 or (v1,v2)

E (H) and u1= u2.

b) ug Graphs (ugs): A set of random graphs from RND_CD

collection is used [8].
c) Harwell-Boeing Sparse Matrix Collection graphs
(HBSMCG): It s a subset of the public domain Matrix
Market library [9].We derived 22 instances from the
Harwell-Boeing Sparse Matrix Collection. This collection
consists of a set of standard test matrices arising from
various problems in scientific and engineering disciplines.
Graphs are derived from these matrices as follows. Let Mij
denote the element of the ith row and jth column of the nn
sparse matrix M. The corresponding graph has n vertices.
Edge (i, j) exists in the graph if and only if Mij =0.
B. Results
GVNS is able to achieve the optimal values of cyclic
bandwidth sum for all the graphs with known results. This
could be attributed to the fact that the implemented GVNS
explicitly encodes the idea of neighbourhood change for
possible escape from local optima. For the complete bipartite
graphs the optimal cyclic bandwidth sum is achieved for all
instances tested up to n, m 20. For paths, cycles, star graphs
and Wheel graphs optimal cyclic bandwidth sum is readily
achieved for n 200. GVNS obtained the optimal results for
all instances of Power graph of cycle which were tested for n
100 and k 10. Optimal labeling of P3 P3, C104, and K10,11,
are shown in Fig. 1, Fig. 2 and Fig. 3 respectively.

303

We also studied the CBS for HBSMCG and ug graphs. In

Table I which contains the experimental results of CBS for ug
graphs along with the elapsed time (amount of time (in
seconds) MATLAB takes to complete the operations
specified). Table II reports similar results for HBSMCG
obtained by GVNS.
We also simulated GVNS on the cartesian product of paths,
cycles and complete graphs. CBS obtained by GVNS for these
graphs, together with their upper bounds [1] are given in Table
III. For the meshes PxPy, and CxxCy, CBS obtained are nearly
equal to their upper bounds, but for the remaining products
(KxxKy, PxxKy, PxxCy, CxxKy ) they are substantially lower
than the upper bounds.
2

9
5

Fig. 1: An optimal labeling of P3 P3, CBS (P3 P3)=19

1
10
2

9
3

8
4

Fig. 2: An optimal labeling of C104, CBS (C104)=100

18

17

13

21

12

14

16

15

20

19

10

CBS

ug35_50d
ug36_50d
ug38_50d
ug39_50d
ug40_50d
ug13_60d
ug15_60d
ug18_60d
ug81_70d
ug79_70d
ug78_70d
ug76_70d
ug75_70d
ug99_80d
ug98_80d
ug94_80d
ug93_80d
ug91_80d
ug51_90d
ug53_90d
ug55_90d
ug56_90d
ug58_90d
ug14_100d
ug15_100
ug16_100d
ug18_100
ug19_100
ug25_100d
ug71_100d

50
50
50
50
50
60
60
60
70
70
70
70
70
80
80
80
80
80
90
90
90
90
90
100
100
100
100
100
100
100

410
595
519
586
528
600
729
648
1056
1178
809
933
1138
1460
1536
1159
1369
1285
1687
1644
1508
1278
1823
2182
1971
2341
1997
2034
1472
1508

Time
(seconds)
0.672
0.578
0.766
0.704
0.515
0.75
0.844
0.609
0.735
0.735
0.797
0.922
0.688
0.656
0.703
0.969
0.969
1.125
0.812
1.188
0.922
0.844
0.75
0.891
1.015
1.719
1.078
0.922
0.891
0.921

TABLE II
CYCLIC BANDWIDTH SUM OF HBSMCG OBTAINED BY GVNS

5
6

11

Graphs

Fig. 3: An optimal labeling of K10, 11, CBS (K10, 11) =580

TABLE I
CYCLIC BANDWIDTH SUM OF UG GRAPHS OBTAINED BY GVNS

304

Graphs

can24
ibm_32
bcspwr_1
bcsstk_01
bcspwr_02
curtis_54
will_57
impcol_b
can61
bfw62a
can62
dwt_72
can73
steam_03
ash85

24
32
39
48
49
54
57
59
61
62
62
72
73
80
85

CBS
247
519
257
1424
404
1055
1030
3061
2103
1699
348
178
1338
5814
3329

Time
(seconds)
0.532
0.594
0.36
0.812
0.531
0.766
0.781
1.172
1.594
2.141
0.766
0.625
0.984
1.297
1.297

str1487
gent113
bcsstk_22
bcspwr_03
arc130
can144
will_199

87
104
110
118
130
144
199

2410
11354
5053
3631
19989
16036
27808

1.328
4.907
1.937
1.594
3.734
3.125
6.422

P6xK5
P6xK6
P6xK7
P7xK6
P7xK7
P7xK8
P8xK7
P8xK8
P8xK9
C3xK3
C3xK4
C4xK3
C4xK4
C4xK5
C5xK4
C5xK5
C5xK6
C6xK5
C6xK6
C6xK7
C7xK6
C7xK7
C7xK8
C8xK7
C8xK8
C8xK9
P3xC3
P3xC4
P4xC3
P4xC4
P4xC5
P5xC4
P5xC5
P6xC5
P6xC6
P7xC6
P7xC7
P7xC8
P8xC7
P8xC8

TABLE III
CYCLIC BANDWIDTH SUM OF CARTESIAN PRODUCT OF GRAPHS OBTAINED BY
GVNS

Graphs
P3P3
P4P3
P4xP4
P5xP3
P5xP4
P5xP5
P6xP5
P6xP6
P7xP6
P7xP7
P8xP7
P8xP8

n
9
12
16
15
20
25
30
36
42
49
56
64

C3xC3
C4xC4
C5xC4
C5xC5
C6xC5
C6xC6
C7xC6
C7xC7
C8xC7
C8xC8
K3xK3
K4xK3
K4xK4
K5xK4
K5xK5
K6xK5
K6xK6
K7xK6
K7xK7
K8xK7
K8xK8
P3xK3
P4xK3
P4xK4
P4xK5
P5xK4
P5xK5

9
16
20
25
30
36
42
49
56
64
9
12
16
20
25
30
36
42
49
56
64
9
12
16
20
20
25

CBS
19
35
60
46
79
120
147
207
251
336
391
504
36
88
110
165
198
276
322
427
488
624
36
76
152
282
460
759
1128
1729
2409
3488
4640
27
43
88
155
114
200

Upper bounds
24
35
60
46
79
120
149
210
251
336
391
504
39
88
110
165
198
276
322
427
488
624
39
88
168
290
475
795
1182
1757
2450
3584
4768
33
57
140
255
216
395

30
36
42
42
49
56
56
64
72
9
12
12
16
20
20
25
30
30
36
42
42
49
56
56
64
72
9
12
12
16
20
20
25
30
36
42
49
56
56
64

245
390
581
461
686
972
791
1120
1527
36
74
52
104
180
130
225
335
270
390
581
461
735
972
840
1184
1608
27
40
43
72
107
94
140
173
240
286
378
482
439
560

565
1002
1547
1359
2100
3184
2737
4152
5823
39
88
66
152
270
232
415
723
590
1032
1582
1395
2142
3232
2786
4208
5886
33
44
57
76
95
116
145
205
246
330
385
440
497
568

V. CONCLUSION
In this paper we have applied a general variable
neighbourhood search to the cyclic bandwidth sum problem
(CBSP). In GVNS, there is one initial improvement phase
RVNS, which improves the initial solution. On this solution
shaking phase operations (SPO) and local search operations
(LSO) are applied for moving the solution from its position
and for improvement. We used six SPO and two LSO. GVNS
achieves the optimal values of cyclic bandwidth sum for all
graphs with known results and gives values less than the upper
bound for cartesian product of paths, cycles and complete
305

graphs. For ug graphs as expected, the cyclic bandwidth sum

increases with an increase in edges and also when the size of
graph increases.
VI. ACKNOWLEDGMENT
This work is supported by University Grants Commission
(UGC), New Delhi vide letter no 36-66/2008 (SR).

VII. REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]

[7]

[8]
[9]

H. Jianxiu, Cyclic Bandwidth sum of graphs, Applied mathematics,

vol. 6, pp. 115-121, 2001.
F. R. K. Chung, Labellings of graphs, In: Beineke L. W.,Wilson R. J.,
eds., Selected topics in graph theory, pp. 151168,1998.
Y. Jinjiang, Cyclic arrangement of graphs, Graph Theory Notes of
New York, New York Academy of Sciences, pp. 6-10, 1995.
Y. D. Chen, J. H. Yan, A study on cyclic bandwidth sum, J. Comb.
Optim., vol. 14, pp. 295-308, 2007.
P. Hansen, and N. Mladenovic, Variable neighbourhood Search, In:
Search methodologies, 2005, pp. 211-238.
N. Kapoor, M. Russell, I. Stojmenovic, and A. Y. Zomaya, A genetic
algorithm for finding the pagenumber of interconnection networks,
Journal of parallel and distributed computing, vol. 62, pp. 267-283,
2002.
R. Marti, M. Laguna, F. Glover, and V. Campos, Reducing the
bandwidth of a sparse matrix with tabu search, European Journal of
operational Research, vol. 135, pp. 211-220, 2001.
http://www.dia.uniroma3.it~gdt/
http://math.nist.gov/MatrixMarket/data/Harwell-Boeing/

306

A Novel Phase Detection System for Linear AllDigital Phase Locked Loop
Abhishek Das, Suraj Dash, B.Chitti Babu, Member, IEEE, and Ajit Kumar Sahoo, Member, IEEE.

Abstract-- In this paper, a novel fast phase detection system for

all-digital phase locked loop (ADPLL) is presented. The phase
detection system is realized by generating an analytic signal using
a compact implementation of Hilbert transform and then simply
computing the instantaneous phase. 16-bit CORDIC algorithm is
employed in order to obtain the phase information of the signal.
All the components used in this phase detection system are
realized as digital discrete time components. This design does not
involve any class of multipliers thus reducing the complexity of
the design. The phase detection system although providing a
definite advantage over conventional analog phase detectors, the
Hilbert filter implemented in this paper has been designed using
a method based on complex, multiplier less sampling filters. A
comparison has been drawn between the continuous PLL
models phase detection system and the proposed method for
effectiveness of the study. The studied system is modeled and
tested in the MATLAB/Simulink environment.

Index Terms-- Phase detector, Hilbert Transform, CORDIC

algorithm, Phase locked loop, Signal processing.

I. INTRODUCTION

HE digital domain provides very high accuracy as

compared to the analog domain. The calibration of a
digital device is also easier than an analog device and is
reprogrammable. Thus all experimentation carried out in the
digital domain provides a certain edge towards them. The
main motivation of the paper was the need of an accurate
phase detection system which is easily realizable for an FPGA
based linear all digital phase locked loop [1] which was
required for a flexible offset local oscillator in a fast phase
detection system for closed loop RF controls in the heavy ion
particle accelerator SIS18 at GSI [2], [3]. Although many
reports and publications describe the all-digital phase locked
loop, but very few of them actually provide detailed analysis
of the construction of an accurate phase detection system.
In an analog phase locked loop, the phase detector mainly
consists of a multiplier which multiplies the two incoming
sinusoidal signals. This results in two different signals, one
which is the addition of the frequencies of the signal and the
other the difference of the frequencies of the signal. The
former one is discarded using a low pass filter, while the latter
one represents the phase difference of the signal.
Abhishek Das, Suraj Dash and Ajit Kumar Sahoo are with the Department
of Electronics and Communication Engineering, National Institute of
Technology, Rourkela-769008, INDIA (e-mail: i.abhishek.das@gmail.com,
surajdash@gmail.com, ajitsahoo@nitrkl.ac.in ).
B.Chitti Babu is with the Department of Electrical Engineering, National
Institute
of
Technology,
Rourkela-769008,
INDIA
(e-mail:
bcbabu@nitrkl.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

This paper describes an improvised phase detection system

using the Hilbert Transform and the Coordinate Rotation
Digital Computer (CORDIC) algorithm. The Hilbert filter
used in this paper is used to generate an analytic signal which
is phase shifted by 90 degrees from the original signal. Then
the CORDIC algorithm is used in order to obtain the phase
information of the signal by simple addition and subtraction of
the generated analytic signal and the original signal. This
reduces the complexity of the circuit for the phase detection
systems since there are no multipliers involved. As opposed to
the continuous PLL models phase detection system, the
proposed phase detector has the advantage of programmability
and easy calibration.
The organization of the paper is given as follows: In
section II, phase detection based on a continuous PLL model
is analyzed. The proposed design for the phase detection based
on ADPLL system is discussed in section III. Section IV gives
the implementation of the proposed phase detection system in
detail. Then, the results from simulations are presented in
section V, followed by a conclusion in section VI.
II. CONTINUOUS PLL MODEL
This section deals with the working of a simple analog
phase locked loop (PLL). The continuous PLL consists of
three basic blocks:
1. Phase Detector block.
2. Low Pass Filter
3. Voltage controlled Oscillator (VCO)
A simple PLL is used to lock in two waveforms such that
they are totally in synch with each other. The input signal acts
as a reference signal. The signal which is to be altered is given
as a center frequency of the VCO. This signal is then modified
in subsequent stages to be identical to the reference input
signal.
In the continuous PLL [5] model as given in Figure 1, the
multiplier acts as a phase comparator along with a low pass
filter. The input signal as well as the output of the VCO is fed
into the multiplier. The output of the multiplier consists of two
signals. One of the frequencies is the difference of the
frequencies of the reference signal and the output of the VCO
while the second frequency is their sum. To obtain the signal
with frequency as the difference of the frequencies, the output
of the multiplier is passed through a low pass filter which
rejects the sum of the frequencies and lets the difference of the
frequencies to pass through. The various equations related to
the working of the continuous PLL have been derived below.

307

Fig. 2. Response of a locking of signal by a continuous PLL.

Fig.1. Continuous PLL model

Let the input reference signal be

the VCO be

vVCO cos( t

(t )) .

vi sin( t ) and output of

Then the output of the

multiplier can be given by,

vm

vi sin( t ).vVCO cos( t

vi .vVCO
(sin((
2

o )t )

sin((

(t ))

o )t

(t ))

(1)

This output of the multiplier is then passed through a low

pass filter so that the sum of the frequencies is rejected. Thus
the output of the low pass filter is given by,
vVCO.vi
(2)
vlpf
sin(( i
o )t (t ))
2
Thus the output of the filter is an instantaneous function of
the difference of the frequencies.
The output of the VCO block can be given by,
vVCO

cos(wct

k vlpf .dt)

III. ALL DIGITAL PLL

An All-Digital Phase Locked Loop is a type of PLL in
which all the components are digitized and thus can be used in
any FPGA. This property of an ADPLL gives it flexibility as
the component parameters can easily be adjusted on the field
itself. Moreover factors such as temperature dependency of the
analog components and parasitic capacitance no longer disturb
the functioning of the circuitry.
The structure of an all-digital phase locked loop is shown in
figure 3. Although there are digital PLLs existing, the main
difference between an ADPLL and a digital PLL is that the
Digital PLL has an analog component called the charge pump
which translates the phase difference into corresponding
voltage, but in an ADPLL simply no analog component exists.
The phase detection is done using a Hilbert filter and the
CORDIC algorithm which are described further in this section.
The advantage of using Hilbert transform along with CORDIC
algorithm as the phase detection system over other methods
such as time to digital converter is that it provides a large
working range and very fine resolution. The phase difference
is compensated by the controller or loop filter F(z). This loop
filter tunes the frequency of a direct digital synthesizer (DDS).

(3)

Thus it is seen that the frequency of the VCO changes

according to the output voltage of the low pass filter. Thus for
a large difference between signals at the starting point of the
PLL, it can be seen that the output of the low pass filter
adequately gives a voltage output in accordance to the
difference of the frequencies. This voltage is then given as an
input to the VCO which changes its frequency according to
the voltage output of the low pass filter.
Thus at every subsequent completion of a cycle, the phase
as well as frequency difference between the signals goes on
reducing. This process continues till both the signals are
perfectly in synch with each other with a zero or a constant
phase difference between them. An example of a complete
lock on of two different frequency signals has been shown in
figure 2.

Fig.3. Structure of an ADPLL

A. Hilbert Transform
The concept of analytic signal is used in order to obtain the
phase information of the signal. The analytic signal has the
property that it has no negative frequency components. Any
) can be concerted to a positive
real sinusoid A cos( t
frequency

308

complex

sinusoid

Ae

j( t

by

simply

generating a phase quadrature component A sin( t

) to
serve as the imaginay part. For complicated signals consisting
of sum of many sinusoids , a filter is used which shifts each
component by a quarter cycle. This type of filters are called
Hilbert Transform Filters. This type of filter ideally has a
magnitude of 1 and introduces a phase shift of /2 at each
positive frequency and + /2 at each negative frequency. The
frequency response of a discrete hilbert transform can be given
by,
j for 0
j
(4)
j for
, 0
H H (e )
0 for
0
Applying inverse fourier transform, impulse response,
2
1 cos n
for n odd
h(n) =
= n
n
0 for n even

(5)

The analytic signal is generated by applying hilbert

transform to the real signal and using it as the imaginary part
to extend the original signal. Let H {x} denote the hilbert
transform of an input signal x. Thus for an input signal x(n),
the analytic signal can be represented by,
(6)
x(n) x(n) jH {x(n)}
where x(n) represents the analytic signal. This signal does
not have any spectral components in the range <<0. Using
the above, the filter operation can then be formulated as,
H A (e

) 1

jH H (e

(7)

The phase information is then obtained by simply using the

arctangent through a CORDIC algorithm given by the
representation,

(t )

arctan

Im( x(n))
Re( x(n))

cos
sin

sin
cos

arctan

1
2n

(11)

Their sums must equal to the rotation angle :

Sn n
(12)
n 0
where Sn={1; +1} in respect to addition or subtraction.
Rewriting the equation for rotation,
Xn 1
1
Sn 2 n X n
cos n
(13)
Yn 1
Yn
Sn 2 n
1
Here, cos n can be treated as a constant K and computed at
the end and multiplications are replaced with shift operations.
Residue Z which denes then angle difference between the
expected rotation and the iterative rotations is:
n
n
1
arctan
Zn 1
(14)
i
2i
i 0
i 0
The rotation parameter Sn is determined by:
1 if Z n 0
Sn
(15)
1 if Z n 0
Practically, the iteration does not go up to innity. In the
hardware implementation, the resolution of the result is
increased by one bit for each iteration, and hence look-up table
of N entries is required to store the pre-computed arctan
values where N is the no. of iterations to be performed.
Driving Z to zero, the CORDIC performs:

(8)

B. CORDIC Algorithm
The CORDIC (COordinate Rotation DIgital Computer)
algorithm is a method used to compute elementary
trigonometric functions by means of planar rotation and
vectoring. The coordinate system of the input parameter is
rotated through constant angles until the angle is reduced to
zero. Planar rotation for a vector A of (Xj, Yj) can be dened
in matrix form as:

Xj
Yj

1
tan n X n
cos n
(10)
tan n
1
Yn
By selecting the angle steps n such that the tangent of a step
(tan n ) is a power of 2, the multiplication operation can be
eliminated and substituted by shift operation. The following
equation gives the angle parameter for each step.
Xn 1
Yn 1

Xi
Yi

Xi
Yi
Zi

P( X i cos Zi Yi sin Zi )
P(Yi cos Zi X i sin Zi )
0

(16)

With initial values Xi=1/P, Yi=0, and Zi= we will have at

the end of the iteration:
Xi
Yi

cos
sin

Zi

(17)

To suit our demand, we need to drive Y to zero instead of Z.

The obtained result is:

(9)

Xi

To calculate the rotation, trigonometric functions (cos and

sin) are involved. This rotation angle in fact can be executed
in steps by means of iterative process. With a slight
rearrangement, the following equation denes this process
which performs the rotation stepwise.

Yi
Zi

P X i2 Yi2
0
Y
Z i arctan i
Xi

Again with Xi=X, Yi=Y, and Zi=0 we obtain

309

(18)

Xi
Yi
Zi

P X2

Y2

(19)

Y
arctan i
Xi

Neglecting the amplication factor P, Xj and Zj correspond to

the magnitude and phase information we need.
IV. SYSTEM IMPLEMENTATION
The phase detection consists of a Hilbert transform which
generates an analytic signal. This signal has the advantage that
there are no negative frequency components. Then CORDIC
algorithm is applied for cartesian to polar conversion of the
obtained phase information. For the Hilbert transformation, a
multiplier less complex frequency sampling filter (FSF) is
used as a Hilbert filter. These FSFs can be generalized to
consist of combed filters with a transfer function,
FzN ( z ) 1 z N

C+90(z) which introduces a pole at +90 to cancel the zero.

This results in a narrow band analytic filter with a pass-band
centered at =90. Now in order to improve the filter further,
the negative frequency components are damped at =-30 and
=-150 by introducing zeros at these two points. Also to
sharpen the transition band poles on the real axis at +
1
are introduced through P(z). Thus the analytic filter is
2
represented by,
n
1
(22)
H A ( z)
Z 90 ( z ) Z 30 / 150 ( z ) P( z )
4
where n = order of the filter.
Z 90 ( z ) 1 jz 1
Z 30 / 150 ( z ) 1 jz 1 z 2
z 2
P( z )
1 0.5 z 2

(23)
(24)
(25)

(20)

These filters have the property that they produce equidistant

zeros on the unit circle at multiples of = 360/N. Also the
FSF use IIR filters to produce poles on the unit circle. These
poles cancel the zeros on the unit circle at the desired
frequencies. These cancellation IIR filters are represented by,
z N
C ( z)
(21)
1 a1 z 1 ... a N z N
A table of possible IIR filter coefficients with different pole
locations is listed in table I. These coefficients have been
directly used from [4]. Figure 4 shows an effective
implementation of a multiplication of a complex number by j.
This type of design ensures that the final filter has a finite
impulse response even if it is recursive in nature. All types of
filters thus can be designed using poles from the table listed.

This type of filter also has the advantage that there are no
multipliers involved in the implementation of the filter which
reduces the complexity of the design. Now there exists a
tradeoff between the amount of damping at the negative
frequencies and brick wall characteristic of the band-pass filter
and this tradeoff depends on the order of the filter. More the
order of the filter more is the damping effect of the negative
frequencies, but less sharp is the transition band. Thus, the
filter order is chosen to be two which gives an optimized result
with both adequately sharp transition as well as sufficient
damping of the negative frequencies. As a 16 bit CORDIC
algorithm is used the phase accuracy is arctan 2116 . As the
resolution of the CORDIC algorithm increases so does the
phase accuracy and the complexity of the design. Thus there is
a trade-off between the phase accuracy and the complexity of
the CORDIC algorithm. The Hilbert filter used is shown in
figure 5.
TABLE I: COEFFICIENTS OF IIR FILTER EQUATION WITH CORRESPONDING
ANGLES AT POLE LOCATIONS

Fig. 4. Structure of Implementation of C+90(z)

The proposed analytic filter must cancel all the negative

frequencies or all components in the range -180 and 0. Thus
a comb filter Fz4(z) is used which produces zeros at e

e j 90 , e j180 and e

j 90

j0

,
. The zero at 90 is cancelled using

310

C(z)

a1

C0(z)

-1

a2

a3

0
180

C180(z)

C+60(z)

-1

+60

C+90(z)

+90

C+120(z)

+120

C0/180(z)

-1

0/180

C+90(z)

-j

+90

C-90(z)

C+30/+150(z)

-j

-1

-90

C-30/-150(z)

-1

C0/+90/+180(z)

-j

-1

+30

+150

-30

-150

0/180

+90

Fig. 5. Implementation of HA. A second order filter is used where each sub-filter is implemented twice. The real filter P(z) is implemented first followed by
Z-30/-150 and then Z-90.

The analytic signal thus generated for the input signal and
the DCO output using the Hilbert transformer is used to get
their corresponding phase values with the help of CORDIC
algorithm. Here a CORDIC algorithm with a variable
precision is presented. Using MATLAB a function for the
CORDIC algorithm has been devised where the precision can
be fixed before the start of the program using a variable. With
the help of look-up tables multiplications can be converted to
mere shifting and addition in hardware implementation.
The phase value of the two signals thus found is subtracted
and the difference is used to drive the loop filter of the phase
locked loop.
Fig.6. Analytic signal output from Hilbert Filter.

V. RESULTS AND DISCUSSION

This section presents the results for the proposed phase
detection system for ADPLL in digital processing
applications. The implementation of the phase detector was
simulated using MATLAB/Simulink 7.6 simulation package.
It was observed that for the two stage Hilbert filter the passband ripples ranged from -0.0257 to 0 dB for positive
frequencies. Also the stop-band attenuation was around 44 dB
for negative frequencies. All frequencies were in the absolute
range |0.065fs to 0.435fs|. The analytic signal generated from
the Hilbert filter is shown in figure 6.

Another similar sinusoid signal but with a different

frequency was taken and passed through another Hilbert filter.
Then using the CORDIC algorithm the phase information of
the signals were extracted and are shown in figure 7.

311

Fig.7. Phase information of the two input signals.

After extracting the phase information, the phases of the

two signals were simply subtracted at each sample and the
instantaneous phase difference was calculated which is shown
in figure 8.

Fig. 10. Phase Difference of the two input signals. One of the signals used
here is outside the range |0.065fs to 0.435fs|.

.
This is due to the fact that the frequency of the input signal
actually lies beyond the pass-band of the Hilbert filter. Thus
an erroneous signal which is not analytic is processed by the
CORDIC algorithm which results in this unusual behaviour.

VI. CONCLUSIONS

Fig.8. Phase difference of the two input signals.

The same procedure was again followed for two signals

with a larger frequency difference. In this case the phase
information deduced has been shown in figure 9. One of the
frequencies used is deliberately taken outside the absolute
range |0.065fs to 0.435fs|.

In this paper, a generic design of a phase detector system is

presented which utilizes the Hilbert transform and the
CORDIC algorithm. Although many papers and publications
do make a reference to this method of phase detection, very
few of them actually provide any detailed in depth analysis of
the phase detection system. This design does not involve any
class of multipliers thus reducing the complexity of the design.
Although, there are existing continuous PLL models which
use simple multipliers such as phase comparators, the digital
domain provides the advantage of easy calibration,
programmability and a high accuracy. The main advantage
that this system provides over the continuous PLL model and
other digital phase detectors such as TDCs (Time to Digital
Converter) is that it has higher phase accuracy with minimum
phase error. Also the 16-bit CORDIC algorithm provides a
faster response with lesser complexity. The phase detection
system although providing a definite advantage over
conventional analog phase detectors, has a limited range
where it shows maximum efficiency. This phase detection
system can be an integral part of a full scale all digital PLL.
On an FPGA based platform ADPLL can be seen with
reduced complexity and with more general use in the near
future.
REFERENCES
[1]

Fig.9. Phase information of two input signals. One of the signals used here is
outside the range |0.065fs to 0.435fs|.
[2]

The corresponding phase difference has been shown in

figure 10. It can be seen that the phase difference response is
similar to the reference signal phase information only with
periodic change in its magnitude of phase.

[3]

[4]

[5]

312

Martin Kumm, Harald Klingbeil, and Peter Zipf, Member, An FPGABased Linear All-Digital Phase-Locked Loop, IEEE Trans. on
Circuits Syst-I, Regular paper, vol. 57, no. 9, Sept. 2010. pp.24872497.
H. Klingbeil, A fast DSP-based phase-detector for closed-loop RF
control in synchrotrons, IEEE Trans. Instrum. Meas., vol. 54, no. 3,
pp. 12091213, Jun. 2005.
H. Klingbeil, B. Zipfel, M. Kumm, and P. Moritz, A digital beamphase control system for heavy-ion synchrotrons, IEEE Trans. Nucl.
Sci., vol. 54, no. 6, pp. 26042610, Dec. 2007.
M.Kumm and M. S. Sanjari, Digital Hilbert transformers for FPGAbased phase-locked loops, International Conference on Field
Programmable Logic and Applications, 2008. FPL 2008, 8-10 Sept.
2008, pp. 251256.
H R Pota, Phase-Locked Loop, June 6, 2005 (Technical Brief Lecture
Notes).

Analysis and Adjustment of Steady State

Responses of Rational Systems Associated with
Interval Systems
Vinay Pratap Singh, Member, IEEE, and D. Chandra, Member, IEEE

Abstract-- This paper presents analysis and adjustment of

steady state responses of rational systems associated with interval
systems. First, it is shown that the responses of rational systems of
interval system do not attain common steady state and then the
gain adjustment factor technique is used to adjust the steady
states of rational systems to make the responses compatible with
the desired steady state. A numerical example is provided to
validate the proposed method.
Index Terms-- Interval
Kharitonov polynomials.

arithmetic,

Interval

systems,

I. INTRODUCTION

V illustrates a numerical example and conclusion is given in

section-VI followed by references in section-VII.
II. KHARITONOV POLYNOMIALS PRELIMINARIES
Consider a family of real interval polynomials:
K ( s) [

where [

Vinay Pratap Singh and D. Chandra are with the Department of Electrical
Engineering, M. N. National Institute of Technology, Allahabad-211004,
India (emails: vinaymnnit@gmail.com, dinuchandra@rediffmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

] [

]s [

]s 2 [

] are coefficients of s i with

]s n

(1)

as lower bound

and i as upper bound of interval [ i , i ] .

Following four Kharitonov polynomials [10] are associated
with K ( s) as given below:

ANY systems, such as robotic manipulators, electrical

machines, flight vehicles, and large power networks are
formulated in uncertain parameters. These variations of
uncertain parameters arose from parameter variations,
unmodelled dynamics, sensor noises and actuator constraints
generally do not follow known probability distributions. The
parameters of such systems are quantified in terms of bounds
where each bound varies in an interval having a lower and
upper limit. Such systems which are modelled in terms of
parameters having an interval are known as interval systems.
Analysis, design and control [1]-[9] of interval systems have
received considerable potential since the pioneering work of
Kharitonov [10]. Kharitonov proposed four polynomials,
which are known as Kharitonov polynomials, for a family of
interval polynomials. Based on these Kharitonov polynomials,
an interval system is converted to sixteen rational systems
[11]. The general nature of these sixteen rational systems is
that these are not attaining a common steady state for a
common excitation.
In this paper, analysis of responses of rational systems is
presented as well as a technique for adjustment for steady state
of responses to a common steady state is suggested. Gain
adjustment factor method is used for adjustment of steady
states of responses of rational systems. This paper is organised
as: section-II covers preliminaries of Kharitonov polynomials,
section-III presents rational systems of interval systems,
section-IV covers gain adjustment of rational systems, section-

K1 ( s)

s2

s3

(2)

K 2 ( s)

s2

s3

(3)

K3 ( s)

s2

s3

(4)

K 4 ( s)

s2

s3

(5)

III. RATIONAL SYSTEMS OF INTERVAL SYSTEMS

Consider an n th order continuous interval system
H ( s)

[b0 , b0 ] [b1 , b1 ]s [bn 1 , bn 1 ]s n

[a0 , a0 ] [a1 , a1 ]s [an , an ]s n

(6)

n 1

[bi , bi ]s i
i 0
n

(7)
[ai , ai ]s

i 0

N ( s)
D( s)

(8)

where [bi , bi ] for i 0,1, , n 1 and [ai , ai ] for

i 0,1, , n are coefficients of numerator polynomial i.e.
N (s) and denominator polynomial i.e. D( s) of H (s) ,
respectively; bi and bi are, respectively, lower bound and

313

upper bounds of interval [bi , bi ] and ai

and ai

V. NUMERICAL EXAMPLE

are,

Consider a third order continuous interval system [5]

respectively, lower and upper bounds of interval [ai , ai ] .

Using (2)-(5), the Kharitonov polynomials of numerator
polynomial N (s) are given as

H ( s)

[15,16] [17.5,18.5]s [2,3]s 2

[20.5, 21.5] [35,36]s [17,18]s 2 [2,3]s 3
N (s)
D( s)

(20)

N1 ( s)

b0

b1 s b2 s 2

b3 s 3

(9)

N 2 ( s)

b0

b1 s b2 s 2

b3 s 3

(10)

N3 ( s)

b0

b1 s b2 s 2

b3 s 3

(11)

For this problem, (9)-(16) becomes (21)-(28), respectively, as

given below:

N 4 ( s)

b0

b1 s b2 s 2

b3 s 3

(12)

N1 ( s) 15 17.5s 3s 2

(21)

N 2 ( s) 16 17.5s 2s 2

(22)

Similarly, the Kharitonov polynomials of denominator

polynomial D( s) are given as
D1 ( s)

a0

a1 s a2 s 2

a3 s 3

(13)

N3 ( s) 16 18.5s 2s 2

(23)

D2 ( s)

a0

a1 s a2 s 2

a3 s 3

(14)

N 4 ( s) 15 18.5s 3s 2

(24)

D3 ( s )

a0

a1 s a2 s 2

a3 s 3

(15)

D1 ( s)

20.5 35s 18s 2

3s 3

(25)

D4 ( s)

a0

a1 s a2 s 2

a3 s 3

(16)

D2 ( s)

21.5 35s 17 s 2

3s 3

(26)

Therefore, the rational systems associated with continuous

interval system (6) are given as

D3 ( s)

21.5 36s 17 s 2

2s 3

(27)

D4 ( s)

20.5 36s 18s 2

2s 3

(28)

H i, j (s)

Ni ( s)
D j (s)

i, j 1, 2,3, 4

(17)

Since, i and j both are varying form 1 to 4, the maximum

number of rational systems, which is depending on the value of
n , associated with H (s) is 16.

The rational systems, using (17), associated with (20) are

given by (29)-(44) as follows:

IV. GAIN ADJUSTMENT OF RATIONAL SYSTEMS OF INTERVAL

SYSTEMS
The general nature of responses of rational systems given in
(17) is that these are not achieving a common steady state. The
gain adjustment factors are used to adjust the steady states of
the responses of rational systems to make the responses
compatible with desired one.
Suppose, a steady state of magnitude A is desired for step
excitation. The gain adjustment factors for step responses are
calculated as

hi , j

A
H i , j ( s)

i, j 1, 2,3, 4

(18)

hi , j

15 17.5s 3s 2
20.5 35s 18s 2 3s 3

(29)

H1,2 ( s)

15 17.5s 3s 2
21.5 35s 17 s 2 3s3

(30)

H1,3 ( s)

15 17.5s 3s 2
21.5 36s 17s 2 2s 3

(31)

H1,4 ( s)

15 17.5s 3s 2
20.5 36s 18s 2 2s3

(32)

H 2,1 ( s)

16 17.5s 2s 2
20.5 35s 18s 2 3s3

(33)

H 2,2 ( s)

16 17.5s 2s 2
21.5 35s 17 s 2 3s3

(34)

H 2,3 ( s)

16 17.5s 2s 2
21.5 36s 17 s 2 2s3

(35)

s 0

Finally, the transfer functions of rational systems after

application of gain adjustment factors are given below:
H i , j ( s )

H1,1 ( s)

Ni (s)
D j (s)

i, j 1, 2,3, 4

(19)

314

16 17.5s 2s 2
20.5 36s 18s 2 2s3

H 2,4 ( s)

(36)

Step Response
1

16 18.5s 2s 2
20.5 35s 18s 2 3s 3

(37)

H 3,2 ( s)

16 18.5s 2s 2
21.5 35s 17 s 2 3s3

(38)

H 3,3 ( s)

16 18.5s 2s 2
21.5 36s 17s 2 2s3

(39)

H 3,4 ( s)

16 18.5s 2s 2
20.5 36s 18s 2 2s 3

0.8

Amplitude

H 3,1 ( s)

0.6

0.4
(33)
0.2

(34)

(40)

(35)
0

H 4,1 ( s)

15 18.5s 3s 2
20.5 35s 18s 2 3s3

(41)

H 4,2 ( s)

15 18.5s 3s 2
21.5 35s 17 s 2 3s3

(42)

H 4,3 ( s)

15 18.5s 3s 2
21.5 36s 17 s 2 2s3

(43)

0.8

H 4,4 ( s)

15 18.5s 3s 2
20.5 36s 18s 2 2s3

(44)

0.6

(36)
0

Time (sec)
Fig. 2. Unit step response of rational systems.
Step Response

Amplitude

Fig. 1-4 show the unit step responses for (29)-(44).

0.4
(37)

Step Response
1

0.2

(38)
(39)

Amplitude

0.8

Time (sec)
Fig. 3. Unit step response of rational systems.

0.6

0.4
(29)
0.2

(40)

(30)
(31)
(32)
0

Time (sec)
Fig. 1. Unit step response of rational systems.

315

H 4,1 (s) 1.2813H 4,1 (s)

(57)

H 4,2 (s) 1.3438H 4,2 (s)

(58)

0.8

H 4,3 (s) 1.3438H 4,3 (s)

(59)

0.6

H 4,4 (s) 1.2813H 4,4 (s)

(60)

Amplitude

Step Response

Fig. 5-8 show the unit step responses for (45)-(60).

0.4
Step Response
(41)
0.2

(42)
(43)

(44)
0

0.8

5
Amplitude

Time (sec)
Fig. 4. Unit step response of rational systems.

From Fig. 1-4, it is clear that responses of rational systems

are not achieving a common steady state. This problem of
common steady state can be overcome by gain adjustment
factors. After application of gain adjustment factors for A 1 ,
the rational systems given in (29)-(44) becomes, respectively,
as follows:

H 1,1 (s) 1.3667H1,1 (s)

0.6

0.4
(45)
(46)

0.2

(47)
0

(45)

(48)
0

Time (sec)
Fig. 5. Unit step response of rational systems.

H 1,2 (s) 1.4333H1,2 (s)

(46)

H 1,3 (s) 1.4333H1,3 (s)

(47)

Step Response
1

H 1,4 (s) 1.3667 H1,4 ( s)

(48)
0.8

(49)

H 2,2 (s) 1.4333H 2,2 (s)

(50)

H 2,3 (s) 1.4333H 2,3 ( s)

(51)

H 2,4 (s) 1.3667 H 2,4 (s)

(52)

H 3,1 (s) 1.2813H 3,1 (s)

Amplitude

H 2,1 (s) 1.3667 H 2,1 ( s)

0.6

0.4
(49)
(50)
(51)

0.2

(53)

(52)
0

Time (sec)
Fig. 6. Unit step response of rational systems.

H 3,2 (s) 1.3438H3,2 (s)

(54)

H 3,3 (s) 1.3438H3,3 (s)

(55)

H 3,4 (s) 1.2813H3,4 ( s)

(56)

316

B. Bandyopadhyay, O. Ismail, and R. Gorez, Routh-Pad

approximation for interval systems, IEEE Trans. Auto. Cont., vol. 39,
no. 12, pp. 2454-2456, 1994.
[3] Y. Dolgin and E. Zeheb, On Routh-Pad model reduction of interval
systems, IEEE Trans. on Auto. Control, vol. 48, no. 9, pp. 1610-1612,
2003.
[4] S. Yang, Comments on On Routh-Pad model reduction of interval
systems, IEEE Trans. on Auto. Control, vol. 50, no. 2, pp. 273-274,
2005.
[5] B. Bandyopadhyay, A. Upadhye, and O. Ismail, Routh approximation
for interval systems, IEEE Trans. on Automatic Control, vol. 42, no. 8,
pp. 1127-1130, 1997.
[6] G. V. K. R. Sastry, G. Raja, and P M. Rao, Large scale interval system
modeling using Routh approximants, IET Journal, vol. 36, no. 8, pp.
768-769, 2000.
[7] V. P. Singh and D. Chandra, Routh approximation based model
reduction using series expansion of interval systems, IEEE
International Conference on Power, Control & Embedded Systems
(ICPCES), pp. 1-4, 2010.
[8] O. Ismail, B. Bandyopadhyay, and R. Gorez, Discrete interval system
reduction using Pad approximation to allow retention of dominant
poles, IEEE Trans. on Circuits and Systems_I: Fundamental theory and
applications, vol. 44, no. 11, pp.1075-1078, 1997.
[9] V. P. Singh and D. Chandra, Model reduction of discrete interval
system using dominant poles retention and direct series expansion
method, IEEE International Power Engineering and Optimization
Conference (PEOCO-2011), pp.27-30.
[10] V. L. Kharitonov, Asymptotic stability of an equilibrium position of a
family of system of linear differential equation, DifferentialNye
Uravenia, vol. 14, pp. 1483-1485, 1978.
[11] H. Chapellat, M. Dahleh, and S. P. Bhattacharyya, On robust nonlinear
stability of interval control systems, IEEE Trans. on Autom. Contr.,
vol. 36, no. 1, 1991.

[2]

Step Response
1

Amplitude

0.8

0.6

0.4
(53)
(54)
(55)

0.2

(56)
0

Time (sec)
Fig. 7. Unit step response of rational systems.
Step Response
1

Amplitude

0.8

0.6

0.4
(57)
(58)

0.2

(59)
0

(60)
0

Time (sec)
Fig. 8. Unit step response of rational systems.

It is clear from Fig. 5-8 that all responses of rational

systems are attaining common steady state value.
VI. CONCLUSION
In this paper, the analysis of responses of interval systems is
done as well as adjustment of steady state responses of rational
systems of interval systems is presented. The gain adjustment
factor technique is used to adjust the steady states of responses
of rational systems. However, it would be interesting to extend
the same analysis for discrete SISO and MIMO interval
systems.
VII. REFERENCES
[1]

O. Ismail and B. Bandyopadhyay, Model reduction of linear interval

systems using Pad approximation, IEEE International symposium on
Circuits and systems (ISCAS), vol.2, pp. 1400-1403, 1995.

317

Threat of Harmonics to Underground Cables

K. D. Patil and W. Z. Gandhare

Abstract-- The level of harmonic distortions in power systems,

especially; in distribution systems is ever increasing due to the
increasing use of nonlinear loads and because of many technical,
commercial and environmental reasons underground power
distribution systems are also simultaneously increasing all over
the world. Therefore, necessity is felt to evaluate the effects of
harmonics on underground power cables. This paper presents the
detrimental effects of harmonics on most commonly used cross
linked polyethylene (XLPE) power cables. System is developed in
MATLAB to evaluate the effects of harmonics on XLPE power
cable parameters, power loss, temperature rise and life of XLPE
power cables. Real life power cables data and actually measured
harmonics data is used. The results are presented graphically.
From these results it is concluded that, resistance (R) increases,
whereas; inductance (L) decreases considerably and capacitance
(C) decreases slightly; and, power loss and hence temperature rise
increases and life decreases with increase in harmonics level.
Index Terms-- Arrhenius equation, Debye equation, proximity
effect, skin effect, thermal aging.

I. INTRODUCTION

THE

use of power electronics based loads is continuously

increasing in the power systems. These loads draw
non-sinusoidal current from the sinusoidal supply.
Non-sinusoidal current causes non-sinusoidal voltage drops
across system impedances, hence; the voltage at the point of
common coupling (PCC) also becomes non-sinusoidal.
According to Fourier series such non-sinusoidal current and
voltage signals are in fact consist of number of signals of
multiple frequencies of fundamental frequency of the supply
and are called as harmonics. Therefore; basically nonlinear
loads inject current and voltage harmonics in the power
systems, especially; in distribution systems. The level of
voltage harmonics is less as compared to current harmonics,
hence; in this paper only current harmonics are considered in
the analysis.
The harmonic components of the current or signals of
multiple frequencies of fundamental frequency definitely affect
the distribution system components, as they are designed to
operate at fundamental frequency. All the parameters of the
system, resistance (R), inductance (L) and capacitance (C) are
affected by the presence of harmonics. R and L are affected
due to skin and proximity effects, whereas; C is affected
because of dielectric relaxation phenomenon. Also, power loss

in the system components increases with harmonics. This

causes additional heating and hence additional temperature
rise in the system components and ultimately decreases the
expected useful life of the system components.
The major components of any power distribution system are
transformers and overhead lines or underground cables. The
jeopardy to the transformers due to harmonics is evaluated by
many authors throughout the world, and is available in the
literature. But the threat of harmonics to overhead lines and
underground cables is not sufficiently addressed in the
literature. Overhead lines use bare conductors and are
obviously less vulnerable to harmonics. However, because of
their special construction; underground cables are more
vulnerable to harmonics. Also, in the recent years; more and
more distribution lines are going underground because of
many technical, commercial and environmental reasons. This
necessitates the investigation of threat of harmonics to
underground cables.
The aim of this paper is to investigate the threat of
harmonics to underground cables. A system is developed in
MATLAB to evaluate the effects of harmonics on aluminium
conductor XLPE power cable parameters; R, L and C, and
calculation of power loss, temperature rise and expected useful
life in the presence of harmonics.
II. XLPE POWER CABLES AND HARMONICS DATA
XLPE power cables data for aluminium cables used in
distribution systems was collected from the leading XLPE
power cable manufacturers in India. This data is available
online to download on the official websites of respective
manufacturers in the form of product leaflets. The study of
these product leaflets revealed that, the required data for this
study i.e. the DC resistance at 20 C for aluminium conductor
XLPE power cables is as per IEC standard 60228 [1].
Therefore, the same data is used in this study. Table-I gives the
values of the DC resistance at 20 C for four aluminium
conductor XLPE power cables used in this study [1].

K. D. Patil is Research Scholar in the Department of Electrical

Engineering, Government College of Engineering Aurangabad-431005, India
(e-mail: kesharsingp@rediffmail.com).
W. Z. Gandhare is the Principal of Government College of Engineering
Aurangabad-431005, India (e-mail: wz_gandhare@yahoo.co.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

318

TABLE I
DC RESISTANCE AT 20 C

Sr.
No.
1
2
3
4

Crosssectional
Area
(mm2)
35
120
240
400

DC Resistance at 20 C (/kM )
of Aluminium Conductor XLPE Cable
0.868
0.253
0.125
0.0778

Voltage and current harmonic distortion levels were actually

measured on low tension (LT) distributors having predominant
residential load, predominant commercial load and
predominant industrial load. It was found that, the harmonic
distortion levels, especially; in industrial areas were well
above the tolerable limits as per IEEE standard 519-1992 [2].
Also, the harmonic distortion levels in residential and
commercial distribution systems were also much higher. All
the odd harmonics components up to 49th order are considered
in this paper and zero order harmonics, all even harmonics and
higher order harmonics components are neglected. Fig.1 shows
the harmonic spectrum used in this paper.

screen conductors (Ls). The mutual inductance between

screen conductors (Lm) and the mutual inductance between
phase conductor of one phase and screen conductor of another
phase(Lm) being very small are neglected in this paper.
Unit Length (1 km)
Ls
IR
R

R
Ls

Ls

Ir

r'
Lm = 0
(Neglected)

Lm
Ls

IY
Y

Y
Lm

Ls

Ls

Iy

y'
Lm
Ls
IB
B

B
Lm = 0
(Neglected)

Ls

Ls

Ib

b'

Fig. 1. Harmonic spectrum for dominant industrial load

Fig. 2. Inductances of XLPE power cable

III. SYSTEM DEVELOPMENT

Inductive voltage drops across three phase conductors of the

cable will be given by,

A. XLPE Power Cable Parameters

1) Resistance (R):
According to IEC-60287-1 [3]; the AC resistance (Rac) of
the cable conductor (except in the case of pipe type cables) per
unit length at the permissible maximum operating temperature
is,
Rac Rdc 1 y s y p
(1)
Where,
Rdc is the DC resistance of the cable conductor per unit
length at the permissible maximum operating temperature in
(/kM),
ys is the skin effect factor, and
yp is the proximity effect factor
Both, ys and yp are frequency dependent factors. In this
paper the values of ys and yp are calculated as per [3]. In this
way the AC resistance (Rac) of XLPE power cable conductor at
the frequencies of interest are calculated.
2) Inductance (L):
Unlike resistance, inductance of XLPE power cable has not
been sufficiently addressed [4]. From Fig.2, it is seen that, as
far as the inductance parameter of XLPE power cable is
concerned, there are four different inductances that must be
taken into consideration. These four inductances are self
inductance of phase conductors (Ls), self inductance of screen
conductors (Ls), mutual inductance between phase conductors
(Lm) and mutual inductance between phase and respective

VR
VY
VB

Ls Lm Lm
Lm Ls Lm
Lm Lm Ls

L
L

IR
IY
IB

L''s 0
j

L 0

Ir
Iy

Ib

''
s

L''s

(2)

Transforming equation (2) into symmetrical components

domain, we get,
Ls

V0
V1
V2

2 Lm

Ls

Lm
Ls

Lm

I0
I1
I2

L''s
j

I 0'
L

I1'

''
s

L''s

(3)

I 2'

Equation (3) shows that the positive sequence inductance

(L1) of cable phase conductor is given by (Ls Lm)
Therefore,
L1

Ls

Lm

(4)
Both, Ls and Lm is frequency dependant; due to skin effect,
proximity effect and cancellation of flux because of flow of
circulating currents in the sheath/screen. In this way the
inductance (L) of XLPE power cable conductor at the
frequencies of interest are calculated.
3) Capacitance (C):
The effective capacitance of the XLPE power cable is the
capacitance (C) between the conductor and the screen. This is
in fact cylindrical capacitor as shown in Fig.3 with XLPE
dielectric between grounded screen and the conductor charged
at per phase voltage. This is a standard configuration of the
capacitor and its capacitance (C) is given by equation (5),

319

which can be found in every

Basic Electrical Engineering.

standard

book

on

Therefore, pu power loss in pure sinusoidal condition is,

(7)
WS

WS

pu

1 pu

WS

Conductor

XLPE Insulation

In non-sinusoidal conditions, power loss in all the three

conductors of XLPE power cable is calculated as,

rsc

WNS

I12 Rac1

49
h 3

I h2 Rach

I12 Rac1
R

49
h 3

I h2 Rach

I12 Rac1
Y

49
h 3

I h2 Rach
B

Unit Length (1 kM)

(8)
Therefore, pu power loss in non-sinusoidal condition is,
Screen

WNS

pu

(9)

WNS
WS

Where, all above symbols have their usual meanings.

2) Temperature Rise:
The temperature rise in XLPE power cable is caused due to
the heat produced in it. The total heat produced in the XLPE
power cable is directly proportional to the total power loss in
it. The simplified thermal-electrical equivalent circuit of the
XLPE power cable is shown in Fig. 5 [6]. If the thermal
characteristics do not change with temperature, the equivalent
circuit is linear.

Fig.3. Cylindrical capacitor in XLPE power cable

0.02313 .
r
log sc
r

(5)

F / kM

Where, r is the relative permittivity of XLPE.

The relative permittivity of XLPE is frequency dependent
complex quantity. Two important mechanisms that give rise to
complex permittivity are bound electron oscillations and
dipole relaxation [5]. The variation in the value of r is
calculated using the well known Debye equation. In this way
the capacitance (C) of XLPE power cable at the frequencies of
interest are calculated.

Total Power Loss in

XLPE Power Cable

Power Loss in
the Conductors

Power Loss in
Sheath/Screens

Power Loss in
the Armour

Ambient
Temperature
(0C)

Total Heat to be
Dissipated
(Watt)

B. Power Loss, Temperature Rise and Expected Useful Life

1) Power Loss:
As shown in Fig. 4 there are four different types of power
losses in XLPE power cable.

Equivalent Thermal
Resistance
(RTh) 0C/Watt

Conductor
Temperature
(0C)

Fig.5. Simplified thermal-electrical equivalent circuit of XLPE power cable

Therefore, assuming that the operating temperature of fully

loaded XLPE power cable in pure sinusoidal condition is 90C
(i.e. S = 90C) ,
(10)
90 k .WS RTh
S
Similarly, the operating temperature of fully loaded XLPE
power cable in non-sinusoidal conditions (NS) will be given
by,
(11)
k .WNS RTh
NS

Dielectric Power Loss

in XLPE Insulation

Fig. 4. Power losses in XLPE power cable

Dividing equation (11) with equation (10), we get,

However; power loss in the conductors is the major loss,
and is about 95 to 98% of the total power loss. Therefore, in
this paper the power loss in the conductors is calculated and all
other losses are taken as 4% of this loss.
In pure sinusoidal conditions, power loss in all the three
conductors of XLPE power cable is calculated as,
(6)
WS
I12 R
I12 R
I12 R
ac 1

ac 1

ac 1

NS

90

k .WNS RTh
k .WS RTh

WNS
WS

(12)

Therefore, the operating temperature of the XLPE power

cable under non-sinusoidal operating condition is given by,

320

NS

90

WNS
WS

90 WNS

pu

(13)

3) Expected Useful Life:

Equation (13) will yield the value of NS > 90 0C, therefore,
the expected useful life of the power cable in non-sinusoidal
conditions i.e. in harmonic rich environment; will be certainly
less than its normal useful life in sinusoidal conditions.
Because, the expected useful life of the XLPE power cable
used in distribution system is mainly decided by its thermal
aging. The accelerated thermal aging of the power cable due to
this additional temperature rise due to harmonics can be
calculated by using Arrhenius equation [7] commonly used for
determination of accelerated thermal aging of a substance
based on the rate of chemical reaction.
Arrhenius Equation is ,

ta
ts

Ea 1 1
B Ta Ts

The results of these investigations of the threat of harmonics

are presented in terms of the effects of harmonics on XLPE
power cable parameters and power loss, temperature rise and
expected useful life of cables.
A. Effect of Harmonics on Resistance (R)
Fig. 6 shows the variation in per unit resistance (R) of
underground cables with respect to harmonics order (h).

(14)

Where,
Ts is service temperature (0K), for XLPE Cables,
Ts = (273.16 + 90) = 363.16 0K
Ta
is
accelerated
aging
temperature
(0K),
0
Ta = (273.16 + ns) K
ts is aging time at service temperature Ts (year ), for XLPE
Cables, ts = 40 years
ta is aging time at accelerated aging temperature T a (year),
This is to be calculated
Ea is activation energy (eV),
B is Boltzmanns constant (eV/K)
IV. MATLAB PROGRAM
The system developed above to investigate the threat of
harmonics to underground cables involves large number of
calculations. Especially; in harmonic rich environment, to
include all the harmonic components up to 49th order are to be
considered for more accurate results. To perform such a large
number of calculations manually is really very tedious job.
Also, all the calculations are required to be newly performed
every time with even slight change in the cable specifications
and/or harmonic spectrum. Therefore, in this paper all these
calculations are performed using personal computer (PC). But,
PC is unable to perform any kind of job of its own. Because; it
requires appropriate program to perform any kind of work.
Therefore, most important thing to use PC to perform
calculations is development of appropriate program. The
program development step begins with the selection of suitable
software. In this paper program is developed in MATLAB;
because, it is very powerful and have number of built in
features [8].

Fig.6. Effect of harmonics on resistance (R)

From Fig. 6, it is seen that, the resistance (R) of

underground XLPE cables increases with increase in
harmonics. As the conductor power loss in cables is directly
proportional to its resistance (R), increase in resistance (R)
with increase in harmonics is very serious threat of harmonics
to underground cables. Also, the increase in resistance (R)
with increase in harmonics will result in increase in resistive
voltage drop across cables.
B. Effect of Harmonics on Inductance (L)
Fig. 7 shows the variation in per unit inductance (L) of
underground cables with respect to harmonics order (h).

Fig.7. Effect of harmonics on inductance (L)

V. RESULTS AND DISCUSSIONS

Four cables of different sizes but of same types were
considered for investigation of threat of harmonics to
underground cables. All these cables were of 3 core, 1.1 kV,
sector shaped aluminium conductors type and their crosssectional area and ampacity were 35 mm2, 116 Amp, 120 mm2,
225 Amp, 240 mm2, 325 Amp and 400 mm2, 435 Amp.

From Fig. 7, it is seen that, the inductance (L) of

underground XLPE cables decreases considerably with
increase in harmonics. This large variation in inductance (L)
with increase in harmonics can result harmonic resonance in
underground power distribution systems. Therefore, this is also
the great threat to underground cables because of harmonics.

321

However, the decrease in inductance (L) with increase in

harmonics will result in decrease in inductive voltage drop
across the cable conductors.
C. Effect of Harmonics on Capacitance (C)
Fig. 8 shows the variation in per unit capacitance (C) of
underground cables with respect to harmonics order (h).

temperature rise in underground XLPE cables also increases

exponentially with increase in harmonics. This increased
temperature rise ultimately causes accelerated thermal aging of
cables. Therefore, there is a possibility of premature failure of
cables. This is the most serious threat to underground cables
because of harmonics.

Fig.10. Effect of harmonics on temperature rise

Fig.8. Effect of harmonics on capacitance (C)

From Fig. 8, it is seen that, the capacitance (C) of

underground XLPE cables decreases slightly with increase in
harmonics. This small variation in capacitance (C) with
increase in harmonics can result harmonic resonance in
underground power distribution systems. Therefore, this is also
the great threat to underground cables because of harmonics.

F. Effect of Harmonics on Expected Useful Life

Fig. 11 shows the effect of harmonics on expected useful
life of underground cables.

D. Effect of Harmonics on Power Loss

Fig. 9 shows the effect of harmonics on per unit power loss
in underground cables.

Fig.11. Effect of harmonics on expected useful life

From Fig.11, it is seen that, the expected useful life of

underground XLPE cables decreases sharply with increase in
harmonics. This is very clear caveat of threat of harmonics to
underground cables.
VI. CONCLUSIONS
Fig.9. Effect of harmonics on power loss

From Fig. 9, it is seen that, the power loss in underground

XLPE cables increases exponentially with increase in
harmonics. This additional power loss due to harmonics will
produce additional heat in the cables. Therefore, this is very
serious threat to underground cables because of harmonics.
E. Effect of Harmonics on Temperature Rise
Fig. 10 shows the effect of harmonics on the temperature
rise in underground cables. From Fig. 10, it is seen that, the

A system to investigate the threat of harmonics to

underground power cables is presented in this paper.
MATLAB program is also developed to implement this
system.
The effects of harmonics on XLPE power cable parameters
are evaluated. R increases, L decreases considerably and C
decreases slightly with increase in harmonics level.
The power loss in XLPE power cables increases with
increase in harmonics level. Thus, the heat produced in these
cables also increases with increase in harmonics level. This
additional heat produced due of harmonics results in more
temperature rise. This ultimately results in accelerated thermal

322

aging and decreases the expected useful life of XLPE power

cables. Thus, harmonics is one of the major causes of
premature failures of XLPE power cables in real life situation.
The results are presented graphically. Based on these
results it is concluded that, there is enormous threat of
harmonics to underground cables. Especially to large size
cables as harmonics have more effect on large size cables as
compared to smaller cables and are costly as compared to
smaller cables. Thus, the presence of harmonics in
underground power distribution systems should not be ignored
and appropriate steps must be taken to minimize the level of
harmonics in these systems and/or underground cables must be
derated considering the effects of harmonics on them.
VII. REFERENCES
[1]
[2]
[3]
[4]

[5]
[6]
[7]

[8]

IEC International Standard - Conductors of insulated cables, IEC

standard 60228, 3rd edition, 2004-11.
IEEE Recommended Practices and Requirements for Harmonic Control
in Electrical Power Systems, IEEE standard 519-1992.
IEC International Standard - Electric cables - Calculation of the current
rating, IEC standard 60287-1-1, edition 1.2, 2001-11.
Y.Du and J.Burnett, Experimental investigation into harmonic
impedance of low-voltage cables, IEE Proceedings on Generation,
Transmission and Distribution, Vol.147, No.6, November 2000, pp.322328.
William Hyte Jr., Engineering Electromagnetics, Tata McGraw Hills
Publications, 2006.
IEEE Recommended Practice for Industrial and Commercial Power
Systems Analysis, IEEE standard 399-1997.
Yusuf Gurcan Sahin and Faruk Aras, Investigation of harmonic effects
on underground power cables, Proceedings of International Conference
on
Power
Engineering,
Energy
and
Electrical
Drives,
2007(POWERENG 2007), 12-14 April 2007, pp.589-594.
www.mathworks.com.

323

Preparation of Nanosized Tin Oxide Powder by

Sol-Gel Method
Meenakshi Choudhary, V. N. Mishra, R. Dwivedi

Abstract-- Nanosized SnO2 particles have been synthesized by a

simple sol-gel method. The obtained tin oxide powder has been
characterized using X-ray powder diffraction, scanning electron
microscope, TG-DTA and fourier transform infrared spectroscopy.
The result shows that there is the formation rutile type (tetragonal)
structure in nanometric range (14.68 nm). Thermogravimetric
analysis was executed to confirm that at 400C (the calcination
temperature) no further structural changes due to mass loss occur.
It is recommended that the thermal analysis should be done in
argon gas because nitrogen gas is more reactive. The IR bands are
due to different Sn-O or Sn=O stretching modes and its lattice
modes at 615 and 494 cm-1.
Index terms-- Tin oxide, nanosized, synthesis, sol-gel.

I. INTRODUCTION

IN oxide (SnO2) has a non-stoichiometric structure and a

typical wide band gap n-type semiconductor (3.6 eV) [1]. It
is one of the extensively used metal oxide semiconductor due to
its chemical and mechanical stabilities. Pertaining to its unique
electronic, magnetic and optical properties, semiconductor
nanasized SnO2 particles may find wide applications in various
fields, such as microelectronics, photo-catalysis, nonlinear
optics, photoelectron-chemistry, imaging science, and electrooptics [2]. It is known that tin oxide, in the thin or thick film
form [3] is the most extensively used semiconductor material for
gas sensing application.
The properties of SnO2 that control its potential applications
depend on the different phases of its fabrication history, viz.,
synthesis routes and methods. In addition to the chemistry of the
material, the morphological properties of powders influence
their physical and chemical properties. SnO2 can be synthesized
using a variety of techniques such as hydrothermal methods [4],

Meenakshi Choudhary grateful to the University Grant Commission,

Government of India for extending financial support to carryout this work.
The authors are with the Department of Electronics Engineering, Institute of
Technology, Banaras Hindu University (IT-BHU), Varanasi, Uttar Pradesh,
India 221005(e-mail: mchowdhari2010@gmail.com; vnmishra.ece@itbhu.ac.in;
rdwivedi.ece@itbhu.ac.in).

amorphous citrate route [5], mechano-chemical method [6], solgel method [7], mini arc plasma [8], flame spray synthesis [9]
and solid-state reactions [10]. In a sol-gel process the precursor
solution is transformed into an inorganic solid by (a) dispersion
of colloidal particles in a liquid (sol) and (b) conversion of sol
into rigid phase (gel) by hydrolysis and condensation reactions
[11]. For various applications, nanosized particle or large
specific surface area is essential to high performance. Among
different synthesis methods for preparation of tin oxide, a sol gel
method offers several advantages over other methods. As well as
this method lowers the processing temperature, better
homogeneity, controlled stoichiometry, and flexibility of
forming dense monoliths, thin films, or nanoparticles.
In this paper we presented the formation and properties of
nanosized SnO2 particles using sol-gel route. Special attention
has been made to prepare the particles in the nanometric range.
The complete morphology has been analyzed by SEM and FTIR.
II.

EXPERIMENTAL

The process sol-gel method involves the use of tin tetra

tetrachloride pentahydrate (SnCl4.5H2O) and Ammonia water
(NH4OH). The solution of tin chloride is prepared by dissolving
granules of SnCl4.5H2O in de-ionised water. Now NH4OH is
gradually added to the prepared solution of tin chloride with
continuous stirring. After some moment white precipitate of tin
hydroxide [Sn(OH)4] appears in the form of reaction product is
given below:

SnCl

4 NH OH
4

Sn OH 4

4 NH Cl
4

(1)

In this reaction, excess ammonia is added to convert all tin

chloride into tin hydroxide. After this the precipitate is washed
thoroughly with de-ionised water so, as to remove excess
ammonia ion and ammonium chloride. Now, the precipitate is
filtered and dried in an oven at about 150C for 1 hr. The
product obtained is tin hydroxide which is calcined at 400C for
four hours to get the tin oxide particles. The chemical reaction
for the same is given below:

978-1-4673-0455-9/12/$31.00 2012 IEEE

324

Sn OH 4

SnO
2

2H O
2

(2)

Tin oxide obtained by this sol gel method is yellowish in

color.
The resultant tin oxide powder was submitted for X-ray
diffraction (XRD) analysis. Measurements were made on a
RIGAKU, MINIFLEX II powder X-ray Diffractometer
employing CuK radiation (=1.541836). The incident angle
was set as 2 for measurements. The pattern were recorded from
20 to 80o. The XRD patterns of tin oxide powder were
confirmed by comparing with the JCPDS (Joint Committee on
Powder Diffraction Standards) data.
Scanning electron microscopy (SEM) images of the thick film
surfaces were obtained at 2 m and 200 nm magnification. The
morphology and structure of the powder were analyzed by these
images. The energy-dispersive (EDX) facility is existing with
ZEISS SUPRA-40 Scanning Electron Microscope (SEM). EDX
confirms the presence of elements.
Small sample masses were used in Thermogravimetric
analysis (TG-DTA) to ensure uniform heating of sample and to
diminish exchange of gas with the surrounding atmosphere.
Comparative analysis of the sample has been done in two gas (a)
nitrogen and (b) argon. The sample was analysed on a
SETARAM, Labsys TG-DTA 16 instrument at a scan rate of
5oC per min from room temperature to 800oC.
Complementary information on powder morphology was
obtained using Fourier transform infrared spectroscopy (FTIR)
model JAPAN SHIMADZU 84005 IR spectrometer between
4,000400 cm-1 ranges. Transmission spectra were obtained
from pellets of the tin oxide sample diluted in KBr.
III. RESULTS
A. X-Ray Diffraction analysis
The X-ray diffraction pattern of tin oxide powder prepared by
sol gel method is shown in Fig. 1. The observed pattern has a
number of sharp peaks at (110), (101), (200), (211) and (220) at
different angles (2). The maxima of (110) peak was observed
nearly at 2 = 26.50. All diffraction peaks are agree well with the
rutile (tetragonal) structure of tin oxide with lattice constants a =
4.7355 and c = 3.1879 (JCPDS File No.# 41-1445). The SnO2
lattice constants a and c obtained by refinement of the XRD
data. No peaks of extra impurity crystalline phases have been
detected. It is interesting that the diffraction peaks are broadened
apparently, it indicates the small nanosized particles. The
particle size is calculated from XRD results using well-known
Scherrer formula [12].

k
cos

(3)

Fig. 1. X-ray diffraction pattern of tin oxide powder prepared by sol-gel method

where, D is the average particle size; is the X-ray wave

length (CuK-1.541836); k is the Scherrer constant (0.9) and
is the angular width of the diffracted peak at the half maximum
(FWHM) in radians for the diffraction angle (2). The average
particle sizes determined from most intense peaks of (110) at
26.5 degree (2). Sol-gel method produces very small particle
14.68 nm.
B. SEM Micrographs
The SEM images of tin oxide thick film at different
magnification are shown in Fig. 2 (a) and (b). It can be observed
that the prepared SnO2 particles are fine and some
agglomeration of finer particulates to form bigger clusters.
However there is some non-uniformity in the shape and the
existence of porosity. The measured mean particle size of the tin
oxide particles from the SEM image is 64 nm, which is greater
compared to XRD determined particle size. An increment in
particle size of printed thick film form of tin oxide is due to the
firing at 800oC, resulting particle binding and agglomeration
[13].
Fig. 2 (c) depicts an energy disperse X-ray spectroscopic
analysis of the powder, performed coupled to a scanning
electron microscope, which shows the chemical composition
present in spectrum-1. It depicts that only tin, oxygen and lead
components are present. Actually active ingredients of the thick
film paste were tin oxide, glass frits (lead glass) and organic
solvent [14]. Lead used as the additive for sticking the paste on
the alumina substrate for making the thick film. Organic solvent
is removed after firing of the thick film at 800 oC for 10 min. in
centre zone of belt furnace. In the sample the oxygen element
component (atomic %) is observed to be almost twice that of tin,
hence confirming the chemical composition to be SnO2.

325

It is concluded that sol gel method produces small particles

which might be best for sensing application. Porosity also
facilitates to improve sensing [15]. Elsewhere, reported [16] that
the nano sized particles provide large surface area facilitating
faster chemisorptions process. Therefore, a small particle size
increases the active surface area of the sensor, consequentially
higher adsorption of oxygen and reducing gases which increases
sensitivity of the sensor [17].
C. Differential Thermal Analysis
The thermal decomposition characteristics of tin oxide
powder were studied at a constant heating rate of 10oC/min from
room temperature to 800oC in two different atmospheres. The
TG-DTA curve for the nanosized powder under nitrogen and
argon is shown in Fig. 3 (a) and (b) respectively. There is a deep
and sharp endothermic peak at 86oC. In nitrogen atmosphere
very sluggish weight loss of 77% from room temperature to
110oC and continued until about 400oC for complete
decomposition of Sn(OH)4 to SnO2 and H2O. The weight loss
due to elimination of ammonia, physically adsorb water and
water from Sn-OH [18], it is corresponds to endothermic peak in
DTA curve. Further, in argon atmosphere the peak of DTA
pattern is same as in nitrogen atmosphere. Upto 400oC the nature
of TG curve is almost same as in nitrogen atmosphere but having
greater weight loss. Cause of this weight loss described earlier.
After 400oC there is comparatively very large weight gain in
nitrogen than argon atmosphere. These weight gains due to SnO
was oxidised to SnO2 after 400oC. Tin oxide is more reacting
with nitrogen compare to argon. Therefore TG analysis of tin
oxide should be done in argon atmosphere.
The results indicate that the exothermal effect in chemical
reaction (2) has resulted in the decomposition of Sn(OH) 4 in the
sol-gel method and the formation of yellowish colour nanosized
SnO2 particles. On set preparation of nanosized SnO2 powder
from XRD pattern of Fig. 1 is in good agreement with TG
studies.

(b)

Spectrum-1
S

Fig. 2. SEM images in (a) low magnification, (b) high magnification and (c)
EDX analysis of the highly oriented rutile (tetragonal) structure of SnO 2
TABLE I
CHEMICAL COMPOSITION PRESENT IN SPECTRUM-1

S. No.

Element

Weight %

Atomic %

1
2
3

Sn(Tin)
O (Oxygen)
Pb(Lead)

382.43
199.26
20.91

20.42
78.94
0.64

D. Fourier Transform Infrared Analysis

FTIR spectrum of the nanosized tin oxide powder prepared by
sol gel method is shown in Fig. 4. The tin oxide presented two
well defined peaks at 615 and 494 cm-1 and a shoulder centered
at 665 cm-1. The position, relative intensity and width of the IR
absorption bands of microcrystalline polar solids are strongly
influenced by the shape and agglomeration of the particles [19].
This inconsistency of the FTIR spectra of powders is primarily
due to the polarization charges inducted in the surface of the
particles by their interaction with the electromagnetic field of the
incident radiation. In this case, several bands are obtained,
which are related with the normal vibration modes modified by
the shape factor. In this range from 400 to 1000 cm-1 two sharp
peaks at 615 and 494 cm-1 are shown which is due to the
different Sn-O or Sn-O-Sn stretching modes [18].

326

Furthermore, calcination at 400oC causes complete

decomposition of organic compounds. These results agreed with
the thermal analysis.
IV. CONCLUSION
Very fine nanosized SnO2 powder were produced by sol-gel
method. The XRD pattern corresponds with rutile type structure
(tetragonal). Particle size determined by the Scherrer method
showed that tin oxide powder was in the range of nanometer
14.68 nm. SEM showed different aggregation of nano sized
SnO2 particles and also presence of porosity. Porosity may be
help to improve sensing. There was a slightly difference between
SnO2 particle size determination by the Scherrer method and
particle size determination by SEM images due to particle
binding and agglomeration.
Thermal analysis showed different spectral features of very
fine SnO2 powders, in dependence on the atmosphere in which
the characterization has been done. Nitrogen gas is more
reactive than argon gas. It is recommended that thermal analysis
of tin oxide should be done in argon atmosphere. Thermal
analysis also confirms that the calcination temperature at 400C
no further structural changes due to mass loss occurs. The FTIR
spectra of SnO2, showed three peaks at 665(shoulder), 615, and
494 cm -1. These IR bands are due to different Sn-O or Sn=O
stretching modes.
XRD and SEM depicts that there is the formation of high
yield nanosized tin oxide powder. EDX confirms the chemical
composition of SnOx to be SnO2. All the characteristics show
that nanosized tin oxide powder may be best for sensing
application. This method can also be utilized to produce many
other doped nanosized tin oxide powder.
V. ACKNOWLEDGMENT
Fig. 3. TG-DTA curve of tin oxide in (a) Nitrogen and (b) Argon atmosphere

Meenakshi Choudhary wants to express her sincere thanks to

Department of Ceramic Engineering and School of Material
Science & Technology, Institute of Technology, Banaras Hindu
University for providing the facility of material characterization.
VI. REFERENCES
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328

Natural Alkannin and Anthocyanin as

Photosensitizers for Dye-Sensitized Solar Cells
Suman Kushwaha and Lal Bahadur
Abstract: DSSCs were assembled by using natural dyes
extracted from alkanet root (Arnebia nobilis),
ornamental millet (Pennisetum glaucum), coleus
(Solenostemon scutellarioides 'Saturn') and amaranth
(Celosia Cristata) as sensitizers. Ornamental millet,
amaranth and coleus are anthocyanin containing
pigment where as alkannin (isohexenylnaphthazarin) is
the coloring pigment in alkanet root. DSSCs sensitized
with alkannin dyes extracted from alkanet root, opencircuit voltage (VOC) of 0.420 V, short-circuit current
density (Jsc) of 1.08 mAcm-2, fill factor (FF) of 0.60 and
IPCE of 13 %. The DSSCs sensitized with coleus petal
extract, ornamental millet leaf extract and amaranth
flower extract were also discussed.

In order to replace the expensive ruthenium

compounds, many kinds of organic synthetic dyes [810] and Natural pigments from fruits, flowers, leaves,
roots have been actively studied and tested as lowcost materials. Early in the 1990s, Tennakone et al.
investigated the photosensitization of nanocrystalline
TiO2 films by tannins extracted from black tea [11].
Later on chlorophyll derivatives [12], California
blackberries, pomegranate pigments, strawberry,
blueberry, orange, red cabbage and cochineal, chaste
tree fruit, mulberry, cabbage-palm fruit, java plum,
blue-violet anthocyanins from Jaboticaba and
Calafate, black rice, capsicum, erythrina variegata
flower, rosa xanthina and kelp as sensitizers,
extracted shisonin [13-21], rosella flowers blue pea
flowers and a mixture of the extracts natural
carotenoids, crocetin and crocin [22-23] were used as
sensitizers for DSSCs. Betalain pigments from red
beet roots, red Sicilian orange juice (Citrus Sinensis)
purple extract of eggplant peels (Solanum
melongena, L.) [24-25] were also tested as natural
sensitizers.
In natural sensitizers for DSSCs, anthocyanins is
usually the natural pigments for sensitization of wide
bandgap semiconductors and this natural pigments is
responsible for several colors in the redblue range,
found in fruits, flowers and leaves of plants.
Carbonyl and hydroxyl groups present in the
anthocyanin molecule can be attach to the surface of
a porous wide band gap semiconductor thin film this
makes electron transfer from the anthocyanin
molecule to the conduction band of semiconductor
thin film. Anthocyanins from various plants gave
different sensitizing performances but appropriate
explanation behind these results is not clearly
understood.
In this work, DSSCs were assembled using natural
dyes extracted from
Arnebia nobilis (Family:
Boraginaceae; English name: Alkanet root),
Solenostemon scutellarioides 'Saturn' (Family:
Lamiaceae ; English name : coleus), Pennisetum
glaucum Purple Baron (English name: Ornamental
Millet)
and
Celosia
Cristata
(Family:
Amaranthaceae; English name: amaranth) flower.
These roots, leaves, flowers are abundant in several

Keywords: Zinc Oxide (ZnO) semiconductor; Dyesensitized solar cells; Anthocyanin; Alkannin; Natural
dyes

I. INTRODUCTION
Dye-sensitized solar cells (DSSCs) have
attracted much attention as low-cost photovoltaic
cells and have become a rapidly expanding field with
potential applications, especially after the discovery
of an efficient photovoltaic cell [1-2]. A typical
DSSC consists of a dye-sensitized semiconducting
layer as the working electrode, an electrolyte
containing a redox couple (I2/I3) and a Pt layer
counter electrode. Schematic presentation of working
principle of dye sensitized solar cell is shown in
scheme1.
Recently, solar-to-electrical energy
conversion efficiencies and open-circuit voltage as
high as 11% and 0.74 V, respectively, by using
ruthenium-based complexes (e.g. N719 or N3) as
sensitizer have been reported [3-6]. However, the
costs of the ruthenium-based complexes restrict their
large-scale applications in solar cells, stimulating the
search for alternatives [7].

______________________________________________________
Lal Bahadur is with Department of Chemistry, Faculty of
Science, Banaras Hindu University, Varanasi-221005, India (Email: lbahadur@bhu.ac.in).
Suman Kushwaha is with Department of Chemistry, Faculty
of Science, Banaras Hindu University, Varanasi-221005, India (Email: bhu.suman@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

329

solaronix. Sodium perchlorate used as supporting

electrolyte was purchased from Aldrich.

parts of Asia. The alkanet root (Arnebia nobilis also

called Anchusa tinctoria) is locally known as Ratan
jot in India and used for imparting pleasing red color
to food stuffs as food colorant had not gained insight
as a photosensitizer, in spite of its photo activity in
the visible region (400600 nm) of the solar spectrum
and their implication as a sensitizer in DSSCs is
nascent.

B. Preparation of natural dye extract

Root of alkanet, leaves of ornamental millet, Petals of
flowers chosen were cut into small pieces and
extracted into ethanol. Fig.1 shows the roots, leaves,
flower images of plants chosen for dye extract. Then
residual parts were removed by filtration and the
filtrate was washed with hexane several times to
remove any oil or chlorophyll present. This was
directly used as dye solution for the preparation of
photovoltaic devices.
C. Thin film and counter electrode preparation
Thin films of ZnO of nanometer sized colloidal ZnO
were fabricated following the method of Spanhel and
M.A Anderson [27]. Thin ZnO films were fabricated
on cleaned fluorine doped tin oxide (FTO) coated
glass substrate (10/, Solaronix). In brief the
organometallic precursor was prepared by refluxing
0.1 M zinc acetate solution in absolute ethanol (dry)
for about 3 h at 80C avoiding its exposure to
moisture. Then keeping it the in ice-cold water,
equimolar LiOHH2O was added to it, and the
hydrolysis was allowed to continue for half an hour
keeping the container in an ultrasonicator. This
resulted in a dense sol consisting of ZnO colloids and
was coated on conducting glass substrate by dip
coating. The obtained colloidal sol was left for
several days in open to get dried this dried powder
was sintered at 450 0C for X-Ray crystallographic
studies (Fig 2a). The deposited films were air-dried
and then the adhesive tapes were carefully removed.
These films were finally annealed in air at 450 C for
l.5 h. This way film of 2m thickness was obtained.
Platinum counter electrode was prepared by
deposition of Pt catalyst T/SP paste (purchased from
Solaronix SA) on another conductive glass and
annealed at 400oC for half an hour in air.

Scheme 1.Schematic presentation of working principle of DSSC

Alkannin derived from alkanet root, has high thermal

and chemical stability, eco-friendly, along with low
production cost that would be certainly interesting as
a natural derived dye sensitizer in DSSCs
applications. Naturally occurring alkannin are
chemically iso hexenylnepthazarines (5, 8-dihydroxy2-(1-hydroxy-4-methyl-3-pentenyl)-1,
4naphthoquinone) are lipophilic purplish red pigment
[26]. We found that when a dye sensitized solar cell
is made with a nanocrystalline film of ZnO sensitized
with an extract of alkanet root, a short circuit current
as high as 1.08 mAcm-2, and an open-circuit voltage
as 420 mV, fill factor as 0.60 were obtained.
Remaining three plants which are investigated for
photosensitizing properties: coleus, amaranth,
ornamental millet are anthocyanin pigment
containing plants. Use of these plats extract as dye
for ZnO based dye sensitized solar cell has not been
used before to the best of our knowledge. Results are
discussed in later section of paper.

D. Fabrication of dye sensitized solar cell

For studying the performance of test dye on ZnO thin
film electrode sandwich type cells were fabricated.
For this purpose the thin film electrode was dipped
into the ethanolic extract of respective plants for
overnight. To provide space for filling cell electrolyte
and to assemble the cell, the hot-melt sheet (SX117060, 50 m thick, Solaronix) was used as sealing
frame. To assemble the cell, the counter electrode
was put over the photo-electrode and sealed using
spacer/sealing material and heating it at ~80oC. An
electrolyte solution, composed of 0.3 M LiI, 0.03 M
I2 in propylene carbonate, was introduced into the
cell by capillary action and then sealed properly.

II. EXPERIMENTAL
A. Materials
All the chemicals have been used as received unless
stated for that. LiI, I2 were obtained from Aldrich &
CDH, India. Dried ethanol, propylene carbonate and
acetonitrile from Merck, India. Zinc acetate from
CDH, India and LiOH.H2O from Alfa product were
used as received. The Platinum catalyst (T/SP) was
obtained from solaronix for counter electrode. The
sealing agent (SX1170-60, 50m) was obtained from

330

efficiency (IPCE) was calculated at each excitation

wavelength () using the following relation
1240 J sc mA cm

IPCE (%)

nm

I inc W cm

100

(1)

For the determination of power conversion efficiency

and fill factor of the cell, current was recorded as a
faction of cell voltage keeping the sandwich cell
illuminated with desired light. The fill factor and
overall conversion efficiency () are expressed was
then calculated by the equations.
%

J m ax A cm

I inc W cm
FF

J m ax
I sc

Vm ax ( V )
2

100

(2)

Vm ax
Voc

(3)

Where Iin is the power of incident ligh, FF is fill

factor, Vmax and Jmax are voltage and current for
maximum power output, respectively and Voc and Jsc
are open-circuit photovoltage and short-circuit
photocurrent, respectively.

Fig 1. Images of plants chosen for dye extract molecules to use

them as sensitizers in dye sensitized solar cell.[a] amaranth, [b]
coleus, [c] alkanet root, [d] ornamental millet

E. Apparatus and instruments

III. RESULTS AND DISCUSSION

X-ray diffraction pattern of ZnO powder was

obtained with X-ray diffractometer (Model 3000,
SEIFERT, Germany) using CuK radiation of 1.54
to determine the crystal structureand maintaining
current and voltage 30 mA and 40 kV respectively
during the measurement. The XRD pattern was
recorded in 2 range. Morphology of thin film was
examined by Scanning Electron Microscope
(FESEM,
quanta200
FEG).
Electrochemical
measurements were made with the help of a bipotentiostat (model no. AFRDE4E, Pine Instrument
Company, USA) and a computer controlled e-corder
(model No. 201, e-DAQ, Australia). A 150 W xenon
arc lamp with lamp housing (model no. 66057) and
power supply (model no. 68752), all from Oriel
Corporation, USA, was used as a light source. The
monochromatic light was obtained with the use of a
monochromator (Oriel model 77250 equipped with
model 7798 grating), and the corresponding
photocurrent was measured with the help of a digital
multimeter (Philips model no. 2525) in combination
with the potentiostat. The absorption spectrum of the
test dyes complex were recorded on Cary 2390
(Varian)
spectrophotometer.
Incident photon to current conversion efficiency
(IPCE) was evaluated for each wavelength of
monochromatic light. From the values of Jsc and the
intensity of the corresponding monochromatic light
(Iinc), the incident photon-to-current conversion

A. Structural characterization of ZnO thin film

The crystalline structure of the ZnO particles was
analyzed through X-ray diffraction (XRD). The XRD
of obtained powder annealed at 450oC is shown in
Fig 2a. The diffraction peaks of the samples annealed
at 450oC reveals that ZnO crystallizes well after
annealing. All the diffraction peaks are in agreement
with the reported data in JCPDS Card No.36-1451 for
hexagonal wurtzite phase of zinc oxide. Fig 2b show
the SEM image of ZnO thin film prepared by
depositing the colloidal sol on conducting glass and
annealed at 450 0C. The film shows a smooth porous
surface with a fine microstructure, without cracks or
void.
Fig 3 shows the UVVIS absorption spectra of
alkanet root, coleus, amaranth flower, ornamental
millet extracts in ethanol. From Fig 3, it can be seen
that there is absorbent peak in between about 500600 nm for all the dye extracts of alkanet root,
coleus, ornamental millet, amaranth flower.
S
enantiomer alkannin (molecular structures shown in
Fig 4a), present in the roots of the plant alkanet root
(also known as Anchusa tinctoria) is responsible for
purplish red color and are easily extracted from the
roots of the plant. In coleus, amaranth flower,
ornamental millet the coloring pigment is
anthocyanin. Anthocyanins (molecular structure
shown in Fig 4b) are water soluble flavonoids liable

331

for the red to blue colors of many fruits, flowers and

leaves and may serve as photo protective agents,
antioxidants and osmotic regulators Carbonyl and
hydroxyl groups present in the anthocyanin molecule
can be bound to the surface of a porous
semiconducting film. This makes electron transfer
from the anthocyanin molecule to the conduction
band of semicounductor. Because anthocyanin shows
the color in the range of visible light from red to blue,
it is prospected to become a high efficient sensitizer
for wide band gap semiconductors [28,13].

Fig 4. molecular structures of alkanin [a] and anthocyanine[b]

From Fig 5, the values of short-circuit current (Jsc),

open-circuit voltage (Voc) of the DSSC can be
obtained directly, which is 1.08 mA, 0.82 mA, 0.4,
0.43 mA , 0.47 mA , 0 .54 mA in per cm 2 and opencircuit voltage (Voc), 420mV, 782 mV, 880mV,
876mV, for Alkanet root, coleus, ornamental millet,
amaranth. The fill factor values (FF) which is 0.60,
0.74, 0.56, 0.56, 0.38 for Alkanet root, coleus,
ornamental millet, amaranth natural dye extracted
sensitized solar cells respectively. The Voc of natural
dye is lower than that of ruthenium based dyes (N719
& N3) because of molecular structure of natural dye
which mostly has OH ligands and O ligands and
lacks -COOH ligands that N719 & N3 dyes has. The
photoelectric parameters of DSSC sensitized with for
Alkanet root, coleus, ornamental millet, amaranth dye
extract were measured and calculated, the results
were summarized in Table 1. Highest short-circuit
photocurrent (Jsc) and open circuit photo voltage (Voc)
values are obtained from the DSSC sensitized by the
alkanet root extract dye and coleus respectively
among all natural studied dyes.

Fig 2. XRD pattern and SEM micrograph of the ZnO nano powder
utilized in present work.

B. Absorption spectrum and molecular structure of

natural dye

Fig 3. The absorption spectra of the ethanolic dye extract of [a]

amaranth, [b] coleus, [c] alkanet root [d] ornamental mollet.

C. Photoelectrochemical properties
sensitized with natural dyes

of

DSSC

The dye-sensitized solar cells were constructed by

using these dyes as a sensitizer for nanocrystalline
ZnO. The device performance parameters under
visible light illumination are collected in Table 1. The
photocurrent- voltage (JV) character curves of
DSSC sensitized with the dyes alkanet root extract to
amaranth petal extract were shown in Fig 7.

Fig 5. Characteristic current densityvoltage (J-V) curves of the

DSSC devices using natural dye; [a] alkanet root, [b] coleus, [c]
amaranth, [d] ornamental millet. ( active area tested with mask:
0.19 cm2).

From Fig 5, the values of short-circuit current (Jsc),

open-circuit voltage (Voc) of the DSSC can be
obtained directly, which is 1.08 mA, 0.82 mA, 0.4,
0.43 mA , 0.47 mA , 0 .54 mA in per cm 2 and opencircuit voltage (Voc), 420mV, 782 mV, 880mV,
876mV, for Alkanet root, coleus, ornamental millet,

332

Fig 6. Characteristic photocurrent time (J-t) curves of the DSSC

devices using; [a] alkanet root, [b] coleus, [c]amaranth, [d]
ornamental millet.

amaranth. The fill factor values (FF) which is 0.60,

0.74, 0.56, 0.56, 0.38 for Alkanet root, coleus,
ornamental millet, amaranth natural dye extracted
sensitized solar cells respectively. The Voc of natural
dye is lower than that of ruthenium based dyes (N719
& N3) because of molecular structure of natural dye
which mostly has OH ligands and O ligands and
lacks -COOH ligands that N719 & N3 dyes has. The
photoelectric parameters of DSSC sensitized with for
Alkanet root, coleus, ornamental millet, amaranth dye
extract were measured and calculated, the results
were summarized in Table 1. Highest short-circuit
photocurrent (Jsc) and open circuit photo voltage (Voc)
values are obtained from the DSSC sensitized by the
alkanet root extract dye and coleus respectively
among all natural studied dyes.

Fig 8. compares the IPCE spectra of different dyes

studied. For the same dye loading time and ZnO film
thickness, peak IPCE values follow the trend in as
coleus> alkanet root > ornamental millet > amaranth
extract
containing
DSSCs.
The
low
photoelectrochemical response obtained with
anthoyanin and alkanin pigments indicate that the
injection yield for ZnO substrates is particularly low,
either due to a limited overlap of the excited states of
the dye and ZnO conduction band or due to a very
weak adsorption and the interaction of the dye with
the ZnO surface. The IPCE (external quantum
efficiency) of a DSSC is determined by the product
of the light harvesting, electron injection, and
electron collection efficiencies. Fig 8 compares the
IPCE spectra of different dyes studied. For the same
dye loading time and ZnO film thickness, peak IPCE
values follow the trend in as coleus> >alkanet root >
ornamental millet > amaranth extract containing
DSSCs. The low photoelectrochemical response
obtained with anthoyanin and alkanin pigments
indicate that the injection yield for ZnO substrates is
particularly low, either due to a limited overlap of the
excited states of the dye and ZnO conduction band or
due to a very weak adsorption and the interaction of
the dye with the ZnO surface.

TABLE 1. J-V CHARACTERISTICS

Fig 6. shows the photocurrent dynamics for various

dyes chosen. The short-circuit photocurrent is shown
in response to a light onoff sequence produced by
opening and closing a mechanical shutter that blocks
the light beam. The photocurrent signal rises
vertically to remain constant on a time scale of
seconds. The nature of the curves shows almost ideal
behavior i.e the current attained initially is sustained
with no percentage loss or decay in photocurrent after
~20 seconds. This shows that dye regeneration
process is very fast and is analogous to charger
carriers injection by excited dye molecules.
Photocurrent was measured as a function of intensity
of the incident light by using different neutral density
filters. As photocurrent was found to increase
proportionally with the intensity of light and the
result obtained is shown in Fig 7.
The IPCE (external quantum efficiency) of a DSSC is
determined by the product of the light harvesting,
electron
injection,
and
electron
collection
efficiencies.

Fig 7. Characteristic current density verses light intensity (%)

curves of the DSSC devices using; [a] alkanet root extract, [b]
coleus, [c] amaranth, [d] ornamental millet.

333

[3]
[4]
[5]

[6]
[7]
[8]
[9]
[10]
[11]

Fig 8. IPCE spectra of using [a] ornamental millet, [b] coleus, [c]
alkanet root, [d] amaranth natural dye extract as sensitizer based
DSCs devices

[12]

IV CONCLUSION
In summary, the photovoltaic performances of four
natural dyes extract as sensitizers in porous ZnO
solar cells were investigated. Alkannin Dye has been
investigated for photosensitizing ability which have
not been previously studied, and according to
experimental results the DSSCs fabricated by
alkannin dyes from alkanet root extract, open-circuit
voltage (Voc) of 0.420 V, short-circuit current density
(Jsc) of 1.08 mAcm-2, fill factor (FF) of 0.60 and
IPCE of 13 %.
Since
natural dyes show
sensitization activity lower than synthetic ones and
less stability. Actually, their application is far below
the industrial requirements in spite of their wide
availability and low cost. However, their study is an
interesting multidisciplinary exercise useful for
spreading of facts and to edify people on renewable
power sources.

[13]
[14]
[15]

[16]
[17]

[18]
[19]
[20]
[21]

[22]

V. ACKNOWLEDGEMENT
Financial support from the University Grant
Commission and Ministry of New and Renewable
Energy (MNRE, New Delhi, India) to one of the
author (S. K.) is gratefully acknowledged. The partial
support for this work received from the DSTsponsored project (No. SR/S1/PC-28/2006) is also
acknowledged. Author (S. K) is also thankful to
Metallurgy and Ceramic Departments of the Institute
of Technology, Banaras Hindu University for
providing their facilities (XRD and SEM) during this
work.
VI. REFERENCES
[1]

[2]

[23]
[24]

[25]
[26]
[27]
[28]

[a] O B Regan and M. Grtzel, Nature. 353 (1991) 747

740. [b] K. Hara, H. Sugihara, Y. Tachibana, A. Islam, M.
Yanagida, K. Sayama, and H. Arakawa Langmuir.175
(2001)59925999.
[a] S. Kushwaha and L. Bahadur, International Journal of
Photoenergy, vol. 2011, Article ID 980560, 9 pages, 2011.
doi:10.1155/2011/980560 9. [b] S. Kushwaha and L.

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Bahadur, International Journal of Hydrogen Energy, 36

(2011)11620-11627.
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Y. Chiba, A. slam, Y. Watanabe, R.Komiya, N. Koide, L.
Han, Journal of Applied Physics, 45 (2006) L638.
F. Gao, Y. Wang, D. Shi, J. Zhang, M. Wang, X. Jing, R.
Humphry- Baker, P.Wang, S. M. Zakeeruddin, M. Gratzel,
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H. Zhu, H. Zeng, V.Subramanian, C. Masarapu, K.H. Hung,
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H. Choi, J.K. Lee, K. Song, S.O. Kang, J. Ko, Tetrahedron,
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P.M. Sirimanne, M.K.I. Senevirathna, E.V.A. Premalal,
P.K.D.D.P. Pitigala, V. Sivakumar, K. Tennakone, Journal of
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Society, 113 (1991) 2826-2833
P. Luo, H. Niu, G. Zheng, X. Bai, M. Zhang, W. Wang
Spectrochimica Acta Part A, 74 (2009) 936942.

Studying the Transition, From Mobile Robot

Formations to Mobile Robot Flocks
Satyajeet and A. Bhaumik

Abstract--This paper distinguishes between multi robot

formation and multi robot flocking. A flocking algorithm is
studied with decreasing mutual proximity between the robots,
simulations which demonstrates the transition from robot
formation to flocking. We present a novel approach to study the
onset of swarm behaviour. Quantitative analysis confirms that
swarm behaviour is conclusively identified with a critical distance
of approach, lc.
Index Terms--mobile robots, swarm, flocking, intelligent
systems

I. INTRODUCTION

N the recent years there has been growing interest in

multiple mobile robot systems. Such research is often
motivated by anthropomorphic [1] and ethological [3] aspects
derived from insects and animals. Terms as teams, societies,
formations, flocks and swarm are often found in literature.
Though bearing some similarity, that both are robot
collectives; flocking behaviour is appreciably different from
robot formations. This paper tries to make a clear distinction
between these two behaviours and quantitatively study the
onset of flocking behaviour.
We propose a novel method by which robot swarms can be
seen to form from robot formations and the swarming is
identified by a critical separation, lc.

dynamically stable geometry.

Illustrating this idea with examples from human society; a
formation may be found at a banquet dinner, where each
person is seated at a particular place, is participative in
conversations and activities of the gathering, all the while
maintaining his/her seat. Much on the contrary is a swarm
which may be found in protests and demonstrations where
each protester voices similar slogans and performs near
identical actions; this sense grows in the protesters by
mimicking each other.
ahin [5] construes swarm as an emergence of a collective
behaviour. In this research we start with circular formations of
robots programmed with a flocking algorithm, however
flocking sets in only when the mutual separation between any
two adjacent robots is lower than a critical value. Such
quantitative approach to study swarm is novel and lends a
newer pedagogical route to the onset of swarm.

II. FORMATION VS. FLOCKING

Multi robot systems are often preferred over single robot
systems [3] due to improved system performance, distributed
sensing, distributed action, robustness, overall cost and
enhanced efficiency. Researchers have modeled behaviours as
foraging, consuming, grazing, flocking etc [2].
In mobile robot context flocking and swarming are often
used interchangeably however strict classification would be;
flocking is a term used for birds while herding or swarming is
used for animals. It is worth noting that swarming has an
element of randomness and no two flocks would be identical
[4]. A member of the flock tries to mimic the behaviour of the
next member. Whilst, a robot formation maintains a
Satyajeet is pursuing his post-graduation from the Department of
Electrical and Electronics Engineering, Birla Institute of Technology, Mesra,
Ranchi-835215, India (e-mail:styjyt.online@gmail.com)
A. Bhaumik is with the Department of Mechanical Engineering, Birla
Institute
of
Technology,
Mesra,
Ranchi835215,
India
(email:arkapravobhaumik@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

Fig. 1. An aerial view of a mobile robot which shows the 3 parameters

needed to describe it. The position (x, y) and the pose.

III. FLOCKING ALGORITHM

A mobile robot can be described by 3 parameters (Fig. 1),
x-coordinate, y-coordinate and pose [6].
To form flocks, the mobile robots need to share a common
trait which would thus be visible across the entire swarm. A
simple way to approach that would be if each of the robots
tries to mimic the pose of its closest neighbour. This idea is
discussed in Algorithm 1.
A substantial number of robots will be needed to reflect a
swarm; a sparse population will fail to interact effectively and
thus fail to form a swarm also for a single agent the algorithm
reduces to an obstacle avoidance algorithm.

335

Fig. 3. Geometry for adjacent robots.

IV. SIMULATIONS
For the simulations stage 3.2.2 was used [7] and the robot
model was based on the pioneer robot [8] with 8 front facing
and 8 rear facing sonars.
Algorithm 1 has been implemented by Vaughan and the
stage development team into pioneer_flocking stage controller.
Our simulations employ the pioneer_flocking stage controller
for particular environments.

V. RESULTS
Mobile robots are found to exhibit a wall following
behaviour maintaining the circular formation till the mutual
separation (l) is more than about 8 units. If the mutual
separation between the robots is less than 8 units, then instead
of maintaining the circular formation the robots move to a
radial pose and head for the centre of the circle and later
disperses to form flocks. A sense of criticality thus can be seen
with 8 units of separation;
lc8 units

(3)

stable formations occur for;

l > lc

(4)

Table 1, the experimental results demonstrates that lc is

approximately 8 units.

Fig. 2. A 2.5 dimension perspective view in stage 3.2.2, the red blocks are
the pioneer robots.

For the simulation, we constructed an environment with a

large circle (radius re) and arranged the robots in a smooth
circumferential manner to form another circle (radius r).
For a n robot system, the change in pose angle between any
two adjacent robot (Fig.3) is;
poserobot i poserobot i+1 = 2/n

(1)

and the mutual separation (l) between two adjacent robot is;
l = 2r sin(/n)

Fig. 4. 24 mobile robots, l = 9.18 (l>lc). The robots are dynamically stable and
preserves the circle

(2)
336

8
9
10
11

56
72
72
72

108.0
95.0
81
20

12.11
8.28
7.07
1.74

Stable
Stable
Swarm
Swarm

VI. CONCLUSIONS
Swarm formations are identified with a critical separation,
lc8 units. This critical separation is an emergent notion and
cannot be determined by relating robot or environment
parameters, this comes to fore only during experimentation.
It is worth noting that the sum of the sonar ranges of any
two adjacent robots is 10 units, hence for flock formation a
critical overlap of the sensor ranges is needed.

Fig. 5(a). Trajectory for 72 mobile robots, l = 1.74 (l<lc). The robots converge
towards the center.

Fig. 6. Critical overlap of sensor ranges.

VII. FUTURE PROSPECTS

An interesting prospect would be to extend this research to
3D swarm simulators, as ARGoS simulator [9].

Fig. 5(b). 72 mobile robots, later form flocks. The enlarged area shows 7
robots, which have pose within 10 degrees of each other, which thus confirms
the formation of flocks.

Fig. 7. Simple swarm formation in ARGoS simulator

TABLE I
EXPERIMENTAL RESULTS

S.No
1
2
3
4
5
6
7

n
24
24
24
18
30
40
56

r
39.0
20.0
35.2
24.0
40.0
55.3
54.0

l
10.18
5.22
9.14
8.33
8.35
8.67
6.06

VIII. ACKNOWLEDGMENT
Behaviour
Stable
Swarm
Stable
Stable
Stable
Stable
Swarm

The authors gratefully acknowledge R.Vaughan and the

stage development team. Gratitude is extended to C.Pinciroli
for helping to set up simple simulations with ARGoS.
IX. REFERENCES
[1]

337

Stuart Wilson (1985) "Knowledge Growth in an Artificial Animal",

Proceedings of the First International Conference on Genetic Agorithms
and Their Applications. Hillsdale, New Jersey. pp.16-23.J.

[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]

Robin R Murphy, Introduction to AI Robotics, MIT Press Cambridge,

MA USA, 2000, pp.293-296
Ronald Arkin, Behavior Bases Robotics, MIT Press Cambridge, MA,
USA, 1998, pp.359-362
Richard T. Vaughan. Experiments in Automatic Flock Control. PhD
thesis, University of Oxford, 1999
Erol ahin, Swarm Robotics:From Sources of Inspiration to Domains
of Application, in Proc. Swarm Robotics, 2004 pp.10-20
Sebastian Thrun, Wolfram Burgard, and Dieter Fox. Probabilistic
Robotics. Cambridge, Mass:MIT Press, 2005,pp.93
Richard Vaughan. "Massively Multiple Robot Simulations in Stage",
Swarm Intelligence 2(2-4):189-208, 2008. Springer
Pioneer robots, designed and manufactured by Adept Mobile Robots.
www.mobilerobots.com/researchrobots/pioneerp3dx.aspx
ARGoS, http://iridia.ulb.ac.be/argos/

338

Facial Expression Recognition Using Facial

Characteristic Points and Gini Index
Nazil Perveen, Shubhrata Gupta, and Kesari Verma

angry, fear, disgust and surprise.

Abstract--In this paper, Facial Expression Recognition (FER)
system, aid in modeling facial expression space for facial
expression recognition by facial characteristic points and Gini
index. Facial expression information are mostly concentrated on
facial expression information regions, so the, eyes, eyebrows, and
mouth are extracted from the input image. When a face image is
input the feature extraction is performed which help in detecting
facial characteristic points. Facial animation parameters are
calculated in order to recognize one of the six basic facial
expressions. The proposed technique is applied to JAFFE
database consisting 30 images, each having six basic facial
expression images (neutral, happy, surprise, fear, sad and angry).
For certain expressions like, surprise, fear and happy it gives the
promising results with best recognition rate, however for
expressions like, neutral, sad and angry the recognition rate is
lower. The proposed technique is implemented in MATLAB
version 7.8.0.347 (R2009a).
Index Terms--Gini index, facial expression recognition, facial
animation parameters, feature extraction, template matching,
rule extraction.

I. INTRODUCTION

ecognition of facial expression has been an active area of

research in literature for long time. Facial expression play
important role in cognition of human emotions. The major
purpose of facial expression recognition (FER) is to introduce
a natural way of communication in man-machine interaction.
The FER is the base of affective computing as it is use to
recognize the human expression effectively. Human facial
expressions contain extremely abundant information of human
behaviors and play a crucial role in interpersonal
communication.
Several FER techniques have been proposed over
the year in nineties, for example, [2]-[8] and the references
therein. In 1978, Paul Ekman and Wallace V. Freisen
proposed Facial Action Coding System (FACS) [1], which, is
the most widely used method available. They described there
are in total six basic facial expression, they are, happy, sad,

Nazil Perveen student of Mtech (computer Technology), Department of

Electrical Engineering, National Institute of Technology, Raipur-492010,
India (e-mail: 786.nazil@gmail.com).
Shubhrata Gupta, Associate Professor, Department of Electrical
Engineering, National Institute of Technology, Raipur-492010, India (e-mail:
guptashubhrata@rediffmail.com).
Keshri Verma, Assistant Professor, Department of MCA, National
Institute
of
Technology,
Raipur-492010,
India
(e-mail:
keshriverma@gmail.com).

II. RELATED WORK.

Different researches had been made in this area from past
1990s. In the year 1992, the work proposed by Hiroshi
Kobayashi and Fumio Hara is recognition of six basic facial
expressions and their strength using neural network, but the
feature extraction technique is implemented manually by
simple mathematical calculation of pixel position of images
[9]. In the year 2007, the work proposed by S.C.Tai and
K.C.Chung is automatic facial expression recognition system
using neural network, in this they implemented canthi-edge
detection techniques which is improvement over the manually
facial characteristic point technique. They use less features to
reduce the recognition time but the recognition rate is low
[10]. Bartlett explores and compares techniques for
automaticallyrecognizing facial actions in sequences of
images. Thesetechniques include analysis of facial motion
through estimationof optical flow; holistic spatial analysis,
such as independentcomponent analysis, local feature analysis,
and lineardiscriminant analysis; and methods based on the
outputs of localfilters, such as Gabor waveletrepresentations
and local principalcomponents [11].Fasel fulfils the
recognition offacial action units, i.e., the subtle change of
facial expressions,and emotion-specified expressions. The
optimum facial featureextraction algorithm, Canny Edge
Detector, is applied to localizeface images, and a hierarchical
clustering-based schemereinforces the search region of
extracted highly textured facialclusters [12].
III. FORMULATION OF FER SYSTEM.
In this whole paper we drive through the proposed work
described in the figure 1. (Fig. 1) . In the initial stage we input
the face image whose expression is needed to be recognized.
Feature is extracted in the next stage through template
matching procedure. As the facial expression information is
mostly concentrated in the facial regions like, eyes, eyebrows
and mouth, hence these features are extracted from the input
face images. Once the template is being matched the facial
characteristic points is calculated which help in evaluating the
facial animation parameters. With the aid of the facial
animation parameters and the classification technique, Gini
index, we are able to recognize the expression of the input
face images. Once the facial expression recognize we devise
the classification rule to be implemented for FER system.

978-1-4673-0455-9/12/$31.00 2012 IEEE

339

Table1. , describes the size of input image and the template

image and Table2. , Specifies, the template matching
procedure performed in the JAFFE database.
Input Image
TABLE 1
SIZE OF THE INPUT IMAGE AND ITS TEMPLATES.

Feature Extraction

Image size
Input Image template
Eye template
Eyebrow template
Mouth template

Computing Facial
Characteristic
Points.

Height in Pixels
256
15
15
20

TABLE 2
TEMPLATE MATCHING APPLIED IN DIFFERENT FACIAL
EXPRESSIONS.

Evaluating Facial
Animation
Parameters

Detected Area

Neutral
Face

Classification
using GINI Index
Detected Area of Happy Face

Surprise
face

Neutral
face

Happy
face

Width In Pixels
256
30
40
45

Happy
Face

Sad
face

Fear
face

Angry
face

Detected Area Of Surprise Face

Surprise
Face

Fig.1. Overview of proposed work (FER system).

IV. FEATURE EXTRACTION.

Feature extraction is basically used for dimensionality
reduction. Set of features, for e.g. eyes, eyebrows, and mouth
are deduced from the input image to extract the relevant
information in order to perform the desired task of extracting
facial characteristic points from the feature being matched.
We apply shape based feature extraction technique known
as Template Matching. Template matching is described as a
novel technique to track patterns from the input image based
on correlation [13]. The template matching is being
accomplished in following number of steps:
Step1. Input the template and the target image.
Step2. Convert the images into gray scale images.
Step3. Find the 2-d convolution of the target and template
image.
Step4. Find the mean and variance of the template image.
Step5. Form the search image from the search region of the
template size.
Step6. Calculate the correlation score C.
Step7. Find the pixel value from the search region having
the highest value of the correlation score C.
step7. Draw the bounding rectangles by using the index of
the matched correlation score.

Detected Area Of Sad Face

Angry
Face

Detected Area Of Sad Face

Sad Face

Detected Area Of Fear Face

Fear Face

340

V. EXTRACTING THE FACIAL CHARACTERISTIC POINTS.

The bounding rectangles form around the matched template
is used to deduce the value of top-left corner pixel from the
rectangles. And by using width and height of the template size
specified in Table 1, we compute all the 30 FCPs [14]. These
pixel values is used to evaluate the facial animation
parameters described as opening of eyes (oe), width of eyes
(we), height of eyebrows (he), opening of mouth (om), and
width of mouth (wm). Table 3, describes some of the FCPs
calculations.
TABLE 3
EVALUATION OF THE FCPS

Region
Left eye
Right eye
Left
eyebrow
Right
eyebrow
Mouth

FCP
Number
1
2
17

X
coordinate
lle + wle
lre
llb + wlb/2

Y
coordinate
tle + hle*4/5
tre + hre/2
tlb + hlb/3

18

lrb + wrb/2

trb + hrb/2

23

lmo

tmo + hmo/2

In this way, we calculate 30 FCPs, were,

lle, lre, llb, lrb, lmo:- left of left eye, right eye, left eyebrow,
right eyebrow, mouth.
wle, wre, wrb, wlb:- width of left eye,right eye, left eyebrow,
right eyebrow.
tle, tre, trb, tlb, tmo :- top of left eye, right eye, left eyebrow,
right eyebrow, mouth.
hle, hre, hlb, hrb, hmo:- height of left eye, right eye, left
eyebrow, right eyebrow, mouth.

template. FCPs fc23_y, fc24_y, fc25_yand fc26_y are the y

coordinates of mouth template. Deriving these facial
parameters from FCPs we are going to classify the
expressions into one of the six classes using the GINI INDEX
classification techniques.
VII. GINI INDEX CLASSIFICATION TECHNIQUE.
Classification is the task of assigning patterns to one of the
predefined class. According to definition, Classification is the
task of learning a target function f that map each attribute set
x to one of the predefined class label y. The general
procedure for solving the classification problem is categorize
into decision tree, nave base classifier, SVM classifier, rulebased classifier and neural networks.
GINI index approach is a classification
technique fall under the decision tree category. In a GINI
index decision tree classification, each leaf node is assigned as
a class label. The non-terminal nodes includes, the root and
other internal nodes, that contain attributes test conditions to
split the data set that have different characteristics. The
splitting is performed based on the basis of measure of degree
of impurity of the child nodes. In the GINI index the impurity
of the child nodes is being calculated by;

GINI (T)

1-

c-1
p(i|t)^2
i=0

(1)

Also, after splitting the data set D into two subset D1 and D2
with sizes N1 and N2, the GINI index is defined as,
GINI_SPLIT(D)=(N1/N)*GINI(D1) + (N2/N)*GINI(D2) (2)
Were, T is the data set, c is predefined classes, p(i|t) is the
relative frequency of class c in dataset T.GINI (T) is
minimized if classes in T are skewed.

VI. COMPUTATION OF FACIAL ANIMATION

PARAMETERS.
The facial animation parameters are evaluated from the FCPs
in the following way [15];

GINI_GAIN(A)=GINI(D) GINI_SPLIT(D)

(3)

Using equation (1) we decide which attribute among the set of

attribute is best for split. And by equation (3) we incurred the
reduction in impurity. We approach the GINI index
classification technique in our proposed work as described in
algorithm 1.
Hence, in this way the tree is formed and best
attributes are selected for best split. In our paper there are 30
data sets, 5 data sets for each six facial expressions and there
are 5 attributes, i.e. 5 facial animation parameters. Table 3,
described the data set considered and figure 2 described the
tree created using GINI Index considering the data set form
table 3.

Openness of eyes:
((fc7_y-fc5_y) + (fc8_y-fc6_y))/2
Width of eyes:
((fc1_x-fc3_x) + (fc4_x-fc2_x))/2
Height of eyebrows:
((fc19_y-fc1_y) + (fc20_y-fc2_y))/2
Opening of mouth:
(fc26_y - fc25_y)
Width of mouth:
(fc24_y - fc23_y)
Were,
fc1_x, fc2_x, fc3_x, fc4_x, fc7_y, fc5_y, fc8_y, fc6_y, are the
x, y coordinate position of the FCPs detected around the eye
template. Similarly the FCPs fc1_y, fc2_y, fc19_y, fc20_y
are the x, y coordinate position detected around the eyebrow

341

Algorithm 1:
Algorithm 1: skeleton of GINI INDEX classification

15.5

44.5

23.95

9.1667

29

13.5

40

22.3

7.5

28

12

40.5

19.1167

6.6667

26

Gini_index (D,A).
Step1: if all records are having either same class labels
or having same attribute values, then go to step 2
and STOP otherwise go to step 3.
Step2: specify node as a leaf node; classify datasets D
into the attribute set A. and return leaf node.
Step 3: specify node as a root node and got to step 4.
Step 4: find the best split using equation (2) by selecting
the best attribute having least value of GINI
index calculated using equation (1) and
calculate the GINI gain using equation (3).
Step 5: specify the possible outcomes of step 4 as O.
Step 6: For each o O do step 7 to step
Step 7: traverse through the edge E according to the
condition specified in the step 4.
Step8: again call Gini_index(E(o), A) as a child node
Step9: Add the child node as descendent node of root
and label the edge (root->child) as o.
Step10: return root.
TABLE 3
DATASET FOR 30 FACIAL IMAGES.

For
Neutral
face

Opening
of eyes
oe

Height of
Eyebrows
he

13.5

Width
of
eyes
we
38.5

1
1

14.5

1
1

For
Surprise
face

Opening
of eyes
oe

Height of
Eyebrows
he

25.5

Width
of
eyes
we
32.5

34.9333

Opening
of
mouth
om
9.16667

Width
of
mouth
wm
26

3
3

29

37.5

40.6167

11.667

29

3
3

23.5

33

34.333

9.1667

28

29.5

32.5

35.9833

12.5

24

22.5

32

23.833

11.667

25

24.5

32.5

31.1833

10

28

20

36.5

26.0667

11.0667

25

22.5

32

33.5667

12.5

24

30.5

34

38.6667

14.1667

25

30.5

34.5

37.2667

10

24

Height of
Eyebrows
he

Width
of
mouth
wm
26

For
fear
Face

Opening
of eyes
oe

15.5

Width
of
eyes
we
39.5

23.75

Opening
of
mouth
om
10.833

19.5

97

24.7833

8.333

25

20.5

36

21.7500

10.8333

24

20

35.5

26.75

10.833

25

16.5

36.5

24.54

8.333

27

14

37

22.9

8.333

29

19.633

Opening
of
mouth
om
9.1677

Width
of
mouth
wm
27

36

21.8

9.1677

26

13.5

30

22.8167

8.333

23

13.5

31.5

24.1333

8.333

24

15.5

42.5

24.5667

7.5

27

15

39.5

19.2

11.6667

27

17

36.5

24.5

11.677

29

15

38

22.733

12.5

26

14

40

19.2167

10.833

29

13

35

22.4333

10.8333

28

23.5

37.5

28.05

10.833

27

15

34

23.1833

9.1667

25

16.5

37

23.0667

9.1667

24

18

36.5

25.6

9.1667

28

For
sad
face

Opening
of eyes
oe

Height of
Eyebrows
he

15

Width
of
eyes
we
34

21.8667

Opening
of
mouth
om
10

Width
of
mouth
wm
28

14

35.5

23.5333

6.667

28

13.5

37.5

19.9667

5.8333

29

13

30.5

21.3667

7.5

24

13

35.5

20.8667

5.8333

28

11

35

20.4667

7.5

26

For
Happy
face

Opening
of eyes
oe

15

Width
of
eyes
we
44.5

Height of
Eyebrows
he
26.3167

Opening
of
mouth
om
6.6667

Width
of
mouth
wm
31

17.5

39

30.033

9.1667

26

11.5

41.5

23.5167

8.33

25

21.5

44.5

26.3667

5.833

28

18

35.5

23.2667

9.1667

26

18

37.5

23.25

9.16667

22

12.5

34.5

21.6333

6.6667

25

18

44.5

23.1

10.833

27

13

36

23.100

8.333

29

19.5

43

23.1

8.333

25

10

36

20.65

6.6667

25

342

For
Angry
face

Opening
of eyes
oe

Width
of eyes
we

Height of
Eyebrows
he
19.533

Opening
of
mouth
om
8.333

Width
of
mouth
wm
23

13.5

32

14

35

21.0667

8.333

30

13

34.5

16.7667

8.333

24

13.5

33

18.4833

7.5

26

13

35

17.4167

10.833

23

13.5

35

17.35

9.1667

30

11.5

36.5

16.85

8.333

24

8.5

41

18.7667

7.5

25

15.5

31

21.2167

7.5

26

12

37.5

16.1167

8.333

24

Height of
Eyebrows (he)

he<=28.3667

he>28.3667
Surprise face

Opening Of Eyes
(oe)
oe<=16

oe>16

Fear face
Width of eyes(we)

we<=37.25

Width of
mouth(wm)

wm<=26.5

we>37.25

Happy face

wm>26.5
Sad face

Opening of mouth
(om)
om>8.75
om<=8.75
5
Neutral face

VIII. RULE EXTRACTION FROM DECISION TREE

Decision tree methods are popular method of classification
technique, which is easier to understand how decision tree
work and they are having greater accuracies. Rules are
very good way of representing the knoweledge. Decision
tree when beome large then it is difficult to interpret, hence
we need to transform it into rule to be easier to specify and
build the interactive Facial Expression Recognition system.
The rule can be extracted using IF-THEN rules. The IFTHEN rules used in our paper is as follows:
RULE 1:if he>28.3667 then: input image is
SURPRISE face.
RULE 2:if he<=28.3667 AND oe<=16 AND
we<=37.25 AND wm <=26.5 AND om<=8.75
then: input image is ANGRY face.
RULE 3:if he<=28.3667 AND oe<=16 AND
we<=37.25 AND wm <=26.5 AND om<=8.75
AND 18.875<he<=21.677 then: image is SAD
face.
RULE
4:if
he<=28.3667
AND
oe<=16
AND
we<=37.25 AND wm <=26.5 AND om<=8.75
AND 21.677<he<=28.3667then: image is
NEUTRAL face.
RULE
5:if
he<=28.3667
AND
oe<=16
AND
we<=37.25 AND wm <=26.5 AND om>8.75
then: image is NEUTRAL face.
RULE
6:if
he<=28.3667
AND
oe<=16
AND
we<=37.25 AND 26.5<wm<=29 then: image is
SAD face.
RULE
7:if
he<=28.3667
AND
oe<=16
AND
we<=37.25 AND wm>29 then: image
isANGRY face.
RULE
8:if
he<=19.81
AND
oe<=13.5AND
we>37.25 then: image is HAPPY face.
RULE 9: if 19.81<he<=28.3667 AND oe<=13.5
AND we<=37.25 AND wm>29 then: image is
ANGRY face.
RULE 10:if he<=28.3667 AND 13.5<oe<=16
AND
we>42 then: image is HAPPY face.
RULE 11:if he<=28.3667 AND 13.5<oe<=16
AND
37.25<we<=42 then: image is FEAR face.
RULE
12:if
he<=28.3667
AND
oe>16
AND
we<=38.25 AND om<=8.75 then: image is
FEAR face.
RULE
13:if
he<=28.3667
AND
oe>16
AND
we<=38.25 AND 8.75<om<=9.9 then: image is
NEUTRAL face.
RULE
14:if
he<=28.3667
AND
oe>16
AND
we>38.25 then: image is HAPPY face.
RULE
15:if
he<=28.3667
AND
oe>16
AND
we<=38.25 AND 9.9<om<=11.25 then:FEAR
face.
RULE
16:if
he<=28.3667
AND
oe>16
AND
we<=38.25
AND
om>11.25
then:SURPRISEface.

Angry face

Fig 2 Decision tree for classifying using, GINI index technique.

343

network, artificial intelligence and other classification

techniques.

IX. TESTING
We use the above specified methods to determine different
facial expression on JAFFE database and test it for very small
set of the data, in which it is proven to be successful. The
program is implemented in MATLAB. The full preparation
and testing is yet to
be carried out in this on -going project.
Detected Area Of test Face
But the test performed on the JAFFE Database is resulted as
Surprise Face
shown in figure 3.

XII. REFERENCES
[1]
[2]

[3]

Detected Area Of test Face

Surprise Face

[4]

[5]

[6]

[7]
Fig 3 detected area of test image recognized using FCPs calculation and GINI
index technique.

[8]

Similarly, we test for different facial images and after testing

the accuracy we get is described in the Table 4.

[9]

TABLE 4

[10]

PERCENTAGE OF ACCURACY FOR DIFFERENT EXPRESSIONS

Facial Images
Surprise Face
Happy Face
Fear Face
Sad Face
Angry Face
Neutral Face

[11]

Percentage Of Recognition
100%
100%
100%
80%
70%
70%

[12]

[13]

[14]
[15]

X. CONCLUSION
Extensive efforts have been made over the past two decades
in academia, industry, and government to discover more
robust methods of assessing truthfulness, deception, and
credibility during human interactions. In this paper we
proposed a decision tree based approach for expression
identification. This is the improvement of the manual facial
characteristic points as the feature extraction process
automatically calculate the facial characteristic points through
which facial animation parameters are calculate to recognize
different expressions.
XI. FUTURE WORK
As it is specified the proposed work is on-going project,
hence there are many scope for the project to explore, by
improving template matching procedure by using different
image processing techniques and trying out the project for
different images other the JAFFE database. Also, to
implement it with different novel techniques like neural
344

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CONSULTING PSYCHOLOGISTS PRESS, 1978.
F. Kawakami, H. Yamada, S. Morishima and H. Harashima,
Construction and Psychological Evaluation of 3-D Emotion
Space, Biomedical Fuzzy and Human. Sciences, vol.1, no.1,
pp.3342 (1995). 2427 .
M. Rosenblum, Y. Yacoob, and L. S. Davis, Human expression
recognition from motion using a radial basis function network
architecture, IEEE Trans. on Neural Networks, vol.7, no.5,
pp.1121-1138(Sept.1996).
M. Pantic and L. J. M. Rothkrantz, Automatic analysis of facial
expressions: the state of the art, IEEE Trans. Pattern Analysis &
Machine Intelligence, vol.22, no.12, pp.1424-1445(Dec. 2000).
Y. S. Gao, M. K. H. Leung, S. C. Hui, and M. W. Tananda, Facial
expression recognition from line-based caricature, IEEE Trans.
System, Man, & Cybernetics (Part A), vol.33, no.3, pp.407412(May, 2003).
Y. Xiao, N. P. Chandrasiri, Y. Tadokoro, and M. Oda,
Recognition of facial expressions using 2-D DCT and neural
network, Electronics and Communications in Japan, Part 3, vo.82,
no.7, pp.1-11(July, 1999).
L. Ma, K. Khorasani, Facial expression recognition using
constructive feedforward neural networks, IEEE Trans. System,
Man, and Cybernetics (Part B), vol.34, no.4, pp.1588-1595 (2003)
L. Ma, Y. Xiao, K. Khorasani, R. Ward, A new facial expression
recognition technique using 2-D DCT and K-means algorithms,
IEEE.
Hiroshi kobayashi, fumio hara.Recognition of 6 basic facial
expressions and their strength by neural network, IEEE
international workshop on Robot and Communication.
S.C.Tai and K.C.Chung,Automatic facial expression recognition
system using neural network,IEEE 2007.
Bartlett, M. S., Donato, G., Ekman, P., Hager, J. C.,Sejnowski,
T.J., 1999,"Classifying Facial Actions", IEEETrans. Pattern
Analysis and Machine Intelligence, Vol. 21,No. 10, pp. 974-989.
Jain, A.K., Duin R.P.W., Mao J., 2000,"Statistical
PatternRecognition: A Review", IEEE Trans. Pattern Analysis
andMachine Intelligence, Vol. 22, No. 1, pp. 4-37.
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2008.
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Jyh-Yeong Chang and Jia-Lin Chen, A Facial Expression
Recognition System Using Neural Network, IEEE1999.

Use of Genetic Algorithms (GA) for Optimal

Coordination of Directional Over Current
Relays
Dharmendra Kumar Singh and Shubhrata Gupta, Member, IEEE

Abstract-- In this paper, the optimization of coordination of

directional overcurrent relays in an interconnected power system
is presented. The objective of protective relay coordination is to
achieve selectivity without sacrificing sensitivity and quick fault
clearance time. A methodology is adopted for the consideration of
backup relays in the optimal coordination of directional
overcurrent relays. The calculation of the time dial setting (TDS)
and the pickup current (Ip) setting of the relays is the core of the
coordination study. The inequality constraints guarantee the
coordination margin for each primary/backup relay pair having a
fault very close to the primary relay. Using this formulation, the
size of the optimization problem is significantly reduced. Genetic
algorithm is the algorithm being applied to minimize the
operating times of the relays. In this paper both linear and non
linear equations are framed for the 8 bus test system used and
optimized using the genetic algorithm.
Index Term-- Directional overcurrent relay, genetic algorithm,
operating time of relays, pickup current, time dial setting.

I. INTRODUCTION

N an interconnected power system, abnormal conditions

(faults, overload, overvoltage, etc.) can frequently occur.
Due to this, interruption of the supply and damage of
equipments connected to the power system may occur. During
these situations, the faulted components must be readily
identified and isolated in order to guarantee the energy supply
to the largest number of consumers possible and to maintain
the system stability. Therefore a reliable protective system is
required. To ensure reliability, a backup protective system
should exist in-case the main protective system fails (relay
fault or breaker fault). This backup protection should act as a
backup either in the same station or in the neighboring lines
with time delay according to the selectivity requirement.
Directional overcurrent relays (DOC) are commonly used for
power system protection. Optimization methods are used for
coordination of these relays. In these methods, at first, the

Dharmendra Kumar Singh is with M.Tech. scholar in Department of

Electrical Engineering, National Institute of Technology, Raipur-492010,
India (e-mail: dharmendrasrm@yahoo.com).
Shubhrata Gupta with the Department of Electrical Engineering, National
Institute
of
Technology,
Raipur-492010,
India
(e-mail:
guptashubhrata@rediffmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

345

coordination constraints for each main and backup relay are

determined [1]. The other optimization methods that have
been used for the above problems are simplex method [2].
A. Problems Associated With Above Techniques
A protective relay should trip for a fault in its zone and
should not, for a fault outside its zone, except to backup a
failed relay or circuit breaker. The problem of coordinating
protective relays in electric power systems consists of
selecting their suitable settings such that their fundamental
protective function is met under the requirements of
sensitivity, selectivity, reliability and speed.
B. Justification for Using Genetic Algorithms
This paper describes a systematic overcurrent (OC)
protection grading method based on genetic algorithm (GA).
Genetic algorithms are computerized search and optimization
algorithms based on the mechanics of natural genetics and
natural selection. Professor Holland of University of Michigan
envisaged the concept of these algorithms in the mid 60s.
Thereafter a number of students and other researchers have
contributed to the development of this field. Genetic
algorithms are good at taking larger, potentially huge, search
space and navigating them looking for optimal combinations
of things and solutions which we might not find in a life time.
C. Solution Approach
In [3], for linear programming, the values of time dial
setting (TDS) have been found for given values of pickup
currents (Ip) and in [4], for non-linear programming, the
values of pickup currents (Ip) have been found for given
values of TDS using GA subject to the constraints and hence
the operating times of the relays is minimized.
II. OPTIMAL COORDINATION PROBLEM

Directional overcurrent relay (DOCR) coordination

problem is a parametric optimization problem, where different
constraints have to be considered in solving the objective
function [1]. Here the objective function to be minimized is
the sum of the operating times of the relays connected to the
system, subject to the following constraints.
A. Relay Characteristics
A typical inverse time directional overcurrent relay consists

of two elements, an instantaneous unit and a time over current

unit. The over current unit have two values to be set: pick up
current value (Ip) and the time dial setting (TDS). The pickup
current value (Ip) is the minimum current value for which the
relay operates [5]. The time dial setting defines the operation
time (T) of the device for each current value, and is normally
given as a curve T vs M, where M is the ratio of relay fault
current I, to the pickup current value i.e.
M = I/Ip

(1)

In general, overcurrent relays respond to a characteristic

function of the type:
T = f (TDS, Ip, I)

K1* TDS
I * K2
CT Ratio* Ip +K3

Tbackup Tprimary CTI

Where, Tbackup is the operating time of the backup relay.
Tprimary, is the operating time of the primary relay.
After considering all these criteria, this problem can be
formulated mathematically as

min

n
i=1

Ti

Where, n represents the number of relays.

(2)

This function can be approximated as:

T=

This case is expressed as:

III. GENETIC ALGORITHM

(3)

Where, K1, K2 and K3 are constants that depend upon the

specific device being simulated. The calculation of the two
settings, TDS and Ip is the essence of directional over current
relay coordination study.
The following two cases have been considered in this paper
for obtaining the objective function and minimizing it.
Case I
The linear equation is formulated in terms of TDS by
taking Ip to be constant at a particular value in equation (3).
Case II
The non-linear equation is formulated in terms of Ip by
taking TDS to be constant at a particular value in equation (3).
B. Relay Settings
The calculation of the two settings, TDS and Ip, is the
essence of the directional overcurrent relay coordination study.
It is very important to mention that in general, directional
overcurrent relays allow for continuous time dial settings but
discrete (rather than continuous) pickup current settings.
Therefore this constraint can be formulated as:
TDSi min TDSi TDSi max
IPimin IPi IPimax
C. Coordination Problem
In any power system, a primary protection has its own
backup one for guaranteeing a dependable power system. The
two protective systems (primary and back-up) should be
coordinated together. Coordination time interval (CTI) is the
criteria to be considered for coordination. Its a predefined
coordination time interval and it depends on the type of relays.
For electromagnetic relays, CTI is of the order of 0.3 to 0.4 s,
while for a microprocessor based relay, it is of the order of 0.1
to 0.2 s.
To ensure reliability of the protective system, the back-up
scheme shouldnt come into action unless the primary (main)
fails to take the appropriate action. Only when CTI is
exceeded, backup relay should come into action.
346

Genetic algorithm (GA) is a search technique used in

computing, to find exact or approximate solutions to
optimization and search problems. Genetic algorithms are
categorized as global search heuristics [6]-[7]. Genetic
algorithms are a particular class of evolutionary algorithms
(EA) that use techniques inspired by evolutionary biology such
as inheritance, mutation, selection, and crossover [8]-[9].
A. Terminologies Related To Genetic Algorithm
Fitness Function - A fitness function is a particular type
of objective function that prescribes the optimality of a
solution (that is, a chromosome) in a genetic algorithm
so that particular chromosome may be ranked against
all the other chromosomes.
Chromosome - In genetic algorithms, a chromosome is a
set of parameters which define a proposed solution to
the problem that the genetic algorithm is trying to
solve. The chromosome is often represented as a
simple string although a wide variety of other data
structures are also used.
Selection - During each successive generation, a
proportion of the existing population is selected to
breed a new generation. Individual solutions are
selected through a fitness-based process, where fitter
solutions are typically more likely to be selected.
Reproduction - The next step is to generate a second
generation population of solutions from those selected
through genetic operators: crossover and mutation.
For each new solution to be produced, a pair of
"parent" solutions is selected for breeding from the
pool selected previously. By producing a "child"
solution using the above methods of crossover and
mutation, a new solution is created which typically
shares many of the characteristics of its "parents". New
parents are selected for each new child, and the process
continues until a new population of solutions of
appropriate size is generated.
Crossover - In genetic algorithms, crossover is genetic
operator used to vary the programming of a
chromosome or chromosomes from one generation to
the next. It is analogous to reproduction and biological
crossover, upon which genetic algorithms are based.

Mutation - In genetic algorithms of computing,

mutation is a genetic operator used to maintain genetic
diversity from one generation of a population of
algorithm chromosomes to the next. It is analogous to
biological mutation.
The purpose of mutation in GAs is preserving and
introducing diversity. Mutation should allow the
algorithm to avoid local minima by preventing the
population of chromosomes from becoming too similar
to each other, thus slowing or even stopping evolution.
B. Outline Of The Genetic Algorithm
It is very clear from flow chart given in Fig. 1.

satisfied. The coordination time interval (CTI) is assumed to

be 0.2 seconds. In order to solve the relay coordination
problem first, it need to determine the primary and backup
relay pairs.
For determining the primary and backup relay pairs, first
select a relay then determine the relays which install in the far
bus of the selected relay, then omitting the relay which is in
the same line with selected relay. Now, it can say that the
selected relays are the backup relays for the primary relay.
Table II shows the primary/backup relays pairs and faults
currents. The ratios of the current transformers (CTs) are
indicated in Table I.

Create a Population of
Chromosomes
Determine The Fitness
of Each Evaluation
> n Gen.
Gen. no

yes

Display
Results

Select Next Generation

Perform Reproduction
Using crossover

Fig. 1. Flow chart

Perform Mutation
Fig. 2. Eight bus test system

IV. PROPOSED ALGORITHM

Step 1: Generate P/B relay pairs. The knowledge of
primary/backup relay pairs is essential in the formulation of
the coordination constraints.
Step 2: Load flow analysis is done using Newton-Raphson
method to determine line currents. This analysis can be done
using any simulation softwares and here we have used ETAP
simulation software.
Step 3:
Short circuit analysis is done using the same
simulation software to find fault currents.
Step 4: Pickup current is calculated based on the load current.
Here it will be set at 1.5 times the maximum load current, for
phase protection.
Step 5: Minimization of objective function is carried out and
optimum values of TDS are determined using linear
programming technique in MATLAB.
Step 6: The values of TDS and minimization of objective
function is further optimized using genetic algorithm (GA)
using MATLAB toolbox.
V. SIMULATION
The performance of the proposed method is evaluated by, a
8-bus, 14 overcurrent relay network shown in Fig. 2. All relays
have inverse characteristic and the aim is to find an optimal
setting for network relays in order to minimize the final
operating time and in such a way that all constraints are
347

TABLE I
CT RATIO

Relay No.

CT Ratio

Relay No.

CT Ratio

1200/5

1200/5

1200/5

800/5

800/5

10

1200/5

1200/5

11

1200/5

1200/5

12

1200/5

1200/5

13

1200/5

800/5

14

800/5

TABLE II

TABLE III

PRIMARY/ BACKUP RELAY PAIRS AND FAULT CURRENTS

RESULT USING GA (FOR LINEAR FUNCTION)

Obtained Values
Obtained
Time Dial Setting
(sec)
Values (sec)

Backup
Relay

Fault Current
(KA)

Primary
Relay

Fault Current
(KA)

1.400

5.000

TDS1

0.5000

TDS8

0.5849

13

0.485

5.300

TDS2

0.5000

TDS9

0.5000

13

0.485

12

4.800

TDS3

0.5343

TDS10

0.5000

0.666

4.900

TDS4

0.5000

TDS11

0.5000

0.666

4.800

TDS5

0.5000

TDS12

0.63926

14

1.800

4.900

TDS6

0.61217

TDS13

0.5000

14

1.800

12

4.800

TDS7

0.5000

TDS14

0.6129

1.600

13

4.900

0.202

4.900

0.202

5.300

0.086

14

5.300

0.086

5.000

0.831

4.800

10

0.745

4.900

1.700

2.700

11

Time Dial Setting

Objective Function Value=12.8511 sec

TABLE IV
RESULT USING GA (FOR NONLINEAR FUNCTION)

Pick up
Current
Ip1

Obtained
values
0.50323

Pick up
current
Ip8

Obtained
Values
0.77477

4.300

Ip2

0.98316

Ip9

0.50000

4.300

Ip3

0.59802

Ip10

0.50310

1.700

10

4.300

Ip4

0.50000

Ip11

0.50000

0.176

4.900

Ip5

0.50000

Ip12

0.75583

0.176

14

5.300

Ip6

0.89909

Ip13

0.50000

12

2.600

11

4.300

Ip7

0.50378

Ip14

0.73710

Fitness Function Value= 12.539 sec

VI. RESULTS
Fig. 3. shows the convergence of the proposed method and
the algorithm converge to the global solution. The results of
the proposed method are shown in Table III and Table IV for
linear and nonlinear function respectively.

VII. CONCLUSION
In this paper, an optimization methodology is presented to
solve the problem of coordinating directional overcurrent
relays in an interconnected power system. The operating time
of the relays was determined using genetic algorithm (GA) for
8 bus system for both linear objective functions and for non
linear objective functions. The value of time dial setting
(TDS) and pick up current value (Ip) are found for linear and
nonlinear function respectively in such a way that all
constraints are satisfied. This method increases coordination
and the operation speed of relays. Finding the absolute optimal
point, the ability to be applied on large networks, the ability to
consider both linear and non-linear characteristics of relays are
some of advantages of the proposed method.
VIII. REFERENCES
[1]

[2]

Fig. 3. Convergence of the proposed method

348

L.Perez, A.J.Urdaneta, "Optimal Computation of Directional

Overcurrent Relays Considering Definite Time Backup Relaying ",
IEEE Transaction on Power Delivery, Vol. 4, No.4, October 1999, PP.
385-388.
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[9]

Relays", IEEE Transaction on Power Delivery, Vol. 16, No.3, July

2001, PP. 1276-1284.
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Coordination Algorithm for Adaptive Protection Using Linear
Programming Technique," IEEE Trans. Power Del, Vol. 11, No. 1, PP
165-173, Jan. 1996.
AI. Urdaneta, R. Nadira and L.G. Perez Jimenez, "Optimal
Coordination of Directional Overcurrent Relays in Interconnected
Power Systems," IEEE Trans. Power Del, Vol. 3, No. 3, PP 903-91 I,
July.1988.
Farzad Razavi, Hossein Askarian Abyaneh - A new comprehensive
Genetic Algorithm method for Optimal overcurrent relays coordination
International Journal on Electric Power Systems Research, 78(2008)
Pg: 713-720.
David E. Goldberg - Genetic Algorithms in Search, optimization and
Machine Learning - Addison-Wesley, Reading MA, 1989.
David E. Goldberg - Genetic Algorithm Approach: Why, How, and
What Next? -Proceeding of conference on Adaptive and Learning
System: Theory and Applications, May 1985, New Heaven, CT, USA.
Cheng-Hung Lee and Chao-Rong Chen - Using Genetic Algorithm for
overcurrent Relay Coordination in Industrial Power System - The 14th
National Conference on Intelligent Systems Applications to Power
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C. W. So, K. K. Li, K. T. Lai and K. Y. Fung, "Application of Genetic
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Vol. 1, PP. 283-287 ,Nov. 1997.

349

Genetic and Quantum Algorithm based Gene

Selection and Classification of Microarray Data
Pramila I and Baskar S

Abstract-- The purpose of this paper is to identify a small

subset of genes that could be used to separate two classes of
samples with high accuracy. For this purpose, GQASVM is used.
As a first stage of this process, gene selection is done using GQA
(Genetic and Quantum Algorithm). The purpose of gene selection
is to choose a subset of genes from the high-dimension, high-noise
gene expression data in order to improve prediction accuracy.
This subset of genes is then applied to SVM classifier which
finally gives the classification accuracy. GQA is based on the
concept and the principles of quantum computing such as qubits
and superposition of states. Instead of binary, numeric, or
symbolic representation, by adopting qubit chromosome as a
representation GQA can represent a linear superposition of
solutions due to its probabilistic representation. The experiment is
carried out on lung cancer dataset
Index Terms-- Quantum Computing, Quantum Genetic
Algorithm, Gene selection, Classification.

I. INTRODUCTION

HE Quantum computation is a new field of research that

makes direct use of quantum mechanical phenomena, such
as superposition and entanglement, to perform operations
on data. The basic principle behind quantum computation is
that quantum properties can be used to represent data and
perform operations on these data.
A classical (or non-quantum) algorithm is a finite sequence
of instructions, or a step-by-step procedure for solving a
problem, where each step or instruction can be performed on a
classical computer. Similarly, a quantum algorithm is a stepby-step procedure where each of the steps can be performed on
a quantum computer. All problems which can be solved on a
quantum computer can be solved on a classical computer.
The classical computing in Genetic Algorithm represents
a sequence of bits whereas the quantum computing maintains a
sequence of qubits. A single qubit can represent a one, a zero,
or superposition of these; moreover, a pair of qubits can be in
any quantum superposition of 4 states, and three qubits in any
superposition of 8 [1].

Pramila I is with Department of Computer Science and Engineering,

Thiagarajar College of Engineering, Madurai, India (e-mail:
pramics05@gmail.com).
Sudha S is with Department of Computer Science and Engineering,
Thiagarajar college of Engineering, Madurai, India (e-mail: ssj@tce.edu).

Quantum computation is capable of processing huge

number of quantum states simultaneously in parallel. Quantum
computation brings new philosophy to optimization due to its
underlying concepts. Recently, a growing theoretical and
practical interest is devoted to researches on merging
evolutionary computation and quantum computing.
The aim is to get benefit from quantum computing
capabilities to enhance both efficiency and speed of classical
evolutionary algorithms [2]. This has led to the design of
Quantum inspired genetic algorithms GQA that have been
proven to be better than conventional GAs.
Microarrays provide a revolutionary platform to analyze
thousands of genes at once. Gene expression data analysis
from microarray is a new advance of cancer diagnosis.
However, the gene expression data often have high
dimensionality, high noise and small sample size. These
properties cause severe difficulties in cancer classification.
Gene selection is thus a crucial pre-processing step to filter out
uninformative genes prior to the classification step [3].
Gene selection problem could be defined as selecting a
subset of M genes from a set of N genes, M < N, such that the
value of the criterion function is optimized over all subsets of
size M. So, Gene selection can be modeled as a combinatorial
optimization problem [2].
The objective of this paper is to analyze the classification
accuracy of selected subset of genes of microarray data.
GQASVM is used for the gene selection problem and the
classification of high dimensional microarray data. The
performance of GQASVM is demonstrated by experimental
results on the lung cancer dataset.
II. RELATED WORK
The hybrid of genetic algorithm and particle swarm
optimization is used for gene selection and SVM is used for
classification. For the Lung cancer data, the best classification
accuracy is obtained by the proposed gene selection method
with SVM classifier, which achieves 91.9% with an average of
18.0 genes [4].
A Genetic Algorithm-Artificial Neural Network (ANN)
wrapper approach is implemented to find the highest scoring
set of features for an ANN classifier [5]. Metaheuristic
methods like local search, genetic and memetic algorithms
(MAs) can be designed to deal with gene selection and
classification of microarray data. This approach selects 2
genes with an average accuracy of about 94% [6].
Quantum genetic algorithm for binary decision diagram

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350

ordering problem is based on a basic core defined by a suitable

quantum representation and an adapted quantum evolutionary
dynamic. This method is distinguished by a reduced
population size and a reasonable number of iterations to find
the best order [7].
Genetic quantum algorithm and its application to
combinatorial optimization problem are based on the concept
and principles of quantum computing such as qubits and
superposition of states. As genetic operators, quantum gates
are employed for the search of the best solution. Rapid
convergence and good global search capability characterize
the performance of GQA. The effectiveness and the
applicability of GQA are demonstrated by experimental results
on the knapsack problem, which is a well-known
combinatorial optimization problem [8].
MRMR is used to filter noisy and redundant genes in high
dimensional microarray data. It filters redundant genes and
selects 25 genes from lung cancer data of 7563 dimensions [9].
All the previous work done using genetic algorithm gives
the least accuracy when compared to the proposed work. The
experimental results of the proposed algorithm show the
Genetic and Quantum Algorithm outperforms the other hybrid
algorithms by selecting the least genes with highest accuracy.
III. PROPOSED ALGORITHM
In our proposed algorithm a hybridization of genetic and
quantum algorithm (GQA) is used for gene selection and
Support Vector Machine (SVM) is used for classification.
GQA is based on the concepts of qubits and superposition of
states of quantum mechanics. The smallest unit of information
stored in a two-state quantum computer is called a quantum bit
or qubit [1].
A qubit may be in the 1 state, in the 0 state, or in any
superposition of the two. Support Vector Machines are used
for classification based on the concept of decision planes that
define decision boundaries. The state of the qubit is
represented as
| = |0 + |1
(1)
Where and are complex numbers that specify the
probability amplitudes of the corresponding states. ||2
represents the probability that the qubit will be found in 0
state and ||2 represents the probability that the qubit will be
found in the 1 state. Normalization of the state to unity
guarantees
||2+||2=1
(2)
If there is a system of m qubits, the system can represent 2 m
states at the same time [7].
For classification, Support Vector Machines are used based
on the concept of decision planes that define decision
boundaries. Fig. 1 shows the proposed algorithm for gene
selection and classification of microarray data.

Fig. 1. Design Flow of GQA-SVM

A. GQA Representation
It is possible to use a number of different representations to
encode the solutions onto chromosomes in evolutionary
computation. The classical representations can be broadly
classified as: binary, numeric, and symbolic [2]. GQA uses a
novel representation that is based on the concept of qubits.
One qubit is defined with a pair of complex numbers, (, ), as

The representation of qubit chromosomes is as follows.

1

...
...

m
m

Convergence can be also obtained with the qubit

representation. As |i|2 or |i|2 approaches to 1 or 0, the qubit
chromosome converges to a single state and the property of
diversity disappears gradually [14]. That is, the qubit
representation is able to possess the two characteristics of
exploration and exploitation, simultaneously.
For each qubit, a binary value is computed according to its
probabilities |i|2 and |i|2. |i|2 and |i|2 are interpreted as the
probabilities to have respectively 0 or 1. Consequently, all
feasible variable orders can be represented by a quantum
matrix QM that contains the superposition of all possible
variable permutations [7]. This quantum matrix can be viewed
as a probabilistic representation of all potential order.
B. Quantum Operators
The quantum operators include quantum selection,
quantum crossover, and quantum mutation.
The quantum selection operator chooses quantum
chromosomes from the current population for later breeding
and inclusion in the next generation's population.

351

The quantum crossover operator exchanges the sub-part of

two quantum chromosomes.
The quantum mutation operator consists in reversing the
probabilities of obtaining |0| and |1| states. If a qubit is
represented by |0 + |1, then by applying quantum mutation
it becomes |0 + |1.
C. GQA Procedure
The procedure for GQA is given below.
procedure GQA
begin
t0
initialize Q(t)
make P(t) by observing Q(t) states
evaluate P(t)
store the best solution among P(t)
while(not termination-condition) do
begin
tt+1
make P(t) by observing Q(t-1) states
evaluate P(t)
update Q(t) using quantum gates U(t)
store the best solution among P(t)
end
end
GQA maintains a population of qubit chromosomes,
Q(t)={q1t,q2t,....,qnt} at generation t, where n is the size of
population.
In the above procedure, the step initialize Q(t) initializes
the qubit chromosomes with each having 50% probability.
Inside the while loop, update Q(t) is included to have fitter
states of the qubit chromosome. A set of binary solutions is
formed and each binary solution is evaluated to give the fitness
value. In the next step, a set of qubit chromosomes Q(t) is
updated by applying some appropriate quantum gates U(t),
which is formed by using the binary solutions P(t) and the
stored best solution.
The rotation gate for this problem can be given as,

U( )=

cos

sin

sin

cos

Where
is a rotation angle. This step makes the qubit
chromosomes converge to the fitter states. The best solution
among P (t) is selected in the next step, and if the solution is
fitter than the stored best solution, the stored solution is
changed by the new one. The binary solutions P (t) are
discarded at the end of the loop.
GQA with the qubit representation can have better
convergence with diversity than conventional GAs which has
fixed 0 and 1 information.
D. The SVM Classifier
Support Vector Machines are used for classification based
on the concept of decision planes that define decision
boundaries. A decision plane is one that separates between a
set of objects having different class memberships.

denotes the class 0

denotes the class 1
Fig. 2. Example for SVM classification

In this example, the objects belong either to class 0 or 1.

The separating line defines a boundary on the right side of
which all objects belong to class 1 and to the left of which all
objects belong to class 0. Any new object falling to the right is
classified, as 1 (or classified as 0 should it fall to the left of the
separating line).
SVM is primarily a classifier method that performs
classification tasks by constructing hyper planes in a
multidimensional space that separates cases of different class
labels. A good separation is achieved by the hyper plane that
has the largest distance to the nearest training data points of
any class, in general the larger the margin the lower the
generalization error of the classifier [9].
E. Hybrid GQASVM Approach
In this work, GQA is combined with the SVM classifier for
gene selection and classification of high dimensional
microarray data. Its purpose is to select most relevant and
highly informative genes among thousands of them. SVM
classifier dealing with the Leave One Out Cross Validation
(LOOCV) method is applied in order to evaluate and validate
the provided solutions [9].
Initially, the GQA procedure is applied to the entire dataset
as per the algorithm. Then the quantum operators such as
crossover and mutation are performed. The crossover done
here is one point crossover which exchanges two quantum
chromosomes at a point.
Now each quantum chromosome is converted into its
respective binary population. Then for the obtained population
fitness function is evaluated at various generations. The fitness
of a chromosome is calculated applying a Leave One Out
Cross Validation (LOOCV) method to estimate the rate of
correct classification accuracy for the training data. This
validation is repeated for each sample of the subset. The
complete fitness function is described as follows:
Fitness(xjt) = *(100/accuracy)+*(nb features).
The objective here is to maximize the accuracy and
minimize the number of genes. As a consequence, we should
have the minimized fitness. For this purpose, rotation gate is
used. The qubit chromosomes are updated by applying the
rotation gate, using the binary solutions and the stored best
solution. The update Q(t) procedure is defined as:
procedure update (q)

352

begin
for(i=0; i<m; i++)
determine i with the lookup table
i= (cos(i sin(i,i))) i
-(sin(i sin(i,i))) i
i= (sin(i sin(i,i))) i
+(cos(i sin(i,i) i
end for
qq
end
The step update (q) makes the qubit chromosome converge
to the fitter states. A binary string of the length m is formed
from the qubit string. The qubit chromosomes are converted to
the binary population using the make (x) function. The binary
string x is determined as follows:
procedure make (x)
begin
i0
while (i < m) do
begin
ii+1
if random[0,1] > i2
then xi 1
else xi 0
end
end
Evaluation = SVM Classifier (accuracy) +Leave One Out
Cross Validation (LOOCV) + number of selected features +
weighting. The weight values of and are set to 0.75 and
0.25.
It should be noted that the lower the fitness value the
higher the classification accuracy.
The following is the lookup table which is used to find the
qubit state that the probability to be increased.
Below the table and figure captions 6pt spacing is needed.
TABLE I
LOOK UP TABLE

xi

0
0
0
0
1
1
1
1

bi

0
0
1
1
0
0
1
1

f(x)
f(b)
False
True
False
True
False
True
False
True

0.003
0.020
0.008
0.020
0.000
0.035
0.000
0.000

i i
>0
-1
-1
+1
-1
0
+1
0
0

Sign (i,i)
i i
i
<0
=0
+1
1
+1
1
-1
0
+1
1
0
0
-1
0
0
0
0
0

lung cancer dataset can be found in the following link:

http://cilab.ujn.edu.cn/dataset/lung cancer.rar.
V. PERFORMANCE ANALYSIS
This section deals with the performance analysis of various
techniques for gene selection and classification of microarray
data.
The hybrid Particle Swarm Optimization and Genetic
algorithm method is used for gene selection and Support
Vector Machine (SVM) is adopted as the classifier. This
approach is tested on three datasets: Leukemia, Colon and
breast cancer. For Leukemia dataset, the classification
accuracy obtained is 95.1% with 21 selected genes. For colon
data, the accuracy is 88.7% with 16 genes and for breast
cancer data, the accuracy is 93.4% with 26 genes.
MRMR is another method which is used to filter noisy and
redundant gens in high dimensional microarray data. IT filters
redundant genes and select 25 genes from lung cancer data of
7563 dimensions per sample.
A Two-Stage Gene Selection Algorithm by Combining
ReliefF and mRMR is applied to directly and explicitly reduce
redundancy for selecting a compact yet effective gene subset
from the candidate set. ReliefF is first used to choose 150
genes as the candidate set from all the gene data. mRMR
algorithm is then applied to select the final subset. The
mRMR-ReliefF selection algorithm leads to significantly
improved class predictions. With the same number of selected
genes, the gene set obtained by the mRMR-ReliefF selection is
more representative of the target class, therefore leading to
better class prediction property. The accuracy obtained
through this method id 91.4% with 30 selected genes.
All the previous work done using genetic algorithm gives
the least accuracy when compared to the proposed work. The
experimental results of the proposed algorithm show the
Genetic and Quantum Algorithm outperforms the other hybrid
algorithms in terms of classification accuracy and the final
gene subsets selected.
VI. EXPERIMENTAL RESULTS

i = 0
0
0
1
0
0
1
0
0

f(x) and f(b) in the lookup table denote the current

chromosome and the best solution respectively.
IV. DATASET USED
The dataset used in this experiment is lung cancer dataset. In
the lung cancer dataset, the number of samples is 32 and the
number of dimensions per sample is 12533. Classification
occurs between Mesothelioma and ADCA of the lung. The

The results show that GQASVM is able to find the genes of

interest and improve the classification in a meaningful way.
The number of genes that classifies instances is very much
reduced.
The number of generations was fixed to 50. Totally 10 runs
are made on the dataset and the classification accuracy
obtained is 93.75% with just 2 gene subsets. The final gene
subsets obtained are 7299 and 12532.
The fitness function is responsible for the selection of most
important genes from the microarray data which improves the
classification accuracy. The Fig.2 shows the fitness function
calculated on lung cancer dataset. It shows that the fitness
value decreases considerably over each generation. In
GQASVM the number of generations was set to 50.
At generation 1, the value of fitness is 1.5. This value then
gets reduced considerably over each generation and finally at
50th generation; the fitness value is 1.25 which could improve
the classification accuracy. The Fig. 3 shows the fitness values
at each generation.

353

identification of informative genes which have the greatest

power for classification is an important task in medical
diagnosis. In order to select the most important genes which
could have the greater impact on the classification, GQASVM is
adopted. GQA is based on the concept of quantum computing
such as concepts of qubits and superposition of states. The
quantum operators such as quantum crossover and quantum
mutation are performed. The experiment is carried out on lung
cancer dataset. Through GQASVM approach, the classification
accuracy obtained is 93.75% with minimum number of gene
subsets of about 2 genes. The results show that GQASVM is able
to find genes of interest.
VIII. REFERENCES
[1]

[2]
Fig. 3 Fitness function

The classification accuracy obtained for the lung cancer

dataset is shown in the Fig.3. It shows that the accuracy
increases over each generation. For the lung cancer dataset
totally 10 runs are made and the mean classification accuracy
obtained is 93.75%. The Fig. 4 shows the classification
accuracy of lung cancer dataset.

[3]

[4]

[5]

[6]

[7]

[8]

[9]

[10]

[11]

[12]
Fig. 4 Classification Accuracy

This shows that GQASVM provides much reduced subsets of

genes with reported 94% test accuracy. This approach finds
only two gene subsets from 12533 gene expression levels for
the classification of the instances of lung cancer dataset.

[13]

[14]

VII. CONCLUSION
As gene expression data usually contains a large number of
genes with limited samples and most are irrelevant,
insignificant or redundant to the discriminant problem, the
354

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Allani Abderrahim, El-Ghazali Talbi, Mellouli Khaled, "Hybridization

of Genetic and Quantum Algorithm for Gene Selection and
Classification of Microarray Data", 2009 IEEE.
Dongqing Liu, Ting Shi, Joseph A. DiDonato, John D. Carpten,
Jianping Zhu, Zhong-Hui Duan, "Application of Genetic Algorithm/KNearest Neighbor Method to the Classication of Renal Cell
Carcinoma", Proceedings of the 2004 IEEE Computational Systems
Bioinformatics Conference, 0-7695-2194-0/04, IEEE 2004.
A. El Akadi, A. Amine, A. El ouardighi, D. Aboutajdine, "A New
Gene Selection Approach Based on Minimum Redundancy-Maximum
Relevance (MRMR) and Genetic Algorithm (GA)", 2009 IEEE.
Huijuan Liu, Wutao Chen, Xiaoping Ma, Mingyi Wang, Jinwei Zhang,
"Model-free Gene Selection Using Genetic Algorithms", International
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Number1, January 2011.
Roger Gaborski, Anne Haake, Gary Skuse, "Feature Selection of
Microarray Data Using Genetic Algorithms and Artificial Neural
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Beatrice Duval and Jin-Kao Hao, "Advances in metaheuristics for gene
selection and classification of microarray data", Briengs in
Bioinformatics, VOL.11, No.1, 127-141, 29 September 2009.
Abdesslem Layeb, Djamel-Eddine Saidouni, Quantum Genetic
Algorithm for Binary Decision Diagram Ordering Problem, IJCSNS
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K. H. Han and J. H. Kim, "Genetic Quantum Algorithm and its
Application to Combinatorial Optimization Problem" in Proceedings
of the 2000 Congress on Evolutionary Computation, Piscataway, NJ:
IEEE Press, vol. 2, pp. 1354 - 1360, Jul. 2000.
A.El Akadi, A.Amine, A.El ouardighi, D.Aboutajdine, "A New Gene
Selection Approach Based on Minimum Redundancy-Maximum
Relevance (MRMR) and Genetic Algorithm (GA)", 2009 IEEE.
Mohammed Korayem, Waleed Abo Hamad and Khaled Mostafa, "A
hybrid genetic algorithm and artificial immune system for informative
gene selection", IJCSNS International Journal of Computer Science
and Network Security, VOL.10 No.7, July 2010.
P. W. Shor, Algorithms for Quantum Computation: Discrete
Logarithms and Factoring, Proceedings, 35th Annual Symposium on
Foundations of Computer Science, November 1994, pp. 124134.
P. W. Shor, Quantum Computing, Documenta Mathematica , vol.
Extra
VolumeICM,
pp.
467-486,
1998,
http://east.camel.math.ca/EMIS/journals/DMJDMV/xvolicm/00/Shor.
MAN.html.
L. K. Grover, A fast quantum mechanical algorithm for database
search, Proceedings 28th Annual Symposium on the theory of
Computing, May 1996, pp.212-219.
Amer Draa, Hichem Talbi, Mohamed Batouche, A Quantum-Inspired
Genetic Algorithm for Solving the NQueens Problem, Vision &
Computer Graphics Team, LIRE Laboratory, Computer Science
Department, Engineering Faculty, Mentouri University, Constantine,
Algeria, 7th ISPSAlgiers , May 2005.
Amer Draa, Hichem Talbi, Mohamed Batouche,A New QuantumInspired Genetic Algorithm for Solving the Travelling Salesman

Problem, International Conference on Industrial Technology, IEEE

Press, 2004.
[16] Pavlidis P., Wapinski I., and NobleW. S.Support vector machine
classification on the web. Bioinformatics., 20: 586-587, 2004.
[17] I. Guyon, J. Weston, S. Barnhill, and V. Vapnik,Gene selection for
cancer classification using support vector machines.
[18] http://cilab.ujn.edu.cn/dataset/lung cancer.rar

355

Delay Area Efficient Low Voltage FVF Based

Current Comparator
P. Iswerya, Student Member, IEEE, Shruti Gupta, Mini Goel, Veepsa Bhatia, Neeta Pandey and Asok
Bhattacharyya

Abstract-- This paper presents an improved current

comparator using flipped voltage follower (FVF) to obtain the
single supply voltage. This circuit exhibits short propagation
delay and occupies a small chip area. The proposed circuit has
been simulated employing PSpice simulator for 0.18 m CMOS
technology and a comparison has been performed with its non
FVF counterpart to contrast its effectiveness, simplicity,
compactness and low power consumption.
Index Terms--Current Comparator, Flipped Voltage Follower,
Low Area Occupation, Low Voltage, Propagation Delay.

I. INTRODUCTION

OMPARATORS are ubiquitous components for many

analogue systems including data convertors and other
front-end signal processing applications. They have always
been, and are still, an important part of electronic systems.
With the ever increasing need for shrinking the feature size of
devices and the quest for high speed, designers are considering
current-mode implementations. The very striking attributes of
current-mode approaches such as high speed, large bandwidth,
and decreased need of high supply voltages etc. have made
analogue designers take more interest in current-mode circuits.
However, high performance Current-mode comparators have
not been frequently published, and only a few structures exist
[1]-[3]. One reason for this might be that the most commonly
used current comparator; the current mirror comparator [4] has
a propagation delay of about 10ns.
The market of portable electronic equipments has pushed
industry to produce circuit designs with very low power
consumption and with very low voltage supply. In order to
accomplish both requirements it is necessary to develop new
design techniques to reduce power consumption of the digital
circuitry in VLSI systems and to prevent oxide breakdown
with decreasing gate-oxide thickness. As the devices scale
down, the supply voltage reduces while the threshold voltage
of MOSFETs downscales not as much and the short channel
effects become increasingly phenomenal. The crossfire of
these factors diminishes the room for tradeoffs and hence
P. Iswerya, Shruti Gupta, Mini Goel and Veepsa Bhatia are with the
Department of Electronics and Communication, Indira Gandhi Institute of
Technology, GGSIPU, Delhi-110010, India (e-mail: aashi.dec@gmail.com).
Neeta Pandey and Asok Bhattacharyya are with the Department of
Electronics and Communication, Delhi Technological University, Delhi,
India.

toughens the design of a conventional source follower to meet

the requirements of wide input swing and resistive load
capability for the state-of-art circuits. Several techniques have
been proposed to reduce supply voltage requirements in analog
and mixed-signals circuits, among them are folding, triodemode and sub threshold operation of MOS transistors,
floating-gate techniques, and current-mode processing [5][9].
This paper uses a cell called Flipped Voltage Follower (FVF)
which is a voltage follower circuit with shunt feedback hence
the low impedance at the output node of the FVF facilitates
large current sourcing capabilities [10].
The paper is organized as follows: The concept of FVF cell
and its applications are presented in Section II. Section III
describes the existing current comparator configurations while
Section IV elaborates on the proposed FVF based comparator
structure. The PSpice simulations and comparison results are
demonstrated in Section V. Finally, in Section VI, conclusions
are drawn.
II. FLIPPED VOLTAGE FOLLOWER
As the devices scale down, the supply voltage reduces
while the threshold voltage of MOSFETs downscales not as
much. This happens because VT tox. The most general
expression of the threshold voltage VT can be written as
follows:

VT

VTO

( | VSB

|2

|)

(1)

Where VTO is threshold voltage at zero substrate bias, VSB is

source-to-substrate voltage, F is Fermi potential.
And the substrate-bias (body-effect) coefficient is given by:
(2)
(tox ox ) 2q si N A
Wherein, tox is oxide thickness, ox is permittivity of oxide
layer; q is charge, Si is permittivity of Silicon and NA is
acceptor concentration.
Equation (1) can be used both for n-channel and p-channel
MOS transistors [11]. In order to decrease VT, tox has to be
decreased which can cause oxide breakdown after a certain
limit. This limits the decrease in threshold voltage. Thus FVF
is developed which works independently of the supply voltage.
We can reduce the power supply voltage of FVF up to as low
as 0.1V. FVF is basically a Source Follower with shunt

978-1-4673-0455-9/12/$31.00 2012 IEEE

356

Fig. 2. Current comparator proposed by Traff

(a)
(b)
Fig. 1. (a) FVF using current bias (b) FVF using voltage bias [10]

feedback and current/voltage biasing as can be seen from Fig.

1. Because of the shunt feedback, transistor M2 remains
always in active state no matter how small power supply is
given to the circuit.
Thus the application of the shunt feedback extracts the
whole circuit from saturation state to the active state. Further,
due to current biasing the current through transistor M1 is held
constant. Thus change in output current does not affect the
input current and VSG1 (which is a function of input current)
remains almost constant across M1. This results in almost
unity voltage gain or in other words output voltage follows
input voltage. Unlike the conventional voltage follower, the
circuit in Figure 1(a) is able to source a large amount of
current, but its sinking capability is limited by the biasing
current source IB, the large sourcing capability is due to the
low impedance at the output node (r0=1/gm1 gm2 r01), where gmi
and r0i are the transconductance and output resistance,
respectively. This value is in the order of 20-100 .
Applications of FVF include current mirrors [12], [13],
differential pair and amplifier [14], [15], low voltage output
stages for OP-AMP [14], [16], [17].

voltage analog and mixed-signal circuits. The input stage in

[4] is replaced by a FVF Source follower cell which works on
1.8V power supply. The novel structure employs an inverter
stage at the output, for amplification purpose to obtain a
complete output swing. In contrast, the Traff comparator gives
a complete output swing when 4 inverter stages are added at
the output as illustrated in Fig. 4.

Fig. 3. Proposed FVF based Current Comparator (based on FVF)

III. EXISTING CURRENT COMPARATORS

A number of current comparator circuits subsist [1], [2], [4],
[18]-[24]. The current comparator reported by Traff [4], as
shown in Fig. 2, at a power supply of 5V, is perhaps the
closest to a true current comparator because it possesses lower
input impedance than the others. The purpose of using a
source follower input stage is, in addition to low resistance, the
ability of applying feedback to the gates. To achieve sufficient
gain for amplifying small voltage variations at the input stage
node, positive voltage feedback from a CMOS inverter is used.
One disadvantage of this approach is that the input voltage to
the positive feedback inverter does not slew from rail to rail,
making neither MP2 nor MN2 totally shutoff. As a result, a
quiescent current will flow in the inverter stage of the circuit
leading to non-zero DC power dissipation [4]. A propagation
delay of 4nsec is obtained at a supply voltage of 5V.
IV. PROPOSED STRUCTURE
This paper focuses on implementing a current comparator
using a flipped voltage follower to harness the potential of
FVF cell for the design of high-performance low-power/low

Fig. 4. Modified Traff current comparator (with output stages added to obtain
full swing)

V. SIMULATION AND COMPARISON RESULTS

All the proposed circuits have been simulated using PSpice for
0.18 m technology. An input current of 100A is used for all
simulations. Fig. 5 shows the output waveform for the current
comparator proposed by Traff at power supply of 1.8V. At this
voltage, the output swing obtained is nearly 0.725V.
Transients are present in the waveform in the transition region.
Output waveform for the integrated circuit of Traff with four
inverter stages is shown in the Fig 6. Output swing of 1.8V is
obtained with a propagation delay of nearly 1ns. Owing to the
inverter stages added in order to achieve higher output swing,
the transistor count of the circuit increases to a very large
value.

357

TABLE I
PERFORMANCE COMPARISON OF DIFFERENT CURRENT COMPARATORS

Fig. 5. Output waveform of Traff current comparator

Current
comparator

Traff

Transistor
count
Propagation
delay (ns*)
Power
supply (V**)
Output
swing (V**)
Area
product
* ns is nanoseconds

Modified
Traff (with
output stages)
12

Proposed FVF
based
comparator
6

0.75

1.8

1.8

0.725

1.8

1.8

36

12

4.5

** V is volts

VII. REFERENCES
Fig. 6. Response of modified Traff current comparator(with output stages)

[1]

Fig. 7 shows the simulation results of the proposed FVF

based current comparator circuit at 1.8V power supply. The
output voltage swing of 1.8V is obtained with a propagation
delay of 0.8ns. The proposed structure employs only one
additional CMOS inverter stage leading to a low transistor
count as opposed to the modified Traff current comparator,
which requires four stages.

[2]
[3]
[4]
[5]

[6]

[7]

[8]

[9]
Fig. 7. Output response of proposed FVF based current comparator
[10]

VI. CONCLUSION
The purpose of this paper is twofold. First, a current
comparator using FVF with voltage output is presented, which
exhibits low area product, a propagation delay of 1 ns and a
relatively small area occupation. Second, for achieving rail-torail output swing on Traff current comparator [4], clocked
differential outputs and faster rise and fall times, an output
stage is proposed. A comparison of the performance with
different current comparators used has also been drawn at
1.8V power supply.
It can be seen from the above table that proposed FVF
based current comparator gives complete output voltage swing
of 1.8V compared to 0.725V swing given by the compared
structure. The delay decreases to 0.75ns. When the compared
structure is modified by integrating four more stages of CMOS
inverters, an output swing of 1.8V is obtained. This
considerably increases the area occupation and propagation
delay and hence the area product. The area occupation of the
proposed configuration is one third of that of the modified
Traff current comparator circuit.

[11]
[12]

[13]

[14]

[15]

[16]

358

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Electron. Left., 1983, 19, pp. 695-697
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H.Traff, Novel approach to high speed CMOS current comparator,
Electronics Letters, Vol. 28, No. 3, pp. 310-312, 1992
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Design: The Current-Mode Approach, London, U.K.: Peter Peregrinus,
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S. Yan and E. Snchez-Sinencio, Low voltage analog circuit design
techniques: A tutorial, IEICE Trans. Fund., vol. E83, no. 2, pp. 117,
Feb. 2000.
S. S. Rajput and S. S. Jamuar, Low voltage analog circuit design
techniques, IEEE Circuits Syst. Mag., vol. 2, no. 1, pp. 2442, May
2002.
Carvajal, R., Ramirez-Angulo, J., Lopez Martin, A., Torralba, A., Galan,
J., Carlosena, A., et al. (2005), The flipped voltage follower: A useful
cell for low voltage low power circuit design, IEEE Transactions on
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Sung-Mo Kang and Yusuf Leblebici, CMOS Digital Integrated Circuits,
Analysis and Design, Tata McGraw Hill, 3 rd Edition, 2003
Koliopoulos, C., & Psychalinos, C. (2007), A comparative study of the
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Jindal,Low voltage current mirrors with enhanced bandwidth, Analog
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J. Ramirez-Angulo, R.G.Carvajal, A.Torralba, J. Galan, A. P. VegaLeal, and J.Tombs, Low-Power Low-Voltage Analog Electronic
Circuits Using The FlippedVoltage Follower, IEEE 2002.
J. Ramirez-Anglo, R. G. Carvajal and A. Torralba, "A new class AB
differential input stage for implementation of low-voltage high slew rate
op-amps and linear transconductors." Proc. of the IEEE International
Symposium on Circuits and Systems. ISCAS'2001. Sydney. (Australia).
vol 1. pp.67 1-674.
A. Torralba. R. G. Carvajal. J. Ramirez-Angulo, J. Tombs and J.A.
Galan. "Class AB output stages for low voltage CMOS opamps with
accurate quiescent current control by means of dynamic biasing."
International Conference on Electronics. circuits and Systems.
ICECS'OI, pp 967-970

[17] A. Torralba. R. G. Carvajal. J. Martinez-Heredia and J. RamirezAngulo. "Class AB output stage for low voltage CMOS op-amps with
accurate quiescent current control." IEE Electronic Letters, vol. 36, no
21, pp. 17531754, Oct. 2000.
[18] D. Banks and C. Toumazou, Low-power high-speed current
comparator design, Electronics Letters, 44, (3), pp. 171172, 2008.
[19] L. Chen, B. Shi and C. Lu, Circuit Design of a High Speed and Low
Power CMOS Continuous-time Current Comparator, Analog Integrated
Circuits and Signal Processing, 28, 293297, Kluwer Academic
Publishers, manufactured in The Netherlands, 2001.
[20] A.T.K. Tang and C. Toumazou, High performance CMOS current
comparator, Electronics Letters, 30, (1), pp. 5-6, 1994.
[21] B.M. Min and S.W. Kim, High performance CMOS current
comparator using resistive feedback network, Electronics Letters, 34,
(22), pp. 2074-2076, 1998.
[22] L. Ravezzi, D. Stoppa and G.F. Dallabetta, Simple high-speed CMOS
current comparator, Electronics Letters, 33, pp. 18291830, 1997.
[23] X. Tang and K. P. Pun, High Performance CMOS Current
Comparator, Electronics Letters, Vol. 45, No. 20, pp. 1007 1009,
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[24] Adel S. Sedra and K. C. Smith, Microelectronics Circuits, 5th edition
(Oxford University Press, 2006).

359

Rooftop Hybrid System for Minimizing Peak

Demand with an Effective Feed-In Tariff Structure
Md. Rifat Alam Siddique, Shahriar Jalal Nibir and Aminul Hoque
Abstract In our work we have studied the feasibility of
supplying maximum possible peak hour load through micro
generation using rooftop wind turbines and solar PV panels in a
low wind speed urban area. Due to easy access to grid in a city, a
grid-tie arrangement has been designed in this paper that can
ensure the sale of excess off-peak generations to make the system
profitable. Choice of proper turbine and DC storage device based
on above system considering corresponding cost analysis for a
developing country like Bangladesh has also been presented here.
Finally a new tariff structure suitable for designed arrangement
has been proposed.

Fortunately, with recent urban development, buildings in most

major cities are getting higher, often soaring to several
hundred meters. Strong winds at higher altitudes provide us
with a great opportunity to exploit the wind and solar
resources on rooftops. The aspect of micro wind-solar hybrid
system has not yet been considered in Bangladesh, but it can
be a very effective step to meet the ever increasing electrical
energy demand in peak hours.

Index Terms Feed-in tariff, micro wind turbine, rooftop,

renewable energy, solar PV etc

I. INTRODUCTION
HE world energy requirement is projected to be doubled
by 2050 and tripled by 2100 [1]. At the same time, cost of
electricity production is rising because of increased fuel price.
Thats why developing countries like Bangladesh is already
experiencing up to 35% load shedding problem especially in
peak hours [2]. Under these circumstances, renewable energy
technologies offer important benefits compared to those of
conventional energy sources [3]. The solar radiation and the
wind are two of the renewable energy sources which are clean
and the reserve is unlimited. At present both are successfully
and extensively used in many countries of the world in order
to generate electricity.
Fig. 1 shows monthly average wind power and solar
radiation in Dhaka city. This shows that a standard solar PV
system or wind turbine generation system alone is sufficient
for above conditions. But a number of studies mark hybrid
system as more attractive and a more practical approach to
meet the electrical power needs [4]-[7]. Independent use of
either PV or wind turbine results in considerable over-sizing
which in turn makes the design costly [8]. A Solar-Wind
hybrid energy system can attenuate power fluctuations and
significantly reduce the energy storage requirements [8],[9].
Such systems can be used to supply a portion of peak hour
loads and thus minimizing peak demand. Due to the rarity of
suitable locations it is difficult for many countries to utilize
wind energy. For a developing country like Bangladesh,
where wind resources are scarce, alternative solutions to
utilize the wind power are needed.

Authors are with the Department of Electrical and Electronic Engineering

Bangladesh University of Engineering and Technology Dhaka 1000,
Bangladesh (E-mail: rifatalam99@gmail.com).

Fig. 1 Monthly average wind power and solar radiation in Dhaka city

Many researchers have already shown promising results for

micro wind turbines [10],[11] and solar PV panels on rooftops.
Such a system can successfully energize the garage, staircase
and even few lights or fans per apartment during peak hours.
The excess energy generated during off-peak hours can be
supplied to grid which significantly reduces the overall cost of
the system.
This paper analyses the rooftop hybrid energy system for
minimizing peak demand from the perspective of Bangladesh.
Efficient turbine and storage device selection has been
suggested here to ensure the optimization of maximum energy
resources available. Finally a suitable tariff pattern has been
presented for the above system considering several factors
such as system size, resource intensity, peak demand, installed
capacity etc. The proposed system can certainly be a very
powerful tool for providing solutions to the present energy
crisis.
II. ANALYSIS
In this part an analysis for selecting desired features of a
wind turbine for urban areas with low wind speeds has been
carried out. Then a battery bank has been optimized for

978-1-4673-0455-9/12/$31.00 2012 IEEE

360

serving maximum possible renewable fraction during peak

hours. Finally, a feed-in tariff structure suitable for such an
arrangement has been proposed.
A. Generic Wind Turbines
Based on the analysis presented in [12], the characteristics
(i.e. power curves) of the majority of wind turbines currently
available in the market could be correctly represented using
four generic wind turbines with the corresponding generic
power curves. These power curves (illustrated in Fig. 2) can
be expressed as followsPG1
PG2
PG3

PG4

7.29v 3.12 v3
11.47v
13.1v

4.26 v
4.34 v

8.27v 3.12 v

0.12 v
0.16 v

0.12 v

W/m2

(1)

W/m2

(2)

(3)

(4)

W/m

W/m

Fig. 3 Comparison of yearly electricity production for generic wind turbines

Where, v is the input wind speed in m/s and PG1 to PG4 are
power outputs expressed in W/m2 of swept area.

energy cost small. So, to keep the initial capital low, a small
turbine with a lower cut-in speed is recommended for a low
wind speed site.

Fig. 4 Comparison of yearly electricity production for practical wind turbines

Fig. 2 Comparison of four generic wind turbine power curves normalized
using corresponding swept areas

Fig. 3 shows the calculated yearly energy productions

(kWh/m2) of four generic turbines for a low wind speed urban
area. It can be seen that any wind turbine having power curve
closer to Generic 1 will work fine for such sites.
B. Practical Wind Turbines
Fig. 4 shows analysis for some practical wind turbines
available in market at present [13]-[16]. From Fig. 4 it is
evident that though a large wind turbine gives higher power
output, a small turbine due to its low cut-in speed shows
satisfactory results as well. At the same time, comparatively
lower price of small wind turbines keeps the per unit

C. Selection of Suitable Battery Bank

This section carries out an analysis for designing a DC
storage system that ensures maximum possible renewable
energy consumption during peak hours. Peak solar irradiance
during day time results in maximum solar power generation.
To supply total generated energy from the hybrid system
during peak hours (6pm to 10pm), a mega battery bank is
needed which is practically uneconomical. The goal is to
optimize a battery bank for maximum possible consumption
during peak hours. For this purpose a five storey building has
been considered with two SCHOTT POLYTM 220W solar PV
modules [20] and two Gudcraft WG400 [15] small turbines.
Fig. 5 shows maximum possible renewable fraction
supplied during peak hours for different deep cycle batteries
available in market [17]-[19]. It is obvious from Fig. 5 that,
for a 12V DC Bus, two 6V Trojan L16P (or similar) batteries
with nominal capacity of 360 Ah can serve up to 60% of total

361

It is obvious from TABLE II that the selection of the best

system is limited between S3 and S4. System S3 having lower
initial capital cost proves to be an attractive choice. But if the
initial capital can be increased about 500$ then S4 is certainly
the best choice. For this paper the selected system is S3.

Fig. 5 Comparison of % renewable fraction supplied by different batteries

renewable generation at peak hours (6pm to 10pm) which is

quite satisfactory.

IV. PROPOSED TARIFF STRUCTURE

The prime focus of an urban micro hybrid system is to meet
maximum possible demand in peak hours. Now, higher solar
irradiance causes peak electricity generation at noon. But lack
of suitable off-peak load results in a surplus amount of
electricity than can easily be fed into grid. Our purpose is to
design a feed-in tariff structure for such grid sales thatencourages people to consume more renewable fraction
during peak hours
accepts variable % self-consumption for different
installations determined by resource intensity, system
setup, installed capacity, total demand etc
Based on these ideas we have designed a tariff structure
that has the following mathematical interpretation-

III. HYBRID SYSTEM DESIGN

A hybrid energy system has several advantages over the
standalone system. For the proposed system, the following
components have been selected based on the analysis above-

TABLE I
POSSIBLE ROOFTOP SYSTEMS

System

S1
S2
S3
S4
S5
S6

SCHOTT
POLYTM PV
Panels (220W)
2
2
2
3
3
3

Gudcraft
WG400 (0.4 kW)
1
2
2
2
1
2

Trojan
L16P
(360Ah)
4
4
2
2
4
4

Rt

Ru

( z 1)
z

z 1
z 1

100

Where,
T = tariff ($)
Rt = total renewable generation (kWh)
Ru = renewable energy consumed (kWh)
Rp = renewable energy consumed during peak hours (kWh)
B = base tariff ($)
z = predefined parameter

Gudcraft WG400 (0.4 kW) [15]

SCHOTT POLYTM 220 PV Panels (220W) [20]
Trojan L16P (360Ah) [19]
Several combinations of the above components and the
probable systems are shown in the tables below-

Rp Ru

z 1

The z parameter defines the % self-consumption that resists

grid sale without supplying a feasible portion of ones own
load. This z parameter should be set by surveying the resource
intensity of the site and considering consumers total load as
well as installed capacity. The relationship between the z
parameter and the % self-consumption (x %) of the total
renewable generation can be expressed as belowx
z
100 x

TABLE II
COST COMPARISON OF THE SYSTEMS

Cost type
Initial Capital
Cost ($)
Total NPC
($)
Energy Cost
($/kWh)
Production
(kWh/yr)

S1
2860

S2
3140

Systems
S3
S4
2500 3000

S5
3260

S6
3640

6983

4892

4132

3624

6301

4298

0.555

0.386

0.332

0.288

0.497

0.339

1096

1610

1610

1901

1387

1901
Fig. 7 Tariff for different % self-consumption

362

Fig. 7 shows tariff pattern for different predefined % selfconsumption. For a self-consumption value set at 60% (dashed
line), consumption of below 60% and sales above 40% will
result in a lower tariff. Maximum tariff can be achieved by
fulfilling the % self-consumption requirement.

ACKNOWLEDGMENT
The authors thankfully acknowledge supports and
cooperation of teachers of Department of Electrical and
Electronic Engineering, BUET. We also convey special
thanks to Deputy Director of Bangladesh Meteorological
Department (BMD) and engineers of Local Government
Engineering Department (LGED) who helped a lot during this
work.
REFERENCES
[1]

[2]
[3]
[4]

[5]

Fig. 8 Tariff for different % peak-consumption

[6]

Fig. 8 shows a tariff structure with % self-consumption of

66.7% for different % peak-consumption (Rp/Ru 100%) If
the total consumption is exactly 66.7% of total renewable
generation but only 60% of this consumption is made during
peak hours then the sell-back rate will only be 60% of base
tariff (dashed line). If the % peak-consumption is 70% then
the sell-back rate will be 10% higher. If the total consumption
is less than the % self-consumption (66.7%) then the tariff rate
will be lower in both cases.
According to the proposed tariff structure, maximum sellback rate can be achieved whenTotal consumption matches the predefined % selfconsumption value
Total consumption is made during peak hours

[7]

[8]

[9]

[10]

[11]

[12]

V. CONCLUSION
The developing wind and solar power techniques offer
numerous opportunities to increase electricity generation
under the background of the scarcity of fossil fuels. The study
of practical micro wind turbines & storage devices shows that
the possibility of supplying significant amount of peak loads
by a rooftop grid-tie hybrid system is very promising. We are
quite confident that the proposed tariff structure will
encourage people to install micro turbine based rooftop hybrid
systems which will eventually minimize the acute energy
crisis of developing countries.

[13]
[14]
[15]
[16]
[17]
[18]
[19]
[20]

363

Rene M. Nault, Basic Research Needs for Solar Energy Utilization,

Report of the Basic Energy Sciences Workshop on Solar Energy
Utilization, Argonne National Laboratory, April 18-21, 2005.
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Dollars from Sense The Economic Benefits of Renewable Energy,
U.S. Dept. of Energy, DOE/GO-10 097-261, DE96 000 543, 1997.
N. Argaw, R. Foster, and A. Ellis, Renewable Energy for Water
Pumping Applications in Rural Villages, NREL Rep. SR-500-30361,
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L. Flowers, I. Baring-Gould, J. Bianchi, D. Corbus, S. Drouilhet, D.
Elliott, V. Gevorgian, A. Jimenez, P. Lilienthal, C. Newcomb, and R.
Taylor, Renewables for Sustainable Village Power, American Wind
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A. Al-Karaghouli, and L. Kazmerski, Optimization and life-cycle cost
of health clinic PV system for a rural area in southern Iraq using
HOMER software, Solar Energy, vol. 84, Apr. 2010, pp. 710-714.
Vikash Reddy, and Atul Raturi, Optimization and Sensitivity Analysis
of a PV/Wind/Diesel Hybrid System for a Rural Community in the
Pacific, Appl. Solar Energy, vol. 46, no. 2, Apr. 2010, pp. 152-156.
M. A. Elhadidy, and S. M. Shaahid, Parametric study of hybrid (wind
+ solar + diesel) power generating systems, Renewable Energy, vol.
21, Oct. 2000, pp. 129-139
G. Notton, V. Musellim, and F. Louche, Autonomous hybrid
photovoltaic power plant using a back-up generator: A case study in a
Mediterranean island, Renewable Energy, vol. 7, Apr. 1996, pp. 371391.
Zhu Zhenglin, Wang Hongyan, Bi Xiaolong, and Xin Hongxiang,
Study and Application of the Wind Power on the Tall Building
Rooftops in Large Cities, International Conference on Materials for
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B.W. Roberts, D.H. Shepard, K. Caldeira, M.E.Cannon, D.G. Eccles,
and A.J. Grenier, Harnessing High-Altitude Wind Power, Energy
Conversion, Vol. 22(1), pp. 136-144, March 2007.
J. L. Acosta, A. J. Collin, B. P. Hayes, and S. Z. Djokic, Micro and
small-scale wind generation in urban distribution networks, 7th
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http://www.ampair.com/downloads/A600_flyer_Jan08.pdf.
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schott_poly_data_sheet_220-235_en_0810.pdf

Four Area Load Frequency Control of

Interconnected Hydro-thermal Power
System by Intelligent PID Control Technique
Surya Prakash and S K Sinha

PID controllers are very simple for implementation and gives

better dynamic response, but their performances deteriorate
when the complexity in the system increases due to
disturbances like load variation boiler dynamics[6],[7].
Therefore, there is need of a controller which can overcome
this problem. The Artificial Intelligent controllers like Fuzzy
and Neural control approaches are more suitable in this
respect. Fuzzy system has been applied to the load frequency
control problems with rather promising results. The salient
feature of these techniques is that they provide a model- free
description of control systems and do not require model
identification [8-12].

AbstractThis paper presents the dynamic performance of

Load Frequency Control (LFC) of four area hydrothermal
interconnected power system by using Artificial Intelligent
Controller (ANN and Fuzzy) and conventional (PI & PID) control
approaches. Area-1 and area-2 consists of thermal reheat power
plant whereas area-3 and area-4 consists of hydro power plant.
To enhance the performance of Intelligent and Conventional
controller sliding surface is included. The performances of the
controllers are simulated using MATLAB/SIMULINK package.
A comparison of Intelligent and Conventional controller based
approaches shows the superiority of proposed ANN & fuzzy
based approach over PI & PID for same conditions.
Index TermsANN & Fuzzy Controllers, Area Control Error
(ACE), Load Frequency Control (LFC), PI, PID, Tie-line,
MATLAB / SIMULINK
I.

Literature survey shows that most of earlier work in the

area of LFC pertains to interconnected thermal system and
relatively lesser attention has been devoted to the LFC of multi
area interconnected hydro-thermal system [7]. In [1416],[19],[25] Fuzzy control was applied to the two regions
interconnected reheat thermal and hydro power system.
However, it is demonstrated good dynamics only when
selecting the specific number of membership function, so that
the method had limitation. To over come this Artificial Neural
Network (ANN) controller, which is an advance adaptive
control configuration, is used because the controller provides
faster control than the others. [10],[17],[18], [20] & [ 21].

INTRODUCTION

NTERCONNECTED power systems regulate power flows

and frequency by means of an Automatic Generation
Control (AGC). AGC is a feedback control system adjusting
a generator output power to remain defined frequency. AGC
comprises a load frequency control (LFC) loop and an
automatic voltage regulator (AVR) loop. LFC system provides
generator load control via frequency zero steady-state errors of
frequency deviations and optimal transient behavior are
objectives of the LFC in a multi-area interconnected power
system [1]. Load Frequency Control (LFC) is being used for
several years as part of the Automatic Generation Control
(AGC) scheme in electric power systems. One of the
objectives of AGC is to maintain the system frequency at
nominal value (50 hz)[2-5]. A control strategy is needed that
not only maintains constancy of frequency and desired tiepower flow but also achieves zero steady state error and
inadvertent interchange. Among the various types of load
frequency controllers, the most widely employed is the
conventional proportional integral (PI) controller. The PI &

II. THE FOUR AREA POWER SYSTEM

Fig 1. Block diagram of four area power system connected with tie line

Surya Prakash is with Department of Electrical & Electronics Engineering,

Sam Higginbottom Institute of Agriculture, Technology & Sciences- Deemed
University, Allahabad, India,(sprakashgiri0571@yahoo.com)
S K Sinha is with Department of Electrical Engineering, Kamala Nehru
Institute of Technology, Sultanpur-UP, India, ( sinhask98@engineer.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

364

In Fig. 1, a four-area interconnected system block diagram is

depicted. The system parameter values are given in appendix.
The system state-space model can be represented as:

T/F of governor (thermal plant) is

1
Tg .s

T/F of steam turbine is Kr.Tr.s 1

Tr .s 1
1
T/F of Re-heater is
Tt.s
1
And transfer function of Generator is

Kp
Tp .s
1

The stat variable for each of areas are Pi(i 1,....,4)

and state space equation related to the variables are
different for each areas.
(6)
P1(k )
P12(k ) a 41 P41(k )

P 2( k )
P3(k )
P 4( k )

Fig. 2 : MATLAB Model of four area hydro-thermal power system.

.

Ax

cx

(2)

[ y1 y 2 y 3 y 4 ]

f1

[ f1 f 2 f 3 f 4 ]

PT 1 PG1
PG 2

f2

PT 2

f3

PT 3 PG 3

Pc 3

f4

PT 4

Pc 4

PG 4

(3)
T

Pc 2

Pc1

(4)

Ptie1

Ptie 2
Ptie 3

(5)

Ptie 4]T

In this paper, the performance evaluation based on

ANN, Fuzzy and conventional controller (PI & PID) for
four areas interconnected thermal-hydro power plant is
proposed. The sliding concept arises due to variable
structure concept. The objective of VSC has been greatly
extended from stabilization to other control functions. The
most distinguished feature of VSC is its ability to result in
very robust control systems; in many cases invariant control
system result. The term invariant means that the system is
completely insensitive to parametric uncertainty and
external disturbances [12], [13]. The aim of control areas
are as:
(i) Each control area as for as possible should supply its
own load demand and power transfer through tie line should
be on mutual agreement.
(ii) Each control areas should controllable to the frequency
control. [11]
In an isolated control area case the incremental power
( PG PD) was accounted for by the rate of increase of
stored kinetic energy and increase in area load caused by
increase in frequency. The MATLAB model of four area
hydro-thermal reheat power system simulated is shown in
Fig. 2.
Transfer function (T/F) of hydraulic Turbine is
T/F of hydraulic Governor is

(7)
(8)

(9)
Tie-line bias control is used to eliminate steady state error
in frequency in tie-line power flow. This states that the each
control area must contribute their share to frequency control
in addition for taking care of their own net interchange.
Let
ACE1 = area control error of area 1
ACE2 = Area control error of area 2
ACE3 = Area control error of area 3
ACE4= Area control error of area 4
In this control, ACE1, ACE2 and ACE3 are made linear
combination of frequency and tie line power error [11].
ACE1 =
(10)
P12 b1 f1
ACE2 =
(11)
P23 b 2 f 2

(1)

[u1u 2 u 3 u 4 ]T

u
y

Bu

P23(k ) a12 P12(k )

P34(k ) a 23 P23(k )
P41(k ) a34 P34(k )

ACE3 =

P34

b3

f3

(12)

ACE4 =

P41

b4

f4

(13)

Where the constant b1, b2, b3 & b4 are called area frequency
bias of area 1, area 2, area 3 and area 4 respectively.
Now PR1 , PR 2 , PR 3 and
PR 4 are mode integral
of ACE1, ACE2, ACE3 and ACE4 respectively. Control
methodology used (FLC & ANN) is mentioned in the next
preceding sections.
III. FUZZY LOGIC CONTROLLER
Fuzzy logic is a thinking process or problem-solving
control methodology incorporated in control system
engineering, to control systems when inputs are either
imprecise or the mathematical models are not present at all.
Fuzzification is process of making a crisp quantity into the
fuzzy [14]. They carry considerable uncertainty. If the form
of uncertainty happens to arise because of imprecision,
ambiguity, or vagueness, then the variable is probably fuzzy
and can be represented by a membership function.
Defuzzification is the conversion of a fuzzy quantity to a
crisp quantity, just as fuzzification is the conversion of a
precise quantity to a fuzzy quantity [11]. There are many
methods of defuzzification, out of which smallest of
maximum method is applied in making fuzzy inference
system [11]. The Fuzzy logic control consists of three main

Tw.s
1
0.5Tw.s
1
Kd .s 2 Kp.s Ki
Kd .s 2 ( Kp f / R2 ) s Ki

365

stages, namely the fuzzification interface, the inference

rules engine and the defuzzification interface [15]. For
Load Frequency Control the process operator is assumed to
respond to variables error (e) and change of error (ce). The
fuzzy logic controller with error and change in error is
shown in fig. 3.

Fig. 4 : Membership Function for the control input variables

IV. ARTIFICIAL NEURAL NETWORK

(ANN) CONTROLLER
Fig. 3

Fuzzy Logic Controller

ANN is information processing system, in this system

the element called as neurons process the information. The
signals are transmitted by means of connecting links. The
links process an associated weight, which is multiplied
along with the incoming signal (net input) for any typical
neural net. The output signal is obtained by applying
activations to the net input. The field of neural networks
covers a very broad area [17], [18].

The variable error is equal to the real power system

frequency deviation ( f ). The frequency deviation f , is the
difference between the nominal or scheduled power system
frequency (fN) and the real power system frequency (f).
Taking the scaling gains into account, the global function of
the FLC output signal can be written as.

Pc

F[nc e(k), nce ce(k)]

(14)

Where ne and nce are the error and the change in error
scaling gains, respectively, and F is a fuzzy nonlinear
function. FLC is dependant to its inputs scaling gains [15].
A label set corresponding to linguistic variables of the input
control signals, e(k) and ce(k), with a sampling time of 0.01
sec is given Attempt has been made to examine with Seven
number of triangular membership function (MFs) namely
Negative Big(NB), Negative Medium(NM), Negative
Small(NS), Zero(ZO), Positive Small(PS), Positive
Medium(PM) and Positive Big(PB) are used. The range on
input (error in frequency deviation and change in frequency
deviation) i.e universe of discourse is -0.25 to 0.25 and 0.01 to 0.01 The numbers of rules are 49.
TABLE 1.

Fig. 5 Neural Network as Function Approximator

Neural network architecture the multilayer perceptron as

unknown function are shown in Fig 5, which is to be
approximated. Parameters of the network are adjusted so
that it produces the same response as the unknown function,
if the same input is applied to both systems. The unknown
function could also represent the inverse of a system being
controlled, in this case the neural network can be used to
implement the controller [17]

FUZZY INFERENCE RULE

Inp

e(k)

NARMA-L2 Control

NB

NM

NS

ZO

PS

PM

PB

NB

PB

PB

PB

PB

PM

PM

PS

NM

PB

PM

PM

PM

PS

PS

PS

NS

PM

PM

PS

PS

PS

PS

ZO

The ANN controller architecture employed here is a

Non linear Auto Regressive Model reference Adoptive
Controller. This controller requires the least computation of
the three architectures. This controller is simply a
rearrangement of the neural network plant model, which is
trained offline, in batch form. It consists of reference, plant
out put and control signal. The controller is adaptively
trained to force the plant output to track a reference model
output. The model network is used to predict the effect of
controller changes on plant output, which allows the
updating of controller parameters. In the study, the
frequency deviations, tie-line power deviation and load
perturbation of the area are chosen as the neural network
controller inputs [17]. The outputs of the neural network are
the control signals, which are applied to the governors in the
area. The data required for the ANN controller training is

ce(k)
ZO

NS

NS

NS

ZO

PS

PS

PS

ZO

NS

NS

NS

NS

NM

NM

PM

NS

NS

NM

NM

NM

NB

NB

PB

NS

NM

NB

NB

NB

NB

NB

PS

The membership functions (MFs) for the input variables

are shown in Fig.4.

366

Change in frequency

obtained from the designing the Reference Model Neural

Network and applying to the power system with step
response load disturbance. After a series of trial and error
and modifications, the ANN architecture provides the best
performance. It is a three-layer perceptron with five inputs,
13 neurons in the hidden layer, and one output in the ANN
controller. Also, in the ANN plant model, it is a three-layer
perceptron with four inputs, 10 neurons in the hidden layer,
and one output. The activation function of the networks
neurons is trainlm function.300 training sample has been
taken to train 300 no of epochs. The proposed network has
been trained by using the learning performance. Learning
algorithms causes the adjustment of the weights so that the
controlled system gives the desired response.

Change in frequency

Fig. 9 Change in frequency (thermal plant) with PID controller

V. SIMULATION AND RESULTS

Change in Tie-line Power

Time (sec)

Fig. 11 Change in Tie-line power (hydro plant) with PID controller

Time (sec)

Fig. 6 Change in frequency (Hydro & thermal plant)- with PI controller

Time (sec)

Fig. 12 Change in Tie-line power (thermal-hydro plant) with PID control

Change in frequency

Change in Tie-line Power

Time (sec)

Fig. 10 Change in frequency (hydro plant)- with PID controller

Change in Tie-line Power

Change in frequency

In this presented work, four areas hydro-thermal

reheat interconnected power system have been developed
by using fuzzy logic, ANN and PI, PID controllers to
illustrate the performance of load frequency control using
MATLAB/SIMULINK package. The parameters used for
simulation are given in appendix [12]. Four types of
simulink models are developed using fuzzy, ANN, PI and
PID controllers to obtain better dynamic behavior.
Frequency deviation plots for thermal and hydro cases are
obtained for 1% step load change in system frequency and
tie-line power as shown in fig. 6-20 respectively.

Time (sec)

Fig. 7 Change in Tie-line power (hypothermal plant) with PI controller

Time (sec)

Fig. 13 Change in frequency (thermal plant) with Fuzzy controller

Change in frequency

Change in Tie-line
Power

Time (sec)

Time (sec)

Time (sec)

Fig. 14 Change in frequency (hydro plant) with Fuzzy controller

Fig. 8 Change in Tie-line power (thermal-hydro plant) with PI controller

367

Change in Tie-line Power

With 1% load variation in power system the following

results are obtained. Conventional PI, PID and Intelligent
(Fuzzy and ANN ) control approach with inclusion of slider
gain provides better dynamic performance and reduces the
steady state error and oscillation of the frequency deviation
and the tie line power flow in each area in hydro-thermal
combination of four area interconnected power system.
Settling time and maximum peak overshoot in transient
condition for both change in system frequency and change
in tie-line power are given in table 2 & 3 respectively.

Time (sec)

Change in Tie-line Power

Fig.15 Change in Tie-line power (thermal plant) with Fuzzy Controller

TABLE: 2. COMPARATIVE STUDY OF SETTLING TIME

Time (sec)

Fig.16 Change in Tie-line power (hydro plant) with Fuzzy Controller

P tie

65

P tie
Thermalthermal
(sec)
70

60

50

62

60

45
40

48
40

40
30

45
35

Contr
oller

f
Area 1
(sec)

f
Area 2
(sec)

f
Area 3
(sec)

f
Area 4
(sec)

PI

64

64

70

PID

60

60

Fuzzy
ANN

45
40

45
40

Hydrothermal

(sec)
65

Change in frequency

ABLE: 3. COMPARATIVE STUDY OF PEAK OVERSHOOTS

Time (sec)

PI

-0.055

-0.055

-0.067

-0.066

P tie
Thermalthermal
(pu)
-0.0052

PID

-0.049

-0.049

-0.057

-0.062

0.005

-0.0042

Fuzzy

-0.059

-0.06

-0.068

-0.065

0.005

-0.012

ANN

-0.038

-0.038

-0.055

-0.051

-0.006

-0.013

Fig. 17 Change in frequency (Thermal plant) with ANN controller

Contr
ollers

f
Area 1
(pu)

f
Area 2
(pu)

f
Area 3
(pu)

f
Area 4
(pu)

Change in frequency

VI.

P tie
Hydro-thermal

(pu)
-0.0055

CONCLUSIONS

Form the above table 2 and 3 it is clear that ANN

controller with sliding gain provides better settling
performance than Fuzzy and conventional one. Therefore,
the intelligent control approach using ANN concept is more
accurate and faster than the PI, PID and fuzzy control
scheme even for complex dynamical system.

Time (sec)

Change in Tie-line Power

Fig. 18 Change in frequency (hydro plant) with ANN controller

APPENDIX
Parameters are as follows:
f = 50 Hz, R1 =R2= R3= R4 =2.4 Hz/ per unit MW, Tgi= 0.08
sec, Tpi=20 sec; P tie, max = 200 MW ; Tr = 10 sec ; Kr = 0.5,
H1 =H2 =H3= H4 =5 sec ; Pri=2000MW, Tti = 0.3sec ;
Kp1=Kp2=Kp3 = Kp4 = 120 Hz.p.u/MW ;Kd =4.0;
Ki = 5.0 ; Tw = 1.0 sec; Di =8.33 * 10-3 p.u MW/Hz.;
B1=B2=B3=B4=0.425 p.u. MW/hz; ai=0.545;
a=2*pi*T12=2*pi*T23=2*pi*T34=2*pi*T41=0.545,
delPdi= 0.01
Nomenclature
i:
Subscript referring to area (i=1,2,3,4)
f:
Nominal system frequency
Hi: Inertia constant; PDi : Incremental load change
Pgi : Incremental generation change

Time (sec)

Change in Tie-line Power

Fig. 19 Change in Tie-line power (hydro thermal plant) with ANN

Di

Tg:
Tr :
Tt :

Time (sec)

Fig. 20 Change in Tie-line power (thermal hydro plant) with ANN

368

PDi
fi

Steam governor time constant; Kr : Reheat constant,

Reheat time constant
Steam turbine time constant

Q. P. Ha, A Fuzzy sliding mode controller for Power System

Load Frequency Control, 1998 Second International Conference
of Knowledge based Intelligent Electronic System, 21-23 Apr 1998,
Adelaide, Australia,
[16] M. Masiala,, M. Ghnbi and A. Kaddouri An Adaptive Fuzzy
ControllerGain Scheduling For Power System Load-Frequency
Control 2004.lEEE International Conference on Industrial
Technology (ICIT).
[17] S Hykin Neural Network Mac Miller NY 1994.
[18] J N Mines MATLAB Supplement to Fuzzy & Neural approach in
Engineering John Wiley NY 1997.
[19]
B. Anand and A Ebenezer Jeyakumar, Load frequency control
with Fuzzylogic controller considering non-linearities and boiler
dynamics ICGST-ACSE Journal, ISSN 1687-4811, Volume 8,
issue 111, pp 15-20, 2009.
[20] Gayadhar Panda, Sidhartha Panda & Cemal Ardil, Automatic
Generation Control of Interconnected Power System with
Generation Rate Constraints by Hybrid Neuro Fuzzy Approach
World Academy of Science, Engineering & Technology 52, pp543-548, 2009.
[21] H. Shayeghi & H.A. Shayanfar, Power system load frequency
control using RBF neural network based on -Synthesis theory.
Proceeding of IEEE conference on cybernetics and intelligent
system Singapore, 1-3 Dec 2004, pp 93-98, 2004.
[22] H. Shayeghi, HA Shayanfar & A Jalili, Load frequency control
strategies: A state-of-the- art survey for the researcher Energy
Conversion and management 50, pp 344-353, ELSEVIER, 2009.
[23] Ibraheem, Prabhat Kumar and DP Kothari, Recent Philosophies of
Automatic Generation Control strategies in Power systems IEEE
Transaction on Power system Vol.20, No.1, pp-346-357, 2005.
[24] Panna Ram & AN Jha, Automatic Generation control of
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on Industrial Electronics, Control and Robotics, pp 148-158,
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[25] Emre Ozkop1, Ismail H. Altas1, Adel M. Sharaf, Load Frequency
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in Four Area Power Systems Using Fuzzy Logic PI
Controller ,16th National Power Systems Conference, 15th-17th
December, 2010, Department of Electrical Engineering, Univ.
College of Engg., Osmania University, Hyderabad, A.P, INDIA
page No,233-236.
[15]

Ri : Governor speed regulation parameter

Bi:
Frequency bias constant
Tpi : 2Hi / f * Di, Kpi: 1/ Di
Kt:
Feedback gain of FLC
Tw : Water starting time, ACE : Area control error
P:
Power, E : Generated voltage
V:
Terminal voltage, Angle of the Voltage V
: Change in angle, P : Change in power
f : Change in supply frequency
Pc : Speed changer position
R:
Speed regulation of the governor
KH : Gain of speed governor
TH : Time constant of speed governor
Kp : 1/B= Power system gain
Tp: 2H / B f0 = Power system time constant
ACKNOWLEDGMENT
This work is supported by Electrical & Electronics
Engineering Dept, Sam Higginbottom Institute of
Agriculture, Technology & Sciences- Deemed University,
Allahabad, India
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Gro Hill, International Edition 1995

AUTHORS BIOGRAPHIES
Surya Prakash belongs to Allahabad, DOB is
01.05.1971, Received his Bachelor of Engineering
degree from The I E (India) in 2003, He obtained
his M.Tech. in Electrical Engg.(Power System)
from KNIT, Sultanpur-India in 2009. Presently he is
Pursuing Ph. D in Electrical Engg.(Power
System)from, SHIATS-DU(Formerly AAI-DU,
Allahabad- India). His field of interest includes
power system operation & control, Artificial
Intelligent control.E-mail: sprakashgiri0571@yahoo.com
Dr. S. K. Sinha belongs to Varanasi and his date
of birth is 17th Apr 1962. He received the B.Sc.
Engg degree in Electrical from R.I.T. Jamshedpur,
Jharkhand, India, in 1984, the M. Tech. degree in
Electrical Engineering from Institute of Technology,
B.H.U, Varanasi, India in 1987, and the Ph.D.
degree from IIT, Roorkee, India, in 1997. Currently
he is working as Professor & Head, Department of
Electrical Engineering, Kamla Nehru Institute of
Technology, Sultanpur, India . His fields of interest
includes estimation, fuzzy control, robotics, and AI
applications.e-mail: sinhask98@engineer.com

369

Improving Web Requirements Engineering with

Goals, Aspects and Scenarios
Shailey Chawla, Student Member, IEEE, and Sangeeta Srivastava
Abstract--In this paper, we describe an approach wherein we
integrate three important concepts- Goals, Aspects and Scenarios
in Requirements Engineering of Web Applications. All the three
concepts have been playing important role independently in
requirement modeling in the last decade. Goal based approaches
have been very popular as they give in depth understanding of
stakeholders intentions and scenarios give detailed walkthroughs
of the system. Aspect oriented Software Development is another
area booming in software modeling because it caters the
modeling of crosscutting concerns. In web applications the
specific cross cutting concerns are personalization requirements,
non- functional requirements. Web applications are the principal
software for every organization, therefore their in-depth analysis
is crucial. Besides, web applications need to be dealt differently
from generic information systems, which arguably give a need to
develop different modeling and analysis approaches. Our
approach is based on AoURN (Aspect Oriented User
Requirements Notation), that is based on a International
Telecommunications Union Standard called URN that was
standardized in November 2008. We adapt and modify this
notation to suit the web specific needs.
Index TermsAspects, Goals, Requirements Engineering,
Scenarios, URN, Web Requirements Engineering.

I. INTRODUCTION AND RELATED WORK

eb applications differ in many ways compared to

traditional software such as navigation that offers access to the

required information or task, presentation according to content
and reachability of the application , adaptation to user profiles
or environmental changes. Web applications involve multiple
stakeholders, and the size and purpose of the applications are
also varied [1].These unique characteristics of Web
applications have led to evolution of Web Engineering
approaches [2][3][4][5][6] that specifically focuses on web
oriented analysis and design of Web applications. These
approaches have laid specific focus on issues like navigation,
presentation, personalization etc. that are important for Web
application development. However, mainly there has been
focus on design and presentation of Web applications and the
real goals and expectations of the stakeholders are not
captured properly. This leads to a nicely designed but
unassuring web applications that might not be able to cater to
individual user needs, expectations, goals from it. These
lacunae cause more cost, maintenance problems with the
project. In this context, there must be explicit focus on the
Requirements gathering, analysis, modeling and processing
for Web applications as is with Information Systems
Development.
Authors
are
from
shaileychawla@gmail.com).

university

of

Delhi,

India

(e-mail:

Web applications need all the more attention here because of

heterogeneous customers, dynamic behavior and vast reach. In
traditional applications, the users are known and their
expectations can be easily captured.
In recent times, Goal oriented Requirements Engineering [7]
has become very popular for analyzing the requirements in
depth and capturing the stakeholders needs and goals from the
software application. A goal describes the objectives that the
system should achieve through the cooperation of agents in the
software-to-be in a given environment as defined by Liu et al
in paper [8]. According to Lamsweerde , Goal-oriented
requirements engineering (GORE) is concerned with the use
of goals for eliciting, elaborating, structuring, specifying,
analyzing, negotiating, documenting, and modifying
requirements[9]. The goal based analysis helps to explore the
alternatives, resolving conflicts, and relate them to the
organizational objectives [7]. It has been also established in
[10] that stakeholders pay more attention to goal models
compared to the UML models because they can relate to the
concepts more closely. Goals also cover different types of
concerns: functional concerns associated with the services to
be provided, and non-functional concerns associated with
quality of service such as safety, security, accuracy,
performance, and so forth [9].
Many approaches have been developed for Goal oriented
Requirements Engineering for generic systems. However, the
notations and models developed for generic applications do
not address very important issues of web applications like
navigation, adaptation etc. Some work has been done by
researchers [11, 12, 13] on web engineering approaches
taking into account the Goal driven analysis, but many
concepts of goal driven analysis like design rationale, conflict
resolution, goal prioritization have been surpassed and not
taken in totality. The early goal analysis has many advantages.
Many issues can be resolved and ambiguity clarified at early
stages making the remaining phases focussed and streamlined.
Analysis on Goals in web engineering is discussed in [14].
Lately, there have been approaches that enhance web
requirements engineering by integrating goals like AWARE
[11], i* integrated approach [15] etc. However, all these
approaches do not consider non-functional requirements in
web specific details and their influence on decision making of
web application design. Use cases and activity diagrams from
UML have been widely used for analysis of scenarios,
however, there is scope for more detailed analysis of scenarios
like dynamic stubs as in User Requirements Notation[16].
In parallel to Goal and Scenario based approaches there has
been lot of active work going on in Aspect oriented Software
Development [17]. Aspect oriented development focuses on
each of the concerns, or focuses, of software and provides for

978-1-4673-0455-9/12/$31.00 2012 IEEE

370

decentralization of software that object orientation does not

provide. Aspect orientation separates all features of a program
and modularizes all of them. It allows for more efficient
software development and easier maintenance [17].
Identifying aspects at the requirement level makes it easier to
create and maintain software throughout the entire lifecycle of
the project [18].
II. MOTIVATION
All the three concepts discussed above have their own
benefits in improving and enhancing the software
development process. There have been many web engineering
approaches that have been enhanced with goal based methods,
some have been improved with aspect oriented modeling.
However, we feel if Goals, Scenarios and aspects are
integrated they will bring a lot of clarity in development of
web applications. Goals and Scenario based approaches bring
the product closer to real world, help finding design
alternatives, resolve conflicts in early stages and are easy to
maintain. Aspect oriented methods modularize the way
software is developed even if there are cross cutting concerns.
Aspect oriented Software development is useful when one
concern cross-cuts with another concern or co-exists with
other concerns. The cross-cutting concerns are termed as
Aspects and they encapsulate everything related to that
particular concern. It is important that there is separation of
concerns for modular reasoning so that it is completely
understandable without regard to the concern where it is
affecting. Concerns reflect the stakeholders goals and
priorities, his qualitative expectations, and use cases. In case
of web applications Personalization is an aspect because it
crosscuts many other concerns like Navigation, Presentation,
Business Process and Content. For example, in an online
bookshop application, a personalized registered users
application would show the preferred books, the color scheme
chosen by the user, reward points etc. Non-functional
requirements also affect multiple domains and cannot be
clearly described with reference to single requirement, hence
they are also crosscutting in nature.
Our motivation is that to engineer a Web application
properly, its requirements analysis should be very strong. For
doing that, Goal and Scenario based approaches have already
proved their worth and they are better in understanding of the
system to be built. If an in depth analysis is done with Goal
and Scenario based approaches and the cross-cutting concerns
are modeled with an Aspect oriented approach, the analysis
will then be of a good quality and the product will have lesser
maintenance or non-conformance issues.
III. OUR APPROACH
We are integrating the concepts of Goals, Scenarios and
Aspects for improving the process of Web Requirements
Engineering. Goal based approaches help in relating with the
stakeholders better and overcoming the design conflicts and
interactions. The scenario based approach has been most
popular as walkthroughs of the system that in detail enlivens
the use cases. Aspects in Web Requirements Engineering have

been included to model the crosscutting concerns mainly the

Adaptive nature and non-functional Requirements. The basic
notation used for requirements analysis is User Requirements
Notation[16], a standard that includes Goal Requirements
Language(GRL) diagrams and Use Case Maps(UCMs). The
notation has been shown in Fig. 1. This notation has been used
for goal and scenario based analysis for the requirements of
Web application. It also helps in verifying and evaluating the
goal models. For modeling the adaptivitiy and non-functional
requirements which is essentially an aspect, AoURNnotation
[20] has been used. These two notations however, are just the
base to start with, only the features relevant with Web
application requirements engineering have been picked up
without complicating the method. In this paper, we describe
the steps that would be taken up for the requirements analysis
of the web application. Due to the limitations of this paper, we
explain only important milestones for the analysis process.The
steps that are followed for GASWebRe approach are described
below:
1) Gather the goals of stakeholder (both hardgoals and
softgoals).
2) Draw a base GRL diagram to depict the stakeholders goals
and expectations.
3) Identify and mark the goals specific to web functional
requirements
(content,
navigation,
personalization,
presentation and business process) and non functional
requirements (product, organizational factors, project specific,
legal, actors, environmental ).
4) Draw a GRL diagram for the information to be gathered/
maintained on the basis of the base GRL diagram.(content
model)
5) Analyze the navigational goals and softgoals with a GRL
diagram.
6) Lay the navigation scenarios using Web enhanced UCM
diagrams.
7) Specify business process goals and softgoals and draw
UCMs for different processes.
8) Create the user interface drafts specifying the placement of
text, button, image, anchor, form etc.
9) Model the personalization requirements using the Aspect
oriented URN that includes both AoGRL and AoUCM.
10) Evaluate the GRL models and resolve the conflicts and
find design rationale.
11) Capture the concern dependencies and conflicts with
Concern Integration Graphs (CIG).
12) Validate the models for consistency.
IV. ONLINE BOOK SHOP EXAMPLEE
We take the example of an online book shop to describe our
approach. We shall follow the steps described in the previous
section to analyse the goals and model the requirements. An
enhanced and web specific notation shall be used to clearly
describe the Web based functional and non-functional
requirements.On gathering the expectations and goals from the
stakeholders it is found that there are following goals and
softgoals:a)Primary goal- Sell books
b)Provide information about books
c) Facilitate payments

371

d) Recommend related books to user

e) Maintain customer details
f) Maintain book reviews / ratings.
Softgoals
a) Increase profit by retaining old customers and attracting
new customers.
b) Provide secure means of financial transactions.
c) Build a user friendly web application.
d) The web application should be easy to maintain.

taken up in detail in this paper. However, we will explore this

area in detail in future. In the business process diagram, the
main business processes identified like Facilitate payments,
provide shopping cart, maintain customer records, maintain
ratings of movies are maintained. Also, the softgoals desired
of a business process like responsiveness, secure transaction,
simplicity are also studied with the GRL diagram.
TABLE II
NOTATION FOR WEB SPECIFIC NAVIGATION PROCESS
Navigation

The goals are gathered with specifically designed

questionairres that are handled by the Web application
requirements engineer. In step 3 of the process,after the goals
are gathered the web specific requirements defined by us in
[19] are identified. Refer to Fig. 2 for the Base GRL diagram.
The notation for Web specific functional requiremnts and non
functionalrequirements(nfrs) is shown in Table 1.

Index
Image collection
Query

TABLE I
NOTATION FOR WEB SPECIFIC FUNCTIONAL AND NON-FUNCTIONAL

Image

REQUIREMENTS

WEB FRS

Symbol

WEB NFRS

Content

Product

Navigation

Organizational factors

Personalization

Project specific

Presentation

Legal

Business process

Actors

Notati
on

Hyperlink
Symbol
Form

V. CONCLUSION

Environmental

After the base GRL diagram, the content GRL diagram is

derived and studied in detail. The relevance of in depth
analysis is that from the content model the class diagrams can
be derived directly. Hence it is important to analyse how and
what all information will be stored in the example. For
example, in online book shop example there need to be
records stored for books, authors, registered users, shopping
cart etc. Navigation GRL diagram is shown in fig. 3 & UCM
diagram for the browse books use case is shown in Fig 4. The
figure explains the UCM diagram, a GRL diagram for
anlaysing the requirements is also made. In the Navigation
GRL diagram the navigation goals are identified like search
ability, user login, shopping cart, list of books and the related
softgoals like convenience, predictability, relevance are
studied. Web specific notation has been used in depicting
navigation, so that it helps in making design decisions. The
notation is shown in Table 2. For the requirement analysis in
context of navigation it is important to identify what all
contents will be put up in the web application in the form of
navigation links and how navigation will take place. The
notations in table 2 explain what information will be stored as
image collection, what as the hyperlinks, and how navigation
will take place in a form like for submission of the payment. A
partial segment of Aspect oriented GRL diagram, a point cut
graph for earn/redeem reward points and how it affects the
diagram is shown.for the adaptive requirement of avail of
record points by registered user is shown in Fig. 5. The aspect
marker is denoted by symbol and point cut marker by
.
The aspect graphs, concern interaction graphs have not been

In this paper, we have proposed a systematic methodology

for integrating the three important concepts of Goals,
Scenarios and Aspects for improving the Requirements
Analysis of Web Applications. We have based our modeling
on URN and AoURN and enhanced the notation for Web
specific concepts. The stepwise method of gathering and
depicting requirements has been established. In extension of
this work we would work for validation of the models and
evaluation of the non-functional requirements and their
interrelationships.
VI. REFERENCES
[1]

[2]

[3]
[4]

[5]

[6]

[7]

[8]

372

Sangeeta Srivastava, Shailey Chawla, Multifaceted Classification of

Websites for Goal oriented Requirements Engineering, S.Ranka et al
(eds),IC3 2010, Part I, CCIS 94, Springer , pp 479-485.
http://www.springerlink.com/content/h623m07200318751/
D. Schwabe, G. Rossi, and S. Barbosa. Systematic Hypermedia Design
with OOHDM. In ACM Conference on Hypertext, Washington, USA,
1996.
N. Koch. Software Engineering for Adaptive Hypermedia Applications.
PhD thesis, Ludwig-Maximilians-University, Munich, Germany, 2000.
O. De Troyer and C. Leune. WSDM: A User-centered Design Method
for Web sites. In World Wide Web Conference, 7th International
Conference, WWW'97, pages 85,94
J. Gmez, C. Cachero, O. Pastor. Extending an Object-Oriented
Conceptual Modelling Approach to Web Application Design. Kista,
Stockholm June 2000. CAiSE'2000, LNCS 1789, Pags 79-93.
S. Ceri, P. Fraternali, A. Bongio. Web Modeling Language (WebML): a
Modeling Language for Designing Web Sites. In: Proc. of the 9th
International World Wide Web Conference, WWW9, Elsevier (2000)
137-157.
John Mylopoulos, Lawrence Chung, and Eric Yu, From ObjectOriented to Goal-Oriented Requirements Analysis, Communications of
the ACM January 1999/Vol. 42,No. 1.
Lin Liu, Eric Yu, From Requirements to Architectural DesignUsing
Goals and Scenarios

[9]
[10]

[11]

[12]
[13]
[14]

[15]

A. van Lamsweerde , Goal-Oriented Requirements Engineering: A

Guided Tour, Proc. RE01: 5th Intl. Symp. Req. Eng., Aug. 2001.
A. van Lamsweerde, GORE: From Research to practice, Proc. RE04:
12th IEEE International Requirements Engineering Conference, Kyoto,
September 2004.
Bolchini, D., Paolini, P., Goal-Driven Requirements Analysis for
Hypermedia-intensive Web Applications, Requirements Engineering
Journal, Springer, RE03 Special Issue (9) 2004, pp. 85-103.
Jaap et al, e-Service design using i* and e3 value modeling, vol 23,
no.3, 2006, IEEE software
Azam et al 2007, Integrating value based requirements engineering
models to WebML using VIP business modeling framework.
Sangeeta Srivastava, Shailey Chawla, Goal Oriented Requirements
Engineering for Web Applications: A Comparative Study,Int. J. of
Recent Trends in Engineering and Technology, Vol. 4, No. 2, Nov 2010,
96-98.
http://www.searchdl.org/index.php/journalclient/viewthispaper/6/8/18/1
35
Irene Garrigs, Jose-Norberto Mazn and Juan Trujillo, A Requirement
Analysis Approach for Using i* in Web Engineering,Pages 151-165,
ICCSA 2011,Lecture Notes in Computer Science, 2011, Volume
6786/2011, 421-436, DOI: 10.1007/978-3-642-21934-4_34.

[16] ITU-T, Recommendation Z.151 (11/08): User Requirements Notation

(URN) Lanuage Definition.
[17] Filman, R. & Friedman, D. (2005). Aspect-Oriented Programming Is
Quantification and Obliviousness. In Fillman, Elrad, Clark, Aksit
(Eds.), Aspect-Oriented Software Development (pp.1-7). Boston:
Addison-Wesley.
[18] Blair, G., Blair, L., Rashid, A., Moreira, A., Araujo, J., Chitchyan, R.
(2005). Engineering Aspect-Oriented Systems. In Fillman, Elrad,
Clark, Aksit (Eds.), Aspect-Oriented Software Development (pp.380398). Boston: Addison-Wesley.
[19] Shailey Chawla, Sangeeta Srivastava, Punam Bedi, GOREWEB
Framework for Goal Oriented Requirements Engineering of Web
Applications, S. Aluru et al. (Eds.): IC3 2011, CCIS 168, pp. 229241,
Springer-Verlag Berlin
2011.http://www.springerlink.com/content/x104307710505727/
[20] Mussbacher, G. (2011) The Aspect-Oriented User Requirements
Notation: Aspects, Goals, And Scenarios. 10th International Conference
on Aspect-Oriented Software Development (AOSD11), Companion
Volume, Porto de Galinhas, Pernambuco, Brazil, March 2011. ACM,
5960.

Fig.1. User Requirements Notation elements

373

Fig. 2. Online book shop-Base GRL diagram

Fig. 3.Navigation GRL diagram of Online book shop

374

Fig.4.Navigation UCM for browse books case

Fig.5.AoGRL diagram for Reward points

375

Development of Cable Insulation Resistance

Measurement Circuit with Low Voltage
Vikram Sekar, Manoj Kumar, Yogesh Sagane and Tejaswini Naik

especially for ships & submarines.

Insulation resistance measurement usually requires external
instrument, higher voltage and system need to taken off- line
[4]. A measurement system which can be in-circuit, perform
measurements on-line, at low voltage without taking system
off-line will have wider acceptability.
The paper describes the development of a go, no-go type
insulation measurement circuit with above mentioned features.
The mathematical model has evolved over time for fast
measurement of resistance and capacitance [5]. The circuit and
component values are tuned based on PSpice simulation. A
prototype board is made with final circuit and components. The
prototype has been tested and results are discussed.
Section II reviews the necessary background cable materials
and degradation mechanisms from literature. The measurement
scheme and details of the circuit is given in Section III. Results
Index Terms Insulation resistance, cable degradation, of simulation and prototype are discussed in Section IV.
PSpice, Insulation model.
Finally conclusion follows in Section V.
Abstract-- Ensuring appropriate level of insulation resistance is
an important attribute of the cabling system. Lower cable
insulation may lead to system failure or accident condition. In
most installations insulation measurement is usually carried out
during commissioning and after major repairs. This is usually
done using external high voltage measurement system. In missioncritical marine systems, an on-line and in-circuit insulation
measurement technique with low voltage is preferred and has a
number of benefits. This will ensure regular monitoring of
insulation degradation, better maintenance and avoid
accidents/outage due to insulation failure.
The paper gives detail of an on-line, in-circuit insulation
measurement scheme with low voltage, for cables mainly used in
ships. The scheme is evolved from an available mathematical
model. The scheme has been simulated, prototyped and tested
with actual cables.

I. INTRODUCTION

II. BACKGROUND
N marine systems, typically ships & submarines, insulation
measurement is performed on electrical/electronic systems A. Cable Construction
and installations during commissioning and after major repair.
Fig. 1 shows the basic components of a cable. A brief
It assures quality of work, safety of personnel and reduces the description of these components is given below:
down time [1], [2]. During service, insulation tests are
1) Conductor: The conductor is a metal - solid or
performed periodically or continuously for HV (High Voltage)
stranded - mainly of copper or aluminium. This metal can
systems, e.g. motors, transformers and transmission lines, and
be concentric, compressed, compacted, segmental, or
low systems, e.g. nuclear instrument - Self Powered Neutron
annular to achieve desired properties of flexibility,
Detectors (SPNDs). For low voltage systems and cables
diameter, and current density. Copper is the most
regular tests are usually not carried out. These cables carry
commonly used conductor material. Copper conductivity is
input information and/or output command from control &
about 1.7 times of aluminium. So, copper conductor
command systems. The signals on these cables are in range of
diameter may be smaller than aluminium, but it is heavier.
12V to 27V. Erroneous input information and output
2) Electrical Insulation (Dielectric): This provides
commands has been observed in marine systems due to low
separation between the conductors. For low voltage cables,
insulation of these C&I cables. There have been many
sufficient insulation to ensure a dielectric strength [6] of
instances of system failure, fire on board ships & submarines.
2kV or more is required.
The cause of which on investigation has been attributed to low
insulation [3]. Hence, regular or continuous monitoring of
3) Outer Jacket: This provides physical protection to the
insulation of low voltage cables is gaining importance,
cable conductor(s) and dielectric material from the
environment.

Vikram Sekar is with Indian Navy, pursuing masters with Homi Bhabha
National Institute, Mumbai-400094, India (e-mail: vikramarine@gmail.com).
Manoj Kumar and Yogesh Sagane are with Control Instrumentation
Division, Bhabha Atomic Research Centre, Mumbai-400085, India (e-mail:
kmanoj@barc.gov.in, ysagane@barc.gov.in).
Tejaswini Naik is with Control Automation Group, ECIL West Zone,
Mumbai, India (email: vazet@barc.gov.in)

978-1-4673-0455-9/12/$31.00 2012 IEEE

376

Fig. 1 A typical cable construction

B. Dielectric Material
In marine application widely used dielectric materials are as
follows:
Thermoplastic (Linear) Polymers
Fig. 2 Leakage and charging current
Thermosetting Polymers
Natural Rubber, Vulcanized rubber & Elastomers
C. Insulation Model
Insulation resistance in context of cables refer to the
C
impedance between any two conductors of a cable. This
impedance is dependent on mainly two parameters, i)
geometry and ii) dielectric material. Any typical cable has more
R
than one conductor, and it is known any pair of conductors
separated from each other forms capacitance. This
R
capacitance is dependent on geometry of conductors and t h e
dielectric material between them. The insulator (or dielectric)
used between conductors does not have ideal insulator
properties. This leads to finite resistance because of Ohmic
(or leakage) resistance and absorption.
RL = Leakage resistance
The leakage and charging (due to capacitance) currents are
RA = Absorption resistance
shown in Fig. 2.
C = Cable capacitance
A generic insulation model is shown in Fig. 3 [4].
Fig. 3 Basic insulation model
From Fig. 3, it is clear that the leakage resistance is the only
t
resistive component and current continues to flow under dc
I C V e RC
R
excitation. Current due to other two components flows only
when there is change in the excitation.
where IC is the charging current
The details of these components are given below:
V is voltage between conductors
R is cables series resistance
1) Leakage current: No insulator is perfect; even new
C is cable capacitance
insulator will have some leakage current, though small. This
t is time
leakage current will increase as the insulation ages. It will
L

also worsen when the insulation is wet or contaminated.

2) Capacitive current: A capacitor is formed when two
conductors are separated by an insulator. This current is
initially high and exponentially drops to zero. Insulating
material becomes charged in the same way as a dielectric in
a capacitor. The charging current is given by [6]:

377

(1)

3) Absorption current: The absorption current is caused

by the polarization and accumulation of electric charges
that accumulate in a dielectric under applied voltage stress.
The absorption current is relatively small and decreases
with time. Although the absorption current approaches zero,
the process takes much longer than with capacitive current.
Orientation polarization is increased in the presence of
absorbed moisture since contaminated materials are more
polarized. This increases the degree of polarization.
Depolymerization of the insulation material also leads to

increased absorption current [7]. The absorption current is

modelled as a resistor because the energy gets dissipated
due to movement of electric charges inside the dielectric.
The charges that form on the plates of the capacitor attract
charges of the opposite polarity in the insulation, causing
these charges to move and, thus, drawing current. The
largest charge motion occurs in the initial moments and
then gradually tapers off to near zero. This current is called
dielectric absorption or just absorption current. The
absorption current is given by [6]:
IA

AVCt

where IA is the absorption current

V is incremental voltage change
C is cable capacitance
t is time
A and B are constants depending on the dielectric

CLK
SAMPLE AND HOLD
As +C
A1s+ A2s+ A3s+ C1
PULSE

S& H

K1

TRANSFER
FUNCTION
K2

CLK

S& H
SAMPLE AND HOLD

(2)

OUTPUT

K3
COMPARATOR
PULSE

Fig. 4 Mathematical model of low voltage and insulation measurement

scheme

D. Effect of Degradation
The properties of the insulators affected by the degradation
are categorized as:
Electrical: dielectric strength, dielectric constant,
thermal effects, corona resistance, compatibility.
Chemical: oxidation products, moisture resistance,
temperature effects, curing characteristics.
Mechanical: density, water absorption, flexibility,
melting point, volatility, tensile strength, aging effects,
oxidation effects, temperature effects, and hardness.
These properties are dependent on a lot of factors and the
degradation of these may a ffect life of the insulator [8], [9], Fig. 5 Detailed mathematical model of insulation measurement system
[10], [11].
of Fig 4 has been shown as circuit components. The voltage,
III. INSULATION MEASUREMENT METHOD
V/2, depicted in Fig. 5 shows the Thevenin equivalent voltage
Target cables for which measurement scheme is targeted are between conductor and earth. This voltage is appearing as the
measurement is conducted on-line.
given in Table I.
The mathematical model of Fig. 5 is simulated to finalize the
The equivalent insulation model for these cables consists of
mainly two parameters, leakage resistance and cable block level parameter values for the measurement scheme. A
capacitance. As discussed earlier, these two parameters are plot of one simulation is shown in Fig. 6. Based on inputs
represented as resistance and capacitance between any two provided by simulations; a detailed measurement circuit is
conductors. A good indicator of insulation health in such deduced. The details of the circuit are given in subsequent
scenario is that leakage resistance is greater than a specified subsection.
value and capacitance is lower than a specified value. With this B. Circuit Realization
one need to measure resistance as well as capacitance. A
The initial part of the measurement circuit comprise of R-C
technique of fast measurement of capacitance is given in [5].
network
as shown in Fig. 5. This network interfaces with cable,
The transfer function of the measurement circuit is evolved
whose
insulation
resistance (impedance) has to be measured.
from [5]; the details are given in subsequent subsection.
This network is driven by three different excitations, i) +15V, ii)
A. Mathematical Model
+15V with a series resistance and iii) earth. The voltage at
With number of lab trials scheme shown in Fig. 4 has been junction of R2, R3 and C1 is sensed and processed for
finalized for ensuring that insulation resistance is greater than measurement. Lets label this voltage as V0. The processing
specified. Transfer function block shows the combined transfer circuitry for blocks shown in lower part of Fig. 5, comprising of
of measurement circuit along with equivalent cable model. The -1, S/H and comparator is shown in Fig. 7. The first stage
values of constants are A = 1 104, A1 = 3.21, A2 = 708.99, A3 = around op-amp U4 is a buffer stage, so that processing circuitry
does not load the preceding R-C network. The blocks of lower
4.45 104, C = 15 104, C1 = 518853.
Along with resistance to ensure capacitance is less than part of Fig. 5 are realized by circuit around op-amps U4-U7
specified, one more leg is added to the scheme. The detailed (inverter, sample-hold), U15 (adder), U17 (comparator),
respectively.
scheme is given in Fig. 5. In this figure the transfer function

378

TABLE I
CABLES TESTED
S.No
1
2
3
4

Cable insulation
material
EPR
Silicone rubber
PVC
PVC

Cable
(mm)
7.7
9.1
0.9
7.4

Conductor
(mm)
3.7
0.7
1.59
1.75

Insulation Resistance
(M /Km)
1859
1100
1000
1100

C( pf/m)

Resistance (/Km)

197.26
49.12
73.35
127.274

Fig. 7 Insulation measurement circuit

Fig. 8 Generation of Reset signal for control block

Fig. 11 Plot of voltages at various nodes

Fig. 6 Simulation result of mathematical model

379

8.41
12.2
12.2
40.1

Dielectric
constant
2.6
3.2
3.4
3.4

Fig. 10 Plot of control signals

The upper blocks of Fig. 5 are realized with circuit shown

in Fig. 8. These blocks are realized by circuits around op-amps
U8 (d/dt), U11-12 (absolute value), U13 (comparator),
respectively. The input to this circuit is taken from U5 pin no.
6 of Fig. 7.
The oscillator and circuit of control blocks are shown in Fig.
9. The control block has 2 inputs CLK and Reset. CLK
comes from the oscillator and Reset is from junction of Q1-C
and R41 in Fig. 8.
The realized circuit has been simulated using PSpice for
various equivalent cable model values. These are discussed in
next section.
This circuit along with following additional circuit has been
implemented on PCB:
power supplies
self-test
isolation of cable
commands, such as start of test, self-test
display of outputs, such as insulation status, fault (based
on self-test) and ready
These additional circuits have been added along with the
core measurement system and PCB has been made. This
prototype insulation resistance measurement system has been
tested in lab with equivalent cable parameters as well as with
actual cables.
IV. RESULTS & DISCUSSION

Fig 9 Oscillator and control part

The plot of control signals from simulation model is shown

in Fig. 10. Similarly, voltages at various nodes of the
simulation model for specified cable parameters are shown in
Fig. 11. The circuit gives a low insulation in case either
resistance or capacitance of the cable degrades, hence is able to
identify both capacitance degradation and leakage resistance
degradation.
The measurements with prototype system verified the
simulation results. The use of simulation for circuit finalization
has proved vital in reducing time-to-prototype and cost.
V. CONCLUSION
In electrical and electronic systems/installations cables play
a major role of transferring power and/or information. In both
380

cases insulation plays an important role. A detailed literature

survey was carried for C&I cable to establish the major causes
of insulation degradation. It also helped in outlining the good
practices for installation, laying and maintaining of cables. The
cable insulation model and its parameters were derived from
data available in literature.
Insulation measurement circuit has been evolved with
available transfer function for low voltage. PSpice simulation
helped in quick realization of circuit and finalization of
components based on simulation results. Using finalized
measurement scheme along with other peripheral circuits have
been prototyped and tested. This way in single step a working
prototype has been made, with reduced time-to-prototype and
cost.
The proposed insulation resistance measurement scheme has
features, such as in-circuit, on-line, testing at low voltage, fast
in time (2-3 seconds) and go, no-go type. These features are
important for plant O&M and minimizing cable insulation
related problems.
VI. ACKNOWLEDGMENT
The authors would like to thank Shri U. Mahapatra for his
kind support and guidance to make this work possible. We also
thank Prof. D.N. Badodkar for reviewing the initial work and
providing comments to improve the work. Continual support
and encouragement from Shri P.P. Marathe is highly
appreciated.

VII. REFERENCES
[1]

Electrical Test Methods for Electric Cables Part 1: Electrical tests for
Cables, Cords and Wires for Voltages up to and including 450/750V,
IEC 60885-1 Std., 1985.
[2] Electrical Test Methods for Electric Cables Part 2: Partial discharge
tests., IEC 60885-2 Std., 2004
[3] J. Leonard, J. Shanley, and J. Fergudson, Review of Department of
the Navy, judge advocate Generals suface ship fire investigation
reports for the period 1980 through 1986, Navy Technology Center for
Safety and Survivability, Chemistry Division, Tech. Rep., 1989.
[4] A Technical Assistance, Understanding insulation testing, AEMC
instruments technical assistance, Tech. Report, 1991.
[5] R.E. Keon, High-speed measurement of insulation resistance of
capacitors and capacitive circuits, The Radio and Electronic Engineer,
vol. 41, pp. 557562, 1971.
[6] W.A. Thue, Electrical Power Cable Engineering. New York, USA, Marcel
Dekker Inc, 1997.
[7] A.J. Dekker, Electrical Engineering Materials. Prentice Hall of India,
New Delhi,, 2006.
[8] F.M. Clark, Insulating Materials For Design & Engineering Practice.
John Wily & Sons Inc., New York,1991.
[9] Evaluation and qualification of electrical insulation systems., IEC
60505 Std., 1987.
[10] S. Grzybowski, P. Shrestha, and L. Cao, Degradation of high voltage
cable insulation energized by switching impulses, in Conference of
Electrical Insulation and Dielectric Phenomena, CEIDP, Quebec,
Canada, 2008.
[11] S. Grzybowski, L. Cao, and B. Pushpanathan, Electrical accelerated
aging of EPR cable insulation energized by AC voltage and switching
impulses, in Annual Conference on Electrical Insulation and Dielectric
Phenomena, 2009.

381

Investigation of Performance Parameters of

PMSM Drives using DTC-SVPWM Technique
Jaswant Singh, Bindeshwar Singh, S. P. Singh and Mohd Naim

Abstract-- The direct torque control space vector pulse width

modulation (DTC-SVPWM) theory has achieved great success in
the speed control of PMSM drives. A DTC-SVPWM technique of
PMSM has been presented in this paper. Based on in-depth
analysis of PMSM mathematical model in a-b-c frame and
frame are established and the operation principle of DTCSVPWM system, the relationships between the torque and
fundamental components. A novel SVPWM technique which has
a feature of low harmonic is proposed. The proposed technique is
adopted to design the DTC-SVPWM of a three-phase PMSM
drives. A large number of simulation results show that the DTCSVPWM technique of PMSM drives having good dynamic
performance. Aiming at the DTC-SVPWM technique in PMSM
drives, in this paper explained the theoretical basis of the DTC
for PMSM firstly, and then explained the difference between the
applications of DTC-SVPWM to PMSM drives. Finally the
MATLAB/Simulink models were developed to examine the DTCSVPWM for PMSM drives for enhancement of performance
parameters of such motors. This article is very useful for
researchers and scientific engineers for extending the research
work in this area.

Index Terms-- Direct Torque Control (DTC), Permanent Magnet

Synchronous Motor (PMSM), Space Vector Pulse with
Modulation (SVPWM), Modeling Equations, Current Estimation,
Stator Flux Linkage.

NOMENCLATURE

Te
Ld
Lq
s
f

Torque
d-axis inductances
q-axis inductances
Stator flux
Permanent magnet flux

Number of pole pairs

TB
B

Friction torque.
Friction coefficient.

Jaswant Singh and Mohd Naim are M. Tech. Students in Department of

Electrical Engineering, Kamla Nehru Institute of Technology, Sultanpur-228
118, India
(e-mail:sinjaswant@gmail.com, m.naim0648@gmail.com).
Bindeshwar Singh and S.P. Singh are Assistant Professor in Department
of Electrical Engineering, Kamla Nehru Institute of Technology, Sultanpur228118, India
(e-mail:bindeshwar.singh2025@gmail.com, singhsurya12@gmail.com).

The change in torque angle due to move of

The change in torque angle due to move of

d, q

Rotor direct and quadrature axis indexes

Rotor flux (PM).

Ld , Lq

d-axis and q-axis synchronous inductances.

id , iq

d-axis and q-axis currents.

Vd , Vq

d-axis and q-axis voltages.

q,

J
TJ

d-axis and q-axis flux linkages.

Moment of inertia.
Moment torque.

I. INTRODUCTION

MSM are widely used in high-performance drives such as

industrial robots and machine tools for their advantages
high power density, high-torque, and free maintenance and so
on. In recent years, the magnetic and thermal capabilities of
the permanent magnet (PM) have been considerably increased
by employing the high-coercive PM materials [1]. In last few
years PMSM, consequently is acquired in more and more farranging application, because of its properties such as small
volume, light weight, high efficiency, small inertia, rotor
without heat problem, etc. [2].
The proposed techniques such as DTC-SVPWM are a
technique to reduce the ripples of the electromagnetic torque
and flux linkage in PMSM drives. SVPWM techniques have
several advantages that are offering better DC bus utilization,
lower torque ripples, lower total harmonic distortion in the AC
motor current, lower switching loss, and easier to implement in
the digital systems PMSM drives.
DTC is a new control technique after vector control. It
abandons decoupling thought of vector control, and uses the
stator flux linkage directly to control the flux linkage and the
torque of motor. Thus the dynamic response of the system is
very fast [3]. The DTC control strategy is applied for PMSM
in order to improve the torque characteristics of the motor,
which currently has caused the extensive attention of people.
The traditional DTC usually adopts bang-bang control strategy

978-1-4673-0455-9/12/$31.00 2012 IEEE

382

to implement. But this control strategy can't meet the system

requirements both of torque and flux linkage at the same time,
which leads to large fluctuations of flux linkage and torque
generated by system and leads to the problem of pulse current
and switching noise caused by higher switching frequency
changes. The SVPWM control strategy has been widely used
in the field of motor speed control, due to its potential
advantages, such as small current waveform distortion, high
utilization of DC voltage, easy-to-digital implementation,
constant switching frequency of inverter, effectively to reduce
pulsation of the motor torque and flux linkage, etc. The result
shows that the system has the advantage of fast response, and
good dynamic performance etc. [4] [5]. The simulation results
shows the proposed DTC-SVPWM system having less flux
linkage and torque ripples while it maintains as good torque
response as the DTC-SVPWM. At the same time the
complexity of the power circuit does not increase.

In transient operation varies and the stator and rotor flux

rotate at different speeds.
The well-known voltage equations in the rotor reference
frame are as follows:
d d
(1)
v
R i
d

d d

vq

dt

Rq iq

(2)

q
r

dt

where Rd and Rq are the quadrature and direct-axis winding

resistances which are equal and be referred to as Rs is the
stator resistance. The permanent magnet excitation can be
modeled as a constant current source, i f the rotor flux along d
axis, so the d axis rotor current is i f the q axis current in the
rotor is zero, because there is no flux along this axis in the
rotor, by assumption. Then the flux linkages are written as in
eq. (3).
(3)
Ld id Lmi f
d

II. MATHEMATICAL MODELING OF PMSM

(4)

Lq iq

PMSM is an important category of the electric machines, in

which the rotor magnetization is created by PM attached to the
rotor. The d-q-model offers significant convenience for control
system design by transforming stationary symmetrical AC
variables to DC ones in a rotating reference frame. Based on
the d-q reference frame theory, the mathematical model of the
PMSM can be expressed as the following equations: The rotor
flux can be assumed to be concentrated along the d axis while
there is zero flux along the q axis, an assumption similarly
made in the derivation of indirect vector controlled induction
motor drives. The stator equations of the induction machine in
the rotor reference frames using flux linkages are taken to
derive the model of the PMSM.

Where Lm is the mutual inductance between the stator winding

A. PMSM equations and its motion model

The stator flux linkage vector and rotor flux linkage of
s
f
PMSM can be drawn in the rotor flux (d-q), stator flux (x-y),
and stationary (D-Q) frames as shown in figure 1 & 2.

The developed torque motor is being given by (8)

as

q axis

'

cs

bs

vd

Rs id

Arranging

the

Rq

Lq

vq
vd

Lq

Lq iq

( Ld id

above
r

Rd

3
P(
2

Te

) Rd

Ld id

(6)

equations

Ld

iq

Ld

id

in

form:
(7)

(8)

i )

d d

matrix

Lm i f

q d

The mechanical Torque Te written in eq. (9)

Te

bs

denotes mutual inductance.

axis

TL

d m
dt

(9)

Solving for the rotor mechanical speed from the above eq. (10)
is
(Te TL B )dt
(10)
m

a axis
S

cs '

'

and rotor magnets. Substituting these flux linkages into the

stator voltage equations gives the stator eq. (5) has been
presented in ref.[6], [7].
(5)
vq Rs iq
Lq iq
r ( Ld id
f )

In the above equation is the rotor electrical speed where as

as

Fig. 1. Two pole three phase surface mounted PMSM.

y
q

is the rotor mechanical speed.

B. Parks Transformation concept

It is done by converting the three phase voltages and
currents to dqo variables by using Parks Transformation.

iq
Vs

ix

id

Converting the phase voltages variables

Vabc to Vqdo variables

in rotor reference frame the following eqs. (11) & (12), are
addressed in [8]:

Fig. 2. The stator and rotor flux linkages in different frames.

383

Vq

2
3

Vd
V0

Va

cos

cos(

120)

cos(

120)

Va

sin

sin(

120)

sin(

120)

Vb

1
2

cos

2
3

Vb
Vc

1
2

1
2

sin

Eq. (17) consists of two terms; the first is the excitation torque,
which is produced by the permanent magnet flux. The Under

(11)

condition of constant amplitude of

Vc

Vq

cos(

120)

sin(

120)

Vd

cos(

120)

sin(

120)

V0

(12)

dT
dt

Lm i f is addressed

by differentiating eq.

(17) with respect to time, the rate of increasing of torque at t =

0 can be obtained in eq. (18) is presented in ref. [11].

C. Equivalent Circuit of PMSM

From the d-q modeling of the motor using the stator
voltage equations the equivalent circuit of the motor can be
derived as shown in Fig. 3. Assuming rotor d axis flux from
the PM is represented by a constant current source as
described in the following equation

3P
4 Lq Ld

[2

Lq sin

( Lq

Ld ) cos 2 ]

(18)

d
dt

III. SPEED AND TORQUE CONTROL OF PMSM DRIVES USING

DTC-SVPWM TECHNIQUE
The block scheme of the investigated speed and torque
control with DTC-SVPWM for a voltage source SVPWM
inverter fed PMSM is presented in Fig. 4.

in [9].

DC link capacitor

ia
ib
ic

Recti
-fier
ckt

220V
AC Source
*
r

Te

PI

SVPWM

*
sr

vsd
vsq

VOLTAGE
ESTIMATION

PI

Te

INVERSE PARK
TRANSFORMA
T-ION

encoder

is

is

isd

sd
Torque
estimation

Clark
transfor
mation

vs

vs

PMSM

ib

ia

Te

VSI

Flux linkage
estimation

sq

Park
transfor
mation

isq

Fig. 3. Equivalent Circuit of PMSM for d-q-axis.

d/
dt

D. The Torque equation in x-y reference frame

With the transformation below, eq. (6) can be transformed
to stator flux reference frame [10].
3P
2

(ix sin

3 P ix
2

i y cos )
2

iy

ix

(cos

i y sin )
2

iy

q
s

(13)

d
s

E. The flux linkage equations in the x-y reference frame

Eq. (3) can be rewritten into matrix form as follows:
d

Ld

id

Lq

iq

A. Mathematical Modeling
DTC technique has been proposed for calculations and
controls stator flux linkage and torque of PMSM directly to
achieve high dynamic performance, in the stator coordinate
system. A block diagram of DTC with PMSM is shown in Fig.
4. isd and isq' the components of i, in the d-q axis, can be
obtained from the phase current sampling values ia and ih '
through Clark Co-ordinate Transformation and Park Coordinate transformation. Then

(14)

Fig. 4. Structure block diagram of PMSM proposed with DTC-SVPWM

scheme.

Substituting eq. (3) into eq. (7) gives

sin
cos

Ld

Lq

cos
sin

sin
cos

(15)

For a PMSMs with pole saliency, Ld

Lq the torque

equation in terms of stator flux linkage and angle

x

ix

sin

[( Ld
( Ld

Lq ) ( Ld

3P
4 Lq Ld

[2

and Te could be

as input value, outer loop Proportional

*

Integral (PI) controller outputs Te , which is the given value of

, which is the angle between

can be

Lq ) cos 2 ]iy

( Lq Ld )sin 2 ]

d
PM

the correction value of

and

, vsd and v sq

the components of u, in the d-q axis can be estimated by

(16)

Lq ) sin 2

Lq sin

torque loop PI controller outputs

sd

and

sq

d ,

. SVPWM control signals can be generated

through inverse Park Transformation with vsd and v sq , and

Then the torque equation is as follows:

T

sq

torque loop. Then take torque deviation Te as input value,

F. PMSM with pole saliency

obtained by solving i with

estimated by isd and isq this system uses three-way closed-loop

control of speed, flux linkage and torque. Adopt speed
deviation

cos
sin

sd

(17)

then drive PMSM [10] [11]. In the Fig. 2, flux linkage

estimator can be expressed as:

384

sd

Lsd i

sq

Lsq isq

PM

(19)

2
sd

sr

2
sq

Torque estimator can be expressed as:

Te

3
p(
2

(20)

i )

sd sq

sq sd

Voltage estimator can be expressed as:

d

vsq

Rs isq

vsd

Rs isd

Fig. 5. Three-phase VSI bridge circuit

sq

dt
d sd
dt

(21)

sd

sq

where, dt is flux linkage sampling time,

*
sr

is the given

value of torque stator flux linkage. In addition,

d
d

sd

*
sr

cos (

d )

sq

*
sr

sin (

d )

Then, d
d

sd

sd
*
sr

and d
(

sd

sq

cos d

sr

sq

*
sr

sq
sr

cos

sr
sr

(22)

sin

can be expressed as:

sq

sin d )

sd

sin d )

sq

sr

cos d

sd

(23)

sr

B. Proposed PMSM with DTC-SVPWM scheme

The block diagram of the proposed PMSM DTC-SVPWM
drive is shown in Fig. 4. The speed controller is a classical PI
regulator, which produces the reference torque [11]. The
calculated torque is compared with the reference torque, the
-axis voltage component and -axis voltage component of the
stator voltage are obtained and are input into SVPWM. A DC
bus voltage and two phases current are detected to calculate
the stator flux linkage and torque. The speed is also estimated
in the toque, flux, angle and speed estimator.
C. SVPWM Technique
The power circuit of a three-phase VSI is shown in Fig. 5,
where Va , Vb , and Vc are the output voltages applied to the
star-connected motor windings, and where Vdc

is the

continuous inverter input voltage. S1 Through S6 are the six

power transistors those shape the output, which are controlled
by switching signals. There are eight different combinations of
switching states as follows: (000), (100), (110), (010), (011),
(001), (101), and (111). The first and last states do not cause a
current to flow to the motor, and hence, the line-to-line
voltages are zero. The other six states can produce voltages to
be applied to the motor terminals.

If the inverter operation starts by state (100) to be state 1, it

is possible to compute the voltage space vectors for all inverter
states which are shown in the complex space vector plane in
Fig. 6 [13]. The peak fundamental phase voltage that may be
produced by the inverter for a given dc link voltage occurs
under six-step operation, and is given by:
2Vdc
(24)
V1, six step
On the other hand, the maximum achievable peak fundamental
phase voltage for conventional sinusoidal modulation as
shown in Fig. 3 is:
Vdc
V1,sin pwm
(25)
2
From eqs. (31) and (32), only 78.5% of the inverter capacity is
used

Fig. 6. Voltage space vectors for a three-phase VSI.

Vdc

(26)
3
From eqs. (24) and (26), about 90.6% of the inverter capacity
is used. In which the desired voltage is found to lie in Sector 1.
Although, the inverter cannot produce the desired voltage

V1.svpwm

directly. It is possible to decompose it into two vectors, V x

and V y , that lie on the two active inverter vectors on either
side of the reference vector [12], [13], [14]. It is possible to
produce the switching signals, PWM1, PWM2, and PWM3 to
be applied to the inverter. The total zero time is most often
divided equally between the two zero states. It is possible to
satisfy the above restrictions by the use of symmetrical pulses
as shown in Fig. 7 [15], [14]. The cycle begins in state 0,
(000), with each inverter pole being successively toggled until
state 7, (111), is obtained. The pattern is them reversed in
order to complete the modulation cycle.

385

Fig. 7. Inverter switching signals for SVM in sector 1

Fig. 9. Vrms before input voltage Vrms = 220V.

IV. SIMULATION RESULTS IN MATLAB/SIMULINK

In this paper, MATLAB/Simulink Software is used to

model and simulate for DTC System of PMSM by analyzing
DTC working principle for PMSM. A lot of simulation results
show that DTC system has fast response, good dynamic
performance characteristics.

A block diagram of the proposed PMSM drive based on

SVPWM is shown in Fig. 8. The parameters of PMSM and
DTC-SVPWM scheme parameters are shown in Table I & II
of appendix. The results under the PI speed controller and the
proposed scheme are shown in Fig. 4, respectively.

Fig. 10. DC bus voltage ( VDC ).

Fig. 8. Simulink model of PMSM with DTC-SVPWM scheme.

From dynamic response performances of the PMSM drive

based on the proposed scheme has been improved to some
extent compared with the system based on the conventional PI
speed controller. Fig. 10 shows the waveforms of dc-link
voltage and current source fed svpwm PMSM drive. The dc
link voltage is roughly equal to 1.38 times the line voltage
(220 V). The steady state value of three phase stator current is
6.9 A. The result for the three phase stator current estimation
are shown in Fig.11, inverter switching frequency is 20 kHz.
The given speed is 880 rad/min, and the comparative results of
the Rotor actual speed of the PMSM wave form (rpm) are
shown in Fig. 12 and reference speed of the PMSM are shown
in Fig. 13. From fig. 14 & 15 Electromagnetic Torque of the
PMSM actual torque and reference torque. It can be seen that
the torque ripple of PMSM is reduced greatly in the latter
strategy. The steady state flux linkages of permanent magnet
synchronous motor with the DTC are shown in Fig. 16. In the
simulation system, the sampling period of the conventional
DTC is chosen as 50 s.
Simulation parameters: Stator resistance, Rs=4.765 , Torque
Te 1.7 Nm, d-q axis inductance Ld & Lq=0.014H, Permanent
magnet flux

Fig. 11. Three phase stator current_Iabc of the PMSM.

B. Speed estimation
The speed estimator is based on the relation of stator flux
angle and rotor flux angle. The given speed is 880 rad/min,
and the comparative results of the Rotor actual speed and
reference speed of the PMSM wave form (rpm) are shown in
Fig. 12 & 13 the real and estimated speed in the proposed
DTC-SVPWM scheme when the reference speed has 880 rad/s
at startup at t=0.1s.

0.1848, Moment of inertia = 0.0001051,

Friction factor= 4.047e-005, rated Speed

K pT

A. Three phase stator current

The PMSM motor drive generated three phase stator
current in shown in Fig. 14.

3750 rpm,

=100, K iT =0.089, K p =4.5, K i =0.90.

Fig. 12. Rotor actual speed of the PMSM wave form (rpm).

386

Fig. 13. Reference speed of the PMSM.

C. Torque and Flux estimation

Figs. 14-16 shows torque and flux response of the proposed
DTC-SVPWM for PMSM when the load torque has step
change from negative three to positive three Nm (-3 Nm to
+3Nm) at 0.03s.

the different load conditions and their comparison is also

presented in this paper. The results of simulation have shown
that the PMSM drive with the proposed control scheme has the
merits of simple structure, robustness, quick tracking
performance. SVPWM allows the operation of inverter in over
modulation region. This proposed strategy considers the
inverter as a single unit and greatly reduces the complexity and
cost when compared with traditional systems. It has reduced
harmonics, low switching stress power and low common mode
noise the results are show that to verify these new features.
The simulation results are finally concluded that DTCSVPWM technique having good dynamic performance
characteristics of PMSM drives.
IV. REFERENCES
[1]

Fig. 14. Electromagnetic Torque (Te_Nm) of the PMSM.

Fig. 14 shows the comparison of torque shows comparison

of dynamic torque response on step mutation of given torque
from increased load. The flux estimation of the permanent
magnet synchronous motor (PMSM).

[2]
[3]

[4]

[5]
[6]

Fig. 15. The step response reference torque is (Tref -3Nm to +3Nm).
[7]

[8]

[9]

[10]

Fig. 16. Flux trajectory of the PMSM with DTC.

V. CONCLUSIONS

[11]

In this paper, DTC with PMSM drives are proposed and

simulated in MATLAB/Simulink environment. This paper
presents a new DTC adjustable speed and flux control system
based on the VSI topology has been presented. The
performance of three-phase PMSM is analyzed by using this
technique. Simulation results are analyzed by the output
waveforms in term of PMSM outputs (performance
parameters). A simulation model of the system was established
in MATLAB/Simulink environment. A comparative simulation
study on DTC based on SVPWM was carried out.
A DTC-SVPWM technique is used for generating a desired
value of pulses by using an appropriate value of switching
frequencies. Performance of 3-phase PMSM is investigated for

[12]

[13]

[14]

[15]

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Lixin Tang, Limin Zhong, "A novel Direct torque control for interior
permanent magnet synchronous machine drive with low ripple in toque
and flux"', IEEE Transaction on Industry Applications, 2003, Vol 39,
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Habetler T.G. and Divan D.M., "Contrl strategies for direct torque
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R. Krishnan, Electric Motor Drives Modeling, Analysis, and
Control, Prentice Hall, 2001.
M.N. Uddin and al., Performance of current controllers for IPMSM
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1025, 1999.
M. Kadjoudj, R.Abdessemed, M.E. Benbouzid, C. Ghennai, Current
control of PMSM fed by two and three levels VSI, in Proc. of
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J.K.Kang,S.K.Sul, New direct torque control of induction motor for
minimum torque ripple and constant switching frequency, IEEE Trans.
On ind. Appl., vol. 35, n5, pp. 1076-1082,1999.
Su Dan, "High perfonnance direct torque control for permanent magnet
synchronous motors," PhD thesis, Zhejiang University, pp. 129- 138,
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D. Sun, F. Weizhong, H. Yikang, "Study on the Direct Torque Control
of Permanent Magnet Synchronous Motor Drives"', IEEE/ ICEMS, pp. 5
71-5 74, 2001.
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in direct torque control of induction motor by using space vector
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Mechatronics, Komamoto, Japan, May 2007, pp. 1-4.
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2007, pp. 283-387.

A Block Based Segmentation of JPEG

Compressed Document images
H.V.L.Pavan Kumar N and V. K. Srivastava
Abstract- Block based image and video coding systems
are used extensively in practice. In low bit rate
applications they suffer with undesirable compression
artifacts, especially for document images. Existing
methods can reduce theses artifacts by using post
processing methods without changing the encoding
process. Some of these post processing methods requires
classification of the encoded blocks into different
categories. In this paper we proposed a block based
segmentation of JPEG coded images.

Authors used the discriminative function as

7

D( s)

g[ ys (u , v)]

(1)

u 0 v 0

where

Index Terms- AC energy, DCT coefficient, JPEG, Kmeans clustering, Threshold value.

g ( x)

ys(u,v)

is

D( s )

log 2 (| x |)

if ,| x | 0

otherwise

and

DCT coefficients of blocks

s is a background block

if D( s )

T0

s is a picture block

if D( s )

T0

s is a picture block

I. INTRODUCTION
JPEG is one of the most widely used block
based image compression technique. Although JPEG
was first developed for natural images, in practice, it
is also used for document images due to its simple
structure. However, document images encoded by the
JPEG algorithm exhibit undesirable compression
artifacts [4]. In particular, ringing artifacts
significantly reduce the sharpness and clarity of the
text and graphics in the decoded image. Many
decoding schemes have been proposed to improve the
quality of JPEG encoded images [1] - [3]. Such
methods neither require modification to current
encoders, nor an increase in bit rate.
All these methods first divides the JPEG
encoded image into different classes of regions and
each region is decoded by using algorithm specially
designed for that class of region. This region
selection is done on the block basis, i.e. each encoded
block is first classified as one of the required region.
Our focus is on jpeg coded document images. In [1] a
discriminative function based on DCT coefficients is
calculated for every block. This function value is
compared with a threshold parameter to classify the
block.

Threshold value proposed in above

segmentation algorithm [1] is not robust to different
quantization tables used in baseline JPEG. Threshold
value proposed gives good results, when default
quantization matrices mentioned by JPEG standard
[26] are used. But when user defined Quality factor
(QF) changes, obviously quantization matrices will
change. It leads to misclassification of the blocks.
In [2] for detection of background blocks
AC energy thresholding is used. Next two feature
vectors are developed for remaining each block.
Authors characterized the feature vectors of the text
blocks and those of the picture blocks by two
Gaussian mixture models. Authors used these two
Gaussian mixture models with the SMAP
segmentation algorithm [5] to segment the feature
vector image. The result is combined with the
background blocks detected by AC thresholding to
produce the final segmentation map. This
segmentation algorithm is robust to different
quantization tables used in JPEG, but computational
complexity is high.
In this paper we proposed a block based
segmentation algorithm for document images
encoded by conventional JPEG encoder. Our

Authors are with Department of Electronics and

Communication Engineering, Motilal Nehru National Institute of
Technology-211004,India (email: pawan.nekkalapudi@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

388

algorithm works by using AC energy thresholding for

background blocks segmentation and for remaining
blocks classification K-means clustering of feature
components generated for each block.

(Qi Q*i )
i

We define the first feature component of the block s

from [1] as:

II. PROPOSED SEGMENTATION

Ds,1 = (encoding length of block s)

It will consider 88 luminance blocks as

input and classifies them as background or picture or
text block. First, we compute the AC energy (Es) of
each block s by using

y s2,i

(4)

Threshold value used for AC thresholding

and used in Ds,1 are referred from [1]. Authors
determined these values from training process. In the
training process, authors used a set of training images
consisting of fifty four digital and scanned images.
Each image is manually segmented and JPEG
encoded with nine different quantization matrices,
corresponding to j with j=1 to 9. For the ith image
encoded by the jth quantization matrix, they first
computed the average encoding lengths of the text
blocks and the picture blocks, denoted by ui,j and vi,j
respectively. The parameter is then determined
from the following optimization problem:

63

Es

(3)

(Q*i Q*i )

(2)

i 1

where y s ,i is the ith quantized DCT coefficient of the

88 block s. If Es is smaller than the threshold value,
then that block is classified as a background block.
Next, we compute two-dimensional feature vectors
for each block in order to classify the remaining
blocks into the text and picture classes. The first
feature component is based on the encoding length as
proposed in [2]. The encoding length of a block is
defined as the number of bits in the JPEG stream
used to encode that block. Typically, text blocks
consists of high contrast edges as compared to other
blocks, so encoding lengths for text blocks are longer
than for the non text blocks. However, the encoding
length also depends on quantization step sizes used.
Larger the quantization steps, smaller the encoding
length and vice versa. As from codec of BaselineJPEG [8] quantization step sizes are depends up on
the user defined Quality Factor (QF). Quantization
step sizes are inversely proportional to QF. So
smaller the QF, smaller the encoding length and vice
versa. To make the segmentation more robust to
different quantization step sizes, we multiply the
encoding length by a factor (), determined from the
quantization steps used in encoding of JPEG.
Suppose Qi* are the default luminance quantization
step sizes as defined in Table K.1 in [7], and Qi are
the quantization step sizes used to encode the
luminance component. Quantity is used as a
measure of the coarseness of the quantization step
sizes Qi as compared to the default Qi*. Larger
quantization step sizes (Qi) corresponds to larger
values of and vice versa.

54

( j ui , j u ) 2

arg min min

u ,v

i 1 j 1

vi , j

v) 2

(5)

where u, v are average encoding lengths of the text

blocks and the picture blocks by using default
quantization step size as defined in Table K.1 in [7].
It is determined as =0.5 and threshold value as 200
(

ac =200).

Due to multiplication of with the encoding

length, effect of quantization step sizes on Ds,1 will be
reduced. Because, larger quantization step sizes leads
to small values of encoding length and large values of
, but the product Ds,1 remains same. Similarly, for
smaller quantization step sizes the same will occur.
So the range of Ds,1 for a particular class of block
does not change with the quantization step sizes or
QF. It depends only on the class of blocks and value
is high for text class blocks as compared to remaining
blocks.
Generally text block is a combination of two
colors foreground intensity and background intensity.
So to take this advantage second feature component
(Ds,2) is developed to find how close a block is to

389

being a two color block. We take the luminance

component decoded by the convectional JPEG
decoder and use k-means clustering [6] to separate
the pixels in a 1616 window centered at the block s
into two groups. Let C1,s and C2,s denote the two
cluster means. Then second feature component is
computed by the difference of two cluster means,
given in Eq.(6)

Ds ,2

c1,s c2,s

their sum Ds is also high value for text blocks

compared to picture blocks. So we divide this vector
Ds into two clusters by using k-means clustering and
the resulting clusters with high mean value are
segmented as text blocks and remaining blocks are
named as picture blocks.
III. K-MEANS CLUSTERING
K-means clustering is a method of cluster
analysis, which partitions the given n observations
into required k clusters such that each observation
belongs to the cluster with the nearest mean. So for a
given a set of observations (x1, x2. xn), k-means
clustering aims to minimize the sum of squares
within each cluster S={S1, S2 Sk},:

(6)

arg min
S

xj

(8)

i 1 x j si

Where i is the mean of all points in Si.

IV. SIMULATION RESULTS

Fig. 1. Proposed Block based segmentation

To evaluate the performance of the proposed

algorithm, we use seven digital test document
images. Each of these images contains some text
and/or graphics. Because our focus is on document
images, we have not considered images that are only
picture images. We tested our segmentation
algorithm results for all test images encoded by
baseline JPEG at different compression ratios.
Now we discuss our proposed segmentation
algorithm with the help of one of test images shown
in Fig. 2.

If difference of two cluster means is high,

value of Ds,2 is large, means block is a two color
block. Otherwise block is a single color block. As
explained above, text block is combination of two
colors, so obviously Ds,2 value is high for text class
blocks as compared to remaining blocks.
Next, we compute vector Ds, for every non
background block, which is sum of two feature
components as:

Fig. 2. Original Test Image-1

Ds

Ds ,1 Ds ,2

Segmentation results of JPEG encoded test

image-1 at QF values of 10, 25, and 60 are shown
below in Fig. 3, Fig. 4 and Fig. 5 respectively.

(7)

As explained above for text blocks Ds,1 and

Ds,2 are high when compared to picture blocks. So

390

[2] Tak-Shing Wong, Charles A. Bouman, Ilya Pollak, and

Zhigang Fan, A Document Image Model and Estimation
Algorithm for Optimized JPEG Decompression, IEEE
Transactions On Image Processing, vol. 18, no. 11, Nov. 2009.
[3] B. Oztan, A. Malik, Z. Fan, and R. Eschbach, Removal of
artifacts from JPEG compressed document images, presented at
the SPIE Color Imaging XII: Processing, Hardcopy, and
Applications, Jan. 2007.
[4] L. Bottou, P. Haffner, P. G. Howard, P. Simard, Y. Bengio, and
Y. Lecun, High quality document image compression with
DjVu, J.Electron. Imag., vol. 7, pp. 410425, 1998.
[5] C. A. Bouman and M. Shapiro, A multiscale random field
model for Bayesian image segmentation, IEEE Trans. Image
Process., vol. 3, no. 2, pp. 162177, Mar. 1994.
[6] J. McQueen, Some methods for classification and analysis of
multivariate observations, in Proc. 5th Berkeley Symp.
Mathematical Statistics and Probability, pp. 281297, 1967.
[7] ISO/IEC 10918-1: Digital Compression and Coding of
Continuous Tone Still Images, Part 1, Requirements and
Guidelines, International Organization for Standardization 1994.
[8] G. K. Wallace, "The JPEG still picture compression standard,"
IEEE Transactions on Consumer Electronics, vol. 38, no. 1, pp.
18-34, Feb. 1992.
[9] K. Konstantinides and D. Tretter,A JPEG variable
quantization method for compound documents, IEEE Trans.
Image Process., vol. 9, no. 7, pp. 12821287, Jul. 2000.
[10] A. Averbuch, A. Schclar, and D. Donoho, Deblocking of
block-transform compressed images using weighted sums of
symmetrically aligned pixels, IEEE Trans. Image Process., vol.
14, no. 2, pp. 200212, Feb. 2005.
[11] H. Siddiqui and C. A. Bouman, Training-based descreening,
IEEE Trans. Image Process., vol. 16, no. 3, pp. 789802, Mar.
2007.
[12] A. Averbuch, A. Schclar, and D. Donoho, Deblocking of
block-transform compressed images using weighted sums of
symmetrically aligned pixels, IEEE Trans. Image Process., vol.
14, no. 2, pp.200212, Feb. 2005.

Fig. 3. Segmentation Results (QF=10)

Fig. 4. Segmentation Results (QF=25)

Fig. 5. Segmentation Results (QF=60)

In results, red color blocks represent the text

region, yellow color blocks represent picture region
and white color blocks represent background blocks.
For all QF values, proposed segmentation algorithm
gives almost same classification of regions.
V. CONCLUSION
We focused on the class of document
images, and proposed a block based segmentation
algorithm for JPEG encoded document images. Our
algorithm is robust to different quantization step sizes
used in JPEG encoding.
REFERENCES
[1] E. Y. Lam, Compound document compression with modelbased biased reconstruction,J.Electron. Imag., vol. 13, pp. 191
197, Jan. 2004.

391

Three Stage Constrained Flow Shop Scheduling

With Jobs in a String of Disjoint Job-Block
Sameer Sharma, Deepak Gupta, and Shefali Aggarwal

Abstract-- The objective of this paper is to develop a heuristic

algorithm to minimize the total elapsed time for n jobs, 3 machine
flow shop production scheduling in which processing times and
independent set up times, each associated with probabilities
including transportation time and breakdown interval. Further
the jobs are processed in a string of disjoint job blocks. A
computer programme followed by a numerical illustration is
given to substantiate the algorithm.
Index Terms-- Flowshop Scheduling, Disjoint Job-block,
Processing Time, Setup Time, Transportation Time, Breakdown
Interval.

Some of the noteworthy heuristic approaches are due to Ignall

& Scharge [6], Camphell [4], Maggu & Das [9], Yoshida &
Hitomi [12], Singh [11], Adiri [1], Heydari [2], Chandramouli
[3], Khodadadi [8], Pandian & Rajendran [10] by considering
various parameters. Gupta, Sharma & Gulati [5] studied n x 3
flowshop scheduling model in which processing time, set up
time, each associated with probabilities along with jobs in a
string of disjoint job-blocks. The present paper is an attempt to
extend their study by introducing the concept of transportation
time and break-down interval. The problem discussed here is
wider and practically more applicable in the production
industry.

I. INTRODUCTION

II. PRACTICAL SITUATION

he flow shop scheduling problem (FSSP) is normally

classified as a complex combinatorial optimization
problem in which a set of n jobs (1,2,,n) are to be processed
on a set of m machines (1,2,,m) in the same order. We
normally look for a special sequence of jobs processing with
the objective of minimizing some functions of the job
completion time. In 1954 Johnson developed the heuristic
algorithms for two and three stage production schedule for
minimizing the makespan. Flowshop scheduling problem have
been discussed in the literature extensively under the
assumption that machines are continuously available. We
address the problem of minimizing makespan in a three
machines flowshop when the machines are subject to a random
breakdown which may be due to failure of a component of the
machine for a certain interval of time or the machines are
supposed to stop their working for a certain time period due to
some external imposed policy such as non supply of electric
current, may be a government policy due to shortage of
electricity production. Most of the machine scheduling models
assumes that jobs are delivered instantaneously from one
location to another without a significant transportation time
involved. In this paper, we consider machines scheduling
problem with explicit transportation consideration and jobs are
processed in a string of disjoint job blocks.

_______________________________________________
Authors are with the Department of Mathematics, Maharishi
Markandeshwar University, Mullana, Ambala-133207, India (e-mail:
samsharma31@yahoo.com,guptadeepak2003@yahoo.co.in,shefaliaggarwalsh
alu@gmail.com).

Many applied and experimental situations exist in our dayto-day working in factories and industrial production concerns
where the different jobs are processed on various machines.
These jobs are required to process in a machine shop A, B, C,
---- in a specified order. When the machines on which jobs are
to be processed are planted at different places, the
transportation time (which includes loading time, moving time
and unloading time etc.) has a significant role in production
concern. The idea of job block has practical significance to
create a balance between costs of providing priority in service
to the customer and cost of giving service with non priority
customers, .i.e. how much is to be charged extra from the
priority customer(s) as compared to non priority customer(s).
Further the machines are not always available for the
production. There may also be some delay due to material, due
to some maintenance hours, changes in release and tail dates,
tools unavailability, failure of electric current, the shift pattern
of the facility and fluctuations in processing times. All these
events complicate the scheduling problem in most cases, hence
the criteria of breakdown interval becomes significant.
III. NOTATIONS
S : Sequence of jobs 1, 2, 3 n
Sk: Sequence obtained by applying Johnsons procedure,
k = 1, 2, 3, ------Mj: Machine j, j= 1, 2, 3
aij: Processing time of ith job on machine Mj
pij: Probability associated to the processing time aij
sij: Set up time of ith job on machine Mj
qij: Probability associated to the set up time sij

978-1-4673-0455-9/12/$31.00 2012 IEEE

392

Aij: Expected processing time of ith job on machine Mj

Sij: Expected set up time of ith job on machine Mj
L: Length of the break-down interval
A 'ij : Expected processing time of ith job after break-down
effect on machine Mj
Iij(Sk) : Idle time of machine Mj for job i in the sequence Sk
Ti , j k : Transportation time of ith job from jth machine to kth
machine
IV. ALGORITHM
Step 1: Calculate the expected processing times and expected
set up times as follows
Aij aij pij and Sij sij qij
i, j =1,2,3
Step 2: Check the condition
Either Min {Ai1 + Ti,12 Si2} Max{Ai2 + Ti,12 Si1} or
Min{Ai3 + Ti,23 Si2} Max{Ai2 + Ti,23 Si3} for all i.
If these conditions are satisfied then go to step 3, else the data
is not in the standard form.
Step 3: Introduce the two fictitious machines G and H with
processing times Gi and Hi as
Gi = Ai1 + Ai2 + max (Si1, Si2) + Ti,12 and
Hi = Ai2 + Ai3 - Si3 + Ti,23
Step 4: Take equivalent job = (ik , im) for the given job block
(ik , im) and define its processing time on the lines of Maggu &
Das [9] defined as follows:
G= Gk + Gm min(Gm ,H k) and
H= Hk+ Hm min(Gm ,H k ).
Step 5: Obtain the order of jobs in the job block (disjoint
from job-block ) in an optimal manner using Johnsons [7]
technique by treating job block as sub flow shop scheduling
problem of the main problem. Let

'

A 'ij (j=1,2,3).If the break-down interval (a, b) has effect on job

i then A 'ij

i, j =1,2,3; Where L = b a, the length

of break-down interval.
If the break-down interval (a, b) has no effect on ith job
then A 'ij Aij i, j =1, 2, 3.
Step 11: Repeat the procedure to get optimal sequence of job
processing for the new reduced problem by repeating the steps
3 to 8. Find the total elapsed time and idle time for the
machines.
V. NUMERICAL ILLUSTRATION
Consider 5 jobs, 3 machine flow shop problem with
processing time, setup time each associated with probabilities
and transportation time. Minimize the total production time /
elapsed time in which jobs 2,5 are processed as a fixed job
block, disjoint from remaining arbitrary jobs with break-down
interval as (12 , 15).
TABLE .1

J
i

Machine M1
ai1

pi1

si1

Machine M2
qi2

T12

ai2

pi2

si2

Machine M3

T23

qi2

ai3

pi3

si3

qi3

23

27

.2

.3

.3

.2

2 19

.2

.2

30

.2

.1

20

.2

.2

1 18

.3

.2

41

.1

.3

20

.2

.2

2 14

.2

.3

23

.2

.1

23

.1

.2

3 23

.1

.2

20

.3

.2

10

.2

.2

1 25

.2

.1

Solution: Using steps 1, 2, 3 & 4, the problem reduces to

TABLE 2

Jobs(i)

be the new job block

obtained from by arranging the jobs in optimal way on the

lines of Johnson [7]. Define its processing time G & H on
the lines of Maggu & Das [9] as defined in step 4.
Now, the given problem reduces to a new problem by
replacing m jobs with job block having processing times G
& H on machine G & H respectively and remaining r jobs by
disjoint job block with processing times G & H on
machine G & H respectively.
Step 6: Let S1 be the set of processing times Gi when Gi Hi
and let S2 denote the set of processing times which are not
covered in set S1.
Step 7: Let S'1 denote a suboptimal sequence of jobs
corresponding to non decreasing times in set S1 & let S'2
denote a suboptimal sequence of jobs corresponding to nondecreasing times in set S2.
Step 8: The augmented ordered sequence (S'1, S'2) gives
optimal sequence for processing the jobs for the original
problem.
Step 9: Prepare In-Out flow table for the sequence obtained
in step 8 and read the effect of break-down interval (a ,b) on
different jobs on the lines of Singh T.P. [11].
Step 10: Form a reduced problem with processing times

Aij

'

Gi

Hi

14.2

7.5

15.1

6.8

As per step 6&7: S1 =, S2 = [14.2, 15.1];

and s1' =, s2' =(, ).
As per step 8: The optimal sequence is S= 2 5 3 1 4.
The In-Out table for the sequence S is
TABLE 3

M1

In Out

Ti,1 2

M2

Ti,2 3

In Out

M3
In - Out

0 6.0

7.0 11.0

12.0 17.4

6.2 12.2

16.2 18.2

19.2 24.2

12.6 16.7

18.8 22.8

24.8 27.6

17.3 22.7

24.7 26.8

28.8 32.6

23.6 28.2

30.2 32.5

35.5 37.8

As per step 10: The new reduced processing times after

breakdown effect are as follows

393

TABLE 4

A 'i1

Si1

Ti,1 2

A 'i 2

Si2

Ti,2 3

Ti,2 3

Si3

5.4

0.9

2.1

0.6

3.8

0.8

6.0

0.2

4.0

0.4

8.4

0.6

7.1

0.6

4.0

0.2

2.8

0.6

4.6

0.4

2.3

0.4

2.3

0.8

9.0

0.4

2.0

0.6

5.0

0.5

The optimal sequence is S = 2 5 3 1 4

The In-Out table for the sequence S ' is
'

TABLE 5

M1

In Out

0 6.0

7.0 11.0

12.0 20.4

6.2 15.2

19.2 21.2

22.2 27.2

15.6 22.7

24.7 28.7

30.7 33.5

23.3 28.7

30.7 32.8

34.8 38.6

29.6 34.2

36.2 38.5

41.5 43.8

Ti,1 2

M2

Ti,2 3

In Out

M3
In - Out

The total elapsed time is 43.8 units and Total expected idle
time on machines are:
M1 = 0.2+0.4+0.6+0.9+9.6 = 11.7 units,
M2 = 7.0+8.2+3.5+2+3.4+5.3 = 29.4 units and
M3 = 12.0+1.8+3.5+1.3+2.9=21.5 units
VI. APPENDIX
Programme
#include<iostream.h>
#include<stdio.h>
#include<conio.h>
#include<process.h>
int n, e,e1;
float a1[16],b1[16],c1[16],g[16],h[16],sa1[16],sb1[16],
sc1[16],g1[16],h1[16],a11[16],b11[16],c11[16];
float macha[16],machb[16],machc[16];
float macha2[16],machb1[16],machc1[16],macha11[16];
int group[16];//variables to store two job blocks
float minval,minval1;
int gg=0,gg1=0;int bd1,bd2;// Breakdown interval
float gcal,gcal1;float hcal,hcal1;
float gbeta=0.0,hbeta=0.0,gbeta1=0.0,hbeta1=0.0;
float galfa=0.0,halfa=0.0,galfa1=0.0,halfa1=0.0;
char s1[5],s11[5],s2[5],s21[5];
void ghcal(float k,float m)
{float minv;if(g[m]>h[k])minv=h[k];
else minv=g[m];gcal=g[k]+g[m]-minv;hcal=h[k]+h[m]-minv;}
void ghcal1(float k,float m)
{float minv1;
if(g1[m]>h1[k])minv1=h1[k];
else
minv1=g1[m];gcal1=g1[k]+g1[m]-minv1;
hcal1=h1[k]+h1[m]-minv1;}
void main()

{
clrscr();
int a[16],b[16],c[16],sa[16],sb[16],sc[16],T12[16],T23[16];
float p[16],q[16],r[16],u[16],v[16],w[16],maxv;
cout<<"How many Jobs (<=15) : ";cin>>n;
if(n<1 || n>15)if(n<1 || n>15)
{cout<<endl<<"Wrong input, No. of jobs should be less than
15..\n Exitting";getch();exit(0);}
for(int i=1;i<=n;i++)
{cout<<"\nEnter the processing time and its probability, Setup
time and its probability of "<<i<<" job for machine A and
Transportation time from A to B : ";
cin>>a[i]>>p[i]>>sa[i]>>u[i]>>T12[i];
cout<<"\nEnter the processing time and its probability, Setup
time and its probability of "<<i<<" job for machine B and
Transportation time from B to C : ";
cin>>b[i]>>q[i]>>sb[i]>>v[i]>>T23[i];
cout<<"\nEnter the processing time and its probability, Setup
time and its probability of "<<i<<"job for machine C:
";cin>>c[i]>>r[i]>>sc[i]>>w[i];
//Calculate the expected processing times of the jobs
a1[i] = a[i]*p[i];b1[i] = b[i]*q[i];c1[i] = c[i]*r[i];
//Calculate the expected setup times of the jobs
sa1[i] = sa[i]*u[i];sb1[i] = sb[i]*v[i];sc1[i] = sc[i]*w[i];}
cout<<"\nEnter the two breakdown interval:";cin>>bd1>>bd2;
cout<<endl<<"Expected processing time of machine A, B and
C: \n";
for(i=1;i<=n;i++)
{cout<<a1[i]<<"\t"<<sa1[i]<<"\t"<<T12[i]<<"\t"<<b1[i]<<"\t
"<<sb1[i]<<"\t"<<T23[i]<<"\t"<<c1[i]<<"\t"<<sc1[i];
cout<<endl;}
//Finding smallest in a1
float mina1;mina1=a1[1]+T12[1]-sb1[1];
for(i=2;i<n;i++){if((a1[i]+T12[i]-sb1[i])<mina1)
mina1=a1[i]+T12[i]-sb1[i];}
//For finding largest in b1
float maxb1;maxb1=b1[1]+T12[1]-sa1[1];
for(i=2;i<n;i++){if(b1[i]+T12[i]-sa1[i]>maxb1)
maxb1=b1[i]+T12[i]-sa1[i];}
float maxb2;maxb2=b1[1]+T23[1]-sc1[i];
for(i=2;i<n;i++){if((b1[i]+T23[i]-sc1[i])>maxb2)
maxb2=b1[i]+T23[i]-sc1[i];}
//Finding smallest in c1
float minc1;minc1=c1[1]+T23[1]-sb1[i];
for(i=2;i<n;i++){if((c1[i]+T23[i]-sb1[i])<minc1)
minc1=c1[i]+T23[i]-sb1[i];}
if(mina1<=maxb1||minc1<=maxb2)
{g[i]=a1[i]+b1[i]+maxv;h[i]=b1[i]+c1[i]-sc1[i];}else
{cout<<"\n data is not in Standard Form...\nExitting";
getch();exit(0);}
//Function for two ficticious machine G and H
for(i=1;i<=n;i++)
{if(sa1[i]>sb1[i]){maxv= sa1[i];}
else{maxv=sb1[i];}g[i]=a1[i]+b1[i]+maxv+T12[i];
h[i]=b1[i]+c1[i]-sc1[i]+T23[i]; }
cout<<endl<<"Expected processing time for two fictious

394

machines G and H: \n";

for(i=1;i<=n;i++){
cout<<endl; cout<<g[i]<<"\t"<<h[i];
cout<<endl; }
cout<<"\nEnter the number of fixed jobs in job block alpha
<="<<n<<":";cin>>e;
cout<<"\nEnter the fixed job blocks ("<<e<<" numbers from 1
to "<<n<<") alpha : ";
for(int y=1;y<=e;y++){cin>>group[y];}
cout<<"\nEnter the jobs having disjoint job block ( numbers
from 1 to "<<n<<" other than the fixed job block) beta:";
for(int j=e+1;j<=n;j++)
{ cin>>group[j]; }
float btj[16],btg[16],bth[16];
cout<<"Expected processing time for two fictious machines G
and H for Beta: \n";
for(i=1,j=e+1;j<=n;i++,j++)
{btj[i]=group[j];btg[i]=g[group[j]];bth[i]=h[group[j]];
cout<<endl<<btj[i]<<"\t"<<btg[i]<<"\t"<<bth[i];}
float mingh[16];char ch[16];
for(i=1;i<=n-e;i++)
{if(btg[i]<bth[i])
{mingh[i]=btg[i];ch[i]='g';}
else {mingh[i]=bth[i];ch[i]='h';}}
for(i=1;i<=n-e;i++)
{for(j=1;j<=n-e;j++)
if(mingh[i]<mingh[j])
{float temp=mingh[i]; int temp1=btj[i]; char d=ch[i];
mingh[i]=mingh[j]; btj[i]=btj[j]; ch[i]=ch[j];
mingh[j]=temp; btj[j]=temp1; ch[j]=d;} }
// calculate beta scheduling
float sbeta[16];int t=1,s=0;
for(i=1;i<=n-e;i++)
{if(ch[i]=='h'){sbeta[(n-s-e)]=btj[i]; s++;}
else if(ch[i]=='g')
{sbeta[t]=btj[i];t++;}}
cout<<endl<<endl<<"Beta Scheduling:"<<"\t";
for(i=1;i<=n-e;i++){cout<<sbeta[i]<<" ";}
//calculate G_Alfa and H_Alfa
ghcal(group[1],group[2]);galfa=gcal;halfa=hcal;i=3;
while(i<=e){if(i>e)break;else
{if(g[group[i]]<halfa)minval=g[group[i]];
else minval=halfa;galfa=galfa+g[group[i]]-minval;
halfa=halfa+h[group[i]]-minval;}i++;}
cout<<endl<<endl<<"G_Alfa="<<galfa;
cout<<endl<<"H_Alfa="<<halfa;
//calculate G_Beta and H_Beta
ghcal(sbeta[1],sbeta[2]);gbeta=gcal;hbeta=hcal;i=3;
while(i<=(n-e))
{if(i>(n-e))break;else
{if(g[sbeta[i]]<hbeta)minval=g[sbeta[i]];
else minval=hbeta;
gbeta=gbeta+g[sbeta[i]]-minval;
hbeta=hbeta+h[sbeta[i]]-minval;}i++;}
cout<<endl<<endl<<"G_Beta="<<gbeta;
cout<<endl<<"H_Beta="<<hbeta;
//calculate optimal sequence

if(galfa<=halfa)
{s1[1]='a';s2[1]='\0';}
else{s2[1]='a';s1[1]='\0';}
if(gbeta<=hbeta)
{s1[2]='b';s2[2]='\0';}
else{s2[2]='b';s1[2]='\0';}
int arr[16];
if(s1[1]=='a')
{
for(i=1;i<=e;i++)
{
arr[i]=group[i];}gg=gg+e;}
if(s1[2]=='b')
{
for(i=1;i<=n-e;i++)
{
arr[i+gg]=sbeta[i];}gg=gg+(n-e)+1;}
if(s2[1]=='a')
{
for(i=1;i<=e;i++)
{
arr[i+gg]=group[i];}gg=gg+e;}
if(s2[2]=='b')
{
for(i=1;i<=(n-e);i++)
{
arr[i+gg]=sbeta[i];}}
//calculating total computation sequence;
float time=0.0,macha1[16], maxv1[16],maxv2[16];
macha[1]=time+a1[arr[1]];for(i=2;i<=n;i++)
{macha1[i]=macha[i-1]+sa1[arr[i-1]];
macha[i]=macha1[i]+a1[arr[i]];}
machb[1]=macha[1]+b1[arr[1]]+T12[arr[1]];
for(i=2;i<=n;i++)
{if((machb[i-1]+sb1[arr[i-1]])>(macha[i]+T12[arr[i]]))
{maxv1[i]=machb[i-1]+sb1[arr[i-1]];}
else{maxv1[i]=macha[i]+T12[arr[i]];}
machb[i]=maxv1[i]+b1[arr[i]];}
machc[1]=machb[1]+c1[arr[1]]+T23[arr[1]];
for(i=2;i<=n;i++)
{if((machc[i-1]+sc1[arr[i-1]])>(machb[i]+T23[arr[i]]))
maxv2[i]=machc[i-1]+sc1[arr[i-1]];
else maxv2[i]=machb[i]+T23[arr[i]];
machc[i]=maxv2[i]+c1[arr[i]];}
cout<<"\n\n\n\t Optimal Sequence is : ";
for(i=1;i<=n;i++)
{cout<<" "<<arr[i];}
cout<<endl<<endl<<"In-Out Table is:"<<endl<<endl;
cout<<"Jobs"<<"\t"<<"Machine M1"<<"\t"<<"\t"<<"Machine
M2" <<"\t"<<"\t"<<"Machine M3"<<endl;
cout<<arr[1]<<"\t"<<time<<"--"<<macha[1]<<"
\t"<<"\t"<<macha[1]+T12[arr[1]]<<"--"<<machb[1]<<"
\t"<<"\t"<<machb[1]+T23[arr[1]]<<"--"<<machc[1]<<endl;
if((time<=bd1
&&
macha[1]<=bd1)||(time>=bd2
&&
macha[1]>=bd2)){a1[arr[1]]=a1[arr[1]];}
else{a1[arr[1]]+=(bd2-bd1);}

395

if((macha[1]+T12[arr[1]])<=bd1&&
machb[1]<=bd1||(macha[1]+T12[arr[1]])>=bd2&&
machb[1]>=bd2){b1[arr[1]]=b1[arr[1]];}
else{b1[arr[1]]+=(bd2-bd1);}
if((machb[1]+T23[arr[1]])<=bd1&&
machc[1]<=bd1||(machb[1]+T23[arr[1]])>=bd2&&
machc[1]>=bd2){c1[arr[1]]=c1[arr[1]];}
else{c1[arr[1]]+=(bd2-bd1);}for(i=2;i<=n;i++)
{cout<<arr[i]<<"\t"<<macha1[i]<<"--"<<macha[i]<<"
"<<"\t"<<maxv1[i]<<"--"<<machb[i]<<"
"<<"\t"<<maxv2[i]<<"--"<<machc[i]<<endl;
if(macha1[i]<=bd1 && macha[i]<=bd1 || macha1[i]>=bd2 &&
macha[i]>=bd2){a1[arr[i]]=a1[arr[i]];}
else {a1[arr[i]]+=(bd2-bd1);}
if(maxv1[i]<=bd1 && machb[i]<=bd1 || maxv1[i]>=bd2 &&
machb[i]>=bd2){b1[arr[i]]=b1[arr[i]];}
else{b1[arr[i]]+=(bd2-bd1);}
if(maxv2[i]<=bd1 && machc[i]<=bd1 || maxv2[i]>=bd2 &&
machc[i]>=bd2){c1[arr[i]]=c1[arr[i]];}
else {c1[arr[i]]+=(bd2-bd1);}}int j11[16];
for(i=1;i<=n;i++)
{ j11[i]=i;a11[arr[i]]=a1[arr[i]];b11[arr[i]]=b1[arr[i]];
c11[arr[i]]=c1[arr[i]];}
cout<<endl<<"Modified Processing time after breakdown for
the machines is:\n";
cout<<"Jobs"<<"\t"<<"MachineM1"<<"\t"<<"\t"<<"Machine
M2" <<"\t"<<"\t"<<"Machine M3"<<endl;
for(i=1;i<=n;i++)
{cout<<endl;
cout<<j11[i]<<"\t"<<a11[i]<<"\t"<<b11[i]<<"\t"<<c11[i];
cout<<endl;}
//Function for two ficticious machine G and H
for(i=1;i<=n;i++)
{g1[i]=a11[i]+b11[i]+maxv+T12[i];
h1[i]=b11[i]+c11[i]-sc1[i]+T23[i];}
cout<<endl<<"Expected processing time for two fictious
machines G and H: \n";
for(i=1;i<=n;i++)
{cout<<endl;cout<<g1[i]<<"\t"<<h1[i];cout<<endl;}
cout<<"\nEnter the number of fixed jobs in job block alpha
<="<<n<<":";cin>>e1;
cout<<"\nEnter the fixed job blocks ("<<e1<<" numbers from
1 to "<<n<<") alpha : ";
for(int y1=1;y1<=e1;y1++)
{cin>>group[y1];}
cout<<"\nEnter the jobs having disjoint job block ( numbers
from 1 to "<<n<<" other than the fixed job block) beta:";
for(int j1=e1+1;j1<=n;j1++)
{cin>>group[j1];}
float btj1[16],btg1[16],bth1[16];
cout<<"Expected processing time for two fictious machines G
and H for Beta: \n";
for(i=1,j1=e1+1;j1<=n;i++,j1++)
{btj1[i]=group[j1];btg1[i]=g1[group[j1]];
bth1[i]=h1[group[j1]];
cout<<endl<<btj1[i]<<"\t"<<btg1[i]<<"\t"<<bth1[i];}

float mingh1[16];char ch1[16];

for(i=1;i<=n-e1;i++)
{if(btg1[i]<bth1[i]){mingh1[i]=btg1[i];ch1[i]='g';}
else
{mingh1[i]=bth1[i];ch1[i]='h';}}
for(i=1;i<=n-e1;i++){for(j=1;j<=n-e1;j++)
if(mingh1[i]<mingh1[j])
{float temp1=mingh1[i]; int temp11=btj1[i]; char f=ch1[i];
mingh1[i]=mingh1[j]; btj1[i]=btj1[j]; ch1[i]=ch1[j];
mingh1[j]=temp1; btj1[j]=temp11; ch1[j]=f;} }
// calculate beta scheduling
float sbeta1[16];int t1=1,s1=0;
for(i=1;i<=n-e1;i++)
{if(ch1[i]=='h')
{sbeta1[(n-s1-e1)]=btj1[i];
s1++;}
else if(ch1[i]=='g'){sbeta1[t1]=btj1[i];t1++;}}
cout<<endl<<endl<<"Beta Scheduling:"<<"\t";
for(i=1;i<=n-e1;i++){cout<<sbeta1[i]<<" ";}
//calculate G_Alfa and H_Alfa
ghcal1(group[1],group[2]);
galfa1=gcal1;halfa1=hcal1;i=3;
while(i<=e1){if(i>e1)break;
else
{if(g1[group[i]]<halfa1)minval1=g1[group[i]];
else
minval1=halfa1;
galfa1=galfa1+g1[group[i]]-minval1;
halfa1=halfa1+h1[group[i]]-minval1;}i++;}
cout<<endl<<endl<<"G_Alfa1="<<galfa1;
cout<<endl<<"H_Alfa1="<<halfa1;
//calculate G_Beta1 and H_Beta1
ghcal1(sbeta1[1],sbeta1[2]);gbeta1=gcal1;hbeta1=hcal1;i=3;
while(i<=(n-e1))
{if(i>(n-e1))
break;
else
{if(g1[sbeta1[i]]<hbeta1)minval1=g1[sbeta1[i]];
else minval=hbeta;
gbeta1=gbeta1+g1[sbeta1[i]]-minval1;
hbeta1=hbeta1+h1[sbeta1[i]]-minval1;}i++;}
cout<<endl<<endl<<"G_Beta1="<<gbeta1;
cout<<endl<<"H_Beta1="<<hbeta1;
//calculate optimal sequence
if(galfa1<=halfa1)
{s11[1]='a';s21[1]='\0';}else{s21[1]='a';s11[1]='\0';}
if(gbeta1<=hbeta1)
{s11[2]='b';s21[2]='\0';}else{s21[2]='b';s11[2]='\0';}
int arr1[16];
if(s11[1]=='a')
{
for(i=1;i<=e1;i++)
{
arr1[i]=group[i];}gg1=gg1+e;}
if(s11[2]=='b')
{

396

for(i=1;i<=n-e1;i++)
{
arr1[i+gg1]=sbeta1[i];}
gg1=gg1+(n-e1)+1;}if(s21[1]=='a')
{
for(i=1;i<=e1;i++)
{arr1[i+gg1]=group[i];}gg1=gg1+e1;}
if(s21[2]=='b')
{
for(i=1;i<=(n-e1);i++)
{arr1[i+gg1]=sbeta1[i];}}
//calculating total computation sequence;
float macha11[16] ,maxv11[16],maxv21[16];
macha2[1]=time+a11[arr1[1]];
for(i=2;i<=n;i++)
{macha11[i]=macha2[i-1]+sa1[arr1[i-1]];
macha2[i]=macha11[i]+a11[arr1[i]];}
machb1[1]=macha2[1]+b11[arr1[1]]+T12[arr1[1]];
for(i=2;i<=n;i++)
{if((machb1[i-1]+sb1[arr1[i-1]])>(macha2[i]+T12[arr1[i]]))
{maxv11[i]=machb1[i-1]+sb1[arr1[i-1]];}
else
{maxv11[i]=macha2[i]+T12[arr1[i]];}
machb1[i]=maxv11[i]+b11[arr1[i]];}
machc1[1]=machb1[1]+c11[arr1[1]]+T23[arr1[1]];
for(i=2;i<=n;i++)
{if((machc1[i-1]+sc1[arr1[i-1]])>(machb1[i]+T23[arr1[i]]))
{ maxv21[i]=machc1[i-1]+sc1[arr1[i-1]]; }
else
{ maxv21[i]=machb1[i]+T23[arr1[i]]; }
machc1[i]=maxv21[i]+c11[arr1[i]];}
//displaying solution
cout<<"\n\n\n\n\n\t\t\t #####THE SOLUTION##### ";
cout<<"\n\n\t*****************************************
**********************";cout<<"\n\n\n\t Optimal Sequence
is : ";
for(i=1;i<=n;i++){cout<<" "<<arr1[i];}
cout<<"\n\n\\n\t Optimal Sequence is :";
for(i=1;i<=n;i++){cout<<" "<<arr1[i];}
cout<<endl<<endl<<"In-Out Table is:"<<endl<<endl;
cout<<"Jobs"<<"\t"<<"MachineM1"<<"\t"<<"\t"<<"Machine
M2" <<"\t"<<"\t"<<"Machine M3"<<endl;
cout<<arr1[1]<<"\t"<<time<<"--"<<macha2[1]<<"
\t"<<"\t"<<macha2[1]+T12[arr1[1]]<<"--"<<machb1[1]<<"
\t"<<"\t"<<machb1[1]+T23[arr1[1]]<<""<<machc1[1]<<endl;
for(i=2;i<=n;i++)
{cout<<arr1[i]<<"\t"<<macha11[i]<<"--"<<macha2[i]<<"
"<<"\t"<<maxv11[i]<<"--"<<machb1[i]<<"
"<<"\t"<<maxv21[i]<<"--"<<machc1[i]<<endl;}
cout<<"\n\n\nTotal Computation Time (T) = "<<machc1[n];
float sum1=0.0,sum2=0.0,sum3=0.0;
for(i=1;i<=n;i++)
{sum1=sum1+a11[i];sum2=sum2+b11[i];
sum3=sum3+c11[i];}float tt=machc1[n];
cout<<endl<<endl<<endl<<"Total Expected Idle Time on
Machine A: "<<(tt-sum1);

cout<<endl<<"Total Expected Idle Time on Machine B:

"<<(tt-sum2);
cout<<endl<<"Total Expected Idle Time on Machine C:
"<<(tt-sum3);
cout<<"\n\n\t*****************************************
*********************";
getch();
}
VII. CONCLUSION
In this paper, we have developed an algorithm to achieve
minimum makespan for three machines flow shop scheduling
in which processing time and independent setup time each are
associated with probabilities including the transportation time
and the jobs are processed in a string of disjoint job blocks.
Further the concept of non availability of machines for a
certain interval of time is also considered. The proposed
algorithm is easy to understand and will help he decision
makers in determining a best schedule for a given sets of jobs
to control jobs flow effectively. The study may further be
extended by introducing the concept of weighted job, sequence
dependent setup time, due date etc.
REFERENCES
I. Adiri, J. Bruno, E. Frostig and R.A.H.G. Kan(1989), Single machine
flow timescheduling with a single break-down, Acta Information, Vol.
26, No.7, 1989, pp. 679-696.
[2] Ahmad Pour Darvish Heydari, On flow shop scheduling problem with
processing of jobs in a string of disjoint job blocks: fixed order jobs and
arbitrary order jobs, JISSOR, XXIV, 2003, pp.39- 43.
[3] A,B.Chandramouli, Heuristic approach for n-jobs, 3-machine flow
shop scheduling problem involving transportation time, break down
time and weights of jobs, Mathematical and Computational
Applications, Vol.10, No.2, 2005, pp. 301-305.
[4] H. A. Camphell, R. A. Duder and M. L. Smith, A heuristic algorithm
for the n-job, m-machine sequencing problem, Management Science,
Vol. 16, 1970, pp. B630-B637.
[5] D. Gupta, S. Sharma and N. Gulati, n3 flow shop production
schedule, processing time, setup time each associated with probabilities
along with jobs in string of disjoint job-blocks, Antartica J. Math, Vol
8, No.5, pp. 443 457.
[6] Ignall and Schrage, Application of the branch-and bound technique to
some flow shop scheduling problems, Operation Research , Vol 13,
1965, pp.400-412.
[7] S. M. Johnson, Optimal two & three stage production schedule with
setup times included Naval Research Logistics Quarterly, Vol. 1, No.1,
1954, pp. 61-68.
[8] A. Khodadadi, Development of a new heuristic for three machines
flow-shop scheduling problem with transportation time of jobs, World
Applied Sciences Journal, Vol. 5, No.5, 2008, pp.598-601.
[9] P. L. Maggu and G. Das, Equivalent jobs for job block in job
sequencing, Operation Research, Vol. 14, No. 4, 1977, pp.277-281.
[10] P.Pandian and P.Rajendran, Solving constrained flow-shop scheduling
problems with three machines, Int. J. Contemp. Math. Sciences, Vol. 5,
No.19, pp. 921 929.
[11] T. P. Singh, On n x 2 flow shop problem involving job block,
transportation times & break- down machine times, PAMS XXI, 1985,
pp.1-2.
[12] Yoshida and Hitomi, Optimal two stage production scheduling with set
up times separated. AIIE Transactions, Vol. II, pp 261-263.
[1]

397

Enhancement of Associative rule based FOIL

and PRM Algorithms
Devashree Rai ,Student , A.S. Thoke, Member, IEEE and Keshri Verma

Abstract-- Classification is one of the important problems in

Data Mining. There are various methods of classification
available like Rule based method, Decision tree, Neural
network, and Bayesian networks. This paper focuses on
Associative rule based classifier. FOIL (First order Inductive
Learner) and PRM (Predictive Rule Mining) algorithms have
been analysed in this work. The proposed work is superior to
reported works in terms of memory requirements by
eliminating use of intermediate data structure without
sacrificing classification accuracy. The proposed work is an
enhancement of existing FOIL and PRM algorithms.
Index Terms--Association rules, classification, data mining,
first order inductive learner (FOIL) algorithm, predictive rule
mining (PRM) algorithm.

I. INTRODUCTION

lassification is a technique of data mining in which a

model or classifier is constructed to predict the class or
categorical labels of given data. Data classification is
two-step process. In first step classifier is created by
analysing training data. This step is known as learning step
of classification. Then in second step using classifier made
in first step, prediction of given data tuples are done.
Problem definition: let X be an arbitrary measurable
k
space, y 0,1 , and let D be an unknown distribution on
the product space X Y. Each element (x, y) in this space is
composed of an instance x and a label vector y, which is a
vector of indicators y
y1 ,......... . y k that specifies which
classes are associated with x. We assume that label vectors
sampled from D are sparse, namely, that Pr
y
s 1
j j
for some constant s. A classifier is a function h : X Y,
that maps an instance x to a label vector y h x
There are different classification techniques like Decision
Tree based Methods [1], Rule based methods [2], Memory

Devashree Rai is student of M.tech (Computer Technology),

Department of Electrical Engineering, National Institute of Technology,
Raipur-492010, India (e-mail: rai.devashree@gmail.com).
A. S. Thoke is Professor in Department of Electrical Engineering,
National Institute of Technology, Raipur-492010, India (e-mail:
asthoke@yahoo.co.in).
Keshri Verma is Assistant Professor in Department of Computer
Applications, National Institute of Technology, Raipur-492010, India (email: keshriverma@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

based reasoning [3], Neural networks [4], Naive Bayes and

Bayesian Belief Networks [5].
Rule based classification basically means the process of
using a training dataset of labelled objects from which
classification rules are extracted for building a classifier. In
short, we classify objects by using a collection of IFTHEN type rules.
A rule is an implication of the form X->Y, where X
represents the rule antecedent or condition and Y represent
the rule consequent or class label. In data it is found that the
items have closed relations in order to obtain the class label,
in paper [6] the researcher uses this association to detect the
class label of dataset.
FOIL is an inductive learning algorithm for generating
Classification Association Rules (CARs) proposed by Ross
Quinlan in 1993 [7]. This algorithm was further improved to
produce the PRM (Predictive Rule Mining) CAR generation
algorithm. PRM was than further developed by Xiaoxin Yin
and Jiawei Han[8] to produce CPAR (Classification based
on Predictive Association Rules) algorithm. These
algorithms are studied and compared for their performance
by Gupta et. Al [9]. In our proposed work we have
optimized PRM and FOIL algorithm to reduce its memory
complexity. Modification done in algorithms could be
adopted by CPAR algorithm to improve its performance.
II. ALGORITHM DESCRIPTION
In associative classifier, FOIL [7] is a basic algorithm
which is then improved as PRM and this PRM algorithm is
further improved as CPAR. Basic difference in these
strategies is in rule generation process. Foil generates rules
which are not redundant but to achieve this, it loses some
important rules. PRM extract these rules but with cost of
some redundancy. Some rule may be extracted more than
once. To remove these rules pruning of rule is also done in
PRM. CPAR also uses similar concept of PRM to generate
rule , but it can test more than one attribute at a time to
judge whether this attribute can also give some useful rule
or not. So more rules and less computation is needed in
CPAR in comparison to the PRM algorithm.
A. Foil Algorithm
FOIL (First Order Inductive Learner), proposed by Ross
Quinlan in 1993 [7], is a greedy algorithm that learns rules
to distinguish positive examples from negative ones. FOIL
repeatedly searches for the current best rule and removes all

398

the positive examples covered by the rule until all the

positive examples in the data set are covered. The algorithm
FOIL is presented below. For multi-class problems, FOIL is
applied on each class: for each class, its examples are used
as positive examples and those of other classes as negative
ones. The rules for all classes are merged together to form
the result rule set.
When selecting literals, Foil Gain is used to measure the
information gain for adding this literal to the current rule.
Suppose there are |P| positive examples and |N| negative
examples satisfying the current rule r's body.
After literal p is added to r, there are |P| positive and |N|
negative examples satisfying the new rule's body.
Then the Foil gain of p is defined as,

|P|
| P' |
}]
} Log {
Gain ( p ) | P ' | *[Log {
|P| |N |
| P' | | N ' |
Input: Training set D = (P Union N).
(P and N are the sets of all positive and negative
examples, respectively.)
Output: A set of rules for predicting class labels for
examples.
Procedure: FOIL
1. rule set R
2. While |P| > 0
3. N N, PP
4. Rule r empty rule
5. While |N| > 0 and r.length < max rule length
6. Find the literal p that brings most gain
7. According to |P| and |N|
8. Append p to r
9. Remove from P all examples not satisfying r
10. Remove from N all examples not satisfying r
11. End
12. R<- R Union {r}
13. Remove from P all examples satisfying r's body
14. End
15. Return R
In line 1 rule set R is initialized to null. Loop from line 2
to line 14 generate rule set iteratively. P and N are used to
store copies of P and N respectively. For each literal p gain
is calculated and one which is having maximum gain is
selected. In line 9, 10 examples not satisfying r is removed
from P and N. When condition in line 5 becomes false, in
line 12 rule set R is updated and all examples satisfying r are
removed from P. this process continuous till condition in
line 2 is true that is P is non-empty and at line 15 algorithm
gives classification association rules[6] as output.
B. PRM Algorithm
Predictive Rule Mining (PRM), an algorithm which
modifies FOIL to achieve higher accuracy and efficiency
[7]. The problem with FOIL algorithm is that it generates a
very small number of rules and therefore does not achieve
higher accuracy. In PRM, after an example is correctly
covered by a rule, instead of removing it, its weight is
decreased by multiplying a factor. This weighted version of
FOIL produces more rules and each positive example is
usually covered more than once. PRM gain is defined as

WP
WP '
} Log{
}]
Gain ( p) WP '*[Log{
WP WN
WP ' WN '

Where
WP = totalWeight (P)
WN = totalWeight (N)
WP' = totalWeight (P')
WN' = totalWeight (N')
Algorithm is as follows:
Input: Training set D = (P Union N). (P and N are
the sets of all positive and negative examples,
respectively.)
Output: A set of rules for predicting class labels for
examples.
Procedure: Predictive Rule Mining
1. Set the weight of every example to 1
2. Rule set R
3. Total Weight TotalWeight(P)
4. While TotalWeight(P) > (totalWeight)
5. N N, P P
6. Rule r empty rule
7. While true
8. Find best literal p
9. Append p to r
10. For each example t in P, N not satisfying r's body
remove t from P or N
11. End
12. R R Union {r}
13. For each example t in P satisfying r's body
14. t.weight (t.weight)
15. End
16. Return R
This algorithm also selects literal that have maximum
gain but instead of removing its weight is updated as in line
14. Rules generated from these algorithms are used to build
a classifier. But before making any prediction, every rule
needs to be evaluated.
C. Rules Evaluation
Rules are evaluated to determine its prediction power. For
a rule r p1 p 2 ........ p n
c we define its expected
accuracy as the probability that an example satisfying r's
Body belongs to class c. Laplace expected error estimate is
used to estimate the accuracy of rules, which is defined as
follows.
The expected accuracy of a rule is given by [12]:

LaplaceAccuracy

nc 1
ntot k

Where k is the number of classes, ntot is the total number of

examples satisfying the rule's body, among which nc
examples belong to c, the predicted class of the rule.
III. PROPOSED WORK
FOIL and PRM algorithms discussed uses two
intermediate data structures P and N to hold copies of P
and N (Positive and Negative examples respectively) in line
3 of Foil and line 5 of PRM. These P and N are used for
gain calculation in both the algorithms as well. P and N
take redundant memory allocation for positive and negative
examples. Maintaining such an copies of positive and
negative examples increases memory space required by the
algorithm.
In this paper we proposed enhanced version of FOIL and
PRM algorithm in terms of memory complexity. This is

399

done by eliminating use of intermediate data structures P

and N and accordingly modifying the formula for gain
calculation.

6. While true
7. Find best literal p
8. Append p to r
9. End
10. R R Union {r}
11. For each example t in P satisfying r's body
12. t.weight (t.weight)
13. End
14. Return R

The proposed Algorithm is as follows:

Input: Training set D = (P Union N).
(P and N are the sets of all positive and negative examples,
respectively.)
Output: A set of rules for predicting class labels for
examples.
Procedure: newFOIL
1. rule set R
2. While |P| > 0
3. Rule r empty rule, m= Number of examples in P ,
m= Number of examples in N
4. While m > 0 and r.length < max rule length
5. Find the literal p that brings most gain
6. Append p to r
7. m = m - |number of examples not satisfying r in P|
8. m = m - |number of examples not satisfying r in N|
9. End
10. R<- R Union {r}
11. Remove from P all examples satisfying r's body
12. End
13. Return R
In line 1 Rule set is initialized to null value. Line 2 starts a
loop which ends at line 11. In line 3 variable m is used
which contains number of examples in P and m which
contains number of examples in N. Gain is calculated by
the formula:

|P|
| P ~|
}]
} Log{
Gain ( p ) | P ~| *[Log{
|P| | N |
| P ~| | N ~|
Where
|P~|= number of examples in P satisfying p.
|N~|= number of examples in N satisfying p.
|P| = m
|N|= m

WP ~
WP
Gain ( p) WP ~ *[Log{
} Log{
}]
WP ~ WN ~
WP WN
Where
WP = totalWeight (P).
WN = totalWeight (N).
WP~ = totalWeight (P) satisfying p.
WN~ = totalWeight (N) satisfying p.
As in FOIL algorithm, PRM algorithm is also enhanced by
reducing memory space required by the algorithm as shown
above.
IV. EXPERIMENTAL WORK
The proposed algorithms are implemented in JAVA
version 1.6.0, i5 processor, and windows7 operating system.
The figures below gives the comparison between algorithms
in terms of memory used (in bytes). Figures have been
obtained using number of discretised/normalised data sets of
UCI machine learning repository [13] available at [14]. The
parameters for the individual algorithms are as follows:
FOIL: Maximum of 3 attributes in the antecedent
of a rule.
PRM: Minimum gain threshold = 0.7, total weight
threshold = 0.05, and decay factor = 2/3.
In experimental evaluation it is found that memory required
by proposed algorithm is less compared to existing
algorithm without affecting accuracy of the algorithms.
TABLE 1
COMPARISON BETWEEN MEMORY REQUIRED BY FOIL AND
NEWFOIL

Instead of using number of examples in P and N this

algorithm only uses P and N. In line 5 and 6 literal having
maximum gain value is selected and is appended to rule list
r. Value of m is updated in line 7.This process continuous
till condition in line 4 is true. In line 10 Rule list R is
updated to contain rule generated .line 11 removes all
examples in P satisfying rule r body. When P becomes
empty algorithm produce output R which gives required
classification association rules.
The proposed PRM algorithm also follows same approach
for optimization. The algorithm is as follows:
Input: Training set D = (P Union N). (P and N are
the sets of all positive and negative examples,
respectively.)
Output: A set of rules for predicting class labels for
examples.
Procedure: newPRM
1.
2.
3.
4.
5.

Set the weight of every example to 1

Rule set R
totalWeight totalWeight(P)
While totalWeight(P) > (totalWeight)
Rule r empty rule
400

Data Sets
anneal.D73.N898.C6
breast.D20.N699.C2
car.D25.N1728.C4
cylBands.D124.N540.C2
flare.D39.N1389.C9
heart.D52.N303.C5
horseColic.D85.D368.C2
pima.D38.N768.C2
pimaIndians.D42.N768.C2
ticTacToe.D29.N958.C2
wine.D68.N178.C3

FOIL
3964248
2651048
4627424
5285912
6279480
2642816
2973120
3306752
3636832
3303592
1982096

newFOIL
3303752
2320816
3303696
4295312
3964400
2312656
2643024
2646104
2646024
2973408
1651952

TABLE 2
COMPARISON BETWEEN MEMORY REQUIRED BY PRM AND
NEWPRM

Data Sets
anneal.D73.N898.C6
breast.D20.N699.C2
car.D25.N1728.C4
cylBands.D124.N540.C2
flare.D39.N1389.C9
heart.D52.N303.C5
horseColic.D85.D368.C2

PRM
4956976
2645656
7601296
5286224
6276760
2642952
2643160

newPRM
3303608
2315288
3303576
3964616
3964520
1982152
2312704

pima.D38.N768.C2
pimaIndians.D42.N768.C2
ticTacToe.D29.N958.C2
wine.D68.N178.C3

2973352
3303656
3303536
1982176

[3] Memory based reasoning (Data Mining Techniques), by M.J.A. Berry

and G.S Linoff, 2004
[4] R. Andrews, J. Diederich, and A. Tickle, A survey and critique of
Techniques for extracting rules from trained artificial neural
Networks,Knowledge Based Systems, vol. 8, no. 6, pp. 373389,
1995
[5] P. Langley, W. Iba, and K. Thompson, An analysis of bayesian
Classifiers, in National Conf. on Artigicial Intelligence, 1992, pp.
223 228.
[6] Liu B., Hsu W. and Ma Y. Integrating Classification and Association
Rule Mining. In Proceedings of the 4th International Conference on
Knowledge Discovery and Data Mining (KDD98), pages 8086,
New York, USA, August 1998. The AAAI Press.
[7] J. R. Quinlan and R. M. Cameron-Jones. FOIL: A midterm report. In
Proc. 1993 European Conf. Machine Learning, pp. 3{20, Vienna,
Austria, 1993.
[8] X.Yin and J.Han, CPAR: Classification Based on Predictive
Association Rules, Proceedings of SIAM International conference on
Data Mining, 2003, pp.331-335.
[9] Prafulla Gupta & Durga Toshniwal, "Performance Comparison of
Rule Based Classification Algorithms", International Journal of
Computer Science & Informatics, Volume-I, Issue-II, 2011, pp 37-42.
[10] W. Li, J. Han, and J. Pei. CMAR: Accurate and efficient classification
based on multiple class-association rules. In ICDM'01, pp. 369{376,
San Jose, CA, Nov. 2001.
[11] Thabtah, F., Cowling, P. and Peng, Y. H. (2004). MMAC: A New
Multi-Class, Multi-Label Associative Classification Approach. Fourth
IEEE International Conference on Data Mining (ICDM'04).
[12] Classification based on predictive association rule,Available
Online:http://www.csc.liv.ac.uk/~frans/KDD/Software/FOIL_
PRM_CPAR / cpar.html.
[13] uci:Blake,c.l.,&Merz,C.J(1998) UCI repository of machine leaning
data bases fromwww.ics.uci.edu/~mlearn /MLrepository .html
[14] Coenen, F. (2003), The LUCS-KDD Discretized/normalised ARM
and
CARM
data
library
http://www.csc.liv.ac.uk/~frans
/KDD/Software /LUCS_KDD_DN/, Department of Computer
Science, The University of Liverpool, UK

2312536
2312568
2642872
1651712

Fig.1. Memory comparison of FOIL and newFOIL

Fig. 2. Memory comparison of PRM and newPRM

A. Analysis
In experimental studies the graph shows that the proposed
Foil algorithm (Fig.1) reduces the memory requirements by
approximately 20 %, and proposed PRM algorithm ( fig.2)
reduces the memory requirement approximately by 26%.
Memory is one of the important issue while designing the
algorithm, thus proposed algorithm perform better than
existing FOIL and PRM algorithm.
V. CONCLUSION AND FUTURE WORK
Classification is one of the important problems for real
world data. Many experimental studies [8], [6], [10], [11]
showed that associative classifier has high potential that
constructs more predictive and accurate classification
systems than traditional classification methods like decision
trees [1]. There are much closed co-relations between the
item set, this theory is used to determine the class label of
dataset. In proposed paper we introduced enhanced FOIL
and PRM algorithm which gives the same accuracy but
reduces the space complexity of the algorithms. This novel
concept could be extended and applied to CPAR algorithm
to improve its performance in terms of memory requirement.
REFERENCES
[1] Quinlan, J. R. (1993). C4.5: Programs for Machine Learning. San
Mateo, CA: Morgan Kaufmann, San Francisco.
[2] P.Clark and T.Niblett.The cn2 induction algorithm.Machine
learning,2:261-283, 1989

401

Smart Grid in Bangladesh Power Distribution

System: Progress & Prospects
Taskin Jamal and Weerakorn Ongsakul
Abstract- Smart Grid is a modern concept which refers to
the conversion of the mainstream or typical electric power grid
to a modern power grid. This new conversion is a foreseeable
soultion to the power system problems of the modern century.
Rejuvenation of the current electric power distribution system
is an important step to implement the Smart Grid technology.
So, distribution system engineers should be acquainted with
the knowledge of Smart Distribution System. Also the
customers should acknowledge the benefits that they will be
enjoying from this modernized power system. This paper gives
a brief detail of Smart Grid. The focus of this paper is to
familiarize with Smart Grid perspective to Bangladesh where
the power system is very detailed, complex and quite aged. The
distribution system loss is high and the customers face daily
planned load shedding. To address the power crisis and other
problems, the conventional distribution system should be
restructured to smart distribution system which is a part of
Smart Grid. Though it is a very new and expensive concept, yet
Bangladesh Government has showed positive approach. The
main objective of this paper is to discuss the Smart
Distribution System, its importance in Bangladesh power
system and the progress & prospects.
Index Terms- Benefits; Communication Infrastructure;
Customer; Distributed Generation; Smart Grid; Smart
Distribution System; Smart Meter; System Loss.

I. INTRODUCTION

owadays people are more conscious about their

environment and sources of electric energy as they are
aware about global warming, energy efficiency, energy
conservation, rationale use of energy etc. The sources of
energy have a crucial impact on the climate change. People
have realized the necessity of green energy sources. Huge
amount of fossil fuels are burnt to supply the tremendous
amount of daily electricity, as a result the GHG emission is
increasing and polluting the climate. To improve the system
efficiency and utilize the energy precisely, new concepts
have evolved considering the demands of the people as well
as use of energy in most efficient way. Smart Grid is one
of the most remarkable and sustainable concepts nowadays
to provide secured, reliable, clean and high quality
electricity supply. As different types of customers demand,
the utilities need to provide better quality, more reliable
electricity at a fair cost.
Smart Grid is an ongoing development process which
supports the innovation in technology, conservation and

______________________________________________
Taskin Jamal and Dr. Weerakorn Ongsakul are with the Energy Field of
Study, School of Environment, Resources and Development, Asian Institute
of Technology (AIT), Thailand. (E-mail: taskinjamal@gmail.com,
ongsakul@ait.asia).

efficiency of energy use and the total management of

electric energy. It can be referred as the use of modern
developed communication and information system which
links a variety of customer equipments and assets together
with sensors to create a smart system. Smart Grid is more
intelligent,
efficient,
accommodating,
motivating,
opportunistic, quality focused, resilient and green compared
to our mainstream power grid.
Bangladesh, the 43rd largest economy in the world in
2010 has a vast and complex power distribution network.
With lots of problems in this sector, the implementation of
Smart Grid in the distribution sector is a challenging task. A
brief discussion about the advantages and importance of
smart distribution system has been presented in section two.
The distribution system of Bangladesh has been presented
and analyzed in section three. Section four and five will
present the potential benefits of Smart Grid in distribution
system and the progress & prospects in Bangladesh power
distribution system. Section six is the concluding remarks.
II. SMART GRID IN DISTRIBUTION SYSTEM
The distribution system is one of the most vital portions
of the total electric supply chain. The conventional
electricity distribution system has been designed for almost
a century without major changes. They have been designed
to satisfy the customers electricity requirements only. For
last few years the distribution system is estimated to support
services motivated by different forces that have exposed
different defficiencies of the infrastructure. Around 80% of
the customer power interruptions are caused due to faults in
the distribution system. Thus modernization of distribution
system is mandatory for the utilization of Smart Grid
effectively. Comparing with the traditional grid, a Smart
Grid includes advanced metering and billing techniques,
system automation, dynamic pricing techniques, demand
side management, congestion management, advanced
sensing, electric vehicle charging, energy storage, integrated
communication systems, modern technologies to support the
distributed generation, complete decision support, forecast
and human interfaces etc. which are more effective for the
distribution side. By recognizing the Smart Grid concept,
the power distribution system becomes more efficient, more
secured, self healing, reliable, optimized of assets and costs,
integrated with clean and green energy sources, flexible &
compatible, economical in operation, interactive and
realtime responsive, accommodated with storage options,
capable to provide excellent power quality, durable enough
against physical and cyber attacks and natural calamities,
capable of active participation by the customers.
The distribution system operated in a Smart Grid
platform is termed as Smart Distribution System [1]. The
main elements of smart distribution system are shown in
Fig.1. When the distributed power generation is connected

978-1-4673-0455-9/12/$31.00 2012 IEEE

402

to the main power stream in the network, the network is no

longer considered as a single supply power network. The
existing protection and control system must be changed and
redesigned to adjust the two way power flow through the
Smart Grid. Supervisory Control and Data Acquisition
System (SCADA), Geographic Information Systems (GIS)
etc. technologies can be used in this smart platform by the
utility operators, designers, planners and engineers to
facilitate the distribution system with more benefits [2].

Fig. 1: Major Constituents of Smart Distribution System

major obstacle in efficiently delivering power is caused by

the inefficient distribution system. It is estimated that the
total transmission and distribution losses in Bangladesh
amount to one-third of the total generation, the value of
which is around US$247 million per year. Bangladesh can
reduce electricity crises by minimizing technical and non
technical losses of the present electrical system. These
losses if effectively reduced can save around 250 MW
which is a significant amount of the total demand. Assuming
1 MW plant cost Tk 4 Crore1, it will save at least 1000
Crore and construction period of 3-4 years [5]. The govt. has
already taken various steps to improve and upgrade the
electricity distribution system, increase customer
satisfaction, reduce system loss and account receivable.
Some key statistics of power distribution system in
Bangladesh are shown in Fig. 2 and Table I and II [4]. Thus,
restructuring the power sector to increase the efficiency, a
good number of distribution utilities have been formed. The
object is to bring the commercial environment in the
electricty distribution business and to provide dynamic
environment to achieve the goal.
The electrification ratio in Bangladesh can be improved
by extending the rural electrification. Countrywide load
shedding can be reduced by adding and rehabilitating
generation capacity, and where necessary, upgrading the
transmission and distribution capacity. However, these
actions require huge capital investment, which is not
available in enough quantities today to make major
progress. The lack of capital investment is an indication of
fundamental problems within the sector.

III. ELECTRICITY DISTRIBUTION SYSTEM

SCENARIO IN BANGLADESH
In Bangladesh, the electrification rate is low and
approximately 49%, but reliable and quality power supply is
still a faraway. The power network of Bangladesh has its
installed capacity of 8,233 MW and maximum generation
capacity has not yet exceeded 5,300 MW [3]. The electricity
generation, transmission & distribution infrastructure is
quite old, small and poorly managed. Ample and reliable
supply of electricity is an important pre-requisite for
attracting both domestic and foreign investment. Per capita
electricity consumption in Bangladesh (236 kWh) is one of
the lowest in the world and is due to failure to manage the
assets in a proper way which leads to planned load shedding
in the urban as well as rural areas[4]. The government has
given top priority to the development of the power sector
considering its importance in overall development of the
country and has set the goal of providing electricity to all
citizens by 2020 [4].
A. Deficiencies
Problems include many aged infrastructures, high system
losses, delays in completion of new plants, low plant
efficiencies, erratic power supply, electricity theft,
blackouts, land crisis, overloading of system components,
inefficient planning, corruption and shortages of funds for
power plant operation and maintenance etc. These lead to
widespread load shedding resulting in severe interruption in
all important and economic activities. A recent inspection
reveals that power outages result in a loss of industrial
output worth US$1 billion a year which reduces the GDP
growth by about half a percentage point in Bangladesh. A

Fig. 2: Transmission & Distribution System Loss Statistics of the

Power Distribution System of Bangladesh
TABLE I: SERVICE VOLTAGE LEVEL IN
POWER DISTRIBUTION SYSTEM OF BANGLADESH

Demand Range
Less than 50Kw
50kW 5MW
5MW 15MW
More than 15MW

Supply Voltage
230/400 V
11 kV
33 kV
132 kV

_____________________________________________
1
US$1=75 Tk approx. & 1 Crore= 10 Million.

403

TABLE II: GENERAL INFORMATION OF

POWER DISTRIBUTION SYSTEM OF BANGLADESH

Item
Total No. of Customer
Total Dist. Line Length
Distribution Loss (Feb11)
T&D Loss (Feb11)

Number
12 Million
2,70,000 km
12.25%
14.37%

IV. BENEFITS OF SMART DISTRIBUTION SYSTEM

IN BANGLADESH
Through continuous observation and conduction of
research works, the utility experts and field engineers have
reached into a decision that, the urban as well as rural
customers of Bangladesh have to be more careful and honest
while they use electric power to ensure the maximum grid
efficiency and the generation of maximum revenue. Theyve
also said that the total demand deficiencies can be met up by
not only putting new generations into the grid but also by
ensuring the systematic use of current power supply. The
power distribution network of Bangladesh will enjoy all the
facilities and benefits of Smart Grid stated above if and if
the present system is greatly modified to a smart distribution
system. Thus the present problems like, planned load
shedding due to excessive demand than supply and
moderate quality of supplied power will be solved. Some
major benefits of smart distribution system for Bangladesh
are:
A. Reliable Power Supply
Power cut due to unexpected faults is a common incident
in Bangladesh. With the self healing and fast switching
characteristics of Smart Grid, the faults can easily be located
and cleared automatically. It reduces the outage time and
other realted costs. Consequently reactive power support
and voltage profile maintenance can also be managed.
B. Islanding
With the improved protection and control system; and
improved distribution and substation automation technology,
faults can be easily identified with location and the system
can be restored rapidly. So, any emergency power cut or
disturbance would not affect a huge geographical area. The
microgrid concept may come into action in this stage.
C. Distributed Energy Resources
Distributed generation (DG) is a very widespread and
well known topic today for power generation and
increasingly is becoming popular. In Bangladesh the
growing trend of consciousness for generating power from
PV solar among people has already been observed. In the
rural areas there are thousands of solar home systems
already existing. But those are not grid connected. The grid
connected systems will surely reduce the pressure from the
fossil fuels and could be an option for financial assistance to
rural families. It will reduce the high demand pressure from
the national grid. Using a battery backup system, the energy
can be used in night time too. In the urban areas the rooftop
solar power sources can replace the Instant Power Supply
(IPS) units in home. Even, for better performance interms of
technical and financial point of view, the DC electric
appliances instead of AC appliances can be installed in
urban area homes and commercial places.
D. Smart Metering Infrastructure
Smart meter will ensure the proper utilization of power,
reduce the power theft, send emergency information to
people and control the smart home appliances efficiently.
This creates huge amount of power savings and ensure the
overall security and safety of the distribution system. Smart
meter will decrease the hazards of manual billing too.

E. Security
With its intelligent control system, power theft and other
losses will be reduced. The sensors will react quickly
enough to measure any unusual activities in the grid.
F. Electricity Market
This innitiative will create a scope to make the present
electricity market a deregulated market. Thus new
competition, business and research areas will be created.
G. Load Shifting and Switching
Load shifting and electricity routing procedure will be
easier and automatic due to automated functions of Smart
Grid. The Supervisory Control and Data Acquisition System
(SCADA) will be a great help in this regard.
H. Economic Benefit
The above mentioned reasons reduce the extra
investment and maintenance cost that could be needed to
install extra power generation and distribution facilities,
which means less economic investment and civil works.
This savings may be utilized to further improve the existing
system.
I. Expansion Planning
Big cities are over populated with very less options
available for establishing required facilities in due time in a
right space. Application of GIS, one of the components of
Smart Grid will ease the procedure of decision making for a
network planner.
J. Digitization
Steps to implement Smart Grid by the Govt. of
Bangladesh will be a strong approach to make a Digital
Bangladesh. The government has declared the Vision
2021 which targets establishment of a resourceful and
modern country by 2021 through effective use of
information and communication technology - a "Digital
Bangladesh" [6].
The customers want a reliable, cheap and quality power
supply in an environment friendly manner. Considering all
the technical, economical, geographical, environmental and
social aspects, it can be stated that smart distribution system
is an inevitable choice for Bangladesh.
V. SMART GRID IN BANGLADESH POWER DISTRIBUTION
SYSTEM: WAYS TO THE ACHIEVEMENT
The daily power demand is increasing day by day in
Bangladesh. Thus to cope up the power shortage situation
and to continue with the same customer satisfaction level,
the utilities are forced to add many new generation facilities
of small capacities to its power grid. To make it happen
rapidly, those facilities are being installed in a quick rental
basis. But for a sustainable system and service, Bangladesh
needs a power system restructuring and some major
modifications. This restructuring must be in a way which
would satisfy the expectations of electric power industry in
the 21st century. To ensure this sustainablility, the inevitable
choice is Smart Grid. Materialization of these goals need
some steps to be considered into account, these are:
A. Implementing Smart Metering Infrastructure
Smart meter ensures the proper utilization of power by
reducing the power theft, sending emergency information to

404

customer, managing the dynamic electricity rate, peak load

shaving, controling the smart home appliances efficiently
etc. This will create huge amount of power savings and
ensure the overall security and safety of the system. Without
the advanced metering infrastrucuture (AMI), demand side
management (DSM) is very difficult. Considering the
national scenario, integration of smart meter should be
chosen in such a way as to accomplish the national needs.
Distribution authorities in the capital city Dhaka have
started installing Digital Programmable Energy Meters
equipped with automated meter reading (AMR) software
and remote data communication facilities for billing, energy
auditing, demand side management, data acquisition, load
disconnection/ reconnection, data monitoring and analysis
etc. recently.
B. Choosing the Appropriate Communication Infrastructure
The power network along with a secured and reliable
communication network will ensure the propoer control,
supervision and management of the system. The
communication backbone of Bangladesh is quite well
developed because of the vast development in the
telecommunication sector in recent years. Several wireless
and wired home networking technologies are currently
available to customers for a home area network (HAN). For
example, electrical wiring, telephone line, coaxial cable,
optical fiber, etc. But it is cumbersome to set up wired
network in home. Therefore it is preferable to use wireless
network [7]. Considering the speed and the sensitivity, WiFi and ZigBee are promising [8] [9]. But Wi-Fi or ZigBee is
too much expensive and thus not affordable to the common
people of Bangladesh. The existing strong GSM network
established by the mobile operators and the fiber optic
communication link of Power Development Board or
Bangladesh Railway are better and effective options. For
other communication purposes, power line carrier (PLC)
communication technique has several advantages for the
two way communication [10].
C. Utilization of Distributed Energy Resources
Distributed generation (DG) is becoming popular mainly
because of loss reduction, cost saving from transmission &
distribution network expansion as it is located near the load
centers and scarcity of conventional energy resources.
Bangladesh government has set up various rules for the
DGs, since November 2010 mandated the installation of
roof-top solar panels on all new high-rise buildings [11].
The total amount of power that has to come from rooftop
solar panels has been fixed as 3%, 7% and 5% for the
residential, commercial & industrial and garments industries
respectively. For the commercial & industrial and garments
industries, light and fan loads have been considered only. If
the loads are below 3kW, 3kW and 5kW for the residential,
commercial & industrial and garments industries
respectively, solar panel setup is not mandatory. To meet the
power crisis and resource scarcity, applications of either
stand-alone or grid connected PV systems would be very
effective and realistic for power addition. Near about
300MW of power can easily be generated from solar energy
to feed the national grid if solar PV systems are installed on
rooftops of 20,000 multistoried buildings in capital city,
Dhaka [12]. The national power grid in Bangladesh is not
much capable for massive integration of RE sources to its
system. Major renovation of the power infrastructure is

needed to support the bi-directional energy flow with smart

control functions. This will improve the reliability and
resiliency of the power grid. Bangladesh government has set
targets for developing RE resources to 5% of total power
demand by 2015 and 10% by 2020 [3]. Govt. has set target
of generating 500MW of green energy, almost ten times the
current amount by 2015, in an attempt to narrow the gap
between current supplies of grid electricity [11]. For this
purpose several techniques have been proposed. In [13], an
optimized design of grid-tied PV system without storage is
proposed which is suitable for Bangladesh as it requires less
installment cost and supplies residential loads when the grid
power is unavailable.
D. Customers Dilemma: Acceptance of New Technology
Unsatisfactory knowledge of customers in Bangladesh
on power systems and energy is a barrier for setting up some
programs to make them participate in the energy
management for the Smart Grid. Before the introduction of
Smart Grid technologies, it is a must that knowledge
exchanging programs to be run to make them familiarize
about the modern concepts. Customer satisfaction is one of
the main aims for the introduction of Smart Grid, so without
their proper knowledge and consent to bear the extra
expenses for the great modification it will be difficult to turn
up Smart Grid in Bangladesh.
E. Policies for the Roadmap
Creating a roadmap means proposing the concept and
configuration of the modern power grid, the planning
methods for overall improvement and promoting the
facilities of the grid which need extensive research and
studies. Strategies and development plans need to be applied
for preparing the roadmap of Bangladesh Smart Grid. For
the financing, planning, design, implementation, operation
and maintenance of Smart Grid, the govt. could form
policies, rules and regulations and well defined and
experienced body under the supervision of Ministry of
Power, Energy and Minerals of the Government of the
Peoples Republic of Bangladesh. Currently there is no
electricity market concept existing in Bangladesh power
system. Developing Smart Grid in Bangladesh will create a
deregulated and modern power market. Thus new
competition, business and research areas will be created and
will add benefits to its customers.
F. Planned Financial Investment
The government of Bangladesh has aimed at providing
electricity service to every people by the year 2020. The
installed capacity has been planned to increase to 17,765
MW by 2020. Huge expansion of transmission &
distribution lines has been planned. All these need
investment requirement of USD$4.5 billion and USD$7.0
billion during 2007-2012 and 2012-2020 time periods
respectively [14]. Only around one third of rural residents
have access to electricity and more than fifteen million
homes have yet to be connected to the grid. The foreign
investments and aids have to be carefully allocated and used
to improve this situation. The World Bank has invested for
the installations of solar power systems as a renewable
energy source and is helping for the promotion in the rural
areas where there is no electricity grid or the expansion of
grid network is economically not feasible. There are huge
amount of subsidies and facilities provided for the
installation of solar power systems for the rural areas by

405

different national and international organizations.

Maintaining proper coordination with the investors and
appropriate allocation of invested money, the existing poor
scenario of electrification ratio can be twisted very quickly.
The nationwide investments in power sector have to be
planned in such a way that will lead towards the future
intelligent power grid or the Smart Grid.
G. Political Willingness
The government has declared the targets of
establishment of a resourceful and modern country by 2021
through effective use of information and communication
technology. Bangladesh faces severe political turmoil which
is against the sustainable development of a country. It is
obvious that establishment of smart distribution system in
Bangladesh will be hampered and the progress will be
sluggish if the power sector is not been free from political ill
decisions and disturbances.
It is not feasible to apply all the elements of smart
distribution system right now in the existing network of
Bangladesh due to lots of problems. A drastic systematic
research and infrastructural developments are needed to
avail all the facilities of the modern distribution system to
the distribution system of Bangladesh.

[8]

[9]

[10]

[11]

[12]

[13]

[14]

VI. CONCLUSION
Smart Grid is an unavoidable choice for the attempt to
modernize the traditional power distribution system not only
in Bangladesh but also in all over the world. To achieve the
sustainable smart electricity distribution network we have to
study and realize the whole sector interms of financial,
economical,
political,
social,
decision
making,
industrialization, privatization, laws and regulations, market
concepts, technical advancements, knowledge sharing etc.
point of views. To ensure the reliability, stability, safety and
sustainability of the power supply and economic benefit of
the customers of Bangladesh, there is no alternative except
heading towards the Smart Grid, the modern grid concept
for 21st century.
VII. ACKNOWLEDGMENT
The authors gratefully acknowledge the financial and
technical contributions of the Government of Japan and
Energy Field of Study, Asian Institute of Technology (AIT),
Thailand to this research work.
REFERENCES
[1] H.E. Brown, S. Suryanarayanan, A survey seeking a definition of a
[2]
[3]
[4]
[5]
[6]
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Simulation of SVPWM Based FOC of CSI Fed

Induction Motor Drive
Deepak Ronanki, Rajesh.K and Parthiban.P, Member, IEEE,

Abstract The application of current source inverters (CSI)in

induction motor (IM) drives offers a number of advantages,
including voltage boosting capability, natural shoot-through
short-circuit protection and generation of sinusoidal voltages. In
this paper, an attempt to model the CSI fed IM drive is
presented. The mathematical model takes into account of the
inverter, and induction motor dynamics and is established in the
stationary reference frame. For controlling the drive speed, a
direct field-oriented control (FOC) is proposed. To counter the
effects of torque pulsations at very low speeds and the rotor
resistance variation, a slip angle compensation loop is included in
the control law formulation. Analytical expressions for CSI fed
IM with Direct FOC are derived and validated using
MATLAB/SIMULINK.
Index TermsCSI, Direct FOC, Induction Motor, MATLAB,
SVPWM.

I. INTRODUCTION

MONG all types of machines the squirrel cage induction

motors are most commonly used in the low and medium
power (<160kW) variable-speed drives [1]. Squirrel cage
induction motors are simple in construction, economical,
rugged, reliable, and are available in a wide power range [1].
Besides traditional industrial drives, i.e. pumps, fans, cranes,
automation drives, at present the induction motors are used in
hybrid electric vehicles (HEV) and battery powered electric
vehicle (BEV) providing high performance of torque control
[2]. In the field of wind energy systems, for the last decade,
the squirrel cage induction machines are increasingly
employed in multi stage geared small wind generation systems
(<100kW) with back-to-back converters connected to grid.
Generally, the two groups of power converter topologies
can be applied to variable speed IM drives: VSI (voltage
source inverter) and CSI (current source inverter). Nowadays,
the current regulated PWM VSI for a high performance ac
drive has been preferred to the CSI since the circuit cost is
low, the control is simple, and the current loop has a wide
bandwidth. However, it has drawbacks such as weakness to
Deepak Ronanki is presently pursuing M.Tech in Power and Energy
systems at National Institute of Technology Karnataka, Surathkal, Karnataka,
India-575025 (email:deepuronnitk@gmail.com)
Rajesh.K is with the Department of Electrical Engineering, Vignans
LARA Institute of Technology and Sciences, Vadlamudi, Andhra Pradesh,
India (e-mail: rajesh.kattiboina@gmail.com).
Parthiban.P are with the Department of Electrical Engineering, National
Institute of Technology Karnataka, Surathkal -575025, India (e-mail:
parthdee@nitk.ac.in).

arm short failure and high dv/dt due to the pulse width
modulated voltages of the inverter, and acoustic noise. The
dv/dt may cause an insulation deterioration of the motor
windings even though the acoustic noise can be eliminated by
the high switching frequency (>1MHz). In addition, since the
VSI does not keep a regeneration capability, the dynamic
braking circuit has to added.
The application of high switching frequency (>20 kHz)
silicon (Si) power transistors (IGBTs and RB-IGBTs) [3]-[5]
and recently, the application of high switching
frequency(>100kHz) silicon carbide (SiC) devices (SiCJFETs
and SiC diodes) [6]-[7] has an enormous influence on
applications of systems based on CSI and creates new
possibilities. With the increase of switching frequency the
volume of DC link inductors significantly decreases.
Moreover the volume of the output filter capacitors decreases
taking the fractional value of the VSI DC link capacitor. The
SiC devices offer the possibility of a high blocking voltage
and a low on-state resistance, which is the key parameter of
the CSI.
CSI-fed induction motor drives have generally been used
in high-horse power adjustable-speed applications. Many
strategies have been proposed for controlling the motion of
CSI-fed induction motor drives; to name a few, slip control,
synchronous control, angle control, field-oriented control, and
others. There are several requirements on designing a highperformance CSI-fed induction motor drive: the speed
responses must be smooth without cogging or torque
pulsations at low speeds; speed reversals are smooth under
loading conditions; the drive system has symmetrical four
quadrant operation; and the system is in constant full-torque
operation below the rated speed and in constant horsepower
operation at reduced flux above the rated speed. Among the
many proposed control schemes, the field-oriented control has
emerged as one of the most effective techniques in designing
high-performance CSI-fed induction motor drives.
There are several modulating techniques applied for the
CSI, including trapezoidal pulse width modulation (TPWM),
selective harmonic elimination (SHE), and space vector
modulation (SVM). Compared with TPWM and SHE, SVM
provides more control flexibility and better dynamic
performance.
This paper presents the mathematical model of IM,
SVPWM, FOC, and CSI. All the above mentioned
mathematical
models
are
implemented
in
MATLAB/SIMULINK by using only basic Simulink blocks.

978-1-4673-0455-9/12/$31.00 2012 IEEE

407

II. DESCRIPTION AND MODELING OF CSI FED INDUCTION

where

MOTOR DRIVE

Fig.1. shows the main circuit configuration of the sixswitch three-phase CSI. This inverter comprises a constant DC
power supply, an inverter section to convert the DC power to
the variable-voltage frequency AC power and an induction
motor at the load side. Moreover, three capacitors are
connected to the AC terminals to absorb the over voltages
which occur when the current is cutoff. The overvoltage
absorption capacitors which are connected to the AC terminals
function as a filter, therefore the output current has a
sinusoidal waveform.

Lr
is the rotor circuit time constant. Equations
Rr

(5) and (6) give rotor fluxes as functions of stator currents and
speed. Therefore, knowing these signals, the fluxes and
corresponding unit vector signals can be estimated. The
electromechanical block configuration is based on the
following equations. With the rotor voltage vector normally
assumed zero, the torque equation in excitation reference is
expressed as

3P Lm
( )( d r iqs qr ids )
4 Lr

(7)

The load dynamics block is based on below equation

dm
T TL
B
m
dt
Jm
Jm JL

(8)

From equation (9), the slip frequency r can be calculated

and fed back into the electromechanical block

Fig. 1. A Generalized six-switch three-phase CSI

A. Mathematical model of Induction Motor

The model of the induction motor consists of three-phase
to two-phase transformation equations, electro-mechanical
equations and load dynamic equations. Consider that three
phase sinusoidal currents are impressed in the three phase
stator windings, which are given as
(1)
iA Im sin(t )

iB Im sin(t

2
)
3

(2)

iC Im sin(t

2
)
3

(3)

P
m
2

(9)

where dr& qr are d, q axis fluxes linkages; ids& iqs d, q-axes

currents; Lm is mutual inductance between the phases; Lris
rotor inductance; P is no of poles; TL is load torque; m is
mechanical speed of the motor; Jm is moment of inertia of
motor; JL is moment of inertia of load.
B. Modeling of current source inverter

The three-phase current source are transform into two phase

i.e. abc to d-q transformation. The current equations for phase
transformation as follows:

2
2

cos(t ) cos(t ) cos(t ) iA

id
3
3
iB

iq sin(t ) sin(t 2 ) sin(t 2 ) i
3
3 C

(4)

d d r Lm
1

ids r qr dr
r
r
dt

(5)

d qr
dt

Lm

iqs r dr

qr

Fig. 2. Switching States for a Current Source Inverter

(6)

The switching pattern design for the CSI should generally

satisfy two conditions: 1) DC current Idc should be continuous,
and 2) the inverter PWM current iA, iB, iC should be defined.
The two conditions can be translated into a switching
constraint: At any instant of time (excluding commutation
intervals), there are only two sets of series connected switches

408

conducting, i.e., one set in the top half of the bridge such as S1
in Fig.1 and the other in the bottom half of the bridge such as
S2 . The switching function for switch Sm is defined as

Sm

0 Sm open
1 Sm closed

m 0,...6

(10)

where r

current reference i*ds is obtained from rotor flux reference

input r * as follows

i
*
ds

The switching constraint be satisfied if following equations

are hold good

S1 S3 S5 1
S 4 S6 S 2 1

Ls
is the rotor constant. The stator direct-axis
Rs

r*

(15)

Lm
CSI

(11)

ib

idc

Gate pulses
SVM
BLOCK

Rotor
reference flux
r*

idr*
Calculation

iqs*
iqr*
calculation

T e*

id
Rotor flux
calculation

iq

abc
dq

Speed reference

Fig. 3. Block Diagram of SVM based FOC of CSI fed IM drive

The rotor flux position e required for coordinate

transformation is generated from the rotor speed m and r

e (m r )

III. DIRECT FIELD ORIENTATION CONTROL OF INDUCTION

MOTOR DRIVE
The essence of the FOC is the decoupled control of the
rotor flux r and electromagnetic torque Te these two
variables are controlled separately.
The induction motor is fed by a current-controlled space
vector modulated inverter. The motor speed is compared to
*
the reference and the error is processed by the speed
controller to produce a torque command T*e. The block
diagram given in fig.3 shows a variable speed induction motor
drive using field-oriented control.
The stator quadrature-axis current reference i*qs is calculated
from torque reference Te*as given in (13)

(14)

(16)

The slip frequency is calculated from the stator reference

current iqs and the motor parameters in (17)

Lm Rr *
i
r Lr qs

(17)

The i*qs and i*ds current references are converted into phase
current references i*A, i*B and i*C then given as input to the
SVM block.
IV. MODELING OF SPACE VECTOR PULSE WIDTH
MODULATION
A. Space Current Vectors
A space current vector in complex notation is given by

(13)

where Lr is the rotor resistance, Lm is the mutual inductance

and r is the estimated rotor flux linkage given by (14)

Lmids
1 s

Calculation

(12)

From equations (12) modeling of the CSI was built in

MATLAB/SIMULINK.

abc
dq

Speed
Controller

iA ( S5 S2 ) I dc

2 2 Lm Te*
i
3 P Lr r

ids

Speed
sensor

iA ( S1 S 4 ) I dc

*
q

IM

ia

There are nine out of 32 switching states developed from

equation11. To generate a given set of ac line current
waveforms, the inverter must move from one state to another.
Thus, the resulting line currents consist of discrete values of
current, which are Idc, 0, Idc. The selection of the states in order
to generate the given waveforms is done by the modulating
technique that should ensure the use of only the valid states 9.
These valid 9 states are shown in theFig.2. The CSI output
three-phase currents iA, iB and iC are the functions of the DClink current Idc and the switching functions g= [S1, S2, S3, S4,
S5, S6] as follows:

iA ( S3 S6 ) I dc

ic

2
(18)
(iA aiB a 2ic )
3
2

j
where a e 3 The PWM CSI uses six unidirectional
Ik

switches to connect the dc current source to the load. Two

switches in two different legs, one in the upper switch bridge
(S1; S3; S5) and the other in the lower switch bridge in Fig.1
are allowed to conduct at any instant. It is noted that there
409

should always exist a current path in the CSI. If not, a high

voltage at open terminal is induced so that the switch might be
destroyed. The CSI can generate only six effective space
vectors and three zero vectors. The zero vectors mean that
both the upper and lower switches in the same arm are turn-on
state simultaneously. The space current vectors are illustrated
in Fig.4.

in one sampling period Ts made up of the currents provided by

the vectors Ik, I(k+1) and Iz used during times T1, T2 and Tz is on
average equal to the current reference vector Iref the dwell time
can be obtained by

T1 maTs sin( (n 1) )
6
6

(22)

T2 maTs sin( (n 1) )
6
6

(23)

Tz Ts T1 T2

(24)

where ma

I ref
I dc

I1
is modulation index, I1 is the peak
I dc

value of the fundamental frequency component of ( i A, iB and

iC ) and n is sector number.
TABLE I
SWITCHING STATES AND SPACE VECTORS

Type

ZERO
STATES

Fig. 4. Space Vector Diagram for Current Source Inverter

The main function of SVM block is to generate six switching

pulses to six switches of the CSI inverter so that the desired
phase currents are obtained. The input to the SVM block is the
three reference currents i*A, i*B and i*C and the DC link current
Idc.

1
id 2

iq 3 0

1
2
3
2

1 i
A
2
iB
3
iC
2

arctan( q )
id

Inverter pwm
current

iA

iB

iC

Space
vector

[14]

S1,S4

I0

[36]

S3,S6

I0

[52]

S2,S5

I0

[61]

S6,S1

Idc

-Idc

I1

[12]

S1,S2

Idc

-Idc

I2

[23]

S2,S3

Idc

-Idc

I3

[34]

S3,S4

-Idc

Idc

I4
I5
I6

[45]

S4,S5

-Idc

Idc

[54]

S5,S6

-Idc

Idc

(19)

This transformation can be used with three phase currents

associated with three-phase six-switch current source
inverters. From which we can calculate iref , as

iref id2 iq2

ACTIVE
STATES

Switching On-state
State
switch

(20)

(21)

B. Dwell Time Calculations

The dwell time calculation is based on ampere-second
balancing principle, i.e, the product of the current reference
vector Iref and sampling period Ts equals the sum of the
current vectors multiplied by the time interval of chosen space
vectors. Assuming that the sampling period Ts is sufficiently
small, the current reference vector Iref can be considered
constant during Ts. So can be considered constant during Ts.
So Iref can be approximated by two adjacent active vectors Ik,
I(k+1) and a zero vector Iz. To ensure that the generated current

C. Switching sequence
The PWM switching pattern for the CSI must satisfy a
constraint, i.e, only two switches in the inverter conduct at any
time instant, one in the top half of the CSI bridge and the other
in the bottom half. Under this constraint, the three phase
inverter has a total of nine switching states as listed in Table I.
These switching states can be classified as zero switching
states and active switching states. There are three zero
switching states (14), (36), and (52). The zero state (14)
signifies that switches S1 and S4 in inverter phase leg A
conduct simultaneously and the other four switches in the
inverter are OFF. The DC current source Idc is by passed,
leading to iA = iB = iC = 0. This operating mode is often
referred to as by-pass operation. There exist six active
switching states. State [12] indicates that switch S1 in leg A
and S2 in leg C are ON. The DC current Idc flows through S1,
the load, S2, and then back to the DC source, resulting in iA =
Idc and iC = Idc. The definition of other five active states is
given in the Table I.

410

TABLE II
COMPARISON OF CSI MODULATION TECHNIQUES

V. SIMULATION RESULTS AND DISCUSSIONS

The comparison of CSI modulation techniques is shown in the
Table II. The Direct FOC scheme for CSI fed Induction Motor
drive has been simulated in MATLAB/SIMULINK. The
simulation parameters have been given in appendix. The
simulated waveforms of DC current, motor current, reference
torque, estimated torque, reference speed and actual speed are
shown in Figs.5-9. The simulation is carried out for two
different cases. In case-I with Different Reference Speeds at
constant load torque and case-II with Different Load Torques
at constant reference speed.

Fig. 6. The waveform of the Reference Speed and Actual Speed of the motor
when the r=130 rad/sec

Case-I: In this section the behaviour of Induction motor at two

reference speeds are observed. When Idc = 20A, Kp=3, and
Ki=0.000004. Different reference speeds are applied at 0.2sec.
for this case the simulated waveforms are shown in figs.5-7.
The Fig.5 shows the waveform of inverter input DC current
and motor input i.e. stator current of phase A. The Fig.6 shows
the waveform of the Reference Speed and Actual Speed of the
motor when the r =130 rad/sec. The Fig.7 shows the
waveform of the Reference Speed and Actual Speed of the
motor when the r =110 rad/sec.
Fig. 7. The waveform of the Reference Speed and Actual Speed of the motor
when the r =110 rad/sec

Case-II: In this section the behaviour of Induction motor at

two different load torques are observed. When Idc = 20A,
Kp=3, and Ki=0.000004. The two different load torques are
applied at 1.2sec. The Fig.8 shows the wave form of the
Reference Torque and Actual Torque of motor when the T L is
at 10N-m. The Fig.9 shows the wave forms of the Reference
Torque and Actual Torque of motor when the T L is at 5N-m.

Fig. 5. The waveforms of Inverter Input (DC current) and Output (Stator
current)

Fig. 8. The waveforms of the Reference Torque and Actual Torque of motor
when the T L is at 10N-m

411

[6]

[7]

[8]

[9]

[10]
Fig. 9. The waveforms of the Reference Torque and Actual Torque of motor
when the T L is at 5N-m

[11]

VI. APPENDIX
Parameters used in the simulation are Rated power
(P)=7.5kW, V=220V, f=50Hz, r=1440rpm. The Induction
motor parameters are Stator resistance (Rs)=0.294, Stator
inductance (Ls)=0.0425H, Stator leakage reactance (Xls)=
0.524, Rotor resistance (Rr)=0.156, Rotor inductance
(Lr)=0.0418H, Rotor leakage inductance referred to stator
(Xlr)= 0.0418H, Jm=0.4kg-m2, B=0.062, P=4.

[12]

[13]

[14]

[15]

VII. CONCLUSIONS
This paper presents advantages of CSI compared to VSI
due to advancements in power semiconductor devices used in
CSI which is best suited for variable speed drive applications.
In this paper, the mathematical model of CSI, Induction
Motor, SVPWM and control of IM with direct FOC has been
explained in detail. Analytical expressions for CSI fed
Induction Motor with Direct FOC are derived and validated
using MATLAB/SIMULINK by using only basic Simulink
blocks. The switching time calculations and switching states
are discussed in detail. The proposed scheme control of CSI
fed Induction motor drive has good dynamic performance.
VIII. REFERENCES
[1]
[2]

[3]

[4]

[5]

Bimal K. Bose: Power Electronics And Motor Drives: Advances

andTrends, Elsevier, 2006.
Adamowicz, M.; Morawiec, M.; , "Advances in CSI-fed induction motor
drives," Compatibility and Power Electronics (CPE), 2011 7th
International Conference-Workshop , vol., no., pp.276-282, 1-3 June 20
Yun Wei Li, Manish Pande, Navid Reza Zargari, Bin Wu; An
InputPower Factor Control Strategy for High-Power CurrentSourceInduction Motor Drive With Active Front-End,. IEEE Tran. On
Powerelectronics , Vol.25, No.2, pp.352-359, February 2010.
Eduardo P. Wiechmann, Pablo Aqueveque, Rolando Burgos, Jos
Rodrguez;On the Efficiency of Voltage Source and Current Source
Invertersfor High-Power Drives,. IEEE Tran. On Industrial electronics
, Vol.55, No.4, pp.1771-1820, April 2008.
Fuchs F., Kloenne A; DC link and Dynamic Performance Features of
PWM IGBT Current Source Converter Induction Machine Drives with
Respect to Industrial Requirements,. Proc. IEEE Conference IPEMC
2004 , Vol.3, 14-16.

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Colli V.D., Cancelliere P., Marignetti F., Di Stefano R; Voltage

controlof current source inverters,. IEEE Tran. On Energy Conversion,
Vol.21, No.2, pp.451-458, June 2006.
T. Friedli, S. Round, D. Hassler, J. W. Kolar,; Design and
Performanceof a 200-kHz All-SiC JFET Current DC-Link Back-to-Back
Converter,.IEEE Tran. On Industry Applications, Vol.45, No.5,
pp.1868-1878, Sep/Oct 2009
Parthiban, P.; Agarwal, P.; Srivastava, S.P.; , "A Simplified SpaceVector Modulated Control Scheme for CSI fed IM drive," Power
Electronics, Drives and Energy Systems, 2006. PEDES '06.
International Conference on , vol., no., pp.1-6, 12-15 Dec. 2006
Cass C. J., Wang Y., Burgos R., Chow T. P., Wang F., Boroyevich
D;Evaluation of SiC JFETs for a Three-Phase Current-Source
Rectifierwith High Switching Frequency,. Proc. Twenty Second
AnnualIEEE Applied Power Electronics Conference APEC 2007,
pp.345-351.
M. Salo and H. Tuusa,; A vector-controlled PWM currentsource
inverter fed induction motor drive with a new stator current control
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N. R. Zargari, S. C. Rizzo,; A New Current-Source Converter Usinga
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Source Inverter Fed Induction Motor Drive with Minimal Harmonic
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Chang-Huan Liu, Chen-Chain Hwu, and Ying-Fang Feng; Modelling
and Implementation of a Microprocessor-Based CSI-Fed Induction
Motor Drive Using Field-Oriented Control. IEEE Tran. on IPCSD,
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TakayoshiNakano; Performance Improvement of Current Source
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sons, Inc, Publication

Online Transaction Processing using Enhanced

Sensitive Data Transfer Security Model
Sona Kaushik, Shalini Puri

Abstract-- As with any information processing system,

authentication and reliability are considerations, online
transaction system are generally more susceptible to direct
attack and abuse than their offline counterparts. With the
increasing popularity of the internet, the e-commerce market
has grown rapidly in recent years. The Secure Electronic
Transaction System to process securely electronic transaction is
currently the main e-commerce application and due to
increasing malicious activities, it requires fiddly approaches to
be introduced. In this work, an algorithm is introduced which
works to secure the critical information shared during the
online transaction processing (OLTP).
Index Terms-- OnLine Transaction Processing Security,
Sensitive data transfer security, Barcode security.

I. INTRODUCTION

NLY retailing around the globe has grown at its fastest

rate since recent years. In United States, the amount of
money spent by consumers shopping online increased by
33.4% in year 2006 which has almost tripled over the last five
years. Most of the customers prefer online shopping rather
than in-store shopping. In addition, it is more convenient to
do online transactions for money transfers or utility bill
payments. These online transactions [1] [8] require the
sharing of critical and sensitive information like credit card
number and card verification value.
During on - line transaction, sensitive information is
exchanged and encrypted between the visiting website and
Web Browser with the use of secure connection. Certificates
are used to provide encryption through a document the
website provides. When we send information to the website, it
is first encrypted at our computer and then decrypted at the
website. Under normal circumstances, the information cannot
be read or tampered with while it is being sent, but it's
possible that someone might find a way to crack the
encryption.
Additionally, the secure connection between the computer
and the website does not mean that the visiting website is
Sona Kaushik is currently pursuing M. Tech. degree program in computer
science from Birla Institute of Technology, Mesra, India.
E-mail:
sonakaushik22@gmail.com
Shalini Puri is currently pursuing M. Tech. degree program in computer
science from Birla Institute of Technology, Mesra, India. E-mail:
eng.shalinipuri30@gmail.com

reliable. In other words, it raises a big question mark about

the web site authenticity and reliability. So, it does not ensure
us that the website is trustworthy and privacy can be
compromised by the way, the website uses or distributes
critical information.
Therefore, such challenges and problems make us to rethink on the method used to protect the critical and delicate
information during the on line transactions. Our work aims
to put such effort forward in this direction, which can protect
the information being transferred in any way against the
attacks and untrustworthiness.
Section II discusses the background related to the research
work done on the existing and current systems. In section III,
the proposed work is discussed in detail that how the OLTP
can be made secured and safe. Finally, section IV concludes
this research work.
II. RELATED INSIGHTS
With the technical encouragement and increased usage of
transaction systems, the demand of assets and robust security
of critical and sensitive data are significantly required to
ensure about the related concerns. A lot of investigation work
has been done on such systems to provide the high security to
such type of data.
In recent decades, the research work on the security of On
Line Transactions has been a hot area to provide safe and
protective environment around the globe. In this field and in
the related application sectors, lots of researchers are doing
significant work. Lot of studies put their efforts and provide
the baseline for the online transactions, vendors [1], and
management systems for E. Commerce.
To build Internet trading platform [4], human resource
training and development, online stock broker and online
trading system are developed. Some rating agencies [5] are
also working for peer-to peer online transactions securely.
SET is the demanding transaction system, which provides
a ways for secure transactions. Such systems are widely used
in the different organizations and projects. In recent areas,
many studies [6] and research work has been done on SET. In
addition to this, the features of online shopping are frequently
used and therefore, it requires online shopping related
security measures [7] and transactions. Some models show
that digitally sign transactions can be performed in an untrusted environment using multi-agents [8] securely. It shows

978-1-4673-0455-9/12/$31.00 2012 IEEE

413

an agent-based scenario for e-Payment.

III. PROPOSED FRAMEWORK
Work related to sensitive data transfer secure (SDTS)
algorithms have been proposed by the author(s) in the study
of barcodes, security and applications of the same [10]. The

revised model of SDTS is proposed underneath providing the

benefits of the following. Firstly, this makes the system more
complex at byte level and thus, difficult to predict by the
hackers. Secondly, provides tightly coupled security because
of increased complexity of the system.

Fig. 1. Flow of Enhanced SDTS.

414

As is in the case of previous versions of SDTS model, it is

converting the secure information into barcodes first, do some
pixel manupulations and then convert the barcode image into
byte arrays. Finally, it encrypts the bytes using standard RSA
(Rivest, Shamir, and Adleman) algorithm.
The detail view of the enhanced model is shown in figure 1
is the revised model [9]. In reference to the online transaction
processing applications [10], the information to be processed
is not taken to be flowed over the network, but a
corresponding security key is picked from database table to
secure the real information from being exposed on the
network.
Then secure/secret key before exposing to the network is
processed under various layers changing the face of the
information. A quick response barcode is created for the key
and splitten into two identical barcode like images, using
terminology explained in previous versions [9-10], called
False Images. Each false image is converted to a byte array.
Unlike the previous SDTS versions, each byte array is
further splitten to two; picking all the odds together and all
evens together. Then these odds and evens are combined in
sequence. The idea is to scramble the array in a predefined
manner such that it gets tougher to identify the information
within the arrays.
The transformed array is then encrypted using the RSA
algorithm. The key management for the same is out of scope
in this work. The two encrypted secure files are sent over the
network with some random time difference of 3 to 7 minutes.

IV. IMPLEMENTATION
The top view of the enhanced structure is shown in figure
2. There are seven layers in the model and each has its own
role and dependency. The secure secret key layer fetches the
secret key from the database. The mapped key from the
database is called Secure Secret Key which is fed as an input
for Quick Response Barcode layer. In this layer, the secret key
is converted to QR barcode using QR Barcode convertor. For
the purpose ZXing library [11] can be used. This library is
available open source. The following code snippet can be
referred.
QRBarcode qr = new QRBarcode();
qr.encode(secureKey);
The identical looking false barcodes are created by
manipulating the pixels of the image [11]. These barcodes
seems to be the original barcodes, though are not the
authentic barcode. These barcodes are then transformed to
byte arrays. Unlike the previously proposed SDTS model, the
bytes are played around in these byte arrays and each is slitten
into two forming Even and Odd byte arrays. Then these
arrays are joined together in the specified format discussed in
earlier section and encrypted to form secure files. Then these
secure files are sent over network for which a random time is
set using following code snippet:
3 + (Math.random() *( (7 3)+1))

Fig. 2. Top View of Enhanced SDTS.

415

The implementation involves the number of APIs

(Application Programming Interfaces) projected. Refer the
detail view of the enhanced SDTS model [figure 3].
A request object from the application is created name here
as request a. Request a will do the connection set up using a
connection listener. At the SDTS layer, a socket queue will
listen the request and queues it. The request is read by the
socket reader which is further handled by the Thread
Request handlers. The thread request handler will create
anther request object named as request b to communicate
with database, that is, a database connection is setup. Using
connection listener, request b hits the Request Parser which
identifies the secure key from database.

Database returns a response object, response b to the

request parser. Request parser then returns this response
object to the thread request handlers.
Further the secure key extracted from database is sent to
the generator API for quick response barcodes. This API
creates a QR barcode for the secure key and passes them to
splitter API. Using the Logic APIs pool, the splitter API
creates false images of barcodes. Each of the false image is
introduced to the Byte Array Formulator. It uses the API
from Logic pool and splits each byte array to their odds and
evens byte arrays and recombines them in sequence. In this
work, the recombination logic is static but can be further
enhanced to dynamic logic pulling structure.

Fig. 3. Detail Structure of Enhanced SDTS.

Recombination logic states that for each array named as

Base array1 and Base array2, two arrays are further
assigned; one is named as Odd byte array1 and another as
Even byte array1. All the odd bits are picked from the base
array1and dumbed in Odd byte array1. Similarly, all even bits
are picked from the base array and dumped in even byte
array1. Further these Odd byte and even byte arrays are kept
sequentially and base array content is replaced by this.

Thus, the final products from the array formulator; the two
arrays are encrypted using RSA standard algorithm. The two
encrypted files are then shared with user by exposing them on
the network to the user destination network.
V. CONCLUSION AND FUTURE ACTIVITY
The current ongoing transaction system has the overhead
for the user to carry the credit credentials along to perform
transactions. Also such systems make more number of web

416

service hits to share the sensitive credit credentials which is

after SDTS model is even further minimized in the case of
proposed enhanced structure.
The proposed work aims to further increase the complexity
of the transaction process and make the transaction more
tangled for the hackers to intrude. Therefore, concept used in
the proposed model is increasing the complexity of
transaction which makes it more robust against the attacks
preserving the confidentiality and robustness.
ACKNOWLEDGMENT
We would like to acknowledge and thanks to Dr. Vikas
Saxena, Dept. of Computer Science, Jay Pee Institute of
Information Technology, Noida, Uttar Pradesh, India for his
encouragement and guidance.
REFERENCES
Alzomai, M.; Alfayyadh, B.; and Josang, A., Display Security for Online
Transactions: SMS-based Authentication Scheme, International
Conference for Internet Technology and Secured Transactions (ICITST),
IEEE, pp. 1 7, Dec. 2010.
[2] Na Wei; and Bo Zhang, Construction of China's Securities Brokerage
Business Online Transactions Innovation System, 2nd International
Symposium on Information Engineering and Electronic Commerce
(IEEC), IEEE, pp. 1 3, July 2010.
[3] Lee Heng Wei; Osman, M.A.; Zakaria, N.; and Tan Bo, Adoption of ECommerce Online Shopping in Malaysia, IEEE 7th International
Conference on e--Business Engineering (ICEBE), pp. 140 143, Jan.
2011.
[4] Fengying Wang; Caihong Li; Zhenyou Wang; and Zhen Cheng, Security
Scheme Research of Digital Products Online Transactions, IEEE
International Conference on Automation and Logistics (ICAL), pp. 1521
1525, Sept. 2008.
[5] Ion, M.; Koshutanski, H.; Hoyer, V.; and Telesca, L., Rating Agencies
Interoperation for Peer-to-Peer Online Transactions, Second International
Conference on Emerging Security Information, Systems and Technologies
(SECURWARE), IEEE, pp. 173 178, Sept. 2008.
[6] Hong-Jun Guan, The Research of SET-Based Electronic Payment System
Model, International Conference on E-Business and Information System
Security (EBISS), IEEE, pp. 1 4, June 2009.
[7] Jihui Chen; Xiaoyao Xie; and Fengxuan Jing, The Security of Shopping
Online, International Conference on Electronic and Mechanical
Engineering and Information Technology (EMEIT), IEEE, pp. 4693
4696, Sept. 2011.
[8] Kouta, M.M.; Rizka, M.M.A.; and Elmisery, A.M., Secure e-Payment
using Multi-agent Architecture, 30th Annual International Computer
Software and Applications Conference (COMPSAC), IEEE, pp. 315
320, Dec. 2006.
[9] Kaushik S., Strength of Quick Response Barcodes and Design of Secure
Data Sharing System International Journal on Advanced Computing &
Science (IJACSA), Dec 2011.
[10] Kaushik S.; Puri S., Online Transaction Processing using Sensitive Data
Transfer Security Model 4th International Conference on Electronics
Computer Technology (ICECT), IEEE, April. 2012.
[11] http://zxing.appspot.com/
[1]

417

Stock Market Prediction Using Hidden Markov

Models
Aditya Gupta, and Bhuwan Dhingra

Abstract-- Stock market prediction is a classic problem which

has been analyzed extensively using tools and techniques of
Machine Learning. Interesting properties which make this
modeling non-trivial is the time dependence, volatility and other
similar complex dependencies of this problem. To incorporate
these, Hidden Markov Models (HMM's) have recently been
applied to forecast and predict the stock market. We present the
Maximum a Posteriori HMM approach for forecasting stock
values for the next day given historical data. In our approach, we
consider the fractional change in Stock value and the intra-day
high and low values of the stock to train the continuous HMM.
This HMM is then used to make a Maximum a Posteriori
decision over all the possible stock values for the next day. We
test our approach on several stocks, and compare the
performance to some of the existing methods using HMMs and
Artificial Neural Networks using Mean Absolute Percentage
Error (MAPE).
Index Terms--Forecasting, Hidden Markov models, Maximum
a posteriori estimation, Stock markets.

I. INTRODUCTION

he stock market is a network which provides a platform

for almost all major economic transactions in the world at
a dynamic rate called the stock value which is based on market
equilibrium. Predicting this stock value offers enormous
arbitrage profit opportunities which are a huge motivation for
research in this area. Knowledge of a stock value beforehand
by even a fraction of a second can result in high profits.
Similarly, a probabilistically correct prediction can be
extremely profitable in the amortized case. This attractiveness
of finding a solution has prompted researchers, in both
industry and academia to find a way past the problems like
volatility, seasonality and dependence on time, economies and
rest of the market. Previously, techniques of Artificial
Intelligence and Machine Learning - like Artificial Neural
Networks, Fuzzy Logic and Support Vector Machines, have
been used to solve these problems.
Recently, the Hidden Markov Model (HMM) approach was
applied to this problem in [9]. The reason for using this
approach is fairly intuitive. HMM's have been successful in
analyzing and predicting time depending phenomena, or time
A. Gupta is with the Department of Computer Science and Engineering,
Indian Institute of Technology, Kanpur-208016, India (e-mail:
gaditya@iitk.ac.in).
B. Dhingra is with the Department of Electrical Engineering, Indian
Institute of Technology, Kanpur-208016, India (e-mail: bhuwand@iitk.ac.in).

series. They have been used extensively in the past in speech

recognition, ECG analysis etc. The stock market prediction
problem is similar in its inherent relation with time. Hidden
Markov Models are based on a set of unobserved underlying
states amongst which transitions can occur and each state is
associated with a set of possible observations. The stock
market can also be seen in a similar manner. The underlying
states, which determine the behavior of the stock value, are
usually invisible to the investor. The transitions between these
underlying states are based on company policy, decisions and
economic conditions etc. The visible effect which reflects
these is the value of the stock. Clearly, the HMM conforms
well to this real life scenario.
The choice of attributes, or feature selection is significant in
this approach. In the past various attempts have been made
using the volume of trade, the momentum of the stock,
correlation with the market, the volatility of the stock etc. In
our model we use the daily fractional change in the stock
value, and the fractional deviation of intra-day high and low.
The fractional change is necessary in order to make the
required prediction. Measuring the fractional deviation of both
the intra-day high and low value is a good measure as it gives
the direction of the volatility as well.
We use four different stocks for evaluating the approach TATA Steel, Apple Inc., IBM Corporation and Dell Inc. A
separate HMM is trained for each stock. The one constraint
that the training set needs to have is suitable variability in the
data. This is taken care of by taking appropriately large
periods of time in which the stock value changes steadily yet
significantly.
The remaining paper is organized as follows. In Section II
we review some of the existing techniques for stock market
prediction, especially the ones using HMMs. In Section III we
give details of our approach with mathematical justifications.
In Section IV we describe the data-sets and provide the
experimental results. Finally, in Section V we discuss the
results and conclude the paper.
II. PREVIOUS WORK
Stock Market prediction has been one of the more active
research areas in the past, given the obvious interest of a lot of
major companies. In this research several machine learning
techniques have been applied to varying degrees of success.
However, stock forecasting is still severely limited due to its
non-stationary, seasonal and in general unpredictable nature.

978-1-4673-0455-9/12/$31.00 2012 IEEE

418

Predicting forecasts from just the previous stock data is an

even more challenging task since it ignores several outlying
factors (such as the state of the company, economic conditions
ownership etc.).
Machine learning techniques which have been widely
applied to forecasting stock market data include Artificial
Neural Networks (ANNs) [3], Fuzzy Logic (FL) [2], and
Support Vector Machines (SVMs) [7]. Out of these ANNs
have been the most successful, however even their
performance is quite limited, and not reliable enough [4].
Wang and Leu trained a system based on a recurrent neural
network which used features extracted using the
Autoregressive Integrated Moving Average (ARIMA)
analysis, which showed reasonable accuracy, [8].
HMMs have only been rarely applied to the given problem
in the past, which is surprising given the time-dependent
nature of the market. HMMs have been successfully applied in
the areas of Speech Recognition, DNA sequencing, and ECG
analysis (see [6] for a full review). Shi and Weigend, [9], used
HMMs to predict changes in the trajectories of financial time
series data. Recently Hassal combined HMMs and fuzzy logic
rules to improve the prediction accuracy on non-stationary
stock data sets, [4]. His performance was significantly better
than that of past approaches. The basic idea there was to
combine HMM's data pattern identification method to
partition the data-space with the generation of fuzzy logic for
the prediction of multivariate financial time series data.
Our approach is similar to the one taken by Nobakht et al in
[5]. They model the daily opening, closing, high and low
indices as continuous observations from underlying hidden
states. The main difference between our approach and theirs
lies in the features used (we use fractional changes in the
above quantities) and in the manner of forecasting. While they
look for similar data patterns in the past data, we maximize the
likelihood of a sequence of observations over all possible
forecasted future values.
III. APPROACH
We use a continuous Hidden Markov Model (CHMM) to
model the stock data as a time series. An HMM (denoted by )
can be written as
(1)
= , ,
Where is the transition matrix whose elements give the
probability of a transition from one state to another, is the
emission matrix giving the probability of observing
when in state , and gives the initial probabilities of the
states at = 1. Further, for a continuous HMM the emission
probabilities are modelled as Gaussian Mixture Models
(GMMs):

, ,
=1

where:
is the number of Gaussian Mixture components.

(2)

is the weight of the mixture component in state

.
is the mean vector for the component in the
state.
( , , ) is the probability of observing in the
multi-dimensional Gaussian distribution.
Training of the above HMM from given sequences of
observations is done using the Baum-Welch algorithm which
uses Expectation-Maximization (EM) to arrive at the optimal
parameters for the HMM, [1].
In our model the observations are the daily stock data in the
form of the 4-dimensional vector,

,
,

(, , )

(3)

Here open is the day opening value, close is the day closing
value, high is the day high, and low is the day low. We use
fractional changes along to model the variation in stock data
which remains constant over the years.
Once the model is trained, testing is done using an
approximate Maximum a Posteriori (MAP) approach. We
assume a latency of days while forecasting future stock
values. Hence, the problem becomes as follows - given the
HMM model and the stock values for days (1 , 2 , , )
along with the stock open value for the ( + 1) day, we
need to compute the close value for the ( + 1) day. This is

equivalent to estimating the fractional change
for

the ( + 1) day. For this, we compute the MAP estimate of

the observation vector +1 .
Let +1 be the MAP estimate of the observation on the
+ 1 day, given the values of the first days. Then,
+1 = ( +1 |1 , 2 , , , )
+1

(4)

(1 , 2 , , , +1 |)
(5)
+1
(1 , 2 , , , )
The observation vector +1 is varied over all possible
values. Since the denominator is constant with respect to
+1 , the MAP estimate becomes,
=

= (1 , 2 , , , +1 |)
+1

(6)

The joint probability value (1 , 2 , , , +1 |) can be

computed using the forward-backward algorithm for HMMs
(see [6]). In practice, we compute the probability over a
discrete set of possible values of +1 , see Table II, and find
the maximum, hence the name MAP HMM model.
The computational complexity of the forward-backward
algorithm for nding the likelihood of a given observation is
(2 ), where is the number of states in the HMM and is
the latency. This procedure is repeated over the discrete set of
possible values of +1 . In our case = 4, = 10 (see IV-B)
and there are 50 10 10 possible values of +1 (see Table
II).
The closing value of a particular day can be computed by
using the day opening value and the predicted fractional
change for that day.

419

TABLE I
TRAINING AND TEST DATASETS

Observation
Tata Steel
Apple Inc.
IBM Corp.
Dell Inc.

Training Data
From
Till
12 August 2002
4 November 2009
10 February 2003 10 September 2004
10 February 2003 10 September 2004
10 February 2003 10 September 2004

Test Data
From
Till
5 November 2009 23 September 2011
13 September 2004
21 January 2005
13 September 2004
21 January 2005
13 September 2004
21 January 2005
TABLE II
RANGE OF VALUES FOR MAP ESTIMATION

IV. SIMULATION AND RESULTS

A. Datasets
The suggested algorithm was tested on four different stock
indices - TATA steel, Apple Inc., IBM Corporation and Dell
Inc. Details of the training and testing periods is given in
Table I.

Observation

B. Implementation
We use the open-source HMM toolbox developed by Kevin
Murphy, see [10], to implement the various HMM functions.

Stock
Name

Number of underlying Hidden States (), = 4

Number of mixture components for each state (),
=5
Dimension of observations (), = 3
Ergodic HMM (all transitions are possible).
Latency (), = 10days.

These were obtained by varying the parameters over

suitable ranges and choosing the values which give the
minimum error between forecasted and actual stock values.
Further, [4] suggests the use of four underlying states since
the data dimensionality is also four.

Min.

Max.

-0.1

0.1

50

0.1

10

0.1

10

TABLE III
MEAN ABSOLUTE PERCENTAGE ERROR FOR DIFFERENT APPROACHES

1) HMM Parameters: The HMM parameters are set to

the following values:

Number
of Points

Range

Tata Steel
Apple Inc.
IBM Corp.
Dell Inc.

MAP
HMM
Model
.
1.510
0.611
0.824

Combination of
HMM Fuzzy
Model
-1.769
0.779
0.405

ARIMA

ANN

-1.801
0.972
0.660

-1.801
0.972
0.660

between the actual stock values and the predicted stock values
in percentage.

MAPE

1 n pi ai
100%

n i 1 ai

(7)

2) Initialization:
For initialization of the model
parameters (see eqn. (1)) the prior probabilities and
transition probabilities are assumed to be uniform across
all states. To initialize the mean, variance and weights of
the Gaussian mixture components we use a k-means
algorithm. Each cluster found from k-means is assumed to
be a separate mixture component from which the mean and
variance are computed. Weights of the components are
assumed to be weights of the clusters, which are divided
equally between the states to obtain the initial emission
probabilities.

Where is the actual stock value, is the predicted stock

value on day and is the number of days for which the data
is tested. Table III lists the MAPE values for the four stocks
using our developed algorithm. For comparison, the
corresponding MAPE values using the HMM-Fuzzy logic
model, ARIMA and ANN are also listed (obtained from [4]).
Figures 1 and 2 show the actual stock values along with the
forecasted values using the discrete MAP-HMM model for
TATA Steel and Apple Inc. respectively.

3) Prediction: To compute the MAP estimate +1 , we

compute the probability values over a range of possible

values of the tuple (
, , ) and

We present an HMM based MAP estimator for stock

prediction. The model uses a latency of days to predict the
stock value for the (d + 1)st day. A MAP decision is made
over all the possible values of the stock using a previously
trained continuous-HMM. We assume four underlying hidden
states which emit the visible observations (fractional change,
fractional high, fractional low). Emission probabilities
conditioned on a given state are modeled as Gaussian Mixture
Models (GMMs). The model can be easily extended to predict
stock values for more than one day in the future; however the
accuracy of such predictions would decrease as we look

nd the maximum. A higher precision is used for the

fractional change values since these are ultimately used for
the stock prediction. The range of values is listed in Table
II.

4) Results: The metric used to evaluate the performance

of the algorithm is Mean Absolute Percentage Error
(MAPE) in accuracy. MAPE is the average absolute error

V. CONCLUSIONS

420

Fig. 1. Actual Value v/s Forecasted Value for Apple Inc. from 13 September 2004 to 21 January 2005.

Fig. 2. Actual Value v/s Forecasted Value for Tata Steel from 5 November 2009 to 23 September 2011.

further into the future.

Performance of the suggested algorithm was tested by
training HMMs on four different stocks over varying periods
of time. The model for one stock was assumed to be
independent of other stocks. Our approach was compared to
HMM-fuzzy model, ARIMA and ANN for stock forecasting.
Table III lists the MAPE values for the four stocks using the
various approaches. The MAP-HMM model outperforms
others for Apple Inc. and IBM Corporation, and has
comparable performance for Dell Inc. Interesting to note is the
simplicity of the approach in comparison to other existing
methods.
In the current approach, we assume that the model for one
particular stock is independent of the other stocks in the
market, however in reality these stocks are heavily correlated
to each other and, to some extent, to stocks in other markets
too. As a future work, it might be intuitive to try and build a
model which takes into consideration these correlations. Also,
currently the data is quantized to form observation vectors for
a full day. A performance improvement might be achieved by
removing this quantization and instead taking the full range of
minute-by-minute or hour-by-hour stock values.

J.H. Choi, M.K. Lee, and M.W. Rhee. Trading s&p500 stock index
futures using a neural network. Proc of the Third Annual International
Conference on Articial Intelligence Applications on Wall Street, pages
6372, 1995.
[4] M.R. Hassan. A combination of hidden markov model and fuzzy model
for stock market forecasting. Journal of Neurocomputing, pages 3439
3446, 2009.
[5] B. Nobakht, C.E.J. Dippel, and B. Loni. Stock market analysis and
prediction using hidden markov models, unpublished.
[6] L.R. Rabiner. A tutorial on hidden markov models and selected applications in speech recognition. Proceedings of the IEEE, pages 257
286, 1989.
[7] E. Vercher, J.D. Bermudez, and J.V. Segura. Fuzzy portfolio
optimization under downside risk measures. Fuzzy Sets and Systems,
pages 769782, 2007.
[8] J.H. Wang and J.Y. Leu. Stock market trend prediction using arimabased neural networks. IEEE Int. Conf. on Neural Networks, 4:2160
2165, 1996.
[9] A.S. Weigend and S. Shi. Predicting daily probability distributions of
s&p500 returns. Journal of Forecasting, pages 375392, 2000.
[10] K.
Murphy.
HMM
Toolbox
for
MATLAB.
Internet:
http://www.cs.ubc.ca/~murphyk/Software/HMM/hmm.html, [Oct. 29,
2011].
[3]

VI. ACKNOWLEDGMENT
The authors would like to thank Dr. Krithika
Venkataramani for her guidance and assistance throughout the
project.
VII. REFERENCES
[1]
[2]

Hidden markov models and the baum-welch algorithm. IEEE

Information theory society newsletter, Dec 2003.
L. Cao and F.E.H. Tay. Financial forecasting using support vector
machines. Neural Computation and Application, pages 184192, 2007.

421

A Novel Edge Detection Approach on Active

Contour for Tumor Segmentation
Amit Satish Unde, Premprakash V. A., Praveen Sankaran

AbstractActive contour methods for image segmentation

allow a contour to deform iteratively to partition an image
into various regions. A novel region-based active contour
model proposed by Kaihua Zhang which take advantages
of both geodesic active contours and Chan-Vese model is
discussed in this paper. This method uses region-based signed
pressure force (SPF) to stop the contours at weak or blurred
edges. In practise, this method is useful only for images
with clear boundary. Second, this method is strongly depends
on parameter which controls the propagation of moving
curve. value depends on size of region to be extracted.
There is no fixed value which works well for all images.
In this paper, we proposed new method of edge detection for
active contours based on local adaptive threshold technique
via variational energy minimization to stop the contour at
desired object boundary. By using proposed method, we can
control the evaluation of curve with moderate value of
for all images. As an application, our method has been used
for tumor segmentation from magnetic resonance images and
experimental results show desirable performances of our method.
Index Terms Active contour, local adaptive threshold technique, signed pressure force, tumor segmentation.

I. I NTRODUCTION
Active contour models have been extensively applied to
image segmentation. The basic idea of active contour is to
use a deformable model and let it evolves in each iteration to
minimize a given energy function. There are several desirable
advantages of active contour models.
First, active contour models can be easily formulated under
an energy minimization framework and allow incorporation
of various prior knowledge, such as shape and intensity
distribution, for robust image segmentation [7]. Second, they
can provide smooth and closed contours as segmentation
results, which are necessary and can be readily used for
further applications, such as shape analysis and recognition.
Existing active contour models can be categorized into two
major classes: edge based models and region based models.
Edge based models utilizes an image gradient to construct
an edge stopping function (ESF) to stop the contour evolution
at the desired object boundaries [1], [2], [3]. A general edge
detector can be defined by a positive and decreasing function
g, depending on the gradient of the image I, such that
Limz g(z) = 0
Amit Satish Unde and Praveen Sankaran are with the Department of Electronics and Communication Engineering, National Institute of Technology,
Calicut-673601, India. (e-mail: amitsunde@gmail.com, psankaran@nitc.ac.in)
Premprakash V.A. is with the Travancore Analytics, Trivandrum-695001,
India. (e-mail: premprakash.va@teamta.in)

978-1-4673-0455-9/12/$31.00 2012 IEEE

g(|I(x, y)|) =

1
,
1 + |G (x, y) I(x, y)|p

p 1 (1)

where G I is a smoother version of image I [4]. The function

g(|I(x, y)|) is positive in homogeneous regions, and zero at
the edges. These edge based models are usually sensitive to
noise and weak edges. One of the most popular edge-based
models is the Geodesic Active Contour model(GAC) [1].
Instead of utilizing an image gradient, region based models
typically aim to identify each region of interest by using
a certain region descriptor, such as intensity, color, texture
or motion, to guide the motion of the contour [5], [6],
[7]. Therefore region based models generally have better
performance in the presence of image noise and weak object
boundaries. In addition, region based models are less sensitive
to the initial contour locations than edge based models. One of
the most popular region based models is the Chan-Vese(CV)
model [10], which is based on Mumford-Shah segmentation
method [11] and has been successfully applied to binary phase
segmentation.
The CV model can automatically detect all the contours, no
matter where the initial contour starts in the image. So we can
say that the CV model has the global segmentation property
to segment all objects in an image. Comparatively, the GAC
model can only extract the object when the initial contour
surrounds its boundary, and it can not detect the interior
contour without setting the initial one inside the object. Thus
we can say that the GAC model possesses local segmentation
property which can only segment the desired object with a
proper initial contour.
Kaihua Zhane proposed a new region based active contour
model, which shares the advantages of the CV and GAC
models [9]. They utilize the statistical information inside and
outside the contour to construct a region-based signed pressure
force (SPF) function, which is able to control the direction
of evolution. The proposed SPF function has opposite signs
around the object boundary, so the contour can shrink when
it is outside the object or expand when inside the object.
This paper is organized as follows: In Section II, we
review the GAC and CV models. Section III describes the
formulation of new region based active contour model and
how to construct the region-based SPF function. Section IV
describes the proposed method.
II. GAC AND C-V ACTIVE CONTOUR MODEL
A. GAC model
Let be a bounded open subset of R2 and I: [0, a][0,
b] R be a given image. Let C(q): [0, 1] R2 be a param-

422

eterized planar curve in . The GAC model is formulated by

minimizing the following energy functional [1], [2]:
Z 1
g(|I(C(q))|)|C 0 (q)|dq
(2)
E(c) =
0

propagation speed, and 1 and 2 control the image data

driven force inside and outside the contour, respectively.
is the gradient operator. H () is the Heaviside function and
() is the Dirac delta function. Generally, the regularized
versions are selected as follows [10], [13]:

where g is the edge detector function as in Eq. (1).

Using calculation of variation, we could get the EulerLagrange equation of (2) as follows [1], [3]:

Ct = g(|I|) N (g. N ) N ,
(3)

where is the curvature of the contour and N is the inward

normal to the curve. Usually a constant velocity term is
added to increase the propagation speed. Then (3) can be
rewritten as,

C = g(|I|)( + ) N (g. N ) N
(4)

H (x)

(5)

where is the balloon force, which controls the contour

shrinking or expanding.

x>
x <
2
x
arctan( )] if |x|

and,
0 if |x| >
x
1
[1 + cos( )], |x|
=
2

III. ACTIVE C ONTOUR WITH S ELECTIVE L OCAL

S EGMENTATION

(x)

The corresponding level set formulation is as follows [1], [4]:

= g(||)(div(
) + ) + g.
t
||

= 1 if
= 0 if
1
=
[1 +
2

The SPF function has values in the range [-1, 1]. It modulates the signs of the pressure forces inside and outside the
region of interest so that the contour shrinks when outside the
object, or expands when inside the object. The SPF function
is given by [9],

B. C-V model
Chan and Vese proposed an active contour model which
is a special case of the Munford-Shah problem [11]. For a
given image I in domain , the CV model is formulated by
minimizing the following energy functional [10]:
Z
E(c) = 1 .
|I() c1 |2 d
inside(C)

|I() c2 |2 d,

+2 .

(6)

outside(C)

where c1 and c2 are two constants which are the average

intensities inside and outside the contour, respectively. With
the level set method, we assume,
C = { : () = 0},
and we choose positive inside C and negative outside C [8].
By minimizing (6) we solve c1 and c2 as follow [10],
R
I()H(())d
(7)
c1 () = R
H(())d

R
I()(1 H(()))d
c2 () = R
(8)
(1 H(()))d

By incorporating the length and area terms into Eq. (6) and
minimizing them, we obtain the corresponding variational
level set formulation as follows [10], [12]:

()
= ()[.div(
) 1 (I c1 )2
t
| () |
+2 (I c2 )2 ] = 0

(9)

where 0, 0, 1 , 2 0 are fixed parameters,

controls the smoothness of zero level set, increases the

spf (I()) =

2
I() c1 +c
2
2
max(|I() c1 +c
2 |)

(10)

where c1 and c2 are defined in (7) and (8), respectively.

Substituting the SPF function in (10) for the edge detector
function in (5), the level set formulation of the proposed model
is as follows:

= spf (I())(div(
)+)+spf (I())., x
t
||
(11)
In the traditional level set methods, the level set function is
initialized as signed distance function to its interface in order
to prevent it from being too steep or flat near its interface, and
re-initialization is required in the evolution [1], [2], [5], [10].
Unfortunately, many existing re-initialization methods have an
undesirable side effects of moving the zero level set away from
its interface. Furthermore, it is difficult to decide when and
how to apply the re-initialization. In addition, re-initialization
is a very expensive operation [10].
To solve these problems, Gaussian filter is used to regularize
the selective binary level set function after each iteration. The
procedure of penalizing level set function to the binary is
optional according to the desired property of evolution. If we
want local segmentation property, the procedure is necessary,
otherwise, it is unnecessary [9].
In this method, the level set function can be initialized
to constants, which have different signs inside and outside
the contour. This is very simple to implement in practice.
In the traditional level set methods [10], [13], the curvaturebased term div(/||)|| is usually used to regularize
the level set function . Since is an signed distance function
that satisfies = 1, the regularized term can be rewritten
as which is the Laplacian of the level set function .

423

The evolution of a function with its Laplacian is equivalent

to a Gaussian kernel filtering the initial condition of the
function [9]. Thus Gaussian filtering process is used to further
regularize the level set function. The standard deviation of the
Gaussian filter can control the regularization strength, just as
the parameter in (9) does.
Since Gaussian filter is used to smooth the level set
function and to keep the interface regular, the regular term
div(/||)|| is unnecessary. In addition, the term
spf. can also be removed from (11), because this method
utilizes the statistical information of regions, which has a
larger capture range and capacity of anti-edge leakage. Finally,
the level set formulation can be written as follows [9]:

= spf (I()).(||),
t
Initialize the level set function as,
(, t = 0)

=
=
0
=

(12)

terms in the energy functional. To achieve the automatic setting

of the weighting parameters a non-linear convex combination
of the data fidelity and the regularization terms in the energy
functional is used. The energy functional is a function of the
threshold surface, the image, as well as the weighting parameter, which makes a balance between the data and the regularization terms. A minimax solution of the proposed energy
functional is obtained iteratively by alternating minimization
and maximization of the energy functional respectively with
regard to the threshold surface and the weighting parameter.
Let the image and threshold surface function be denoted
by I(x,y) and T(x,y) respectively. Then the proposed energy
functional is as follows [14]:
p
(13)
E(T ; ) = (1 2 )E1 (T ) + E2 (T );
where,
1
E1 (T ) =
2

0 0 ,
0
0

Z Z

J(x, y)(I(x, y) T (x, y))2 dxdy

E2 (T ) =

where > 0 is a constant, 0 is a subset in the image

domain and 0 is the boundary of 0 .
Limitation:
This method is easy to implement. It neither uses edge
detector function nor curvature term which is used in basic
two active contour methods. Practically this method is strongly
depends on parameter which controls the propagation of
moving curve. If value is large, we can not control the
curve and if is small then curve can not evolve efficiently
and results in poor segmentation. If region to be segmented
has clearly defined boundary, then moderate value of gives
better segmentation.
In next section, we proposed a new method for edge
detection based on local adaptive threshold technique via
variational energy minimization. Proposed method along with
image enhancement by contrast limited adaptive histogram
equalization defines clear boundary and we can control the
evaluation of curve with moderate value of which results in
accurate segmentation.
IV. P ROPOSED M ETHOD
Thresholding is a widely applied preprocessing step for
image segmentation. Often the burden of segmentation is
on the threshold operation, so properly thresholded image
leads to better segmentation. There are mainly two types of
thresholding techniques available: global and local. In the
global thresholding technique, a grayscale image is converted
into a binary image based on an image intensity value called
global threshold. In local thresholding technique, typically a
threshold surface is constructed that is a function on the image
domain.
A locally adaptive image threshold technique via variational
energy minimization is used in this paper [14]. It automatically
computes the weights on the data fidelity and the regularization

1
2

Z Z

J(x, y) =

|T (x, y)|2 dxdy

|I(x, y)|2
max(|I(x, y)|)

(14)
(15)
(16)

where [0, 1] is weighting parameter. The first energy

component E1 is edge sensitive as it encourages the threshold
surface T to intersect the image surface I where the value of the
edge indicator function J(x, y) is large. E2 is the regularization
term with the L2 norm that enforces smoothness in the threshold surface. The value of the exponent q is generally chosen
to be 2. However it can also be experimentally determined for
a specific application.
In order to compute the optimum threshold surface, we seek
the minimax solution for energy functional in (13).
T = argminT max E(T ; )

(17)

Thus, we first differentiate E with respect to and find the

maximum value by equating the derivative to zero:
E2 (T )
= p
(E1 (T ))2 + (E2 (T ))2

(18)

Then, we minimize E via gradient descent equation for T

keeping this value for be fixed:
p
T
= 1 2 (J(x, y)(I(x, y)T (x, y)))+ (2 T (x, y))
t
(19)
Once we get thresholded image, we compute its boundary
by morphological processing.
Algorithm:

424

1. Initialize T I
while convergence/maximum iterations not reached
2. compute E1 (T ) and E2 (T ) via (14) and (15)
3. compute using (18)
4. update T via (19)
end while

5. do erosion operation on thresholded image

6. subtract image after erosion from thresholded image
7. pixels greater than zero gives boundary of image.

VI. R ESULTS AND D ISCUSSION

The structuring element for erosion operation is 3 by 3

matrix with all elements 1. Convergence criteria is based
on difference between value over successive iteration. If
difference is less than epsilon then convergence is reached.
V. I MAGE E NHANCEMENT BY C ONTRAST L IMITED
A DAPTIVE H ISTOGRAM E QUALISATION (CLAHE)
Each time an image is acquired, window and level parameters must be adjusted to maximize contrast and structure visibility. CLAHE was originally developed for medical
imaging and has proven to be successful for enhancement
of low-contrast images such as MRI. CLAHE seems a good
algorithm to enhance image without user intervention. This
method produce an images in which the noise content of an
image is not excessively enhanced, but in which sufficient
contrast is provided for the visualization of structures within
the image.
The histogram equalisation(HE) technique uses a single
histogram for the entire image, thus having a global influence
over the image. In order to improve local contrast within
the image, the technique of Adaptive Histogram Equalization
(AHE) was developed. In this case, the image is scanned with
a square window and HE is applied on each of these resulting
windows in order to compute the new intensity value for the
pixel in the center of each window. A major disadvantage
of this technique is its contradictory dependence on the size
of the window used: while the computational complexity
is directly proportional with the size of the window, the
amount of artifacts introduced by this technique is inversely
proportional.
The approach that limit this disadvantage is CLAHE. The
steps in CLACHE are given as [15],
1. Adaptive histogram equalisation is applied on the image.
2. In order to limit the noise that appears in homogeneous
region (regions with many pixels of the same value, where
histogram have high peak), the contrast of final image is
limited by clipping the original histogram to superior and
inferior limit.
3. Using the clipped histogram, new intensity values are
computed for each pixel.

To test the performance of our method, we applied it to

magnetic resonance images. All images are 16 bit DICOM
images of size 512 512. The brain MR image with initial
curve represented in red color is shown in Fig. 1(a). The
images in Fig. 1(b) and Fig. 2(a) are the results of region
based active contour with = 5 and = 10 respectively
with number of iterations equal to 100.

Fig. 1. (a)Original image with initial contour. (b)results of active contour

with = 5

Fig. 2.

(a)results of active contour with = 10. (b)results of CLAHE

After enhancement, image is sharpened using Laplacian

operator. This step is used as precautionary measure to avoid
spreading of contour due to small leakage present after proposed edge detection method.
Basic Steps in Algorithm
1. Edge detection by proposed method on original image
2. Original image enhancement by CLAHE followed by
sharpening using Laplacian operator
3. Apply detected edges on enhanced image
4. Initialize level set function and evolve active contour as
described in section III.

Fig. 3. (a)Edge detected image with proposed method. (b)results of active

contour using proposed method with = 10(accurate segmentation)

We can observe from these images that, contour is stopped

to evolve where boundary is clear. But when boundary of
the region to be extracted is not clear contour is expanding
depending on value.

425

The result of CLAHE is shown in Fig. 2(b). The result of

proposed edge detector method is shown in Fig. 3(a). In this
image, the pixels on the boundary have 0 gray level value
while gray level values of remaining pixels are unchanged.
The result of region based active contour in application with
our proposed edge detector method is shown in Fig. 3(b) with
= 10 and number of iterations equal to 100. We can observe
that contour is stopped on the boundary with moderate value
and it is independent on number of iterations and results in
accurate segmentation.
Fig. 4(b) is the result of region based active contour with
= 5 which leads to accurate segmentation whereas Fig. 5(a)
is the result with = 10 which leads to over segmentation
for 100 iterations.

Fig. 6. (a)Edge detected image with proposed method. (b)results of active

contour using proposed method with = 10(accurate segmentation)

Fig. 4. (a)Original image with initial contour. (b)results of active contour

with = 5

Fig. 7.

Fig. 5.

Effect of parameter on segmentation results

where, Aref is the reference tumor area(tumor marked by

experts) and Aseg is the segmented tumor area.
We tested our method on 10 different images having different tumor sizes with different values of . We observed that,
when tumor has moderate size then = 5 and = 7 results
in inefficient segmentation while = 10 results in accurate
segmentation for all images. So we choose = 10 in our
experiment.

(a)results of active contour with = 10. (b)results of CLAHE

Fig. 6(b) is the result of region based active contour in

application with our proposed edge detector method with
= 10 and number of iterations equal to 100, which results
in accurate segmentation.
Fig. 7 shows the effect of parameter on segmentation
results. After the segmentation converges, we compute the
difference between tumor area marked by experts and tumor
area segmented by our method with different values of ,
which is called the Area Error Measure (AEM) [16]. It is
given as,
%AEM =

|Aref | |Aseg |
100
|Aref |

(20)

Fig. 8. (a) MR image with tumor region marked in red rectangle (b)MR
image with tumor region marked in red rectangle

426

We trained our algorithm using 10 images and tested on

30 different images with varying tumor sizes and shapes. Fig.
8 shows a MR images with tumor marked in red color. Our
method fails for these particular images. Pixels value in tumor
regions are very close to zero, so contour will not grow when
it encounters black pixels.

Fig. 9. (a) MR image with initial contour (b)results of active contour using
proposed method with = 10(accurate segmentation)

Fig. 10. (a) MR image with initial contour (b)results of active contour using
proposed method with = 10(accurate segmentation)

Fig. 9 and Fig. 10 are some examples where our method

gives an accurate segmentation. Sensitivity measure was used
to evaluate the performance of our method [17]. The sensitivity
refers to the ability of the algorithm to correctly identify
boundary of the tumor.
sensitivity =

advantages of our method like better edge detection, same

value for all images, no leakage of evolving curve at desired
object boundary and accurate segmentation.
R EFERENCES
[1] N. Paragios, R. Deriche, Geodesic Active Contours and Level Sets for
Detection and Tracking of Moving Objects, IEEE Transaction on Pattern
Analysis and Machine Intelligence, vol. 22, pp. 115, 2000.
[2] V. Caselles, R. Kimmel, G. Sapiro, Geodesic Active Contours, International Journal of Computer Vision, vol. 22, pp. 6179, 1997.
[3] C. Xu, J.L. Prince, Snakes, Shapes, and Gradient Vector Flow, IEEE
Transaction on Image Processing, vol. 7, pp. 359369, 1998.
[4] C.M. Li, C.Y. Xu, C.F. Gui, M.D. Fox, Level Set Evolution Without
Re-initialization: A New Variational Formulation, IEEE Conference on
Computer Vision and Pattern Recognition, pp. 430436, San Diego,
2005.
[5] J. Lie, M. Lysaker, X.C. Tai, A Binary Level Set Model and Some
Application to MumfordShah Image Segmentation, IEEE Transaction
on Image Processing, vol. 15, pp. 11711181, 2006.
[6] R. Ronfard, Region Based Strategies for Active Contour Models,
International Journal of Computer Vision, vol. 46, pp. 223247, 2002.
[7] Li Wang, LeiHe b and Arabinda Mishra, Active Contours Driven by
Local Gaussian Distribution Fitting Energy, International Journal of
Signal Processing, vol. 89, pp. 24352447, 2009.
[8] J. A. Sethian, Evolution, Implementation, and Application of Level
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Computational Physics, vol. 169, pp. 503555, 2001.
[9] Kaihua Zhang, Lei Zhang, Huihui Song and Wengang Zhou, Active
Contours with Selective Local or Global Segmentation: A New Formulation and Level Set Method, International Journal of Image and Vision
Computing, vol. 28, pp. 668676, 2010.
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Functions and Associated Variational Problems, Community of Pure
Applied Mathematics, vol. 42, pp. 577685, 1989.
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Society for Industrial and Applied Mathematics Journal of Numerical
Analysis, vol. 34, pp. 19481979, 1997.
[13] Nassir Salman, Image Segmentation and Edge Detection Based on
ChanVese Algorithm, The International Arab Journal of Information
Technology, vol. 3, 2006.
[14] Nilanjan Ray, Baidya Nath Saha, Edge Sensitive Variational Image
Thresholding, Journal of Pattern Recognition, vol. 42, pp. 843856,
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[15] Karel Zuiderveld, Contrast Limited Adaptive Histogram Equalisation,
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the Cortex, IEEE Transaction on Medical Imaging, vol. 14, pp. 6580,
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[17] Sylvain Jaume, Matthieu Ferrant, Benot Macq, Lennox Hoyte, Julia R.
Fielding, Andreas Schreyer, Simon K. Warfield Tumor Detection in the
Bladder Wall with a Measurement of Abnormal Thickness in CT Scans,
IEEE Transaction on Biomedical Engineering, vol. 50, no. 3, 2003.

T rue positive
T rue positive + F alse negative

where,
1. T rue positive : accurate segmentation
2. F alse negative: algorithm fails and over segmentation
Our method fails on 4 images out of 30 images in the data
set, so we achieved overall 86 % sensitivity.
VII. C ONCLUSION
We have presented a new edge detection approach for active
contours. The proposed method is able to define clear edges
on images and has desirable performance for images with
weak object boundaries. Experimental results have shown the

427

Analysis on effect of Die Fillet Radius and Draw

Bead on Hemispherical Cup Forming
G. M. Bramhakshatriya, S. K. Sharma and B. C. Patel
Abstract The die is specialized tool used in manufacturing
industries like automobile, appliance, aerospace etc. to form a
wide variety of parts and component through sheet metal
forming process. The quality of sheet metal part is secured by
the material flow into the die cavity. The considered
parameter in this paper is the die fillet radius, which greatly
affect the metal flow during sheet metal forming process. In
sheet metal forming process die fillet radius is an important
and effective parameter for increasing forming limit of metal
sheets as well as effectively treating some other common
forming problem like distortion and wrinkling. In this present
work examine the effect of die fillet radius on hemispherical
cup forming, which is analyzed by using FE based
HYPERFORM software. The obtained results are compared
with literature results. Furthermore same simulation analysis
have been carried out using circular draw bead with various
values of die fillet radius ranged between 1.5mm to 4.5mm. In
simulation, Strain and thickness variations were measured for
the cup drawing. Forming Limit Diagrams are used to
determine the safe limit of the sheet metal operation. The
results demonstrate excellent agreements between the
numerical method and experiment.

The draw bead consists of a small groove on the die

surface / binder surface matched by protrusion on the
binder surface / die surface as shown in Fig 1. After the
binder closure, the sheet metal is drawn over the drawbead
and is subjected to a bending and a subsequent unbending
around the entry groove shoulder, bead and at the exit
groove shoulder. These bending and unbending
deformations together with the frictional force account for
the draw bead restraining force. And use proper lubrication
between contact areas which reduce frictional resistance
force.

Keywords Draw bead, Die fillet radius, Sheet metal

forming, Thickness distribution and Plastic strain distribution
Fig.1 Location of draw bead on press tool [9]

I.
INTRODUCTION
In sheet metal forming processes, the quality of sheet
metal part is secured by the material flow into the die
cavity. Generally the restraining force required to control
the material flow is provided by either the blank holder or
drawbeads, for prediction and prevention of flange and
side-wall wrinkling, tearing and galling. The blank holder
creates restraining force by friction between sheet and the
tooling.
When a high restraining force is required, higher binder
pressure must be applied to increase the frictional
resistance force, which may cause excessive wear due to
direct contact in the tooling. Hence to reduce blank holder
force, a mechanism known as drawbeads provided.

Quite a few efforts have been focused on the study of the

drawbead. These include study of steady state experiments
conducted by Nine [1-2] who used simplified geometry to
investigate the various parameters affecting the restraining
forces in the bead. Wang [3] proposed a mathematical
model of the drawbead forces for calculating the force
required to draw sheet metal past a drawbead of constant
cross section. Levy [4] had improved Wang and Nines
study on draw beads in 1983. A theoretical model based on
virtual work principle was proposed by Chen [5] to
calculate the restraining force produced by the drawbead
located on a stamping die surface. Samuel [6] devised a
numerical model to determine the pull force, shear force
and bending moment required to form sheet metal
subjected to plane strain. A simple and very effective
algorithm has been outlined and demonstrated for the
optimal drawbead design problem for deep drawing cups
without ears by V.Vahdat et.al [7] in 2006. Numerical
design optimization of drawbead position and experimental
validation of cup drawing process had been determined by
N. Mohamed Sheriff , M. Mohamed Ismail [8]. Analysis of
Influence of Draw Bead Location and Profile in
Hemispherical Cup c Forming carried out by A. Murali G.,
B. Gopal M. and C. Rajadurai A[9].

G. M. Bramhakshatriya is Research Scholar in Mechanical Department

of S. V. M Institute of Technology College Campus, College Campus, Old
NH. No. 8, Bharuch 392 001 (email: girishvarde@gmail.com).
S. K. Sharma is Associate professor in Mechanical Department of S.
V. M Institute of Technology College Campus, College Campus, Old
NH. No. 8, Bharuch- 392 001 (email: semsharma@gmail.com).
B. C. Patel is Assistant Professor in Mechanical Department of S. V. M
Institute of Technology College Campus, College Campus, Old NH. No.
8, Bharuch 392 001 (email: bcpatel_77@yahoo.co.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

428

The work reported in this paper concentrates on

numerical analyses by using different die fillet radius with
circular drawbead and without draw bead on the die surface
and their effect on the strain and thickness distribution over
the formed cup. Numerical investigations are carried out
using HYPERFORM to observe strain and thickness
distribution. The obtained results are compared with
available literature results for validation.

Shoulder radius

II. NUMERICAL MODELING

Modeling was done with PRO-E and analysis was
carried out using HYPERFORM, a commercially available
explicit FEA code. The punch and die were modeled using
shell elements and have been assigned with RIGID
MATERIAL MODEL [10] with surface mesh option. The
diameter of punch was 100mm and diameter of die was
102.2mm with entry radius 6.5mm. The blank of 174mm
diameter was assigned with HILLORTHITROPIC
TABULATED model [10] and shell element with uniform
thickness of 1.02mm. The material considered for this
study was cold rolled steel and its properties are given in
Table 1.

Fig 2 Profiles of Circular drawbead

B. NUMERICAL RESULTS:
Numerical simulations were conducted in two phases
namely, with different lubrication, hemispherical cup
forming without drawbead and with circular drawbead at
optimized position similar to the experiments, which data
taken from literature results. Post processor of
HYPERFORM was utilized to obtain the thickness
distribution, strain distribution, on the formed blank and
the observations are given in Table 3, 4. The thickness of
drawn cup was noted at locations in the direction starting
from the centre of the cup to the edge as shown in Fig 3.
The numerical results of thickness variation for all cases
are shown in Fig 4 and Fig 6.

TABLE 1
Mechanical Properties Of Material

Material

Cold rolled steel

Youngs modulus,GPa
Mass Density, kg/m3
Poissons ratio
Yield stress, MPa

210
7800
0.28
280

A. NUMERICAL SIMULATION:
In numerical simulation, contact is necessary between
the sliding bodies for the metal forming process. In this
Study DOUBLE ACTION DRAW title algorithm was used
for the contact between the punch, die, blank holder and
blank. The blank was treated as master surface and others
were treated as slave surfaces. By using different die fillet
radius and lubricant between the contacts were taken as
static co-efficient =0.14. An artificial velocity of 5m/sec
was given to the punch in z direction downwards with
stroke distance of 40mm. The binder force was set as 8.5
tons towards negative z direction. The flow of material on
the drawbead during forming process is controlled by
stress-strain curve provided in HYPERFORM. Numerical
simulations were carried out for the given conditions and
results were obtained. The circular drawbeads were
modeled on the die surface with the dimensions given in
Table 2. The profile of drawbeads given in HYPERFORM
is shown in Fig.2. A uniform gap of 0.2mm was maintained
between blank, blank holder and die surface using
AUTOPOSITION command.

Fig 3 Thickness measurement locations on cup surface[9]

TABLE 2
Dimension of Circular Draw bead

Height
Drawbead radius

6.5mm

3.5mm
6.5mm

429

(a)

(a)

(b)

(b)

(c)

(c)

(d)

(d)
Fig-4 Thickness distributions
(Numerical without draw bead)
(a)FR=1.5 (b) FR=2.5 (c) FR=3.5 (d)FR=4.5

Fig-6 Thickness distributions

(Numerical-circular draw bead)
(a)FR=1.5 (b) FR=2.5 (c) FR=3.5 (d) FR=4.5

Fig-5 Thickness distributions

(Numerical without draw bead)
For FR=3.0

Fig-7 Thickness distributions

(Numerical-circular draw bead)
For FR=3.0

430

Table-3 Thickness distribution

N
o

Without Drawbead
Exp

FR=
1.5

FR=2

FR=
2.5

0.81

0.81

0.901

0.911

0.879

0.89

0.801

0.877

0.786

With Drawbead

FR=3

FR=
3.5

FR=4

FR=
4.5

Exp

FR=
1.5

FR=
2

FR=
2.5

FR=
3

FR=
3.5

0.916

0.911

0.895

0.893

0.89

0.895

0.895

0.91

0.787

0.913

0.802

FR=
4

FR
=4.5

0.898

0.874

0.879

0.857

0.905

0.785

0.874

0.888

0.793

0.853

0.882

0.89

0.894

0.864

0.871

0.873

0.882

0.86

0.892

0.86

0.846

0.876

0.891

0.88

0.858

0.89

0.78

0.838

0.852

0.859

0.861

0.85

0.844

0.869

0.915

0.915

0.899

0.867

0.901

0.777

0.833

0.856

0.863

0.867

0.857

0.856

0.873

0.924

0.934

0.937

0.917

0.885

0.914

0.764

0.838

0.867

0.896

0.885

0.875

0.872

0.901

0.924

0.941

0.944

0.944

0.929

0.904

0.929

0.78

0.85

0.888

0.935

0.904

0.897

0.896

0.921

0.82

0.939

0.948

0.951

0.945

0.941

0.922

0.946

0.84

0.87

0.905

0.935

0.925

0.922

0.922

0.945

0.825

0.954

0.953

0.946

0.947

0.947

0.923

0.95

0.853

0.883

0.932

0.93

0.937

0.931

0.926

0.944

0.835

0.87

0.844

0.954

0.917

0.941

0.92

0.943

0.832

0.916

0.935

0.839

0.934

0.926

0.914

0.931

10

0.853

0.616

0.741

0.864

0.856

0.79

0.823

0.912

0.854

0.94

0.867

0.758

0.843

0.904

0.867

0.916

11

0.886

0.196

0.744

0.811

0.86

0.888

0.855

0.841

0.863

0.849

0.677

0.763

0.811

0.83

0.873

0.902

12

0.866

0.533

0.742

0.811

0.876

0.909

0.856

0.904

0.882

0.132

0.681

0.762

0.84

0.87

0.889

0.918

13

0.895

0.805

0.816

0.857

0.938

0.976

0.938

0.919

0.901

0.575

0.791

0.871

0.946

0.946

0.959

0.985

14

0.935

1.033

1.01

1.017

1.003

1.019

1.028

1.027

1.028

1.021

1.015

1.041

1.05

1.022

1.001

1.019

15

1.03

1.042

1.059

1.063

1.063

1.067

1.051

1.076

1.031

1.038

1.058

1.061

1.066

1.064

1.05

1.064

Table -4 Plastic strain distribution

Without Drawbead

With Drawbead

No

FR=1.5

FR=2

FR=2.5

FR=3

FR=3.5

FR=4

FR=4.5

FR=1.5

FR=2

FR=2.5

FR=3

FR=3.5

FR=4

FR=4.5

0.14

0.128

0.121

0.127

0.143

0.152

0.135

0.176

0.164

0.154

0.149

0.165

0.171

0.152

0.17

0.155

0.149

0.152

0.17

0.176

0.159

0.204

0.188

0.18

0.177

0.194

0.19

0.173

0.176

0.158

0.153

0.158

0.172

0.178

0.159

0.226

0.206

0.197

0.194

0.21

0.196

0.184

0.161

0.143

0.136

0.139

0.16

0.175

0.154

0.235

0.206

0.196

0.192

0.205

0.187

0.183

0.148

0.136

0.124

0.122

0.146

0.161

0.148

0.231

0.195

0.167

0.174

0.186

0.173

0.161

0.147

0.138

0.126

0.127

0.145

0.15

0.142

0.219

0.176

0.148

0.158

0.163

0.152

0.147

0.149

0.165

0.138

0.149

0.155

0.149

0.141

0.199

0.168

0.181

0.143

0.143

0.135

0.142

0.165

0.182

0.172

0.179

0.182

0.178

0.167

0.194

0.152

0.223

0.15

0.156

0.159

0.171

0.313

0.361

0.192

0.245

0.224

0.228

0.211

0.168

0.182

0.361

0.185

0.207

0.22

0.245

10

0.773

0.553

0.34

0.368

0.475

0.401

0.284

0.171

0.306

0.506

0.354

0.258

0.307

0.271

11

2.247

0.592

0.459

0.412

0.388

0.402

0.422

0.327

0.644

0.529

0.45

0.423

0.345

0.332

12

0.978

0.624

0.495

0.433

0.414

0.426

0.392

2.716

0.68

0.568

0.457

0.419

0.374

0.366

13

0.479

0.534

0.476

0.39

0.35

0.348

0.423

0.837

0.538

0.44

0.36

0.364

0.325

0.319

14

0.184

0.29

0.29

0.308

0.287

0.238

0.284

0.14

0.243

0.232

0.236

0.274

0.277

0.276

15

0.166

0.215

0.239

0.24

0.233

0.193

0.205

0.111

0.166

0.185

0.195

0.198

0.201

0.213

blank holder interface and analysis was carried out for

different lubricants.

III. RESULTS AND DISCUSSION

To obtain the effect of lubricants in sheet metal forming
few results are obtained without the presence of drawbeads
and thickness was measured at different locations. Circular
drawbead was introduced at optimized locations at die

A. THICKNESS DISTRIBUTION:
The details of the thickness measured at 15 locations
for different lubricants are given in Table 3 for

431

outcomes and presented in Table 4. The same values are

plotted in a graph for better comparison in Fig.9.

experimental [9] and numerical studies. The thickness

comparison graph for numerical values and experimental
readings are shown in Fig. 6 respectively. Both the curve
show thinning is more in the middle region where
stretching taking place, gradually thickness increases
towards the bottom portion. Due to compressive strain the
flange portion has the maximum thickness, which is even
thicker than original sheet thickness.
From the Table 4 it is observed that there is a deviation
between experimental and numerical findings for different
die fillet radius which shows good agreement between
them. When die fillet radius was change, we can see the
effect on the thickness distribution. Introduction of circular
drawbeads reduces the thickness in the side and bottom
portion of the cup but there is no considerable change in
the flange area. Since the circular drawbead controls more
material, the flange portion is thicker than other two cases.
We can see from table-3 the cup was failure, when we
are using castor oil (FR=1.5) and in other three condition
cup formation is safer.

2.5

FR=1.5

FR=2

1.5

FR=2.5

FR=3

0.5

FR=3.5
FR=4

0
1

9 11 13 15
(a)

FR=1.5

2.5

FR=2

FR=2.5

1.5

1.2

Exp

FR=3

0.2
1

9 11 13 15

FR=4

FR=1.5

0.8

FR=2

0.6

9 11 13 15

FR=4.5

The strain distribution patterns obtained during cup

formation with different lubrications condition without and
the presence of circular drawbead shows that the strain
distribution is constant over cup wall region where as in the
neck region the strain value increases and near flange
region it comes down. This curve pattern is true for
different cases.

Exp

(b)

(a)
1.2

Fig.9 Strain comparison graph

(a) Without draw bead
(b) With circular draw bead

FR=3.5

FR=4

FR=2.5

0.4

FR=3.5

0.5

FR=2

0.6

FR=3

FR=1.5

0.8

FR=4.5

FR=2.5

0.4

FR=3

0.2

FR=3.5

0
1

9 11 13 15

FR=4

(b)
Fig.8 Thickness comparison graph
(a) Without draw bead
(b) With circular draw bead

A. PLASTIC STRAIN DISTRIBUTION:

The numerical simulation of distribution of plastic
strain during cup formation without and with circular
drawbeads is shown in Fig. 5 for without draw bead
(FR=3.0) and in Fig.7 for circular draw bead (FR=3.0)The
plastic strain values are measured from numerical

Fig. 10 Forming Limit Diagram for FR=1.5

(Without Drawbead)

Forming limit diagram (FLD) is a good representation

of the stretch ability of the sheet metal being drawn shown
in Fig.10 for without drawbead (FR=1.5)

432

IV. CONCLUSION
Circular drawbead profile and different lubrication
conditions have been used to identify the thickness and
strain distribution pattern in hemispherical cup forming
using finite element analysis and experimental analysis[9].
For this purpose PRO-E and HYPERFORM have been
used. The parameters such as thickness and strain values
were measured using circular grid pattern method and these
details were used to validate the numerical findings. Based
on the study the following remarks were drawn:
Drawbead locations are crucial to their effectiveness
and proper selection of lubrication condition also
necessary between the punch, die, blank holder and
blank surface for reducing the tool wear.
On comparison of different lubrication conditions,
when the value of co-efficient of friction is increased,
thickness reduction is more for both without and with
circular drawbead.
Simulations show that the die fillet radius influences
the stress development in the cup formation.
Flange area thickening is more in the case of circular
drawbead which is not desirable since the flange
portion is generally trimmed off as a waste.
V. REFERENCES
H.D.Nine, New drawbead concepts for sheet metal forming,
J.Appl. Metal Working, 2(3), 1982,pp 185-192.
[2] H.D.Nine, The applicability of Coulombs friction law to
drawbeads in sheet metal forming, J.Appl.Metal Working, 2(3),
1982, pp 200-210.
[3] N.M.Wang,, A mathematical model of drawbead forces in sheet
metal forming, J.Appl.Metal Working, 2(3), 1982, pp 193-199.
[4] B.S.Levy, Development of predictive model for drawbead
restraining forces utilizing work of Nine and Wang, J.Appl.Metal
Working, 3(1), 1983, pp 38-44.
[5] Chen and Tszeng, An analysis of drawbead restraining force in
stamping process, International Journal of Machine Tools and
Manufacturing, (38), 1998, pp 827-842.
[6] M.Samuel, Influence of drawbead geometry on sheet metal
forming, journal of Material Processing and Technology, (122),
2002, pp 94-103.
[7] Vahid Vahdat, Sridhar Santana and Young W. Chun, A Numerical
investigation on the use of drawbeads to minimize ear formation in
deep drawing, Journal of Material Processing Technology, 176
(2006), pp 70-76.
[8] Numerical design optimization of drawbead position and
experimental validation of cup drawing by N. Mohamed Sheriff , M.
Mohamed Ismail, journal of materials processing technology 206 (
2008 ) 83-91.
[9] Analysis of Influence of Draw Bead Location and Profile in
Hemispherical Cup by A. Murali G., B. Gopal M. and C. Rajadurai
A, IACSIT International Journal of Engineering and Technology,
Vol.2, No.4, August 2010.
[10] PRO-E, Application Manual.
[11] HYPERFORM, User Manual.
[12] Donaldson, Tool Design, Tata McGraw Hill Publication, New
Delhi, 1976.
[1]

433

A Novel Detection and Removal Scheme for

Denoising Images Corrupted with Gaussian Outliers
Akshat Jain, Vikrant Bhateja
Abstract-- Proper choice of denoising filter is a very important
requirement for efficient image restoration because most of the
filters only reduce the effect of the noise rather than removing
it. In this paper, a novel algorithm for filtering of gaussian
outliers based on the local features of the image is proposed.
The algorithm first categorizes the pixels into edge, texture and
noise points and then restores the corrupted image using the
adaptive neighborhood concept. The proposed algorithm is
objectively evaluated by using the PSNR and MAE parameters.
Simulation results indicate a marked improvement in
restoration quality in comparison to other methods.

The pixels in a gaussian noise contaminated image are

modeled by the addition of a numerical value from a zero
mean gaussian distribution. Consequently, the value of each
pixel is modified from its original value by a small amount
according to the standard deviation of the noise [2, 5-9]. To
reduce the effect of gaussian noise, many filters have been
proposed till date. Conventional linear filtering techniques
such as gaussian filter and arithmetic mean filter were
computationally simpler but they tend to blur the edges.
This limitation led to the development of non linear filtering
techniques so as to efficiently preserve the image structure.
But they ceased to perform effectively in mainly two
situations. Firstly, when they falsely treated image details as
outlier points, therefore removing them from the image and
secondly when they treated outlier points as image detail
and thus left them unchanged. A good noise detector using
the concept of local statistics is not sensitive to the first type
of error. On the other hand, the second error may degrade
the quality of the image to a considerable extent. Therefore,
at the initial level only, edges and textures should be
identified so that there is no loss of edges and fine details in
the restored image. Weiner filter [10] is the most common
filter used for the removal of gaussian noise. But it leads to
huge amount of blurring specially near the regions
containing fine features and edges. This is because it filters
the whole image uniformly without taking into
consideration any local/ non local feature of the image.
Dengwen et al. [11] proposed an improved technique for
gaussian noise removal in wavelet domain by thresholding
(shrinkage) of the corrupted wavelet coefficients. It was
observed that excessive thresholding resulted into heavy
loss of details, thereby distorting the image. Various
methods to denoise images corrupted with gaussian noise
have been proposed in [12-14]. Though they removed the
contaminations posed by the gaussian noise effectively, they
also destroyed the high frequency structure of the image,
thereby distorting the fine details. Garnett et al. proposed a
bilateral image filtering scheme [15] in which a single filter
was used to remove the degradations posed by the combined
effect of gaussian and impulse noise. The authors concluded
that a tradeoff has to be done between the preservation of
the edges and the amount of the residual noise, thus
reducing the efficiency of the filter. Chih et al. proposed a
modified form of bilateral filtering for the removal of a
mixture of gaussian noise and impulse noise [16]. The
authors first differentiated between the pixels corrupted by

Index Terms-- adaptive neighborhood, Gaussian outliers,

image restoration, PSNR.

I. INTRODUCTION
very large amount of information is to be processed
by most of the image acquisition systems which are in
vogue nowadays. These acquisition systems may
include synthetic aperture radar image sensors, airborne
sensors, medical image sensors or amateur camera sensors.
The localized hardware failures in these acquisition systems
often introduce various artifacts in the image such as noise.
The process of elimination of these hardware failures is not
only costly but also time consuming and hence impractical.
Therefore, application of filtering and restoration algorithms
is always preferred to reduce the effect of the degradations
caused by these hardware failures. The choice of the
restoration algorithm is always dependent upon the
statistical properties of the artifacts (noise) contaminating
the image. However, it is usually observed that the restored
image is only an approximation to the original one. The
different types of noises which usually contaminate a digital
image are salt and pepper, random impulse, poisson,
gaussian etc and are described in [1-4]. But the most
common form of noise contaminating the digital image is
the additive gaussian noise.

Akshat Jain is a B.Tech. final semester student from the Deptt. of

Electronics & Communication Engineering, SRMGPC, Lucknow, India.
(E-mail:jainakshatjain@yahoo.com)
Vikrant Bhateja is an Assistant Professor in the Deptt. of Electronics
& Communication Engineering, SRMGPC. He is the research supervisor of
the above author. (E-mail: bhateja.vikrant@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

434

amv1 submed 4 submed1

both the noises followed by the application of the modified

bilateral filter for the removal of the noises. Though the
noise points were efficiently detected by the filter, still the
reconstructed image witnessed huge amount of blurring near
the edges. Kun et al. proposed a novel scheme for the
removal of gaussian noise based on the local features of the
image [17]. The restoration results were not effective as the
method falsely treated image details as noise as well as the
filter ceased to remove the noise completely around the
edges. This paper is organized as follows: In section II, the
proposed denoisng method is discussed in detail. Section III
presents the experimental results followed by the
conclusions in section IV.

amv2 submed3 submed 2

where: amv1 and amv2 signify the amount of correlation

between the information contained in the sub windows.
Corresponding to the values of amv1 and amv2 , the
image pixels are classified as strong edge points, weak edge
points and no edge points. Small value of amv1 indicates
that the difference between the maximum and the minimum
value of the median is small thus signifying the absence of
any edge. The larger the value of amv1 and smaller the

II. PROPOSED DENOISING METHOD

value of amv2 , weaker is the edge present. But, when both

Conventional spatial domain filters based on local

statistics process the central pixel on the basis of
neighboring pixels using the combination of linear and non
linear filtering techniques [18]. These non-linear filtering
approaches fail to suppress the additive noise in regions of
high frequency, such as edges. These edges and other finer
details are important features, necessary to be extracted for
further processes such as segmentation and feature
extraction. The proposed denoising method uses a two stage
noise removal scheme based on the local features of the
image. In the first stage, it is estimated that whether the
image pixel is a weak edge point, outlier point, noise free
point or an edge texture point. Next, the denoising algorithm
is applied on the outliers to obtain the final denoised image.
The working of the proposed denoising method can be
explained as follows:

amv1 and amv2 are large, there is a presence of strong

edge/ texture. The above mentioned conditions can be
summarized in the following table:

amv1 r

WeakEdge

amv1 r and

Texture

amv2 r

amv2 r (4)

submed1 submed2 submed3 submed 4

4

(5)

The assorted reference ( rm ) can be then defined as:

submed3 submed2
amv2 r
2
submed3
amv2 r
and
(submed3 , submed4 )
rm

(1)

submed2

where: k takes the values in between 1 and 4 and

submed1 , submed2 , submed3 , submed4 represent the
median values of the 4 smaller quadrant blocks of the larger
window (subwin). These four median values are then
arranged in an increasing order and can be written as

amv [submed1 submed2 submed3 submed4 ]

No edge

where: the value of r lies in between 15 and 40. The

different median values of the smaller windows are now
averaged to compute the value of .

A. Gaussian Outliers Identification Block

An initial window of size 5 is chosen and is sub divided into
many smaller windows to extract the local edge and texture
information from the input image. The sub division is done
in such a way that the central pixel of the larger window
now becomes the corner most pixel of the new sub
windows. Subsequently, the median value is computed for
each sub window (subwin):

submed median(subwink )

(3)

amv3 r

and

(submed1 , submed2 )

(6)
If the difference between the rm and the current value is
greater than a particular threshold, then the pixel is most
likely to be an outlier point.

(2)

Depending upon the values of the sorted median values,

information about the edge and texture can be extracted as
follows:

435

if x rm
Gaussian

noise

present

noise

absent

used. It is generally presumed that higher the value of

PSNR, better is the quality of restored image. Some of the
advantages of using PSNR are its calculative simplicity and
good mathematical convenience in terms of optimization. If
f(i j) denotes the original image, y(i,j) denotes the restored
image, i & j are the pixel position of the M x N image, n is
the number of bits, then the Peak Signal to Noise Ratio
(PSNR) [20] in dB is given as:

else
Gaussian
end

where: the value of

is empirically chosen to be 5.

PSNR 10 log10

B. Gaussian Outliers Removal Algorithm

(2n -1) 2
MSE

(7)

and MAE is given by

The various steps involved in the process of the removal of
the gaussian outliers can be explained in the following steps:

MAE

Initialize the window size (w) to 3.

Estimate the variance of the flat region
of the image.

Arrange the pixels inside the window in

an ascending manner and compute the
trimmed mean for Y pixels values.
Else
Increase the window size by a factor of
2 not exceeding the maximum window size
of 7.
where:
Y=No of pixels in the inner window/ size
of the window,
no

of

the

boundary

and the value of the constant can range

between (2 3).
This process is repeated for every pixel till the filtered
image is obtained.
III.

abs[ f (i, j ) - y(i, j )]

i 1 j 1

(8)

B. Simulation Results
The proposed denoising algorithm is tested on a gray
scale peppers image of size 512x512 pixels. The image is
initially normalized and then corrupted by additive white
gaussian noise of zero mean at various noise variances
ranging from as low as 0.01 to as high as 0.05. Fig. 1 shows
the restoration of the peppers image at various noise
variances using the proposed denoising algorithm (PA). The
visual quality of the image clearly depicts that the proposed
filter removes the gaussian noise completely without
distorting the fine details and the high frequency structure of
the image. The quality of the restored image is objectively
evaluated using the PSNR and MAE parameters. Figure 1 (a,
c, e, g & i) show the images corrupted by additive white
gaussian noise at different variances. Figure 1 (b, d, f, h &
j) show the corresponding denoised images for different
intensity combinations of gaussian noise clearly depicting
that noise is suppressed very effectively without introducing
any blurring. This is objectively verified by computing the
values of PSNR and MAE as shown in Table 1. Simulation
results clearly depict a significant improvement in the
quality of the restored image in for filtering of gaussian
noise.

Compute the variance (v) of the boundary

pixels of the initialized window.
If v<=num

num= (var*con)/
pixels,

1
M .N

IV.

EXPERIMENTAL RESULTS

CONCLUSION

The proposed algorithm mainly tries to overcome two

limitations which were encountered in the previous
algorithms i.e. diffusion of noise points in the restored
image and blurring of the finer details for large window
sizes. The proposed work suggests an improvement in the
adaptive neighborhood statistics approach. The gaussian
outliers are first differentiated from the edge points, texture
points and uncorrupted points followed by the adaptive
increase of the window size (max of 5x5) depending upon
the local features. The corrupted pixels are then replaced by
the trimmed mean of the neighborhood pixels. The obtained
objective results easily quantify the efficiency of the

A. Objective Evaluation of Restored Image Quality

The method for assessment of the image quality to be
ultimately viewed by the human beings through subjective
evaluation is inconvenient, time consuming and expensive
[19]. Therefore the objective evaluation methods are
preferred as they can dynamically monitor and adjust image
quality, optimize parameter settings and can be used to
benchmark digital image processing systems. Among the
various metrics for objective evaluation of image quality,
Peak Signal-to-Noise Ratio (PSNR) and Mean Absolute
Error (MAE) are the most important and most commonly

436

[14] M. Sonka, V. Hlavac and R. Boyle, Image Processing, Analysis, and

Machine Vision. 2 nd eds., Boston, MA: PWS-Kent, 1999.
[15] R. Garnett, T. Huegerich, C. Chui and H. Wenjie, A universal noise
removal algorithm with an impulse detector, IEEE Transactions
on Image Processing, vol. 14, no. 11, pp. 1747-1754, 2005.
[16] H.L. Chih, S.T. Jia and T.C. Ching, Switching bilateral filter with a
texture/noise detector for universal noise removal, IEEE
Transactions on Image Processing, vol. 19, no. 9, pp. 2307-2320,
2010.
[17] H. Kun, C.L. Xin, H.L.Chun L. Ran, Gaussian noise removal of
image on the local feature, 2nd Int. Symposium on Intelligent
Information Technology Application, vol. 3, pp. 867871, 2008.
[18] M. Gabbouj and Y. Neuvo, Weighted median filters: a tutorial,
IEEE Trans. Circuits and Systems-II: Analog and Digital Signal
Processing, vol. 43, no. 3, pp. 157-192, 1996.
[19] Z. Wang, A.C. Bovik, H.R. Sheikh and E.P. Simoncelli, Image
quality assessment: from error visibility to structural similarity,
IEEE Transactions on Image Processing, vol. 13, pp. 600-612, 2004.
[20] M.E. Ahmet and P.S. Fisher, Image quality measures and their
performance, IEEE Transactions on Communication, vol. 43, no. 12,
pp. 2959-2965, 1995.

proposed algorithm and are backed by the good visual

quality of the restored image.
REFERENCES
[1]

[2]

[3]

[4]

[5]

[6]

[7]

[8]

[9]
[10]
[11]

[12]
[13]

J. Zhang, Q. Zhang and G. He, Blind deconvolution of a noisy

degraded image, Applied Optics, vol. 48, no. 12, pp. 2350-2355,
2009.
H. Ibrahim, N. Kong and T.F. Ng, Simple adaptive median filter for
the removal of impulse noise from highly corrupted images, IEEE
Transactions on Consumer Electronics, vol. 54, no. 4, pp. 1920-1927,
2008.
A. Gabay, M. Kieffer and P. Duhamel, Joint source-channel coding
using real BCH codes for robust image transmission, IEEE
Transactions on Image Processing, vol. 16, no. 6, pp. 1583-1927,
2007.
G. Redinbo, Decoding real block codes: activity detection Wiener
estimation, IEEE Transactions on Information Theory, vol. 46, no. 2,
pp. 609-623, 2000.
F. Russo, A method for estimation and filtering of Gaussian noise in
images, IEEE Transactions on Instrumentation and Measurement,
vol. 52, no. 4, pp. 1148-1154, 2003.
M. Ghazal, A. Amer and A. Ghrayeb, Structure-oriented
multidirectional Wiener filter for denoising of image and video
signals, IEEE Transactions on Circuits and Systems for Video
Technology, vol. 18, no. 12, pp. 1797-1802, 2008.
A.C. Bovik, Handbook of Image and Video Processing.
Communications, Networking and Multimedia, Academic Press:
Orlando, FL, USA, 2005.
C. Liu, R. Szeliski, S.B. Kang, C.L. Zitnick and W.T. Freeman,
Automatic estimation and removal of noise from a single image,
IEEE Transactions on Pattern Analysis and Machine Intelligence, vol.
30, no. 2, pp. 299-314, 2008.
R.C. Gonzalez and R.E. Woods, Digital Image Processing. AddisonWesley, 2003.
N. Wiener, Extrapolation, Interpolation, and Smoothing of Stationary
Time Series. MIT Press: MA, Cambridge, 1942.
Z. Dengwen and C. Wengang, Image denoising with an optimal
threshold and neighboring window, Pattern Recognition Letters, vol.
29, no. 11, pp. 1694-1697, 2008.
K. Castleman, Digital Image Processing. Englewood Cliffs, NJ:
Prentice- Hall, 1996.
A. Papoulis, Probability, Random Variables, and Stochastic
Processes. McGraw-Hill (3rd eds.): New York, 1991.

Table 1. Tabulation of different quality metrics

obtained for the proposed denoising algorithm for
different variances of gaussian noise.
Variance of
the simulated
Gaussian
noise
0.01
0.02
0.03
0.04
0.05

437

PSNR (dB)

MAE

31.0237
29.7260
28.1391
26.5737
25.1797

0.0028
0.0231
0.0253
0.0312
0.0483

0.01

1(b)

1(c)

1(d)

1(e)

1(f)

1(g)

1(h)

0.05

0.04

0.03

0.02

1(a)

1(i)
1(j)
Figure 1 (a, c, e, g & i) show the images corrupted by
additive white gaussian noise at different variances. Figure 1
(b, d, f, h & j) show the corresponding denoised images.

438

Mitigation of Harmonics using Fuzzy Logic

Controlled Shunt Active Power Filter with
Different Membership Functions
By Instantaneous Power Theory
Suresh Mikkili and Anup Kumar Panda
msuresh.ee@gmail.com and akpanda.ee@gmail.com).

Abstract- The main objective of this paper is to develop the

Fuzzy controller with different membership functions
(M.Fs) to improve the power quality of shunt active filter
by mitigating the harmonics. Issues related to harmonics
are of a greater concern to engineers and building designers
because they do more than just distort voltage waveforms,
they can overheat the building wiring, cause nuisance
tripping, overheat transformer units, and cause random
end-user equipment failures. Thus power quality is
becoming more and more serious with each passing day. As
a result, active power filters have gained a lot of attention
due to their excellent harmonic compensation. However, the
performance of the active filters seems to have
contradictions with different control techniques. To carry
out this analysis, active and reactive power method (p-q) is
considered. When the supply voltages are balanced and
sinusoidal, all Fuzzy membership functions (Trapezoidal,
Triangular and Gaussian) are converging to the same
compensation characteristics. However, the supply voltages
are distorted and/or un-balanced sinusoidal, the fuzzy logic
controller result in different degrees of compensation in
harmonics. Extensive simulations were carried out. The
simulations were performed under balance, unbalanced and
non sinusoidal conditions. The Fuzzy logic controller with
Gaussian M.F gives dynamic performance than Fuzzy with
other two M.Fs.

It is noted that non-sinusoidal current [3-4] results in

many problems for the utility power supply company,
such as: low power factor, low energy efficiency,
electromagnetic interference (EMI), distortion of line
voltage etc.
The PI controller in requires precise linear mathematical
models, which are difficult to obtain and may not give
satisfactory performance under parameter variations, load
disturbances, etc. Recently, fuzzy logic controllers [5]
have received a great deal of attention in regards to their
application to APFs. The advantages of fuzzy controllers
over conventional controllers are that they do not require
an accurate mathematical model, can work with
imprecise inputs, can handle non-linearity, and are more
robust than conventional controllers. The Mamdani type
of fuzzy controller from [6], used for the control of an
APF, gives better results when compared with PI
controllers, but it has the drawback of a larger number of
fuzzy sets and 49 rules.
Present paper mainly focused on the Fuzzy logic
controller with different membership functions
(M.Fs) to analyse the performance of instantaneous real
active and reactive power (p-q) control strategy for
extracting reference currents of shunt active filters [7]
under different voltage conditions. PWM pattern
generation based on carrier less hysteresis based current
control is used for quick response. It is also observed that
DC voltage regulation system valid to be a stable and
steady-state error free system was obtained. Thus with
fuzzy logic and (p-q) approaches a novel shunt active
filter can be developed by using different M.Fs.

Index Terms Harmonic compensation, SHAF, p-q control

strategy, Fuzzy logic Controller, different M.Fs

I.

INTRODUCTION

Due to the proliferation of nonlinear loads such as

power electronic converters in typical power distribution
systems the power quality [1] has become an important
and growing problem. Particularly, voltage harmonics
and power distribution equipment problems are the result
of current harmonics [2] produced by nonlinear loads.
As nonlinear currents flow through a facility's
electrical system and the distribution-transmission lines,
additional voltage distortions are produced due to the
impedance associated with the electrical network. Thus,
as electrical power is generated, distributed, and utilized,
voltage and current waveform distortions are produced.

II. INSTANTANEOUS ACTIVE AND REACTIVE POWER

(P-Q) THEORY
Instantaneous reactive power theory (or pq theory)
was first proposed by Akagi and co-authors in 1984 [8],
and has since been the subject of various interpretations
and improvements. In this method [9-10], a set of
voltages (va, vb, vc) and currents (ia, ib, ic) from phase
coordinates are first transferred to the 0 coordinates
using Clark transformation:

Suresh Mikkili and Anup Kumar Panda are in Dept. of Electrical

Engineering of National Institute of Technology Rourkela, India(email:

978-1-4673-0455-9/12/$31.00 2012 IEEE

439

V
v
0
a
V = C v ;

b
V
v

c

2
3

C =

2
1
2
3
2

1
0

i
0
i = C

i

1
2
1
-
2

3
2

La
i
Lb
i
Lc

Instantaneous zero-sequence active current i is

0p
v
i = 0 P
(4)
0p
2
v
0
Instantaneous zero-sequence reactive current i is
0q

(1)

(2)

i =
0q
2
v

and C 1 = CT
The p-q formulation defines the generalized
instantaneous power, p(t), and instantaneous reactive
power vector, q(t) in terms of the -0 components as

Where

p
q

q

q
0

(5)

0
0
Instantaneous active current on -axis i is
p

Where C is the so called transformation matrix C = 1

v
0
v
-v

0
i

i 1 v
-v
0
v

2

v

0
0

v
-v
0
v

v
i

(6)

0
Instantaneous reactive current on -axis i is
q
i

(3)

=
v

v
0
2

q
0

(7)

2
v
0

p0

Fig.1. Reference current extraction with conventional p-q method.

Instantaneous active current on -axis i

v
i

=
v

is

Instantaneous reactive current on -axis i

(8)

v2

v
0
q
0
2
v

is
(9)

The objective of the p-q strategy [11] is to get the source

to give only the constant active power demanded by the
load P ( t ) = P (t) + P
(t) In addition, the source
s
L0
L
must deliver no zero-sequence active power is0ref 0

440

capacitor voltage is compared with a set reference value.

The error signal is then processed through a Fuzzy
controller, which contributes to the zero steady error in
tracking the reference current signal.

(so that the zero-sequence component of the voltage at

the PCC does not contribute to the source power). The
reference source current in the --0frame is therefore

is ref

is ref

is0ref

v
2
2
v v

i
s ref

is ref

is0ref

v
0

-v
0

-v

P
P

L
L0

2
2

v v

P
P
L0
L

v
0

-v

v

v

0

(10)

Design of control rules:

The fuzzy control rule [13] design involves defining
rules that relate the input variables to the output model
properties. As fuzzy logic controller is independent of
system model, the design is mainly based on the intuitive
feeling for, and experience of, the process. The rules are
expressed in English like language with syntax such as If
{error E is X and change of error E is Y} then {control
output is Z} For better control performance finer fuzzy
petitioned subspaces {NB (negative big), NM (negative
medium), NS (negative small), ZE (zero), PS (positive
small), PM (positive medium), and PB (positive big),}
are used, and summarized in table 1.These seven
membership functions are same for input and output and
characterized using trapezoidal, triangular and Gaussian
membership functions, as can be seen in in Fig 3,4 and 5.

(11)

III. CONSTRUCTION OF FUZZY CONTROLLER

Fig.2 shows the internal structure of the control
circuit. The control scheme consists of a Fuzzy controller
[12], a limiter, and a three phase sine wave generator for
the generation of reference currents and switching
signals. The peak value of the reference current is
estimated by regulating the DC link voltage. The actual

Fig. 2. Proposed Fuzzy logic Controller (FLC)

Fig. 3 (a) Input Variable Error E Trapezoidal M.F.

Fig. 3(c) Output Imax Normalized Trapezoidal M.F

Fig. 4(a) Input Variable Error E Triangular M.F

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Fig. 3 (b) Input Change in Error Normalized Trapezoidal M.F

441

Fig. 4(b) Input Change in Error Normalized Triangular M.F

Fig. 4(c) Output Imax Normalized Triangular M.F

IV. SYSTEM PERFORMANCE

Fig. 6, 7 and 8 illustrate the performance of the shunt
active power filter under different main voltages. As the
load is highly inductive, the current draw by the load is
integrated with rich harmonics.
Initially the system performance is analyzed under
balanced sinusoidal conditions, during which the Fuzzy
logic controller (FLC) with all M.Fs (Trapezoidal,
Triangular and Gaussian) are good enough at suppressing
the harmonics and THD to about 1.87%, 1.27% and
0.76%. However, under unbalanced and non-sinusoidal
conditions the FLC with Gaussian M.F shows superior
performance over the FLC with other two M.Fs.
The total harmonic distortion (THD) of the FLC with
Trapezoidal M.F under unbalanced condition is to about
3.74% and under non-sinusoidal condition is about
4.93%.
The THD of the FLC with Triangular M.F under
unbalanced condition is to about 2.98% and under nonsinusoidal condition is about 3.85%.
The THD of the FLC with Gaussian M.F under
unbalanced condition is to about 1.82% and under nonsinusoidal condition is about 2.65%.
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Fig. 5 (a) Input Variable Error E Gaussian M.F

Fig. 5 (b) Input Change in Error Normalized Gaussian M.F

Fig. 5(c) Output Imax Normalized Gaussian M.F

TABLE 1. RULE BASE

442

40

300

30

Load Current (Amps)

Source Voltage (Volts)

400

200
100
0
-100
-200

20
10
0
-10
-20
-30

-300
-400
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

-40
0.352

0.372

0.354

0.356

0.358

0.36

0.362

150

100
50
0
-50
-100
-150
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

100
50
0
-50
-100
-150
0.352

0.372

Time (Sec)

-100

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

200

0
0.352

0.372

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0
-50
-100
-150
0.352

0.372

Source Current (Amps)

50
0
-50
-100

0.358

0.36

0.362

0.36

0.364

0.366

0.368

0.37

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.364

0.366

0.368

0.37

0.372

400

200

0
0.352

0.372

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

0.364

0.366

0.368

0.37

0.372

Time (Sec)

1000

100
50
0
-50
-100
-150
0.352

0.372

0.362

600

150

100

0.356

0.358

800

Time (Sec)

150

0.354

0.356

1000

50

Time (Sec)

-150
0.352

0.354

Time (Sec)

DC Link Voltage (Volts)

-150
0.352

0.372

400

DC Link Voltage (Volts)

0
-50

Filter Current (Amps)

0.354

100

Source Current (Amps)

Filter Current (Amps)

50

0.37

600

150

100

0.368

800

Time (Sec)

150

0.366

1000

DC Link Voltage (Volts)

Source Current (Amps)

Filter Current (Amps)

150

0.364

Time (Sec)

Time (Sec)

0.354

0.356

0.358

0.36

Time (Secs)

0.362

0.364

0.366

0.368

0.37

800

600

400

200

0
0.352

0.372

Time (Secs)

0.354

0.356

0.358

0.36

0.362

Time (Secs)

Fig 6. SHAF with with p-qcontrol strategy under balanced Sinusoidal condition
40

400

Load Current (Amps)

Source Voltage (Volts)

300
200
100
0
-100
-200

20

-20

-300
-400
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

-40
0.352

0.372

0.354

0.356

0.358

0.36

Time (Sec)

50
0
-50
-100

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

0
-50
-100
-150
0.352

150

100

100

50
0
-50
-100

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

Time (Sec)

0
0.352

-100

0.36

0.362

0.356

0.358

0.364

Time (Sec)

0.366

0.368

0.37

0.372

0.36

0.362

0.364

0.366

0.368

0.37

0.372

Time (Sec)

-150
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

800

600

400

200

0
0.352

0.372

0.354

0.356

0.358

0.362

0.364

0.366

0.368

0.37

0.372

Time (Sec)

100
50
0
-50
-100
-150
0.352

0.36

1000

DC Link Voltage (Volts)

-50

0.358

0.354

1000

-50

Source Current (Amps)

0.356

0.372

200

Time (Sec)

50

0.354

0.37

400

150

100

-150
0.352

0.368

600

0.372

50

150

Filter Current (Amps)

0.354

-100

-150
0.352

0.366

800

Time (Sec)

150

Source Current (Amps)

Filter Current (Amps)

Time (Sec)

50

DC Link Voltage (Volts)

0.354

0.364

1000

100

DC Link Voltage (Volts)

Source Current (Amps)

Filter Current (Amps)

150

100

-150
0.352

0.362

Time (Sec)

150

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

800

600

400

200

0
0.352

0.354

Time (Sec)

Fig 7. SHAF with p-q control strategy under un-balanced Sinusoidal condition

443

0.356

0.358

0.36

0.362

0.364

Time (Sec)

0.366

0.368

0.37

0.372

40

300

30

DC Link Voltage (Volts)

Source Voltage (Volts)

400

200
100
0
-100
-200
-300
-400
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

-20
-30
0.354

0.356

0.358

0
-50
-100

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

Time (Sec)

100
50
0
-50
-100
-150
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

150

100

100

Source Current (Amps)

150

50
0
-50
-100

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

Time (Sec)

0
-50

-150
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

DC Link Voltage (Volts)

Source Current (Amps)

50
0
-50
-100

50

-50

-100

0.36

0.362

0.364

0.366

0.368

0.372

0.37

Time (Sec)

0.372

400

200

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

800

600

400

200

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

0.362
0.364
Time (Sec)

0.366

0.368

0.37

0.372

1000

100

0.358

0.37

Time (Sec)

150

0.356

0.368

600

0
0.352

0.372

Time (Sec)

100

0.354

0.366

Time (Sec)

50

150

-150
0.352

0.364

1000

-100

-150
0.352

0.362

800

0
0.352

0.372

Time (Sec)

DC Link Voltage (Volts)

0.354

DC Link Voltage (Volts)

50

-150
0.352

0.36

1000

150

100

Source Current (Amps)

Filter Current (Amps)

0
-10

Time (Sec)

150

Filter Current (Amps)

10

-40
0.352

0.372

Time (Sec)

Filter Current (Amps)

20

-150
0.352

0.354

0.356

0.358

0.36

0.362

0.364

0.366

0.368

0.37

0.372

Time (Sec)

800

600

400

200

0
0.352

0.354

0.356

0.358

0.36

Fig 8. SHAF with p-q control strategy under Non-Sinusoidal condition

(a) Source Voltage (b) Load Current (c) Compensation current using Trapezoidal M.F (d) Source Current with filter using
Trapezoidal M.F (e) DC Link Voltage using Trapezoidal M.F (f) Compensation current using Triangular M.F (g)
Source Current with filter using Triangular M.F (h) DC Link Voltage using Triangular M.F (i) Compensation current
using Gaussian M.F (j) Source Current with filter using Gaussian M.F (k) DC Link Voltage using Gaussian M.F
Selected signal: 100 cycles. FFT window (in red): 1 cycles

5000

Selected signal: 50 cycles. FFT window (in red): 1 cycles

5000
0
-5000

0.2

0.3

0.4

0.5
Time (s)

0.6

0.7

0.8

0.9

THD= 1.87%
1
0.8
0.6
0.4
Selected signal: 100 cycles. FFT window (in red): 1 cycles

0.2

5000

10

15

20

25

30

35

40

45

50

Harmonic order

-5000

0.4

0.6

0.8

1
Time (s)

1.2

1.4

1.6

1.8

5000
0
-5000

THD= 3.74%
1
0.8
0.6
0.4
0.2

Selected signal: 100 cycles. FFT window (in red): 1 cycles

5000

0
00

10

15

20

25

30

35

40

45

50

Harmonic order

0.6

0.8

1
Time (s)

1.2

1.4

1.6

1.8

THD= 1.27%
1
0.8
0.6
0.4
Selected signal: 100 cycles. FFT window (in red): 1 cycles

0.2
5000
0

-5000

00

0.2

10
0.4

0.6

20
0.8

1
Time (s)

30
1.2

Harmonic order

1.4

40
1.6

1.8

50
2

0
0

0.2

0.4

0.6

0.8

1
Time (s)

1.2

1.4

1.6

1.8

THD= 2.98%
1
0.8
0.6
0.4
0.2
0

Selected signal: 50 cycles. FFT window (in red): 1 cycles

5000
-50000

0
0

10
0.1

0.2

20
0.3

0.4

30
0.5
Time (s)

0.6

Harmonic order

40
0.7

0.8

50
0.9

0.4
0.2
0
0

10

15

20

25

30

Harmonic order

35

40

45

50

THD= 1.82%
1
0.8
0.6
0.4
0.2
0
0

10

15

20

25

30

35

40

Harmonic order

45

50

0.8

1
Time (s)

1.2

1.4

1.6

1.8

45

50

0.9

THD= 4.93%
1
0.8
0.6
0.4
Selected signal: 50 cycles. FFT window (in red): 1 cycles

0.2
0
0

0.1

0.2

10

15

20

25

30

35

40

Harmonic order
0.3

0.4

0.5
Time (s)

0.6

0.7

0.8

THD= 3.85%
4
3
2
1
Selected signal: 50 cycles. FFT window (in red): 1 cycles

0
0
0

5000

10

20

-5000

Mag (% of Fundamental)

0.6

Mag (% of Fundamental)

Mag (% of Fundamental)

THD= 0.76%
1

0.6

0.8

0.4

Mag (% of Fundamental)

0.4

Mag (% of Fundamental)

0.2

0.2

-5000

-5000

Mag (% of Fundamental)

0.2

5000

0
0
0

Selected signal: 100 cycles. FFT window (in red): 1 cycles

-5000

Mag (% of Fundamental)

0.1

Mag (% of Fundamental)

Mag (% of Fundamental)

0.1

0.2

0.3

30

Harmonic order
0.4

0.5
Time (s)

0.6

40

50

0.7

0.8

0.9

35

40

45

50

THD= 2.65%
1
0.8
0.6
0.4
0.2
0
0

10

15

20

25

30

Harmonic order

Fig 9. THD of Source Current for p-q method with FLC using
(a)Trapezoidal M.F under balanced sinusoidal (b) under un-balanced sinusoidal c (c) Non-sinusoidal condition
(d)Triangular M.F under balanced sinusoidal (e) under un-balanced sinusoidal c (f) Non-sinusoidal condition
(g)Gaussian M.F under balanced sinusoidal (h) under un-balanced sinusoidal c (i) Non-sinusoidal condition

444

V. CONCLUSION
In the present paper the FLC with different
membership functions (M.Fs) is developed to improve
the power quality of shunt active filter by mitigating the
harmonics. The FLC with Trapezoidal M.F is unable to
suppress the harmonics efficiently. The FLC with
Triangular M.F gives better performance than FLC with
trapezoidal M.F. But, the FLC with Gaussian gives an
outstanding performance than FLC with Trapezoidal
and triangular under any voltage conditions. PWM
pattern generation based on carrier-less hysteresis
current control is used for quick response. It is also
observed that DC voltage regulation system valid to be
a stable and steady-state error free system was obtained.
Thus with fuzzy logic and (p-q) approaches a novel
shunt active filter can be developed by using different
M.Fs.
REFERENCES
[1]

Akagi H. H Akagi, kanazawa, and nabae instantaneous

reactive power compensators comprising Switching devices
without energy storage components IEEE Trans On Industry
Applications, Vol. Ia-20, No. 3, May/June 1984, pp 625-630.

[2]

Peng Z. et al. Harmonic and reactive power compensation

based on the generalized instantaneous reactive power theory
for three-phase four-wire systems IEEE Transactions on
Power Electronics Nov. 1998. Vol.13, No.5, pp.11741181.

[3]

Montero M. I. M et al. Comparison of Control Strategies for

Shunt Active Power Filters in Three-Phase Four-Wire
Systems IEEE Trans On Power Elects, 2007, Vol.22, No.1.

[4]

Gyugyi L. and Strycula E. C. "Active AC power filters" IEEE

IIAS Annual Meeting 1976. 529p.

[5]

Suresh Mikkili, A.K. Panda PI and Fuzzy Logic

Controller based 3-phase 4-wire Shunt active filter for
mitigation of Current harmonics with Id-Iq Control
Strategy Journal of power Electronics (JPE), vol. 11,
No. 6, Nov. 2011

[6]

Jain S. K. et al. Fuzzy logic controlled shunt active power

filter for power quality improvement IEEE Proceedings
Electric Power Applications Sept 2002. Vol.149, No.5.

[7]

Akagi H. et al. Instantaneous Power Theory and Applications

to Power Conditioning New Jersey. IEEE Press/Wiley-Interscience 2007 ISBN: 978-0-470-10761-4.

[8]

Vodyakho O. and Chris C. Mi Senior. Three-Level InverterBased Shunt Active Power Filter in Three-Phase Three-Wire
and Four-Wire Systems IEEE Transactions On Power
Electronics May 2009. 24(5).

[9]

Aredes M. et al. Three-Phase Four-Wire Shunt Active Filter

Control Strategies IEEE Transactions On Power Electronics
March 1997. 12(2).

[10] Rodriguez P. et al. Current Harmonics Cancellation in ThreePhase Four-Wire Systems by Using a Four-Branch Star
Filtering Topology IEEE Trans On Power Elects Aug. 2009,
Vol.24, No.8.
[11] Akagi H. New Trends in Active Filters for Power
Conditioning in IEEE Trans on Industrial Appls
Nov./Dec.1996. Vol.32, No.6, pp.1312-1322
[12] Kirawanich P. and OConnell R. M. Fuzzy Logic Control of
an Active Power Line Conditioner IEEE Transactions on
Power Electronics November 2004, Vol.19, No.6.
[13] S. Mikkili, and A.K. Panda, "RTDS Hardware implementation
and Simulation of 3-ph 4-wire SHAF for Mitigation of Current
Harmonics with p-q and Id-Iq Control strategies using Fuzzy
Logic Controller," International Journal of Emerging Electric
Power Systems, be press Vol. 12: Issue. 5, Article 1, 2011.

445

Design Reconfigurable Tapered Slot Antenna

Harish Sharma, Mithilesh Kumar, Member IEEE, and Girish Parmar,

Abstract A
Tapered
slot
antenna
with
reconfigurable frequency band is presented in this paper. This
tapered slot antenna contains two switchable rectangular slot.
The notch band is achieved by a function of diode. A wide
bandwidth mode from 3.2 9.5 GHz and narrowband mode can
be selected. The pin diodes are used to reconfigure the
impedance match and modify the radiation pattern. Measured
results shows good performance of the proposed designs.
Index TermsMicrostrip line, Reconfigurable antenna,
Reconfigurable radiation pattern, pin diode.

I. INTRODUCTION

he multitude of different standards in cell phones and

other personal mobile devices require compact multiband antennas and smart antennas with reconfigurable
features. The use of the same antenna for different purposes,
preferably in different frequencies is highly desirable.
Moreover, as the number of users of the same spectrum
increases, there is an increasing probability of interference
between users. Thus, antennas with reconfigurable null
position are critical. A number of different reconfigurable
antennas, both planar and 3-D, have been developed for radar
applications and wireless devices [3]-[4]. Reconfigurable
patch antennas have been also designed to operate in both L
and X bands [2].
Reconfigurable antennas have found increasing attention in
recent years. Antenna performance reconfiguration is usually
achieved by incorporating switches, variable capacitors,
varactor diodes or MEMS switches in the design of the
antenna. They enable the frequency response, radiation
patterns, gain or the combination of various antenna
parameters to be controlled.
The rectangular slots are placed at the bottom of the taper
profile to perturb a high band resonant area and create a
stopband[5]. The rectangular slots are purposely located on
top of the feed line to make it act as a resonator[1].

Harish Sharma is M.Tech. (Control & Instrumentation) Student of the

Electronics Engineering Department, UCE, Rajasthan Technical University,
Kota (Rajasthan)- India (91+9950680068; fax: +91-744-2473040; (e-mail:
harish_2502121@yahoo.co.in).
Mithilesh Kumar is Associate Professor, the Electronics Engineering
Department, UCE, Rajasthan Technical University, Kota (Raj.)-India (e-mail:
mith_kr@yahoo.com).
Dr. Girish Parmar is Assistant Professor, the Electronics Engineering
Department, UCE, Rajasthan Technical University, Kota (Raj.)-India (e-mail:
girish_parmar2002@yahoo.com).

In this letter, a frequency reconfigurable tapered slot antenna

is presented. Diode and MEMS switches is used to control the
frequency of the antenna. The geometry and results of the
proposed antenna will be separately presented in the
following sections, and a brief discussion about the function
of the Rectangular slot will be presented. Finally, a
conclusion remark will be drawn.
II. GEOMETRY
Antenna is designed using FR4 (r=4.4) while the height of
the substrate is 1.6 mm. The design of slot is simulated on
EM simulation software. The optimized dimensions of slot
consists circular hole of radius 2.3 mm and an elliptical
tapered slot with 20 mm horizontal and 40 mm vertical
radius, respectively. The tapered slot is fed with a W = 2.75
mm wide feed line terminated in a R = 5.1 mm radius quarter
circle. The substrate size is a = 72 mm x b = 70 mm. The
aperture size is c = 40.6 mm and the antenna length is d = 60
mm. The size of the outer rectangular slot is 8 mm x 10 mm.
Each rectangular slot has an inner slot of 4 mm x 6 mm.

Fig. 1. Geometry of the proposed antenna

III. RESULTS
The simulated return loss for the tapered slot antenna is
shown in Fig. 2 and Fig. 3 respectively. A wideband responce
is achieved when the diode is disconnected from the tapered

978-1-4673-0455-9/12/$31.00 2012 IEEE

446

slot, and narrowband responce is achieved when the diode is

connected. Good return loss for wideband mode is obtained
over the 3.29.5 GHz band. The narrowband mode bandwidth
is 8.48.7 GHz.

FIG. 2 SIMULATED S11 PARAMETER OF ANTENNA IN WIDEBAND MODE

(a)

FIG. 3
MODE

SIMULATED S11

PARAMETER OF ANTENNA IN NARROWBAND

(b)
Fig. 5 (a) E-plane (b) H-plane radiation patterns for wideband antenna

Fig. 4 Comparison of return losses

Comparing the return loss; S11 parameters of wideband and

narrowband modes are shown in Fig. 4. When both diodes are
in OFF state, the antenna shows the wideband response and
when both diodes are in ON state, the antenna shows the
narrowband response. The simulated E-plane and H-plane
radiation patterns in wideband and narrowband mode are
shown in Fig. 5 and Fig. 6 respectively.
447

(a)

(b)
Fig. 6 (a) E-plane (b) H-plane radiation patterns for narrowband antenna

IV. CONCLUSION
A frequency reconfigurable tapered slot antenna is
presented. Good return loss has been obtained for both wide and
narrowband mode. The antenna can be a promising solution for
applications requiring frequency reconfigurable antennas or a
portable equipment antenna.
REFERENCES
[1]

[2]

[3]

[4]

[5]
[6]
[7]

[8]

M.R. Hamid, P. Gardner, P.S. Hall, and F. Ghanem, Switched band

Vivaldi antenna, IEEE Transaction on Antenna and Propagation, vol. 59,
no. 5, issue 5, pp.1472- 1480, 2011
W.H. Weedon, W.J. Payne, and G.M. Rebeiz, MEMS-switched
reconfigurable antennas, IEEE Antennas and Propagation Society
International Symposium, Vol. 3, pp. 654 657, July 2001
J.T. Aberle, Sung-Hoon Oh, D.T. Auckland, and S.D. Rogers,
Reconfigurable antennas for wireless devices, IEEE Antennas and
Propagation Magazine, Vol. 45, Issue: 6, pp. 148 154, December 2003
Wang, S. Xiao and J. Wang, Reconfigurable patch antenna design for
wideband wireless communication systems, IET Microwave Antennas
Propagation, vol. 1, pp 414 419, April 2007.
M.R. Hamid, P. Gardner, P.S. Hall, and F. Ghanem, Switched WLANwideband tapered slot antenna, Electron. Lett., 2010, 46, pp. 45
E. Gazit, Improved design of the Vivaldi antenna, Proc. Inst. Elect.
Eng., vol. 135, pt. H, pp. 8992, Apr. 1988.
D. Peroulis, K. Sarabandi, and L. Katehi, Design of reconfigurable slot
antennas, IEEE Trans. Antennas Propag., vol. 53, no. 2, pp. 645654,
Feb. 2005.
C. K. Mak, C. R. Rowell, R. D. Murch and C-L. Mak, Reconfigurable
multiband antenna designs for wireless communication devices, IEEE
Trans. Antennas Propag.,vol. 55, pp. 19191927, Jul. 2007.

448

Design and Simulation of Low Pressure

Piezoresistive MEMS Sensor Using Analytical
Models
Saloni Chaurasia and B.S. Chaurasia

Abstract-- Pressure micro sensors are designed to operate in

linear range and presently the most widely used devices are
MEMS sensors and have gained popularity in biomedical,
automotive and avionics Industries. In present work a low
pressure square diaphragm piezoresistive MEMS sensor of
diaphragm length 1000 m and thickness 10 m respectively has
been designed using the available analytical models after
optimizing it for achieving close matching with finite element
method (FEM) calculations. The designed sensor has been
characterized through FEM simulation using MEMS CAD
software tools and the analytical and simulation results have been
found to be in good agreement. Also, the finite element method
simulation has been used to calculate maximum stress location
which is useful for placement of piezoresistive sensing element at
high stress region necessary to get maximum output. The
analytical and simulation results show that the designed sensor
has full scale output (FSO) of 61.7 mV/V and is linear in its
operating range of 50 kPa pressure. This work may be potentially
useful for piezoresistive pressure sensor designers and
researchers.
Index Terms-- MEMS; micro sensor; piezoresistive; pressure.

numerical methods, however, design calculation using

analytical models are straight forward. Further, a set of
equations fitted by the results from finite element methods
(FEM) to calculate analytically the diaphragm deflection,
sensitivity and burst pressure to design a pressure micro sensor
without going into FEM simulation is proposed [3, 4] which is
excellent and useful to design thin diaphragm piezoresistive
pressure sensors, however, certain discrepancy between the
suggested analytical models and simulation results has been
observed. Accordingly these analytical models have been
optimized for their congruity with FEM simulation results and
used to design the present sensor.
The following sections describe measurement theory, the
proposed architecture, analytical models used in the design,
and the mechanical analysis based performance evaluation of
the designed MEMS piezoresistive pressure sensor using
Intellisuite MEMS CAD tools which have also been
instrumental in calculating the maximum stress location for
placement of sensing elements to achieve high sensitivity.
Further, a close matching between the analytical and
simulation results has been observed along with the high
sensitivity and linearity in the sensor performance.

I. INTRODUCTION

HE demand for low cost and micro size semiconductor

pressure sensor is growing with technological
development in various fields of engineering including
metrology, control systems and biomedical. The transitions
from mechanical to silicon type are in response to meet these
demands. Micro sensors are the most widely used device
today and PRESSURE micro sensors are one of the most
common MEMS devices [1] and have gained popularity in
biomedical, aerospace and automotive industries. The present
work also is focused on the design of silicon square diaphragm
piezoresistive MEMS low pressure sensor.
In the piezoresistive device, a bridge of diffused resistors is
used to measure stress at four points on the diaphragm
and convert it to an electrical output signal. The diaphragm
can be simulated as a thin plate problem [2] and the sensor
sensitivity, pressure range or burst pressure depends on its
diaphragm length and thickness which can be analyzed using
Saloni Chaurasia is with the Department of Electronics and
Communication Engineering, Motilal Nehru National Institute of Technology,
Allahabad-211004, India (e-mail: saloni1290@gmail.com).
B.S. Chaurasia is with the Department of Electronics Engineering,
Institute of Technology, B.H.U. Varanasi-221005, India (e-mail:
bhanu_chaurasia@yahoo.com).

II. THE

MEASUREMENT THEORY

The measurement theory of silicon piezoresistive pressure

sensor is well established [1], [5]-[6] where the piezoresistors
are diffused on the surface of the sculptured diaphragm (Fig.
1) and connected to form a Wheatstone bridge. The fractional
change in the resistance of a resistor (R) that is subjected to
longitudinal (l) and transverse (t) stresses is given by

= l l + t t

(1)

l and t respectively are the longitudinal and transverse

piezoresistive coefficients.
The three independent piezoresistive constants namely
longitudinal, transverse and shear, which need to be
considered in the case of a cubic silicon crystal are 11, 12 and
44 and can be used to derive the longitudinal and transverse
piezoresistive coefficients for any crystal direction [5], [6].
Thus

= 11 - 2 (11 - 12 - 44) (l12 m12 + l12 n12 + m12 n12)

And t = 12 + (11 - 12 - 44) (l12 l22 + m12 m22 + n12 n22)

978-1-4673-0455-9/12/$31.00 2012 IEEE

449

(l1, m1, n1) and (l2, m2, n2) are respectively the sets of
direction cosines between the longitudinal resistor directions
(subscript 1) and the crystal axis, and between the transverse
resistor directions (subscript 2) and the crystal axis. Further,
the longitudinal piezoresistive coefficients are maximum in
110 direction in (100) plane wafers [7] and 110 is also the
direction of primary flat of wafers which is used to align them.
Therefore in the fabrication of piezoresistive sensors, the
piezoresistors should be perpendicular or parallel to the
primary flat of the wafers. Also, the longitudinal and
transverse cosines for the 110 directions oriented
piezoresistors are (1/2, 1/2, 0) and (-1/2, 1/2, 0)
respectively. These result in

110 = (11 + 12 + 44)

(2)

t 110 = (11 + 12 - 44)

(3)

Combining (1), (4) and (5) we get the general

expression for fractional change in piezoresistance given by

44
2

(l t )

(9)

The Wheatstone bridges output is given as

O =

CC

(10)

Where VCC is bridge excitation and VO is bridge output.

Plugging (9) in to (10) gives

Vcc

These equations yields

110 = 44

(4)

t 110 = - 44

(5)

since 11 and 12 are negligible as compared to 44 for p-type

diffused resistors.
Fig.1 shows the top view of a square diaphragm
piezoresistive pressure sensor in which the resistors R1 and R3
are longitudinal and R2 and R4 are transverse piezoresistors
forming a Wheatstone bridge with their axes aligned to 110
direction. Further, the longitudinal and transverse stresses both
act on each resistor, i.e., if a resistor experiences a stress l
length wise then it must also be subjected to a stress l along
its width and vice versa, where is the Poissons ratio. Also,
the stresses on the longitudinal resistors (R1 and R3), and on
transverse resistors (R2 and R4) are equal but act in direction
90 to each other, that is, the transverse stress on R2 and R4 is
the longitudinal stress on R1 and R3, and vice versa[8]. Thus,
for the case when all resistors are equal (R) then using (1),
the total changes in longitudinal resistance and transverse
resistance would be

= (l + t )l

(6)

and,

= (l + t )l

(7)

R3
R2

X
R1

: Stress direction due to applied pressure

O =

44
2

(l t )CC

(11)

Fig.1. Top view of conventional square diaphragm piezoresistive pressure

sensor (R1, R3: longitudinal piezoresistors; R2, R4: transverse piezoresistors)

III. DESIGN AND PERFORMANCE ANALYSIS OF SENSOR

A. Analytical Models
The reported analytical models [2], [3] useful to design the
low pressure sensor are
Diaphragm deflection at the centre w

Using (4) and (5) in (6) and (7), we get

R4

= 0.01512 1 2
(8)

For this specific configuration of p-type diffused

piezoresistors and tensile stress, the resistance of the resistors
oriented in the longitudinal direction increases whereas the
resistance of the resistors oriented in the transverse direction
decreases. Also, the values of longitudinal and transverse
gauge factors are roughly equal but of opposite signs (8) and
thus both types of resistors can contribute to the bridge
sensitivity with linearity.

(12),

Burst Pressure Pburst

burst = 3.25 max

(13),

And Sensitivity S
= 0.153944 1

(14)

Where h is diaphragm thickness, L is diaphragm length (Fig.

2), E is Youngs modulus, is Poissons ratio and 44 is
piezoresistive coefficient respectively.

450

Figs. 3 and 4 shows the plots for diaphragm deflections

and sensor output obtained using reported analytical models
and compared with the plots of corresponding FEM simulation
results. These plots show a close matching between the results
for diaphragm deflection only whereas the output (sensitivity)

analytical model results with FEM simulation result

Diaphragm deflection at the centre w

= 0.0155 1 2

(15)

Burst Pressure Pburst

burst = 3.94 max
APPLIED PRESSURE

(16)

And the sensitivity S

DIAPHRAGM

PIEZORESISTOR

= 0.1155 44 1

Fig.2. Cross sectional schematic of the pressure sensor

plot of reported analytical model differs with the simulation

result considerably. Also, there is appreciable difference in the
stress (Burst) values calculated at burst pressure using the
reported analytical expression and the simulation result (Table
2). Therefore the constants of the reported analytical models
(12), (13) & (14) have been optimized empirically for close
adjustment with FEM simulation results leading to the

(17)

B. Design Parameters
The proposed sensor was designed using the above
optimized analytical models (15)-(17) for a diaphragm of
length 1000 micro meter and its thickness calculated
considering the safe limit of maximum stress generation at
burst pressure in silicon to be within 1 GPa for a measuring
range of 50 kPa and accordingly the sensor design parameters
are given in Table 1. A FEM prototype model of the sensor
based on these design parameters was made for analysis and
characterization using FEM MEMS CAD software and is
shown in Fig. 5.
TABLE I.
SENSOR DESIGN PARAMETERS

Deflection (m)

10

Pressure Diaphragm Diaphragm

Max
Diaphragm Sensitivity
Range
Length
Thickness
Stress
Deflection (w) (FSO)
(P)
(L)
(h)
(burst)
m
mV/V
kPa
m
m
MPa
50
1000
10
4.596
61.7
634.518

OPTIMISED ANALYTICAL
REPORTED ANALYTICAL

SIMULATION

6
4
2

C. Simulation Results and Performance Analysis

The FEM model of the designed sensor was analyzed using

Intellisute MEMS CAD software simulation. It was observed
that the sensor demonstrated linear performance for its
diaphragm deflection and output throughout its measuring
range as shown in Figs. 6 and 7.
The location to place the sensing element at the maximum
stress point was also calculated using simulation and the same
is shown in Fig. 8.

20

40

60

80

100

Pressure (kPa)
optimized analytical models given by (15), (16) & (17) and
these have been used to design the proposed sensor. Figs. 3
and 4 show close matching of simulation results with
optimized analytical model results for diaphragm deflection
and output respectively.
Fig.3. Comparison of diaphragm deflection plots for reported and optimized

Output (mV/V)

150
125

ANALYTICAL
OPTIMISED ANALYTICAL
SIMULATION

100
75
50
25

0 of sensor output plots for reported and optimized analytical

Fig.4. Comparison
451
model results with0FEM simulation
Fig.5. FEM model of the designed sensor
25 result50
75
100

Pressure (kPa)

Deflection (m)

5
SIMULATION

4
3
2
1
0
0

10

20

30

Pressure (kPa)

40

50

Fig.6. Plot showing linear relation between diaphragm deflection and pressure
Fig. 8. Maximum stress locations (Red color) for placing piezoresistors

Output (mV/V)

60

SIMULATION

50

sudden application of high pressure. The main reason behind

the rupture of diaphragm is the exceeding of stress beyond the
fracture limit of silicon (7 GPa) and simulation results show
that at the burst pressure (5 x Range) the stress generated is
less than 1 GPa and hence the design is safe on account of
sensor damage due to impulsive pressure application. Further,
a concurrency between the optimized models and simulation
results (Figs. 3, 4 and Table 2) has been established and thus it
validates the models.

40
30
20
10
0
0

10

20

30

40

50

Pressure (kPa)

TABLE II.
COMPARISON OF ANALYTICAL AND SIMULATION RESULTS
Fig.7. Plot showing linear relation between sensor output and pressure
Sensor Design
Parameters

Further, the simulation result showing the diaphragm

deflection at burst pressure, for investigating the fracture if
any, is given in Fig. 9 which confirms that the design is in
compliance to the safe limit of silicon.

Reported analytical
model results
Simulation results
Optimized analytical
model results

Stress
Location
m

Diaphragm
Deflection (w)
m

4.487

82.3

769.2

484.37

4.612

60.9

634.1

4.596

61.7

634.5

Sensitivity
Max Stress
(FSO)
(Burst) MPa
mV/V

IV. RESULTS AND DISCUSSIONS

In this work a comparison of the reported analytical design
models of low pressure sensor was done with the
corresponding simulation analysis results and the observed
mismatch (Figs. 3, 4 and Table 2) between the two was close
fitted leading to the optimized models (15)-(17) which has
been used to design the proposed sensor having high
sensitivity and linearity.
Further, in addition to achieving of high stress generating
architecture design, the sensing piezoresistors are placed at the
regions of maximum stress to give highest sensitivity for
which no model is available and it was identified through
simulation and found to be located at 484.37 m from the
centre of diaphragm of 1000 m length. Also, the area of
uniform stress region was determined to be 20 x 60
micrometer situated near and parallel to the diaphragm edge at
the site of maximum stress as shown in Fig. 8. The sensing
piezoresistors must be diffused / placed within this region for
optimum performance. Another important parameter in the
design of pressure sensor is the rupture of diaphragm at

V. CONCLUSION
An analytical model based design and evaluation of low
pressure square diaphragm piezoresistive MEMS sensor has
been presented through this work. The performance evaluation
of the designed sensor has been done through FEM simulation
and it has shown a sensitivity of 60 mV/V (FSO) and range of

Fig.9. Simulation result showing diaphragm deflection at burst pressure

(magnified 15 x)

452

50 kPa. Also, the output of the sensor has been found to be

linear throughout its measuring range and stress generated at
burst pressure is within safe limit. Further, an optimized
analytical model giving best fit with the simulation result has
been proposed and the location of maximum stress has been
identified. This work is potentially useful for the design of low
pressure sensors.
VI. REFERENCES
[1] Madou M., Fundamentals of microfabrication, CRC Press, NY, 1997.
[2] Timoshenko P., Woinoushy-Krieger S., Theory of plates and shells,
McGraw Hill, S.E., 1959.
[3] G. Bistu, J. G. Elizalde, S. Garcia-Alonso, E. Castano, F. J. Gracia, and
A. Garcia-Alonso, A design tool for pressure microsensors based on

453

FEM simulations, Sens. Actuators A, vol. 62, 1997, pp. 591594.

[4] Shih-Chin Gong and Chengkuo Lee, Analytical Solutions of Sensitivity
for Pressure Microsensors,Sensors journal IEEE,vol.1, 2001, pp.340344.
[5] Tufte O.N., Chapman P.W., and Long D., Silicon diffused element
piezoresistive diaphragms, J. Appl. Phys., 33, 1962, p. 3322.
[6] Smith C. S., Piezoresistance effect in germanium and silicon, Phys.
Rev., 94 (1), 1954, 42-49.
[7] Kanda Y., A graphical representation of the piezoresistance coefficients
in silicon, IEEE Transactions on Electron Devices, vol. ED-29, No. 1,
January 1982, pp.64-70.
[8] Senturia, S. D., Microsystem design, Kluwer Academic, 2001.

454

Maximization the Lifetime of Wireless sensor

network by minimizing Energy hole problem with
Exponential node distribution and hybrid routing
Aruna Pathak, Zaheeruddin and D.K. Lobiyal
Abstract-- In wireless sensor network (WSN), there is a
problem of energy hole, which means nodes near the sink region
will die sooner because these nodes send their own data to sink as
well as forward data for other nodes. After energy hole comes,
data cannot be transmitted to sink even though energy is still
remained in outer region nodes which affects the lifetime of the
networks. In this paper we analyze jointly effect of exponential
distribution of nodes toward the sink and hybrid routing so that
the lifetime of wireless sensor network will be improved.
Simulation experiments shows the effectiveness of our approach.
Index TermsEnergy hole, Exponential distribution, Hybrid
routing, Wireless sensor network.

I. INTRODUCTION

Wireless Sensor Network (WSN) consist of small nodes with

sensing, computation, and wireless communications capabilities
[1]. Basically WSNs contain hundreds or thousands of sensor
nodes, and these sensors have the ability to communicate either
among each other or directly to an external base station (BS).A
WSNs applications may include military applications,
environmental applications, health applications and other
commercial applications [2].
Basically nodes are driven by batteries and in many
applications it is not easy to replace the batteries or sometimes
not even recharge the batteries so each node has a limited
energy supply. Lifetime is very important factor in wsn.
Lifetime of a sensor network has different definitions: It may be
defined as the time till the first node dies.
Although the time until the first node fails is an important
measure from the complete network coverage point of view, this
performance metric alone cannot measure the lifetime
performance behavior for all nodes in the network. Loss of a
single node will only affect the coverage of one particular area
and will not affect the monitoring capabilities of the remaining
nodes in the network. Information collected at the remaining
nodes can still be delivered successfully to the base-station. So
lifetime may also be defined as the time till a proportion of
nodes die

Aruna Pathak is Ph.D. scholar with the Department of Electrical Engineering,

Jamia Millia Islamia Central University, New Delhi, India (e-mail:
aruna.pathak@gmail.com).
Zaheeruddin is Head of department in the Department of Electrical Engineering,
Jamia Millia Islamia Central University, New Delhi, India.
D. K. Lobiyal is Associate Professor in the School of Computer and Systems
Sciences, Jawaharlal Nehru University, New Delhi ,India.

978-1-4673-0455-9/12/$31.00 2012 IEEE

If the proportion of dead nodes exceeds a certain threshold, it

may result in uncovered sub regions, and/or network
partitioning. The location of the failure nodes is also of
importance. If the proportions of nodes that have run out of
battery are located in some critical part of the network, e.g.,
connecting the central sink and the rest of the network, it may
result in early dysfunction of the entire network. Our
discussion will be taken in the spirit of the second definition.
Now we come to an important point related to lifetime which is
energy hole problem. Sensor nodes sitting around the sink need
to relay more traffic compared to other nodes in outer subregions, nodes in inner regions suffer much faster energy
consumption rates and thus have much shorter expected
lifetime. This phenomenon of uneven energy consumption rates
is termed as energy hole problem, which may result early
dysfunction of the entire network, even if the other parts of the
network still have a lot of energy. Energy hole problem proved
by Olariu and Stojmenovic [3]. They have done an experiment
under the uniformly distributed network. They have divided the
experiment area into concentric coronas from the sink. And
Simulation results show that, when the first corona consumed
all the energy, the energy expended by a sensor in the 10-th
corona is only about 4.197%. It proved that an uneven energy
consumption rate is unavoidable if all nodes are homogeneous
and uniformly deployed in the network. Li and Mohapatra
investigate the problem of uneven energy consumption in a
large class of many-to-one sensor networks [4-5]. They
observed that, hierarchical deployment and traffic compression
could have positive effects on the problem, while heavy node
density or more data generation have little or negative effects
on it. Previous research shows that uniform distribution of
sensors usually leads to the energy hole problem. And in most
WSN designs, random and uniform distributions are popular
proposed schemes due to their simplicity. Non- uniform
distribution method [6-8] is proposed to solve the energy hole
problem. It has been demonstrated that non- uniform
distribution method can provide a balanced energy consumption
ratio of the nodes. In this paper we first deploy the nodes
according to exponential distribution, and then we use hybrid
routing so that the lifetime of whole network will be improved.
Here we use hybrid routing with exponential distribution
because in exponential distribution as radius decreases number
of nodes increases exponentially and for large distance form
sink the nodes decreases. So with the hybrid routing each
sensor node to either send a message to one of its immediate
neighbors, or to send it directly to the base station, the decision
depending on its remaining energy. With this approach less

455

number of nodes in outer region can send their message to sink

by checking the remaining energy.
Simulations results show that we can achieve more energy
efficiency than previous work for maximizing the lifetime of
sensor network by reducing energy hole problem (uniform
nodes distribution with multi- hop routing and geometric
distribution with q-switch routing). The remainder of the paper
is organized as follows: In Section II we present the survey on
the related work. As the basic models and assumptions are
described in Section III, Section IV proposes the exponential
distribution of nodes and hybrid routing. Section V describes
the simulation results of the proposed schemes. Finally, Section
VI concludes the paper and describes the future work.
II. RELATED WORK
Energy hole problem first investigated by Olariu and
Stojmenovic. They propose a corona width model under
uniform node distribution [3]. The network area is divided into
concentric coronas from the sink. They use corona different
width to balance the node energy dissipation. As a result, the
outer coronas have larger corona width than the inner coronas,
and the energy consumption can be expended evenly. However,
this model cannot achieve an energy efficient consumption
because most nodes in the model cannot get an optimal
transmission route to sink. Uniform distribution makes it
impossible to afford both considerations of optimal
transmission route and balance energy consumption
simultaneously.
Li and Mohapatra [4] investigate the problem of uneven energy
consumption in a large class of many-to-one sensor networks.
The authors describe the energy hole in a ring model (like
corona model), and present the definitions of the per node
traffic load and the per node energy consuming rate (ECR).
Based on the observation that sensor nodes sitting around the
sink need to relay more traffic compared to other nodes in outer
sub-regions, their analysis verifies that nodes in inner rings
suffer much faster energy consumption rates and thus have
much shorter lifetime. The authors term this phenomenon of
uneven energy consumption rates as the energy hole problem,
which may result in serious consequences, e.g. early
dysfunction of the entire network.
Shiue [9] propose an algorithm to resolve energy hole problem,
which uses mobile sensors to heal energy holes. However, the
cost of these assistant approaches is a lot.
Lian [10] argue that in static situations, for large-scale
networks, after the lifetime of the sensor network is over, there
is still a great amount of energy left unused, which can be up to
90% of total initial energy. Thus, the static models with
uniformly distributed homogeneous sensors cannot effectively
utilize their energy. The authors propose a non-uniform sensor

distribution strategy. The density of sensor increases when their

distance to the sink decreases. Their simulation results show
that for networks with high density, the non-uniform sensor
distribution strategy can increase the total data capacity by an
order of magnitude. The authors present some approaches to
the energy hole problem, including deployment assistance,
traffic compression and aggregation.
Wu [11] propose a non-uniform node distribution strategy
which can achieve a sub-balanced energy consumption of
nodes. The authors state that if number of nodes from outer
corona to inner corona increases by an exponent q. Then the
total number of nodes in the network would be N = NR qR1
(R represents the number of coronas, NR represents the node
number in the out most corona). But it is not practically
worked because the model assumes that each sensor node
should generate data with same length at a unit time. The
consequence is that: for the same size of areas, the area near the
sink generates more data than the area away from the sink in
the same time.
For balancing the energy load among sensors in the network,
Jarry [12] propose a mixed routing algorithm which allows
each sensor node to either send a message to one of its
immediate neighbors, or to send it directly to the base station,
and the decision is based on a potential function depending on
its remaining energy. However, when the network area radius is
bigger than the sensors maximal transmission range, the
proposed algorithm cannot be applicable.
There are also some fine grained node distribution methods
of power aware routing under the corona model [14-15]. The
coronas are narrower than that of [13], while the corona
number is larger. Each node in one corona can communicate
with the nodes form k nearest coronas. Song [14] propose an
iterative method that for every corona of the network, they use
greedy algorithm to adjust its transmission distance iteratively.
Yun [15] propose an arbitrary selection method that a node in
one corona can transmit its data randomly to the neighbor k
coronas. And the average energy depletion would be larger than
optimal in this method because some node may choose large
energy route by chance. Due to the narrowness of coronas, there
may be better energy balancy. But the deployment of the node
may be very difficult in fine grained node distribution.
In this paper we jointly work on non-uniform node
distribution strategy i.e. positive exponential distribution
towards the sink, which can achieve a sub-balanced energy
consumption of nodes and hybrid routing to deliver the data to
the sink, so that the lifetime of network will be increased.
III. PRILIMINARIES
A. Network Model
We assume that a set of homogeneous nodes are deployed in
a circular area of radius R. The sink is located at the center of

456

the circle, dividing its sensing fields into 10 concentric coronas

named as C1 , C2 , ...C10(see Fig. 1). All sensor nodes are
static, each of which has knowledge of its own position and the
position of the sink. Nodes generate data at the same constant
rate. We assume a MAC layer which guarantees there are no
collision and retransmission.

IV. JOINTLY APPROACH OF EXPONENTIAL NODE

DISTRIBUTION AND HYBRID ROUTING
In this section we present the jointly effect of exponential
node distribution toward sink and hybrid routing on the lifetime
of wireless sensor network.
A. Exponential node distribution

Fig. 1. A circular area consisting of five coronas.

Fig. 1. A circular area consisting of five coronas

From the viewpoint of the whole network, the nodes are

distributed exponentially. Therefore the density are related as
follows
1 > 2 > 3 > . . . > 10
(1)
In Fig. 1, a darker corona shows a higher node density.

As we know that Sensor nodes near the sink have to transmit

more data compared to other nodes in outer sub-regions, so that
nodes which are near the sink lose their energy very quickly
and thus have much shorter expected lifetime. This
phenomenon of uneven energy consumption rates is termed as
energy hole problem, which may result early dysfunction of the
entire network, even if the other parts of the network still have
a lot of energy. Our first approach to reduce this problem with
the help of exponential distribution of nodes towards the sink.
The exponential distribution is an example of a continuous
distribution. A random variable x is said to follow the
exponential distribution with parameter if its distribution
function F is given by:
F(x, ) = 1-exp (-x)
for x0
0
for x<0
(4)
Let F(x, )=Y
Then Y=1-exp (-x)
1-Y=exp (-x)
ln(1-Y)= ln{exp (-x)}
ln(1-Y)= -x
x=-1/{ln(1-Y)}
(5)

B. Energy Model
In our model, only the energy of data transmission and data
reception consume energy. We share the same idea with [8] that
sampling and idle listening consume limited energy. Each
sensor has an initial energy . The energy cost of data
transmission Et and the energy cost of data reception Er are
defined as the Eq. (1) and the Eq. (2), where dt represents the
transmission distance between the source and destination, L
represents the data length of the transmission by bits.
Et= 1 + 2 dt L
(2)
Er = 3 L
(3)
According to [4], the values of parameter 1 , 2 , 3 are set as
follows.
1 = 45 109 J/bit
2 = 10 1012 J/bit/m2 = 2 , or
2 = 0.001 1012 J/bit/m4 = 4
3 = 135 109 J/bit
The dt accounts for the path loss, and we let = 4 in this
paper.

B. Hybrid routing approachThe hybrid routing algorithm allows each sensor node to
either send a message to one of its immediate neighbors, or to
send it directly to the base station, the decision depending on its
remaining energy.
Let s be a sensor. Ns is the neighborhood of s, i.e. all sensors
linked to s in the region. Each sensor s has an associated
remaining energy Eng(s), and each sensor knows the value of
the remaining energy of each of its neighbors. When s detects
an event or receives a message which it must pass on to another
sensor, it makes the following decision:
Let m be the sensor of Ns with the lower remaining energy:
Eng(m) Eng(m) for all m in Ns.
If Eng (s) > Eng (m) then s sends the message to m (spending
one energy unit).
Otherwise, s sends the message directly to the base station,
spending h2 energy units,
where h is the length from s to a base station.

457

V. PERFORMANCE EVALUATION
A. Simulation environment
We take 10 concentrated coronas and no. of nodes in each
corona are exponentially distributed toward the sink. Radius of
first corona is 1m and radius of second corona is 2m, and third
is 3m and so on. The initial energy of each sensor is 1J. The
data generating rate of each sensor is 4 102 bits/min.
All the parameters are listed in Table 1.

Fig.2 shows the network lifetime with other distributions. We

can see that the network lifetime with uniform distribution with
multi-hop routing decreases with the growth of network radius.
This is because the data traffic is increasing while the radius is
increasing, especially for the inner coronas. Geometric
distribution with q-switch routing works better than uniform
distribution. Note that the exponential distribution with hybrid
routing performs even better than that of geometric distribution
with q-switch routing.

Table-1
Parameter

Value

Node initial energy ()

1J

Length of unit data (L)

400 bits

Unit time

60 seconds

Radius of network

10m

B. Energy Model
Fig. 2. Network lifetime of different node distributions.

Values for energy model are given in Table-2.

Table-2
Parameter

Value

45 10-9 J/bit

1 1015 J/bit/m4

135 109 J/bit

C. Comparison with other distributions (uniform and
geometric)

We compare our approach to uniform distribution of nodes

(Node Distribution, where nodes can appear at any place with
equal probability)with multi-hop routing and geometric
distribution with q-switch routing[11].In [11] authors propose a
non-uniform node distribution strategy to achieve nearly
balanced energy depletion in the network, i.e. the number of
nodes in coronas increases from corona C R1 to corona C 1 in
geometric progression with common ratio q > 1 . In their qSwitch routing protocol each sensor use the same maximum
transmission range, and the network lifetime can be the
maximal by using the protocol in their proposed non-uniform
deterministic node distribution.

Fig. 3. Residual energy ratios of different node distributions.

Average residual energy ratios, which is the ratio of energy

remained when the network lifetime ends to the sum of initial
energy of all the nodes, with the other node distribution are
shown in Fig. 3. We note that while the network radius is
increasing the lifetime of network is decreasing, but the total
initial energy is increasing, so the residual energy ratio is
slowly increasing. We observe that the residual energy ratio of
the network with exponential distribution with hybrid routing is

458

better than that of network with uniform distribution with

routing and that of network with geometric distribution with qswitch routing.
This implies the effectiveness of our approach.
VI.CONCLUSION AND FUTURE WORK
In this paper we propose jointly effect of exponential
distribution of nodes toward the sink and hybrid routing so that
the lifetime of wireless sensor network will be improved.
In all simulations, we can see the network lifetime is
significantly extended than uniform nodes distribution with
multi-hop routing than geometric distribution with q-switch
routing perfect MAC layer is needed to handle channel
problems among the nodes. We also have to rely much on more
sophisticated sensor manufacturing and sensor node
deployment methods to guarantee non uniform node
distribution strategy possible. Here we ignored the energy
consumption on MAC and network layers which we plan to
include in our future work.

Proceedings of IEEE International Conference on Communications, ICC04,

Paris, June, 2004.
[15] V. Mhatre, C. Rosenberg, Design guidelines for wireless sensor networks:
communication, clustering and aggregation, Ad Hoc Networks vol.2 ,pp. 45
63,2004.
[16] S. Olariu, A. Wadaa, L. Wilson, M. Eltoweissy, Wireless sensor networks:
leveraging the virtual infrastructure, IEEE Network vol.18,no. 4,pp. 51
56,2004.

VII. REFERENCES
[1]
[2]
[3]

[4]

[5]

[6]

[7]

[8]

[9]

[10]
[11]

[12]

[13]

[14]

I.F. Akyildiz, W. Su, Y. Sankarasubramaniam, and E. Cayirci,

Wireless Sensor Networks: A Survey, IEEE Trans on Computer Networks,
vol. 38, no. 4, pp. 393-422, 2002.
J. N. AL-Karaki and A. E. Kamal, Routing Techniques in Wireless Sensor
Networks: A Survey, IEEE Trans on Wireless Communications, vol. 11, no.
6, pp.6-28, Dec. 2004.
S. Olariu and I. Stojmenovic, Design Guidelines for Maximizing Lifetime
and Avoiding Energy Holes in Sensor Networks with Uniform Distribution
and Uniform Reporting, Proc. IEEE INFOCOM 06, pp. 1-12, Apr. 2006.
J. Li and P. Mohapatra, An Analytical Model for the Energy Hole Problem
in Many-to-One Sensor Networks, Proc. 62nd IEEE
Vehicular Technology Conf. (VTC-Fall 05), pp. 2721-2725, 2005.
J. Li and P. Mohapatra, Analytical Modeling and Mitigation Techniques for
the Energy Hole Problems in Sensor Networks, Pervasive and Mobile
Computing, vol. 3, no. 8, pp. 233-254, 2007.
X. Wu, G. Chen, and S.K. Das, On the Energy Hole Problem of Non
uniform Node Distribution in Wireless Sensor Networks, Proc. Third IEEE
Intl Conf. Mobile Ad-Hoc and Sensor Systems (MASS 06), pp. 180-187,
Oct. 2006.
J. Lian, K. Naik, and G. Agnew, Data Capacity Improvement of Wireless
Sensor Networks Using Non-Uniform Sensor Distribution, Intl J.
Distributed Sensor Networks, vol. 2, no. 2, pp. 121-145, Apr.-June 2006.
Y. Liu, H. Ngan, and L.M. Ni, Power-Aware Node Deployment in Wireless
Sensor Networks, Proc. IEEE Intl Conf. Sensor Networks, Ubiquitous, and
Trustworthy Computing (SUTC 06), pp. 128-135, June 2006.
H.Y. Shiue, G.J. Yu, J.P. Sheu, Energy hole healing protocol for surveillance
sensor networks, in: Workshop on WASN 2005, Taoyuan, Taiwan, 2005.
J. Lian, K. Naik, G. Agnew, Data capacity improvement of wireless sensor
networks using non-uniform sensor distribution, International Journal of
Distributed Sensor Networks, vol.2 ,no. 2, pp. 121145,2006.
Xiaobing Wu, Guihai Chen, Sajal K. Das, Avoiding energy holes in wireless
sensor networks with nonuniform node distribution, IEEE Transactions on
Parallel and Distributed System, vol. 19, no.5,pp.710720,2008.
A. Jarry, P. Leone, O. Powell, J. Rolim, An optimal data propagation
algorithm for maximizing the lifespan of sensor networks, in: Proceedings of
DCOSS, 2006.
F. Ingelrest, D. Simplot-Ryl, I. Stojmenovic, Target transmission radius over
LMST for energy-efficient broadcast protocol in ad hoc networks, in:

459

Direct Flux and Torque Control of Three Phase Induction

Motor Drive Using PI and Fuzzy Logic Controllers for
Speed Regulator and Low Torque Ripple
Tejavathu Ramesh, Anup Kumar Panda ,Member, IEEE
Abstract This paper presents a direct flux and torque control
(DTC) of three phase induction motor drive (IMD) using PI and
fuzzy logic controller (FLC) for speed regulator (SR) and low
torque ripples. This control method is based on DTC operating
principles. The DTC is one of the most excellent direct control
strategies of stator flux and torque ripples of IMD. The
conventional DTC method has been optimized by using PI
controller in the speed regulating loop of IMD. The main
drawback with the conventional DTC of IMD is high stator flux
and torque ripples and the speed of IMD is reducing under
transient and dynamic state of operating condition. This drawback
was reduced using with the proposed control technique. In this
proposed control technique the PI controller is regulating the
speed of the IMD and the FLC is reducing the stator flux and
torque ripples. The DTC is achieved by reference of stator flux
hysteresis band which is generates from instantaneous actual and
reference stator fluxes and the reference of torque hysteresis band
which generates from FLC. The amplitude of the reference stator
flux is kept constant at rated value. The proposed DTC technique
gives better performance in the three-phase IMD than
conventional DTC technique. The simulation results of both
conventional and proposed control technique is presented,
compared, and confirmed by the simulation results and found that
the low stator flux, torque ripples and good speed regulator with
the proposed DTC technique using MATLAB/SIMULINK.
Keywords Direct Torque Control (DTC), Fuzzy Logic Control
(FLC), Induction Motor Drives (IMD), PI controller, Space Vector
Modulation (SVM).

I.

INTRODUCTION

The electric drives are used for motion control. Now a days
around 70% of electric power consumed by electric drives. This
electric drives are mainly AC and DC drives. During last four
decades AC drives are become more and more popular,
especially induction motor Drives (IMD), because of
robustness, high efficiency, high performance, and rugged
structure ease of maintenance so widely used in industrial
application, such as paper miles, robotics, steel miles, servos,
transportation system, elevators, machines tools etc. The IMD
control methods can be divided into two methods such as,
scalar and vector control. The general classification of the
variable frequency controls is presented and proposed control
technique was shown in thick line in Fig.1. The scalar control is
operating in steady state and controls the angular speed of
current, voltage, and flux linkage in the space vectors.

Tejavathu Ramesh, Anup Kumar Panda are with the Department of

Electrical Engineering, National Institute of Technology, Rourkela, Orissa,
India (email: tramesh.ee@gmail.com, akpanda.ee@gmail.com).

Thus, the scalar control does not operating in the space vector
position during transient state. The vector control, which is
based on relations valid for dynamic states, not only angular
speed and magnitude but also instantaneous position of current,
voltage, and flux linkage of space vector are controlled. In the
vector control, one of the most popular control method for
induction motor drives, known as Field Oriented Control (FOC)
is presented by F.Blaschke (Direct FOC) and Hasse (Indirect
FOC) in early 1970s, and FOC gives high performance, and
high efficiency for industrial applications [1].
In this FOC, the motor equations are transformed into a
coordinate system that rotates in synchronism with the rotor
flux vector control [2]. The FOC is good in high dynamic
performance, low stator flux and torque ripples, switching
frequency, and maximum fundamental component of stator
current, but FOC method has some drawbacks, such as
requirement of two co-ordinate transformations, current
controllers, and high machine parameter sensitivity. This
drawback was eliminated using the new strategies for torque
and flux ripple control of IMD using DTC was proposed by
Isao Takahashi and Toshihiko Noguchi, in the mid 1980s [3].
Comparing with FOC, DTC has a simple control scheme and
also very less computational requirements, such as current
controller, and co-ordinate transformations are not required.
The main feature of DTC is simple structure and good dynamic
behavior and high performance and efficiency [4,5,6]. The new
control strategies proposed to replace motor linearization and
decoupling via coordinate transformation, by torque and flux
hysteresis controllers [7]. This method referred as conventional
DTC [8].
In the conventional DTC has some drawbacks, such as,
variable switching frequency, high torque and flux ripples,
problem during starting and low speed operating conditions,
and flux and current distortion caused by stator flux vector
changing with the sector position [8], and the speed of IMD is
changing under transient and dynamic state operating condition.
In order to overcome with this problem, the proposed DTC
with PI and FLC is using. The PI controller is using for speed
control in the SR loop and the FLC is using for stator flux and
torque ripple reduction in the torque control loop [9]. The
conventional and proposed DTC of IMD simulation results are
presented and compared. Finally the effectiveness, validity, and
performance of DTC of IMD using both conventional and
proposed controllers are analyzed, studied, and confirmed by
simulation results and the results shows low stator flux and

978-1-4673-0455-9/12/$31.00 2012 IEEE

460

Te*

Vector Based Controller

Te

V/f =Const.
Is= f (ws)
Volt/Hertz Stator Current

Field Oriented Direct Torque Passivity Based

Control
Control
Control

Direct TorqueSpace Vector

Modulation

Variable Frequency Control

Scalar Based Controller

UDC

Flux Hysteresis Band

*
s

Sector Selection

U3

Torque Hysteresis Band

U4

U5

A. Voltage Source Inverter (VSI)

Sa
Sb
Sc

C
G
E

e (k)

e tan
Te

Vds

2
qs

sqs

s
ds

3p
s sds i sqs sqs i sds
4

Va
Vb

dq

Vqs

Vc

i ds

ia
ib

i qs

Stator Flux &Torque Estimation

Speed
Controller

The schematic diagram of conventional DTC of IMD is shown

in Fig.2. This schematic diagram consists of a torque and flux
hysteresis band comparators (T, ), voltage vector sector
selection, stator flux and torque estimators (s, Te), induction
motor, speed controller, and voltage source inverter (VSI) [10].

U6

Te

Fig.1. Classification of induction motor control methods.

The conventional DTC of IMD is supplied by a three

phase, two level voltage source inverter
(VSI). The main aim is
Buy SmartDraw!- purchased copies print this
to directly control of stator flux linkage
or rotor
linkage
document
without aflux
watermark
.
Visit www.smartdraw.com or call 1-800-768-3729.
and electromagnetic torque by selection
of proper valtage
switching states of inverter.

e (1) U1

e (4)
e (6)
e (5)

s ( )

II. DIRECT TORQUE AND FLUX CONTROL OF IMD

U2

e (2)

e (3)

2
ds

Circle Flux Hexagon

Trajectory Trajectory
(Takahashi) (Takahashi)

Voltage Source Inverter

torque ripples, and good speed regulator of IMD with the

proposed technique using MATLAB/SIMULINK.

abc

ic

*r
Induction Motor

Fig.2. Schematic diagram of direct torque control of induction motor.

UDC

Sa

Sb

c
Buy SmartDraw
!- purchased copies print this
document without a watermark .
Visit www.smartdraw.com or call 1-800-768-3729.

Induction Motor

Fig.3. Schematic diagram of voltage source inverter.

The stator output phase voltages are constructed by the

The three phase and two level VSI is shown in Fig.3, it has following matrix (2):
eight possible voltage space vectors, in those six active voltage
vectors (U1-U6) and two zero voltage vectors (U7,U8), according
Usa
2 -1 -1 Sa
s U DC
to the combination of the switching modes are Sa, Sb, and Sc.

(2)
Ub
When the upper part of switches is ON, then the switching
-1 2 -1 Sb
3

-1 -1 2 Sc
value is 1 and when the lower switch is ON, then the
Uc
switching value is 0. The stator voltage vector is written as in
equation (1).
The inverter output voltages U sa , U sb , and U sc are converted to
2
U ds and U qs by following equations (3), and (4):
(1)
Us,k U DC Sa aSb a 2Sc
3
2
1
1
(3)
Usds Sa Sb Sc
Where UDC is the dc link voltage of inverter, a e j2 /3
3
3
3
1
1
Usqs
Sb
Sc
(4)
3
3
The behavior of induction motor drive using DTC can be
described in term of space vector model is written in the stator
stationary reference frame:
d
Usds R s isds sds
(5)
dt
d
Usqs R s isqs sqs
(6)
dt
d
d
0 R r isqr sqr r sdr , 0 R r isdr sdr r sqr
(7)
dt
dt
s Ls is Lmir ,
r Lr i r Lm i s
(8)

461

TABLE 2. SWITCHING LOGIC FOR TORQUE ERROR

The eight possible voltage vector switching configuration is

shown in Fig.4.

State

U 2 110

Te (Te* Te ) Te

a
b
c

U3

U 3 010

a
b
c

U2

(T Te ) Te
a
b
c

Sector 2

Sector 3

U1
Sector 6

a
b
c

U 6 101

U6

U 5 010

U 7 111

U5

a
b
c

a
b
c

a
b
c

Sector 5

-1

when the torque hysteresis band is T=1 increasing torque, when

T=0 means torque at zero and T=-1 decreasing the torque. The
instantaneous electromagnetic torque and angle in terms of
stator flux linkage is given in equation (12), (13).
3P s s
(14)
Te
ds iqs sqs isds
22
s
1 ds
(15)
e (k) tan
s
qs
The change in electromagnetic torque error can be written as:
(16)
Te Te* Te

Sector 1

Sector 4

*
e

U1 100

U4
U1 011

Torque Hysteresis (T)

1

(Te* Te ) Te

U 8 000

a
b
c

Fig.4. Eight possible switches configuration of the voltage source inverter.

B. Direct Flux Control

The implementation of the DTC scheme requires the torque,
flux linkage computation and generation of vector switching
states through a feedback control of the flux and torque directly
without inner current loops. The stator flux in the stationary
reference frame (ds-qs) can be estimated as [10]:
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R dt

isqs

Sector 2

(9)
(10)

The estimated stator flux, s , is given by:

s

s 2
ds

s 2

qs

U3 (I,IT)

U3 (010)

(11)

s s

U6 (D,DT)

U4 (I,IT)

U4 (D,DT)
U5 (I,IT)

Se
ct
or

The flux hysteresis loop controller has two level of digital

output , according to the following relation shown in Table 1.

U6 (D,IT)

( s ) < s

-1

U1 (100)

U2 (D,IT)
U1 (I,IT)

U3 (D,DT)
U5 (I,DT)

4
U5 (001)

U1 (D,IT)
U6 (I,IT)

U6 (101)

Sector 5

Fig 5. The voltage space vector control of flux and torque in six sectors plane.

TABLE 1. SWITCHING LOGIC FOR FLUX ERROR

*
s

U6 (I,DT)
U7 (111)

U4 (I,DT)

Flux Hysteresis()
1

U3 (D,IT) U (I,IT)
2

U8 (000) U5 (D,DT)

U5 (D,IT)
U4 (011) U3 (I,DT) U2 (D,DT)

(13)

State
(*s s ) > s

U1 (I,DT)

U2 (I,DT)

U1 (D,DT)

d
or s Us .t
(12)
Us
s
dt
The change in input to the flux hysteresis controller can be
written as:
*
s

U4 (D,IT)

U2 (110)

Se
cto
r6

s
qs

s
ds

Secto
r3

qs

s
ds

r1
cto
Se

ds U i R s dt
s

The voltage vector is selected using torque or flux need to be

increase or decreased comes from the three level and two level
hysteresis comparators for torque and stator flux respectively.
The Fig.5, illustrates the 2-hysteresis optimized voltage vector
in six sectors and which are selected from six active and two
zero voltage vector switching configurations, using the voltage
vector selection table is shown in Table 4.

The selection of increasing and decreasing the stator flux and

torque is shown in Table 3.
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TABLE 3. GENERAL SELECTION

FOR DTC or call 1-800-768-3729.
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C. Direct Torque Control

The torque hysteresis loop control has three levels of digital
output, which have the following relations is shown in Table 2.

462

Kth Sector
Stator Flux ()

Increase
U k , U k 1 , U k 1

Decrease
Uk 2 , Uk 3 , Uk 2

Torque (T)

U k , U k 1 , U k 2

U k 3 , U k 2 , U k 1

3) Implication using Mamdani's min operator,

4) De-fuzzification using the centroid method.

TABLE 4. VOLTAGE VECTOR SELECTION

Hysteresis
Controller

T
1
1

0
-1
1

0
-1

Sector Selection e(k)

Sector
e (1 )
U2
110
U7
111
U6
101
U3
010
U8
000
U5
001

Sector
e (2)
U3
010
U8
000
U1
100
U4
011
U7
111
U6
101

Sector
e (3)
U4
011
U7
111
U2
110
U5
001
U8
000
U1
100

Sector
e (4)
U5
001
U8
000
U3
010
U6
101
U7
111
U2
110

Sector
e (5)
U6
101
U7
111
U4
011
U1
100
U8
000
U3
010

Fuzzification: the control process of converting a numerical

variable (real number) convert to a linguistic variable (fuzzy
number) is called fuzzification.

Sector
e (6)
U1
100
U8
000
U5
001
U2
110
U7
111
U4
011

De-fuzzification: the rules of the FLC generate required output

variable in a linguistic variable (Fuzzy Number), according to
the real world requirements, linguistic variables have to be
transformed to crisp output (Real number).
Database: the database stores the definition of the membership
Function required by fuzzifier and defuzzifier [11].
NL

NM

NS

NL

0.5

NM

0.25

NS

The fuzzy logic control is one of the controller in the

artificial intelligence techniques. Fig.2 and Fig.6 shows the
schematic model of the DTC of IMD using PI and FLC based
SR and torque ripple controls. In this paper, Mamdani type FLC
is using and the DTC of IMD using conventional PI controller
based SR are requires the precise mathematical model of the
system and appropriate gain values of PI controller to achieve
high performance drive. Therefore, unexpected change in load
conditions would produce overshoot, oscillation of the IMD
speed, long settling time, high torque ripple, and high stator
flux ripples. To overcome this problem, a fuzzy control rule
look-up table is designed from the performance of torque
response of the DTC of IMD. According to the torque error and
change in torque error, the proportional gain values are adjusted
on-line [8].
UDC

Flux Hysteresis

k
kk

Z 1
Unit Delay

Fuzzy Logic Controller

Sa

s
Te* (k)

Sector Selection

Sb
1

Te

C
G

Sc

0
1
Torque Hysteresis

e (k)

Voltage Source Inverter

Te (k)
Te (k 1)

Kp
*r

Ki

Speed Controller

Te*

Uds

s ( )
2
ds

e tan

2
qs

dq

U qs

Uc

sds

ids

ia

ib

i qs

abc

1
ZE

0.25

( Te* (k))

PS

0.5

PM

PL

NL

0.5

NM

0.25

NS

1
ZE

(b)

(Te )

0.25

PS

0.5

PM

PL

0.5

0.5

0.25

(c)
0

0.25

0.5

Fig.7. The fuzzy membership functions of input variables (a) torque error, (b)
change in torque error, and (c) output variable.

A FLC converts a linguistic control strategy into an

automatic control strategy and fuzzy rules are constructed by
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torque Te (k) and the change in torque error Te (k) have been
placed of the torque to be the input variables of the FLC. Then
the output variable of the FLC is presented by the control of
change in torque Te . To convert these numerical variables
into linguistic variables, the following seven fuzzy levels or sets
are chosen as: NL (negative large), NM (negative medium), NS
(negative small), ZE (zero), PS (positive small), PM (positive
medium), and PL (positive large) as shown in Fig.7.

In the crisp variables of the torque error and change in torque

error are converted into fuzzy variables Te (k) and Te* (k)
that can be identified by the level of membership functions in
the fuzzy set. The fuzzy sets are defined with the triangular
membership functions.

Ub

sqs

3p s s
Te
s ds i qs sqs isds
4

(a)

A. Fuzzy Variables

Ua

Te

PL

0.5

III. PROPOSED FUZZY LOGIC CONTROLLER

PM

0.5

If U0 or U7 is selected, the rotation of flux is stopped and the

torque decreases whereas the amplitude of flux remains
unchanged, with this type of torque and flux hysteresis
comparator, we can control and maintain the end of the voltage
vector flux within a circular zigzag path in a ring.

*s

(Te (k))PS

1
ZE

ic

Stator Flux & Torque Estimation

B. Fuzzy Control Rules

Induction Motor

Fig 6. Proposed structure of FLC based torque control.

The fuzzy controller is characterized as follows:

1) Seven fuzzy sets for each input and output variables,
2) Fuzzification using continuous universe of discourse,

In the fuzzy membership function there are two input

variables and each input variable have seven linguistic values,
so 7x7=49 fuzzy control rules are in the fuzzy reasoning is
shown in TABLE. 5, and flowchart of FLC is shown in Fig.8.

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463

Te (k)

40

Te* (K) is NL Then Te is NL

30

Rule 2: If Te (K) is NL and

20

Te* (K) is NM Then Te is NL

MF

NL, NM, NS, ZE, PS, PM, PL

Rule 3: If Te (K) is NL and

Te* (K) is NS Then Te is NL

Input 2

MF

Te* (k)

NL, NM, NS, ZE, PS, PM, PL

Current [Iabc, A]

Input 1

Rule 1: If Te (K) is NL and

Output

Defuzzy

U(0..7)

Rule 4: If t e (K) is NL and

0
-10
-20
-30

Te (K) is ZE Then Te is NL

-40

Rule 49: If Te (K) is PL and

T (K) is PL Then T is PL
All rules are evaluated in parallel
using Fuzzy reasoning

10

-50
0

*
e

The inputs are

Fuzzification
crisp numbers (Membership Function)

The output is a
Defuzzification crisp numbers

0.1

0.2

0.3

0.4

0.1

0.2

0.3

0.4

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

0.5

0.6

0.7

0.8

0.9

0.5

0.6

0.7

0.8

0.9

0.6

0.7

Time [sec]

0.8

Flux [wb]

Fig.8. Flowchart of Fuzzy logic controller

0.6

TABLE 5. FUZZY LOGIC CONTROL RULES

NL
NM
PS
ZE
PS
PM
PL

0.4

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NM

NS

ZE

PS

PM

PL

NL
NL
NL

NL
NL
NL

NL
NL
NM

NL
NM
NS

NM
NS
ZE

NS
ZE
PS

ZE
PS
PM

NL
NM

NM
NS

NS
ZE

ZE
PS

PS
PM

PM
PL

PL
PL

NS
ZE

ZE
PS

PS
PM

PM
PL

PL
PL

PL
PL

PL
PL

0.2

IV. SIMULATION AND RESULTS

The conventional and proposed DTC MATLAB models
were developed for 3hp IMD and the VSI input DC link voltage
is 540V. The parameter values of IMD as shown in Table 6.

30
20
10
0

-10
0

Time [sec]
1200

MUTUAL INDUCTANCE (Lm)

STATOR INDUCTANCE (ls)
ROTOR INDUCTANCE
INERTIA ( J)
FREQUENCY (F )

(lr)

PHASE VOLTAGE (U)

1000

Nominal values
1.57
1.21
0.165 H
0.17 H
0.17H
0.089 Kg.m2
50 Hz
220V

Speed [rpm]

STATOR RESISTANCE (Rs)

ROTOR RESISTANCE (Rr)

Time [sec]

40

TABLE 6. PARAMETER AND VALUES OF THE INDUCTION MOTOR DRIVE

Parameters

50

Torque [N.m]

Te (k)
*
Te (k)
NL

800
600
400
200
0
0

0.1

0.2

0.3

0.4

0.5

0.8

0.9

Time [sec]
1
0.8
0.6

The simulation results of conventional and proposed DTC

for forward motoring operation as shown in Fig.9, and Fig.10, it
represents the stator current, stator flux, developed torque at noload and full load, speed, and stator dq-axis for conventional
and proposed DTC of IMD.

0.4

q-axis

0.2
0

-0.2
-0.4
-0.6
-0.8
-1
-1

-0.8

-0.6

-0.4

-0.2

d-axis

0.2

0.4

0.6

0.8

Fig.9. Simulation results of conventional DTC: Stator Currents, Stator flux,

Electromagnetic load torque of 30 N.m is applied at 0.6 sec and removed at
0.85 sec, rotor Speed from 0 to 1200rpm, and stator flux dq-axis of IMD.
30

Current [Iabc, A]

20
10
0
-10
-20
-30
-40

464

0.1

0.2

0.3

0.4

0.5

Time [sec]

0.6

0.7

0.8

0.9

1000

0.6

0.4

0.2

500

Speed [rpm]

Flux [wb]

0.8

-500

0.1

0.2

0.3

0.4

0.5

0.6

0.7

0.8

0.9

-1000

Time [sec]

0.2

0.4

0.6

0.8

1.2

Time [sec]

1.4

1.6

1.8

30

20

0.8

10

0.6

0.4

0.1

0.2

0.3

0.4

0.5

Time [sec]

0.6

0.7

0.8

0.9

q-axis

Torque [N.m]

40

1200

Speed [rpm]

1000

-0.2

800

-0.4

600

-0.6

400

-0.8

200
0

0.2

-1
-1
0

0.1

0.2

0.3

0.4

0.5

0.6

Time [sec]

0.7

0.8

0.9

-0.8

-0.6

-0.4

-0.2

d-axis

0.2

0.4

0.6

0.8

Fig.11. Simulation results of conventional DTC: Stator Currents, Stator flux,

Electromagnetic Torque, Speed reversal operation from +1200rpm to -1200
rpm, and Stator flux dq-axis of IMD.

0.8
0.6

40

0.2

Current [Ibac, A]

q-axis

0.4

-0.2
-0.4
-0.6
-0.8
-1
-1

-0.8

-0.6

-0.4

-0.2

d-axis

0.2

0.4

0.6

0.8

20

-20

-40

Fig.10. Simulation results of proposed DTC: Stator Currents, Stator flux,

Electromagnetic load torque of 30 N.m is applied at 0.6 sec and removed at
0.85 sec, rotor Speed from 0 to 1200rpm, and Stator flux dq-axis of IMD.

0.2

0.4

0.6

0.8

0.2

0.4

0.6

0.8

0.2

0.4

0.6

0.8

1.2

1.4

1.6

1.8

1.2

1.4

1.6

1.8

1.2

1.4

1.6

1.8

Time [sec]

Flux [Wb]

0.8

The simulation results of reverse motoring operation of

conventional and proposed DTC of IMD as shown in Fig.11.
and Fig.12.

0.6
0.4
0.2

40

Current [Iabc, A]

Time [sec]

20

40

-20

-40
0

0.2

0.4

0.6

0.8

Time [sec]

1.2

1.4

1.6

1.8

Torque [N.m]

20
0
-20
-40

-60

Flux [Wb]

0.8

0.6

0.4

0.8

0.2

Time [sec]

0.6
0.4
0

0.2

0.4

0.6

0.8

Time [sec]

1.2

1.4

1.6

1.8

q-axis

0.2

Torque [N.m]

40
20

-0.2

-0.4

-20

-0.6
-0.8

-40

-1
-60

0.2

0.4

0.6

0.8

Time [sec]

1.2

1.4

1.6

1.8

-1

-0.8

-0.6

-0.4

-0.2

d-axis

465

0.2

0.4

0.6

0.8

Speed [rpm]

1000

500

-500

-1000
0

0.2

0.4

0.6

0.8

Time [sec]

1.2

1.4

1.6

1.8

Fig.12. Simulation results of proposed DTC: Stator Currents, Stator flux,

Electromagnetic Torque, Stator flux dq-axis, and Speed reversal operation from
+1200rpm to -1200 rpm of IMD.

V. CONCLUSION
In this paper, an effective control technique is presented for
direct flux and torque control of three-phase IMD. In this
proposed control technique the PI controller is regulating the
speed of IMD and the fuzzy logic controller is reducing the
stator flux and torque ripples. It is proposed a decoupled space
vector control between the stator flux and electromagnetic
torque hysteresis controller for generating the pulses for VSI.
The two independent torque and flux hysteresis band
controllers are used in order to control the limits of the torque
and flux. The simulation result of both conventional and
proposed techniques was carried out for DTC of three-phase
IMD, among both of them proposed control technique is
superior for good speed regulator, low stator flux linkage, and
torque ripples under transient and dynamic state operating
conditions. The simulation result shows the low stator flux
linkage, torque ripples and good speed regulator, with the
proposed DTC technique than conventional DTC technique.
REFERENCES
F. Blaschke, The principle of field-orientation as applied to the
transvector closed-loop control system for rotating-field machines,
Siemens Rev., vol. 34, pp. 135-147, 1988.
[2] G.S. Buja, M.P.Kazmierkowski, DTC of pwm inverter-fed AC motors
A Survey, IEEE Trans. on Ind. Elec., volume 54, no. 4, 2004.
[3] I. Takahashi and T.Noguchi, A new quick response and high efficiency
control strategy of an induction motor, IEEE Trans. Ind. Appl., vol. 22,
no. 5, pp. 820-827, 1986.
[4] M. Dependrock, Direct self control (DSC) of inverter-fed induction
machine, IEEE Trans. on Power Electronics, volume 22, no. 5, pp. 820827, September/October 1986.
[5] Tang L., Zhong L., Rahman M.F., Hu Y., A novel direct torque
controlled interior permanent magnet synchronous machine drive with
low ripple in flux and torque and fixed switching frequency, IEEE
Transactions on Power Electronics, 19(2), p.346-354, 2004.
[6] I. Takahashi and Y. Ohmori, High-performance direct torque control of
induction motor, IEEE Trans. Ind. Appl., vol. 25, no. 2, pp. 257-264,
1989.
[7] P. Vas, Sensorless vector and direct torque control, Oxford University
Press, 1998.
[8] C. F. Hu, R. B. Hong, and C. H. Liu, Stability analysis and PI controller
tuning for a speed sensorless vector-controlled induction motor drive,
30th Annual Conference of IEEE Inds. Elec., Society, 2004, IECON, vol.
1, 2-6 Nov. 2004, pp. 877-882, 2004.
[9] M.N. Uddin, T. S. Radwan, and M. A. Rahman, Performance of fuzzylogic-based indirect vector control for induction motor drive, IEEE
Trans. Ind. Appl. Vol. 38, no. 5, PP. 1219-1225, September/Oct. 2002.
[10] B.K.Bose, Modern Power Electronics and AC Drives, Prentice Hall
Indic, 2006.
[11] Suresh Mikkili, A.K. Panda PI and Fuzzy Logic Controller based 3phase 4-wire Shunt active filter for mitigation of Current harmonics with
Id-Iq Control Strategy, Journal of power Electronics (JPE), vol. 11, No.
6, Nov. 2011.
[1]

466

Cylindrical Antenna Array Synthesis with

Minimum Side lobe Level Using PSO
Technique
N Surendra1, K R Subhashini2, G LalithaManohar3

Abstract-- Particle Swarm Optimization (PSO)Algorithmwith

the Schelkunoff method is used to synthesize the conformal
array.Evolutionary Techniques are in rise in electromagnetic as
design tools and problem solvers because of their ability to
optimize complex multimodal search spaces. This paper discusses
the design and optimization of cylindrical antenna arrays with
special emphasis on traditional polynomial Schelkunoff method
coupled with the PSO Algorithm in application to the KU band.It
also illustrates the implementation procedure of PSO algorithm
in electromagnetic optimizationproblems. The optimization
procedure is then used to design cylindrical antenna array with
specific array factor requirements. A comparative study of
design tools is done through simulation.
Keywords--Array synthesis, Evolutionary Approaches,
Schelkunoff polynomial method, Conformal Antenna arrays,
PSO Algorithm,Cylindrical Antenna arrays

I.INTRODUCTION

ntenna pattern synthesis is two step process which

includes formulation of analytical model, either exactly or
approximately and realization of analytical model using
antenna model. The synthesis of equispaced linear array with a
shaped beam has been considered by some authors in the
specialized literature [1]. Traditionally, the synthesis of
antenna arrays required an expert knowledge and significant
insight into the physics of the array in order to exploit it.
Generally speaking, antenna pattern synthesis can be classified
into three categories. One group requires the antenna patterns
possess nulls in desired directions. The method introduced by
Schelkunoff can be used to accomplish this. Second category
requires the pattern to exhibit a desired distribution in the
entire visible region. This is referred as beam shaping, and it
can be accomplished using the Fourier Transform and the
Woodward methods. And the third group includes techniques
that produce patterns with narrow beams and low side lobes.
Some methods that accomplish this are binomial method,
Dolph-Chebyshevmethod. All these methods need a lot of
mathematical fore work to achieve the required beam pattern.
There are many applications where the antenna pattern is
1. N Surendra and 2. K R Subhashini are with the Department of
Electrical Engineering, National Institution of Technology, Rourkela- 769008,
India.(e-mail: n.surendra.nitrkl@gmail.com, subppy@gmail.com)
3. G LalithaManohar is with Department of Electronics Engineering,
AMA University, Bahrain (e-mail: lalitha.amaiu@gmail.com )

978-1-4673-0455-9/12/$31.00 2012 IEEE

required to be shaped to achieve a desired effect [2].

Conventional techniques employed for solving the synthesis
problem were deterministic in nature, using measurable and
quantifiable knowledge of the array physics to determine an
optimal result.In the case of planar arrays the problem is more
critical as the solution space is very large, exhaustive checking
of all possible phase amplitude excitations is very difficult for
the traditional methods based on deterministic rules, hence
robust and heuristic algorithms like PSO has to be applied [3].
Synthesis of arrays using PSO for general electromagnetic
problems has been reported. The Schelkunoff polynomial
method is very suitable to synthesize linear arrays with
radiation pattern at specified nulls. The synthesis is carried out
by appropriate placement of roots in the complex plane. Since
there are lot many possibilities to achieve the optimize
solution, primitive methods with calculus modulus fails .Under
these conditions evolutionary approaches are of more gain.
In this paper an approach for the planar array synthesis is
carried out through two methods. The amplitude and phase of
each element at prescribed nulls through Schelkunoff method
and PSO technique for the synthesis of shaped beam antenna
pattern of the conformal array is described.Antenna array
synthesis essentially involves determination of the amplitude
and phase of the elements that will produce a desired radiation
pattern. Stochastic algorithms do not follow the computational
cost surfaces like gradient based methods but they possess the
ability to jump around the computational space and leap from
the trappings of local minima to converge to a globally optimal
solution. Several optimization algorithms have been developed
for this purpose including those using Tabu search [8] convex
optimization, Particle Swarm Optimization (GA) [5]. These
algorithms are either very complicated or time consuming. In
this paper, PSO Algorithm is used for optimizing the
amplitudes of each antenna element. In section II a brief
introduction to cylindricalantenna array and analytical
formulation of Schelkunoff method is explainedand in section
III PSO for training the conformal antenna array is described.
Section IV is dedicated for discussion and experimental results.
II. ARRAY SYNTHESIS USING SCHELKUNOFF POLYNOMIAL
METHOD
Schelkunoff polynomial method is a very powerful tool for
antenna synthesis [16]. It is based on the polynomial properties

467

of the arrayfactor.Using this radiation pattern at prescribed

nulls can be defined.
From (1), the array factor for an N-element, equally spaced non
uniform amplitude and progressive phase excitation along the z
axis is given by
N

AF=

a e

( n 1) jd cos

(1)

n 1

By considering the Eulers relationship the AF can be

expressed as
z=x+jy=e

= e

jd cos

(2)

It can be rewritten as
AF=

a n ( z z1 )( z z 2 )( z z 3 )....( z z N 1 )

Cylindrical Antenna Arrays are characterized by high

directivities, narrow beams, and low side lobe levels. They
were successfully used to increase the user capacity in the
downlink of WCDMA cellular systems. Their high
directivities lead to an increase of interference in the adjacent
cells, whereas their narrow beams and low side lobes help
efficiently in interference mitigation. A tradeoff between these
two contrasting trends is investigated. Cylindrical antenna
arrays are shown to outperform other array types with similar
properties, leading to an increase in capacity and coverage and
simultaneously providing good interference rejection
properties [5]. The geometry of cylindrical array antenna is
shown below can be assumed as combination of uniform
linear array antenna and uniform circular antenna and its
structure is shown below.

(3)

The magnitude of the polynomial can be expressed in

general as
AF an z z1 z z2 z z3 z zN 1

(4)

The equation (5) can be expanded by substituting the

complex variable z as
z=z ej = z = 1

(5)

Where =d cos () += (2/) dcos () +

Figure 1 Geometry of Cylindrical Array Antenna

And denotes the wave length.

Consider planar array XY plane represented in the Fig
1.The location of any element will be given by
. yi
ri x.x y

(6)

For any arbitrary array the equation (6) can be expressed as

a e x sin cos y sin sin

N

AF =

i 1

(7)

A. ARRAY FACTOR OF CYLINDRICAL ARRAY ANTENNA

It is often desired to design an antenna array that will yield
desired radiation characteristics. The task is to find the right
antenna configuration, its geometricaldimensions, and
excitation distribution [8]. The most common antenna arrays
are the linear array and the circular array. The array factor of
an M element linear array with uniform interelement spacing
d is given by

III.CYLINDRICAL ANTENNA ARRAYS

The problem of maximizing the directivity of a liner array
with equally spaced isotropic elements was first studied by
Uzkov in 1946[2]. A typical conformal array antenna has
radiating elements evenly distributed on a smoothly curved
surface. This is the ideal case in which even the radiator shape
matches the curvature of the surface. Alternatively, the surface
can be built up of many small, planar patches or facets, with
one or a few radiators per facet. In this way, the surface
approximates a curved surface and the radiator shapes match
the plane facets. A third possibility is to use rather few large
planar surfaces with several radiators per surface a multisurface array. In the typical multi-surface case, one surface is
used at a time. The beam from one planar array is phase
steered to a maximum value (edge of scan) at which the
adjacent plane surface takes over. Thus, a continuous wide
angular coverage can be obtained.

(8)
In the above equation,
, is the direction
of maximum radiation, and Im are the excitation coefficients.
Uniform linear arrays (ULA) are characterized by a constant
value of the excitations i.e. IM=I0 for m=1, 2, 3.M.
Chebyshev linear arrays are another type of linear and
uniformly spaced antenna arrays. They have the unique
property that all side lobes in their radiation pattern are of
equal magnitude. The excitation currents of the elements of an
M element Chebyshev array are related to the coefficients of a
Chebyshev polynomial of degree M-1, where M is the number
of the elements in the array.
The array factor of an N element circular array with
uniform inter-element spacing (UCA) is given by:

468

IV.IMPLEMENTATION PROCEDURE OF PSO ALGORITHM

(9)
In the above equation, r is the radius, In are the complex
excitation coefficients (magnitude and phase n = -kr*
], (
) is the direction of maximum
[
radiation, N is the number of elements, and
is the angle in the x-y plane between the x-axis and
the nth element. For uniform excitation, the Ins are equal.
Stacking circular arrays one above the other, with an equal
vertical separation between them, will lead to a cylindrical
array where the elements along a vertical line on the
cylindrical surface form a linear array, and those lying in a
transversal plane cutting the surface constitute a circular
array[7]. In this case, the total array factor would be the
product of the array factor of a linear array by that of a
circular array. Using a cylinder of M identical circular arrays,
the total array factor is given by the sum of the M individual
array factors:
(10)
In the above equation, we consider that in the far field
region, the array factor of each circular array is the same as
the array factor of the circular array in the x-y plane.
However, the vertical distribution of the elements introduces a
phase difference between the circular arrays identical to the
phase difference between the elements of a linear array, since
the elements along the vertical direction.Constitute a linear
array with a distance d between the elements. Hence, in
Equation 5
can be defined as
(11)
In the above equation, the second term in the product
comes from the mth vertical element and the first term is the
excitation coefficient of the nth element of a circular array.
Substituting (11) into (10), it becomes:

In 1995, Kennedy and Eberhart firstly introduced particle

swarm optimization (PSO), which is a robust stochastic
evolutionary computation technique based on the movement
and intelligence of swarms. The PSO algorithm is based on a
social-psychological principle. Compared with other
stochastic optimization techniques like genetic algorithms
(GAs) and simulated annealing (SA), PSO has fewer
complicated operations and fewer defining parameters, and
can be implemented easily. Because of these advantages, the
PSO method has attracted a wide spread attention and has
been widely used in electromagnetic community, especially
for array antenna analysis. The PSO algorithm randomly
initializes the locations and velocities of particles in the Ddimensional search space. Each particle flies to the target area
and adjusts its position according to its own experience and
the best experience of its topological neighbour [10]. The
position and velocity of the ithparticle are represented as Xi=
(xi1,xi2,xi3. . .xiD) and Vi= (vi1,vi2,vi3. . . viD) respectively. The
personal previous position is recorded and expressed as Pi=
(pi1,pi2,pi3. . .piD)the index of the best particle among all the
particles is represented by the symbol g. The positions and
velocities of particles are updated according to the following
equations (13) and (14). In addition to these dynamic
quantities, we postulate also two memory locations encoded in
the variables Pn, the local best of the Ith particle, Pg and the
global best, both for the nth dimension. The basic idea of the
classical PSO algorithm is the clever exchange of information
about the global and local best values mentioned above. Let us
assume that the optimization goal is to maximize/minimize an
objective function. Each particle will examine its performance
through the following two views.
The key idea in the PSO method is how to combine the two
different types of perspectives described above in order to
predict the best update for the position in the next iteration
[11]. The idea, originally proposed in [15],was to change the
velocity component in a manner such that the increments
contributed by the social/individual perspective are directly
proportional to the difference between the current position of
the particle and the global/local best, respectively, which were
recordedpreviously. This exchange is accomplished by the
following two equations:
(13)
(14)

(12)
It is evident from Equation (10) that the array factor of a
cylindrical array is equivalent to the multiplication of the
array factors of a linear array by that of a circular array.
Hence, the pattern synthesis for cylindrical arrays reduces to
two separate pattern synthesis tasks: the synthesis of a circular
array and the synthesis of a vertical linear array.

Whered {1, 2... D}; c1 and c2 are the cognitive and

social factors, respectively; randis the statistically independent
random variables uniformly distributed between 0 and 1; w is
the inertia factor. Equation (7) denotes the position update.
The PSO can be better explained using the flowchart shown in
the figure.

469

miniaturization. To achieve this, the fitness function can be

formulated as
(15)

Where msl is the angle where maximum side lobe is obtained

in the bands [0,800] & [1000, 1800]
VI.SIMULATION& RESULTS

Figure 3 N=6x6 Beam Pattern of Cylindrical Array Antenna

Figure 2 Flow chart of PSO Algorithm

Although the original version of the PSO started with the

inertia weight w = 1, it turned out later that the performance of
the algorithm can be dramatically improved.
If a variation in this tuning factor is introduced slowly
during the evolution of the swarm. In most of the examples
applied to benchmark functions and electromagnetic problems
considered, we choose to vary w linearly from 0.9 to a smaller
value 0.4[12].Typical choices are w [0.2, 0.4]. More details
on other choices for the tuning of the PSO control parameters
can be found in, where it is understood that for each
dimension d the random number generators are initialized
[15,16]. The convergence of the PSO algorithm to the location
can be guaranteed by proper tuning of the cognitive and social
parameters of the algorithm. This means that if the PSO has
enough recourse to search for the best solution for controlling
the behavior of the system [14]. The probability is calculated
for each the iteration to decide how to update the particles.
Moreover, there the biggest obstacle is the appearance of new
control parameters, which has no clear meaning. This exerts
burden on the user while choosing the suitable value for the
tuning parameters. The proposed acceleration technique will
be demonstrated with a practical application from
electromagnetic theory.

Figure 4 N=11x11Beam Pattern of Cylindrical Array Antenna

Figure 5 N=21x21Beam Pattern of Cylindrical Array Antenna

V.DESIGNING THE FITNESS FUNCTION

The objective is to design a cylindrical antenna array with
minimum SLL for a specific first null beam width (FNBW).
While the first criterion ensures maximum directivity of the
antenna, the second criteria is of paramount importance in the
modern world where the focus is increasingly on
Figure 6 N=16x16 Beam Pattern of Cylindrical Array Antenna

470

Figure 7 N=6x6 Polar Plot of Cylindrical ArrayAntenna

Figure 9 N=16x16 Polar Plot of Cylindrical ArrayAntenna

Figure 8 N=11x11 Polar Plot of CylindricalArrayAntenna

Figure 10 N=21x21 polar plot of Cylindrical ArrayAntenna

TABLE 1 SIMULATION RESULTS

NUMBER OF ELEMENTS

HPBW(deg)

DIRECTIVITY(dB)

SIDELOBE LEVEL (dB)

DESIRED

PSO

DESIRED

PSO

DESIRED

PSO

6X6

32

28

5.3842

5.9130

-4.407

-6.549

11 X 11

17.4

40.4

7.8467

4.9810

-4.29

-4.992

16 X 16

12

12

9.3944

9.3944

-4.311

-6.094

21 X 21

23

10.6076

6.7044

-4.31

-4.092

VII.CONCLUSION
In this paper we have applied the PSO mitigated with
Schelkunofftechniques to a conformal array and achieved
good performance in terms of directivity and SLL, which are

used in satellite communication and Synthetic Aperture

Radar(SAR).The simulation is done using MATLAB
simulator. Finally a novel antenna array is synthesized using
the above mentioned optimization techniques.

471

VIII.REFERENCES
[9]

[1] C. A. Balanis, "Antenna Theory Analysis and Design Ed. John

Willey& Sons. IncNew York, 2007
[2]
[3]
[4]

[5]

[6]

[7]

[8]

A. I. Uzkov, An approach to the problem of optimum directive antenna

design C. R. Acad. Sci. USSR, vol. 35, 1946, p.3
Rattan, M., M. S. Patterh, and B. S. Sohi, "Antenna array optimization
using evolutionary approaches," Apeiron, Vol. 15, No. 1, 78, Jan. 2008.
Wei-Chung Weng; Fan Yang; Elsherbeni, A.Z., "Linear Antenna Array
Synthesis Using Taguchi's Method: A Novel Optimization Technique in
Electromagnetics," IEEE Transactions on Antennas and Propagation,
vol.55, no.3, pp.723-730, March 2007
S.O.Kundukulam and K.S.Beenamole, Optimization of radiation pattern
using genetic algorithm, Proceedings of IEEE International Symposium
on Microwaves (ISM), Bangalore, and 2006.pp 74-79.
Canabal,.A,R.P.Jedlicka,A.G.Pino,Multifunctional phased array antenna
design for satellite tracking ,Science Direct, Acta Astronautics 57(2005)
pg 887-900.
Satapathy.J.K, Subhashini.K.R, Tabu based back propagation algorithm
for improvement of performance in Digital communication channel,in
Proc, TENCON 2008, IEEE Region 10 conference. India.Nov.2008 pp.16
MohammadShihab,YahyaNajjar,NihadDib, M.Khodier Design of nonuniform circular antenna arrays using particle swarm optimization,

[10]
[11]
[12]

[13]
[14]
[15]
[16]

472

Elsevier, Journal of Electrical EngineeringVOL 59, No.4, 2008, 216220.

Rocha-Alicano, C, D. Covarrubias-Rosales, C. Brizuela-Rodriguez, and
M. Panduro-Mendoza, Differential evolution algorithm applied to
sidelobe level reduction on a planar array,"AEU International Journal of
Electronic and Communications, Vol. 61, No. 5, 286-290, 2007.
J. Kennedy and R. C. Eberhart, Particle swarm optimization, in Proc.
IEEE Conf. Neural Networks IV, Piscataway, NJ, 1995.
R. Poli, Analysis of the publications on the applications of particle
swarm optimization, J.ArtificialEvol. Appl., Article ID 685175, 10
pages, 2008.
M. Khodier and C. Christodoulou, Linear array geometry synthesis
with minimum sidelobelevel and null control using particle swarm
optimization, IEEE Trans. Antennas Propagat. vol. 53, no. 8, pp.
26742679, Aug. 2005
Khodier, M. and M. Al-Aqeel, Linear and circular array optimization:
A study using particle swarm intelligence," ProgressIn
Electromagnetics Research, PIER 15, 347-373, 2009.
U. Singh, H. Kumar and T. S. Kamal ,Linear array synthesis using
biogeography based optimization, Progress In Electromagnetics
Research M, Vol. 11, 25-36, 2010
Said M. Mikki and Ahmed A. Kishk, Particle Swarm Optimization: A
Physics-Based Approach, Morgan & Claypool,2008
Mohammad Shihab,YahyaNajjar,Nihad Dib and MajidKhodier. Design
of non-uniform circular antenna arrays using particle swarm
optimization, Journal of Electrical engineering, VOL. 59, NO. 4, 2008,
216-220

A Compact High-Gain Microstrip Patch Antenna

for Dual Band WLAN Applications
Bharath Kelothu, K.R.Subhashini and G.LalithaManohar
1

AbstractHigh-gain antennas best for covering long

distance communication applications. This paper describes a
High-gain, dual band L- shaped Micro strip patch antenna is
printed on a FR-4 substratefor WLAN systems, and has
dimensions of 60 70 1.6mm3 with a ground plane .The
dual-band operation is obtained by embedding a pair of Lshaped slots. This proposed antenna is simulated using a CST
microwave studio suiteTM 2010. The simulated results shown
the proposed micro strip patch antenna achieves a frequency
range from 5.0 GHz to 6.0 GHz (return loss less than -10dB),
so maximum gain with the values of 8.4 and 7.1 dB are
achieved in the lower and higher frequency band
respectively. This antenna satisfies the requirements of
wireless local area network (WLAN)IEEE802.11a( in the
frequency range 5.15~5.35GHz, 5.725~5.825GHz) within a 2:1
VSWR.The return loss, radiation pattern, voltage standing
wave ratio (VSWR),gain and the critical design parameters
are also investigated in detail. Simulated results verify that
the presented antenna is a good solution for dual-band
WLAN applications.

proposed in [13][15] are much higher, but also less than 8

dBi.Larger return loss indicates higher power being
radiated by the antenna which eventually increases the gain
[16]. The proposed antenna is matched to the cable
impedance where the reflection, || = 0. This means that all
power is transmitted to the antenna and there is no
reflection [17]. The optimal VSWR is 1.Those designed
low-profile antennas are suitable for portable devices, but
in applications such as long-range communications or
point-to-point communications devices running on battery,
high gain of WLAN antenna is necessary, and the antennas
previouslypublished have difficulty to meet the
requirement. In this letter, a single-fed dual-band antenna
covering IEEE 802.11a for WLAN applications is
presented. The maximum gains of the two bands are 8.4
and 7.1dBi, making the proposed antenna appropriate for
high-gain applications
II.ANTENNA DESIGN

Keywords--

Microstrip,L-shapedpatch
antenna,Dual
band,CSTmicrowave studio suiteTM 2010,WLAN.

I.INTRODUCTION

ireless Local Area Network (WLAN) is one of the

most widely used technologies in todays world. It
is recognized as a reliable and cost effective solution for
wireless high speed data connectivity. THE wireless local
area networks (WLANs) working at IEEE 802.11a
employs the higher frequency band 5.15-5.35GHz band
and 5.725-5.825GHz band. Due to its higher cost, 802.11a
is usually found on business networks. It is different from
country to country. In the United States, the frequency
ranges from 5.155.35 GHz and from 5.7255.825 GHz,
while in Europe, the frequency covers 5.155.35 GHz and
5.4705.725 GHz, respectively. Nowadays, dual-band
WLAN systems combining IEEE 802.11a/b/g standards
are becoming more attractive [4]. A dual-band/wideband
antenna is a key component for such communication
systems [4][15], especially for universal applications,
where it should be covering the whole 5.15-5.35-GH band
and 5.7255.825-GHz band for dual WLANband. Such
dual-band antennas with single feed have been proposed in
various configurations [4], [6], [7], [8], [10], [11]. These
antennas either provide inadequate coverage at the 5-GHz
band [6], [7], [8], [10], or they cannot be easily integrated
in portable devices [4], [11]. Furthermore, the gains of
previously published single-fed dual-band antennas are
lower than 6 dBi [4][12]. The gains of the antennas
Bharath Kelothu and K.R.Subhashini are with the Department of
Electrical engineering, National Institution of Technology, Rourkela769008, India (e-mail:bharath4nitrkl@gmail.com, subppy@gmail.com).
G. LalithaManohar is Head of Electronic Department, AMA
University, Bahrain (e-mail:lalitha.amaiu@gmail.com).

Microstrip patch antenna consists of a radiating patch on

one side of a dielectric substrate which has a ground plane
on the other side as shown in Fig. 2, Dielectric constant of
the substrate (r) is typically in the range 2.2<r <12 [1].
The patch is generally made up of conducting material
such as PEC (Perfect electric conductor)and can take any
possible shape.The radiating patch and the feed lines are
usually photo etched on the dielectric substrate.Microstrip
patch antennas radiate primarily because of the fringing
fields between the patch edge and theground plane as
shown in Fig. 1, [2].

Fig.1. Electric Field Lines

Fig. 2. shows the geometry of the proposed dual band

microstrip patch antenna. It is fabricated on FR4 substrate
of dimensions(7060mm2) with a dielectric constant of 4.5
and a substrate thickness of 1.6 mm [3]. The top and
bottom patches printed on the substrate are the radiating
structure and the ground plane. Because of the rectangular
radiator, the radiating structure consists of a two L-shaped
patches with one separated strip(5100.05mm3),and
notice that, there is a ground plane printed on the back of
the substrate as a size of 70600.05mm3 .
The dimensions given in the figure are for achieving
dual WLAN band 5.15-5.35GHz and 5.725-5.825 GHz
operations, and are obtained with the aid of the simulation
software CST microwave studio suiteTM 2010.The
dimensions of the rectangular FR4 substrate are WL. The
dual L-slots are located symmetrically the center line of
the patch and have a narrow width of S.

978-1-4673-0455-9/12/$31.00 2012 IEEE

473

increase in S11 shows that the antenna has a better

reflection coefficient and power reaches the load with
minimum losses [16]. It shows that two desired operating
frequencies are successfully excited and can meet the
bandwidth requirement of 802.11a for 5.18/5.8 GHz dualband applications.

PW1
PL1

L
PL2

PW2

S
PL3

PW3

(a)
Substrate
T

Fig. 3. Simulated return loss for the proposed dual bandmicrostrip patch
antenna at 5.18 GHz and 5.8 GHz.

Wave guide port

(b)
Fig. 2. (a) Front View and(b)Bottom view of the proposed antenna
structure

The dimensions of vertical and horizontal arms of Lslots are denoted as PL1 and PW1.The symbol; PL2 and
PW2 represent the length and width of L-shape strips. The
patch thickness of PEC material is 0.05mm.
Table 1
THE OPTIMAL DIMENSIONS OF THE DESIGNED ANTENNA ARE
AS FOLLOWS
Parameter
s
Unit(mm)

PW1

PL2

PW2

PL3

PW3

70

60

1.6

24

38

10

III. SIMULATED RESULTS AND DISCUSSION

In this section, simulated frequency responses of
reflection coefficients, VSWR, radiation patterns and peak
gains of the proposed antenna are presented. The
simulations are carried out using CST microwave studio
suiteTM 2010.
Fig. .3, shows the simulated return loss (s11) of the
proposed antenna. Return loss is a convenient way to
characterize the input and output signal sources. S11
represents how much power is reflected from the antenna.
If S11=0 dB, it shows that all power is reflected from the
antenna and nothing is radiated. The simulated result
indicates that the proposed antenna has two resonant
frequencies. The resonant frequency at lower band locates
at about 5.18GHz, with the -10dB impedance bandwidth
from 5.1GHz to 5.28GHz band. At higher band, the
resonant frequency locates at about 5.8GHz, with the 10dB impedance bandwidth from 5.77GHz to 5.83GHz
band. The final design chosen from the optimization of
patch dimensions as the return loss illustrates the largest
value, -35.5743dB at resonant frequency 5.18GHz, and 32.46dB at resonant frequency 5.8GHz. Larger return loss
indicates higher power being radiated by the antenna
which eventually increases the gain. In other word, the

IV.PARAMETER STUDY
This section presents the important parameters, such as
PL1and different dielectric constant (r)values of
substrate. Which influence the operating frequency bands
of 5.18 and 5.8GHz, and then the parameter effects of the
proposed antenna on impedance bandwidth are illustrated.
A. Effect of parameter PL1
The antenna configuration parameters, as illustrated in
Table 1, have been chosen and the parameter PL1 has been
varied (PL1=11mm, 13mm).The return losses of the
designed antenna are shown in Fig.4. As the PL1 decreases,
the return loss of the first resonant frequency becomes
worse and the resonant frequency increases. The first
resonant frequency is affected largely between the
frequencies of 5.5GHz to5.6GHz. The second resonant
frequency is varying slightly. In this case, the appropriate
parameter PL1=12mm is chosen.

Fig. 4. Return losses from optimization of patch (PL1) of antenna

B. Effect of Dielectric constant

In order to improve the bandwidth, the parameter
PL1=12mm has been selected from the previous step, and
the dielectric constant is varied to be 4.4, 4.7and5. The
return losses with variation of rare depicted in Fig.5,. As
474

the r decreases, the first and the second two resonant

frequencies is shifted to the right. As the r increases the
first and the second two resonant frequencies is shifted to
the left then the coverage of band is missing so considering
the FR4 substrate dielectric constant 4.5 is preferred to
cover the WLAN frequency band.

Fig. 7. The radiation pattern of the microstrip patch antenna at 5.18GHz

Fig. 5. Return losses from optimization of dielectric constant of the

substrate

V. GAIN AND DIRECTIVITY

Table.II shows the gain and directivity of the proposed
antenna at both bands. In the 5.18GHz band, the peak gain
is about 8.43dB (shows in fig. 7,) and simulated peak
directivity is 8.34dBi.The peak gain can reach about
7.17dB at 5.8GHz (shows in fig. 8,) and peak directivity is
7.02dBi.The Gain curve follows the Directivity curveover
the entire frequency range. It is observed from 5GHz to
6GHz range. The high gain and directivity in 5.18GHz and
5.8GHz band can completely meet the requirement of the
long distance wireless communications.
Table II
GAIN/DIRECTIVITY OF THE PROPOSED ANTENNA
Gain/dB

Frequency
5
5.1
5.18
5.2
5.25
5.3
5.4
5.7
5.8
5.9
6

Lower WLAN Band

Upper WLAN Band

7.769
8.179
8.436
8.46
8.64
8.67
8.87
7.7
7.17
8.49
7.3

Directivity/d
Bi
7.70
8.0
8.34
8.37
8.52
8.58
8.7
7.4
7.02
8.32
7.1

Fig. 8 The radiation pattern of the microstrip patch antenna at 5.8GHz

A. Radiation Pattern Characteristics

The simulated far field radiation patterns of E-Plane and
H-Plane of the proposed dual microstrip antenna are
shown in Fig. 8, and 9.The simulated radiation patterns at
resonant frequency (5.18GHz and 5.8GHz) show that the
E-Plane radiation pattern is in end fire direction against
frequency and H-Plane can be seen that the total radiation
power is nearlyOmni-directional.We can observe the Hplane pattern at 5.7GHz and 6GHz in fig.9. b, d.The
antenna achieved a gain of 8.4 dB at 5.18 GHz and 7.17dB
at 5.8GHz.

9.0
8.8
8.6

Directivity(dBi)

Gain(dB)

8.4
8.2
8.0
7.8

Gain(dB)
Directivity(dBi)

7.6
7.4
7.2
7.0
5.0

5.1

5.2

5.3

5.4

5.5

5.6

5.7

5.8

5.9

6.0

Frequency(GHz)

(a)

Fig. 6 Gain (dB)/Directivity (dBi) versus Frequency (GHz) of proposed

antenna

475

E-Plane at 5.18GHz

(b)

E-Plane at 5.8GHz

Fig. 9. Simulated E plane radiation patterns of proposed antenna at (a)

5.18GHz (b) 5.8GHz

(d)

H-plane at 6GHz

Fig. 10 .Fairfield H-plane radiation patterns of proposed antenna at (a)

5.18GHz
(b) 5.7GHz, (c) 5.8GHz, (d) 6GHz.

(a)

H-Plane at 5.18GHz

(b)

H-Plane at 5.7GHz

B.Voltage Standing Wave Ratio

The simulation result of Voltage Standing Wave Ratio,
VSWR is shown in Fig.11, below. VSWR is an important
specification for all microwave devices. It measures how
well an antenna is matched to the cable impedance where
thereflection, || = 0. This means that all power is
transmitted to the antenna and there is no reflection [17].
The optimal VSWR is 1. By referring to Fig. 11, at
operating frequency 5.18GHz, the VSWR value obtained
is 1.034 and second operating frequency 5.8GHz, the
VSWR value obtained is 1.0538.This dual band microstrip
antenna could provide sufficiently wide impedance
bandwidth VSWR<2 covering WLAN band (5.15.28GHzand5.77-5.83GHzFig. 11, shows the simulated
VSWR versus frequency of the proposed antenna. It shows
that the antenna is near to perfect matching.

Fig. 11.Simulated VSWR of the proposed antenna.

VI.CONCLUSION

(c)

H-Plane at 5.8GHz

A compact high-gain, dual-band microstrip antenna is

presented in this paper for WLAN and long-distance
communication applications. The frequency bands with
return loss below -10 dB cover universally the IEEE
802.11a standards (5.15-5.35GHz and 5.725-5.825GHz)
with maximum gain values of 8.4 and 7.1 dB in the lower
and higher frequency bands, respectively. The design of
this work gives the following results; the return loss in the
operating frequency of 5.18GHz is equal to -35.57dB and
476

of 5.8GHz is equal to -32.46dB. The VSWR obtained at

5.18GHz is equal to 1.034 and at 5.8GHz is equal
to1.0538. Taken as a whole, the performance of the
antenna meets the desired requirements in terms of return
loss, high gain and VSWR at the desired operating
frequency. From this paper, it can be concluded that, the
performance of the microstrip antenna depends heavily on
the dimension of the slot. As the width and length of the
slot increase, the return loss (S11) and VSWR increase but
the gain decreases. Other factors that can contribute in the
antenna performance are the type, thickness and dielectric
constant of substrate. Because of using a FR-4substrate,
the proposed antenna production costs are reduced. It is
seen that the proposed antenna achieved good
performance, simple structure, and it can be constructed
with a lower cost, this will meet the requirements of
WLAN applications with smaller size.

[6]

[7]

[8]
[9]

[10]

[11]

[12]

[13]

REFERENCES
[1]

[2]
[3]

[4]

[5]

Eldek, "Analysis and Design of Wideband Slot and Printed

Antennas for Phased Array Antenna Systems," in Electrical
Engineering. vol. PhD: University of Messisippi, November 2004.
N.N.Rao,Elements of engineering Electromagnetic, PHI-India, pp
[674-685],2000
Asrokin, A. Rahim, M.K.A. Aziz, M.Z.A.A. "Dual band microstrip
antenna for wireless LAN application," Applied Electromagnetics,
2005. APACE 2005. Asia-Pacific Conference on , vol., no., pp.4
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A Robust Watermarking Technique based on

Biorthogonal Wavelet Transform
Rajendra S. Shekhawat , Sivavenkateswara Rao .V and V.K.Srivastava

Abstract-- This paper presents a robust & invisible digital

image watermarking technique using biorthogonal wavelet
transform. The proposed method is founded more suitable for
copyright protection and robustness than orthogonal wavelet
transform based watermarking techniques. In proposing method
the blue channel of the cover image is selected for embedding
watermark because it is more resistant to changes compared to
red and green channels. The blue channel is decomposed into n
levels using biorthogonal wavelet transform because
biorthogonal wavelet transform is an invertible transform and
has the property of exact reconstruction and smoothness. The
horizontal and vertical subbands are selected for embedding
watermark. This method is shown to be robust against many
signal processing operations as well as geometrical attacks.
Index Terms-- Digital Image Watermarking, Biorthogonal
Wavelets Transform, Robust Watermarking, Copyright
Protection, Attacks.

I. INTRODUCTION

HE tons of data embedded on the internet and digital

media manifests itself in widespread in the form of the
digital image, audio, video and so on, because digital media
are easy to copy and transmit. Issues related to digital media
are copyright protected, content authentication, proof of
ownership, etc.
The copyright protection of the digital media is very
important because it has identified the protection of
intellectual property rights. If a copyright has some problems
such as copied, modified and attack, the other person is
claiming that they had owned the multimedia objects.
Copyright protects is usually embedded with information
about the multimedia that is the copyright of owner. There
are many solutions that have been proposed like
Cryptography [1], Steganography and Watermarking [2].
The watermarking technique provides one of the best
solutions among them. This technique embeds information so
that it is not easily perceptible; Human visual system not able
to see any information embedded in the contents.
The embedded watermark should not degrade the quality of
Authors are with the Department of Electronics and Communications
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004,
India. (chinna.ece@gmail.com , raj3381@gmail.com
and
vinay@mnnit.ac.in).

the image and should be perceptually invisible to maintain its

protective secrecy [1]. The important issues in the
watermarking system are the watermark must be robust
enough to resist common image processing attacks, geometric
attacks and not be easily removable. Only authorized user is
able to extract the watermark [3] [4].
Digital watermarking techniques can be classified into two
domains by embedding and extracting method: the spatial
domain and frequency domain. The spatial domain
techniques embed direct watermarks into the host objects by
changing the pixel values. The advantages of spatial domain
techniques are high capacity and simplicity. The disadvantage
is that the hidden information can easily be detected by means
of computer analysis [5] [6]. In the frequency domain
technique, the coefficients of image are mainly transformed
by discrete Fourier transform (DFT), discrete cosine
transforms (DCT), and discrete wavelet transforms (DWT). It
is very difficult to detect the hidden information if the
watermarks are embedded into locations of large absolute
values of the transformed image coefficients, the
watermarking technique would become more robust [7] [8].
The main objective of this paper is to present a novel
watermarking technique that uses the biorthogonal wavelet
transform. With proposed technique watermark is extracted
even if the watermarked image is attacked. Another important
goal is to keep the watermarked image imperceptible.
II. DIGITAL IMAGE WATERMARKING
Digital Watermarking is the process that embeds digital
contents called a watermark, tag or label into a multimedia
object such that the watermark can be detected or extracted
later to make an assertion about the object. The object may be
an image or audio or video or text. Figure 1 shows the basic
block diagram of Digital image watermarking scheme.
Characteristics of Digital Image Watermarking:
The most important requirements for digital watermarking
are summarized below [9] [10].
Transparency: This refers to the perceptual similarity
between the original image and the watermarked image. The
watermark should be imperceptible. The watermark may
degrade the quality of the content, but in some applications a

978-1-4673-0455-9/12/$31.00 2012 IEEE

478

little degradation may accepted to have higher robustness or

lower cost.

subbands have minor energy coefficients so watermark in

these subbands are defenseless to attacks. The higher level
approximation

Figure 1: Block diagram of Digital image watermarking scheme

Robustness: It is the most important requirement of

watermarking that a watermark can survive after common
signal processing operations and geometric attacks mean
watermark should be recognized after various attacks.
Capacity: The amount of information that can be embedded
in a watermarked image is called data payload.
Security: It must not be possible to retrieve or even modify
the watermark without knowledge of the secret watermark
key.

Figure 2. Two level 2D DWT decomposition of an input image using filtering

approach.

III. 2D DISCRETE WAVELET TRANSFORM

The wavelet transform is another type of the transform
domain. Wavelets have their energy concentrated in time and
are well suited for the analysis of transient, time-varying
signals. Wavelet based transform gained popularity recently
since the property of multiresolution analysis that it provides.
The 2D DWT is computed by performing low-pass and
high-pass filtering of the image pixels as shown in Figure 2.
In this figure, the low-pass and high-pass filters are denoted
by h (n) and g (n), respectively. This figure depicts the two
levels of the 2D DWT decomposition. At each level, the highpass filter generates detailed image pixel information, while
the low-pass filter produces the coarse approximations of the
input image.
At the end of each low-pass and high-pass filtering, the
outputs are down-sampled by two ( 2). In order to compute
2D DWT, 1D DWT is applied twice in both horizontal and
vertical dimension. In other words, a 2D DWT can be
performed by first performing a 1D DWT on each row, which
is referred to as horizontal filtering, of the image followed by
a 1D DWT on each column, which is called vertical filtering
as shown in figure 2. Figure 3 shows the second level 2D
wavelet based transforms [11].

Figure 3 Two level 2D Wavelet based transforms

subband (LL2 subband) is not suitable for embedding a

watermark since it is a low-frequency band that contains
important information about an image and easily causes
image distortions. On the second level, embedding a
watermark in the diagonal subband (HH2 subband) is also not
suitable, since the subband can easily be eliminated, for
example by lossy compression as it has a minor energy
coefficient. So the middle frequency subbands (Vertical &
Horizontal) of higher level are the best choice for embedding.
Further the LH2 subband has more significant coefficients
than the HL2 subband. For this reason, it would be suitable to
embed the watermark in the middle frequency band LH2
instead of HL2 [12] [13].
3.2 The Biorthogonal Wavelet Transform

3.1 Selection of best Embeddable location

The higher level subbands are more significant than the
lower level subbands. They contain most of the energy
coefficients so embedding in higher level subbands is
providing more robustness. On the other hand lower level
479

Wavelets can be orthogonal (orthonormal) or biorthogonal.

Most of the wavelets used in watermarking were
orthogonal wavelets. The method in introduces a semifragile watermarking technique that uses orthogonal
wavelets. The biorthogonal wavelet transform is an
invertible transform. The property of perfect reconstruction
and symmetric wavelet functions exist in biorthogonal
wavelets because they have two sets of low pass filters (for
reconstruction), and high pass filters (for decomposition).
One set is the dual of the other. On the contrary, there is

only one set in orthogonal wavelets. In biorthogonal

wavelets, the decomposition and reconstruction filters are
obtained from two distinct scaling functions associated
with two multiresolution analyses in duality. Another
advantageous property of biorthogonal over orthogonal
wavelets is that they have the higher embedding capacity if
they are used to decompose the image into different
channels [14]. All mentioned properties make biorthogonal
wavelets promising in the watermarking domain. In 1998,
Kundur and Hatzinakos [15] suggested a watermarking
model using biorthogonal wavelets based on embedding a
watermark in detail wavelet coefficients of the host image.
The results showed that the model was robust against
numerous signal distortions.
IV. PERFORMANCE EVALUATION
Peak Signal-to-Noise Ratio (PSNR): Peak signal to noise ratio
(PSNR) [9] [16] [10] is the ratio between the maximum
possible power of a signal and the power of corrupting noise
the affects the fidelity of its representation. It is the most
easily defined via the Mean Squared Error (MSE) which for
two m n images I and K where one of the images is
considered as a noisy approximation of the other. MSE and
PSNR can be estimated equations (1) and (2).

MSE

1
I (i, j) K (i, j) 2
mn

(1)

PSNR(dB) 10log10 (2552 / MSE)

(2)
Normalized cross correlation (NCCR): NCCR is the
correlation between the watermark image W and extracted
watermark image W. If the value of NC is closer to 1, W and
W are more similar. NC can be estimated the following
equation (3).

W (i, j )W (i, j )
NC
W (i, j )
'

(3)

Let select a bitmap image of size 64 x 64 as watermark and

convert it into a 1-D vector. Two PN sequences are selected
for embedding watermark bit 0 & 1 in mid frequency
subbands of higher level decomposition of the channel. By
using an additive watermarking technique to construct the
image as:
LH2=LH2+alpha * PN (0)
HL2=HL2+alpha * PN (1)
Where LH2 and HL2 watermarked subbands
LH2 and HL2 watermarked subbands
Alpha=Embedding strength
Finally reconstruct the watermarked image using inverse
biorthogonal wavelet transform. Now calculate the Mean
Squared Error & Peak Signal to Noise Ratio between original
cover image and watermarked image to evaluate the
perceptual similarity between these two images by using
equation 1 & 2.
In extraction process the end user separates the R, G & B
channels of the watermarked image. The blue channel is
decomposed into n-level using biorthogonal wavelet
transform. Generate the PN (0) & PN (1) signal similarly to
the embedding process and select the threshold value. By
using these signals extracts the original watermark from HL2
and LH2 subbands. At last the Normalized Cross correlation
between original and extracted watermark is calculated using
equation 3.
VI. EXPERIMENTAL RESULTS
The Baby.jpg color image of size 256X256 is selected as a
cover image and best.bmp bitmap image of size 64X64 is
chosen as a watermark. Figure 4 shows the original cover
image & 1-level decomposed blue channel using biorthogonal
wavelet transform. Figure 5 shows original cover image
baby.jpg, original watermark best.bmp, watermarked image
and extracted watermark on the receiver side are shown
respectively.

V. PROPOSED METHOD
The main objective of the proposed method is to present the
novel robust & imperceptible watermarking technique using
biorthogonal wavelet transform. In embedding process first
separate the R, G & B channels of the color image and the
blue channel is selected for the embedding because this
channel is more resistant to changes compared to red and
green channels and the human eye is less sensitive to the blue
channel, a perceptually invisible watermark embedded in the
blue channel can contain more energy than a perceptually
invisible watermark embedded in the luminance channel of a
color image.
The blue channel is decomposed into n-level using
biorthogonal wavelet transform. The property of perfect
reconstruction and symmetric wavelet functions exist in
biorthogonal wavelets [17].

Figure 4. Original cover image & 1-level decomposed blue channel using bior1.
1 wavelet transform.

Another watermark image (Logo-MNNIT. JPG) is taken of

size 64x64 and perform the same embedding algorithm is

480

performed to get the results as shown in Figure 6. This figure

shows original cover image baby.jpg, original watermark
LogoMNNIT.jpg, watermarked image and extracted
watermark on the receiver side are shown respectively.

with different watermark image is shown in Figure 11 &

Figure 12 respectively for PSNR & MSE in the presence of
Noise with different noise density.

Figure 7 Embedding Factor Vs PSNR

Figure 5 Original cover image baby.jpg, original watermark best.bmp,
watermarked image and extracted watermark

Figure 8 Embedding Factor Vs MSE

Figure 6. Original cover image LogoMNNIT.jpg, original watermark best.bmp,

watermarked image and extracted watermark

The Peak Signal to Noise Ratio (PSNR) and Mean Square

Error (MSE) values obtained from original cover images with
two different watermark image at different embedding
strength are studied and experimentally obtained. The
comparison of these measurements with different watermark
image is shown in Figure 7 & Figure 8 respectively for PSNR
& MSE. Figure 9 shows a watermarked image at different
embedding factor (alpha=0. 1, 0.5, 1.0) with performance
measurements PSNR and MSE.
The Normalized Cross Correlation (NCCR) values obtained
between Original watermark and Extracted watermark are
studied and experimentally obtained and comparison of
NCCR with both watermarks, best.bmp (bitmap image) &
Logo-MNNIT. JPG (grayscale image), is shown in Figure 10.
The performance of the proposed method for image
processing operations such as Gaussian noise & Salt and
pepper noise on watermarked image is studied and
experimentally obtained with different noise density for
baby.jpg with both watermarks, best.bmp (bitmap image) &
Logo-MNNIT. JPG (grayscale image) at fixed embedding
factor (Alpha= 0.6). The comparison of these measurements

Alpha=0. 1
PSNR=60. 70
MSE=0. 055

Alpha=0. 5
PSNR=48. 84
MSE=0. 848

Alpha=1. 0
PSNR=43. 42
MSE=3. 025

Figure 9 watermarked images at a different embedding factor

481

Figure 13. Comparison of quality of extracting watermark after Noise attacks

The JPEG quality factor is a number between 0 and 100

and associates a numerical value with a particular
compression level. When the quality factor is decreased from
100, the image compression is improved, but the quality of
the resulting image is significantly reduced. With the
different quality factors of JPEG compression, the results are
shown in figure 14 and 15. The proposed method can
correctly extract the watermark while the quality factors are
greater than 80 and NCCR is still greater than 0.68 even
when the quality factor is down to 20.

Figure 10 Comparison of NCCR with both watermarks

Quality factor Vs PSNR

34
32
30

PSNR(db)

28

Figure 11 PSNR comparison against Salt & Pepper Noise & Gaussian Noise

26
24
22
20
18
10

20

30

40

50
60
Quality factor

70

Figure 14 Quality factor Vs PSNR for JPEG Compression

Figure 12 MSE comparisons against Salt & Pepper Noise & Gaussian Noise

The experimentally obtained results for NCCR after

Gaussian noise & Salt and pepper noise is attacked on
Watermarked image with different noise density. The
comparison is shown in Figure 13.

Figure 15 Quality factor Vs NCCR for JPEG Compression

482

80

90

100

Geometrical attacks such as Scaling, Rotation and Cropping

is studied and experimentally obtained results are shown in
figure 16 & 17 for scaling attack performance with
watermark Logo-MNNIT.jpg.

enough to resist common image processing attacks and not be

easily removable; only the owner of the image is able to
extract the watermark.
The performance of the proposed method is tested by
applying different geometric and image processing attacks,
such as salt and pepper noise, Gaussian noise, JPEG
compression, scaling and cropping attack.
VIII. REFERENCES

Figure 16 Scaling Factor Vs NCCR

Figure 17 Scaling Factor Vs PSNR

VII. CONCLUSION:
In this paper watermark is embedded into second level
subband of DWT decomposition. Results show that when the
Embedding factor (Alpha) value increases then distortion in
the watermarked image increases and quality of the extracted
watermark also improve. This method is implemented using
both bi-orthogonal wavelet and orthogonal wavelet
transforms for analysis. If we use Bi-orthogonal wavelets for
decomposition then distortion in the watermarked image is
less compared with the Haar wavelet transform. The proposed
method is to present a novel watermarking technique that
uses the bi-orthogonal wavelet transforms. The technique
makes use of DWT; it aims to improve the robustness of other
watermarking techniques. With this technique the watermark
is extracted even if the watermarked image is attacked. First,
the embedded watermark should not degrade the quality of
the image and should be perceptually invisible to maintain its
protective secrecy. Second, the watermark must be robust

[1] Hernandez, J.R., M., Amado, and F.P., Gonzalez, 2000. DCT-domain
watermarking techniques for still for still Images: Detector performance analysis
and a new structure, IEEE Trans. on Image Processing, vol.9, pp. 55-68.
[2] I. J. Cox, et al, "Digital watermarking and Steganography" (Second Edition),
Morgan Kaufmann, 2008.
Images: Detector performance analysis and a new structure, IEEE Trans. on
Image Processing, vol.9, pp. 55-68.
[3] Maity, S.P., M.K., Kundu, and M.K., Mandal, 2005. Capacity improvement
in spread spectrum watermarking using biorthogonal wavelet, IEEE Trans., pp.
1426-1429.
[4] Yang, S.H., 2002. Wavelet filter evaluation for image watermarking,
Tech. Rep., Dept. of Computer Science and Information Engineering, National
Taipei University of Technology, China.
[5] Maity, S.P., and M.K., Kundu, 2001. Robust and blind spatial
watermarking in digital image, Tech. Rep., Dept. of Electronics and
Telecomm., India.
[6] Schyndel, R.G., A.Z., Tirkel, N.R., Mee, and C.F., Osborne, 1994. A digital
watermark, IEEE Int. Conf. Image Processing, vol.2, pp. 86-90, Texas, USA.
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Images, 2010 IEEE 2nd International Advance Computing Conference, pp.
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[8] Chae, J.J., and B.S., Manjunath, 1997. A robust embedded data from
wavelet coefficients, Tech. Rep., University of California, CA.
[9]C. Chang, F. Hwang, and M. Hwang. Robust authentication scheme for
protecting copyrights of images and graphics. IEE Proceedings: Vision, Image
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[10] W. Lee and T. Chen. A public verifiable copy protection technique for still
images. Systems and Software, 62(3):195204, June 2002.
[11] Kundur, D., and D., Hatzinakos, 2004. Toward robust logo watermarking
using multiresolution image fusion principle, IEEE Trans. on Multimedia,
vol.6, no.1, pp.185-198.
[12] Aggeliki Giakoumaki, Sotiris Pavlopoulos,and Dimitris Koutsouris,
Multiple Image Watermarking Applied to Health Information Management
IEEE TRANSACTIONS ON INFORMATION TECHNOLOGY IN
BIOMEDICINE, VOL. 10, NO. 4, OCTOBER 2006, 722-732.
[13] Wei-Hung Lin, Shi-Jinn Horng, Tzong-Wann Kao, Pingzhi Fan, An
Efficient Watermarking Method Based on Significant Difference of Wavelet
Coefficient Quantization. IEEE TRANSACTIONS ON MULTIMEDIA, VOL.
10, NO. 5, AUGUST 2008. Pp 746-757.
[14] Nikolaidis, N., and I., Pitas, 1996. Copyright protection of images using
robust digital signatures, in Proc. IEEE ICASSP96, pp. 21682171.
[15] Kundur, D., and D., Hatzinakos, 1998. Digital watermarking using
multiresolution wavelet decomposition, Tech. Rep., Dept. of Electrical and
Computer Engineering, University of Toronto.
[16]M. Hu, D. Lou, and M. Chang. Dual-wrapped digital watermarking scheme
for image copyright protection. Computer and Security, 26(4):319330, June
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hiding using second order biorthogonal wavelets, ICIA Int. Conf., Sri Lanka,
Colombo, pp. 403-406.

483

A Reliable Digital Image Watermarking Scheme Based on

SVD and Particle Swarm Optimization
SivaVenkateswara Rao .V , Rajendra S. Shekhawat , and V.K.Srivastava

Abstract--In this paper, we propose a non-blind watermarking

scheme for digital images based on singular value decomposition
(SVD) and particle swarm optimization (PSO) in the DWT
domain. Here, we are modifying the singular values of the host
image with the principal components of the watermark in the
DWT domain for providing copyright protection as well as
reliability. We incorporate PSO in the scheme for finding the
optimum scaling factors for efficient robustness and the fidelity
of the scheme. Experimental results are provided to illustrate that
the proposed scheme is able to withstand a variety of image
processing attacks as well as providing copyright protection.
Index Terms: Copy Right Protection, Discrete Wavelet
Transform, Particle swarm Optimization, Robustness, Singular
Value Decomposition, Watermarking.

I. INTRODUCTION
These days the access of the digital data such as images,
audio and video etc. to the people is increased by the facility of
the internet. Apart from that, it is becoming a challenge to
provide the ownership for the creators from the unauthorized
persons who are duplicating their data or work. So it is
necessary to design the techniques for digital data to provide
copyright protection, content authentication, proof of
ownership, etc.
The copyright protection of the digital media is very
important because it has identified the protection of intellectual
property rights. If a copyright has some problems such as
copied, modified and attack, the other person is claiming that
they had owned the multimedia objects. Copyright protects is
usually embedded with information about the multimedia that
is the copyright of owner.
There are many techniques that have been proposed like
Cryptography [1], Steganography and Watermarking [2].
Among them, watermarking is one of the best techniques. This
technique embeds information so that it is not easily
perceptible; Human visual system not able to see any
Authors are with the Department of Electronics and Communications
Engineering, Motilal Nehru National Institute of Technology, Allahabad-211004,
India(chinna.ece@gmail.com , raj3381@gmail.com and vinay@mnnit.ac.in).

information embedded in the contents. The embedded

watermark should not degrade the quality of the image and
should be perceptually invisible to maintain its protective
secrecy [1].
The essential requirements to be satisfied by any digital
watermarking scheme are as follows.
Fidelity: This is about the perceptual similarity between the
original image and the watermarked image. The watermark
should be imperceptible and no visual effect should be
perceived by the end user. The watermark may degrade the
quality of the content, but in some applications a little
degradation may accepted to have higher robustness or lower
cost.
Robustness: Even though an unauthorized person performs
some modifications to the watermarked image through some
common signal processing attacks and compression attacks etc.
But the watermark can still be extracted. The scheme should
resist the various attacks from hackers. And it should be
impossible to extract the watermark without a key.
Non-invertibility: If we are unable to generate the same
watermarked image with the help of different combinations of
host and watermark images then it is called as Non-invertible
watermarking scheme. This provides copyright protection.
According to the domain in which watermark is embedded,
these schemes are divided into spatial domain and transform
domain schemes. Embedding the watermark in the spatial
domain is the direct method. It has less computational cost,
high capacity, more perceptual quality but less robust and it
mainly suits for authentication applications. In the frequency
domain techniques, we embed the watermark with the
transformed coefficients of host image. It has more robust, less
control of perceptual quality and mainly suits for copyright
application. The robustness and perceptual quality of the
watermarking schemes are mainly depends on how much
percentage of the watermark is embedded into host image i.e.,
Scaling factor.
The main impediments of SVD based watermarking
schemes are robustness, transparency, false positive problem,
and the diagonal line problem in extracting watermarks.

978-1-4673-0455-9/12/$31.00 2012 IEEE

484

False positive Problem: when a specific watermark is detected

from a content in which a different watermark was embedded,
causing an ambiguous situation. In Liu &Tan et al (2002),
Xiao-Ping Zhang et al (2005 ) and Jain et al (2008) we are
facing the false positive problem which makes the schemes
unsuitable for the copy right protection.
Diagonal Line Problem: Occurrence of line in diagonally in the
reconstructed watermark In Chin-Chin Lai (2010), we are
getting the diagonal line. If we modify the singular values of
the host image directly with the watermark image then there
will be a diagonal line in the extracted watermark from the
attacked watermarked images [9].
So to avoid the false positive problem and diagonal line
problems, here we are embedding the principle components [5]
of the watermark in the host image.
Since robustness and fidelity of watermarking schemes are
dependent on the scaling factor of the scheme, which is image
dependent. By using PSO, [10] we are finding the suitable
scaling factor in the matrix for the scheme. We are embedding
the data in the domain of DWT to improve the reliability of the
scheme.

Figure 2 represents the various subbands after one level

DWT decomposition of an image. Here we are initially doing
horizontal filtering and later we are doing vertical filtering

Figure 2: Different sub-bands after first decomposition level.

The LL band will give the approximation details, HL band will

give the horizontal, LH will give the vertical and HH band will
give the diagonal details of the image in the frequency domain.
III. SINGULAR VALUE DECOMPOSITION

II. 2D DISCRETE WAVELET TRANSFORM

The 2D DWT is computed by performing low-pass and highpass filtering of the image pixels as shown in Fig 1. In this
figure, the low-pass and high-pass filters are denoted by h (n)
and g (n), respectively. This figure depicts the two levels of the
2D DWT decomposition. At each level, the high-pass filter
generates detailed image pixel information, while the low-pass
filter produces the coarse approximations of the input image.
At the end of each low-pass and high-pass filtering, the
outputs are down-sampled by two ( 2). In order to compute 2D
DWT, 1D DWT is applied twice in both horizontal and vertical
dimension. In other words, a 2D DWT can be performed by
first performing a 1D DWT on each row, which is referred to as
horizontal filtering, of the image followed by a 1D DWT on
each column, which is called vertical filtering as shown in fig.
1.

Singular value decomposition (SVD) is one of the linear

algebraic techniques which diagonalize a matrix into three
matrices. From the perspective of image processing, an image
can be viewed as nonnegative scalar entries. The SVD of an
image A of size M x N is defined as
A=USVT,
Where U and V are orthogonal matrices, UTU=I, VTV=I, and
S=diag ( 1, 2, 3 r). The diagonal values of S are called the
singular values of A and each value represents the luminance of
an A . And r is the rank of A. The columns of U and V are
called the left and right singular vectors of A and it preserves
the geometrical properties of the image. US are called the
principal components of A. UV together called as the SVD
Subspace of A.
The following are the some of the properties of SVD [6], [7],
[8].
1) The singular values of an image have very stability, i.e.
when a small perturbation is added to an image, large variation
of its singular value does not occur.
2) Every real matrix and its transpose have the same non-zero
singular values.
3) For an image A, row flipped of A, Arf and column-flipped of
A, Acf have the same non-zero singular values.
4) Singular values represent intrinsic properties.

Figure 1: One- level 2D DWT decomposition of an input image using filtering

approach.

485

IV. PROPOSED WATERMARKING SCHEME

The proposed Watermarking scheme is characterized as follows
A. Watermark Embedding:
1) Apply one-level Haar DWT to decompose the host
image A, into four subbands : ALL, ALH, AHL and
AHH.
2) Apply SVD to LH and HL subbands, i.e.,
1

1T

ALH = U S V ,

EPC2= (U2T*EHL*V2). / , where . indicates the

element
by element operation
4) Obtain the extracted watermark from LH and HL
Subbands
EWk=EPCkRk, k=1, 2
5) Add the two extracted watermarks to get the overall
extracted watermark

2T

AHL= U S V .

EW=EW1+EW2

3) Divide the watermark image into two parts: W=W1 + W2

Where Wk denotes half of the watermark and k=1, 2.
4) Apply SVD to each of half of the watermark

V. CALCULATION OF SCALING FACTOR USING PSO

k

W = P Q R , k=1, 2.
5) Calculate the principal components of watermark
PCk=PkQk , where k =1, 2.
6) Modify the singular values of LH and HL subbands with
the principal components of watermark.
Swk=Sk+ .PCk, k = 1, 2.
where is a scaling factor matrix evaluated from
the PSO and .indicates the element by element
multiplication.
7) Obtain the two sets of modified DWT coefficients,
i.e.
A*k=UkSwkVkT, k = 1,2.
8) Obtain the watermarked image Aw by performing the
Inverse DWT using two sets of modified DWT
coefficients and non modified DWT coefficients.
B. Watermark Extraction:
1) Apply one-level Haar DWT to decompose the
watermarked (possibly attacked) image A*w into four
subbands: ALL*, ALH*, AHL* and AHH*.
2) Subtract the possibly attacked watermarked image
from LH and HL sub-bands with the original subband
coefficients,
ELH=ALH*-ALH, EHL=AHL*- AHL
3) Compute the distorted principal components for LH
and HL subbands,
EPC1= (U1T*ELH*V1). /

The scaling factor is a key point in the SVD-based image

watermarking which has a significant effect on both robustness
and the fidelity of the watermarked image. The scaling factor is
an image dependent parameter so we are providing scaling
factor in the matrix form instead of a scaling value. Different
watermarks need different scaling factors, although they are
embedded in the same host image. For finding the suitable
scaling factors, we are used particle swarm optimization.
Particle Swarm optimization (PSO) is an evolutionary
computation technique and population driven algorithm,
developed by Kennedy and Eberhart, 1995 [13] inspired by
social behavior and movement dynamics of insects, birds and
fish. It is one of the metaheuristic algorithm like genetic
algorithm, ant colony etc. Some of the attractive features of the
PSO include ease of implementation and the fact that no
gradient information is required. . It can be used to solve a wide
array of different optimization problems; some example
applications include neural network training and function
minimization. In PSO, the potential solutions, called particles
and the group of particles are called swarm; fly through the
problem space by following the current optimum
particles. Each particle keeps track of its coordinates in the
problem space which are associated with the best solution
(fitness) it has achieved so far. This value is called pbest (pb).
Another "best" value that is tracked by the particle swarm
optimizer is the best value, obtained so far by any particle in the
neighbors of the particle. This location is called lbest. When a
particle takes all the population as its topological neighbors, the
best value is a global best and is called gbest (gb). The fitness
values are evaluated from the fitness function (objective
function). It is totally problem dependent.
Let s represents the swarm size. Each individual particle i, (1
i s) has the following properties: a current position xi in
search space, a current velocity vi , and a personal best position

486

pb in the search space, and the global best position gb among

all the pb. During each iteration, each particle in the swarm is
updates its velocity and position according to the following
equations [10],
vi(t+1)=k [wi vi (t)+c 1 r1 (pb-xi(t))+c2r2 (gb-xi(t) )]

(1)

xi (t+1)=xi(t)+vi(t+1)

(2)

equalization, JPEG compression, contrast adjustment, and

gamma correction.
The quality of the watermarked image can be estimated using
peak-signal-to-noise ratio (PSNR) and is calculated as follows

MSE

where vi(t) is the particle velocity, xi (t) is the particle position

at i th iteration, pb and gb are defined as stated before. r1 and
r2 are random numbers between (0,1). c1, c2 are acceleration
factors, k is the constriction factor and wi is inertia weight
which are responsible for the convergence of the scheme.
VI. EXPERIMENTAL RESULTS
We have considered the grayscale images as host image and
watermark images which are shown in fig. 3. Fig. 3 (a),Pirate
has been used as a host image. Fig. 3. (b-c) Pepper and boat
are used as watermark images.

PSNR ( db ) 10 log

(3)

2
255
10 MSE

(4)

Where A and Aw are original and watermarked images.

The similarities between the original, W and extracted
watermarks, eW can be determined by using the normalized
correlation coefficient (NC) and it is defined as follows:
m n
(5)
(W ( i , j ) W )( E ( i , j ) E )

i 1 j 1

NC

m n
2 m n
2
(W ( i , j ) W ) * ( E ( i , j ) E )
w
w
i 1 j 1
i 1 j 1

and

Ew

are mean values of W and Ew respectively.

m
n
W (i , j )
i 1 j 1
mn

m n
E (i , j )
w
i 1 j 1
E

mn
w

256 x 256

(a)

mn

where MSE represents the mean square error.

where

512 x 512

m n
[ A ( i , j ) Aw ( i , j )]2
i 1 j 1

(b)

(6)

(7)

The suitable scaling factor of the proposed scheme was

evaluated from the particle swarm optimization. The
mathematical modeling for PSO to find the scaling factor is:
The value of the acceleration coefficients, c1, c2 =2
The lower bound of inertia weight, wi=0
The upper bound of inertia weight, wi =1
The maximum velocity Vmax is set to 0.1 i.e.,
Vmax 0.1
The scaling factor matrix, it is defined in the matrix form

256 x 256
(c)
Fig. 3. Host and watermark images: (a)

Pirate; (b) Pepper; (c) Boat;

For robustness evaluation of the proposed scheme the

watermarked image was tested against seven types of attack
namely Gaussian noise, rescaling 512-1024-512, histogram

a
11
1n

a
a
mn
m1
a

where aij the elements of decision variable are set randomly in

the range of (0,0.5), for 1 aij 256

487

Maximum iterations is 100

The number of particles is 30
Constriction factor k=0.05
The objective or fitness function to be maximized for the
proposed watermarking scheme [12] is as follows:
1 R

f max Corri ( W , Ew ) Corr ( A , Aw

i 1

Fig. 5 shows the extracted watermark from the watermarked

images which are undergone on different types of attacks along
with its normalization correlation coefficients (NC).

(8)

Where W and Ew (A and Aw) are the original watermark (host

image) and extracted watermark (watermarked image),
respectively. R is the number of attacks applying on the
watermarked image. Corri (W,eW) denotes the normalized
coefficient between original watermark and the extracted
watermark from the specific attack i. Corr(A,Aw) is the
normalized correlation coefficient between the host image and
the watermarked image.
Fig. 4. Shows the attacked watermarked images from
various image processing and compression attacks attacks:

0.9516
(a)

0.7681
(c)
(a)

(c)

0.7572
(b)

0.7334
(d)

(b)

0.9841
(e)

(d)

0.9642
(f)

Fig. 5. Extracted watermark images from with several attacked watermarked

images: (a). Gaussian noise, =0.01; (b) Rescaling: 512-1024-512 ; (c) Histogram
equalization; (d) JPEG compression, quality factor 75; (e) Contrast adjustment; (f)
Gamma correction, 0.8.

We have obtained the PSNR value between the watermarked

and original image as 26 dB.

(e)

(f)

Fig. 4. Watermarked images from various attacks: (a) Gaussian noise, =0.01;
(b) rescaling 512-1024-512 ; (c) histogram Equalization; (d) JPEG compression,
75; (e) Contrast adjustment, 20; (f) gamma correction 0.8.

Checking of false positive problem

When we are trying to extract the embedded watermark
(pepper) from the watermarked image with the help of other
watermark (boat image) details as a key then we are getting an
unrecognized image which is shown in fig. 6.

488

VIII. REFERENCES
[1]

[2]
[3]
Figure 6: Extracted watermark where boat image details are used as a key.

[4]

From Fig. 6 we can say that without reference watermark

detail we cannot get any valid image as the watermark image
thus we can avoid the false positive problem.

[5]
[6]

In order to justify our approach , we are compared our

values with the scheme of Hybrid particle swarm optimization,
[15] and the following table gives the comparisons of the both
schemes.
Table 1
Comparisons of Robustness for our Approach and HPSO [13]
Algorithms
Method

Fitness Value1

Fitness Value2

Our Approach

1.82

0.8310

HPSO [15]

1.79

0.7797

[7]

[8]

[9]

[10]

[11]

Table (1) represents the fitness value1 is according to our

fitness function and fitness value 2 is calculated according to
the fitness function from the HPSO method [15]. From the
result we are getting the better result

[12]

VII. CONCLUSIONS

[14]
[15]
[16]

[13]

In this paper the principle components of the watermark are

embedded into LH and HL subbands of DWT decomposition of
host image. By embedding the principle components of
watermark image, we can avoid the false positive problem thus
we can provide the copyright protection. From the extracted
watermarks we have proved that there is no diagonal line
problem. Using PSO we can get a suitable scaling factor for any
watermark which is image dependent. Thus we can get the
robustness and transparency of the scheme for any watermark.
The performance of the proposed method is tested by
applying different compression and image processing attacks,
such as, Gaussian noise, JPEG compression, scaling, histogram
equalization, contrast adjustment and gamma correction.. The
proposed method, with stands for all these attacks.

489

Hernandez, J.R., M., Amado, and F.P., Gonzalez, 2000. DCT-domain

watermarking techniques for still for still Images: Detector performance
analysis and a new structure, IEEE Trans. on Image Processing, Vol. 9, pp.
55-68.
I.J. Cox, et al, "Digital watermarking and Steganography" (Second Edition),
Morgan Kaufmann, 2008.
R. Liu and T. Tan, An SVD-based watermarking scheme for protecting
rightful ownership, IEEE Transactions on Multimedia, Vol. 4, no. 1, pp.
121-128, Mar. 2002.
Xiao-Ping Zhang and Kan Li Comments on An SVD-Based Watermarking
Scheme for Protecting Rightful Ownership, IEEE Transactions on
Multimedia, Vol. 7, No. 2, pp. 593-594, April 2005.
Jain, C., Arora, S., &Panigrahi, P. K., (2008). A reliable SVD based
watermarking scheme, adsabs.harvard.edu/abs/2008arXiv 0808.03 09 J.
Chin-Chin Lai, and Cheng-Chih Tsai Digital Image Watermarking Using
Discrete Wavelet Transform and Singular Value Decomposition, IEEE
Transactions on Instrumentation and Measurement, Vol. 59, no. 11, pp.
3060-3063, NOV. 2010.
Emir Ganic and Ahmet M.Eskicioglu, Robust DWT-SVD Domain Image
Watermarking: Embedding Data in All Frequencies, in Proc. Workshop
Multimedia Security, Magdeburg, Germany, pp.166-174, 2004.
G. Bhatnagar and B. Raman, ``A new robust reference watermarking scheme
based on DWT-SVD, Computer Standards Interfaces, vol. 31, no. 5, pp.
1002-1013, Sep. 2009
Roman Rykaczewski. Comments on An SVD-Based Watermarking
Scheme for Protecting Rightful Ownership, IEEE Transactions on
Multimedia, Vol. 9, No. 2, pp. 421-423, Feb. 2007
Ziqiang Wang, Xia Sun, and Wexian Zhang, A Novel Watermarking
Scheme Based on PSO Algorithm, LSMS 2007, LNCS 4688, PP. 307-314,
2007 @ Springer-Verlag Berlin Heidelberg 2007
Veysel Aslantas, A. Latif Dogan and Serkan Ozturk, DWT-SVD based
Image Watermarking Using Particle Swarm Optimizer, ICME 2008
Ray-Shine un, Shi-Jinn Horng, Jai-Lin Lai, Tzong-Wang Kao, Rong Jian
Chen, An improved SVD based watermarking technique for copy right
protection, Expert Systems with Applications 39 (2012) 673689
Hai Tao, Jasni Mohamad Zain, Ahmed N. Abdalla and Mohammad Masroor
Ahmed, Hybrid particle swarm optimization for robust digital image
watermarking, IJPS, Vol. 6(31), pp. 7222-7232, 30 November, 2011.
www.mathworks.com.
www.swarmintelligence.org
R. C. Gonzalez and R.E. Woods, Digital Image Processing Using Mat Lab,
Prentice Hall Inc., Upper Saddle River, New Jersey, 2004.

Maximal Ratio Receiver Combining Diversity

with Iterative IDMA Systems using Prime
Interleavers
Akanksha Gupta, Vipul Dixit, Sanjiv Mishra, and M. Shukla, Member, IEEE

AbstractIn wireless communication, the fading is the major

concern for researchers. The one of the solutions of fading
phenomena lies with antenna diversity mechanism which is used
to mitigate the effect of fading over wireless channel at relatively
low cost. The credit of most commonly employed antenna
diversity goes to receiver diversity where several uncorrelated
replicas of the signals are combined at a receiver in order to
improve the signal reconstruction. In this paper, we are
presenting Maximal Ratio Receiver Combining (MRRC)
diversity technique to mitigate the effect of fading in iterative
IDMA systems using Prime interleaver with single transmit
multiple receiving antennas in low rate coded environment .
Simulation results demonstrate the significant improvement in
bit error rate (BER) performance of iterative IDMA receivers
using increased number of receiving antennas with Maximal
Ratio Receiver Combining (MRRC) diversity mechanism.
Index Terms Bit Error Rate, IDMA Systems, MRRC
Technique, Multi-user Detection, Prime Interleaver.

I. INTRODUCTION

HE multiple propagation paths are often existing from a

transmitters to a receivers due to scattering of waves by
different objects during communication process. It has
been observed that various signal copies following multiple
paths can undergo different attenuation, distortions, delays and
phase shifts due to fading phenomena. So, it becomes
mandatory to combat the problem of fading during
communication process, but not at the cost of extra power or
additional bandwidth [14].
Researchers have proposed one effective solution for
combating fading in wireless systems named space diversity
Vipul Dixit is M. Tech. research scholar with Department of Electronics &
Comm. Engineering, Kanpur Institute of Technology, Kanpur, India (e-mail:
vipuldixit86@gmail.com ).
Sanjiv Mishra is with Department of Electronics & Comm. Engineering,
Kanpur
Institute
of
Technology,
Kanpur,
India
(e-mail:
sanjivpbh@rediffmail.com).
Akanksha Gupta is studying in Department of Electronics & Comm.
Engineering
at
ITM
University,
Gwalior,
India
(e-mail:
akanksha.gupta2009@gmail.com).
Manoj Kumar Shukla is associated with Department of Electronics
Engineering, Harcourt Butler Technological Institute, Kanpur-208002, India
as Associate Professor (e-mail: manojkrshukla@gmail.com) and may virtually
be approached at www.manojkrshukla.weebly.com .

(based on orthogonal design) to combat the effect of multi

path fading and improve coverage, capacity and reliability,
without the requirement of power or extra bandwidth. The
most classical approach, in this case, is to employ multiple
receiving antennas and perform certain signal processing
mechanism including combining, selection, and switching
mechanisms in order to improve the quality of the received
signal. The most commonly employed space diversity method
is maximal ratio receiver combining (MRRC) diversity
technique. The maximal ratio receiver combining diversity
technique, with one transmit and two receive antennas, is
implemented with interleave-division multiple-access (IDMA)
scheme for future wireless communication in employing tree
based interleaver [], where several uncorrelated replicas of the
signals are combined at the receiver in order to improve the
signal reconstruction. In IDMA scheme, users are
distinguished by user specific chip-level interleavers instead of
signatures as in a conventional CDMA system [1]. The
scheme considered is a special case of CDMA in which
bandwidth expansion is entirely performed by low-rate
coding. IDMA allows a low complexity multiple user
detection (MUD) techniques [1] applicable to systems with
large numbers of users in multipath channels in addition to
robustness against fading.
This paper demonstrates the analysis of IDMA scheme with
MRRC diversity at the receiving end to overcome the effect of
fading employing prime interleaver []. During the
performance analysis of MRRC diversity technique, the
enhancement in the bit error rate (BER) performance of IDMA
has been observed, as we increase the receiver antenna count
at receiving end. The paper is structured as follows. Section II
introduces the system model of IDMA scheme and
introduction about prime interleaver. Maximal ratio receiver
combining (MRRC) is presented in Section III. Section IV
shows the performance analysis of IDMA system with
increase in receiver count at receiving end. Finally, Section V
presents the conclusion.
II. IDMA SYSTEM MODEL
It is well known that in conventional CDMA scheme,
signature sequences are used for user separation, while in case
of IDMA scheme, the users are separated with user-specific
interleavers, orthogonal in nature.
The block diagram of IDMA scheme is shown in figure 1
for K users. The principle of iterative multi user detection

978-1-4673-0455-9/12/$31.00 2012 IEEE

490

(MUD) which is a promising technique for multiple access

problems (MAI) is also illustrated in the lower part of Fig. 1.
The turbo processor includes elementary signal estimator
block (ESEB) and a bank of K decoders (SDECs). The ESEB
partially resolves MAI without considering FEC coding. The
outputs of the ESEB are then passed to the SDECs for further
refinement using the FEC coding constraint through deinterleaving block. The SDECs outputs are fed back to the
ESEB to improve its estimates during the forthcoming
iterations with appropriate user-specific interleaving. This
iterative procedure is repeated for certain counts (or
terminated if a certain stopping criterion is fulfilled). After the
final iteration, the SDECs produce hard decisions on the
information bits [8]-[11].
The complexity involved (mainly for solving a size KxK
correlation matrix) is O(K2) per user by the well-known
iterative minimum mean square error (MMSE) technique in
CDMA, while in IDMA, it is independent of user. This can be
a major benefit when K is large [1].
Scheme Model
Here, we consider an IDMA system [1], shown in Figure 1,
with K simultaneous users using a single path channel. At the
transmitter side, N-length input data sequence dk= [dk (1),
, dk (i) , dk (N) ]T of user k is encoded into chips ck=
[ck (1), , ck (j) , ck (J) ]T based on low rate code C,
where J is the Chip length.
The chips ck is further interleaved by a chip level interleaver
k, producing a transmitted chip sequence xk= [xk (1),
,xk (j) , xk (J) ]T . After transmitting through the
channel, the bits are seen at the receiver side as r = [r k (1),
,rk (j) , r k (J) ]T . The Channel opted for the simulation,
is additive white Gaussian noise (AWGN) channel.
In the receiver section, after chip matched filtering, the
received signal form the K users can be represented as
K

r ( j ) hk xk ( j ) n( j ), j 1, 2,.......J .

(1)

k 1

th

where h k is the channel coefficient for k user and { n( j ) }

are the samples of an additive white Gaussian noise (AWGN)
process with mean as zero and variance 2 =N0 / 2. An
assumption is made that {h k} are known priori at the receiver.
The receiver consists of a elementary signal estimator block
(ESEB) and a bank of K single user a posteriori probability
(APP) decoders (SDECs), operating in an iterative manner.
The modulation technique used for simulation is binary phase
shift keying (BPSK) signaling however any other common or
user-specific signaling scheme may be employed for the
purpose. The outputs of the ESEB and SDECs are extrinsic
log-likelihood ratios (LLRs) about {x k} defined as
p( y / xk ( j ) 1)
e( xk ( j )) log
, k , j.
p( y / xk ( j ) 1)

(2)

These LLRs are further distinguished by the subscripts i.e.,

eESEB ( xk ( j )) and eSDEC ( xk ( j )) , depending upon whether
they are generated by ESEB or SDECs.

Due to the use random interleavers { k}, the ESEB

operation can be carried out in a chip-by-chip manner, with
only one sample r(j) used at a time. So, rewriting (2) as
(3)
r ( j ) hk xk ( j ) k ( j )
where
(4)
k ( j ) r ( j ) hk xk ( j ) h ' x ' ( j ) n( j )

k ' k

is the distortion in r( j) with respect to user-k. k ( j ) is the

distortion (including interference-plus-noise) in received
signal with respect to user-k.

Fig. 1. Transmitter and Receiver structures of IDMA scheme with K

simultaneous users.

A brief description of CBC algorithm used in IDMA, has

been presented in [1]. The operations of ESEB and APP
decoding are carried out user-by-user.
The outputs of the ESEB as extrinsic log-likelihood ratios
(LLRs) is given as,
r ( j ) E (r ( j )) hk E ( xk ( j ))
eESEB ( xk ( j )) 2hk .
2
Var (rj ) hk Var ( xk ( j ))
The LLR output of SDEC is given as,
S

eSDEC ( xk ( ( j ))) eESEB ( xk ( ( j ))) j 1,..., S

j 1

Further, these steps are repeated depending on no. of

iterations and users engaged in the system.
III. INTERLEAVERS IN IDMA SCHEME
Interleaving is known as a process of rearranging the
ordering of a data sequence in a one to one deterministic
format. It is a practical technique to enhance the error
correcting capability of coding [13].
In turbo coding, interleaving is used before the information
data is encoded by the second component encoder. The basic
role of an interleaver is to construct a long block code from

491

small memory convolutional codes, as long codes can

approach the Shannon capacity limit. Secondly, it spreads out
burst errors [2-3]. The interleaver provides scrambled
information data to the second component encoder and
decorrelates inputs to the two component decoders so that an
iterative suboptimum-decoding algorithm based on
uncorrelated information exchange between the two
component decoders can be applied. The final role of the
interleaver is to break low weight input sequences, and hence
increase the code free Hamming distance or reduce the
number of code words with small distances in the code
distance spectrum. The size and structure of interleavers play a
major role in the performance of turbo codes.
In IDMA Scheme, the interleaving is performed on the
available duly user-specific spreaded data related to all the
users. If a user employs initially, m bits of data with rate
convolutional coding along with s spread length, then the
spreaded chip length for particular user becomes 2ms. Now,
the interleaving has to be performed on these available userspecific chips.

similar performance in terms of BER to that of random

interleaver. In generation of prime interleaver, we have used
the prime numbers as seed of interleaver. Here, user-specific
seeds are assigned to different users.
For understanding the mechanism of prime interleaver, let
us consider a case of interleaving n bits with seed p. First, we
consider a Galois field GF (n). Now, the bits are interleaved
with a distance of seed over GF (n).
For understanding the mechanism of prime interleaver, let us
consider a case of interleaving n bits with seed p. First, we
consider a Galois field GF (n).
In case, if {1, 2, 3, 5, 6, 7, 8 n} are consecutive bits to be
interleaved with seed p then location of bits after interleaving
will be as follows:

A. Random Interleaver
In case of random interleaving mechanism to be employed
in IDMA scheme, the selection of user-specific interleaver is
opted to be random out of available permutations from the
user-specific chips of data.
It is well established that the random selection of any item
out of available items assures orthogonality between selected
items up to level of utmost satisfaction, however, it can not be
a guarantee for the intended purpose [13]. In addition to it, the
bandwidth and memory requirement for transmission and
storage of all these user-specific interleavers becomes major
concern in case of large user count [4], without sacrificing the
bit error rate (BER) performance of communication system.

If we have to interleave n = 8 bits such that {1, 2, 3, 4, 5, 6,

7and 8} and we wish to interleave these bits with seed p = 3
then the new location of bit will be as follows:
1===> 1
2===> (1+1*3) mod 8===>4
3===> (1+2*3) mod 8===>7
4===> (1+3*3) mod 8===>2
5===> (1+4*3) mod 8===>5
6===> (1+5*3) mod 8===>8
7===> (1+6*3) mod 8===>3
8===> (1+7*3) mod 8===>6
Now, the new order of bits will be {1, 4, 7, 2,5,8,3 and 6}.

B. Master Random Interleaver

In [4], the researchers have proposed a solution of problems
related to bandwidth and memory requirement for
transmission and storage of all these user-specific interleavers
in case of higher user count, however the problem of
computational complexity of all these user specific
interleavers still persists.

Now, the new order of bits will be {1, 4, 7, 2,5,8,3 and 6}.
The bandwidth required by the Prime Interleaver (PI) is
smaller than other available interleavers as now only seed is to
be transmitted, in addition to very small amount of memory
required at the transmitter and receiver side as well this
scheme reduces the computational complexity that occurs in
random interleaving scheme.

C. Tree Based Interleaver

Though, in the literature, lot many algorithms of
interleavers have been presented by researchers proposing
solutions of memory and bandwidth requirements, the
problem of computational complexity has been a major
concern in will all the interleavers. This problem has been
solved in tree based interleaver [5] which presents least
complex algorithm for generation of user-specific interleavers
along with optimum memory and bandwidth requirements [89].
D. Prime Interleaver
Prime interleaver [6-7] is based on prime number which
gives a novel user-specific interleaver generation mechanism
with lesser time to get it generated and along with minimal
consumption of bandwidth required during transmission well

492

Considering 1 transmit and 2 receive antenna architecture,

let us assume that the channel between transmit antenna and
the first received antenna is h0 and between the transmit
antenna and second receive antenna one is denoted by h 1. It is
well established fact that the channels can be modeled having
magnitude and phase response. Therefore,
h0 = 0 ei 0
h1 = 1 ei 1

(5)

Fig. 2. Bandwidth requirement of with various interleavers

In figure 2, the all the previously discussed interleavers

have been duly compared in terms of bandwidth requirement
incurring during communication process. The bandwidth
requirement for random interleaver is at its maximum level
due to its dependency on user count while in case of prime
interleaver, it dips to its minimum value [6-7]. It happens due
to need of transmission of the information related to prime
numbers as seed of interleaver while the user-specific
interleavers are easily generated at the receiver based on predecided prime algorithm.

Fig. 3. IDMA with proposed two branches MRRC diversity scheme for k th
user

The noise can be added at both the receiver as shown in figure

3. The resulting received signals become

IV. MAXIMAL RATIO RECEIVER COMBINING (MRRC)

TECHNIQUE
The maximal ratio combining diversity can be broadly
categorized in maximal ratio transmit combining (MRTC)
diversity and maximal ratio receiver combining (MRRC)
diversity mechanisms. The MRRC mechanism evolves lesser
implementation cost and bandwidth requirement in
comparison to MRTC diversity. However, their bit error rate
(BER) performance is almost similar to each other. Therefore,
the MRRC diversity has been considered for further
simulations of IDMA systems in this paper.
In MRRC diversity mechanism, all the branches are used
simultaneously for retrieving the pest possible signal strength
related to received signal. Each of the branch signals is
weighted with a gain factor proportional to its own SNR. Cophasing and summing is performed for adding up the weighted
branch signals in phase.
The block diagram of maximal ratio receiver combining
(MRRC) diversity with IDMA scheme is shown in figure 3. In
this scheme, the diversity branches are weighted for maximum
SNR with other due factors.
As shown in block diagram in figure 3, d k is data of kth
user, after encoding and spreading the data is randomly
interleaved and termed as chips. Now, this chip Signal xk is
transmitted from the transmit antenna to receiver section,
which will propagate from both the channel.

R0=h0xk+n0
R1=h1xk+n1

(6)
where n0 and n1 represents the noise and interference at both
the receiver separately.
Now, the receiver combining scheme for two branches
MRRC can be written as

K=h0 R0 + h1 R1

(7)
Further this output of maximal ratio combiner can be fed to
the detector for the proper estimation of transmitted signal xk.
V. PERFORMANCE ANALYSIS OF IDMA SYSTEM WITH MRRC
DIVERSITY USING PRIME INTERLEAVER
For performance evaluation of IDMA scheme with MRRC
diversity with IDMA scheme employing prime interleaver, it
is assumed that there is no adjacent-channel and co-channel
interference i.e. the simulation is performed in single cell
architecture. Also, the mobility of the user in the cell is
assumed to be negligible. For the discussion, it is assumed that
the channel is a flat fading Rayleigh multipath channel, with
BPSK modulations and the prime interleaver is used in IDMA
system.
The results of IDMA scheme with random and tree based
interleavers employing MRRC diversity has been presented in
[10-11] while in [12], the prime interleaver with IDMA
receiver has been demonstrated with similar BER performance
to that of other comparable interleavers.

493

In this paper, simulation results are presented to

demonstrate the performance of the MRRC diversity scheme
with IDMA systems along with prime interleaver. The
simulations are performed for one transmitter antenna and two
receiver antenna arrangement for initial simulations. In figure
4, the performance of IDMA scheme with Prime interleaver
(PI) is demonstrated for all the cases including with and
without diversity mechanism for rate convolutionally coded
and uncoded iterative IDMA systems. Data length taken for
simulation is 1024 bits with 2000 bits as block length and 16
as spread length. The iteration for turbo processing is taken to
be 15. With the help of simulations, it can be concluded that
IDMA is performing better when it is implemented with
MRRC diversity technique.
For further simulations, one transmitter and multiple
receiving antenna architecture has been employed with IDMA
system employing prime interleaver. Figure 5 demonstrates
the performance analysis of IDMA system through MRRC
diversity with increasing receiving antenna count using prime
interleaver. For simulation the block length is 1000, data
length is 256 bit/user with spread length to be 16 and number
of iterations used are 10.

The simulation results demonstrate the superior BER

performance of the system at higher receiver antenna count
compared to that of lower receiver antenna count.
VI. CONCLUSION
The analysis in this paper concludes an enhancement in
BER performance of iterative IDMA system through MRRC
diversity with increase in receiver antenna count at receiving
end. Simulation results show that IDMA system performs
better with maximal ratio combining scheme with suitable
interleaving mechanisms. Therefore, we can conclude that, in
space diversity, if the number of receiver antennas or
transmitter antennas are increased in receive or transmit
diversity respectively, the BER performance of the systems
improve drastically. However, with increment in receiver
antenna and transmitter antenna count, the cost of the system
increases rapidly.
VII. REFERENCES
[1]

[2]

-1

10

with MRRC diversity with coding Prime Interleaver

with MRRC diversity with coding Random Interleaver
with MRRC diversity without coding Random Interleaver
with MRRC diversity without coding Prime Interleaver
with coding without diversity Prime Interleaver
without coding no diversity Prime Interleaver

-2

10

[3]

[4]

-3

Bit Error Rate

10

[5]
-4

10

[6]

-5

10

-6

10

[7]
-7

10

Eb/No

Fig. 4. Performance of IDMA using Prime interleaver with MRRC Diversity

[8]

-1

10

PI 1 tx
PI 1 tx
PI 1 tx
PI 1 tx
PI 1 tx

-2

10

[9]

2 rx
3 rx
4 rx
5 rx
6 rx

[10]

Bit Error Rate

-3

10

[11]
-4

10

[12]
-5

10

[13]
-6

10

[14]

Eb/No

Fig. 5. Performance Analysis of IDMA system with variation in receiver

Count using MRRC diversity technique

494

Ping L., Liu L., Wu K., Leung W., Interleave Division Multiple
Access, IEEE Transactions On Wireless Communications, Vol. 5, No.
4, 2006, pp. 938-947.
Wang X., Poor H.V., Iterative (turbo) soft interference cancellation and
decoding for coded CDMA, IEEE Trans. Commun., vol. 47, pp. 1046
1061, July 1999.
Berrou C., Glavieux A., Near Shannon limit error correcting coding
and decoding: Turbocodes, IEEE Trans. Commun., vol. 44, pp. 1261
1271, Oct. 1996.
Wu H., Ping L., Perotti A., User-specific chip-level interleaver design
for IDMA System, IEEE Electronics Letters, Vol.42, No.4, Feb 2006.
Shukla M., Srivastava V.K., & Tiwari S., Analysis and Design of
Optimum Interleaver for Iterative Receivers in IDMA Scheme, Wiley
Journal of Wireless Communication and Mobile Computing, Vol. 9,
Issue 10, pp. 1312-1317, Oct 2009.
Shukla M., Gupta R.,Performance Analysis of Optimum Interleaver
based on Prime Numbers for Multiuser Iterative IDMA Systems,
International Journal of Interdiciplinary Telecommunications and
Networking, Vol. 2, No.3, pp. 51-65, July-September 2010.
Gupta R., Kanojia B.K.,Chauhan R.C.S.,Shukla M.,Prime Number
Based Interleaver for Multiuser Iterative IDMA Systems, in Proc. of
IEEE International Conference on Computational Intelligence and
Communication Networks, pp. 603-607, 2010.
Shukla M., Srivastava V.K., & Tiwari S., Implementation of
Interleavers, Research Journal of Information Technology, Vol. 1, pp.
1-10, 2011.
Shukla M., Srivastava V.K., & Tiwari S.,A VHDL Implementation of
Orthogonal Interleavers for the IDMA Scheme, IUP Journal of
Telecommunications, Vol. 1, Vo.2, pp. 63-71, 2009.
Shukla M., Shukla A., Kumar R., Srivastava V.K., Tiwari S., Simple
Diversity Scheme for IDMA Communication System, International
Journal of Applied Engineering Research, Vol. 4, Issue 6, pp. 877-883,
2009.
Shukla M., Shukla A., Srivastava V.K., Tiwari S., Performance
Evaluation of MRC Diversity Scheme for Iterative IDMA Receivers ,
in Proceedings of India Conference INDICON-09, Gandhinagar,
Gujarat, India, IEEE, pp.1-4, 2009.
Shukla M., Gupta A., Bhatia R., "Performance Evaluation of Maximal
Ratio Receiver Combining Diversity with Prime Interleaver for Iterative
IDMA Receiver", IISTE Journal of Information Engineering and
Applications, Vol 1, Issue No.3, pp. 29-39, 2011.
Pupeza I., Kavcic A., Ping L., Efficient Generation of Interleavers for
IDMA, IEEE Communication Society ICC 2006 proceedings, 2006.
Caire G., Guemghar S., Roumy A., Verdu S., Maximizing the spectral
efficiency of coded CDMA under successive decoding, IEEE Inform.
Theory,
vol.
50,
pp.152164,
Jan.
2004.

Wavelet Based Continuous Speech Coding

Shijo M Joseph and Babu Anto P

Abstract: The main challenges in the area of speech coding

are simplicity and adaptability of the algorithm, Intelligibility of
the synthesized signal, percentage of data reduction and power
consumption of the devices. Daubechies wavelet based speech
compression along with run length algorithm has been
implemented and level dependent thresholding has been used in
this experiment. Birage-Massart strategies based thresholding is
applied in this experiment. The speech database of Malayalam
one of the South Indian languages has been used for this
experiment. This is the first attempt carried out among the
south Indian languages. The effect of all the members in the
Daubechies wavelet family is evaluated in this work. We could
successfully compress and reconstruct continuous Malayalam
spoken sentences with perfect audibility. Performances are
evaluated in terms of NRMSE, PNSR, RSE and percentage of
compression occurred and it has been found that they are
superior.
Index Terms: BirageMassart strategies, Compression
percentage, Daubechies Wavelet, Malayalam speech database,
Mean Opinion Score, Level dependent threshold.

I. INTRODUCTION

peech has evolved as a primary form of communication

between humans and it is the simplest form of face to face
communication. Speech signal has to be transformed to
another form in order to enhance the ability to communicate.
The wide spread use of digital representation of signals for
transmission and storage has created challenges with in the
area of digital signal processing. In general, speech coding is
the process of converting an input signal in to another stream
of data that has a smaller size [1]. Speech coding is possible
only because data is normally represented in the computer in
a format that is longer than necessary. One of the main
objectives of compression algorithm is to eliminate
redundancy from the data [2]. Compressed data takes less
space and time for storage and retrieval so the overall
program execution time may be improved. In addition coded
speech even at high bit rates is less sensitive than analog
signals in the case of transmission noise. It becomes much
easier to error protect, encrypt, multiplex and packetize. In
cellular network, if speech compression is applied, more users
can be accommodated at the same time because of lesser
bandwidth requirement. Hence it can reduce the cost for
communication [3].
Shijo M Joseph is in School of Information Science& Technology Kannur
University, Kannur, Kerala, India 670567 (email: shijomjose71@gmail.com).

Speech compression is also important in teleconferencing,

satellite communications and multimedia applications.
However, it is more important to ensure that the coding
algorithm retains the intelligibility of the speech. The success
of the coding is based on the simplicity of the technology and
algorithm used to implement the system. This work is based
on waveform coding by daubechies wavelets. This paper is
organized as follows. Following this introductory section
there is Section 2 that gives a brief description of the Discrete
Wavelet Transforms; Section 3 explains the data base used
for the experiment. Section 4 is devoted for computer
simulation and results and with section 5 conclude this paper.
II. DISCRETE WAVELET TRANSFORMS
Discrete Wavelet Transform (DWT) has emerged as a
powerful mathematical tool in many areas of science and
engineering, especially in the field of speech and image
processing which uses multi resolution filter banks for the
signal analysis. It is comfortable to work with wavelet than
Fourier transform as in analyzing signal which contains
discontinuities and sharp spikes [4]. Wavelet transform
allows components of a non stationary signal to be analyzed.
Wavelet also allows filters to be constructed for stationary and
non stationary signals. The basic idea of wavelet is to analyze
signal according to scale [5].Wavelets functions cut up data
into different frequency components and then study each
component with a resolution matched to its scale. Wavelets
have advantages over traditional Fourier transforms wavelet
algorithms process data at different scales or resolution and
well suited for approximation data with sharp discontinuities.
The wavelet analysis procedure is to adopt a wavelet
prototype function, called an analyzing wavelet or mother
wavelet. Discrete wavelet transforms (DWT) and it uses multi
resolution filter banks for the analysis. The discrete wavelet
transform is defined by the following equation.
W (j, K) =jkX (k) 2-j/2 (2-jn-k)

(1)

Where (t) is the basic analyzing function is called the

mother wavelet.
The DWT is computed by successive low pass filtering and
high pass filtering of the discrete time domain signal. This
algorithm is called the Mallat algorithm [6]. At each level of
the decomposition of the input signal, having two different
types of output signal such as low frequency components, the
approximations and high frequency components the details.

978-1-4673-0455-9/12/$31.00 2012 IEEE

495

The filtering and decimation process is continued until the

desired level is reached.
The successive high pass and low pass filtering of the signal
can be depicted by the following equations
Yhigh[k]= nx[n]g[2k-n]

(2)

Ylow[k]= nx[n]h[2k-n]

(3)

speakers were native speakers of Malayalam and free from

speech disabilities. The recorded speech samples are trimmed
by removing prefix and suffix silence from the utterances and
it is labeled and stored in the database.
TABLE 1 CONTINUOUS SPEECH DATABASE and its IPA FORMAT

Where Y high and Y low are the outputs of the high pass and
low pass filters obtained by sub sampling by 2 [7] . Fig 2
shows a level 3 DWT decomposition of an input signal S.

English

Ente\keralam\ethra\sundharam

IPA

ent\k:r\^m\era\sunram
IV. EXPERIMENT

Malayalam speech compression was carried out by using

daubechies wavelet family. For simplicity, the entire signal
was decomposed at once without framing. At level of
compression the speech signal is decomposed without losing
its audibility by splitting it into high frequency and low
frequency components. The compressed signal is chosen from
the fifth level of decomposition for the reconstruction. The
synthesized signal from the compressed one ensures perfect
audibility. Performance of this process can be measured
through a number of quantitative parameters, in terms of both
original and reconstructed signal quality after signal
synthesize.
Figure 1. Decomposition of DWT Coefficient

A. Signal Reconstruction
The original signal can be reconstructed or synthesized
using the inverse discrete wavelets transforms (IDWT)
The synthesis starts with the approximation and detail
coefficient cAj and cDj, and then reconstructs cAj-1 by up
sampling and filtering with the reconstruction filters. The
reconstruction filters are designed in such a way as to cancel
out the effect of aliasing introduced in the wavelet
decomposition phase. The reconstructed filters (Lo_R and
Hi_R) together with the low and high pass decomposition
filters, form a system known as quadrature mirror
filters(QMF) for multilevel analysis, the reconstructed process
can itself be iterated producing successive approximation at
finer resolution and finally synthesize the original signal [8].
III. DATA BASE CREATION
In this experiment we had collected continuous speech
samples from six hundred individuals of different gender.
Age group of individuals varies from 5 years to 35 years. One
of the famous advertisement slogans from Malayalam was
selected for the creation of database and it consists of four
words and has 45 ms duration. Each word contains vowels,
consonants, fricatives and diphthongs.
The Malayalam
sentence and its corresponding International Phonetic
Alphabet (IPA) is given in the table 1. Speech samples were
recorded using ordinary microphone and Goldwave software
at a sampling rate of 8 KHz (4 KHz band limited). The

The entire speech coding process can be summarized in to

the following steps
Step 1. Speech samples are recorded at a sampling rate of 8
K Hz (Nyquist Rate)
Step 2. Speech samples are processed, labeled and stored in
the data base for the computation.
Step 3. Conduct Daubechies wavelet based decomposition
up to level 5 and collect coefficients from level 5 which is
used to form the feature vector.
Step 4. Apply level dependent thresholding to make
maximum coefficient to zero.
Step 5. Apply run length algorithm to encode the feature
vector.
Step 6. Transmit the encoded feature vector.
Step 7. Decode the received feature vector.
Step 8. Synthesize the signal back by applying inverse
transforms.
Step 9. Perform various qualitative and quantitative
analyses to evaluate the system.
The sample utterance which is used for coding is plotted in
its original, compressed and reconstructed form in figure2.
Similarly the remaining utterances were also compressed and
reconstructed.

496

E. Compression Rate:
Compressed Signal Size
CR=1-
*100
OriginalSignalSize

(8)
F. Mean Opinion Score (MOS)

Fig.2. Original Compressed and Reconstructed Signal

V. PERFORMANCE MEASURES
A number of quantitative and qualitative parameters can
be used to evaluate the performance of the wavelet based
speech coder, in terms of both reconstructed signal quality
after decoding and obtain compression scores[9].The
following parameters are compared.
Normalized Root Mean Square Error (NRMSE),
Retained Signal Energy (RSE)
Peak Signal to Noise Ratio (PSNR),
Compression Ratio (CR)
The results obtained for the above quantities are calculated
using the following formulas.

Subjective evaluation by listeners is still a method

commonly used in measuring quality of reconstructed
speech. MOS provides a numerical indication of the
perceived quality of received media after compression and /
or transmission. The MOS is expressed as a single number
in the range 1 to 5. Where 1 is the highest perceived quality
and 5 is the lowest perceived quality. When taking subjective
test, listeners focus on the difference between the original
and reconstructed signal and rate it. The MOS is generalized
by averaging the result of a set of standard, subjective tests,
where a number of listeners rate reconstructed Speech
signals. In our experiment the MOS rate is 1.02 in all the
experiments.
The results of this experiment are tabulated in table 2 and
category based performance analysis is plotted in figure 3,4
& 5 respectively.

A. Normalized Root Mean Square Error (NRMSE)

NRMSE=

x x(n)-r(n)

Table 2 PERFORMANCE ANALYSIS of the EXPERIMENT

x(n)- X (n)

CATE
GORY

(4)

Where x(n) is the speech signal, r(n) is the reconstructed

signal, and X (n) is the mean of the speech signal.
B. Mean Square Error:
MSE=

1
N

CHILD
N-1

[S

( i)

-S'(i) ]2

i=0

(5)

Where S(i) is the original speech signal data and S(i) is

the reconstructed signal
C. Retained Signal Energy
RSE=100*

FE
MALE
||x(n)||2
||r(n)||2

(6)

||x( n )|| is the norm of the original signal and ||r( n ) || is the
norm of the reconstructed signal.
D. Peak Signal to Noise Ratio
MALE
PSNR 10 log10

NX 2
|| x r ||2

(7)

N is the length of the reconstructed signal, X is the

maximum absolute square value of the signal x and ||X-r||2is
the energy of the difference between the original and
reconstructed signals.

497

((()
WAVELE
T

NRMSE

SNR

PSNR

RSE

CR-%

Db2

0.5451

5.309

14.6744

96.411

91.379

Db4
Db8
Db10
Db12
Db16
Db20

0.5445
0.5030
0.4981
0.4955
0.4851
0.4892

5.352
6.044
6.139
6.193
6.390
6.314

14.7157
15.4092
15.5044
15.5580
15.7557
15.6791

97.191
97.569
97.635
97.661
97.745
97.727

91.363
91.351
91.377
91.358
91.232
91.273

Db2

0.4829

6.399

20.5700

95.723

91.687

Db4
Db8
Db10
Db12
Db16
Db20

0.4520
0.446
0.4450
0.4428
0.4452
0.4379

7.006
7.115
7.147
7.188
7.246
7.295

19.8926
20.5700
20.6036
20.6446
20.7006
20.7508

96.914
96.747
96.776
96.813
96.832
96.868

91.738
91.823
91.879
91.879
91.762
91.717

Db2

0.4448

7.121

21.5225

96.375

91.619

Db4
Db8
Db10
Db12
Db16
Db20

0.4298
0.4148
0.4125
0.4118
0.4109
0.4124

7.497
7.768
7.817
7.839
7.858
7.831

20.8512
22.164
22.2198
22.2418
22.26
22.2316

97.191
97.448
97.663
97.672
97.547
97.553

91.625
91.685
91.663
91.672
91.621
91.577

91.5853 with insignificant variations.

From overall
performance measures like RSE, PSNR, NRMSE,
compression percentage and MOS we can conclude that
wavelet transform along with run length algorithm is an
effective and efficient method for speech coding and its
related applications.

CHILD
120
100

NRMSE

80

SNR

60

PSNR

40

RSE

20

C-%

VII. REFERENCES

0
Db2

Db4

Db8

Db10

Db12

Db16

Db20

[1]

Db2

WAVELET

[2]

Fig .3. Child Speech Performance Analysis

[3]

FEMALE

[4]

120
100

NRMSE

80

SNR

60

PSNR

40

RSE

20

C-%

[5]
[6]

0
Db2

Db4

Db8

Db10

Db12

Db16

Db20

[7]

WAVELET

[8]

Fig.4. Female Speech Performance Analysis

MALE

[9]

120
100

NRMSE

80

SNR

60

PSNR

40

RSE

20

C-%

0
Db2

Db4

Db8

Db10

Db12

Db16

Db20

WAVELET

Fig.5. Male Speech Performance Analysis

VI. CONCLUSION
Daubechies wavelet based continuous Malayalam speech
coding is done in this work. Even though wavelet is used in
image and speech compression this is the first attempt in
South Indian languages to compress speech signals. In this
experiment we used Birge Massart strategies for selecting
threshold values. Analyzed result shows that the proposed
method is effective for coding. In all the experiments the
compressed signals could be synthesized back to its initial
form with full audibility. In general a good reconstructed
signal is the one with low MSE and high PSNR. That means
that the signal has low error and high fidelity. In this work
we have obtained average NRMSE is 0.4595, average SNR is
6.8980, average PSNR is19.2628, average RSE is 97.1462,
and average Compression percentage 91.5853.
The obtained results can be improved by denoising the
input signals, but to reduce the computational complexity we
chose raw signals for the experiment. In addition, the average
compression ratio we obtained in all the experiments is
498

Kalid Sayood Introduction to Data Compression 2nd edition, Morgan

Kaufmann Publishers, ISBN-13:97881-8147-191-8
Mark Nelson , Jean Loup Gailly The Data Compression Book, 2 nd
edition BPB Publication, ISBN 81-7029-729-X
Thomas F quateri Discrete Time Speech Signal Processing Principles and
Practices Pearson publication. ISBN 978-81-7785-746-3.
Hermandez Perez, J.F; Vela Arizo, D Rodriguez-Lelis, J.M Orta-Acuna,
J.L tolosa mata, D Vergas, trivifio, Morlet Wavelet Signal Analysis with
Daubechies Filter for Power Quality Disturbances, Volume, issue 25-28
Sept 2007 pages 675-680.
I. Daubechies, Ten Lecturers on wavelets Society for Industrial and
Applied Mathematics. 1992.
Mallat SA, Theory for MuItiresolution Signal Decomposition: The
Wavelet Representation, IEEE Transactions on Pattern Analysis Machine
Intelligence. Vol. 31, pp 674-693, 1989
J.S.Walker Wavelets and their Scientific Applications, Chamman and
Hall/CRC 1999.
Abdul Mawala M.A, Najih Abdul Rahman Ram Comparing Speech
Compression using Wavelets with Other Speech Compression Schemes
Proceedings of Student conference on research and Development,
Putrajaya, Malayia, 2003.
Jalal Karam and Raed Saad The effect of different compression schemes
on speech signals world Academy of Science, Engineering and
Technology 18, 2006.

Blind Modulation Classification based on MLP

and PNN
Harish Chandra Dubey, Nandita, and Ashutosh Kumar Tiwari

automatic
classification
of
digitally
modulated
communication signals. The continuous wavelet transform
(CWT) have become popular for feature generation in
context of modulation classification. The artificial neural
networks have emerging application in classification of
digitally modulated signals. So, the proposed technique
integrates wavelet features with PNN. Moreover the
proposed PNN classifier has been compared with
multilayer perceptron forward neural network (MLPFN)
described in [3]. The feature extraction and classifier subsystems are supposed to be independent but there is no
specific study regarding this issue in literature known to
author.

Abstract-- In this work, a pattern recognition system is

investigated for blind automatic classication of digitally
modulated communication signals. The proposed technique is
able to discriminate the type of modulation scheme which is
eventually used for demodulation followed by information
extraction. The proposed system is composed of two subsystems namely feature extraction sub-system (FESS) and
classier sub-system (CSS). The FESS consists of continuous
wavelet transform (CWT) for feature generation and
principal component analysis (PCA) for selection of the
feature subset which is rich in discriminatory information.
The CSS uses the selected features to accurately classify the
modulation class of the received signal. The proposed
technique uses probabilistic neural network (PNN) and multilayer perceptron forward neural network (MLPFN) for
comparative study of their recognition ability. PNN have been
found to perform better in terms of classification accuracy as
well as testing and training time than MLPFN. The proposed
approach is robust to presence of phase offset and additive
Gaussian noise.

Estimate of
Message
Signal
MODULATOR

CHANNEL

PREPROCESSOR

DEMODULATOR
NETWORK

Message
Signal
MODULATION
CLASSIFICATION
SYSTEM

Modulation
Format

Index Terms-- Blind modulation recognition, continuous

wavelet transform, electronic surveillance, modulation
classification, multi-resolution analysis, probabilistic neural
network, software defined radios.

Fig.1. An intelligent communication system

The block diagram of an intelligent

communication system is shown in Fig.1. It shows that
modulation classification is an intermediate step between
signal detection and information extraction. Such a system
is expected to have:
High speed so that signals can be identified in least
time
Flexibility so that the system can be put to use if some
additional modulation class is included.
Robust so that the change in design assumptions will
not affect the performance of the classifier
significantly.
A comprehensive study of all available techniques
for modulation classification has been made in [4]. Other
work in related aspects includes [4]-[12]. In spite of various
research studies done it is not possible to compare the
methods available in literature due to non availability of
standard database of digitally modulated signals. Most the
studies did incorporate additive white Gaussian noise
(AWGN) channel model [4]. The proposed study
incorporates the flat fading channel with phase offset and
have considered QAM-16, QAM-64, ASK-4, ASK-8, PSK2, PSK-4, PSK-8, FSK-2, FSK-4 and MSK modulation
schemes. To evaluate the performance of the proposed
technique extensive simulation tests has been performed
under various conditions. The remainder of the paper is
organized as follows. Section II describes the underlying
mathematical model. Section III accounts for blind

I. INTRODUCTION

he importance of blind signal interception cannot be

overlooked in domain of wireless communication
systems. Effective, accurate and robust automatic blind
modulation classification systems have gained importance
in light of development of 3G and 4G systems. They gained
popularity in both military as well as civilian applications.
The military application includes electronic support
measures, spectrum surveillance, interference identification
and threat evaluation. The civilian applications include
software defined radios (SDRs), cognitive radios etc. [1][2]. In this work, a novel technique based on probabilistic
neural network (PNN) has been suggested for blind
Harish Chandra Dubey is with the Department of Electronics and
Communication Engineering, Motilal Nehru National Institute of
Technology(MNNIT), Allahabad-211004, INDIA (e-mail: dubeyhc@ieee
.org). The research discussed in this report is financially supported by
DRDO Linear Modulation Project at CRRAO Advanced Institute of
Mathematics, Statistics and Computer Sciences, Hyderabad, INDIA. (PIV.U. Reddy). The work was done at CRRAO AIMSCS during Summer
2011.
Nandita received the Bachelor of Technology degree in Electronics and
Communication Engineering from Birla Institute of Technology (BIT),
Mesra-814142, INDIA (nandita16bit@gmail.com).
Ashutosh Kumar Tiwari is research scholar in the Department of
Electrical Engineering, MNNIT, Allahabad-211004, INDIA (email:
aktiwari@ieee.org).

978-1-4673-0455-9/12/$31.00 2012 IEEE

499

classification technique used in this work. Section IV

focuses on simulation tests with varying conditions.
Finally, conclusions are drawn on the basis of simulation
studies in section V.

QAM 64 signal

Magnitude of Haar CWT

20

15

10

II. MATHEMATICAL MODEL

Magnitude of Haar CWT

(2)

Magnitude of Haar CWT

Magnitude of Haar CWT

(5)

(6)

) gT (t iT )

i 1
N

sFSK (t )

500

1000

1500

3500

4000

4500

5000

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

3500

4000

4500

5000

3500

4000

4500

5000

3500

4000

4500

5000

1.5

0.5

500

1000

1500

2000
2500
3000
Translation parameter

10

500

1000

1500

2000
2500
3000
Translation parameter

Magnitude of Haar CWT

(8)

j i

gT (t iT )

(9)

1.5

0.5

500

1000

1500

2000
2500
3000
Translation parameter

Fig.7. CWT of ASK-8 signal and its normalized form

PSK 2 signal
2.5

j ( wi t i )

gT (t iT )

(10)

1.5

0.5

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

3500

4000

4500

5000

Normalized PSK 2 signal

Magnitude of Haar CWT

Magnitude of Haar CWT

2000
2500
3000
Translation parameter

QAM 16 signal

4
2

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

1.5

0.5

0
Normalized QAM 16 signal
2

Magnitude of Haar CWT

5000

10

500

1000

1500

2000
2500
3000
Translation parameter

Fig.8. CWT of PSK-2 signal and its normalized form

1.5

0.5

4500

0.5

i 1

4000

1.5

3500

Normalized ASK 8 signal

2000
2500
3000
Translation parameter

ASK 8 signal

(7)

sign ( A )g (t iT )
e

1500

15

Magnitude of Haar CWT

sPSK (t )

1000

Fig.6. CWT of ASK-4 signal and its normalized form

i 1
N

i 1
N

500

Normalized ASK 4 signal

s ASK (t )

5000

gT (t iT )

arctan ( Bi / Ai )

4500

ASK 4 signal

i 1

(e

4000

The normalized versions of signal are given by

sQAM (t )

(4)

gT (t iT )

j ( wi t i )

3500

2000
2500
3000
Translation parameter

Fig.5. CWT of ASK-2 signal and its normalized form

Magnitude of Haar CWT

sFSK (t ) S

1500

1.5

i 1

i 1
N

1000

j i

500

(3)

( Ai ) gT (t iT )

Normalized ASK 2 signal

i 1
N

5000

Magnitude of Haar CWT

( A B )g (t iT )

sPSK (t ) S

4500

0.5

0.5

s ASK (t )

4000

2.5

is the transmitted digitally modulated signal and s (t ) is the

corresponding complex baseband representation, fc is the
carrier frequency, (t ) is time-invariant carrier phase and ai
is the flat fading coefficient of the channel. n (t) being the
complex AWGN noise introduced by the channel. The
expression for various digitally modulated signals in their
complex base-band representation is given as:
i

3500

ASK 2 signal

(1)

k 1

2000
2500
3000
Translation parameter

1.5

Where ski (t ) s (t )e j(2 fct c )

sQAM (t )

1500

Fig.4. CWT of QAM-64 signal and its normalized form

s (t)g (t (k 1)T ) n(t)

i
k

1000

Magnitude of Haar CWT

500

Normalized QAM 64 signal

In this section, mathematical expressions for various

digitally modulated signals are presented followed by the
expression for continuous wavelet transform (CWT) of these
signals [13]. The received signal r (t ,i) is given by
r(t, i ) ai e j*2 f *t e

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

Fig.3.CWT of QAM-16 signal and its normalized form

500

PSK 4 signal

that they can be employed for modulation classification in

presence of noise and disturbances as well. The normalized
versions of the signals have the information about the
dynamics of the signal which are otherwise absent in the
CWT of the signal so the moments up to order 5 are
calculated from both signal as well as its normalized
version. The peaks occurring due to the phase changes at
the instants where the wavelet accompanies a symbol
change causes change in the statistics of the signal. So, the
median filtering is employed for CWT of signals as well as
CWT of the normalized signal. The length of the median
filter used in this work is 5 [15]. The median filter removes
the undesirable peaks and outliers occurring in the data.

Magnitude of Haar CWT

2.5
2
1.5
1
0.5
0

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

3500

4000

4500

5000

Normalized PSK 4 signal

Magnitude of Haar CWT

1.5

0.5

500

1000

1500

2000
2500
3000
Translation parameter

Fig.9. CWT of PSK-4 signal and its normalized form

PSK 8 signal

FSK 4 signal

1.5

2.5
1

Magnitude of Haar CWT

Magnitude of Haar CWT

2.5

0.5
0

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

Normalized PSK 8 signal

1.5
1
0.5
0

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

4000

4500

5000

Normalized FSK 4 signal

2

0.5

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

Fig.10. CWT of PSK-8 signal and its normalized form

1.5

0.5

FSK 2 signal
2.5

Fig.12.

500

CWT

1000

1500

of

1.5

2000
2500
3000
Translation parameter

FSK-4

signal

and

3500

its

normalized

form

MSK signal
1.5

Magnitude of Haar CWT

Magnitude of Haar CWT

1.5

Magnitude of Haar CWT

Magnitude of Haar CWT

0.5
0

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

Normalized FSK 2 signal

0.5

2
0

100

200

300
400
500
Translation parameter

600

700

800

600

700

800

Normalized MSK signal

1

0.8

Magnitude of Haar CWT

Magnitude of Haar CWT

0
1.5

0.5

500

1000

1500

2000
2500
3000
Translation parameter

3500

4000

4500

5000

Fig.11. CWT of FSK-2 signal and its normalized form

0.6

0.4

0.2

100

200

300
400
500
Translation parameter

Fig.13. CWT of MSK signal and its normalized form

Following observation can be made from Fig.3

Fig.13.
The CWT of PSK is constant with as well as without
normalization.
The CWT of FSK is a multi-valued function with as
well as without normalization.
The CWT of ASK is a multi-valued function but CWT
of normalized ASK is a constant function.
The CWT of a QAM is a multi-valued function but
CWT of normalized QAM is a constant function.
The MSK is treated as special case of FSK where the
phase varies continuously and the modulation index is
0.5 corresponding to minimum shift required for
orthogonal signaling. So, the CWT of MSK as well as
its normalized version is a two step function like BFSK.
Since the CWT of different signals have different
variations, magnitude of CWT is suitable for extracting
suitable features. Moments give information about
underlying dynamics and hence moment of magnitude of
CWT of signal as well as its normalized version contain
signature of modulation type [14]. The higher order
moment of the CWT of the received signal are the
statistical features extracted from received signal. In this
work, we have considered moments up to order 5. The
moments of CWT are robust to the presence of noise so

III. BLIND MODULATION CLASSIFICATION

A. Principal Component Analysis (PCA)
PCA is a data analysis technique used for
dimension reduction and feature extraction. It is a nonparametric method for extracting the useful dynamics from
a noise corrupted data. A very comprehensive summary of
PCA and related topics is given in [16]. In most of the
practical scenario, we generally dont have any knowledge
about dynamics of the systems but have only the
measurements to deal with. PCA computes the transformed
data which is the projection of the given data on most
meaningful basis. The transformed data is able to reveal
hidden dynamics in a more accurate way than the original
data set. PCA reduces the dimension of data from m to n
(n<m) while preserving the underlying dynamics. PCA
finds a orthonormal transform P such that PX=Y where X is
a matrix whose columns are original data, Y is a matrix
whose columns are transformed data and P is a square
matrix whose rows are the principal components. PCs are
new set of basis vector for representing columns of X. PCA
is done to tackle two inevitable nuisances, noise and
redundancy in the measured data. PCA is based on second
order statistics (SOS) and simple assumption of linearity on
501

vi exp x wi i1 x wi , i 1,2,, M

data set. The non-linear version of the PCA is called

kernel-PCA. Kernel-PCA utilizes Mercers kernel trick to
first map the original non-linear data to kernel space where
the data becomes linearly separable. This is followed by
applying linear PCA in kernel space. Due to simplicity and
good performance, linear PCA is used in this work. In
context of dimension reduction of feature set obtained by
CWT, X is m x p matrix where m is the number of features
(in this case it is 20) and p is the number of measurement
trails (it is variable and can be 10, 20, 50, and 100
depending on the classes considered for study). PCA finds
an orthonormal matrix P and transforms the data to Y such
that Y=PX and CY= (1/ [n-1])*Y*YT is diagonalized. There
are two important ways to estimate PCs which are using
covariance matrix or using singular value decomposition
(SVD) [16]. In this work, covariance matrix was used to
estimate PCs.

(22)

Where M is the number of input patterns.

Output

Selected
class

Competitive layer

No. of
classes

Summation
layer

No. of
exemplars

Pattern
layer

Feature
space

Input layer

X1

X2

X3

Fig.14. Probabilistic neural network

B. Classification Sub-system
This is the second sub-system of the pattern
recognition based system for modulation classification.
One versus all topology is used for deriving multi-class
classifier from binary classifiers. All outputs are required to
classify all 10 types of modulation types. Neural networks
(NNs) are important machine learning tool which emulate
the biological neural system. In this work, PNN have been
proposed for classification of digitally modulated signals.
MLPFN is used for performing a comparative study which
is suggested in [3]. MLPFN typically consists of one input
layer, one or more hidden layers and one output layer. The
number of nodes in input layer is equal to the number of
features in input data set and number of nodes in output
layer is equal to number of classes. The number of hidden
layers and number of nodes in each hidden layer is varied
accordingly as par the need and specific requirement. With
the increase in the hidden nodes or hidden layers,
classification accuracy and generalization performance of
the classifier is improved but at the same time
computational burden increases. There is a tradeoff
between computational burden and classification accuracy
while dealing with such networks. MLPs have been popular
in many classification tasks [17].
PNN has the advantage of much faster training
over other NNs. Given enough input data, the PNN would
converge to an optimum classifier. PNN allows incremental
learning where the network can be redesigned without
retraining the entire network and because of the statistical
basis for the PNN, it can give an indication of the amount
of evidence it has on the decision. PNN with Gaussian
function has been used in this work [17]. The PNN consists
of nodes allocated in three layers after the inputs and the
structure is shown in Fig.14.
Pattern Layer: This layer assigns one node for
each of the training pattern. There are two parameters
associated with each pattern node. wi is the centre with the
dimension N x 1, i is the covariance matrix of N x N size,
where N is the input vector length. The output of each of
the pattern nodes is given as:

Summation Layer: The number of nodes in this

layer is the number of classes. Each of these nodes receives
an input from each of the pattern nodes through a set of
weights. The output of this layer is given as:
M

o j wjks vk , j 1,2,, L

(23)

k 1

Where L is the number of classes. w jks is the weight

associated with the k-th pattern node to j-th summation
node and oj is he output of the j-th summation node.
Decision Layer: This is the layer which indicates
the particular class to which the present pattern belongs. A
competitive procedure on the outputs of the summation
layer decides the class to which the input patterns belong.
IV. SIMULATION TESTS
This section summarizes the various case studies
done. MATLAB have been used for carrying out case
studies. The parameter of signals generated is given in
Table I. The proposed technique has been tested with a flat
fading channel with a phase offset taken randomly from
range [-:]. Each type of digitally modulated signal is
realized 10000 times. The 40 % of the data sets are utilized
for training the network and the remaining 60 % are used
for testing. The trained network is validated with respect to
its classification accuracy. The validation is done by leaveone-out method which involves taking a data set out of
training data set and using the rest of the training data for
training and the taken out data set for testing. The 1 % has
been taken as the validation limit.
TABLE I
PARAMETER OF SIGNALS USED IN STUDY

Parameter
Symbol rate
Number of samples per symbol
Carrier frequency
Sampling frequency
SNR

502

Value
100
100
100 kHz
1 MHz
-2 dB to 8 dB

TABLE II
SPECIFICATIONS OF MLPFN USED IN STUDY

Parameter
No. of input nodes
No. of output nodes
No. of hidden layers
No. of nodes in first hidden layer
No. of nodes in second hidden layer
Learning algorithm

TABLE IX
PERFORMANCE OF PNN WITH MOTHER WAVELETS

Specification
12
2
2
10
15
Resilient backpropagation

Mother wavelet
Haar
Daubechies2
Daubechies4
Meyer
Morlet

TABLE X
COMPARISON OF COMPUATIONAL COMPLEXITY

TABLE III
PERFORMANCE OF PNN CLASSIFIER WITH SNR

Performance
Training
Validation
Testing
Overall

-2
98.64
98.84
98.90
98.79

SNR (in dB)

1
5
6
99.10 99.46 99.72
99.20 99.44 99.56
99.40 99.60 99.80
99.23 99.50 99.69

SNR
(dB)
-2
2
4
6
8

8
99.76
99.64
99.84
99.74

TABLE IV
PERFORMANCE OF MLPFN CLASSIFIER WITH SNR

Performance
Training
Validation
Testing
Overall

-2
98.44
98.64
98.80
98.96

SNR (in dB)

1
5
6
98.99 99.26 99.42
99.10 99.64 99.36
99.20 99.40 99.20
99.09 99.43 99.43

PSK
99.8
0
0
0
0

FSK
0
99.9
0
0
0.2

QAM
0.2
0
99.8
0.2
0

ASK
0
0
0.2
99.8
0

8
99.26
99.24
99.64
99.38

MSK
0
0.1
0
0
99.8

TABLE VI
INTERCLASS PERFORMANCE OF MLPFN AT 2 dB SNR

PSK
99.6
0
0
0
0

PSK
FSK
QAM
ASK
MSK

FSK
0.1
99.8
0
0
0.4

QAM
0.3
0
99.6
0.4
0

ASK
0
0
0.4
99.6
0

MSK
0
0.2
0
0
99.6

PSK-2
100
0.1
0.1

PSK-4
0
99.9
0.1

PSK-2
100
0.2
0.2

PSK-4
0
99.8
0

Training
(PNN)
0.49
0.42
0.44
0.46
0.48

Testing
(PNN)
0.27
0.25
0.24
0.23
0.22

On the basis of simulation results we can conclude

that PNN is a better classifier than MLPFN with CWT
features both in terms of accuracy as well as computational
complexity. Hence, PNN can be employed with CWT-PCA
feature sub-set for accurate classification of modulation
class of communication signals. Moreover, the
investigation of various topologies of the ANN for the task
is an interesting problem to deal with. One dimension of
the research would be to study the robust of the scheme
with time-varying channels, raised cosine pulse, and high
noise levels. The second dimension can be investigation of
other feature extraction techniques which can accurately
track the signal transition and at the same time be robust to
system changes.

PSK-8
0
0
99.8

TABLE VIII
INTRACLASS OF PSK BY MLPFN AT 2 dB SNR

PSK-2
PSK-4
PSK-8

Testing
(MLP)
0.62
0.56
0.52
0.48
0.42

V. CONCLUSION

TABLE VII
INTRACLASS OF PSK BY PNN AT 2 dB SNR

PSK-2
PSK-4
PSK-8

Training
(MLP)
2.63
2.33
2.43
2.21
2.12

The specifications of MLPFN used in this work are

tabulated in Table II. Table III and IV gives the
performance of PNN and MLPFN classifiers with different
SNR taken as average on all cases. Table V and VI presents
an instance of interclass recognition accuracy of both the
classifiers at SNR of 2 dB. In addition, intra-class
recognition of PSK signals is also given in Table VII and
VIII. The performance of PNN for different mother
wavelets of CWT is given in Table IX. Table X
summarizes the comparison of computational complexity
of both the algorithms. In generating Table X, 1000
separate data sets were used for both training and testing
(for a binary classifiers corresponding to PSK2 class) on a
portable computer using Intel (R) Core(TM) 2 Duo CPU
T6500 with two clocks of frequency 2.10 GHz each and
using MATLAB version 7.6.0 (R2008a) installed on
Window 7 Home Basic operating system. Table XI and XII
give the full class recognition of all studied cases for both
PNN and MLPFN classifier respectively at 1 dB SNR.
PNN is more accurate than MLPFN as results show.

TABLE V
INTERCLASS PERFORMANCE OF PNN AT 2 dB SNR

PSK
FSK
QAM
ASK
MSK

Overall Accuracy
99.60
99.40
99.80
99.20
99.62

PSK-8
0
0
99.8

503

[8]

ACKNOWLEDGEMENT
Harish Chandra Dubey would like to thank Prof.
V.U. Reddy (CRRAO AIMSCS Hyderabad) for helpful
discussions.

[9]

[10]

REFERENCES
[1]

[2]
[3]

[4]

[5]

[6]

[7]

S.Haykin,Cognitive radios:
brain
empowered
wireless
communication, IEEE J. Sel. Areas Commun., vol.23, no.2, pp.
201-220, Feb.2005.
E.E.Azzouz and A.K.Nandi, Automatic modulation recognition of
communication signal, Boston, MA: Kluwer, 1996.
K.Hassan, I.Dayoub, W.Hamouda, and M.Berbineau, Automatic
modulation recognition using wavelet transform and neural
networks in wireless systems, EURASIP Journal on Advances in
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O.A.Dobre, A.Abdi, Y. Bar-Ness, and W.Su, Survey of automatic
modulation classication techniques: classical approaches and new
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M.L.D.Wong and A.K.Nandi, Automatic digital modulation
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K.C.Ho, W.Prokopiw and Y.T.Chan, Modulation identication by
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L.Hong and K.C.Ho, Identication of digital modulation types
using the wavelet transform, in Proc. IEEE MILCOM, pp. 427
431, Nov.1999.
TABLE XI
PERFORMANCE OF PNN

QAM-16

QAM-64

ASK-4
0.10

QAM-16

99.80

0.10

QAM-64

0.05

99.90

ASK-4

0.08

ASK-8

ASK-8

[11]

[12]

[13]
[14]

[15]

[16]

[17]

A.K.Nandi and E.E.Azzouz,Algorithms for automatic recognition

of communication signals, IEEE Trans. Comm., vol. 46, pp. 431436, Sept.1998.
O.A.Dobre, A.Abdi, Y.Ba-Ness and W.Su, The classication of
joint analog and digital modulations, in Proc.IEEE MILCOM, vol.
5, pp.3010-3015, Oct.2005.
K.C.Ho, W.Prokopiw and Y.T.Chan, Modulation identication of
digital signals by the wavelet transform, IEE Proc. Radar, Sonar
Navig. , vol. 147, pp. 169-176, Aug.2000.
A.E.El-Mahdy and N.M.Namazi, Classication of multiple M-ary
frequency-shift keying signals over a Rayleigh fading channel,
IEEE Trans. on Comm., vol. 50, no.6, pp. 967974, 2002.
J. Li, C.He, J.Chen, and D.Wang, Automatic digital modulation
recognition based on euclidean distance in hyperspace, IEICE
Trans. on Comm., vol. 89, no.8, pp.22452248, 2006.
S.G.Mallat,A Wavelet Tour of Signal Processing, New York:
Academic, 1998.
J.M.Mendel, Tutorial on higher order statistics (spectra) in signal
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applications, Proc. of IEEE, vol.79, pp. 278-305, March 1991.
B.I.Justusson,Median Filtering: Statistical Properties, Two
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Englewood Cliffs, NJ: Prentice-Hall, 1995.

AT 1 DB SNR

PSK-2

PSK-4

PSK-8

FSK-2

FSK-4

MSK

0.02

0.02

0.05
99.88

0.06

99.94

PSK-2

0.10

99.90

PSK-4

0.05

0.05

PSK-8

0.02

99.90
99.94

FSK-2

0.04
99.98

FSK-4

0.02
99.80

MSK

0.2

0.20
99.80

TABLE XII
PERFORMANCE OF MLPFN AT 1 DB SNR

QAM-16

QAM-64

ASK-4

QAM-16

99.60

0.20

0.20

QAM-64

0.50

99.00

ASK-4

0.60

ASK-8

ASK-8

PSK-2

PSK-4

PSK-8

FSK-2

MSK

0.1

0.1

0.50
99.20

0.80

FSK-4

99.20

PSK-2

0.60

99.40

PSK-4

0.80

0.4

PSK-8

0.4

98.80
99.00

FSK-2

0.6
99.60

FSK-4

0.40
99.40

MSK

0.40

504

0.60
99.60

Design of a Front End Low Noise Amplifier for

Wireless Devices
Chandan Kumar Jha and Nisha Gupta
Abstract -- This paper presents the design and simulation of a 5
GHz to 6 GHz front end low noise amplifier for wireless
transceiver systems. This amplifier uses Agilents ATF34143
which is a low noise and high dynamic range pseudomorphic
high electron mobility transistor. The simulation has been
performed using Advanced Design System (ADS) 2009
simulation software. The designed low noise amplifier offers
minimum noise figure less than 0.68 dB, forward gain
( S 2 1 ) greater than 10.5 dB, input return loss ( S 11 ) less than
- 12 dB and output return loss

( S 2 2 ) less than - 11 dB for the

frequency range of 5 GHz to 6 GHz.

Index Terms-- Forward Gain, Low Noise Amplifier, Noise Figure,
Stability, Wireless LAN

I.

INTRODUCTION

A low noise amplifier plays a key role in the overall

performance of a RF receiver. It is the first component in any
RF receiver. The general topology of the LNA consists of
three stages: the input matching network (IMN), the amplifier
itself and the output matching network (OMN) [1]-[4].The
prime requirements of the LNA are the lowest possible noise
figure (NF) with a reasonable gain. In the LNA circuit
designing, IEEE 802.11 standard is used as references. The
low noise amplifier system should meet this standard
requirement and should operate properly for wireless LAN
applications [5] - [6].

In LNA design, the most important factors are low noise,

moderate gain, matching and stability [8]- [9]. Besides these
factors, power consumption and layout design size also need
to be considered in designed works.
III. LNA CIRCUIT DESIGN
A. Single Stage Low Noise Amplifier
A single stage microwave transistor amplifier can be
modeled as shown in Fig.1, where input matching network
(IMN) and output matching network (OMN) are used on both
the sides of the transistor to transform the input and output
impedance
to the source and load impedance
and respectively. The most useful gain definition for
amplifier design is the transducer power gain, which accounts
for both source and load mismatch. Separate effective gain
factors can be defined for the input matching network, the
transistor itself and the output matching network as follows
[8]:

II. SELECTION OF A TRANSISTOR

In this design Agilents ATF-34143 PHEMT has
been used [7]. It is a high dynamic range, low noise,
pseudomorphic HEMT (High Electron Mobility Transistor)
housed in a surface mount plastic package.
Based on its featured performance, ATF-34143 is suitable for
low noise amplifier application in cellular and personal
communication service (PCS) base stations, low earth
orbit(LEO) systems and other systems requiring super low
noise figure with good intercept in the 450MHz to 10 GHz
frequency range. Based on S-parameters of the transistor and
certain performance requirements, a systematic procedure is
developed for the design of LNA.

Fig. 1: The General LNA Diagram

1- I S 2
GS
1 - s . I N 2

(1)

GO S21 2

(2)

GL

1 L 2
1 S 2 2. L 2

(3)

The overall transducer gain is given by

Chandan Kumar Jha and Nisha Gupta are with the department of
Electronics and Communication Engineering, Birla Institute of Technology
Mesra, Ranchi, Jharkhand, India-835215 (email: ckjha.bit@gmail.com,
ngupta@bitmesra.ac.in )

G T G S .G O.G L

(4)

Where GS , GO and GL are gain associated with input

matching network, transistor and output matching network
respectively.

978-1-4673-0455-9/12/$31.00 2012 IEEE

505

B. Stability Consideration
By using S-parameters of ATF-34143 PHEMT for VDS 4 V
and I DS 40 mA , Stability Factor K and
can be
calculated.
For unconditionally stable LNA,

1 S 11 2 S 2 2 2
2 . S 1 2. S 21

(5)

And

S 11. S 2 2 S 1 2. S21 2 1

(6)

For the frequency range 5GHz to 6GHz, it can be shown that

K 1 and

Fig. 2: Designed LNA

IV. RESULTS

C. Design for Minimum Noise Figure

The ratio of SNR of input port to that of output port is referred
to as noise figure. Noise figure o f a two-port amplifier in
admittance form can be given by the formula:

RN
(7)
YS Y O p t 2
GS
To get minimum noise figure ( Fmin ) using 2-port LNA,
source reflection coefficient ( S ) should match with
opt and load reflection coefficient ( L ) should match
F F min

with out with a complex conjugate [9], [10] as formula

below:

S opt
L ou t * ( S 22

For the proposed LNA shown in Figure 2, simulation

results are shown in Figure 3 to Figure 8. The designed low
noise amplifier offers minimum noise figure < 0.68 dB,
forward gain ( S 2 1 ) 10.6 dB, input return loss ( S 11 )
- 12 dB and output return loss ( S 2 2 ) -11 dB for the
frequency range of 5 GHz to 6 GHz which are shown in Fig.7,
Fig. 4, Fig 3 and Fig. 6 respectively.. The Stability Factor plot
is shown in Figure 6. The Stability Factor K is greater than 1
for 5 GHz to 6 GHz which indicates that LNA is
unconditionally stable in this frequency range. Table 1
compares results of the proposed LNA with the designed
circuit of LNA presented in Ref. [10].

(8)

S 1 2 .S 2 1. S
)
1 S 11. s

(9)

The designed LNA with matching network and DC- biasing

network is shown in Figure 2. It has L-type matching
networks at input and output which have been designed at 5
GHz using QuickSmith software and tuned for the frequency
range 5 GHz to 6 GHz. The DC-biasing network has been
designed using RF chokes and dc-blocking capacitors.

Fig. 3: Input Reflection Coefficient

506

( S 11 )

Fig. 7: Minimum Noise Figure

Fig. 4: Forward Gain

( S 21 )

Fig. 8 : Isolation
Fig. 5: Stability Factor K

( S 12 )

TABLE
Freq. range
5GHz-6GHz

Proposed
LNA

Ref. [10]

0.630 dB

1.509 dB

11.112 dB

7.780 dB

Input Reflection
Coeff. ( S 11 )

-17.872 dB

-14.403 dB

Output
Reflection
Coeff. ( S 22 )

-11.915 dB

-22 dB

-15.942 dB

-32 dB

Minimum Noise
Figure
Forward Gain

( S 21 )

Isolation
Fig. 6: Output Reflection Coefficient

( S 12 )

( S 22 )

507

V. CONCLUSION
In this paper a front end low noise amplifier circuit has been
designed and simulated for 5 GHz to 6 GHz. Simulation has
been performed using Advanced Design system (ADS) 2009
Software [11]. The designed LNA has forward gain greater
than 10.6 dB, minimum noise figure less than 0.68 dB and it is
unconditionally stable for the frequency range 5 GHz to 6
GHz.
REFERENCES
B. Jung Jang, I. Bok Yom, S. Pal Lee (2001). V Band MMIC Low
Noise Amplifier Design Based on Distributed Active Device Model,
Proceedings of APMC2001, IEEE, 2001. 25-28.
[2] Sungkyung Park and Wonchan Kim, Design of a 1.8 GHz low-noise
amplifier for RF front-end in a 0.8, Consumer Electronics, IEEE
Transactions on, vol. 47, no. 0098, 2001.
[3] M.H. Che Halim, M. Z. A. Abd Aziz,A. Rani Othman, S.A SahingaN,
M.F Selamat and A.A Abd Aziz Low Noise Amplifier for Front End
Transceiver at 5.8 GHz 2008 International Conference on Electronic
Design, December 1-3, 2008, Penang, Malaysia
[4] Yongguang Lu, Shu-hui Yang, Yinchao Chen The Design of LNA
Based on BJT Working on 2.2-2.6GHz 2010, 2nd International
Conference on Signal Processing Systems (ICSPS)
[5] D.M. Pozar (2000). Microwave RF Wireless System,United State of
America: John Wiley and Sons Inc. 77-97, 205-207.
[6] D. M. Pozar (1998). Microwave Engineering, 2nd Edition, United
States of America: John Wiley and Sons Inc. 258-266, 600-605.
[7] Agilents ATF3-4143 datasheet, Low Noise Pseudomorphic HEMT in
a Surface Mount Plastic Package , www.alldatasheet.com
[8] G. Gonzalez (1997). Microwave Transistor Amplifier: Analysis and
Design, 2nd Edition, Upper Saddle River, NJ: Prentice Hall Inc. 217,
294-303
[9] Yazid Mohamed, Norsheila Fisal and Mazlina Esa Simulation Study
of Broadband LNA for Software Radio Application June 2000
[10] Mohd. Zoinol Abidin Abd Aziz, Jafri B. Din., Mohd. Karnal A. Rahim
Low Noise Amplifier Circuit Design for 5 GHz to 6 GHz 2004 RF
and Microwave conference, October 5-6, Subang, Selangor, Malaysia
Agilents Advanced Design System 2009, www.agilent.co.

[1]

508

Wind Energy Conversion System: A Review

Tulika Shanker and Ravindra K.Singh, Member IEEE

Wind power is projected to supply 8% of global electricity

by 2035 up from just 1% in 2008. In the year 2010, the wind
power generation capacity has reached 196.630GW worldwide
and it was expected to reach 240GW by the end of 2011 as
shown in Fig. 1.

Abstract Wind has been utilized as a source of power for many

years. The generation of electrical energy from wind has
experienced a remarkable pace in the past decade because of
depleting conventional resources and increasing environmental
issues. Wind energy conversion has become a reliable and
competitive means for electric power generation, thanks to
extensive Research and Development efforts in last 30 years. The
life span of modern wind turbines is now 20-25 years, which is
comparable to many other conventional power generation
technologies. The average availability of commercial wind power
plants is now around 98%. This paper reviews WECS system
covering Aerodynamics, Mechanical and Electrical aspects.
Keywords-WECS,Wind Turbine, Wind generator, Power
converter

I. INTRODUCTION
Today with the increasing demand of electrical power and
increasing environmental issues, need of pollution free energy
source has become essential to cope up our requirements.
Since the conventional energy sources are depleting day by
day and increases pollution, these problems lead to the use of
renewable energy sources for power generation. Among all
the renewable sources, wind has been utilized as a source of
power generation since it is being most economical, clean and
emission free technology. Wind energy is characterized by
large commercial wind farms comprising hundreds of turbine.
As per World Energy Outlook (WEO-2010) the prospects
for renewable energy based electricity generation hinge
critically on government policies to encourage their
development. Worldwide, the share of renewable in electricity
supply is expected to increase from 19% in 2008 to 32% in
2035; but it reaches only 23% at present. In all, rising fossilfuel prices and declining costs make renewable more
competitive with conventional Hydropower has been the
dominant renewable source of electricity for over a
technologies Century. The recent strong growth in new
technologies for wind power and solar photo voltaic (PV) has
created expectations among policy makers and the industry
that these technologies will make a major contribution to meet
growing electricity needs in the near future. It has also been
forecasted that the increase in electricity generation from
renewable sources between 2008 and 2035 will be primarily
derived from wind and hydro power, which will contribute
36% and 31% of the additional demand respectively [1].

Fig. 1.

Statistical data of total installed wind capacity in world. [7]

In order to address the problem of rapidly growing

demand for power, India has also taken its step forward
along with other countries. Global power generation
capacity has reached to173626.40MW. Out of which Indias
installed wind power generation capacity stood at about
13065 MW as of March 2011.

Fig. 2.

z
Tulika Shanker is with the Department of Electrical Engineering, Motilal
Nehru National Institute of Technology, Allahabad-211004, India (e-mail:
tulikashanker@gmail.com).
R.K.Singh, Professor & Head in the Department of Electrical Engineering,
Motilal Nehru National Institute of Technology, Allahabad-211004, India (email: rksingh@mnnit.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

509

Top 10 total installed capacity across the world. [7]

In 2010, as per the datas released by the Global Wind

Energy Council, shown in Fig. 2 Global wind power
installations increased by 35.8 GW, which brought total
installed wind energy capacity up to 194.4 GW, a 22.5%
increase on the 158.7 GW installed at the end of 2009 [7].The
2010 added capacity represents investments worth EUR 47.3
billion (US Dollars 65 bn). In 2010, more than half of all latest
wind power was added outside of the traditional markets in
Europe and North America. This was driven primarily by
long-lasting boom in China, which accounted for nearly half
the new wind installations (16.5 GW).

II. INDIAS MARKET OVERVIEW OF WIND ENERGY

India has a vast supply of renewable energy resources.
India has one of the worlds largest. Programs for deployment
of renewable energy products and systems, with wind energy
being one of the highest with 11087MW installed [8,9]. The
Indian wind energy scene is upbeat, with a large number of
forays being made by multinationals like vestas, gamesa, GE
power etc. and with suzlon making brisk pace in the
international market, the nations wind potential is rightly
being tapped. Here in Fig. 3 we analyze the wind potential of
four distinct spots on the subcontinent.

Fig. 5.

Wind energy conversion system.

A. Power in the wind

Power in the wind increases as the cube of wind speed
means doubling the wind speed increases the power by eight
times. Wind power Pw is given by (1).
Pw=0.5Av3

(1)

Where, Pw =power in wind in watts, is the air density in

kg/m3, A is area of cross-section through which wind passes
in m2, v=wind speed normal to A (area of cross-section
through which wind passes in m2) (m/s).
Fig. 3.

States with strong potential :( potential MW/installed MW). [8]

Wind power can contribute in saving the climate, as it could

produce more than 12% of the electricity needed globally by
2020, saving 10 billion tons of CO2 in the process, or 1.5
billion tons per year. The climate change program has to be
seen as an economic and business opportunity at the same
time as a driver to preserve the global environment, The
forecasting data has been shown in Fig. 4 [9]

Fig. 6.

Power curve for wind turbines.

B. Power in Turbine
The Aerodynamic Power in the rotor is given by (2).
Pt=0.5ACp v3
Fig. 4.

(2)

Where Pt=power in turbine in watts, is the air density in

kg/m3, A is area of cross-section through which wind passes
in m2, v=wind speed normal to A (area of cross-section
through which wind passes in m2) (m/s), Cp=Power
coefficient, =Tip Speed Ratio

Growth rate of wind power in Global market. [9]

III. WIND ENERGY CONVERSION SYSTEM

Different aspects of WECS have been described and are
elaborated in subsequent sections. As shown in Fig. 5, a wind
energy conversion system can be considered to be a cascade
of Aerodynamic system, Mechanical considerations like gears
etc. and electrical system such as power converters.

Power coefficient (Cp) is defined as the power extracted

by the turbine relative to that available in the wind stream.
C. Turbine Rotor Efficiency
Rotor efficiency is presented as a function of its Tip Speed
Ratio (TSR). The TSR for wind turbines is the ratio between
the rotational speed of the tip of a blade and the actual
velocity of the wind given by (3).The Cp Vs curve for
different value of the blade pitch angle is obtained and
shown by Fig.7
510

TSR () = speed of rotor tip/wind speed= r/v

(3)
Where, v= wind speed (m/sec.), = 2f is angular velocity in
(rad /sec), r=rotor radius (m).

Fig. 7.

The primary application of wind turbines is to extract

energy from the wind energy. Hence, the aerodynamics is a
very important aspect of wind turbines. Like many machines,
there are many different types all based on different energy
extraction concepts. Similarly, the aerodynamics of one wind
turbine to the next can be very different. Overall the details of
the aerodynamics depend very much on the topology. There
are still some fundamental concepts that apply to all turbines.
Every topology has a maximum power for a given flow, and
some topologies are better than others. The method used to
extract power has a strong influence on this. In general all
turbines can be grouped as being lift based, or drag based with
the former being more efficient and shown in Fig. 9. The
difference between these groups is the aerodynamic force that
is used to extract the energy.

Cp versus curve

D. Power extraction of Wind Turbine

In this section, the various WECS that are able to obtain
maximum power output for varying wind speeds are
discussed in Fig. 8. Mostly the wind turbine is operated at the
maximum power point condition and the value of maximum
power point can be calculated using any of maximum power
point tracking (MPPT) techniques like TSR control and power
signal feedback (PSF) control. To calculate TSR() the rotor
speed and wind speed estimation have to be done and run the
machine at the optimum , whereas in power signal feedback
the rotor speed measurement has to be done in order to select
the stored power curve, which gives the target optimum
power to be tracked by the system. In Fig. 8, TSR technique
of MPPT is used, the maximum available power from the
wind turbine can be obtained using optimum value of Cp.

(a) Aerodynamic aspect of HAWT [23]

(b) Aerodynamic aspect of VAWT [23].

Fig. 9.
Fig. 8.

Aerodynamic aspects of HAWT and VAWT.

A brief comparison between different rotor types on

various factors is shown below in Table 1.

Maximum Power Point Tracking determination using TSR.

IV. AERODYNAMIC ASPECT

511

currently used in various high power wind turbines. The

classification is shown below in Fig. 10.

Table 1: Different Rotor Types. [23]

Type

Performance
characteristic

Manufacturing

Cp

requirements

Solidarity TSR
(Opti
mum)

Horizontal Axis Wind Turbines

Cretan sail
Medium
or flat
starting torque
paddles
and low speed

Simple

0.05 50%
to 1.5-2.0
0.15

1.52.0

Cambered
plate fan
(American)

High starting
torque and
low speed

Moderate

0.15
to
0.30

50 to
80%

1-1.5

Moderate
speed aerogenerator

Low starting
torque and
moderate
speed

Moderate, but
with some
precision

0.20
to
0.35

5 to
10%

3-5

Precise

0.30
to
0.45

under
5%

5-10

50%

.4-.8

100%

.8-1

Precise

0.25 10% to
to
20%
0.35

3-5

Precise

0.20 15% to
to
40%
0.35

High speed Almost zero

aero-gen. starting torque
and high
speeds
Panemone

Savonius
rotor

Darrieus
rotor

Vertical Axis Wind Turbines

Medium
Simple
unde
starting torque
r
and low speed
0.10
Medium
Moderate
0.15
starting torque
and moderate
speed

Zero starting
torque and
moderate
speed
VGVAWT Zero or small
or Gyromill starting torque
and moderate
speed

Fig. 10.

Classification of Generators

VI. ELECTRICAL ASPECTS: POWER ELECTRONIC

CONVERTERS
Review of power electronic applications for wind energy
systems are presented in this section. The power converter
interfaces wind turbine generator and the grid. The power
may flow in both directions, of course, dependent on topology
and applications. Wind turbine systems with different
generators and power electronic converters are described, and
different topologies are compared. Also the possible methods
of using the power electronic technology for improving wind
turbine performance in power systems to meet the main grid
requirements are discussed.
Now a days, the controllability of the wind turbines
becomes more and more important as the power level of the
turbines increases. Power electronic, being the most efficient
technology for converting electric power, plays an important
role in wind generation systems. It is an essential part for
integrating the variable-speed wind power generation units to
achieve high efficiency and high performance in power
systems. Even in a xed-speed wind turbine system where
wind power generators are directly connected to the grid,
thyristors are used as soft-starters. The power electronic
converters are used to match the characteristics of wind
turbines with the requirements of grid connections, including
frequency, voltage, control of active and reactive power,
harmonics, etc. The major application of power electronics for
wind power conversion systems has been discussed.
A. Back-to-back PWM Converters.
They are also referred as two-level PWM converter, and
the most conventional type among all types of convertors for
Variable speed wind turbine. In Fig. 11 it consists of two
PWM- voltage source inverters with a capacitor in between,
which is often referred as a DC link capacitor or decoupling
capacitor since it provides a separate control in the inverters
on the two sides, which are generator and grid side[12]. In
addition, it has lower cost but the DC link capacitor also
becomes the main drawback of the PWM converter because it
decreases the overall lifetime of the system. Other
disadvantages including switching losses and emission of high
frequency harmonics, which results in additional cost of
filters.

2-3

V. ELECTRO-MECHANICAL ASPECTS
A wind turbine can be designed for a constant speed or
variable speed operation. Variable speed wind turbines can
produce 8% to 15% more energy output as compared to their
constant speed counterparts, however, they necessitate power
electronic converters to provide a fixed frequency and fixed
voltage power to their loads. Most turbine manufacturers have
opted for reduction gears between the low speed turbine rotor
and the high speed three-phase generators. Direct drive
configuration, where a generator is coupled to the rotor of a
wind turbine directly, offers high reliability, low maintenance,
and possibly low cost for certain turbines. Several
manufacturers have opted for the direct drive configuration in
the recent turbine designs. At present time and in near future,
generators for wind turbines will be synchronous generators,
permanent magnet synchronous generators, and induction
generators, (including the squirrel cage type and wound rotor
type). For small to medium power wind turbines, permanent
magnet generators and squirrel cage induction generators are
often used because of their reliability and cost advantages.
Induction generators, permanent magnet synchronous
generators and wound field synchronous generators are
512

Fig. 11.

made to an input phase constantly [12]. There are some

advantages of matrix converters. The absence of DC link
capacitor results in increased efficiency and overall life time
of the converter as well as the reduced size and cost compared
with PWM-VSI converter. The thermal characteristic of the
matrix converter is also another advantage since it can operate
at the temperature up to 300C. Disadvantages include; the
limitation on the output voltage (86% of the input voltage), its
sensitivity to the grid disturbances and rapid change of the
input voltage, higher conducting losses and higher cost of the
switch components than PWM-VSI converter [12, 13].

Back-to-Back PWM converter.

B. Multilevel Converters
In multilevel converter has three or more voltage levels,
which results in lowering total harmonic distortion (THD)
than back-to-back PWM converter does [13]. In addition, it
offers higher voltage and power capability, other advantage is
that switching losses are reduced by 25% . The disadvantages
are the voltage imbalance caused by the DC link capacitors
and uneven current stress on the switches due to its circuit
design characteristic. The cost associated with the high and
more number of switches and the complexity of control are
two other drawbacks. The multilevel convertors are of
following types:

Fig. 13.

VII. HYBRID ENERGY SYSTEM

In this system[21] shown in Fig. 14 the wind energy and
photovoltaic power are taken as the primary source while the
Fuel Cell -electrolyzer combination is used as a backup and
storage system. Thus, this system can be considered as a Green
Power Generation system because the main energy sources
and storage system are all eco-friendly. When there is excess
wind and solar generation the electrolyzer turns to produce
hydrogen which is stored in the hydrogen storage tank. If
hydrogen tanks are full then extra power will be delivered to
the dump load. When there is deficiency in power then FC
stack starts producing energy using hydrogen from the tank or
from backup tank. A battery is also used in the system to
supply power to the load.

Neutral Point Clamped (NPC)

Cascade Half-Bridge (CHB)
Flying-capacitor (FLC)

NPC converter shown in Fig. 12(a) is commonly utilised

in WECS, due to its maturity and advantages. A drawback
exists with 3level NPC design, which is the uneven loss
distribution among the semiconductor devices, limiting output
power of the converter which has been overcome with the
replacement of the clamping diode with the active switching
devices. This modified design of NPC is referred as Active
NPC (ANPC), having advantages of higher power rating than
normal NPC by 14% and robustness against the fault
condition [19].

Fig. 12.

Matrix converter

(a) NPC and (b) ANPC

C. Matrix Converters
This converter is different from the other two converters in
a way that it is an AC-AC converter without a DC link in
between, which indicates the absence of passive components
such as the DC link capacitor and inductor in the converter
design. As shown in Fig. 13, the typical design of matrix
converters consists of 9 switches that are controlled with two
control rules to protect the converter; three switches in a
common output leg must not be turned on at the same time
and the connection of all the three output phases must be

Fig. 14.

513

Hybrid energy system. [21]

[17] Shukla R.D., Tripathi R.K.,Gupta S., Power Electronics Application in

Wind Energy Conversion System: A Review ICPCES- 2010 MNNIT
Allahabad India,
[18] Tulika Shanker, Wind Energy Conversion System:A Survey,
M.Tech.(PE & ASIC Des.) Summer Training Report, MNNIT,
Allahabad, India, Aug.2011.
[19] L. Jun, et al., Application of Active NPC Converter on Generator Side
for MW Direct-Driven Wind Turbine,Applied Power Electronics
Conference and Exposition(APEC), Palm Springs, 2010, pp. 1010-1017.
[20] J.G.Slootweg, E.de. Vries, Inside wind turbines-Fixed vs variable
speed, Renewable Energy World, 2003, pp30-40.
[21] C. Wang, and M. H. Nehrir, Power Management of a Stand-Alone
Wind/Photovoltaic/Fuel cell Energy System, IEEE Trans. on energy
conversion, Vol. 23,No. 3, Sep. 2008
[22] F. Blaabjerg, Z. Chen, R. Teodorescu, F. Iov. Power Electronics in
Wind Turbine Systems, Aalborg University, Institute of Energy
Technology Pontoppidanstraede 101, DK-9220 Aalborg East, Denmark.
[23] www.lmwindpower.com

VIII. CONCLUSION
A review of different aspects of wind energy conversion
system is presented in this paper. A comparative overview
and analysis of wind turbine, wind generators and power
electronic converters is presented.
According to the
circumstances, the distribution of electrical energy from a
wind machine can be done in various ways. Generally, heavy
machines are connected to the grid distribution network and
excess energy is stored in the backup system and used when
wind speed is low. It can be concluded that Wind power is a
clean renewable energy source and cost of producing
electricity from wind is low but capital cost of wind farm is
high. If a hybrid system is to be used, a careful cost-benefit
analysis needs to be carried out.
IX. ACKNOWLEDGEMENT
This work has been carried out in the summer training[18],
titled WIND ENERGY CONVERSION SYSTEM-A
SURVEY under the guidance of Prof. (Dr.) R. K .Singh
submitted for the degree of master of technology. Further work
is under progress.
X. REFERENCES
[1]

[2]
[3]

[4]
[5]
[6]
[7]
[8]
[9]
[10]
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[12]

[13]

[14]

[15]
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H. Li and Z. Chen, Overview of Different Wind Generator Systems

and Their Comparisons, Renewable Power Generation, Vol. 2, No. 2,
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T. Ackermann, Wind Power in Power Systems, Wiley and Sons, Ltd,
Chichester, 2005.
L. Jun, et al., Application of Active NPC Converter on Generator Side
for MW Direct-Driven Wind Turbine, Applied Power Electronics
Conference and Exposition (APEC), Palm Springs, 2010, pp. 10101017.
N. Mohan, Power Electronics: Converters, Applications, and Design,
John Wiley and Sons, Hoboken,2002.
A. Grauers , Efficiency of three wind energy generator systems, IEEE
Trans. Energy Conversion, vol. 11, no.3, pp. 650-657, September 1996.
European Wind Energy Association, Wind Force 12 2005. EWEA
News Release, February 2006. http://ewea.org.
Global wind energy council (GWEC) :http://www.gwec.net
National Wind Coordinating Collaborative NWCC
Ministry of New and Renewable Energy - MNRE
Rai, G.D. (2000), Non conventional energy sources, Khanna
Publishers, 4th Edition, New Delhi (India)
Y. Amirat, M. E. H. Benbouzid, B. Bensaker, R. Wamkeue,
Generators for Wind Energy Conversion Systems: State of the Art and
Coming Attractions, J. Electrical Systems, 3-1 (2007): 26-38.
L. Hansen, et al., Conceptual Survey of Generators and Power
Electronics for Wind Turbines, Report from Ris National Laboratory,
Roskilde, Denmark, 2001
R. Melcio, et al., Power Converter Topologies for Wind Energy
Conversion Systems: Integrated Modeling, Control Vol. 35, No. 10,
2010, pp. 2165-2174.
J.A. Baroudi, V. Dinavahi and A.M, Knight, A Review of Power
Converter Topologies for Wind Generators , Science Direct,
Renewable Energy Journal, Vol. 32, pp. 2369-2385, 2007.
Liuchen Chang, Wind Energy Conversion Systems, University of
N.Brunswick, NB. IEEE Canadian Review - Spring / Printemps 2002.
D. Bang, H. Polinder, G. Shrestha, J.A. Ferreira , Review of Generator
Systems for Direct-Drive Wind Turbines, Electrical Power Processing
/ DUWIND Delft University of Technology, Mekelweg 4, 2628
CDDelft The Netherlands.

514

MPPT Techniques for Photovoltaic System under

Uniform Insolation and Partial Shading Conditions
Aseem Sayal, Student Member, IEEE.

I.

INTRODUCTION

N recent decades, the continuous growth of energy

demand from all around the world has urged the society to
seek for alternative energies due to the depletion of
conventional energy resources and their undesirable impact on
environment. Among the available alternative energies,
photovoltaic (PV) energy is one of the most promising
renewable energies. PV energy is clean, inexhaustible and free
to harvest [1]. However, there are two main drawbacks of PV
system, namely the high installation cost and the low
conversion efficiency of PV modules which is only in the
range of 9-17% [1]. Besides that, PV characteristics are
nonlinear and weather dependent. Fig.1, 2 show the I-V and
P-V characteristics of a typical PV module for a series of
temperatures and solar irradiance levels [2],[3]. It can be seen
from the P-V characteristic curve that there is only one
operating point at which the power output is maximum, which
is named as the maximum power point (MPP), say operating
voltage. The MPPT control techniques are essential to extract
the maximum available power from PV array in order to
maximize the utilization efficiency of a PV array. As such,
many MPP tracking (MPPT) methods have been developed
and implemented in the literature. The methods vary in
complexity, number of sensors required, convergence speed,

PV Array Power (W)

Index Terms-- Fuzzy Logic Controller, Incremental

Conductance, Maximum Power Point Tracking, Partial Shading,
Perturb & Observe, Photovoltaic cell.

cost, and range of effectiveness, implementation hardware and

in other respects. They range from the almost obvious (but not
necessarily ineffective) to the most creative (not necessarily
most effective). Under Partial Shading conditions, the multipeak and wrong-tracking under quickly changed atmosphere
are the main problems to achieve a high performance MPPT
are. The study revealed that as if 10 percent of the
photovoltaic arrays were covered, the entire photovoltaic
system would lose at least 50 percent of the electricity.
Therefore, it is necessary to improve the efficiency of solar
power through tracking global maximum power point
(GMPPT) under the partial shadows environment. In this
paper, 8 MPPT techniques taken from the literature are
discussed and analyzed in terms of their merits and demerits.
In addition to this, 4 MPPT techniques are proposed. The
proposed methods are more efficient than existing ones.
PV Array Current (A)

Abstract-- The photovoltaic energy is one of the renewable

energies that has attracted the attention of researchers in the
recent decades. The photovoltaic generators exhibit nonlinear IV and P-V characteristics. The maximum power produced varies
with solar insolation and temperature. It requires maximum
power point tracking (MPPT) control techniques to extract the
maximum available power from PV arrays. Due to partial
shading condition, the characteristics of a PV system
considerably change and often exhibit several local maxima with
one global maxima. Conventional Maximum Power Point
Tracking techniques can easily be trapped at local maxima under
partial shading. This significantly reduced the energy yield of the
PV systems. In this paper, various MPPT algorithms for uniform
insolation and partial shading conditions are reviewed with their
merits and demerits. Also, some new algorithms are proposed
which are shown to be more efficient than the existing ones.

PV Array Voltage (V)

Fig. 1. I-V Characteristics.

PV Array Voltage (V)

Fig. 2. P-V Characteristics.

II. MATHEMATICAL MODEL OF PV GENERATOR

The building block of PV arrays is the solar cell, which is
basically a p-n junction semiconductor, shown in Fig. 3. The
V-I characteristics of a solar array is given by (1) [4], which
considers the effect of shunt resistance Rsh..

V Rs I
q V Rs I

I I SC I o exp
(1)
1
Rsh

nkTc

where V and I represent the output voltage and current of the

PV array, respectively; Rs and Rsh are the series and shunt
resistance of the cell; q is the charge of electron; Isc is the short
circuit current; Io is the reverse saturation current; n is number
of cells connected in parallel ; k is the Boltzmann constant and
Tc is the temperature in K0.
Thermal voltage for standard temperature Tc:[3]
nkTc
VT
q

Aseem Sayal is with the Department of Electrical Engineering, Delhi

Technological University, New Delhi -110042, India (e-mail:
aseem.sayal@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

515

(2)

Fig. 3. Equivalent circuit of PV array.

Open circuit voltage, [2]:

I
(3)
VOC ln 1 SC VT
I o

Temperature dependence of open circuit voltage, [3]:
(4)
VOCT VOC kv Tx Tc
where kv is the temperature coefficient of VOC. The value of kv
taken is : -0.16V/oC
The variation of short circuit current with temperature is,[3]:
I
(5)
CTI SCT 1 k1 Tx Tc
I SC
The value of kI used is:0.0006A/oC.
The variation of reverse saturation current (Io) with
temperature is [2] where AD is diode ideality factor:

qEg 1 1
T
I oT I o x exp
(6)

Tc
AD k Tc Tx
The variation of short circuit current with insolation (S) is,[3]:
I
S
CSI SCG x
(7)
I SC
Sc
where, Sx is variable insolation and Sc is insolation at reference
conditions. The variation of the short circuit current with
temperature and insolation is,[3]:
(8)
I SC TG CTI CSI I SC
3

Using (2)-(8) and substituting in (1), different P-V and I-V

curves are obtained for different operating conditions.
III. MPPT ALGORITHMS
In this section, various MPPT algorithms are discussed along
with their merits and demerits.
A. Uniform Insolation Conditions
1. Conventional Methods:
The conventional methods include Perturb & Observe
(P&O), Incremental Conductance (INCond), Three Point
Weight Comparison, Open-Circuit Voltage & Short-Circuit
Current methods.
The P&O method is the most widely used MPPT technique
because of its simple structure and implementation. It involves
a perturbation in the operating voltage of the PV array. It
perturbs the PV arrays terminal voltage periodically and then
it compares the PV output power with that of the power in the
previous cycle of perturbation [5]-[7]. When PV power and
PV voltage increase at the same time and vice versa, a
perturbation step size will be added to the operating voltage to
generate the next cycle of perturbation in order to force the

operating point moving towards the MPP. This process will be

carried on continuously until MPP is reached. However, the
system will oscillate around the MPP in steady state and this
will result in loss of energy. These oscillations can be
minimized by reducing the perturbation step size but it slows
down the MPP tracking system [8],[9].
In Incremental Conductance method, the MPP is tracked by
comparing the instantaneous conductance (I/V) to the
incremental conductance (I/V). The function of the
algorithm is to search a suitable value of perturb at which the
incremental conductance equals to instantaneous conductance
so that the PV system always operates at the MPP. When the
PV output voltage is constant but the output current increases,
the perturbation should be kept in the same direction. If the
current decreases with the constant voltage, the perturbation
direction is reversed. The incremental size determines how
fast the MPP is being tracked. Fast tracking can be reached by
greater incremental size, but it will make the system oscillates
about its MPP. The main advantage of INCond method is that
it can produce good results under rapidly changing
environment than P&O method. However, high cost, large
amount of power loss and more computational load due to
complex calculations are main demerits of this method [7]-[9].
The three point weight comparison method is preferred to
avoid having to move rapidly the operation point, when the
solar radiation is varying quickly or when a disturbance or
data reading error occur. The algorithm of the three-point
weight comparison is run periodically by perturbing the PV
array terminal voltage and comparing its output power on
current operation point (A), a point, B, perturbed from point
A, and a point, C, with doubly perturbed in the opposite
direction from point B of the P-V curve. In these cases, for the
point A and B, if the power of point B is greater than or equal
to that of point A, the status is assigned a positive weighting.
Otherwise, the status is assigned a negative weighting. And,
for the point A and C, when the power of point C is smaller
than that of point A, the status is assigned a positive
weighting. Otherwise, the status is assigned a negative
weighting. Of the three measured points, if two are positively
weighted, the perturb direction should be kept same. On the
contrary, when two are negatively weighted, the perturb
direction should be reversed. In the other cases with one
positive and one negative weighting, the MPP is reached and
the voltage is not to be changed [5],[6].
The Open Circuit Voltage & Short Circuit Current
methods are based on the linear relationship between output
voltage of the PV array at the MPP, VMPP and the PV arrays
open circuit voltage, VOC and PV array output current at
MPP,IMPP and PV array short-circuit current, ISC respectively
as in (9),(10) under varying temperature and solar irradiance
(9)
VMPP k1 *VOC
(10)
I MPP k2 * I SC
Constant values of k1,k2 is dependent on the characteristics of
PV array. The value of k1 ranges from 0.73 to 0.80 and k2
ranges from 0.78 to 0.92 for polycrystalline PV module over a
temperature range of 0 to 60o C and solar irradiance range of
200 to 1000W/m2 [7],[8]. In these methods, VOC or ISC is

516

measured periodically by shutting down the power converter

momentarily. The shutdown of power converter periodically
will incur temporary loss of power which results in power
extracted will not be the maxima. Since (9),(10) is an
approximation, the PV array will not operate at the MPP.
2.

Modified Open-Circuit Voltage Method (Proposed):

To overcome the above limitations, modified open circuit
voltage method is proposed. In this method, the PV array is
not temporarily isolated from MPPT, the open circuit voltage
(VOC) is calculated for different values of insolation and
temperature by making use of (11)-(13).
V
k
CTV OCT 1 v Tx Tc
(11)
VOC
VOC
where kv is the temperature coefficient of VOC. The value of kv
taken is : -0.16V/oC
(12)
CSV 1 s Sx Sc
dTc
, dTC is temperature change due to change
S x Sc
in irradiation. The values of T and S taken are 0.0042 and
0.0061 respectively. So overall effect of temperature and
insolation on open circuit voltage is:
(13)
VOC TG CTV CSVVOC

where s

the error between two successive array power signals

calculated from the measured array voltage and current signals
to create an adaptive perturb. Basically, when the operating
point is far away from MPP, this error is large and decreases
as the maximum power operating point is approached and in
steady state. Therefore, this error can be treated like an error
signal in a closed loop system that needs to be minimized at
steady state, prevented from overshoot at startup, and free
from steady state oscillations. The PI controller is utilized as
the adaptive perturb value generator for the reference array
voltage. The system requires two signals to be measured, PV
array voltage and current. Therefore, good performance is
achieved with less computational load.
5.

Fuzzy Logic Controller (FLC):

Fuzzy Logic controller (FLC) works with imprecise inputs,
it does not need an accurate mathematical model and it can
handle nonlinearity as well. FLC constitutes four parts, which
include fuzzification, inference, rule base and defuzzification
as shown in Fig. 4 [14],[15].
Rule Base
Inputs
Inference

Defuzzification

Fig. 4. Block diagram of fuzzy logic controller.

There is no shutdown of power converter periodically,

hence will not incur any temporary loss of power.
3. Modified Short-Circuit Current Method (Proposed):
To overcome the above limitations, modified short circuit
method is proposed. The short circuit current varies due to
temperature and insolation both. The combined effect is taken
into account to calculate short circuit current for different
conditions of temperature and insolation by using (14)-(16).
The variation of short circuit current with temperature is,[3]:
I
CTI SCT 1 kI Tx Tc
(14)
I SC
where value of kI is 0.0006A/oC.
The variation of short circuit current with insolation(S) is, [3]:
I
S
C SI SCG X
(15)
I SC
SC
where Sx & Sc are insolations at variable and ref. conditions.
The variation of short circuit current with temperature and
insolation is,[3]:
(16)
I SC TG CTI CSI I SC

In this study, the inputs of FLC are error, E and change in

error, CE at sample time k, while the output of FLC is the
output voltage (V).
P k P k 1
(17)
E k
V k V k 1
CE k E k E k 1

(18)
During fuzzification, the numerical input variables are
converted into linguistic variables based on the membership
functions as shown in Fig. 5, 6 [14]. Five fuzzy levels are used
for all the inputs and outputs variables: NB (negative big), NS
(negative small), ZE (zero), PS (positive small), and PB
(positive big).
TABLE I
A FUZZY RULE BASE TABLE FOR MPPT

CE(k)
E(k)
NB
NS
ZE
PS
PB

There is no shutdown of power converter periodically,

hence will not incur any temporary loss of power.
4.

Output

Fuzzification

PI-P&O Method (Adaptive Perturb):

The main idea behind this technique is that at the start of
any hill climbing technique, large perturb steps are needed to
quickly reach the maximum power point and as the maximum
power point is approached, the perturb value needs to be
decreased to avoid large oscillations around this maximum
output power operating point. The adaptive technique utilizes

NB

NS

ZE

PS

PB

PB
ZE
NS
NS
NB

PB
ZE
NS
NS
NB

PS
PS
ZE
NS
NS

PS
PS
PS
ZE
NS

PS
PS
PS
ZE
NS

Once E and CE are calculated, they are converted into

linguistic variables and then the output is generated by after
defuzzification. Rule base consisting of 25 rules is considered
in this paper, as shown in Table I. The most commonly used
Mamdanis inference method is used to determine the output
of fuzzy logic controller [15]. The centroid method is used for
defuzzification because of its good averaging properties.
FLC exhibits a better behavior than P&O method, which

517

provides faster tracking of MPP and it presents smoother

signal with less fluctuation in steady-state. It achieves very
fast transient response and reduces the oscillations around
MPP in steady state.

Fig. 5. Membership function of E(n)

& CE(n).

Fig. 6. Membership function of V(n).

6. MPP Tracking using Neural Networks:

Artificial Neural networks have self-adapting capabilities
which makes them well suited to handle non-linearities,
uncertainness and parameter variations. Feed-forward neural
network is used in which the information moves in only
forward direction, input nodes to hidden nodes and to output
nodes. The block diagram of ANN for producing maximum
voltage and power for given G and T is shown in Fig. 7.
Insolation G

1. Method I:
The proposed algorithm sets 80% of the whole cells array
open circuit voltage as reference point and then calls maximum
power point tracking subroutine to search the first local
maximum power point Pi. Since each peak point occurs near
the integer multiple of the 80% of Voc division and photovoltaic
cells array is not blocked at most of the time, so while
searching GMPP, the searching method should be on the P-V
curve from the right to left. The voltage corresponding to peak
point usually occurs on the multiple of 80% of a single cell
open circuit voltage Voc1. Global maximum power point voltage
is usually less than 80% of Voc, so the peak value of next wave
occurs at a gap of around 80% of the single cell open circuit
voltage from first peak power point voltage. This point is taken
as reference point to call maximum power point tracking
subroutine to search the next local maximum power point Pi+1.
In this way, all peak powers are compared to obtain global
maximum power peak,Pimax.
Start
Initialize the system
Calculate
VB=0.8*Voc
Call LMPPT Initialize
subroutine
to find out first peak
the system
oc
point Pi and calculate the corresponding voltage Vi

Maximum Power Pm
ANN

Temperature T

MPP Voltage V m

ni Vi / (0.8*Voc1) ni is an integer
Fig. 7. Block diagram of ANN Block.

ni+1=ni - 1

Back-propagation training method is used which is an

example of nonlinear layered feed-forward networks. The
input layer has 3 neurons for array voltage, array current and
cell temperature. The output layer has one neuron for perturb
step. The hidden layer has 300 neurons. The output of each
neuron is connected to all neurons in the hidden layer through
a weight and a bias signal is coupled to all the neurons. The
neural network is trained with 4 data sets of solar irradiations
and temperatures until error function is 0 [16],[17].

PV Array Power (W)

B. Partial Shading Conditions

The usefulness of the conventional MPPT algorithms
diminishes because multiple MPPs exist due to the partial
shading. Since the MPP controller is not able to recognize the
correct MPP (i.e. it detects the local MPP instead of the global
MPP), efficiency of the PV system reduced significantly. The
dissipation of power in unshaded cells can lead to breakdown
in localized regions of the cell p-n junction, may cause
enormous power dissipation in a small area leading to local
overheating, hotspots, which leads to destructive effects.

PV Array Voltage (V)

Fig. 8. P-V Characteristics under Partial Shading Conditions.

Vo(i+1) = 0.8*ni+1 *Voc1

VB = Vo(i+1)
Call LMPPT subroutine to find out next peak point
Pi+1 and calculate the corresponding voltage Vi+1
Compare all Pi to get Pimax
Fig. 9. Main Program Flow Chart.

For tracking LMPP, a method similar to three point weight

comparison method is used in which power at current
operational point (B), a point, A, perturbed from point B, and a
point, C, with doubly perturbed in the opposite direction from
point A of the P-V curve are compared to determine direction
of subsequent perturbation. When the step dV is smaller than
the precision of constant after several adjustments, it indicates
that VB has been very close to the maximum power point. If the
step dV is too small, it will lead the searching speed too slow
and solar energy utilization too low. Instead, if the step dV is
too large, the search will appear many shocks in the vicinity of
the maximum power point in result that the maximum power
point is not precise enough.
In this method, global peak tracking is implemented by using
a critical observation on PV characteristics under shading that
the peaks on the P-V curve occur nearly at the multiples of 80%
of VOC. However this method does not consider generalization
rule that the magnitude of the peaks increases when going
towards the global maxima and decreases when going away
[19]. Thus it scans all maxima peaks to find global maxima.

518

uniform insolation, the algorithm may scan the entire range. To

avoid this, after the application of each large disturbance
Vlarge, oscillations in the power are measured. Hence, if the
oscillations are greater than tolerable power variation, Ptol, the
controller immediately restores the operation to the GP.

Start
Calculate VB=0.8*Voc
VA= VB dV
VC = VB + dV
Measure I A, IB , IC
PA= VA* I A
PB= VB * IB
PC= VC * IC
No
No
PA> PB> PC

v= 0.5* dV
dV= dV - v
VA= VB dV
VC = VB + dV

Start

Start

Set Vref=85% of Voc

Vref=Vmlast - i*Vlarge*flag.
Calculate power Pi

Measure array voltage and

current. Call P&O subroutine

PA< PB< PC
dV < E

Yes
VB= VC
VA= VB dV
VC = VB + dV

Return

Yes

Yes
VB= VA
VA= VB dV
VC = VB + dV

No
P>Ptol ?

No
Is MPP tracked?

Yes

No

PM= PB
VM= VB

Is flag = 1?

Yes
Set flag=1 Store
Pmax_last and Vm_last
Calculate P

Fig. 10. LMPPT Subroutine Flow Chart.

2. Method II:
The execution of the algorithm always starts with reference
voltage,Vref set equal to 85% of VOC. Until any disturbance
occurs, it maintains the operation at the GP by continuously
implementing the hill climbing [20] or the P&O method. When
any sudden disturbance like partial shading occurs, the Main
Program calls the GP track subroutine. GP track subroutine
tracks the new GP and, then, pass on the control to the Main
Program, which maintains the operation at this new GP.[20]
When there is a sudden insolation change, the operating
point is shifted to the vicinity of one of the local peaks. This
local peak is tracked by the P&O method. Whether MPP is
reached or not, is checked by determining the sign of the power
in two subsequent perturbations. When the first local peak is
tracked, the algorithm stores the current information about PV
arrays output power and output voltage as Pmaxlast and Vmlast,
respectively. The algorithm then sets the flag for checking the
GP on the left side of first peak point. The sudden change in the
insolation level,G or shading leads to a variation in power,P.
If P is greater than a certain critical power variation,Pcrit,
then GP tracking starts. To determine P, arrays output power
at two different time instants is considered. If any of the
aforementioned condition for GP tracking occurs, the GP track
subroutine starts, scanning the PV curve for other peaks. This
is done by applying a disturbance Vlarge, which should be less
than the minimum possible displacement between the two
successive peaks. To ensure that no peak is missed during the
tracking, Vlarge can be considered as 5070% of VOC_module.
The lower the value is, the higher the time required to track the
GP but the lower the risk of missing the GP will be. The initial
disturbance is toward the left side, which is indicated by setting
the flag. If the slope is positive, the disturbance is continued in
the same direction until Vmin, the lowest voltage below which
the GP is not likely to occur, is reached. However, if the slope
dP/dV is negative, it indicates that there is another peak, hence
the conventional MPP technique is applied to track this peak. If
only one peak exists on the PV curve, as is the case during

No

No

No

Is Vref<Vmax?

Yes
flag= -1; i=1 No
Vref = Vmlast

Yes

Is Vref>Vmin?
Yes

Calculate slope dP/dV by

giving small disturbance

P>Ptol ?
Yes

Is
flag*dP/dV < 0?

No
Call GP track
subroutine

Yes

i = i+1;

Call P&O subroutine

Store Pmax_new and Vm_new
Compare Pmax_new
to get V_mpp

Fig. 11. Flow Chart for MPPT Control.

This method does not consider generalization rule that the

magnitude of the peaks increases when going towards the
global maxima and decreases when going away [19]. The
proposed method scans all maxima peaks to find the global
maximum peak , taking more time than the method in [20].
IV. SIMULATION RESULTS
The results of different MPPT algoritms are compared by
programming in MATLAB environment. The Standard Test
Condition Data is mentioned in Table II.

519

TABLE II
STANDARD TEST CONDITION D ATA

Electrical Parameters
Series Resistance (RS)
Shunt Resistance (RSh)
Short Circuit Current (Isc)
Reverse Saturation Current (Io)
No. of cells in parallel (n)
No. of cells in series (nc)
Band Gap Energy (Eg)
Ideality factor of Diode (AD)
Reference Temperature (Tc)
Reference Insolation (Sc)

Value
1
100
5.23 A
0.0002A
72
16
1.1 eV
1.0
28oC
693W/m2

The Variable operating Conditions Data is mentioned in

VI. ACKNOWLEDGMENT
Table III. Various MPPT algorithms under uniform insolation
This work is supported by Indian Institute of Technology
and partial shading conditions are compared on the basis of Delhi under Summer Research Fellowship Programme 2011.
oscillations at MPP, maximum power extracted and tracking
time, mentioned in Table IV and Table V respectively.
VII. REFERENCES
TABLE III
VARIABLE CONDITIONS DATA

Condition
.
Condition I
Condition II
Condition III
Condition IV

Temperature
26.6o C
25.7o C
25.2o C
27.0o C

[1]

Insolation
652 W/m2
639 W/m2
635 W/m2
664 W/m2

[2]

[3]

[4]
TABLE IV
COMPARISON OF MPPT ALGORITHMS UNDER UNIFORM INSOLATION

Method

Conventional
PI-PPO
FLC
Neural Networks

Voltage Ripples Maximum Power Tracking

around MPP
Output Pm
Time
0.20V
0.02V
0.06V .
Less

1046.9 W
1049.2 W
1049.2 W
1049.7 W

[5]

More
Less
Less
Less

[6]

[7]

TABLE V
COMPARISON OF MPPT ALGORITHMS UNDER PARTIAL SHADING
.

Method

Method I
Method II

Voltage Ripples Maximum Power Tracking

around MPP
Output Pm
Time
0.20V
0.20V

980.0 W
1300.0 W

[8]

Less
More

[9]

In conventional methods like P&O, INCond, Three Weight

Comparison, Open Circuit,Short Circuit method and Modified
Open Circuit and Short Circuit methods, the perturb step is set
as 0.1V. In PI-PPO method, value of perturb when operating
point is far away from MPP is about 1.4 V and decreases to
0.01V at steady state. In FLC, voltage ripples of about 0.03 V
around MPP in steady state. In Neural Networks technique,
performance is met in 5 epochs. Under Partial Shading
Conditions, method 2 tracks global maxima peak correctly but
method 1 is unable to track this global maxima peak.

[10]

[11]

[12]

[13]

[14]

V. CONCLUSION
The purpose of the MPPT is to adjust the solar operating
voltage close to the MPP under changing atmospheric
conditions. In this paper, mathematical model is proposed to
simulate the PV array in Matlab environment for evaluation of
the algorithms performances under randomly varying
atmospheric conditions. Total 8 MPPT techniques taken from
the literature are discussed and analyzed with their merits and
demerits. Also, 4 new techniques are proposed. The proposed
methods are more efficient than existing ones and have been
verified from smulation results. Conventional methods are
easy to implement but they suffer from oscillations at MPP
and tracking speed is less due to fixed perturb step. Intelligent
methods are efficient, oscillations are lesser at MPP in
steady state and tracked quickly in comparison to
conventional methods. The proposed methods for partial
shading are fool proof under different operating conditions.

[15]

[16]

[17]

[18]

[19]

[20]

520

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Energies, Renouvelables, Vol. 10,No.3, p.p. 387 395, 2007.
F.Bouchafaa and M.S.Boucherit, Modeling and Simulation of A Gird
Connected PV Generation System with MPPT Fuzzy Logic Control, 7th
International Multi-Conference on Systems, Signals and Devices, 2010.
Subiyanto and M A Hannan, Maximum Power Point Tracking in Grid
Connected PV System Using A Novel Fuzzy Logic Controller, IEEE
Student Conference on Research and Development, 2009.
R.Ramaprabha, V.Gothandaraman, K.Kanimozhi, R.Divya and
B.L.Mathur, Maximum Power Point Tracking using GA Optimized
Artificial Neural Network for Solar PV System, 1st International
Conference on Electrical Energy Systems, 2011.
K. Samangkool and S. Premrudeepreechacharn, Maximum Power Point
Tracking Using Neural Networks for Grid-Connected Photovoltaic
System, International Conference on Electrical Energy Systems, 2011.
Wang Min, Zhang Xiaol, Lian Xiaoqin, Duan Zhengang and Yang Jun
Design of MPPT Algorithm under Partial Shadows, IEEE Applied
Power Electronics Colloquium, 2011.
Kazmi Syed Muhammad Raza, Hiroki Goto and Hai-Jiao Guo, An
Improved and Very Efficient MPPT Controller for PV Systems
subjected to Rapidly Varying Atmospheric Conditions and Partial
Shading, Power Engineering Conference, 2009.
Hiren Patel and Vivek Agarwal, Maximum Power Point Tracking
Scheme for PV Systems Operating Under Partially Shaded Conditions,
IEEE Transaction on Industrial Electronics, pp,1689-1698, 2008.

Active Power Balance in Cascaded Multilevel

Converter Under Bipolar and Unipolar
Modulation
Vijay Kumar Singh, Student Member, IEEE, Jegannathan S., Shobhit Mishra, Manojit Biswas, and
Rajesh Gupta, Senior Member, IEEE
Abstract Multilevel converters have turned into a mature
technology that has helped their use in high power applications.
This paper presents the performance comparison of the active
power imbalance in the cells of a cascaded H-bridge (CHB)
multilevel converter under bipolar and unipolar modulation
based converter control. This paper also analyses the condition of
power balance and imbalance across each cells of the CHB. The
advantage of unipolar modulation scheme over bipolar
modulation scheme is shown in terms of the current tracking
performance. The simulation studies are performed in the
PSCAD/EMTDC software and the experimental results have
been obtained for further validation of the presented work.
Index terms Cascaded H-bridge multilevel converter, power
balance, PSCAD/EMTDC, bipolar and unipolar modulation
schemes.

I. INTRODUCTION
HE cascaded H-bridge (CHB) multilevel converters have
proved to be a mature and advanced technology thanks to
the extensive research works that have been done on this
topology. The importance and significance of the cascaded Hbridge converter can be attributed to its modularity and
simplicity in construction over the diode clamped multilevel
converters or the flying capacitor based multilevel converters
[1]-[2]. Due to the availability of distinct dc links supplying
different loads, multilevel converters are more useful when
they are used as active rectifiers. These rectifiers are normally
used to perform two important tasks: (i) control of input acside current to sinusoidal with unity power factor and, (ii) dcside load voltage regulation. Ripple content in the input ac
current and hence its total harmonic distortion (THD) can be
effectively reduced with the use of cascaded multilevel
converters, proving to be a major advantage of this type of
converters. The degree of complexity increases with the
increasing number of dc- links as the satisfactory voltage
regulation across the loads becomes a difficult problem. The
intrinsic problem with this type of converter is that each Hbridge cannot be considered as a distinct dc link load, capable
of being controlled independently with respect to the other dc
loads across other H-bridges. Each module in the converter
interact with others in order to track the input current to a
sinusoid and in phase with the main voltage on the ac side,
and to regulate and stabilize the voltages on each capacitor on
the dc side. In cascaded multilevel converter, every module of
the H-bridge shares the same input ac current, due to which,

the loading of one module affects the behavior of the other

modules.
In this paper, the effect of loading condition of one cell on
other cells of the CHB converter is examined for satisfactory
dc link voltage regulation. The loading of the different cells
of the CHB are subject to certain constraints and these
constraints have to be taken into account if the converter is
expected to operate with a satisfactory dc link voltage
regulation. The primary objective of this paper is to determine
the factors that would govern the constraints and examine how
these limitations can be calculated and established
numerically. Inability of the controller to satisfactory control
of the dc link voltage under unequal power condition is also
analyzed. Comparative results for two different types of
modulation methods, i.e., bipolar and unipolar modulation
based current control has been obtained. It is shown that the
current tracking performance has been improved with the use
of unipolar modulation over bipolar modulation. The results of
the simulation studies are verified from their experimental
implementation, showing the output dc link voltages under
balanced and unbalanced operation.
II. OVERVIEW OF THE POWER BALANCE
A single-phase two cell-CHB power converter is shown in
Fig. 1. The system is connected to the grid through a
smoothing inductor L.

Fig. 1. Two cell single phase CHB converter.

The equivalent circuit of Fig. 1 is shown Fig 2. Various

variables shown in Fig. 1 and 2 are defined in Table I.

The Authors are affiliated to the Department of Electrical Engineering,

Motilal Nehru National Institute of Technology, Allahabad-211004, India
(Email: vijay.ec1985@gmail.com, rajgupta310@gmail.com ).

978-1-4673-0455-9/12/$31.00 2012 IEEE

521

Fig. 2. Equivalent circuit of the 2C-CHB.

Fig. 4. phasor diagram for the 2C-CHB showing the region for stable
operation.

TABLE I
VARIABLES USED IN FIG. 1 AND THEIR DEFINITIONS
Variables
L
C1, C2
i1, i2
is
vs
Vdc1, V dc2
vab
v1 , v2
Pt

Definition
Smoothing inductor
Dc-link capacitors
Load currents
Grid current
Grid voltage
DC-link voltages
Converter output voltage
Cell output voltages
Converter input instantaneous power

The phasor diagram for the equivalent circuit shown in Fig. 2

of the 2C-CHB is plotted in Fig. 3.

In Fig. 5, it is shown that for a given total amount of active

power supplied by the grid to the converter, the power
delivered to each cell has to be between a minimum and a
maximum value to achieve a satisfactory dc-link voltage
regulation. Fig. 5(a) shows the maximum active power that
has to be supplied to the cell 1. This value corresponds to the
maximum reachable length of the projection of v1 over is,
represented by v1pmax. As the total amount of active power is
fixed, this value is related to the minimum active power that
can be delivered to the cell 2, represented by v2pmin, which is
the minimum reachable length of the projection of v2 over is.
In the same way, the values for the minimum active power
that can be supplied in cell 1 v1pmin and the maximum active
power that has to be delivered to cell 2 v2pmax can be defined,
which are shown in Fig. 5(b).

Fig. 3. Phasor diagram for the equivalent circuit of 2C-CHB.

It is assumed that both v1 and v2 are less than vs meaning

that both the converter modules are supplied with active
power from the grid. The phasor diagram of Fig 3 can be used
to find the stable power limits for the CHB as shown in Fig 4,
which shows a dashed area between the circles vc1 and vc2.
Any point outside of this area makes the system unstable
because the output voltage cannot be modulated with those
values of the dc-link capacitor voltages [6]. In this phasor
diagram, v1 and v2 represent the output rms voltages of the
cells 1 and 2 respectively and vc1 and vc2 denote their
maximum values, represented by the following expressions:
v1 = mi*Vdc1/2

(1)

v2 = mi*Vdc2/2

(2)

(a)

Hence, vc1 and vc2 can be written as

vc1 = Vdc1/2

(3)

vc2 =Vdc2/2

(4)

where, mi is the modulation index and its maximum value is

defined equal to 1.

(b)
Fig. 5. Minimum and maximum active power limits with (a) maximum
voltage limit for v1pand minimum voltage limits for v2p, (b) minimum voltage
limit for v1p and maximum voltage limit for v2p when vc1<vab and vc2<vab.

522

TABLE II:

III. SYSTEM CONTROLLER

ELECTRICAL PARAMETERS OF THE CIRCUIT AND THEIR VALUES

The controller used in the present system is a phase shifted

carrier pulse width modulation (PSCPWM) [5]. The two types
of the modulation schemes, bipolar and unipolar are used to
analyze the behavior of the converter. In addition, the two
modulation schemes are compared for their current tracking
performance. The schematic block diagrams of these two
schemes are shown in Fig. 6 (a) and (b), respectively. A
reference dc voltage is compared with the actual dc link output
voltage to generate an error signal that is supplied as an input
to the PI-controller. The output of the PI controller thus
obtained is multiplied with a sine wave of unity amplitude and
in phase with the input voltage. This is taken to be the
reference current for tracking of the input ac current. The
difference between the reference and actual ac current is then
used for generation of pulse width modulation using high
frequency triangular carrier signal. The triangular carrier
signal used for generating switching signals for the cell 2
(Vtri2) is phase advanced with respect to the carrier signal that
is used for generating switching signals for the cell 1 (Vtri1).
The difference between bipolar and unipolar modulation
schemes is only in their switching logics. In bipolar
modulation, switches S11 and S12, S13 and S14, S21 and S22 and
S23 and S24 receive the same set of switching signals, while in
unipolar modulation, each of the eight switches receive
separate switching signals (Fig. 6 (a), (b)).

Parameter

Value

Grid voltage

230 Vrms

Grid frequency

50 Hz

Transformer rating

500 VA, 230 V/24 V

DC-link capacitors

2200 F

Smoothing inductor

20 mH

Switching frequency

5 kHz

TABLE III:
CONTROL PARAMETERS OF THE SYSTEM CONTROLLER AND THEIR VALUES
Parameter

Value

Proportional constant

0.25

Integral time constant

0.05sec

Upper limit of the integrator

100

Lower limit of the integrator

-100

The parameters of the PI controller used are shown in Table

III. For examination of the conditions at which the dc link
voltages converge and diverge, it is necessary that the
instantaneous active power drawn by the CHB, at any point of
time should be constant. Hence, the loads are adjusted in such
a way that the instantaneous active power drawn is always
constant. The equations for the maximum and minimum
power limits drawn by the individual cells can be written as
[6] below.
P1max= (v1pmax/vs)*Pt

(4)

P1min= (vs-v2pmax)/vs*Pt

(5)

P2max= (v2pmax/vs)*Pt

(6)

P2min= (vs-v1pmax)/vs*Pt

(7)

For a supply voltage of 24V and DC reference voltage of

20V, the phasor diagram is drawn in Fig. 7. The values v1pmax,
v1pmin, v2pmax, v2pmin are obtained and listed in Table IV.

(a)

(b)
Fig. 6. Block diagram of the system controller (a) Bipolar modulation, (b)
Unipolar modulation.

IV. SIMULATION RESULTS

Fig. 7. Numerical values of maximum and minimum values of voltage limits.

The simulation results are shown in this section for both

unipolar and bipolar modulation schemes. The electrical
parameters used in the circuit of the 2C-CHB are summarized
in Table II.
523

TABLE IV
TABLE SHOWING THE MAXIMUM AND MINIMUM VALUES OF v1p AND v2p
Parameter

Value

v1pmax, v2pmax

14.14 V

v1pmin, v2pmin

9.86 V

active powers of P1 = 24.53 W and P2 = 16.7 W. For unipolar

modulation, this happens at, R1 = 23 ohm and R2 = 17 ohm,
Dc link voltage tracking
0.0225

DC Voltage 1

Dc Voltage 2

Vdc_reference

0.0200
0.0175

Voltage (KV)

0.0150
0.0125
0.0100
0.0075
0.0050

For this reference voltage, the value of instantaneous active

power is being chosen for bipolar modulation Pt = 41.2 W.
The values of maximum and minimum Power limits are
calculated from equations (4)-(7) and shown in Table V.
Similar procedure is followed to obtain the maximum and
minimum power limits for unipolar modulation. For this, the
value of Pt is fixed at 40.67 W for the same DC reference
voltage.

0.0025
0.0000
T (sec)

0.00

0.25

0.50

0.75

1.00

1.25

1.50

1.75

2.00

...
...
...

2.00

...
...
...

(a)
DC link voltage tracking
0.0250

DC Voltage 1

Dc Voltage 2

Vdc_reference

0.0200

Voltage (KV)

TABLE V
TABLE SHOWING THE VALUES OF MAXIMUM AND MIINIMUM POWER LIMITS
FOR BIPOLAR MODULATION SCHEME.

0.0150
0.0100
0.0050

Parameter

Value

0.0000
T (sec)

P1max ,P2max

24.27 W

P1min ,P2min

16.92 W

FOR UNIPOLAR MODULATION SCHEME

P1max ,P2max

23.96 W

0.50

0.75

1.00

1.25

1.50

1.75

giving active powers of P1 = 24.34 W and P2 = 16.34 W. By

comparing these powers with Tables V and VI, it is observed
that these values are out of limit and hence the power
unbalance condition arises. The dc link voltages obtained are
shown in Fig. 9. It can be clearly seen that the two voltages
diverge from each other and settle at two distinct values.

TABLE VI
TABLE SHOWING THE VALUES OF MAXIMUM AND MIINIMUM POWER LIMITS

Value

0.25

(b)
Fig 8: DC link voltages in the two cells when the active powers are balanced
for (a) bipolar, (b) unipolar modulation.

The maximum and minimum values of power limits are

shown in Table VI.

Parameter

0.00

Dc link voltage tracking

0.0225

DC Voltage 1

Dc Voltage 2

Vdc_reference

0.0200
0.0175

16.70 W

0.0150

Voltage (KV)

P1min ,P2min

A. Power balance operation

0.0125
0.0100
0.0075
0.0050
0.0025

For balanced operation with the two dc link voltages to

converge, a loading condition has to be chosen, at which the
active powers drawn by the two cells of the CHB will be
within the limits mentioned Table V and VI.
For bipolar modulation, balanced loading condition is
obtained with R1 = 20 ohm and R2 = 20 ohm. The values of
active powers at these loads are P1 = 20.61 W and P2 = 20.63
W. For unipolar modulation, the values of active powers these
loads are P1=20.34 W and P2 = 20.32 W. It can be seen that the
values of active powers are within the limits as mentioned in
Table V and VI. The two dc link voltages obtained under these
conditions are shown in Fig. 8.

0.0000
T (sec)

0.25

0.50

0.75

1.00

1.25

1.50

1.75

2.00

...
...
...

2.00

...
...
...

(a)
DC link voltage tracking
0.0250

DC Voltage 1

Dc Voltage 2

Vdc_reference

Voltage (KV)

0.0200
0.0150
0.0100
0.0050
0.0000
T (sec)

B. Power unbalanced operation

To achieve this type of operation, a loading condition is
chosen at which the active power limits established are
breached while keeping the instantaneous active power
constant at the chosen value. For bipolar modulation, this is
found to be achieved at R1 = 23 ohm and R2 = 17 ohm, giving

0.00

0.00

0.25

0.50

0.75

1.00

1.25

1.50

1.75

(b)
Fig. 9. DC link voltages of the two cells when active powers are breached for
(a) bipolar, (b) unipolar modulation.

524

The values of active powers for two different loads are shown
in Tables VII and VIII for two modulation schemes bipolar
and unipolar respectively. Also the status of the active powers
drawn by two cells (i.e power balance and unbalance ) of the
CHB is given, which is being decided by comparing these
powers with the maximum and minimum power limits as
shown in Tables V and VI.
TABLE VII
THE VALUES OF ACTIVE POWERS FOR TWO LOADS WITH STATUS OF THE CHB
Fig. 10: Voltage waveform Vab in experiment.

FOR BIPOLAR MODULATION

R1 ()
20.0
21.0
22.0
22.5
22.8
22.9
23.0

R2 ()
20.0
19.0
18.0
17.5
17.2
17.1
17.0

P1 (W)
20.61
21.93
23.25
23.9
24.25
24.42
24.53

P2 (W)
20.60
19.32
17.97
17.32
16.97
16.82
16.75

Fig. 11 shows the waveforms of the grid voltage and inphase supply current, i.e., the converter is operating at unity
power factor. The output dc link voltages of the two H bridges
under conditions of power balance and unbalance, as
expalined in section IV for bipolar modulation are now
observed by applying the corresponding resistive loads across
the two H -bridges. The two conditions are shown in Fig. 12.
When the active powers are balanced, the two dc link voltages
always tend to converge and settles at the same mean value
under steady state.

Status
BALANCE
BALANCE
BALANCE
BALANCE
BALANCE
UNBALANCE
UNBALANCE

TABLE VII
THE VALUES OF ACTIVE POWERS FOR TWO LOADS WITH STATUS OF THE CHB
FOR UNIPOLAR MODULATION

R1 ()
20.0
21.0
22.0
23.0
23.3
23.4
24.0

R2 ()
20.0
19.0
18.0
17..0
16.7
16.6
16.0

P1 (W)
20.60
21.67
22.75
23.86
24.18
24.28
25.23

P2 (W)
20.60
19.53
18.45
17.34
17.01
16.82
15.93

Status
BALANCE
BALANCE
BALANCE
BALANCE
BALANCE
UNBALANCE
UNBALANCE

C. Total distortion (THD) in current harmonic

The total harmonic distortion in the supply ac current
waveform under the two different types of modulation is
examined. For the switching frequency fc = 1 KHz, the current
THD in case of bipolar modulation is close to 3.4 % while in
case of unipolar modulation, it is about 1.5 % for the same set
of control and circuit parameters used. While for fc = 5 KHz,
the current THD in case of bipolar modulation is close to 1.45
% and in case of unipolar modulation, it is about 1.32 % . As
it was expected the harmonic distortion is considerably
reduced when unipolar modulation is used over bipolar
modulation.

Fig. 11: Voltage and Current supplied by the grid to the converter.

(a)

V. EXPERIMENTAL RESULTS
The simulations shown in section IV are verified through
the experimental setup which consists of a cascade connection
of two of the three arms of two intelligent power modules
(IPM PM50CSD120). The two different modulations; i.e.,
bipolar and unipolar are implemented and are examined for
their behavior under power balanced and unbalanced
condition.
A. Bipolar modulation
The voltage waveform Vab, which is the ac output voltage of
the CHB converter in case of bipolar modulation is shown in
Fig. 10.

(b)
Fig. 12: Output dc link voltages when active powers are (a) balanced, (b)
unbalanced.

525

B. Unipolar modulation
The results obtained for unipolar modulation corresponding
to that obtained for bipolar modulation are shown in the
figures below. The ac output voltages of the two cells are
shown in Fig. 13.

It can be observed from Fig. 15 that the two output dc link

voltages tend to converge and settle at the same value in case
of power balanced operation. The non convergence of the two
dc link voltages clearly shows the inability of the controller
which can be attributed to the unbalnce in the active powers of
the two H bridges.
VI. CONCLUSIONS

Fig. 13: ac output voltages of the two H bridges.

The ac output voltage from the cascade connection of H

bridges 1 and 2 are shown in Fig. 14. As this voltage is the
sum of the AC output voltages of the individual H bridges, it
is a five level waveform. The output dc link voltages under the
conditions of power balance and imbalance are shown in Fig.
15.

An important advantage of the CHB multilevel converters is

their capability to independently supply different dc loads
across their different H bridges. However, supplying different
dc loads is subject to certain constraints since all the H bridges
are supplied with the same input ac current. In this paper, the
existence of these power limits has been proved with
theoretical explanation, simulation studies and experimental
implementation. Divergence of DC voltages under the
unbalanced operation for both unipolar and bipolar
modulation schemes imply that the existence of power limits
is not governed by any specific controller algorithm. Also, the
unipolar and bipolar modulation schemes are compared on the
basis of THD in the supply current and it is found that
unipolar scheme gives a better waveform, closer to sinusoidal
than the bipolar modulation scheme.
VII. REFERENCES

Fig. 14: ac output voltage of the CHB.

[1] J. S. Lai and F. Z. Peng, Multilevel converters- A new breed of power

converters, IEEE Trans. Ind. Appl., vol. 32, no. 3, pp. 509517,
May/Jun. 1996.
[2] J. Rodriguez, S. Bernet, B. Wu, J. O. Pontt, and S. Kouro, Multilevel
voltage-source-converter
topologies for industrial medium-voltage
drives, IEEE Trans. Ind. Electron., vol. 54, no. 6, pp. 29302945, Dec.
2007.
[3] S. Vazquez, J. I. Leon, J. M. Carrasco, L. G. Franquelo, E. Galvan, J. A.
Sanchez, and E. Dominguez, Controller design for a single-phase twocell multilevel cascade H-bridge converter, in Proc. IEEE Int. Symp. Ind.
Electron., Cambridge, U.K., Jun. 30Jul. 2, 2008, pp. 23422347.
[4] R. Gupta, A. Ghosh and A. Joshi, Switching characterization of
Cascaded-Multilelvel Inverter-Controlled systems, IEEE Trans. Ind.
Electron., vol. 55, no. 3, pp. 10471058, Mar. 2008.
[5] A. DellAquila, M. Liserre, V. G. Monopoli, and P. Rotondo, Overview
of PI-based solutions for the control of dc buses of a single-phase Hbridge multilevel active rectifier, IEEE Trans. Ind. Appl., vol. 44, no.
3,pp. 857866, May/Jun. 2008.
[6] Sergio Vazquez, Juan M. Carrasco, Leopoldo G. Franquelo, Eduardo
Galvan, Manuel Reyes,Juan A. Sanchez,Eugenio Dominguez, Analysis
of the Power Balance in the Cells of a Multilevel Cascaded H-Bridge
Converter, IEEE Trans. Ind. Electron., vol. 57, no. 7, pp. 2287-2296,
July 2010.
[7] J. Rodriguez, J. S. Lai, and F. Z. Peng, Multilevel inverters: A survey of
topologies, controls, and applications, IEEE Trans. Ind. Electron., vol.
49, no. 4, pp. 724738, Aug. 2002.

(a)

(b)
Fig. 15. Output dc link voltages under steady state for (a) power balanced, (b)
power unbalanced operation.

526

A Novel Fault Classification Scheme Based on

Least Square SVM
H.C. Dubey1, A.K. Tiwari2, Nandita3, P.K. Ray4, S.R. Mohanty2 and Nand Kishor2

(MOV) is employed for protection of the series capacitor

from over-voltage during faulty situations. However, it acts
non-linearly during faults and increases the complexity of
the protection problem. Due to resonance between the
system inductance and series capacitor, non fundamental
decaying components as well as decaying DC components
are present in the voltage and current signals. Odd
harmonics are due to MOV conduction during faults and
sub-synchronous frequencies having frequency components
varying around half the fundamental frequency value, high
frequency components (which results from resonance
between line capacitance and line inductance) are present in
addition to fundamental components of the steady state
fault current. Thus, these signals are not processed very
accurately with conventional methods such as full cycle
DFT/half cycle DFT (FCDFT/HCDFT) or least square
error (LSE) technique; thereby cause large error in
estimation of the fundamental phasor. In light of these
issues, the fault classication task is complicated in the
presence of TCSC [3]-[4]. Techniques based on fuzzy
logic, adaptive Kalman ltering, neural network, wavelet
transform and support vector machine have been addressed
in research studies for fault classification task [5-14]. In
[5], Kalman ltering based technique has been used for
fault classication task. However, the validity of the
proposed method had been tested on a limited number of
test cases. Classification technique based on articial neural
network (ANN) in a series compensated transmission lines
is addressed in [6]-[8]. However, ANN involves empirical
risk minimization and suffers from drawbacks like over
fitting and trapping in local minima. Further in [6]-[8], the
performance of the classification schemes have not been
investigated over extensive test cases and the compensation
level was kept constant.
In [9]-[10], authors have suggested classification
schemes based on wavelet transformation. Also, in [9]-[10],
the proposed technique was validated only for limited
cases. Some techniques based on fuzzy logic have also
been presented for fault classication applications in [11][13]. A hybrid approach based on wavelet transform and
fuzzy logic is proposed in [11]-[12]. Combination of fuzzy
logic and higher order statistics (HOS) has been
investigated in [13] for classication task considering a
wide variation in the system conditions. Recently, support
vector machine (SVM) based technique has been proposed
for fault classication [14]-[17].
The presence of FACTS devices in transmission
line influence pre-fault as well as post-fault current signals
thereby making the task of fault classification a

Abstract-- This paper presents a novel approach for fault

classification and section identification in a series
compensated transmission line based on least square support
vector machine. The current signal corresponding to onefourth of the post fault cycle is used as input to proposed
modular LS-SVM classifier. The proposed scheme uses four
binary classifier; three for selection of three phases and fourth
for ground detection. The proposed classification scheme is
found to be accurate and reliable in presence of noise as well.
The simulation results validate the efficacy of proposed
scheme for accurate classification of fault in a series
compensated transmission line.
Index Terms-- Digital relaying, distance relay, fault
classification, least square-support vector machine, modular
classifier, series compensated transmission line.

I. INTRODUCTION

ransmission lines are protected by digital relays which

operate accurately and reliably as compared to their
solid state counterparts. Digital relay are invariably based
on signal processing techniques. Faults occurring in
transmission lines need to be detected, classified, and
located fastly and accurately for keeping faulty part isolated
from the healthy part thereby, ensuring minimum damage
and disturbance. The speed, accuracy and reliability of
digital protective relays are dependent on underlying
techniques used in design. Fault classification task is an
important task after the detection of fault for isolating the
faulty section from healthy one, thus reducing damages to
power systems [1]-[2].
The FACTS employed in modern power system
achieve enhancement in transmittable power, improvement
in the system stability, reduction in transmission losses and
more exibility in power control. On the other hand,
presence of FACTS devices like TCSC complicates the
protection task because [1, 2]: the metal oxide varistor
1

Harish Chandra Dubey is with the Department of Electronics and

Communication Engineering, Motilal Nehru National Institute of
Technology, Allahabad-211004, INDIA (e-mail: dubeyhc@ieee.org ).
2
Ashutosh Kumar Tiwari, Soumya Ranjan Mohanty and Nand Kishor are
with the Department of Electrical Engineering, Motilal Nehru National
Institute of Technology, Allahabad-211004, INDIA(e-mail: aktiwari@ieee
.org , soumya@mnnit.ac.in, nandkishor@mnnit.ac.in ).
3
Nandita received the Bachelor of Technology degree in Electronics and
Communication Engineering from Birla Institute of Technology (BIT),
Mesra-814142, INDIA (email: nandita16bit@gmail.com).
4
Prakash Kumar Ray is with the Department of Electrical and Electronics
Engineering, International Institute of Information Technology,
Bhubaneswar- 751003, INDIA (email: prakash@iiit-bh.ac.in).

527

complicated one. In spite of research studies done, fault

classification in series compensated transmission lines still
remains a challenge in terms of accurate and reliable
classification with reduced computational burden and
number of data sets for sake of online implementation. One
of the most promising approach used for fault classification
applications in a transmission line as reported [13, 15] is
SVM. SVMs are classiers based on structural risk
minimization. An improved version of SVM is least square
SVM (LSSVM) that retains all advantages of SVM with
lesser computational burden.
This paper proposes a novel scheme for accurate
classification of faults in a series compensated transmission
line based on LSSVM classifier using modular topology.
The use of modular topology reduces the computational
burden and time complexity of the proposed classification
technique. The novelty of the work is three fold. First, the
fault classification is studied in a series compensated
transmission line rather a normal transmission line. Second,
the introduction of LSSVM is new to fault classification
task. Third, the modular topology of binary LSSVM
classifier improves the performance. The proposed
classifier is trained with input and output data-sets
generated using Simulink model of studied power system in
MATLAB environment.
The rest of the paper is presented as follows; the
LSSVM is briefly described in section II, proposed scheme
is discussed in section III, followed by simulation and
results in section IV. Finally, conclusions based on
simulation results are given in section V.

y( x)

K ( x, x ) b
k

(1)

k 1

The optimal separation of hyperplane is shown in Fig.1.

LSSVM aims to build a classifier which is chracterized by
following optimization problem:

1 T
1 N 2
J
(
w
,
b
,
e
)

w
w

ek
LS
min
2
2 k 1
w ,b , e

(2)

Subject to the equality constraints

yk wT xk b ek , k 1,2,..., n

(3)

Where ek are slack variable and is a positive real constant

known as regularization parameter. The parameter 0
determines the trade-off between fitting error minimization
and smoothness.

HP
w
margin=
2/w
Class 2
w.x+b=+1
Class 1

w.x+b=0

II. LEAST SQUARE SUPPORT VECTOR MACHINE

margin

Support vector machines (SVMs) are statistical

learning systems based on structural risk minimization used
for pattern recognition. But, the computational complexity
of SVMs is related to the number of training samples. As
the sample size increases, the solution of the corresponding
quadratic programming problem becomes complex
resulting in slow computing speed. Least square SVM
(LSSVM) is an improvement over SVM without losing its
advantages [18]-[19]. LSSVM technique for classification
and non-linear regression are characterized by linear
Karaush-Kuhn-Tucker (KKT) systems [19]. Sparseness can
be imposed in LSSVM using pruning as known in NNs.
Non-linear SVM for classification and regression problems
involves convex quadratic programming. The LSSVM as a
classifier differs from conventional SVM in two ways;
firstly it uses equality constraints and secondly, a squared
loss function is taken as error variable [19].
Given a training data set of N points ( xk , yk ) ,

w.x+b=-1

Fig.1 The optimal hyperplane of the binary classifier

The lagrangian involved in the optimization problem is

L(w, b, e; a) wT w

1n 2 n
ei a i (wT ( xi ) b ei yi )

2 i1 i1

(4)

Where ai R N , i 1, 2,.., n are Lagrange multipliers. The

conditions for optimality are given by:

n
L

o; gives; w ai ( xi )

i 1

n
L 0; gives; a 0

i
b

i 1

0;
gives
;
a

e
,
i

1,2,3,...,
n

i
i
b

T
e 0; gives; b yi w ( xi ) ei ; i 1,2,3,.., n
i

a i

k=1,2,,n where xk Rn is the k-th input data-set and

yk R is the k-th output data-set. The SVM based classifier
involves a decision function which is given by y wT x b .
Using the kernel function, the non-linear SVM becomes:

528

(5)

The solution of eqn. (5) is obatined as:

T

1 b 0
0

a y
1

1 1

3
4
5
6
7
8
9
10

(6)

a [a1 , a2 , a3 ,..., an ]
(7)
ij ( xi ) ( x j ) K f ( xi , x j ); i, j 1,2,3,..., n (8)

-1
1
1
-1
1
1
1
-1

-1
1
-1
1
1
1
-1
1

1
-1
1
1
1
-1
1
1

1
1
1
1
1
-1
-1
-1

B-G
R-Y-G
R-B-G
Y-B-G
R-Y- B-G
R-Y
R-B
Y-B

1 [1,1,1,...,1]T ,

The outputs of four modules of binary classifiers are used

for deciding fault type as according to Table I. Here, +1
represents the involvement of phase or ground in fault and
-1 represents its absence. The binary LSSVM classifier are
combined to form a modular network of four binary
classifier, thus forming a multi-class classifier to
discriminate between R-G, RY, RY-G, RYB and RYB-G
faults.

The classifier based on LS-SVM model is then constructed

as follows:

1 T
1 n 2
min
w
w

ei
a ,b , e
2
2 i1
such that ei yi ( wT ( xi ) b),

A. LSSVM for section identification

(9)

Identification of faulty section is also necessary

with fault classification in a series compensated
transmission line. Due to presence of FACTS devices the
apparent impedance of the transmission changes and hence
just after the midpoint and just before that there is a
significant change in current, so the section having fault
must be identified.

i 1,2,3,..., n
The feature vector ( x) is known by means of the positive
definite kernel function. The kernel function are required to
satisfy Mercers condition, which implies that

K f ( xk , x j ) ( xk )T ( x j )

Input to
modular
classifier

(10)

The kernel function which are commonly used are linear,

polynomial radial basis function (RBF) and multi-layer
perceptron (MLP). The selection of regularization
parameter and the kernel parameter 2 is very important
for the classifiers. This work uses grid-search to decide
appropriate regularization parameter and the kernel

LSSVM-R
IR

Fault type

IY
LSSVM-Y
IB

parameter 2 . Grid-search is easy and direct as each pairparameter J,V is independent and it can be sorted in
parallel. This classifier finds the optimal parameters in the
objective function with cross-validation until the best
parameters with high precision are found.

Fault section

IG
LSSVM-B
Fig.2 Proposed LSSVM based classification scheme

III. PROPOSED SCHEME

TABLE II

This section presents the application LSSVM to

develop the modular multiclass classifier [20]. The block
diagram of proposed scheme for fault classification and
section identification is shown in Fig.2. The LSSVM based
classifier are found to perform better when trained on lesser
data sets thus enabling better accuracy with lesser training
data sets [18]-[19].

TESTING OF LSSVM-S FOR SECTION IDENTIFICATION

TABLE I
FAULT TYPE IDENTIFICATION

S.No.

1
2

Output
of LS
SVM-R
1
-1

Output
of LSSVM-Y
-1
1

Output
of LSSVM-B
-1
-1

LSSVM-S

Output
of LSSVM-G
1
1

Type of
fault
R-G
Y-G
529

Fault

Kernel

Classification

Poly
RBF

Parameter
Value
1.3269
0.208

RY fault at 25%,
FIA=135o, LA=40o, Rf=
60 ohm
RB-G fault at 30%,
FIA=175o , LA=30o, Rf=
80 ohm
RYB-G fault at
75%,FIA=120o , A=65o,
Rf = 80 ohm
YB-G fault at 90%,
FIA= 95 o LA=55o, Rf=
100 ohm

Poly
RBF

1.322
0.206

1
1

Poly
RBF

1.440
0.220

1
-1

Poly
RBF

1.389
0.276

1
-1

1
1

RB fault at 30%,
FIA=110 o LA=45o , Rf=
85 ohm
RYB fault at 10%,
FIA=125o LA=55 o, Rf=
80 ohm

Poly
RBF

1.889
0.250

1
1

Poly
RBF

1.888
0.246

1
1

(uF/km)
Series compensated
MOV
Current transformer
(CT)

To demonstrate the potential of the proposed approach, all

ten cases of fault event are simulated. The data-set consists
of 916 test cases comprising all the ten types of faults with
varying fault resistances, different fault inception angles,
different source impedance values, different fault positions,
different percentage compensation levels for validation of
proposed approach. Fig.4 shows the current signals of three
phases in case of R-G fault with fault resistance 50 ohm
and fault inception angle of 50 degree with 50%
compensation level.

Section identification is accomplished by training the

LSSVM-S to build an optimized classifier. The current
samples corresponding to one-fourth cycle of post fault
current are fed as input to the LSSVM-S and the output is
+1 (before series capacitor) or -1 (after series capacitor).
The training is done using 208 data sets and the accuracy of
identification is tested over 916 datasets. The average
classification rate for section identification for 916 data sets
is found to be 97.25 % for all fault types which is
reasonably good. Table II depicts the results for section
identification
with
proposed
approach.
Also,
misclassification is observed for the RYB-G fault at 75%,
FIA=120o, LA=65o, Rf=80ohm, Poly misclassifies showing
the output as 1.Other cases shown in Table II shows correct
identification.

V. RESULTS AND DISCUSSIONS

The classification accuracy of LSSVM-R
classifier with RBF kernel as function of two parameters is
shown in Fig.6. There is no significant change observed in
accuracy as these parameters are varied. The proposed
LSSVM based classifier performs consistently well and
gives accurate classification for all fault types. This
suggests the efficacy of proposed technique. The
classification accuracy indicates the average performance
obtained by different types of kernel functions used in the
proposed scheme. Fig.6 shows overall classification
accuracy of the proposed technique which again supports
its utility in fault classification task.

IV. SIMULATION STUDIES

A three phase transmission line of 250 km length,
230 kV, 50 Hz connecting two systems with MOV and
series capacitor kept at midpoint of line as shown in Fig.3
is used for testing of proposed scheme. The model of
transmission system with TCSC shown in Fig.3 has been
simulated using MATLAB/Simulink environment. The
various parameters of transmission line used for simulation
are given in Table III. The post-fault current signal is
retrieved at the relaying end bus A and used for recognition
of fault events. The sampling rate used is 1.0 kHz at
nominal frequency 50 Hz, thus giving 20 samples per
cycle.
Bus A
CT

MOV

Relay

Air-gap

70 % C =178.54 of
40 kV 5 MJ
230kV, 50 Hz, 2000:1 turns
ratio

Bus B

C
Source 1

Source 2

Fig.3 Series compensated transmission line

Fig.4 Current signal for the R-G fault
TABLE III

100.5

System voltage
System frequency
Voltage of source 1
Voltage of source 2
Transmission
line
length
Positive sequence

Zero sequence

Classification accuracy

PARAMETERS OF THE SIMULATED TRANSMISSION LINE

230 kV
50 Hz
1.0 0 degree pu
1.0 20 degree pu
250 km
R = 0.0368 (ohm/km), L =
0.55(mH/km), C = 0.028
(uF/km)
R = 0.0328 (ohm/km),
L=1.722 (mH/km), C = 0.024

100
99.5
99
98.5
98
0

10
20
30
Regularization parameter
(a) Regularization parameter,

530

40

Classification accuracy

[5]

99.2
99
98.8
98.6
98.4
98.2
98
97.8

[6]

[7]

0.1

0.2

0.3
[8]

Kernel parameter
(b) Kernel parameter,

[9]

Classification accuracy of LSSVM-R classifier with RBF Kernel

Overall classification
accuracy

Fig.5

[10]

97.9
97.8
97.7
97.6
97.5

[11]

[12]

[13]

[14]

Fault type

[15]
Fig.6 Classification accuracy of the proposed scheme

VI. CONCLUSION

[16]

The present paper investigates a novel approach

for fault classification and section identification in a series
compensated transmission line. The proposed scheme is
based on a modular network consisting of four binary
LSSVM classifiers. The proposed classifier has been tested
under various system changing conditions. One-fourth
cycle of post-fault current samples are used as input by
classification scheme. Simulation result validates the
consistency and accuracy of proposed scheme. It is found
that LSSVMs require lesser training sets for most
optimized classification with less number of training
samples compared to the neural network and neuro-fuzzy
systems. Hence the proposed method is comparatively fast,
accurate and robust for the protection of transmission line.

[17]

[18]

[19]

[20]

REFERENCES
[1]

[2]
[3]

[4]

A.G.Phadke, J.S.Thorp, Computer Relaying for Power Systems,

Second edition, Wiley-IEEE press, Sept. 2009 (ISBN: 978-0-47005713-1).
W.A.Elmore, Protective Relaying Theory and Applications, 2nd
Edition, Marcel Dekker, New York, 2003.
M.Khederzadeh, T.S.Sidhu, Impact of TCSC on the protection of
transmission lines, IEEE Trans. Power Del., vol. 21,no.1, pp. 80
87, 2006.
M.Noroozian, L.Angquist, M.Ghandhari, G.Anderson, Improving
power system dynamics by series connected FACTS devices,
IEEE Trans. Power Del., vol.12,no.4, pp. 16351641, 1997.

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A.A.Girgis, D.G.Hart,Implementation of Kalman and adaptive

Kalman filtering algorithms for digital distance protection on a
vector signal processor, IEEE Trans. Power Del., vol. 4, no.1,
pp.141-156, Jan.1989.
Q.Y.Xuan,Y.H.Song,
A.T.Johns,
R.Morgan,
D.Williams,
Performance of an adaptive protection scheme for series
compensated EHV transmission systems using neural networks.
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Y.H.Song, A.T.Johns, Q.Y.Xuan, Articial neural network based
protective scheme for controllable series compensated EHV
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A.Y.Abdelaziz,A.M.Ibrahim, M.Mansour, H.E.Talaat, Modern
approaches for protection of series compensated transmission
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2005.
A.I.Megahed, M.A.Monem, A.E.Bayoumy,Usage of wavelet
transform in the protection of series-compensated transmission
lines, IEEE Trans. Power Del.,vol.21,no.3,pp.1213-1221,2006.
P.K.Dash, S.R.Samantray, Phase selection and fault section
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vol.26, no.9,pp.725-732, 2004.
M.J.Reddy, D.K.Mohanta, A wavelet-fuzzy combined approach
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P.K.Dash, S.R.Samantaray, G.Panda, Fault classication and
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B.Ravikumar, D.Thukaramand, H.P.Khincha, Application of
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based on class relations: a modular neural network for pattern
classification, IEEE Trans. on Neural Networks, vol. 10, pp. 12241255, 1999.

MPPT Scheme for Small/Large Time Partially

Shaded Condition of a PV Cell, Array
Alok Kumar Singh and R. K. Tripathi, Member, IEEE

Abstract--In the recent years various algorithms have been

proposed by researchers to extract the maximum power out of
the solar cell/array, called maximum power point tracking
(MPPT) algorithms. Out of these incremental conductance (INC)
algorithm is most widely used due to its easy implementation and
high accuracy. These algorithms also work for non ideal
conditions such as long time partial shading condition (PSC).
In this paper, a modified INC MPPT algorithm has been
proposed, which also works to solve the problem of small time
partial shading by comparing the previous and present duty
ratios (D) of boost converter.
Index TermsIncremental conductance (INC), maximum
power point (MPP), maximum power point tracking (MPPT),
partial shading conditions (PSC), duty cycle (D).

I. INTRODUCTION

PHOTOVOLTAIC (PV) array under uniform irradiance

exhibits a current-voltage characteristic with a unique
point, called the maximum power point (MPP), where the
array produces maximum output power, which depends on
panels temperature and on irradiance conditions. MPPT
techniques are used in photovoltaic (PV) systems to maximize
the PV array output power by tracking continuously the
maximum power point (MPP) [1].
Mostly used MPPT algorithms are following:
Perturb and observe (P&O) algorithm.
Incremental conductance (INC) algorithm.
Constant Voltage (CV) algorithm.
Perturb and observe (P&O) maximum power point tracking
(MPPT) algorithm is the most commonly used method due to
its ease of implementation, but at steady state, the operating
point oscillates around the MPP giving rise to the waste of
some amount of available energy [1]-[3]. The P&O algorithm
can be confused during those time intervals characterized by
rapidly changing atmospheric conditions. Fig.1 Starting from
an operating point A, if atmospheric conditions stay
approximately constant, a perturbation V in the PV voltage
V, will bring the operating point to B and the perturbation will
be reversed due to a decrease in power. If the irradiance
increases and shifts the power curve from P1 to P2 within one
sampling period, the operating point will move from A to C
[3].
Alok Kumar Singh and R. K. Tripathi is with the Department of Electrical
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: aloksingh_cest@yahoo.co.in, rktripathi@mnnit.ac.in).

Fig. 1. Divergence of P&O from MPP.

The incremental conductance algorithm seeks to overcome

the limitations of the P&O algorithm. Incremental
conductance can determine that the MPPT has reached the
MPP and stop perturbing the operating point. Incremental
conductance can track rapidly increasing and decreasing
irradiance conditions with higher accuracy. Increased
complexity when compared to perturb and observe method.
This increases computational time and slows down the
sampling frequency of the array voltage and current [4].

Fig. 2. Basic idea of the INC method on a PV curve of a solar module.

+ = 0 , at MPP

(1)

+ > 0 , left of MPP

(2)

+ < 0 , right of MPP

(3)

where I and V are the PV array output current and voltage,

respectively [5].
Constant Voltage algorithm makes use of the fact that the
MPP voltage changes only slightly with varying irradiances.
The ratio of VMp/Voc depends on the solar cell parameters, but
a commonly used value is 76% [2, 4].

978-1-4673-0455-9/12/$31.00 2012 IEEE

532

TABLE I

Characteristic curves under PSC. There are two local MPPs on

the P-V curve; however, only one of them is the real MPP.

OVERALL MPPT EFFICIENCIES FOR DIFFERENT ALGORITHM

Array
Simulator

P&O
96.5 %
97.2%

INC
98.2 %
98.5 %

CV
88.1 %
92.7 %

From above table INC is most efficient algorithm.

A. Different Type of INC Algorithm
Basic of incremental conductance (INC) algorithms [3]-[5, 10]
at MPP

+ =0

(1)

In [6] the condition for the Maximum Power Point (MPP)

operation can be established from the solar cell voltage and
the converter switching duty ratio alone. The method can also
be readily applied to any load type where power increases
monotonically with voltage. The experimental results show
that the proposed MPPT algorithm has secured a 1.5-ms
response time due to insolation changes. Another INC MPPT
algorithm with a variable step size, reported in [6] adjusts
automatically a step size to the solar array operating point,
thus improving the MPPT speed and accuracy compared with
the conventional method with a fixed step size [7, 8]. The INC
MPPT algorithm is used for tracking MPP of PV system is
capable of tracking MPPs accurately and rapidly without
steady-state oscillation, and also, its dynamic performance is
satisfactory [9, 10].
B. Effects on the PV Array Under PSC
Nonideal conditions refer to some specific situations where
solar cells reach their limits and cannot provide specified
power. Common nonideal conditions include partial shading,
low solar radiation, dust collection, and photovoltaic ageing
[11]. It is not easy to avoid shading in residential installations
because of the change in sunlight direction throughout the day.
Furthermore, obstacles, such as trees, poles, towers, birds, and
buildings, etc., can cause partial shading. Minor shading can
cause a major reduction in solar power output of the PV array.
A PV array is composed of several PV modules connected in
series-parallel to get the desired voltage and current. To
protect modules from hot-spot (Shadowing is the normal event
in a photovoltaic system, causing thermal disequilibrium
which produces excess heat at the shadowed cell) problem, the
bypass diodes are connected in parallel with each PV module
and the blocking diode is connected in series with each string,
which is a group of series connected PV module, to protect the
modules from the effect of potential difference between series
connected strings. When the solar irradiance on PV array is
identical, only one MPP is existed on the P-V characteristic
curve of PV array. However, because of the bypass diodes and
the blocking diodes, numerous local maximum power points
(multiple local maxima) can exist under partially shaded
condition. The performance of MPPT is analyzed according to
the position of real MPP [12].
Fig. 3 shows a PV array composed of 32 modules and its

Fig. 3. Output characteristic curve of 3x2 PV array under PSC.

II. PROPOSED INC MPPT ALGORITHM

Start

PV array voltage and

current sampling

n n 1

dv v v o
di i io

dv 0
Yes

No
Yes

di
i

dv v

di 0

Yes

No
No
Yes

di
i

dv
v

di 0

No

No

D' D D D' D D

D' D D

Yes

D' D D

if D=D
Or if n=10
Yes

No

vo v
io i

NEXT CYCLE

End

Fig. 4. The flow chart of the modified INC MPPT method.

Minor shading by birds, small clouds and airplanes can

cause a major reduction in solar power output of the
photovoltaic array. If shading is for very small duration then

533

MPPT system is unnecessarily disturbed. The proposed INC

MPPT algorithm considers small duration shading, which is
smaller than the two times the response time of INC MPPT
algorithm but more than the one time. Proposed system avoid
to change the value D in which we compare the previous and
present duty cycle (D).
If insolation level changes then voltage and current of PV
array also changes. Then by increment or decrement duty ratio
obtained will result in final MPP. But in our system we save
that value again sense the change in voltage and current and
the same process is repeated. If now acquired value of D is
equal to the last stored value then our system considers it the
final value of D and operate at MPPT. If the obtained value is
not equal to the last stored value then it repeats the cycle till
the above condition is satisfied for 10 times or any number
(n). If the above relation does not satisfy then we take the nth
value of D as the final value.

Fig. 6. P-V characteristics with tracked MPP for same insolation.

III. SIMULATION MODEL

Fig. 7. V-I characteristics with tracked MPP for same insolation.

B. Results (PV Array under PSC)

In proposed method use six PV module considering as one
module is shaded which has insolation of 200 /2 and
remaining five have constant insolation which is 1000/2.

Fig. 8. P-V characteristics with tracked MPP for PSC.

Fig. 5. Simulation model PV system with proposed INC algorithm.

A. Results (PV Array under full insolation)

In proposed method use six PV modules considering as all six
have constant insolation which is 1000/2 . The proposed
method smoothly tracks the MPP as same insolation and
avoids unnecessary fluctuation by which we got smooth
output voltage after Boost Converter.
Fig. 9. V-I characteristics with tracked MPP for PSC.

534

C. Results (PV Array under small time PSC)

In proposed method use six PV modules considering as one
module is shaded one which has insolation of 200 /2 for
.7 second and remaining five have constant insolation which is
1000/2, after that all six have constant insolation which is
1000/2. The proposed method smoothly tracks the MPP
as same insolation and avoids unnecessary fluctuation by
which we got smooth output voltage after Boost Converter.

IV. CONCLUSION
In rapidly changing environmental conditions we prefer to
use INC MPPT algorithm due to its higher accuracy in
tracking MPP, which is also proving by above results. The
proposed INC MPPT algorithm consider small duration
shading which is less than the two times the response time of
INC MPPT algorithm but more than the one time response
time of INC MPPT algorithm, then proposed system avoid to
change the value D by comparing previous and present duty
cycle (D) then due to this fluctuation in output is avoided and
smooth output voltage is obtain after Boost Converter.

REFERENCES
[1]

Fig. 10. The output voltage of the Boost Converter for small time PSC of PV
array.

Fig. 11. P-V characteristics with tracked MPP for small time PSC.

Fig. 12. V-I characteristics with tracked MPP for small time PSC.

Femia, N.; Petrone, G.; Spagnuolo, G.; Vitelli, M.; , "Optimization of

perturb and observe maximum power point tracking method," Power
Electronics, IEEE Transactions on , vol.20, no.4, pp. 963- 973, July
2005.
[2] Sera, D.; Kerekes, T.; Teodorescu, R.; Blaabjerg, F.; , "Improved MPPT
Algorithms for Rapidly Changing Environmental Conditions," Power
Electronics and Motion Control Conference, 2006. EPE-PEMC 2006.
12th International , vol., no., pp.1614-1619, Aug. 30 2006-Sept. 1 2006.
[3] Esram, T.; Chapman, P.L.; , "Comparison of Photovoltaic Array
Maximum Power Point Tracking Techniques," Energy Conversion,
IEEE Transactions on , vol.22, no.2, pp.439-449, June 2007.
[4] Hohm, D.P.; Ropp, M.E.; , "Comparative study of maximum power
point tracking algorithms using an experimental, programmable,
maximum power point tracking test bed," Photovoltaic Specialists
Conference, 2000. Conference Record of the Twenty-Eighth IEEE , vol.,
no., pp.1699-1702, 2000.
[5] Safari, A.; Mekhilef, S.; , "Simulation and Hardware Implementation of
Incremental Conductance MPPT With Direct Control Method Using
Cuk Converter," Industrial Electronics, IEEE Transactions on , vol.58,
no.4, pp.1154-1161, April 2011.
[6] Wolfs, P.; Quan Li; , "A Current-Sensor-Free Incremental Conductance
Single Cell MPPT for High Performance Vehicle Solar Arrays," Power
Electronics Specialists Conference, 2006. PESC '06. 37th IEEE , vol.,
no., pp.1-7, 18-22 June 2006.
[7] Jae Ho Lee; HyunSu Bae; Bo Hyung Cho; , "Advanced Incremental
Conductance MPPT Algorithm with a Variable Step Size," Power
Electronics and Motion Control Conference, 2006. EPE-PEMC 2006.
12th International , vol., no., pp.603-607, Aug. 30 2006-Sept. 1 2006.
[8] F. Liu, S. Duan, F. Liu, B. Liu, and Y. Kang, A variable step size INC
MPPT method for PV systems, IEEE Trans. Ind. Electron., vol. 55, no.
7, pp. 26222628, Jul. 2008.
[9] Azadeh Safari and Saad Mekhilef, Simulation and Hardware
Implementation of Incremental Conductance MPPT With Direct Control
Method Using Cuk Converter, IEEE TRANSACTIONS ON
INDUSTRIAL ELECTRONICS, VOL. 58, NO. 4, APRIL 2011.
[10] Zhou Xuesong; Song Daichun; Ma Youjie; Cheng Deshu; , "The
simulation and design for MPPT of PV system Based on Incremental
Conductance Method," Information Engineering (ICIE), 2010 WASE
International Conference on , vol.2, no., pp.314-317, 14-15 Aug. 2010.
[11] Weidong Xiao; Ozog, N.; Dunford, W.G.; , "Topology Study of
Photovoltaic Interface for Maximum Power Point Tracking," Industrial
Electronics, IEEE Transactions on , vol.54, no.3, pp.1696-1704, June
2007.
[12] Young-Hyok Ji; Doo-Yong Jung; Chung-Yuen Won; Byoung-Kuk Lee;
Jin-Wook Kim; , "Maximum power point tracking method for PV array
under partially shaded condition," Energy Conversion Congress and
Exposition, 2009. ECCE 2009. IEEE , vol., no., pp.307-312, 20-24 Sept.
2009.

535

Indirect Field Oriented Control (IFOC) of

Induction Motor Using SVPWM Fed with Zsource Inverter
Ishtiyaque Ahmad and R.K Tripathi, Member, IEEE

Abstract-- In this paper, space vector pulse width modulation

(SVPWM) to control the speed of an induction motor fed with
Z-source inverter is presented. In recent years, the field
oriented control (FOC) of induction motor drive is widely used
in high performance drive system due to its high efficiency, good
power factor and extremely rugged property. The Z-source
inverter is also introduced to the system which employs a unique
LC network to couple the inverter main circuit to the diode
front end. By controlling the shoot-through duty cycle, the Zsource can produce any desired output ac voltage, even greater
than the line voltage. As results, the new Z-source inverter
system provides ride-through capability under voltage sags,
reduces line harmonics, and extends output voltage range.
Keywords Field oriented control (FOC), Induction motor,
Space vector pulse width modulation (SVPWM), Z-source
inverter.

I. INTRODUCTION

dvanced control of induction machines requires an

independent control of magnetic flux and torque as like
in DC-machine. To obtain the characteristics of separately
excited DC motor in induction motors many,
high
performance methods has been introduced like direct torque
control (DTC) and field oriented control (FOC). Field
oriented control of induction motor drive is widely used, due
to its properties like simplicity, high efficiency, extremely
rugged, good power factor and it does not require starting
motor.
Also developments in power electronics and semiconductor
technology have lead improvements in power electronic
systems. Pulse Width Modulation (PWM) variable speed
drives are gaining popularity because of their superior
performance. A PWM schemes are used to obtain variable
voltage and variable frequency supply. The most widely used
PWM schemes for three-phase voltage source inverters are
carrier-based sinusoidal PWM and space vector PWM
(SVPWM). The study of space vector modulation technique

shows that space vector modulation technique utilizes DC bus

voltage more efficiently and generates less harmonic
distortion when compared with Sinusoidal PWM (SPWM)
technique.
Z-source inverter overcomes the problems in the traditional
VSI and CSI. Several control methods for the Z-Source
inverter have been developed since the Z-Source inverter was
proposed in 2002 [1]. The V-source inverter is a buck (stepdown) inverter. For example, Fig.1 illustrates voltages of a 3phase 230 V drive system, where the diode rectifier powered
by the 230V ac line produces about 310V dc, under which
the inverter can only produce a maximum 190V ac in the
linear modulation range. For a 230V motor, the low
obtainable output voltage significantly limits output power
that is proportional to the square of the voltage. This is a very
undesirable situation for many applications where the motor
and drive system has to be oversized [2]. Z-source inverter
utilizes an exclusive Z source network (LC component) to
link the main inverter circuit to the power source (rectifier).
By controlling the shoot-through duty cycle, the inverter
system using IGBTS, produce any desired output ac voltage,
even greater than the line voltage and provide ride- through
capability during voltage sags, reduces the line harmonics,
improves power factor, increases reliability and extends
output voltage range.

M
3 phase
230 Vac

Max190 Vac

310 Vdc
Fig. 1. Traditional variable speed drive system configuration.

Ishtiyaque ahmad, is with the Department of Electrical Engineering, Motilal

Nehru National Institute of Technology, Allahabad-211004, India (e-mail:
ishtiyaque.ahmad@gmail.com).
Dr. R.K Tripathi, is with the Department of Electrical Engineering, Motilal
Nehru National Institute of Technology, Allahabad-211004, India (e-mail:
rktripathi@mnnit.ac.in).

In this paper indirect field oriented control (IFOC) of

induction motor (IM) has been done using SVPWM and Z-

978-1-4673-0455-9/12/$31.00 2012 IEEE

536

source inverter has been used to further boost the performance

of IM drive.
II. INDIRECT FIELD ORIENTED CONTROL
Blascke (1972) first developed the field orientation
method. This is a torque-flux decoupling technique applied to
induction machine control [3]. The FOC technique is a wellestablished and widely used control technique in dealing with
high performance induction motor drives. For induction
motor the current which is coming from stator is a vector sum
of flux producing component and torque producing
component, so if we want decoupled control of torque and
flux we have to find out the flux which is orthogonal to torque
producing component. To achieve this we can use two
methods namely direct field oriented control (DFOC) and
indirect field oriented control (IFOC). In DFOC position of
rotor flux is calculated from the air gap flux vector position,
directly measured by suitable flux sensing devices like Hall
Effect sensor or deduced from integration of back emf. Use of
flux sensing make DFOC expensive and also special
modification of the motor is required to place these flux
sensors. In IFOC position of rotor flux is predicted by means
of a simple expression derived from the model of induction
motor. In Fig.2, the block diagram of the IFOC control
technique for induction motors is shown. To achieve a filed
orientation the current components supplied to the machine
should be oriented as such that to isolate the component of the
stator current, thus producing a flux. Main drawback of IFOC
is that it estimates the angular position of rotor flux vector by
exploring the model of machine, so very sensitive to motor
parameters. In fact an incorrect value of rotor time constant
cause a misalignment between the stator current and rotor
flux and reduces the overall system performance.
Wref.

iqref

PI

idref

PI

Vb

Clarke
Park

(1 1 1)

(0 1 1)

(0 0 0)

V1,T1

(1 0 0)

(0 0 1)

(1 0 1)

Fig. 3. Determination of switching sequences in the three-phase inverter.

Voltage sec balance along a-axis

V T V
1

Cos .T 2 V S T S Cos

Voltage sec balance along b-axis

0 V

Sin .T 2 V s T S Sin

Ts is switching period and also V1=V2=Vdc, where Vdc

is DC voltage applied to three-phase inverter. From above
equation we have:

Space
Vector
PWM

T T
2

Current
model

V2,T2
Vs,Ts

Vdref

ids

(1 1 0)

Va

(0 1 0)

T T

PI
iqs

Vqref
Inverse
Park

we have to sample the rotating reference voltage vector space

Vs at high sampling frequency or low sampling period.
Consider sector 1 in Fig.3, bounded by Vectors 100, 110 and
the null vectors 000 and 111 and vector Vs within this sector.

V
V
S

2
Sin (60 )
3

S
dc

V
V

s
dc

Also we have:
ia ib ic

2
Sin
3

T T T T
s

Therefore switching time duration for zero state is

T T T T
0

Motor

Knowing the values of T1 and T2 we can construct a

symmetrical switching pattern for two consecutive periods of
T0, as shown in Fig.4.

Wm
Fig. 2. Basic IFOC scheme.

III. SPACE VECTOR PULSE WIDTH MODULATION

Currently, the SVPWM technique for the three-phase
inverters proposed by Broeck [4] is normally used in the
vector control of three-phase ac motors. There are eight
switching states: six active states and two zero states in the
three-phase inverter. Eight space vectors can be represented
as a complex-vector as shown in Fig.3. To generate SVPWM
537

T0/2 T1

T2

T0/2

T0/2

T1

Boost factor for the Z-source inverter described in [1] is given

by:

T1 T0/2

S1

S3

T
1 2
T

1
S

where T is the time interval for shoot-through state, during a

switching cycle Ts.
By operating Z-source in boost mode we can make DC
link voltage up to 350-360V dc under which the inverter can
produce 220230V ac in the linear modulation range for a
230V motor, which help in operating the motor at improved
efficiency and harmonics. Main circuit configuration of Zsource inverter along with three phase supply and induction
motor is shown in Fig.6

S5
Ts

Ts

Fig. 4. Space voltage vectors and a reference vector

IV. Z-SOURCE INVERTER

Z-source inverter employs a unique impedance network (or
circuit) to couple the converter main circuit to the power
source, load, or another converter, for providing unique
features that cannot be observed in the traditional V and Isource converters where a capacitor and inductor are used
respectively. Fig.5 shows the general Z-source inverter.

L1

C1

DC source
or load

Converter
or
inverter

Z-source

C2

3 phase
230 Vac

M
220-230 Vac

L1
L2

C1

C2

DC

To DC or AC
load or
source

350-360 Vdc
Fig. 6. Main circuit configuration of Z-source inverter.

V. CONTROL STRATEGY

L2
Fig. 5. A general structure of the Z-source inverter.

Z-source inverter has nine permissible switching states

(vectors). The traditional three-phase V-source inverter has
six active vectors when the dc voltage is impressed across the
load and two zero vectors when the load terminals are shorted
through either the lower or upper three devices, respectively.
However, the 3-phase Z-source inverter bridge has one extra
zero state (or vector) when the load terminals are shorted
through both the upper and lower devices of any one phase
leg (i.e., both devices are gated on), any two phase legs, or all
three phase legs. This shoot-through zero state (or vector) is
forbidden in the traditional V-source inverter, because it
would cause a shoot-through. The Z-source network makes
the shoot-through zero state possible. This shoot-through zero
state provides the unique buck-boost feature to the inverter.

To obtain the voltage boost at DC link, the shoot-through

states are required to be inserted. These shoot-through states
will be distributed evenly into the switching period. One of
the control schemes to introduce shoot-through is shown in
Fig.7. We can control the shoot-through time interval by
controlling the value of D and D. Waveform for two different
values of D is shown in the Fig.8.

538

Fig. 7. Control scheme to produce shoot-through.

Fig. 8. Pulses without shoot-through.

Fig. 8. Pulses with shoot-through state with D = .8 and .5 respectively.

VI. SIMULATION RESULTS

Simulations have been carried out to confirm the operating
principle of the proposed system. The simulation parameters
are as follows:
1) three-phase line voltage: 230V,
2) Load: three-phase 230V 25 HP induction motor;
3) Input capacitors ( Ca, Cb and Cc):=10uF ;
4) Z-source network: L1& L2=160uH and C1&C2=1000uF;

5) Switching frequency: 10 kHz.

The simulation is done using MATLAB and the results are
presented. System is modelled to track the speed of 100 RPM.
Fig.7 shows the simulink model of proposed system and fig.8
shows the IFOC mode.

Fig. 9. Simulink model of proposed system.

539

Fig. 10. IFOC model.

VII. CONCLUSION
Z-source inverter fed Induction motor drive is modelled
and simulated using MATLAB/SIMULINK. The results of Zsource inverter fed induction motor drive systems are
presented. It is observed that the by shoot-through operation
DC-link voltage has been increased upto 360 Vdc so that
inverter can produce 220-230 Vac for 230V induction motor
drives to improves its efficiency and performance.
VIII. REFERENCES
[1]

Fig. 11. Boosted DC link voltage.

[2]

[3]

[4]

[5]

Fig. 11. Speed response of simulated IM drive.

[6]

[7]

[8]

Fig. 12. Z-source inverter Voltage and stator current response.

540

Fang Zheng Peng, Z source inverter, IEEE Trans. Ind.

Applications.,Vol 39, No 2,pp 504-510, March/April 2003.
Fang Zheng Peng, 2003. Xiamoing yuvan, Xupeng Fang, Zhaoiming qian,
z-source inverter for adjustable speed drives, proc. Of IEEE letter, 1(2):
33-35.
S. Peresada, A. Tonielli, and R. Morici, High- Performance Indirect FieldOriented Output- Feedback Control of Induction Motors, Elsevier
Science, S. Peresada et al./ Automatica, vol. 35, pp. 1033-1047, 1999.
H. W. van der Broeck, H. C. Skudelny, and G. Stanke, Analysis and
realization of a pulsewidth modulator based on voltage space
vectors,IEEE Trans. Ind. Applicat., vol. 24, pp. 142150, Jan./Feb.
1988.
P. C. Loh, D. M. Vilathgamuwa, Y. S. Lai, G. T. Chua and Y. W. Li,
Pulse-width modulation of Z-source inverters, IEEE Trans. Power
Electron., Vol. 20, No. 6, Nov. 2005, pp. 13461355.
A. M. Hava, R. J. Kerman, Simple analytical and graphical methods for
carrier based PWM-VSI drives, IEEE Transactions on Power Electronics,
Vol. 14, Jan 1999, pp. 49-61.
F. Z. Peng, M. Shen, and Z. Qian, Maximum boost control of the Zsource
inverter, IEEE Trans. Power Electron., vol. 20, no. 4, pp. 833838,
Jul./Aug. 2005.
Tran-Quang Vinh, Tae-Won Chun, Jung-Ryol Ahn and Hong-Hee Lee.
2007. Algorithms for Controlling Both the DC Boost and AC Output
Voltage of the. Z-Source Inverter. IEEE Trans. Industrial Electronics.
54(5): 2745-2750.

Simulation of Variable Incremental

Conductance Method with Direct Control
Method Using Boost Converter
Himanshu Kumar, and Dr. R.K. Tripathi, Member, IEEE

A. MPPT Methods

Abstract--This paper presents simulation of variable

incremental conductance (IncCond) maximum power point
tracking (MPPT) used in solar array power systems with direct
control method [1]. The main difference of the proposed method
to existing MPPT methods is the elimination of proportionalintegral control loop and investigating the results. The
incremental conductance (INC) algorithm is widely used due to
the high tracking accuracy at steady state and good adaptability
to the rapidly changing atmospheric conditions. A variable step
size INC MPPT algorithm is proposed, which automatically
adjusts the step size to track the PV array maximum power
point. The proposed method was tested in MATLAB/SIMULINK
environment. Results indicate the feasibility and improved
functionality of the system.
Index Terms--Direct control method, incremental conductance
method (INcCond), maximum power point tracking (MPPT).

I. INTRODUCTION

ENEWABLE energy generation has experienced consistent growth in the last two decades, motivated by
concerns of climate change and high oil prices, and supported
by renewable energy legislation and incentives, with a close to
$150 billion investment in 2007 [2]. The 2.6GW installed
capacity in 2007 implies an increase of more than 50%
compared to the previous year and has lead to a total
capacityof 7.8GW photovoltaic power worldwide [3].
The photovoltaic modules are made up of silicon cells. The
silicon solar cells which give output voltage of around 0.7V
under open circuit condition. When many such cells are
connected in series we get a solar PV module. Normally in a
module there are 36 cells which amount for a open circuit
voltage of about 20V. The current rating of the modules
depends on the area of the individual cells. Higher the cell
area high is the current output of the cell.

Himanshu Kumar and Dr. R. K. Tripathi are with the Department of

Electrical Engineering, Motilal Nehru National Institute of Technology,
Allahabad-211004, India (e-mail: rockhami@gmail.com, rktripathi
@mnnit.ac.in).

In recent years, a large number of techniques have been

proposed for tracking the maximum power point (MPP).
Fractional open-circuit voltage and short-circuit current [4]
strategies provide a simple and effective way to acquire the
maximum power. However, they require periodical
disconnection or short-circuit of the PV modules to measure
the open-circuit voltage or short-circuit current for reference,
resulting in more power loss. Hill climbing and perturb and
observe (P&O) methods are widely applied in the MPPT
controllers due to their simplicity and easy implementation.
The P&O method involves a perturbation in the operating
voltage of the PV array, while the hill climbing strategy
introduces a perturbation in the duty ratio of the power
converter and is more attractive due to the simplified control
structure. Nevertheless, steady-state oscillations always appear
in both methods due to the perturbation. Thus, the power loss
may be increased. Incremental conductance (INC) method,
which is based on the fact that the slope of the PV array power
versus voltage curve is zero at the MPP, has been proposed to
improve the tracking accuracy and dynamic performance
under rapidly varying conditions. The steady state oscillations
would be eliminated in theory since the derivative of the
power with respect to the voltage vanishes at MPP.The INC
MPPT algorithm usually uses a fixed iteration stepsize, which
is determined by the accuracy and tracking speed requirement.
Thus, the corresponding design should satisfactorily address
the tradeoff between the dynamics and steady state
oscillations.
To solve these problems, a modified INC MPPT with variable
step size is proposed in this paper. The step size is
automatically tuned according to the inherent PV array
characteristics. If the operating point is far from MPP, it
increases the step size which enables a fast tracking ability. If
the operating point is near to the MPP, the step size becomes
very small so that the oscillations are well reduced
contributing to a higher efficiency.
Simulation study has been performed, and the corresponding
results confirm that the proposed method can effectively
improve the dynamic performance and steady state
performance simultaneously.

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541

B. Direct control method

Conventional MPPT systems have two independent control
loops to control the MPPT. The first control loop contains the
MPPT algorithm, and the second one is usually a proportional
(P) or Pintegral (PI) controller. The IncCond method makes
use of instantaneous and IncCond to generate an error signal,
which is zero at the MPP; however, it is not zero at most of the
operating points. The main purpose of the second control loop
is to make the error from MPPs near to zero. Simplicity of
operation, ease of design, inexpensive maintenance, and low
cost made PI controllers very popular in most linear systems.
However, the MPPT system of stand-alone PV is a non linear
control problem due to the nonlinearity nature of PV and
unpredictable environmental conditions, and hence, PIES
controllers do not generally work well.
In this paper PI controller is eliminated and duty cycle is
adjusted directly from the algorithm.

The following general rule is used in the P&O method, in

which the slope of the PV curve at the MPP is equal to zero.

=0

(1)

Equation (1) can be rewritten as follows:

= . +

(2)

And hence

+ .

=0

(3)

which is the basic idea of the IncCond algorithm.

According to the MPPT algorithm, the duty cycle (D) is
calculated. This is the desired duty cycle that the PV module
must operate on the next step.

II. VAR INCO METHOD

Start

The step size for the INC MPPT method is generally fixed.
The power drawn from the PV array with a larger step size
contributes to faster dynamics but excessive steady state
oscillations, resulting in a comparatively low efficiency. This
situation is reversed while the MPPT is running with a smaller
stepsize. Thus, the MPPT with fixed step size should make a
satisfactory tradeoff between the dynamics and oscillations.
Such design dilemma can be solved with variable step size
iteration. The flowchart of the modified variable step size INC
MPPT algorithm is shown in Fig. 1, where the step size of
converter dutycycle iteration is automatically tuned. The PV
output power is employed to directly control the converter
duty cycle, contributing to a simplified control system. Note
that V (k) and I (k) are the PV array output voltage and current
at time k. In addition, D (k) and step are the dutycycle and
change of duty cycle (step size), respectively.

Sample V (k), I (k)

dV= V (k)- V (k-1), dI =I (k)-I (k-1)

Step=N*abs (dP/dV)

No

dV=0

Yes

Yes
D (k)=D (k-1)

Yes
dI/dV=-I/V

dI=0

No

D (k)=D (k-1)

No

Yes

Yes
dI/dV>-I/V

dI>0

No
D (k)=D (k-1)
-Step

The basic block diagram of the proposed scheme is shown in

the Fig. 2.

No

D (k)=D (k-1)
+Step

D (k)=D (k-1)
-Step

D (k)=D (k-1)
+Step

Update V (k-1)=V (k), I (k-1)=I (k)

Return

Fig. 1. Flow chart of variable incremental conductance method.

PV MODULE

BOOST
CONVERTER

LOAD
In Fig 3. is the solar array with output voltage Vo and output
current Io and a variable load RL.
Io

MPPT

Fig. 2. Block diagram of the proposed scheme.

SOLAR ARRAY

Vo

Fig. 3. Block diagram of solar array with variable load.

542

RL

Since the load is variable the output power demand will

change with change in load. As shown in the graph of P vs. V
the value of the power changes from P1 to Pm as voltage
changes from V1 to Vm or vice versa as shown in the Fig. 4. To
achieve the maximum power point (MPPT) load is varied to
finally obtain that point.

1 =

2 =

12

22

12

1 1 =

2 2 =

22

In our condition variable load is replaced by a Boost converter

and a RL load as shown in Fig. 5.
Io

BOOST
CONVERTER

Vi

Vo

RL

(4)
Y

Fig. 5. Boost converter with RL load.

(5)

For ideal condition,

Po= Pi =

(6)
Also,

2 = Vo*Io

Vo= 1

D= 1-

Pm

02

(7)
(8)
(9)

P2

III. SIMULATION RESULTS

P1

V1

V2

Vm

The Simulink model of variable incremental conductance

MPPT is shown in the Fig. 6.To verify the performance of the
proposed variable step size INC MPPT algorithm, a
MATLAB-SIMULINK model of the PV system shown in Fig.
7 is initially developed.

Fig. 4. Power vs. voltage curve of PV array.

Fig. 6. Simulink model of the variable incremental conductance MPPT

543

Fig. 7. Simulink model of the pv system with variable incremental conductance MPPT.

The simulation has been carried out at insolation and

temperature level of 100W/m2, 300 kelvin, respectively. The
variable inco mppt is simulated in the mppt block. Simulaton
is carried out on a resistive load. The sampling time used is
50s with the value of the step size 0.5. Fig. 8 shows the
output current and voltage of PV and Fig. 9 shows the output
voltage of the boost converter. The output current and voltage
across the R load is shown in the Fig. 10. PV output voltage
and current depends upon the insolation and temperature
levels. Fig. 11. shows the PV output current and voltage for
changing insolation with value of 1000, 800 W/m2. Fig. 12.
PV output voltage and power.
Fig. 10. Output current and voltage of R load Vs time.

Fig. 8.PV output current and voltage Vs. time.

Fig. 11. PV output current and voltage for changing insolation.

Fig. 9.Output voltage of the boost converter

Fig. 12. PV output voltage and power for changing insolation.

544

III. CONCLUSION
The design issue of variable step size INC MPPT is discussed
and a simple design rule is proposed.The results of the
simulation indicate that the improved incremental conductance
method with variable step-size has good starting performance
and can track the maximum power point quickly when the
output power of the PV array greatly changes.
IV. REFERENCES
[1]

[2]

[3]

[4]

Safari, A.; Mekhilef, S.; , "Simulation and Hardware Implementation of

Incremental Conductance MPPT With Direct Control Method Using
Cuk Converter," Industrial Electronics, IEEE Transactions on , vol.58,
no.4, pp.1154-1161, April 2011
A . A bete, E .Barbis io, F.Cane, and P. Demartini, Analysis of photovoltaic modules with protection diodes in presence of mismatching, in
Photovoltaic Specialists Conference, 1990., Conference Record of the
Twenty First IEEE, 1990, pp. 10051010 vol. 2.
Trends in photovoltaic applications . Survey report of selected IEA
countries between 1992 and 2005, International Energy Agency,Report
IE A-PVPS Tas k 1 T 1-15:2006, 2006.
J. J. Schoeman and J. D. Wyk, A simplified maximal power
controllerfor terrestrial photovoltaic panel arrays, in Proc. 13th Annu.
IEEE Power Electron. Spec. Conf., 1982, pp. 361367.

545

A Survey on Power-Delay Reduction

Techniques for Ultra-Low-Power Subthreshold
SCL Circuits
Sumit Vyas, and Sanjeev Rai

AbstractIn this paper, we have primarily focused on the

survey of power-delay performance of sub-threshold source
coupled logic (STSCL) and STSCL-SFB (sub-threshold source
coupled logic circuits with a source-follower buffer stage at
output of each SCL gates) circuits. Here the comparisons have
been drawn to derive the performance of STSCL and STSCLSFB circuits in terms of PDP. The power dissipation has been
kept same and the delay has been compared for both the
circuits. Further, the analytical results measured in 180-nm
CMOS technology showed an improvement of delay by a factor
of 3 times. All the circuits have been designed in Cadence
VIRTUOSO environment for simulation purpose.
Index TermsSource-coupled logic (SCL), subthreshold SCL
(STSCL), ultralow-power circuits, weak inversion SCL
(WiSCL).

I. INTRODUCTION
advancement in the CMOS technology has made it
Thepossible
to design a chip for high pacakaging density,fast

power applications such as distributed sensor networks are a

natural fit with sub-threshold circuits. Applications such as
sensor networks [3],[4], wearable mobile systems [1],[5],[6]
and implantable circuits for biological applications [7],
require the implementations of circuits with very low power
consumption as well as low sensitivity to the supply voltage
and its variations [5],[7],[8],[9].
Sub-threshold operation is often synonyms to minimum
energy operation. A sub-threshold digital circuit manages to
satisfy the ultra-low power requirement because it uses the
leakage current as its operating switching current.
Conventional CMOS logic circuits utilizing sub-threshold
transistors can typically operate with a very low power
consumption, which is mainly due to the dynamic (switching)
power consumption and is dependent to the supply voltage as
(where
is the frequency of
operation and indicates the supply voltage). Hence, reducing
the supply voltage will result in reduction of power
dissipation [10], [11] as well as the output logic swing delay
in each gate which means the power dissipation, logic swing,
and speed of operation are tightly related to each other.

performance, and low power consumption. Technology

scaling results in a significant increase of leakage current
reduction of CMOS device. To enable operations at very low
current levels and to achieve the desired performance
specification, special circuit techniques has to be
implemented.
The demand for ultralow-power and low voltage
integrated circuits is making the design of CMOS integrated
circuits in the subthreshold/weak inversion region [1]
increasingly attractive. Sub-threshold operation (where
VDD<VT) is currently used for some low-power applications
such as watches and hearing aids [2]. Emerging ultra-low-

Fig. 1. STSCL buffer (inverter) circuit schematic [2]. M1M4 are biased in the
subthreshold regime.

Sumit Vyas is with the Department of Electronics and Communication

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: sumit.clooney@gmail.com).
Sanjeev Rai is with the Department of Electronics and Communication
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: srai@mnnit.ac.in).

Since the STSCL circuits operate in sub-threshold regime

so the voltages are in range of milivolts and the biasing
current can be as low as 1 pA. This limits the output drive
capability of STSCL gates, which also limits the power-delay
product (PDP) performance as will be shown in the following.

978-1-4673-0455-9/12/$31.00 2012 IEEE

546

This restriction can be easily overcome by using simple

source-follower buffer (SFB) stages, without increasing the
overall power dissipation.
In this paper we have compared the performance of
STSCL circuit and STSCL-SFB circuit in terms of PDP. The
power dissipation of STSCl and STSCL-SFB circuits have
been kept same and delay for different load capacitance have
been compared.
II. STSCL CIRCUIT TOPOLOGY
A. Overview
Fig. 1. shows the topology of an STSCL circuits [1]. Due
to there fully differential topology, source coupled logic
(SCL) circuits exhibits very low sensitivity to supply voltage
and it variations [1]. In mixed mode integrated circuits the
crucial parameters that affect the performance of the digital
system are supply noise and substrate noise. Because of the
differential topology of the SCL circuits, they inject less noise
to the supply and substrate and hence exhibit less cross talk.
These properties make this topology very attractive for highspeed mixed-signal applications [12]. Some recent
developments have shown that it is also possible to use this
topology for ultralow-power applications [1]. Sub-threshold
SCL (STSCL) circuits can operate with a very low bias
current per cell (down to few picoamperes) and still provide
low sensitivity to the supply voltage.
In Fig. 1. transistor M1-M4 are biased in sub-threshold
region and transistor MB can be in saturation region or triode
region depending upon the value of biasing current. To have
a successfull switching event, the voltage swing at the input
and the output of the circuit should be more than VSW >
4.nUT [12], where UT = kT/q (where k is Boltzmanns
constant, T is the junction temperature in kelvins, and q
quotes elementary charge). If this constraints is satisfied, the
circuit shown in Fig. 1. will also show enough gain for
success full logic operation [1].
To maintain the required voltage swing at very low trail
bias current it is necessary to increase the load resistance in
inverse proportion to the reducing trail bias current. In subthreshold region, the trail bias current would be in the order
of few pA or even less. Therefore, to obtain a required output
voltage swing, the load resistance should be of the order of
few G. The load resistance should occupy a small area and
should exhibits good controllability to be able to adjust its
resistivity with respect to tail bias current. In Fig. 1., pchannel metal-oxide-semiconductor (PMOS) transistors with
shorted drain-bulk terminal have been used to implement the
high resistance load device. For a very low bias current values
the PMOS transistors operate in the sub-threshold regime.
When the source-drain voltage of these devise is low, they
will be in linear region. For higher source-drain voltages, the
PMOS load device enters in the saturation region. In this case
the threshold voltage depends on VSD. Hence the device
exhibits lower output resistance, compared to the case when
the source terminal is shorted to the bulk of the device. In this
way linearity region of the bulk device will increase. Using
small-sized PMOS device, this structure can be used to

implement very high value resistance with a relatively high

voltage swing at the output. A replica bias circuit can be used
to control the resistance of the load device and hence adjust
the output voltage swing with respect to the tail bias current
[1].
B. PDP Performance
There is no static power consumption in CMOS gates
(neglecting the leakage current), whereas, each STSCL gate
draws a constant bias current of ISS from a supply source (Fig.
2). Therefore, the power consumption of each STSCL gate
can be calculated by
Pdiss = VDD.ISS.

(1)

The time constant at the output node of each STSCL gate,

i.e.,
=RL.CL(VSW/ISS)CL

(2)

is the main speed-limiting factor in this topology (CL is the

total output loading capacitance). One can choose the proper
ISS value to operate at the desired frequency [8]. This circuit
exhibits a very low sensitivity to the process variations
because the power consumption and delay of each gate only
depend on ISS, which can very precisely be controlled.
Meanwhile, it is not necessary to use special process options
to have low threshold voltage devices, as frequently used for
static CMOS [1], [13], [14]. Therefore, it is necessary to use
the STSCL circuits at their maximum activity rate to achieve
the maximum achievable efficiency. The gate delay varies
linearly with the tail bias current and does not depend on the
supply voltage. This property can be exploited for
applications in which the supply can vary during the
operation. Based on (1) and (2), the powerdelay product
(PDP) of each gate can be approximately calculated by
PDP ln2VDD.VSW.CL
(3)
It is important to note that the delay of a logic block can be
controlled without influencing PDP as the delay of STSCL
gate depends on trail bias current (ISS), but not on supply
voltage VDD. Since the PDP of STSCL circuit is independent
of frequency of operation so it should be use at its maximum
frequency to achieve maximum efficiency.

III. PERFORMANCE IMPROVEMENT USING BUFFERS

In standard cell based design each gate type can be
designed in several versions to provide adequate driving
capability for different fan out. For example, inverter can
have double size, quadruple size and so on, so that the chip
designer can choose the proper size to achieve higher circuit
speed and layout density. Implementing a complex digital
system using STSCL topology, it is necessary to build a
library of different logic functions with different driving
strengths. Meanwhile, to construct logic cells with different
driving strengths, the tail bias current of each cell and the
size of the PMOS load devices must be scaled. This scaling

547

needs to be proportional to the required driving strength,

which will scale the power consumption and also the cell area
proportional to the driving strength. Therefore, to achieve a
larger driving strength, each cell will have to occupy more
area that will reduce the power efficiency of the gate because
of increased parasitic capacitances.
.
A. STSCL-SFB Topology
Fig. 2. shows STSCL-SFB topology. To avoid scaling,
the area of each cell proportional to the driving strength
each STSCL gate uses a pair of simple SBFs, one at each
of its two complementary outputs. The source follower
buffer senses the signal at gate and drives the load at
source, allowing the source potential to follow the gate
voltage. The added out-put buffer will isolate the load
capacitance from the core SCL gate. The SFB can handle
large and some times variable capacitive loads. Since the
output impedance of the SFB (1/gm6) is very low,
compared to the output impedance of the SCL gate RL, an
improvement in the total gate speed is expected. The load
capacitance is driven by the output buffer so it is sufficient
to have different output buffer stages to achieve different
driving strengths. The size of PMOS load devices can be
kept unchanged and the biasing current can be kept
constant. This means that the core SCL gate does not need
to be scaled and that the area and the power consumption
of this part will remain unchanged for different driving
strengths. To scale the driving capability of the output
buffer, it is necessary to scale the tail bias current of the
output stage only [i.e., scaling IB in Fig. 2]. The commondrain transistors are biased in the sub-threshold, their
sizes can be kept unchanged whereas N can be changed to
achieve different driving current IB to achieve different
driving strengths. So the only modification is changing
the size of the tail bias transistors at the output buffer
stages. Therefore it is sufficient to design simple logic
cells and provide the required driving strength by using
different SFB stages.

Fig. 3. Design of standard library cell with different driving strength based on
the STSCL-SFB topology.

TABLE I
SIMULATION RESULTS

Delay
SCSTL-SFB topology (sec)

CL[Ff]
1
10
15
20
50
100
250
500
750
1000

i = 0.25
0.120
0.178
0.212
0.244
0.399
0.601
1.170
2.109
3.076
4.028

i = 0.33
0.095
0.710
0.208
0.242
0.402
0.621
1.230
2.260
3.310
4.340

i = 0.5
0.038
0.610
0.206
0.239
0.405
0.640
1.310
2.440
3.570
4.720

SCSTL
topology
(sec)

0.035
0.154
0.220
0.287
0.685
1.346
3.298
6.570
9.900
13.10

TABLE II
SIMULATION RESULTS

Delay Ratio
d[sec/sec] = (Delay of STSCL/Delay of
SCSTL-SFB) topology
CL[fF]
1
10
15
20
50
100
250
500
750
1000

Fig. 2. Generic STSCL gate uses an SFB at the output (STSCL-SFB) to

improve the PDP of the gate.

548

i= 0.25
0.310
0.865
1.040
1.170
1.710
2.240
2.820
3.110
3.210
3.250

i= 0.33
0.374
0.900
1.060
1.180
1.700
2.170
2.680
2.900
2.990
3.010

i= 0.5
0.420
0.920
1.060
1.190
1.690
2.100
2.520
2.680
2.770
2.770

TABLE III
SIMULATION RESULTS

CM=5fF

Delay
SCSTL-SFB topology (sec)

CL[Ff]

i = 0.25

i = 0.33

i = 0.5

1
10
15
20
50
100
250
500
750
1000

0.427
0.471
0.512
0.551
0.775
1.090
1.824
2.800
3.780
4.720

0.353
0.411
0.458
0.502
0.753
1.088
1.850
2.940
3.960
4.990

0.295
0.371
0.428
0.475
0.736
1.073
1.870
3.000
4.130
5.250

SCSTL
topology
(sec)

0.035
0.154
0.220
0.287
0.685
1.346
3.298
6.570
9.900
13.10

TABLE IV

Fig. 4. Delay ratio (d) vs CL Graph for different values of i (CM=5fF)

(ISS = 15 nA)

SIMULATION RESULTS

CM=5fF

CL[fF]
1
10
15
20
50
100
250
500
750
1000

Delay Ratio
d[sec/sec] = (Delay of STSCL/Delay of
SCSTL-SFB) topology
i= 0.25
0.080
0.320
0.429
0.520
0.880
1.233
1.800
2.340
2.610
2.770

i= 0.33
0.100
0.370
0.479
0.570
0.910
1.237
1.780
2.230
2.500
2.620

B. Performance Analysis
The output load capacitance seen by any gate in a complex
design is generally due to the interconnections and can be as
high as hundreds of fentofarads in the considered technology.
The output load capacitance CL is due to the device parasitic
capacitances such as the capacitance of n-well to p-substrate
reverse bias diode (Cd) and wiring capacitances related to
interconnection (CW). In this case, using a simple buffer stage
can considerably relax the power-delay tradeoff in the SCL
circuits. As shown in Fig. 2, the output capacitance for SCL
core is due to M1M3 and M2M4, and the input capacitance
of the buffer stage (this capacitance is composed of the gate
drain overlap capacitance and the gatesource contribution of
M5M6; hence, it can be very low), so SCL stage drives this
capacitance. The output load capacitance is driven by SFB
stage. Operating at very low bias currents, the size of the
devices used in the SFB can be kept small, so the output stage
would have a very small loading effect on the STSCL core.
Therefore, the dominant time constant at the circuit topology
shown in Fig. 2 is expected to be at the output node, i.e.,

i= 0.5
0.120
0.415
0.513
0.600
0.930
1.254
1.760
2.190
2.390
2.490

SFBCL/gm6

Fig. 3. Total delay improvement using the SFB at the output of the STSCL
circuit in equal total power consumption based on transistor-level simulations.
Data points with a delay ratio of larger than unity represent delay improvement
(reduction). (ISS = 15 nA).

(4)

which is valid for small signal variations. In a real case, when

the output swing is on the order of several hundreds of
milivolts, however, this equation will no longer be valid.
Indeed, at each rising edge, more current will flow into the
proposed common-source device. In this case, the time
constant of the node would even be smaller than the value
predicted in (4). On the other hand, for falling transitions, the
common-source transistor will be turned off, and the only
path for discharging the output node will be IB. Therefore, the

549

output will slow down with a slope of IB/CL. This means that
the improvement predicted by (6) can be expected only at the
rising edges. Neglecting the delay of the STSCL core and
assuming typical conditions (e.g., VSW = 200 mV and room
temperature), it can be shown that the slew mode will
increase the total delay to [14]
td,SFB1.6SFB.
(5)
Here, it is assumed that M5 and M6 will very quickly turn off
at the falling edges [14]. This assumption can be acceptable
when the time constant at the output of the STSCL gate is
much less than the time constant at the output of the SFB
stage.
Including the delay of the STSCL core to the total delay
and assuming that td,STSCLSFB td,STSCL + td,SFB, it can be
shown that the delay improvement (reduction) ratio is

improvements on the PDP can be as high as approximately a

factor of 3, using 0.18m CMOS technology.
V. REFRENCES
[1]

[2]

[3]

[4]

[5]

[6]

where CM is the total parasitic capacitance at the output of the

SCL stage, as shown in Fig. 2; RL1 = VSW/(ISS,C + 2IB) is the
load resistance of a simple STSCL gate; and RL2=
VSW/(ISS,C) is the load resistance of the SCL core in Fig. 2.
Replacing gm6 = IB/(nUT ), then

[7]
[8]

[9]

[10]

in which c = CM/CL and i = ISS,C/(2IB) [see Fig. 3].Here, it

is assumed that the total bias current in both topologies are
equal, i.e., ISS = ISS,C + 2IB. This equation also implies that,
by properly choosing I with respect to C, it is possible to
achieve a balanced design for different load capacitance. It is
also interesting to notice that, for very large load capacitance
values, the delay improvement factor can be as high as
d3.25/(1 + I ) 3.25. Therefore, using SFBs, it is possible
to reduce the delay (or PDP) of the STSCL circuits by a factor
of approximately 3.25 with the same amount of power. Fig. 3.
shows the total delay improvement using the SFB stage at the
output of the STSCL gates, compared to the simple STSCL
gate, under the assumption that both circuit solutions are
dissipating the same amount of power. The comparison is
shown for different load capacitances and different ratios of
the bias currents between the core and buffers. For low load
capacitances (less than 15 fF), the simple STSCL gate
without the SFB stage shows smaller total delay. However, as
the load capacitance increases, the topology shown in Fig. 2.
exhibits less delay, compared to the simple STSCL gate. In
complex digital systems, where the output load is dominated
by interconnect capacitance, an improvement in the PDP by a
factor of more than 2 can be observed.

[11]

[12]

[13]

[14]

IV. CONCLUSION
It is shown that the PDP of the SCL circuits can be
improved by utilizing an output SFB stage. The measurement
result shows that the STSCL-SFB
topology provides

550

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Finite impulse response single and double notch

filter design with narrow rejection bandwidth
Anita Kodap and Amit Dhawan ,Member IEEE

Abstract This paper presents a method for design of single

and double notch finite impulse response (FIR) filter using
prototype of second order infinite impulse response (IIR) filter.
The length of FIR filter is selected on the basis of location of
zeros in the unit circle. Further, the concept of amplitude
change function (ACF) is used to reduce the rejection
bandwidth (RBW). Pole radius selection is also suggested for
reducing the error of response.

II. DESIGN
For a good filter response we have designed FIR filter
using second order IIR filter prototype. Consider an IIR
second order Notch filter is given by

Index Terms-- FIR notch filter, amplitude change function,

rejection bandwidth, IIR prototype, pole radius.

equation (1) can be written as

I. INTRODUCTION

1 2
1 2 cos w0 z z
1 2 2
1 2 cos w0 z r z

H 0 ( z ) b0 H01( z ) H02 ( z )

where

A notch filter passes all frequencies except those in a stop

band centered on a center frequency. Notch filters have been
an effective means for eliminating narrowband or sinusoidal
interferences in certain signal processing applications ranging
from power line interference cancelation, for biomedical, for
communication and for removal of corrupted images in signal
processing. A notch filter can be of IIR or FIR type , both the
type have their own importance, IIR filters computational
efficiency and relatively short time delay makes it desirable
and FIR filters are inherently stable and offer great control
over filter shaping and linear phase performance, so they are
preferred over IIR.
A number of design approaches are available in the literature
for finite or infinite impulse response notch filter[1-14]. In
this paper we concern our self with the design of FIR single
and double notch filter, with suitable filter length and pole
radius to reduce the error of response and rejection bandwidth
of the filter. Rejection bandwidth (RBW) is an important
parameter in a notch filter ,RBW is a distance from 3 db
points on the response. design a notch filter with minimum
bandwidth is given in [1] and to reduce it further we apply
amplitude change function on filter which is also shown in [1,
6]. In this paper we have chosen a ACF (turkey twicing
function) for the best filter response. In [1-3] formulas and
equations for computing the coefficients of response were
arrived and some mathematical manipulations are done to
convert a single notch in double notch filter and further more
we have introduce the unit circle stability criteria to choose
the length of the filter to minimize error in filter response.

Authors are with the Department of Electronics & Communication

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004,India.(e- ail:anitakodap028@gmail.com,amit_dhawan@rediffmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

H 0 z b0

H 01( z ) 1 2 cos( w0 ) z

H 02 ( z ) 1 1 az

(2)

and
bz

(1)

(2a)

(2b)

now on expanding equation (2b) we get

2
2
3
3
H 02 ( z ) 1 az (a b ) z (a 2ab )z
+
4

( a 3a b b ) z

3
2 5
( a 4a b 3ab ) z ......

(3)

equation (3) can be written in the form of

i
H 02 ( z ) b2 (i )z
i 0

(3a)

where
i /2

b2 (i ) ( 1)
m0

(i m)!

i ! i 2 * m !

(i 2 m ) m
b

(4)

now on putting the value of eqn. (2a) and (3a) in (2)

H 0 ( z ) bo(1 2 cos w0 z

2
i
) b2 (i )z
i 0

(5)

which is written as

i
H 0 ( z ) D0 (i )z
i 0

(6)

on truncating equation (6)

l
i
H1 ( z ) D0 (i )z
i 0

(7)

The value of D0 is given below

D0 (i ) b2 (i ) 2 cos w0b2 (i 1) b2 (i 2)

(8)

i = 2,3,......l
where
D0(0) = b2(0)

551

(9a)

and
D0(1)=(-2cosw0)b2(0)+b2(1)

(9b)

All the design weight D0(i) can be computed from (4) and
(9) and the frequency response h(ejw) [1] determined by
proper selection of filter length l and pole radius r where
w0 is notch frequency. For filter length 50 and notch
frequency w0 1.8*pi and pole radius .85, frequency response
shown in fig.1

Imaginary Part

0.5

100

-0.5

-1

-1.5

|H(jw)|

-0.5

0
Real Part

0.5

1.5

Figure 3 Pole zero plot of FIR notch filter

III. SELECTION OF POLE RADIUS

0.8

fir notch filter

w=1.8 rad
pole radius = .85
filter lenght 30

0.6

0.4

Rejection bandwidth and error of response of notch filter

can be reduced by proper selection of pole radius, and a
comparison has been made shown table 1 with various pole
length and rejection bandwidth. The result of this comparison
is that if the pole length is near to unity its rejection
bandwidth is less but oscillation occurred in stop band so we
have chosen pole radius .85 to make filter response
oscillations free, and the comparison responses with various
pole radius are also shown in figure 4.

0.2

-1

0.5

1.5

2
2.5
3
3.5
frequency w in radians

4.5

Figure 1 Frequency response of FIR Notch filter using IIR prototype.

Pole zero plot for the given filter length 50 and pole radius
.85 is also shown in figure 2 which shows stable filter
response as all zeros are inside unit circle.

TABLE 1
EFFECT ON REJECTION BANDWIDTH BY VARIOUS VALUE OF POLE
RADIUS

various pole radius

r = .85
r = .90
r =.95

1
0.8
0.6
0.4

Rejection bandwidth
2.533
1.86
1.33

0.2
30

0
-0.2

1.5
-0.4
-0.6
-0.8
-1
-1

-0.5

0.5

|H(jw)|

Figure 2 pole zero plot of FIR Noth filter

For the higher filter length l= 100 and pole radius r=.85
the pole zero response figure 3 shows that the filter response
with higher filter length is not stable as zeros of filter lies
outside unit circle, so we can say that a proper selection of
filter length is necessary and so that we have design our filter
by taking filter length 50.

fir notch filter response r = .85

fir notch filter response r = .90
fir notch filter response r = .95

0.5

4
5
frequency w radian

Figure 4 Comparison Frequency response of FIR Notch Filte using various r

Thus we can see in figure 4 that at pole radius .85 the filter
response is stable and rejection bandwidth is also less, which
is desirable.

552

tukeys twicing function Filter odder and amplitude is also

doubled and it reduces RBW to half of its value.

IV. AMPLITUDE CHANGE FUNCTION

In the above filter response figure (4) it is shown that if
pole radius r tends to unity, rejection bandwidth of filter is
reduced means filter become narrower. But there is
oscillations in pass-band, means errors occurs in filter
response which is not desirable thats why we dont use pole
radius .95 or .90. Hence to make the response sharpen
without change in pole radius we apply amplitude change
function (ACF) on the FIR filter. Different type of ACF can
be constructed using polynomial approach, based on nth order
tangency at w = 0 and mth order tangency at w = . The
polynomial given as
H out H

n1

4
3.5

|H(jw)|

n1

2.5
2
1.5

m ( n k )!
k
(f)
[1 H ( f )]
k 0 n ! k !

1
0.5

(10)
H

Filter response with repeated ACF

Filter response with first ACF

4.5

m
k
( f ) C (n k , k ) H ( f )
k 0

0.5

C (n k , k ) is the binomial coefficient, For the case m=n the

Tukeys
Twicing
Method

4.5

TABLE 3
Value of RBW with respect to ACF

Amplitude change function

Amplitude
change
function
H(z)*(2-H(z))

Tukeys twicing function

Repeated use of ACF

Reduction
bandwidth
2.1
1.4

V. DOUBLE NOTCH FILTER

after applying tukeys twicing function, the filter response is

shown in figure 5

Single notch filter is useful where only one frequency

elimination is required but if two or more frequency is needs
to be eliminated double notch or multi notch filter is required.
The design procedure of double notch filter is as given below.
Two FIR notch filter are given as

2.5

l
H1( z ) D1 (i )z i
i 0

(11)

l
i
H 2 ( z ) D2 (i )z
i 0

(12)

and

|H(jw)|

1.5

now the equation of double notch filter is given as

H3 ( z ) H2 ( z) H1 ( z)

FIR Notch Filter response

after applying tukey's twicing
function

2l
i
H 3 ( z ) D3 (i )z
i 0
i
D3 (i ) D1 ( j ) D2 (i j )
j 0

0.5

2
2.5
3
3.5
frequency w in radians

The value of rejection bandwidth with ACF and regulated

ACF is given

TABLE 2
AMPLITUDE CHANGE FUNCTION

n=m

1.5

Figure 6 Comparison response of FIR Filter for ACF and repeated ACF

ACF is

Function
number

0.5

1.5

2
2.5
3
3.5
frequency w in radians

4.5

(13)
(14)

where i=0,1,2l

Figure 5 Frequency response of FIR Notch filter using IIR prototype.

The ACF can be used in regulated rejection bandwidth

application by applying the same ACF again on fir filter. The
comparison response of ACF and repeated ACF is shown in
figure 6 in which it is shown that each time we apply the

(15)

l
D3 (l i ) D1 (l i j) D2 ( j)
j i

i=1,2,l

(16)

Thus we can calculate the weight D3 using equation 15 and

16. The rejection bandwidth for both the Notch is same and

553

filter order l is doubled to value2l.the value of pole radius

is 0.85, the response of double notch FIR filter is shown in
figure 7.

[8]
[9]

[10]
1.4

[11]

FIR double
Notch filter

1.2

[12]
IH(ejw)I magnitude

[13]
0.8

0.6

0.4

0.2

4
5
6
frequency in radians

Figure 7 FIR Filter with double Notch frequency

V. IMPROVEMENT OVER EXISTING METHOD

Improvement over existing method in this paper is , that in
previous methods there was not such a method is given to
choose filter order to get error free Notch Filter response. But
now we can choose the filter order for a error less filter
response by checking its stability using unit circle analysis.
And double notch filter of FIR Filter using IIR Filter
prototype is shown which is not given in previous literature.
VI. CONCLUSIONS
In this paper, we have presented a method for design of
single and double notch FIR filter using prototype of second
order IIR filter, where the length of the filter is selected on
the basis of the location of zeros in unit circle. A method of
reduced RBW is discussed using the concept of ACF. Further,
it is shown that the error of response can be reduced by proper
selection of pole radius.
VII. REFERENCES
[1]

[2]
[3]

[4]

[5]

[6]

[7]

R. DESHPANDE, B KUMAR, S.B.JAIN. Highly Narrow Rejection

Bandwidth Finite Impulse Response Notch Filter For Communication
,IET commun., 2010,vol. 4
DUTTA ROY S.C., JAIN S.B., KUMAR B.: Design of digital FIR ,notch
filters, IEE Proc.Vis. Image Signal Process., 1994,141, (5), pp. 334338
ROHINI DESHPANDE, B KUMAR, S.B. JAIN.Special FIR and IIR BI
Notch Filetrs, 978-0-7695-3845-7/09 $25.00 2009 IEEE
DOI10.1109/ART Com.2009.49
MACPHERSON K.N., STEWART R.W.: Area efficient FIR filters for
high speed FPGA I implementation, IEE Proc. Vis. Image Signal Process.,
2006, 153, (6), pp. 711720
LIU J.C., YOU S.J.:Weighted least squares near equiripple approximation
of variable fractional delay FIR filters, IET Signal Process., 2007, 1, (2),
pp. 6672.
DESHPANDE R., KUMAR B., JAIN S.B.: Design of maximally flat,
linear phase FIR notch filter with controlled null width,Signal Process.,
2008, 88, (10), pp. 25842592..
ZAHRADNIK P., VLCEK M.: Fast analytical design algorithms for FIR
notch filters, IEEE Trans. Circuits Syst., 2004, 51,(3), pp. 608623.

554

DUTTA ROY S.C., KUMAR B., JAIN S.B.: FIR notch filter design a
review, Facta Univ., Ser. Electron. Energetics, 2001, 14,(3), pp. 295327.
VLCEK M., ZAHRADNIK P.: Digital multiple notch filter performance.
Proc. 15th European Conf. on Circuit Theory Design ECCTD01, August
2001, pp. 4952.
DUTTA ROY S.C., JAIN S.B., KUMAR B.: Design of digital FIR notch.
Filters from second order IIR Prototype, IETE J. Res., 1997, 43, (4), pp.
275279.
JOSHI Y.V., DUTTA ROY S.C.: Design of IIR digital notch filters,
Circuits Syst. Signal Process., 1997, 16, (4), pp. 415427.
YU T.H., MITRA S.K., BABIC H.: Design of linear phase FIR notch
filters, Sadhana, 1990, 15, (3), pp. 133155.
HIRANO K., NISHIMURA S., MITRA S.K.: Design of digital notch
filters, IEEE Trans. Circuits Syst., 1974, CAS-21, pp. 540546.

Fuel Cell connected to Grid through Inverter

Kanhu Charan Bhuyan, Sumit Kumar Sao and Kamalakanta Mahapatra.

Abstract Fuel cell systems are enhancing due to interest to

supply electricity in remote areas as well as distributed power
generation especially during the peak loads. Fuel cell generation
becomes popular due to cleanliness, portability and suitability
for electricity and heat generation. This paper presents the
modeling of a fuel cell power plant (FCPP) in terms of fuel cell,
dc-dc converter, dc-ac inverter and power system parameters, to
interface with loads or grid. The control strategy of this model is
hysteresis current controller (HCC). HCC is used to generate
inverter
switch
pulse
for
the
ac
grid
voltage.
MATLAB/SIMULINK is used to validate the modeling and
simulation of fuel cell generation and power conditioning unit.
The proposed control strategy makes the distribution generation
system work properly when the voltage disturbance occurs in
the distribution system.
Keywords- FCPP, Fuel cell(FC), HCC and Distribution

System.
I. INTRODUCTION
Energy is one of the major requirements for the
development of a country. The ever-demanding energy
requirement needs huge investments to meet the demands.
As the need for energy is briskly escalating, the energy
resources which are limited may not be sufficient to sustain
the process of economic development. The energy
requirement must be met through safe, clean and convenient
forms of energy, at least cost in a technically efficient,
economically viable and environmentally sustainable manner
[1].
Fuel cells are electrochemical devices which converts the
chemical energy to dc electrical energy via electrochemical
reactions. There are five kinds of fuel cells currently being
investigated for the use in industry: 1) proton exchange
membrane fuel cell (PEMFC), 2) solid oxide fuel cell
(SOFC), 3) molten carbonate fuel cell (MCFC), 4) phosphoric
acid fuel cell (PAFC), 5) aqueous alkaline fuel cell (AAFC).
Among these, PEMFC is being considered and developed as
the primary source in the movable power supplies and
distribution generation, because of its high energy density,
low working temperature and firm yet simple structure. The
Kanhu Charan Bhuyan, Research Scholar, Department of Electronics and
Communication Engineering, National Institute of Technology, Rourkela, India769008.( Email: kanhu2006@gmail.com)
Sumit Kumar Sao, M-Tech in VLSI Design and Embedded Systems,
Department of Electronics and Communication Engineering, National Institute
of Technology, Rourkela, India-769008. (Email: sumitkumarsao@gmail.com)
Kamalakanta Mahapatra, Professor, Department of Electronics and
Communications Engineering, National Institute of Technology, Rourkela,
India-769008. (Email: kkm@nitrkl.ac.in)

main characteristics of PEMFC stacks are: a) they produce

water as residue, b)they have high efficiency when compared
to thermal generations; c) they operate at low temperature
(up to 900 C), which allows a fast start-up; and d) they use a
solid polymer as the electrolyte which reduces concerns
related to construction, transportation and safety.
An FC based power system mainly consists of a fuel
processing unit (reformer), fuel cell stack and power
conditioning unit (PCU).The PEMFCs are being rapidly
developed as the primary source for both stand-alone as well
as grid connected applications. The PEMFCs use hydrogen
and oxygen as input fuel and produce dc power at the output
of the stack. The characteristics of the stack are presented
through polarization curve; this curve depicts relation
between stack terminal voltage and load current drawn from
that stack. The cell voltage decreases almost linearly as the
load current increases. Therefore, the output voltage should
be regulated at a desired value. To keep the polarization
characteristics at constant level, additional parameters such as
cell temperature, air pressure, oxygen partial pressure and
membrane humidity also needs to be controlled [1 ], [2].
Power electronic interfacing circuit is called power
conditioning unit. It is necessary for FC based systems to
condition its output dc voltage. It converts the dc voltage to ac
voltage. The FC source is connected to the load or grid
through inverter which must be synchronized with the grid in
terms of voltage and frequency. In this paper, a two-level
pulse width modulation (PWM) voltage source inverter (VSI)
is used because this is the state-of-theart technology used
today by all manufactures worldwide [3].
FC connection Inverter

Hydrogen (H2)

VAC
AC

FC
DC

Air (O2)

Load
Fig.1. FC System Connected to Grid

II. THE FUEL CELL

A. Description of Fuel Cell
The type of FC used in our research is the high temperature
proton-exchange membrane (HTPEM) fuel cell. This kind of

978-1-4673-0455-9/12/$31.00 2012 IEEE

555

 Mass transport or Concentration losses: These result

FC is quite developed and seems to be the first hydrogen

technology to be used for massive integration into Electric
Power system (EPS). Apart from that, the range of power they
produce is from several watts to some tens of kilowatts. This
range fits perfectly with the low voltage distribution network;
future trends indicate that these will be probably used locally
in many places by individual consumers.

The gases are ideal.

The fuel cell is fed with hydrogen and air.
The electrode channels are small enough that the
pressure drop across them is negligible.
The ratio of pressures between the inside and outside
of the electrode channels is large enough to assume
choked flow.
The fuel cell temperature is stable.
The Nerst equation is applied.
The behavior of these FCs can be described as follows: at the
anode of the fuel cell, the hydrogen gas oxidizes releasing
electrons and creating H+ ions (or protons).

2H 2 4H 4e

(1)

During this reaction, energy is released. On the other hand at

the cathode, oxygen reacts with electrons taken from the
electrodes (reduction), and H+ ions from the electrolyte form
water which is waste product.

O2 4e 4H 2H 2O

(2)

To achieve optimal working conditions, proper air flow as

well as humidification of the gases must be ensured. The
overall reaction taking place at the fuel cell can be
summarized as:

O2 2H 2 2H 2O heat electricit y

(3)

Output voltage (Volts)

The electrochemical model of fuel cell is described in this

paper. The assumptions for the fuel cell model are as follows:

from the change in concentration of the reactants at

the surface of the electrodes as the fuel is used.
Because the reduction in concentration is the result
of a failure to transport sufficient reactant to the
electrode surface, this type of loss is also called
Mass transport loss.
Fuel cell polarization curve
1.5

Region of Activation
Polarization

1
0.5
0
0

Region of Ohmic Polarization

Region of concentration
Polarization

0.2

0.4

0.6

0.8

1.2

1.4

Current density (A/cm 2)

Fig. 2. FC V-I Characteristics

The most important among these are activation and ohmic

losses [4]-[5]; at high temperatures activation losses become
less significant than ohmic ones. The PEM FC voltagecurrent characteristics resulting from all of this can be
observed in Fig. 2.
B.

Equivalent model of a Fuel Cell

Taking into account the parameters and characteristics

presented in the previous section, the steady state FC voltage,
VFC, is calculated using the following equations:

VFC Erev act ohmic l

(4)

Where Erev is the reversible voltage or internal potential of the

FC, and the other variables are the irreversible loss voltages,
or over potentials:
act = the voltage loss produced by the activation polarisation
(activation over potential).
ohmic = the voltage drop related to the ohmic polarization
(ohmic over potential).
l = the drop introduced by the concentration polarization
(concentration over potential).

Four major irreversibilities are highlighted in FC [4].

Activation losses: These are caused by the slowness of
the reactions taking place on the surface of the
electrodes. A proportion of the voltage generated is
lost driving the chemical reaction that transfers the
electrodes from one electrode to other.
Fuel crossover and internal current losses: This energy
loss results from the waste of the fuel cell passing
through the electrolyte. The fuel loss and its effect
are usually not very important.
Ohmic losses: This voltage drop is the straightforward
resistance to the flow of electrons through the
materials of the electrodes and the various
interconnections.

Many attempts have been undertaken to develop and simplify

mathematical model defining the behavior of a PEMFC [6],
[7]. An accurate model can be obtained modifying equation
(4) and substituting the values of the different losses. This
results in equation (5):

VFC Erev

2.3RT I FC int
RT I FC
R I FC

ln
ln 1
nF I 0
nF
I l

where the different parameters are:

R = Universal gas constant (8.31451 J/(mol. K)),
F = Faradays constant (96485 Coulomb/mol),
T = Stack temperature,

556

(5)

 = Transfer coefficient,
n = Number of electrons involved in the reaction,

The fuel cell stack output current and the fuel flow rate qH 2
are related as:

R int =Sum of electrical and photonic resistances,

I FC =Fuel cell current,

I fc

I 0 =Exchange current,
I l =Limiting current of the fuel cell.

2 Fq H 2
N

(7)

This mathematical equation can be represented by the

equivalent electric circuit shown in Fig.3, which fits quite
precisely with Dicks-Larminies model.
IFC

+
Erev
-

Rcon

Ract

Rohm
VFC

Cact
Fig. 4. FC Based Distributed Generation System
Fig. 3. FC Equivalent Electric Circuit

The circuit depicted in Fig.3 is the one implemented in

Matlab/Simulink in order to perform distributed generation
(DG) integration simulation analysis in this paper.
III. POWER CONDITIONING UNITS
Fig. 4 shows the block diagram of Fuel cell based Distributed
Generation (FCDG) system with power converter interface
and its control. The fuel cell is connected to the utility
load/grid through power converters. The utility grid is
modeled as a three phase ac source with equivalent internal
impedance. Pulse Width Modulation (PWM) voltage source
inverters (VSI) with low loss and high frequency IGBT
switches is used to connect the FC system to the utility
load/grid for real and reactive power control purposes. A dclink capacitor on the dc side of the voltage source inverter
acts as an energy buffer and maintains a stable dc voltage for
the converter in the steady state condition. A low pass filter is
connected at the output of the inverter to provide a sinusoidal
output voltage. The high current rating of the filter inductor
is compensated by capacitors rated at a reduced voltage. The
cut-off frequency of the LC filter can be given as

fc

1
2 LC

(6)

A low pass LC filter is used at the PWM inverter output to

achieve better harmonic reduction in the phase currents and
inverter output voltages. This filter is of higher current rating
as dictated by the load circuit. In order to meet the
requirements for connecting the FCDG system to a utility grid
and control the real and reactive power flow between them, it
is necessary to shape and control the inverter output voltage
in amplitude, angle and frequency.

As the power demand increases, load current increases, the

inverter are constrained to supply this higher current;
furthermore this would force the FC to supply additional
current, hence FC output voltage falls. For efficient working
of FC based system, the hydrogen flow rate needs to be
adjusted with change in power demand. Hence a fuel flow
controller is required to control the fuel flow rate to meet the
desired output power.
A. Control Strategy
i) DC-DC Converter
The capacitor voltage (on the dc side of the inverter) is
sensed and compared with reference voltage. This error e =
Vdcref - Vdc is used as input for PI controller. The PI controller
is used to regulate the output of the dc-dc converter voltage
(by varying duty cycle) to meet the required dc current (IDC).
Its transfer function is H(s) = Kp+KI/S. where, [Kp=0.005] is
the proportional constant that determines the dynamic
response and [KI= 0.15] is the integration constant that
determines its settling time. The PI controller is eliminating
steady-state error in the dc-side voltage.
ii) DC-AC Inverter
It comprises regulated dc voltage at the input and hysteresis
current controller for current control within the inverter
(inner loop control) besides a voltage regulator circuit. The
dc-side capacitor voltage is regulated and hence facilitates
obtaining required inverter output voltage. The output of
voltage regulator feeds to Hysteresis Current Controller
(HCC) as an input.
HCC is utilized independently for each phase and directly
generates the switching signals for three phase voltage source
inverter. An error signal e (t) is the difference between the
desired current iref(t) and the actual current iactual(t). If the
error current exceeds the upper limit of the hysteresis band,

557

the upper switch of the inverter arm is turned OFF and the
lower switch is turned ON and vice-versa. As a result, the
current gets back into the hysteresis band. The switching
performance is as follows:
S = 0 if iactual(t) > iref(t) + h
1 if iactual(t) < iref(t) + h

Fig. 8 Fuel Cell Current after dc-dc Converter

Here, hysteresis band limit h=0.5.

IV.

SIMULATION RESULTS

We have developed a fuel cell which has 450 numbers of fuel

cells in series connection. The FC is designed for 480 DC
output voltages as shown in Fig. 5. The DC-DC converter
output voltage is shown in Fig. 6 that provides approximately
500 V DC controllable voltage. The DC current of the FC is
shown in Fig. 7. It has a value typically 50 A .The output of
the FC is fed to the ac system via dc-dc and dc-ac power
converters and controlled in a closed loop. Fig. 8 shows
current magnitude of dc-dc converter at the output. This is
mentioned in the initial model system. The grid voltages and
phase currents (Vabc and Iabc) are shown in Fig. 9a and Fig.9b
respectively. The currents are dictated by the load (as per the
requirement in the grid) and are supplied from the inverter.
This investigation is undertaken for a balanced load
condition. The chattering is observed in the current waves as
we are adopting HCC. However; these are high frequency
ripples and would normally be suppressed by the line
inductances.

Fig. 5 Fuel Cell Output Voltage before dc-dc Converter

Fig. 9a Source Voltage

Fig. 9b Source Current

V.

CONCLUSIONS

A simulation model of the fuel cell power plant (FCPP) is

developed using dc-dc power converters, inverter, fuel cell
stack and power system parameters. This model would be
useful to define the flow limits for a stand-alone as well as
distributed grid connected environment. The PI controller is
used for controlling the duty cycle in order to get the desired
DC voltage that would feed the grid through inverter after
conversion. The hysteresis Current Controller (HCC) is
adopted to generate the switching pulses of the dc-ac inverter.
These controllers facilitate developing a fuel cell based power
conditioning system so that FC system can be connected to
any grid for meeting power requirements.
REFERENCES
[1]
[2]

Fig. 6 DC-DC Converter Output

[3]

[4]
[5]

[6]
Fig. 7 Fuel Cell Current before dc-dc Converter
[7]

558

B. K. Bose, Energy environment, and advances in power electronics,

IEEE Transctions on Power Electronics, vol. 15, no. 4, 2000 pp.699-701.
C. Wang and M.H. Nehrir, Distributed generation applications of fuel
cells, in Proceedings of the Power systems Conference, Advanced
Metering, Protection, Control communications and Distributed Resources,
2006, pp.244-248.
R. Teodorescu, F. Blaabjerg, M. Liserre, and A.V Timbus, Overview of
control and grid synchronisation for Distributed Power Generation
Systems, IEEE Transactions on Industrial Electronics, vol.53, oct.2006
pp.1398-1409.
Caisheng Wang, Fuel cells and load transients, Power and Energy
Magazine, IEEE, vol. 5, pp. 58-63, 2007.
J.M. Correa, Influence of the modelling parameters on the simulation
accuracy of proton exchange membrane fuel cells, Power Tech
Conference Proceedings, IEEE 2003 Bolongna, vol.2, pp.8pp.vol.2, 2003.
S. Parischa and S.R Shaw, A dynamic PEM fuel cell model, Energy
Conversion, IEEE Transaction on, vol.21,pp.484-490,2006.
W. Choi, J.W. Howze and P. Enjeti, Devlopment of an equivalent circuit
model of a fuel cell to evaluate the effects of inverter ripple current,
Journal of Power Sources, vol. 158,pp.1324-1332,8/25.2006.

[8]

[9]

M. Tarioven and M.S Alam, Modeling,control, and Power Quality

Evaluation of a PEM Fuel Cell-Based Power Supply Systems of
Residential Use, IEEE Transaction on Industry Applications, vol. 42, NO.
6, Nov/Dec 2006, pp.1582-1589.
Mohan N., Undeland T.M., & Robbins W.P., Power Electronics
Converters, Applications and Design, Jone Wiley &sons,2001.
APPENDIX: Operating Data of the Systems

Systems Parameters

Values

System Frequency

50 Hz

Load (RL & LL)

20 ohms & 0.01 mH

Filter (LC)

2.3 mH & 0.1 F

DC-DC Capacitor

2100 F

559

Power Quality Analysis using Dual Tree

Complex Wavelet Transform
Abhimanyu Panwar, Rohin Bisht, Prashant Jha
Abstract-- Analysis of power signals is generally done by Discrete
Wavelet Transform using db4 wavelet. But this method is not
shift invariant. We propose a new method of Power Quality
Analysis based on Dual Tree Complex Wavelet Transform
exploiting its remarkable property of shift invariance. Firstly, the
shift invariance property of DTCWT is established by comparing
the wave energy at each decomposition level of a sinusoidal signal
with leading and lagging phase sinusoidal signals. Different types
of defects in power signals are simulated and several features are
extracted using DTCWT up to 10 levels using MATALB. The
database thus created is used for training a neural network. The
performance of neural network is checked with a different set of
data.
Index Terms-- Power quality, Dual Tree Complex wavelet,
Feature extraction, Neural network.

frequencies WT gives better time resolution and at low

frequencies it gives better frequency resolution. WT has two
classes namely Continuous WT and Discrete WT. In
Continuous WT, window used is a wavelet formed by scaling
and translating the mother wavelet.
The two main differences between CWT and STFT are:
1) The Fourier transform of the windowed signal is not taken,
and therefore single peak will be seen corresponding to a
sinusoid, i.e., negative frequencies are not present.
2) The width of the window is changed as the transform is
computed for every single spectral component, which is
probably the most significant characteristic of the wavelet
transform.
The continuous WT of a continuous time signal x(t) is defined
as

a ,b x(t ) a ,b * (t )dt

I. INTRODUCTION

o ensure safety and reliability of a system, constant power

quality monitoring is essential to classify errors so that
effective measures can be taken at an earlier stage.
Disturbances like harmonics give a non-stationary
characteristic to the power signal. Various techniques [1-7]
can be employed for analysis of power signals. The Fourier
Transform (FT) analysis of both stationary and non stationary
signal gives the same plot. Hence FT cannot be applied to
non-stationary signals. STFT involves the use of a window
function of a constant width and can be used to analyse a non
stationary signal but it is a mono-resolution technique. To
overcome this problem Wavelet Transform was developed
which is similar to STFT but its window width can vary with
every spectral component. Hence it is a multi-resolution
technique. WT proves to be powerful time-frequency analysis
tool which can give different frequency components present at
different instants of time.
Wavelet based analysis finds application in image processing,
video compression, numerical methods and power signal
analysis.

(1)
Where (t ) is the mother wavelet, a is scaling parameter, b
is translating parameter and

a ,b* (t )

(2)
The discrete WT of the sampled signal x(i) is given by

c, d i x(i) c, d * (i)
(3)
where

c , d * (i)

II. WAVELET TRANSFORMATION

The wavelet transform is capable of providing time and
frequency information simultaneously, hence giving a time
frequency representation of a signal. WT was developed to
overcome resolution related problem faced in STFT. At high

1 * t b

a a

i dbo aoc

c
ao

*
c

ao

(4)
Here c and d are scaling and sampling numbers respectively.
III. DUAL-TREE COMPLEX WAVELET TRANSFORM

Abhimanyu Panwar, Rohin Bisht and Prashant Jha are UG students in

School of Electrical Sciences, Indian Institute of Technology, Bhubaneswar
India(email:chaudhary.iitbbs@gmail.com,rohinbisht@gmail.com,prashant.iitb
bs@gmail.com).
.

One effective approach for implementing an analytical

wavelet transform, first introduced by Kingsbury in 1998, is
called the Dual Tree CWT [11], [12], [13]. The approach of
the Dual Tree is quite simple. The Dual Tree CWT makes use
of two real DWTs; the first DWT gives the real part of the

978-1-4673-0455-9/12/$31.00 2012 IEEE

560

transform while the second DWT gives the imaginary part.

The decomposition and reconstruction Filter Banks used to
implement the DTCWT and their inverses are illustrated in
Figures 1 and 2. It is noteworthy that filters used for first
decomposition and reconstruction are different from rest of the
process. The two real wavelet transforms use two different
sets of filters. To keep the overall transform approximately
analytic, the filters for real part and filters for imaginary part
are jointly designed. Let {h00 (n), h10 (n)} , {h10 (n), h11(n)}
denote the low-pass and high-pass filter pair for the real part
and let {g00 (n), g10 (n)},{g 01(n), g11(n)} denote the low-pass,
high-pass filter pair for the imaginary part. We will denote the
two real wavelets associated with each of the two real wavelet
transforms as h t and g t . The filters are designed to
satisfy the PR conditions and so that the complex wavelet
t h t g t is approximately analytic. They are
designed so that g t is approximately the Hilbert transform

of h t which is denoted as g t H h t . It is
noteworthy that the filters are themselves real so no complex
arithmetic is required for the implementation of the Dual Tree
CWT. The Dual Tree CWT is not a critically sampled
transform; it is two times expansive in 1-D because the total
output data rate is exactly twice the input data rate. To invert
the transform, the real part and the imaginary part are each
inverted, the inverse of each of the two real DWTs are used to
obtain two real signals. These two real signals are then
averaged to obtain the final output. The original signal can be
recovered from either the real part or the imaginary part alone;
however, such inverse DTCWTs do not capture all the
advantages an analytic wavelet transform offers. Let Fh and

The DTCWT is also easy to implement. Since there is no

flow of data between the two DWTs, they can each be
implemented using existing DWT software and hardware. The
criteria for wavelet design and wavelet-based signal
processing algorithms (such as thresholding of wavelet
coefficients) that have been developed for real wavelet
transforms can also be applied to the DTCWT. DTCWT
requires the design of new filters. It requires a pair of filter
sets chosen so that the corresponding wavelets form an
approximate Hilbert transform pair. Existing filters for
wavelet transforms cannot be used to implement both trees of
the DTCWT. Pairs of Daubechies wavelet filters do not satisfy
the requirement that g t H h t . If the DTCWT is
implemented with filters not satisfying this requirement then
the transform will not provide the full advantages of analytic
wavelets.
CWT is shift invariant [10], unlike DWT. To show this, a
sine signal was generated and DWT using db4 and Dual Tree
CWT were performed on the original signal and also on the
signals obtained by phase-shift. Analysing Fig3 and Fig4
confirms the shift invariant nature of DTCWT over DWT
using db4.

Fg denote the DWTs for real and imaginary part respectively

then the dual-tree CWT can be represented by
Figure 1. Decomposition of signal using Complex wavelet Transformation.

Fg
F
Fh
Let vector x represents a real signal, then wh = Fh x represents
the real part and wg = Fg x represents the imaginary part of
the dual-tree CWT. The complex coefficients are given by
wh + j wg .
When we apply DTCWT to a real signal for decomposition
purpose, the output of the upper and lower Filter Banks in
Figure 1 will be the real and imaginary parts of the complex
coefficients and they can be stored separately as given above.
The DTCWT gains a Parsevals energy theorem: the energy of
the input signal is equal to the energy in the wavelet domain.
For a signal x(n)

x ( n)

Where

d h ( j , n ) d g ( j , n)
2

j,n

d h and d g represents real and imaginary coefficients

respectively.

561

Figure 2. Reconstruction of signal using Complex wavelet Transformation.

A single feature can also be used to train the neural

network. The percentage accuracy obtained by training the
neural network using single feature is given in Fig 5.
While reconstructing at each decomposed level the
magnitude of signal at each level is calculated by adding the
squared value of corresponding real tree coefficients and
imaginary tree coefficients and taking the square root of the
added value. This magnitude is used for further feature
extraction.
For testing purpose, by varying quantities in parametric
equations such as amplitude and phase, a separate data set
different from training data was created for all classes. 100
samples of each type of signal are collected and tested on two
different neural network trained using (1) all features, (2)
energy only.
Figure 3. Wave Energies of Coefficients at each level using DWT.
Table 1
Confusion Table for Complex wavelet transform during testing period
when training done using all features.

CLASS
C1
C2
C3
C4
C5
C6
C7

The detail coefficients of each level up to 10 levels were

first extracted using the Dual tree complex wavelet transform.
Then these detail coefficients were used to extract features like
standard deviation, skewness, kurtosis, energy and Shannonentropy for each level of decomposition [14].
To check the effectiveness of the proposed method in
analysis of the power quality of a signal, seven different types
of disturbance signals namely sag, swell, momentary
interrupts (MI), harmonics, sag with harmonics, swell with
harmonics and oscillatory transients were simulated using
MATLAB and the parametric equations with each class
having 200 disturbance signals for the purpose of training and
testing the neural network. The signals were sampled at 128
points/cycle and 8 cycles for each signal were considered
totalling to 1024 points. Dual Tree CWT was then employed
in each signal to obtain complex detail coefficients up to 10
levels of decomposition. For each level the features like
standard deviation, skewness, kurtosis, energy and Shannonentropy were calculated. Fifty features for each signal were
extracted by applying five different feature extraction methods
to the detail coefficients belonging to each level. A neural
network was trained with 70 percent of the database and 30
percent was used for testing.

C2
8
100
2
0
0
0
0

C3
2
0
98
0
0
0
0

C4
0
0
0
100
1
0
0

C5
0
0
0
0
96
2
0

C6
0
0
0
0
3
97
1

C7
0
0
0
0
0
1
99

Table 2
Confusion Table for Complex wavelet transform during testing period
when training done using energy only

Figure 4. Wave Energies of Coefficients at each level using Dual Tree

CWT.

IV. POWER QUALITY ANALYSIS

C1
88
0
0
0
0
0
0

CLASS
C1
C2
C3
C4
C5
C6
C7

C1
95
0
0
0
0
0
0

C2
3
100
3
0
0
0
0

C3
2
0
97
3
0
0
0

C4
0
0
0
92
2
0
0

C5
0
0
0
5
97
3
0

C6
0
0
0
0
1
97
0

C7
0
0
0
0
0
0
100

V. RESULTS
The shift invariant nature of Complex Wavelet is very
useful in analysing a power signal which may be leading or
lagging due to sampling. If db4 is applied to obtain
coefficients of phase shifted signal it may produce erroneous
results because the features extracted from these coefficients
will be different as db4 is not shift-invariant. But using
complex wavelet which is shift-invariant this problem is
solved. In Fig 4 it is clearly shown that energy feature at
different decomposition level does not depend on phase in
case of DTCWT. Whereas it depends on phase in case of
DWT like it is shown in Fig 3.
While extracting features using Complex Wavelet the filters
used in first level of decomposition are different from filters
used in following decomposition levels. Total 50 features

562

were collected for each signal with five features per level.
When each feature like energy, entropy etc was used to train
the neural network best results were produced by Energy and
Entropy while Kurtosis and skewness produced the
maximum number of errors. Fig 5 shows the percentage
accuracy obtained using each feature for training the system.
Table1 shows results for a data set created from the signals
which were not used for training the neural network with
various features extracted and used for classification by
MATLAB function FNN. Hence an accuracy of 96.8% was
achieved using DTCWT. These results prove the superiority
of DTCWT over DWT using db4 wavelet for active
monitoring of power signals and classification of disturbances.

x(t)
x(i)
(t)
C1
C2
C3
C4
C5
C6
C7

Continuous time signal

Discrete time signal
Mother wavelet function
Sag
Swell
Momentary interrupt
Harmonic
Sag Harmonic
Swell Harmonic
Oscillatory transient
Analysis Filters used in DTCWT

REAL TREE(1ST Decomposition)

LOW PASS
HIGH PASS
0
0
-0.08838834764832
-0.01122679215254
0.01122679215254
0.08838834764832
0.69587998903400
0.08838834764832
0.69587998903400
0.08838834764832
0.08838834764832
-0.69587998903400
-0.08838834764832
0.69587998903400
0.01122679215254
-0.08838834764832
0.01122679215254
-0.08838834764832
0
0

Figure 5. Percentage accuracy obtained using different features to train

neural network

VI. CONCLUSION
This paper shows that DTCWT with its remarkable
property of shift invariance promises to be an effective tool for
analysing power signals and classifying the disturbances like
sag, swell, momentary interrupt, harmonic, sag harmonic,
swell harmonic and transients in power signals through feature
extraction and classification. The use of different filters for
first level of decomposition and reconstruction and next levels
of decomposition and reconstruction provides better shift
invariance than using same set of filters for all levels. The
results obtained show that DTCWT is a better technique for
power signal analysis than the presently used db4 wavelets
especially when we are dealing with phase shifted signals.
This study thus proposes DTCWT as a better technique to be
used in Power quality analysis.
VII. APPENDIX
DTCWT Dual Tree Complex Wavelet Transform
db4
Daubechies wavelet of order 4
FT
Fourier Transform
STFT
Short Time Fourier Transform
WT
Wavelet Transform
DWT
Discrete Wavelet Transform
PR
Perfect Reconstruction
CWT
Complex Wavelet Transform
FNN
Fuzzy Neural Network
563

IMAGINARY TREE(1st Decomposition)

LOW PASS
HIGH PASS
0.01122679215254
0
0.01122679215254
0
-0.08838834764832
-0.08838834764832
0.08838834764832
-0.08838834764832
0.69587998903400
0.69587998903400
0.69587998903400
-0.69587998903400
0.08838834764832
0.08838834764832
-0.08838834764832
0.08838834764832
0
0.01122679215254
0
-0.01122679215254
REAL TREE(Rest Decomposition)
LOW PASS
HIGH PASS
0
0.03516384000000
0
0
-0.11430184000000
0.08832942000000
0
0.23389032000000
0.58751830000000
0.76027237000000
-0.76027237000000
0.58751830000000
0
0.23389032000000
0.08832942000000
0.11430184000000
0
0
0
-0.03516384000000

IMAGINARY TREE(Rest Decompositions)

LOW PASS
HIGH PASS
0
-0.03516384000000
0
0
0.08832942000000
0.11430184000000
0
0.23389032000000
-0.76027237000000
0.58751830000000
0.58751830000000
0.76027237000000
0
0.23389032000000
-0.11430184000000
0.08832942000000
0
0
0
0.03516384000000
VIII. REFERENCES
[1]

[2]

[3]

[4]

[5]
[6]

[7]
[8]
[9]

[10]

[11]

[12]

[13]

[14]

C.H. Lee, S.W. Nam, Efficient feature vector extraction for automation
classification of power quality disturbances, Electr. Lett. 34 (11) (1998)
1059-1061.
J. Huang, M.Negnevitsky, D.T. Nguyen, A Neural fuzzy classifier for
recognition of power quality disturbances, IEEE Trans. Power Deliv.,
vol.15, no.2 (2002) 609-616.
S. Santoso, W.M. Grady, E.J. Powers, J.Lamoree, S.C. Bhatt,
Distribution power quality events with fourier and wavelet transforms,
IEEE Trans. Power Deliv. 15 (1) (2000).
L. Angrisani, P.Daponte and Massimo D. Apuzzo, Wavelet network
based detection and classification of transients, IEEE Trans. Power
Deliv., vol. 50, no. 5 (2001) 1425-1435.
J.L.J Driesen R. J.L. Belmans, Wavelet based power quantification
approaches, IEEE Trans. Power Deliv., vol. 52, no.4 (2003) 1232-1238
P.K. Dash, M.M.A. Salama, S.Mishra, A.C. Liew, Classification of
power system disturbances using a fuzzy expert system and a fourier
linear combiner, IEEE Trans. Power Deliv. 15 (2) (2000) 472-477.
G.T. Heydt, A.W. Galli, Transient power quality problems analysed
using wavelets, IEEE Trans. Power Deliv. Vol.12, no.2 (1997) 908-915
I Daubechies, Where do wavelets come from?- A personal pont of view,
Porc. IEEE, 84(4), 510-513, 1996.
A.M. Gaouda, M.M.A. Salama, M.R. Sulatan, A.Y. Chikhani, Power
quality detection and classification using wavelet multiresolution signal
decomposition, IEEE Trans. Power Deliv. 14 (4) (1999) 1469-1476.
N G Kingsbury, Complex wavelets for shift invariant analysis and
filtering of signals, Journal of Applied and Computational Harmonic
Analysis, vol. 10, no 3 (2001) 234-253.
N.G. Kingsbury, The dual-tree complex wavelet transform: A new
techniquefor shift invariance and directional filters, in Proc. 8th IEEE
DSP Workshop, Utah,Aug. 912, 1998, paper no. 86.
N.G. Kingsbury, Image processing with complex wavelets, Philos.
Trans. R.Soc. London A, Math. Phys. Sci., vol. 357, no. 1760, pp. 2543
2560, Sept. 1999.
N.G. Kingsbury, Complex wavelets for shift invariant analysis and
filtering ofsignals, Appl. Comput. Harmon. Anal., vol. 10, no. 3, pp.
234253, May 2001.
Panigrahi, B.K.; Baijal, A.; Krishna Chaitanya, P.; Nayak, P.P.; , "Power
quality analysis using complex wavelet transform," Power Electronics,
Drives and Energy Systems (PEDES) & 2010 Power India, 2010 Joint
International Conference on , vol., no., pp.1-5, 20-23 Dec. 2010.

564

SiC Power MOSFET Modeling Challenges

Rajendra Pratap, R K Singh and Vineeta Agarwal

Abstract-- SiC Power MOSFETs show a huge potential for

high voltage, high temperature, high-power and high-frequency
power electronic applications. Recently SiC MOSFETs were
being made available in market. It is important to have spice
models to validate the circuit using such high performance
devices because it is not always possible to put the real
hardware in place even without validating the circuit biasing. In
this paper we have tried to bring out the challenges involved in
coming up with a valid, industrially useful spice model for SiC
MOSFETs.
Index TermsSiC(Silicon Carbide), Power MOSFET, Spice
Model

I. INTRODUCTION

tate-of-the-art silicon power devices have essentially

reached their physical limits in performance. Presently, the

highest voltage commercially available silicon (Si) IGBTs
and fast recovery Si P/N diodes are rated at 6.5 kV. Hard
switched inverters and converters using these devices are
limited to a maximum operating frequency of the order of a
hundred Hertz due to the significant tail losses of the Si IGBT
and the reverse recovery charge of the Si P/N diode.
Therefore, most medium voltage applications that require
high switching frequency usually resort to lower voltage (1.7
3.3 kV) Si IGBTs and Si P/N diodes requiring complicated
multi-level switching schemes to operate reliably at typical
medium voltage levels. This makes high power, high
frequency inverters and converters large in sizes and very
complicated as described in reference [1].
Silicon Carbide (SiC) majority carrier device technology is
rapidly maturing to a point where it can significantly impact
the future of industrial electronics by eliminating the
fundamental limits of Si power switch technology. The
capability of significantly reduced conduction and switching
losses while offering operation at junction temperatures of
300 C makes SiC an enabling technology for considerable
improvements in power electronic systems. 1.2 kV and 10 kV
SiC MOSFETs have been produced with die areas of

approximately 0.64 cm2. SiC junction barrier Schottky (JBS)

diode devices (described in [2]-[4]) also rated at 1.2 kV and
10 kV have been produced with die areas approximately 1.5
cm2.
Discrete power MOSFETs employ semiconductor processing
techniques that are similar to those of today's VLSI circuits
(as can be seen from [3], [5], [6], [7] and [13]), although the
device geometry, voltage and current levels are significantly
different from the design used in VLSI devices. The metal
oxide semiconductor field effect transistor (MOSFET) is
based on the original field-effect transistors introduced in the
1970s. Fig 1(a) shows the device schematic, Fig 1(b) shows
transfer characteristics and Fig 1(c) shows device symbol for
a MOSFET. The invention of the power MOSFET was partly
driven by the limitations of bipolar power junction transistors
(BJTs) which, until recently, were the device of choice in
power electronics applications. Although it is not possible to
define absolutely the operating boundaries of a power device,
we will loosely refer to the power device as any device that
can switch at minimum flow of 1A [4]. The bipolar power
transistor is a current controlled device. A large base drive
current as high as one-fifth of the collector current is required
to keep the device in the ON state.

Rajendra Pratap is research scholar with the Department of Electrical

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: rajendra_pratap@ymail.com).
Prof. R K Singh and Prof. Vineeta Agarwal are Professor with the
Department of Electrical Engineering, Motilal Nehru National Institute of
Technology, Allahabad-211004, India (e-mail: vineeta@mnnit.ac.in,
rksingh@mnnit.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

565

Fig. 1(a): Basic Construction of Si MOSFET

Fig. 1(b): Transfer Characteristic of SiC MOSFET

III. SIC MATERIAL CHALLENGES

SiC devices exhibit reverse effect of temperature on overall
drain current and gate threshold voltage [8]-[10]. As can be
observed in Fig 2, the gate threshold voltage reduces with
increasing temperature. This reduction can be attributed to
the dependence of surface charge, interface trapped charges
and change of surface potential at higher temperature.

Fig. 1(c): Symbol of MOSFET

In this paper we put forward the issues and challenges faced

during development of a spice model of SiC MOSFET.
II. SIMULATOR RELATED ISSUES
Todays industry standard simulators can largely understand
SPICE format and thus the default format of the new
proposed model for SiC MOSFET should be SPICE.
In industry we have multiple SPICE simulators for simulating
power electronic circuits. All of them have a common set of
recognized power MOSFET models. The set of existing Si
MOSFET models are defined using SPICE LEVEL statement.
All of these models have fixed set of parameters which get
defined in the model file. The model file is either provided by
the device manufacturer or is supported by different industrial
simulator vendors. Thus the equations relating to the transfer
characteristic of the MOSFET are built inside each of the
simulator for the pre-defined and known model equations.
The simulators just read the parameters from the model file
provided by the user to calculate the node current and voltage
values. Thus coming up with completely new I-V equations
for the new device will complicate the situation. So a new
SPICE model of any new device should either adhere to the
existing known MOSFET SPICE LEVEL equations or should
be built on top of the known MOSFET SPICE LEVEL
equations to help the device users.
As described above, a new mathematical model of a SiC
MOSFET should have any existing SPICE LEVEL N
instance with other passive elements to describe the complete
transfer characteristics of the SiC MOSFET. This new model
should be validated across operating temperature and
frequency boundaries to ensure its stability over complete
operating conditions.
As huge amount of testing and regressions are involved, so
the MOSFET model parameter extraction should be done
using either the existing automated methods or should be
possible to achieve through automated process from either
device datasheet or through real device terminal
measurements.
When we go with automated methods of obtaining
MOSFET SPICE parameters through automated model
editing tools, the parameters of this mathematical SPICE
model are obtained by applying power invariance and curve
fitting techniques from the data obtained from device
datasheet [13].

Fig. 2: ID vs VGS transfer curve for SiC MOSFET taken from its datasheet

In SiC MOSFETs, the overall on-resistance of the transistor

is the sum of the MOSFET channel, vertical JFET region,
and the drift region [11].

RDS on Rsource Rch RA RJ RD Rsub Rwcml

where:
Rsource = Source diffusion resistance
Rch = Channel resistance
RA = Accumulation resistance
RJ = parasitic BJT component-resistance of the region
between the two body regions
RD = Drift region resistance
Rsub = Substrate resistance. Wafers with substrate resistivities
of up to 20mW-cm are used for high voltage devices and less
than 5mW-cm for low voltage devices.
Rwcml = Sum of Bond Wire resistance, the Contact resistance
between the source and drain Metallization and the silicon,
metallization and leadframe contributions. These are
normally negligible in high voltage devices but can become
significant in low voltage devices.
Table 1: RDS(ON) Resistance changes with Temperature [13]
RDS(ON) DrainSource On-State
Resistance (m)

Typ.
80
95

Max.
110
130

Test Conditions
VGS = 20V, ID = 20A, TJ = 25C
VGS = 20V, ID = 20A, TJ = 125C

As the voltage rating of the device increases, the allowed

current flowing through the transistor also increases, the
overall on-resistance of the Si MOSFET becomes dominated
by the bulk current drift region resistance. For SiC
MOSFETs, the structure and drift current flow is shown in
Fig 3 and Fig 4. In SiC MOSFET, the variation in on-

566

resistance with temperature is dominated by the bulk drift

region resistance resulting in the increase of the on-resistance
when the operating temperature increases from room to
maximum junction temperature. And thus transconductance
of the SiC MOSFET is usually quite high.

needed for high power rated DC supplies at low dc voltages

and proper isolations are required while monitoring the
signals on oscilloscope.
As described in [8] [10] the reverse effect of temperature
on overall drain current and gate threshold voltage is
observed in SiC devices, observing the same in laboratory
setup and validating the circuit behaviour under elevated
temperatures requires special temperature controlled
environment. Due to heavy current flow, the electrical
junctions and other discrete components in the test circuit see
a rise in temperature which needs to be monitored closely to
make sure the measurements taken are accurate.
V. ACKNOWLEDGMENT
The authors gratefully acknowledge the contributions of
Dr. Anant Agarwal from CREE for his help in providing the
relevant information.

Fig. 3: Symbolic View of SiC MOSFET

VI. REFERENCES
[1]

[2]

[3]

[4]

[5]

Fig. 4: Source to Drain Current Flow during drift conditions in SiC MOSFET

In a SiC MOSFET, the magnitude of breakdown field of

silicon carbide over silicon is an order of magnitude above
and thus SiC can afford a much thinner drift region and
higher doping for a given voltage rating [12]. This
minimizes the on-resistance of the drift region. The overall
result for SiC MOSFETs is that the total device on-resistance
is not only dominated by the drift layer resistance but is also
dominated by the combination of variation of temperature in
MOSFET channel and drift/JFET regions. The resistance of
the SiC MOSFET channel and drift/JFET regions tends to
cancel over temperature resulting in much reduced
temperature dependence of the total on-resistance of the SiC
MOSFET. These effects makes the SiC MOSFET models
different from Si MOSFETs.
IV.

MODEL VALIDATION CHALLENGES

[6]

[7]

[8]

[9]

[10]

[11]

[12]

The main differentiating characteristics of SiC devices are

its very low RDS(ON) and few amperes of current at even lower
VDS, pose huge challenge in putting a dynamic switching
circuit for laboratory measurements. Special arrangements are

[13]

567

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Brandt, Sic power devices, in Naval Research Reviews, June 1999, pp.
1421.
R. J. Callanan, A. Agarwal, A Burk, M. Das, B. Hull, F. Husna, A.
Powell, J. Richmond, Sei-Hyung Ryu, and Q. Zhang, Recent Progress in
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F. Bjoerk, J. Handcock, and G. Deboy, CoolMOSTM CP How to make
most beneficial use of the latest generation of super junction technology
devices, Infineon Application Note AN-CoolMOS-CP-01, Version 1.1,
Feb
2007.
http://www.infineon.com/dgdl/Aplication+Note+CoolMOS+CP+(+AN_C
oolMOS_CP_01_Rev.+1.2).pdf?folderId=db3a304412b407950112b408e
8c90004&fileId=db3a304412b407950112b40ac9a40688
A. Hefner, R. Sei-Hyung, B. Hull, D. Berning, C. Hood, J. M. OrtizRodriguez, A. Rivera-Lopez, D. Tam, A. Adwoa, and A. Akuffo, Recent
advances in highvoltage, high-frequency silicon-carbide power devices, in
IEEE Fourty-First Ind. Appl. Conf (IAS), Oct. 2006, pp. 330337
Infineon IGW25T120 IGBT Datasheet, Rev 2.3, Feb. 2008.
http://www.infineon.com/cms/en/product/findProductTypeByName.html?q
=IGW25T120
Infineon SGW25N120 IGBT Datasheet, Rev 2.4, Feb. 2008.
http://www.infineon.com/cms/en/product/findProductTypeByName.html?q
=SGW25N120
Infineon IPW90R120C3 CoolMOS Datasheet, Rev 1.0, 2008-07-30.
http://www.infineon.com/cms/en/product/findProductTypeByName.html?q
=IPW90R120C3
S. H. Ryu, A. Agarwal, J. Richmond, and J.W. Palmour, Development of
10kv 4h-sic dmosfets, in Proc. Silicon Carbide and Related Materials,
Oct. 2003, pp. 162165.
J. Wang, T. Zhao, A. Q. Huang, R. Callanan, F. Husna, and A. Agarwal,
Characterization, modeling and application of 10 kv sic mosfet, IEEE
Trans. Electron Devices, vol. 55, no. 8, pp. 17981806, Aug. 2008.
A. K. Agarwal, J. B. Casady, L. B. Rowland, W. F. Valek, M. H. White,
and C. D. Brandt, 1.1 kv 4h-sic power umosfets, IEEE Electron Device
Lett., vol. 18, no. 12, pp. 586588, Dec. 1997.
M. G. Spencer, J. Palmour, and C. Carter, Substrate and epitaxial issues
for sic power devices, IEEE Trans. Electron Devices, vol. 49, no. 5, pp.
940945, May 2002
J. W. Palmour, J. A. Edmond, H. Kong, and C. Charter, Vertical power
devices in silicon carbide, in Proc. Silicon Carbide and Related Materials,
Institute of Physics Conf., Oct. 1994, pp. 499502.
1200V_20A SiC Power MOSFET CMF20120D Datasheet
http://www.cree.com/products/pdf/CMF20120D.pdf

Transformer Incipient Fault Diagnosis Based On

Probabilistic Neural Network
Sanjay Agrawal and A. K. Chandel

AbstractThis paper proposes a technique for transformer

fault diagnosis. The proposed technique is a four-layer
probabilistic neural network (PNN). The proposed diagnostic
technique has faster training capability because it is build with a
single pass of exemplar pattern set and without any
iteration(epochs) for weight adaptation. This diagnostic
technique uses normalized parts per million values of gases
(hydrogen (H2), methane (CH4), ethane (C2H6), ethylene
(C2H4), acetylene (C2H2)) as an input to detect partial discharge,
low energy discharge, high energy discharge, low &medium
temperature fault, high temperature transformer faults. The
effectiveness of the proposed diagnostic approach is verified on
the basis of the experiments on transformer oil dissolve gas
samples. The results indicate that the PNN approach can be
successfully used for transformer faults diagnosis.

Index TermsDissolved gas analysis, diagnosis, incipient

fault, probabilistic neural network (PNN), transformer.

I. INTRODUCTION

ransformer is a valuable asset in transmission and

distribution system. Any fault in transformer may lead to
the power outages and black-outs. Therefore, power
transformer has a direct influence on the safety and reliability
of power system. Furthermore, replacement of a power
transformer is very costly and time consuming and hence it is
very important to diagnose incipient faults as soon as possible
so as to avert major problem in a transformer.
Dissolved gas analysis (DGA) is one of the most
commonly used techniques used to diagnose the incipient
faults in transformer. Different amount of gases are produced
due to intensities of energy dissipated by various types of
faults in a power transformer. These gases are dissolved in
transformer oil. By measuring gas concentration and a
particular gas the nature of fault can be early determined.
Some existing diagnosis approaches based on dissolve gas
analysis (DGA) like Drnenburg Ratios [1], Rogers Ratios [2],
and the IEC Ratios [3] to interpret the concentration of some
combustible gases namely hydrogen, methane, acetylene,
ethylene, ethane and a relations among these, which are
compare to thresholds to diagnose fault type. Disadvantage of
Sanjay Agrawal doing M.Tech. in Condition monitoring protection &
control of electrical apparatus from the Department of Electrical Engineering,
National Institute of Technology, Hamirpur-177005, India (e-mail:
sanjay.ucer2009@gmail.com).
A. K. Chandel with Department of Electrical Engineering, National
Institute of Technology, Hamirpur-177005, and India (e-mail:
ashchandelin@gmail.com).

these ratio methods is that these fail to diagnose fault in some

cases when dissolve gas ratio data ranges lies outside specified
ranges. Also false diagnosis has been reported in some cases.
Therefore, many artificial intelligence (AI) techniques,
including fuzzy system [4]-[6], neural networks [6]-[10],
expert system [11] etc., are proposed for fault diagnosis of
power transformers. Fuzzy set theory is used to increase
diagnosis accuracy by fuzzifying the gas attributes thresholds
to tackle the incomplete nature of the DGA. The fault
detection results are promising but several limitations still
exist. This is generally due to the reason that the membership
functions and diagnostic rules are bounded with conventional
DGA methods and practical experiences and cant learn
directly from data samples.
Artificial neural network (ANN) has been proposed to deal
with problems of transformer fault diagnosis [10], because of
its good learning, generalization ability and built in fault
endurance in practical application. An ANN is trained by back
propagation algorithm and is commonly used for transformer
fault diagnosis. However, back propagation artificial neural
network (BPANN) also have some unsolved problems like
local and slow convergence in training and also there is a need
of determination of network structure and parameter manually.
Therefore, to determine the types of transformer fault new
methodologies need to be developed and demonstrated.
Consequently in the present paper a new transformer fault
diagnostic technique based on probabilistic neural network has
been proposed. The technique is capable of identifying the
fault even if dissolve gas ratio data lies outside the specified
ranges defined by conventional ratio methods. Probabilistic
neural network is mainly is used for classification. PNN offers
much faster training speed approximately five times the
training speed of BPANN. Also there is no local minima issue
and training data can be added or deleted without extensive
retraining. In PNN, there is no need of determining network
structure and parameters manually [12].
The paper is organized as follows. In section II,
probabilistic neural network theory and working principle is
explained. In section III, the proposed technique for
transformer incipient fault diagnosis is discussed. Section IV
shows the experimental results and its comparison with
conventional IEC599 to illustrate the effectiveness of
proposed technique. Finally, conclusions are drawn in section
V.
II. PROBABILISTIC NEURAL NETWORK
Probabilistic neural network (PNN) is a type of feed
forward neural network which belongs to the family of radial

978-1-4673-0455-9/12/$31.00 2012 IEEE

568

basis function neural networks. PNN is mainly used for

classification purposes. It has four layers namely input layer,
pattern layer, summation layer, output layer. PNN has been
developed by D. Specht in 1988. It is based on Bayes
decision strategy and Parzens method of density estimation
[13]. PNN can map any input pattern to any number of
classifications [12]. Training of PNN is different and faster
than the training of back propagation artificial neural network
(BPANN). In BPANN, training process requires a number of
iteration (epochs) for weight adoption but in case of PNN
training process is single pass and there is no need of any
iteration for weight adoption. It does not need to train again
when more training samples added or removed and ensured to
converge to an optimal classifier as the size of the
representative training set increases. The only disadvantage of
PNN is requirement of large storage space needed for storing
exemplar pattern. In present days, computer memory prices
are going down. Therefore, the cast and size of larger storage
is not a big issue.
The architecture of the probabilistic neural networks is as
shown in Fig. 1. The network is build with many
interconnected processing units or neurons as arranged
systematically in successive layers. The input layer unit does
not perform any mathematical calculation and simply
distributes the input to the neurons in the second layer (pattern
layer). Pattern layer contains one pattern neuron or unit for
each training sample. Therefore, number of neurons in pattern
layer is equal to number of training samples.

level to summation unit[12]. The scaling factor is very

important factor. This defines the width of well curves and is
also called smoothing factor. The shape of decision boundary
of PNN depends upon the value of smoothing factor. The PNN
decision boundary varies from a hyper plane to very nonlinear
boundary when the smoothing parameter is varies from zero to
are normalized to unit
infinite [17]. When both the X and
length then nonlinear operation on
is equivalent to
(1)
After receiving a pattern vector X from input layer the
neuron in pattern layer computes its output using equation (2)
)=

(2)

denotes jth training (or weight) vector from

Where,
class i, p is dimension of test vector X and is smoothing
factor. T, i and j indicates transpose, class number and pattern
number respectively. The summation layer neurons compute
the maximum likelihood of cluster pattern X being classified
into (where
represents class i, i = 1, 2, 3N) by
summarizing and averaging the output of all neurons that
belong to the same class [12].
(3)
Where,
is the number of training patterns in class .
Equation (3) is the sum of multivariate spherical Gaussians
, for the ith class
centred at each of the training vectors
PDF estimate. The decision layer unit classifies the pattern X
in accordance with the Bayess decision rule based on the
output of all the summation layer neurons. The Bayes'
decision strategies for the classification of pattern vectors are
developed by diminishing the "expected risk". They can be
applied to classification problems with any number of classes.
The Bayes' decision rule is that d(x) = , i.e. vector x belongs
to class , if
P

Fig. 1. Architecture of the probabilistic neural network

Subsequently, each pattern unit form a dot product of input

pattern vector X with a weight vector
, =X
(where,
is scalar quantity because it is a dot product of vector X
and
)
and
then
perform
a
nonlinear
operation
]} before outputting its activation

>

for all k i

(4)

Where are the losses associated with making a wrong

decision for each class , P
is the probability that a vector
belongs to class regardless of the identity of that vector i.e.
a priori probability of occurrence,
is the class
conditional probability density function of x given that it
belongs to class
i.e. the a priori conditional probability
density function of x for each class .
If the a priori probabilities for each class are the same, and
the losses associated with making a wrong decision for each
class are the same. The decision layer or output layer classifies
the cluster pattern X in accordance with the Bayess decision
rule based on the output of all the summation layer neurons
using(5)

569

= arg max

(5)

denotes the estimated class of the cluster pattern X

and N is the total number of classes in the cluster training
samples [12].

IV. RESULTS AND DISCUSSION

This section contains two sections. Section A provides

description about the experiment. Experimental result and its
benefit are discussed in section B.

III. TRANSFORMER INCIPIENT FAULT DIAGNOSIS USING PNN

The procedure of transformer incipient fault diagnosis
based on PNN includes 3 steps: extracting features, data preprocessing, fault diagnosis model for transformer. Details of
these steps are explained in the subsequent sections.
A. Extracting Features
The analytical base of transformer incipient fault diagnosis
has been carried out the diagnostic gases obtained by
diagnostic gases obtained by the dissolve gas analysis. The
gases content reflects the conditions of transformer. These
diagnostic gases include hydrogen, ethylene, acetylene,
methane and ethane. These five diagnostic gases are taken as
input feature.
Based on analysing characteristic of transformer incipient
fault, the transformer faults are divided into five groups shown
in Table I.
TABLE I
CLASSIFICATION OF TRANSFORMER FAULT

Types of fault
Partial discharge
Low energy discharge
High energy discharge
Low &Med Temperature
High Temperature

Notifications
1
2
3
4
5

A. Description of Experiment
The proposed PNN based fault diagnosis system is
implemented based on actual gas records taken from IEC
TC10 Database [15]. A total 106 data sample is taken. Out of
these 85 data sample has been selected randomly for training
the network and rest of the 21data sample i.e. 21 have been
used for testing purpose. PNN based fault diagnosis systems
are developed by using MATLAB version 7.13 programming
and mat lab neural network toolbox [16]. All of the coding has
been performed in MATLAB 7.13. Smoothing factor
is
taken 0.25.
B. Experimental Result
Testing results using PNN for incipient transformer fault
diagnosis are as given in Fig. 2. It can be observed that only
one sample fails to be correctly recognized in all of the testing
samples, the accuracy rate of proposed method is equal to
95.23%. To verify the effectiveness of the proposed technique
results are also compared with IEC599 and MLP (multilayer
perceptron) model also given in Table III.

B. Data Pre-processing
In order to obtain better diagnosis, contents of these
dissolve or diagnostic gases are pre-processed through a
function as given in equation (6)
(6)
Where,
and
represents the maximum value and
minimum value in the data set respectively, are preprocessed data, is actual data. Therefore the data set will
turn into between 0 and 1.
C. Fault Diagnosis Model for Transformer
Pre-processed data of five gases are taken as input feature
vector of PNN fault diagnosis model system. Therefore
proposed model has five input nodes i.e. five neurons in the
input layer. Neurons in pattern layer are equal to number of
training pattern. In this paper 85 dissolve gas training pattern
are taken for training. In this exemplar pattern training pattern
set, 6 patterns of partial discharge, 25 patterns of low energy
discharge, 33 patterns of high energy discharge, 10 patterns of
low and med temperature fault and 11 patterns of high
temperature fault. Therefore, neurons in pattern layer are equal
to 85. The summation layer of proposed model has five
neurons, as there are only five numbers of faults to be
discriminated. The output layer has only one neuron, which is
just for a decision layer that selects maximum from its inputs
and outputs the corresponding class number.

Fig. 2. Classification results in testing phase.

Table III shows that where IEC599 fails to give any

conclusion i.e. no diagnosis (ND) due non existence of codes.
In our simulation, the MLP model includes one input layer
with 5 neurons, three hidden layer with 30, 20 and 10 neurons
respectively, one output layer with 5 neurons. Neurons in
hidden layer have a hyperbolic tangent sigmoid activation
function. Scaled conjugate gradient back propagation
algorithm is used to train the MLP model.
The comparison results of the two neural network fault
diagnosis methods are summarizes in Table II. Comparison
result shows that the transformer fault diagnosis based on
PNN model has accuracy of 95.23%, while model based on
MLP has accuracy of 85.71%. The simulation result also
shows that the training time of PNN is 1.14 seconds, while
that of MLP is 7.43 seconds.

570

TABLE II
COMPARISON OF ANN MODELS

Fault Type

Number of
Test Data

Partial discharge
Low energy discharge
High energy discharge
Low &Med Temperature
High Temperature
Sum
(Accuracy in %)

2
2
9
2
6
21

V. CONCLUSION
In the present paper a new method based on PNN for
transformer incipient fault diagnosis has been proposed. The
proposed method takes advantage of merits of probabilistic
neural network for transformer fault diagnosis.From the
simulation results, it is inferred that the proposed probabilistic
neural network based method approach performs very
accurately over a wide range of test DGA data. The accuracy
of prediction is higher in terms of percentage accuracy than
the other diagnostic techniques.

Correct Number
PNN
MLP
2
2
2
2
8
7
2
2
6
5
20
18
(95.23)
(85.71)

The comparison results shows that proposed is very

effective in transformer fault diagnosis because its accuracy is
higher than both the IEC 599 and MLP model. Proposed
method takes very less time to train as compare to MLP model
thats why it can be used as online transformer fault diagnosis
application.

VI. ACKNOWLEDGMENT
This work is supported in part by the TIFAC Core centre
of the Electrical Engineering Department, N.I.T. Hamirpur
(H.P.).

TABLE III
TEST DATA AND DIAGNOSIS RESULT BY PNN, IEC599 AND MLP METHOD

S.No.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21

H2
9340
2091
650
1330
3090
1084
8200
75
530
60
5900
7020
110
1
14
8800
2500
6
12705
3910
3420

CH4
995
149
81
10
5020
188
3790
15
345
5
1500
1850
62
27
14
64064
10500
2990
23498
4290
7870

C2H2
7
0
270
182
2540
769
277
250
21
32
800
4410
250
1
1
0
6
67
5188
1230
33

C2H4
6
3
51
66
3800
166
4620
14
266
21
1200
2960
140
4
7
95650
13500
26076
34257
6040
6990

C2H6
60
20
170
20
323
8
250
7
85
2
68
0
90
49
124
72128
4790
29990
6047
626
1500

IEC 599
ND
1
ND
ND
ND
2
ND
2
ND
ND
3
ND
2
ND
ND
4
4
4
ND
ND
5

PNN
1
1
2
2
3
3
3
2
3
3
3
3
3
4
4
5
5
5
5
5
5

MLP
1
1
2
2
3
3
3
2
5
3
3
3
3
4
4
5
5
1
5
5
5

Actual
1
1
2
2
3
3
3
3
3
3
3
3
3
4
4
5
5
5
5
5
5

VII. REFERENCES
[1]

[2]

[3]

[4]

[5]

E. Drnenburg and W. Strittmatter, Monitoring oil-cooled transformers

by gas analysis, Brown Boveri Rev., vol. 61, no. 5, pp. 238247, May
1974.
R. R. Rogers, IEEE and IEC codes to interpret incipient faults in
transformers,using gas in oil analysis, IEEE Trans. Dielect. Elect.
Insulation,vol. E1-13, pp. 349354, Oct. 1978.
IEC Publication 599, Interpretation of the Analysis of Gases in
Transformers and Other Oil-Filled Electrical Equipment in Service, first
ed., 1978
Q. Su, C. Mi, L. L. Lai, and P. Austin, A fuzzy dissolved gas analysis
method for the diagnosis of multiple incipient faults in a
transformer,IEEE Trans. Power Del., vol. 15, no. 2, pp. 593598, Apr.
2000.
A. P. Chen and C. C. Lin, Fuzzy approaches for fault diagnosis of
transformers, Fuzzy Sets Syst., vol. 118, pp. 139151, 2001.

[6]

V. Duraisamv, N. Devarajan, D. Somasundareswari, A. Maria Vasanth

and S. N. Sivanandam, "Neuro fuzzy schemes for fault detection in
power transformer", Applied Soft Computing, vol. 7, pp. 534-539, 2007.
[7] D. V. S. S. Siva Sarma and S. S. Kalyani, ANN approach for condition
monitoring of transformer using DGA, in Proc. IEEE Region 10 Conf.,
vol. 3, pp. 444447, 2004.
[8] J. L. Guardado, J. L. Naredo, P. Moreno, and C. R. Fuerte, A
comparative study of neural network efficiency in power transformer
diagnosis using dissolved gas analysis, IEEE Trans. Power Del., vol.
16, no. 4, pp. 643647, Oct. 2001.
[9] Y. Zhang, X. Ding, Y. Liu and P. J. Griffin, An artificial neural
network approach to transformer fault diagnosis, IEEE Trans. Power
Del., vol.11,no. 4, pp. 18361841,Oct. 1996.
[10] Z. Wang, Y. Liu and P. J. Griffin, A combined ANN and expert system
tool for transformer fault diagnosis, IEEE Trans. Power Deliv., vol.13,
no. 4, pp.12241229, 1998.

571

[11] C. E. Lin, J. M. Ling, C. L. Huang, An expert system for transformer

fault diagnosis using dissolved gas analysis, IEEE Trans. Power Deliv.,
vol. 8, no. 1, pp. 231238, Jan. 1993.
[12] D. F. Specht, Probabilistic neural networks, Neural Network, vol. 3,
pp. 109-118, March 1990.
[13] E. Parzen,On the estimation of a probability density function and
Mode, Annals of Mathmatical Statistics, vol. 33, Issue 3, pp. 1065
1076, Sep. 1962.

[14] D. F. Specht, Probabilistic neural networks for classification, mapping,

or associative memory, Proc. IEEE Int. Joint Conf. Neural Networks,
vol. 1, pp. 525532, July 1988.
[15] M. Duval, Interpretation of gas-in-oil analysis using new IEC
publication 60599 and IEC TC 10 databases, IEEE Elect. Insul. Mag.,
vol. 17, no. 2, pp. 3141, Mar/Apr. 2001.
[16] MATLAB 7.13, Neural Network Toolbox 7.0.2(R2011b) The
Mathworks. Natick, MA.
[17] M. Tripathy, R. P. Maheshwari and H. K. Verma, Probablistic neural
network based protection of power transformer, IET Electr. Power
Appl., vol. 1, pp. 793-798, September 2007

572

Mechanical Modeling and Simulation of Thermal

Bimorph Actuator
Mangey Ram Nagar, Navaid Z. Rizvi, Raaziyah Shamim and Sandeep Sharma
Chin Cheng et al., 2008 introduced and designed an
optimization process of the thermal micro actuator
performance based on mathematical simulation. The
simulation of thermal micro actuator has been done using
ANSYS 13.0 focused on the parameter optimization.
In this study, Mechanical and FEM modelling are
presented to explain the behaviour of the designed
thermal bi-morph micro actuator. Commercial MEMS
software, ANSYS and SaberRD are used for FEM
modelling and behavioral modelling simulation. The
purpose of this study is to analyse the expected deflection
from the thermal bi-morph micro actuators. The relationship
of certain important parameters such as implemented
voltage and the geometrical dimension of the thermal
micro actuator are demonstrated. In addition, the effects
of these parameters towards the Mechanical and electrical
properties of the thermal bi-morph micro actuator are also
determined.

Abstract: A thermal bi-morph micro actuator is mechanically

modelled and analytically examined. The modelling of
Mechanical behaviour of a thermalbi-morphmicro actuatoris
introduced. The analytical results are compared with the Finite
Element Model (FEM) results. For the same material properties
of the thermal bi-morph micro actuator, changing the input
voltage exhausts more electrical. The temperature in the
structure transmits only when the applied voltage changes.
Themaximum temperature of the thermal bi-morphmicro
actuator comes out at the middle of the hot arm.
Keywords: Thermal bi-morph micro actuator, Finite Element
Model, Behavioural modelling, Mechanical, VHDL-AMS.

I. INTRODUCTION
Thermal bi-morph micro actuators are the birthing
solution to the motivation for large and linear displacement
for low power MEMS actuators. The rewards equated to
electro statically driven actuators are its operation voltage
could be set to measured IC voltage and it could be designed
without close dimensional tolerances. Thermal micro actuator
can be divided as in-plane actuator and out-of-plane actuator.
The impulsive mechanisms admit the well-known bi-morph
effect and the use of hot and cold arms. The potential
applications of these devices are micro grippe, scanning
probe micro legs, Liquid drop eject or and so on.
Former researches on the development of Thermal
micro actuator focused in improving the performance and
potentiality of the thermal micro actuator by innovating a
new model and optimization techniques. Chi Chen et al.,
designed the thermal bi-morph micro actuator. Its lifetime
predicted. Zhen et al., 2007 developed thermal actuator
constructed in a CMOS process which has large
displacement. Jorge et al., 2009 developed and demonstrated
thermal micro actuator which has superior performance based
on the topology of a thermal actuator. Mayas et al., 2009
constructed a methodology to find the transient heating and
cooling time for a serially connected electro thermo micro
actuator.

II. RESEARCH PROCEDURE

A. STRUCTURE OF ACTUATOR
The analysed model for basic mechanical properties of
bi-morph micro actuator is shown in Figure 1. This bimorph micro actuator consists of a hot beam and a cold
beam where each of the beams has dissimilar lengths.
The hot beam or arm is usually thinner than the cold arm. In
this structure, the hot and cool arms are anchored at
one end and free to move elsewhere. A current is passed
through the whole structure, heating the small beam while
leaving the large beam relatively cool. Large thermal strains
in the small beam incline to make it stretch but this
stretching are resisted by the mechanical linkage with the
cool beam. Since the hot arm is very thin compared to the
cool arm, its resistance to the current flow is much
greater. This will cause a large temperature increment in
the hot arm while the temperature of the cool arm will rest
unchanged. In turn, large thermal strain will produce in the
hot arm as it tries to extend due to the temperature
increment and the differential stress between the arms
will cause the whole structure to deflect.

Mangey Ram Nagar, Navaid Z.Rizvi and Sandeep Sharma are with
School of Information and Communication Technology in Gautam Buddha
University,India(email:mangeyrnagar@gmail.com,navaid@gbu.ac.in,sandee
psharma@gbu.ac.in).
Raaziyah Shamim is with Electronics and Communication Department,
in JIIT, Noida,India (email: raaziyah.shamim@jiit.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

Figure 1. Sketch of a Thermal Bimorph Micro actuator

573

B. MODELLING AND SIMULATION

This equation is defined to be identically zero. This follows

from the assumed form for the temperature field. The
expression for TzM implies that:

a. Mechanical Modeling
The deflection of a simplified model of a thermal bimorph microactuator is analysed.
Figure 2 shows the model of the single beam structure.
When the thermal gradient perpendicular to the beam axis is
imposed, the conduction heat transfer in a plane beam is

MTz/ x2)=0

(8)

Substituting Equation (7) Therefore, both Equations are

reduced to:
4

(EI

v/ x4)+P(

v/ x2)=0

(9)

Further assume that P=0 and hence simplify to:

4

v/ x4 =0

(10)

Assuming the left end of the beam is held fixed or anchored,

the boundary conditions can be applied:
v(0)=( v/ x)(0)

Assume the right end of the beam is free or unsupported. In

the presence of thermal stresses, the boundary conditions at
the free end of a beam are:

Figure 2 Single Beam Structure

T(x)=(T-Ts)x / L+Ts
By impose the temperature profile,
T(y)=[(Th-Tc)h]y +(Th-Tc)/2

(1)

(2)

[ (EI v/ x )/ x ] +P( v/ x )=F

(EI

MTz/ x2)

(12)

(13)

v/ x3)(L)+P( v/ x)= ( MTz/ x)

v/ x2)(L)= - ( Ewh2/12)(Th-Tc)

(14)

The differentiation of this Equation (14) gives:

3
v/ x3(L)=0

(15)

(EI

Taking the integration of the equation below and applying

the boundary condition to find the beam deflection:
(EI 2v/ x2)(x)= - ( wh2/12)(Th-Tc)
(16)

(3)

(E 2v/ x2)(x)= - ( wh2/12I)(Th-Tc)

v(x)= - ( wh2/24I)(Th-Tc)x2

(4)

I=

dA

(19)

Therefore, Equation (16) is reduced to:

(5)

WhereTzM is the bending moment and alpha is the thermal

expansion coefficient. Using the assumedtemperature and
assuming that alpha and E are constant:

(20)

From the analysis in the previous section, the temperature

distribution is given by Equation (20). First, it is necessary
to find the temperature change in the beam by substituting
the results into Equation (20), and then the deflection of the
beam can be found.

(6)

b. Behavioral modelling

The assumption that there is no motion in the y-z plane is

required to assume the analogous quantity TzM defined as:
MTy=

(18)

Where I is defined as:

v(x)= - ( /2h)(Th-Tc)x2

MTz=( Ewh2/12)(Th-Tc)

(17)

Finally, the deflection in Equation (16) is obtained as:

Assume that the load p(x) i.e. the contribution from the
effects other than thermal stress is identically zero. The term
MTz is computed by:
MTz=

v/ x2(L)=-MT z

Using Equation (6), this can be reduced to:

Where E = Youngs modulus of the beam, I = moment of

inertia, v = deflection of the beam, P = load of the beam and
F is the applied force. Assume there is no motion of the
beam in the y-z plane. The applied force can be written as:
F=P(x)-(

EI

Where T is the temperature of the bottom of the beam (cold

arm temperature) andh T is thetemperature of the top of the
beam (hot arm temperature). Equation (1) shows that the top
of the beam mimics the hot arm of the microactuator while
the bottom of the beam mimics the cold arm of the
microactuator. By denoting the deflection in the x-y plane by
v(x), the steady-state deflection of an elastic beam is
2

(11)

Before modelling a paradigm, a simulation of the whole

system is necessary to verifythe functionality of single
components and their fundamental interaction. For MEMS, a

(7)
574

design environment is required which allows simulation of

different physical domains including coupling effects.
VHDL-AMS is a flexible system description language
desirable for matching such requirements. Additionally, it
allows to describe and to simulate the system at different
levels of abstraction.
System level modelling and simulation have necessary
part in MEMS design due to the improving system
complexity. But high level models have the disfavour of
frequent considerable errors in simulation. These errors
happen because physical phenomena must be analysed to be
put in an equation. VHDL-AMS or similar simulation
systems can only resolve differential algebraic equations but
no partial differential equations. If the partial differential
equations cannot be solved analytically, an approximated
solution must be used which increases error additionally.

Figure 5 Current versus Applied voltage for analytical model

III. RESULTS AND DISCUSSION

The temperature along the hot arm increases up to the
centre of the arm and then decreases. The temperature
decreases because the cold arm acts as a heat sink to bring
the temperature down. The maximum temperature increases
with the increasing in voltage. The results show a good
agreement between the analytical and simulation analyses.
The maximum deflection increases with the increasing in
voltage. The results also show that the deviation producedis
rather considerable.
The current linearly changes with the increase of voltage
(Figure 6). The graph shows an equal pattern between the
analytical and simulation results but deviates in small values.

Figure 6 Maximum Deflection as function of Input Voltage

IV. CONCLUSION
The modelling and simulation of a thermal bi-morph
micro actuator using the commercial software ANSYS are
presented in thispaper. A simplified analytical model to
explain the analysis is also presented. The effect of varying
voltage to the maximum temperature, current, maximum
deflection and power consumption is discussed. The results
obtained by simulation are in close agreement with the
analytical results.
V. FUTURE WORK
We have simulatedthe thermal bi-morph micro actuator.
We have got simulation and behavioural results using
ANSYS. Students can simulate thermal actuator using
VHDL-AMS language and can analyse power consumption
of thermal bi-morph actuator.

Figure 3 Analytical Results of temperature distribution

VI. ACKNOWLEDGEMENT
The authors would like to express sincere appreciation
to Dr. Rajesh Mishra and Dr. Ela Kumar for their cooperation and assistance in providing support for the
software.
REFERENCES
[1]. Jorge varona, Margarita Tecpoyotl-Torres, Anas A. Hamoi, 2009.
Design of MEMS vertical-horizontal chavron thermal actuator.
Sensors and actuators A: Pp-127-130.
[2]. Chincheng, chi-kangchan, Tsung-Chieh Cheng, Che-Wei Hsu, GaungjerLia, 2008. Modeling, fabrication and performance test of an electro
thermal actuator. Sensors and actuators A:physical, Pp-360-369.
[3]. Chincheng, chi-kangchan, Gaung-jerLia, 2008.Optimal design of
Al/Si bimorph electro-thermal micro actuator by integrating finiteelement code with optimization method. Sensors and Actuators A:
Physical. Pp-53-63.

Figure 4 Maximum temperatures as function of Input

voltage

575

[4]. QA. Hung and N. k. s. Le, Analytical Modelling and Optimization for
A Lateral driven polysilicon Thermal Actuator. Microsystem
Technologies. Pp-133-137
[5]. Messenger, R.K., Aten, Q.T., Mc Lain, T.w.
Howall,
2009.Piezoresistive feedback control of MEMS Thermal actuator.
Micromechanical system. Pp-1267 1278
[6]. Gilgunn, P.j., Fedder, 2010. Scaling of folded electro thermal
actuators. Micro Electro mechanical Systems. Pp.- 1151 1154
[7]. Greminger, M.A., Sezen, A.S., Nelson, B.J., 2005. A four degree of
freedom MEMS micro gripper with novel bi-directional thermal
actuators, Proc. International Conference on Intelligent Robots and
Systems (IROS 2005): 2814 2819.

576

Direct Torque Control for Dual Three-Phase

Induction Motor Drives
Umesh Chandra Dikshit and R. K. Tripathi, Member, IEEE

Abstract-- This paper discusses a direct torque control (DTC)

method for dual three-phase induction motor (DTPIM) drives
with multilevel hysteresis torque comparator. The DTPIM has
two, three phase winding spatially shifted by 30 electrical
degrees. The DTPIM fed by six phases Voltage Source Inverter
(VSI) has 64 inverter switching states which provide higher
possibility in selecting space voltage vectors than three phase
induction machines. The machine model is based on the vector
space decomposition theory. A five-level hysteresis torque
comparator is used instead of conventional three-level
comparator. This approach helps in tackling small and large
errors separately by selecting different space voltage vectors.
The advantages of discussed strategy are good transient and
steady-state performance. The proposed scheme is validated by
simulation.
Index TermsDual three-phase induction motor, direct
torque controls.

I. INTRODUCTION

HE first multiphase motor drive known to the authors, a

five-phase voltage source inverter-fed induction motor
was proposed in 1969 [1]. Multiphase motor drive have
become a focus of substantial attention due to developments
in three very specific areas, namely electric ship propulsion,
traction (including electric and hybrid electric vehicles) and
the concept of more electric aircraft. The main advantages
of multi phase machines over their conventional three-phase
counterparts are: 1) reduction of current stress of each
inverter switch as the power is divided on more inverter legs.
For this reason, they are convenient in high power
applications; 2) multiphase machines have greater fault
tolerance than their three-phase counterparts. If one phase of
a three-phase machine becomes open-circuited the machine
becomes single phase. It may continue to run but requires
some external means for starting, and must be massively derated. If one phase of a multiphase machine becomes opencircuited it will still run with minimal de-rating; 3) lowest
frequency torque ripple harmonic in three-phase machines
are caused by the time harmonics of the supply of fifth order
whereas, in n -phase machines it is caused by 2n 1 order
harmonics, an increase in the number of phases appear as the

Authors are with the Department of Electrical Engineering, Motilal Nehru

National Institute of Technology, Allahabad-211004, India (e-mail:
rktripathi@mnnit.ac.in, dikshit_umesh@rediffmail.com).

best solution of this problem [2]. The most common

multiphase machine drive structure is the dual three-phase
induction machine having two sets of three-phase windings
spatially shifted by 30 electrical degrees with isolated neutral
points. In this structure, each set of three phase windings is
excited by a three leg inverter.
Direct torque control was developed by Takahashi in 1986
[3]. This strategy has developed in past two decades and is
powerful control method for motor drives, and also is very
simple in its implementation. It provides a fast torque
response and is robust against machine parameter variations.
DTC controls stator flux and electric torque by means of
hysteresis comparators of electric torque and stator flux. The
only factor that is adjusted is the amplitude of the hysteresis
band and its levels. By identifying position of the stator flux
in the space voltage vector plane, output voltage vector can be
selected.
Three-phase IM drive has eight switching states, that gives
six non-zero space voltage vectors and two zero space voltage
vectors [4]. In each sampling period, one of the six non-zero
space voltage vectors and two of the zero space voltage
vectors are applied to the motor. The number of available
space voltage vectors, determines the presence of ripple in the
stator current and torque.

Vdc

+
Vas
-

Vxs
-

Vbs

Vys

+
Vzs

Vcs
-

Nabc
Nxyz

Fig. 1 Dual three-phase induction machine.

In comparison with three phase IM drives, DTPIM drives are

supplied with a 6 phase inverter, as shown in Fig. 1. In this
case, the total number of the six-phase inverter switch
combinations is 26 = 64, so there are 64 space voltage vectors.
Therefore, DTPIM drives have more voltage vectors than

978-1-4673-0455-9/12/$31.00 2012 IEEE

577

three-phase IM that can improve ripple content of stator

current and torque.
Several papers appeared in the past
which describes the effect of flux and torque hysteresis band
amplitude in the direct torque control of induction motors [5].
For prefixed torque band amplitude, the inverter switching
frequency is related to the amplitude of the flux hysteresis
band. Small flux band amplitude determines higher switching
frequency. The stator flux vector locus approaches a circle
and the phase current waveform is nearly sinusoidal. These
operating conditions determine low harmonic copper losses in
the machine and high switching losses in the inverter. As the
amplitude of the flux hysteresis band increases the switching
frequency decreases and the stator flux vector locus
degenerates to a hexagon. These operating conditions require
the smallest number of commutations in each fundamental
period, but determine harmonic distortion in phase current
similar to six-step inverter-fed induction machine. As a
consequence the commutation losses decrease while the
harmonic copper losses increase.
+1

+T

hysteresis but in the dual three-phase induction motors there

are as many as 64 switching states are possible, multi-level
torque hysteresis band can be used to improve the
performance. The Fig. 3 shows the five-level torque hysteresis
band used in this paper to improve the performance of motor
drive. Fig. 4 shows the flux hysteresis band which has two
levels namely -1 and 1.
II. MODELING OF DTPIM
To model the DTPIM, vector space decomposition
approach [8] is used under the following assumptions.
The windings are sinusoidally distributed and the
rotor cage is equivalent to a six-phase wound
rotor.
The magnetic saturation and the core losses are
neglected. The mutual leakage inductances are
zero since the machines uses full pitch stator
windings.
The basic equations for dual three-phase induction
machines are described in [8].
The voltage equations of the machine are as follow.
For stator circuit:
[Vs ] [ Rs ][ I s ] p([ Lss ][ I s ] [ Lsr ][ I r ])

-1

-T

Fig. 2 Three-level torque hysteresis comparator.

(1)

For rotor circuit:

+2

[Vr ] [ Rr ][ I r ] p ([ Lrr ][ I r ] [ Lrs ][ I s ])

+T

+1

(2)

The DTPIM can be decomposed into three twodimensional

orthogonal
subspaces, ( , ) , ( 1, 2),

+T/2

(1, 2) by the following transformation:

-1

-T/2

1 cos()

0 sin()

1
1 cos( - )
T =
3

0 sin( - )

0
1
0
1

-2

-T

Fig. 3 Five-level torque hysteresis comparator.

+1

-1

Fig.4 Flux hysteresis comparator

The performance of induction motor drives also depends on

the level of hysteresis comparators [6]. Casedi et al. [7]
discussed how varying the amplitude of the hysteresis band
affects the device switching rate and the harmonic content of
currents and voltages. Hysteresis comparators (HCs) lie at the
heart of DTC schemes and are responsible not only for
determining the optimum voltage vector to be switched, but
also for determining how long that vector or action remains
selected. Hysteresis is used to prevent the power devices from
switching unnecessarily at each new update or switching
decision. A standard hysteresis comparator (HC) is shown in
Fig. 2, where there are three levels of signal, namely -1, 0
and 1. As there are only six active voltage vectors together
with the zero vector to choose from, there is no practical
benefit to be gained in having more than three levels of

1
2
3
2
1
2
3
2
1
0

cos(2 3 + )
sin(2 3 + )
cos( 3 - )
sin( 3 - )
0
1

1
2
3
2
1
2
3
2
1
0

cos(4 3 + )

sin(4 3 + )

cos(5 3 - ) (3)

sin(5 3 - )

In this matrix, is the electrical angle between the two,

three phase windings, which is 30 electrical degrees.
The matrix T has the following properties.
The fundamental components of the machine
variables and the harmonic of order k 12n 1
(n 1, 2, 3...) are mapped in the ( , ) subspace.

578

These components contribute to the air-gap flux.

The harmonics of the order k 6n 1, (n 1, 3, 5...)
are mapped in the ( 1, 2) subspace. These
harmonics do not contribute to the air-gap flux
since both sub spaces are orthogonal.
The zero-sequence components are mapped in the

(1, 2) subspace.
L is the load torque and p is the number of pair of poles.

Hence, from the point of view of flux and torque

production, the analysis and control of the machine using
the vector space decomposition approach are greatly
simplified since the machine model in the ( , ) subspace
is identical to the three-phase machine.
The decoupled model for DTPIM is as follows:
( , ) subspace
vs = R s .is + Ls

vs = R s .i s + Ls

0 = R r .i r + L r

dis

dt

di s

+M

di r

dt

dt

(4)

dt

+ r .L r .i r + M

di r
dt

dis
dt

+ r .M.is

- r L r i r - r .M.is + M

HYSTERESIS COMPARATOR

The functional block used to implement DTC scheme is

shown in the Fig 5. By combinational analysis of all states of
12 inverter keys, a total of 64 switching modes can be
obtained. By applying the transformation (3), 64 voltage
vectors are projected on the three subspaces. We have used
double neutral topology of DTPIM as illustrated in Fig 1. In
this case, the projection of the voltage vectors on the (1, 2)
subspace is zero [9], and the space voltage vector selection is
performed only on the ( , ) and ( 1, 2)subspace .

di r

dt

di r

0 = R r .i r + L r

+M

III. DIRECT TORQUE CONTROL WITH FIVE-LEVEL TORQUE

Flux
Controller

dis
dt

F*

Two Level

+
-

The stator and rotor flux linkages of this subspace are:

s = Ls is + Mi r
r = Mis + L r i r

Switching
Table

(5)

With

VSI

Torque
Controller

M = 3L ms
T*

Ls = Lls + M

Five Level

+
-

L r = Llr + M

( 1, 2) subspace
di
vs1 = R s .is1 + L ls

Torque and
Flux Estimator

s1

DTPIM

dt
di

vs 2 = R s .is 2 + L ls

s 2

Fig. 5 Block diagram of DTC for DTPIM.

(6)

dt

(1, 2) subspace
di
vs1 = R s .is1 + L ls

s1
dt

di
vs 2 = R s .is 2 + L ls

s 2

(7)

dt

Fig 6, 7 shows the selected space vectors for DTPIM. The

decimal numbers in the figures, show switching states of the
inverter switches. By converting each decimal number to a
six digit binary number, the 1s indicate, on state of the upper
switch in the corresponding arm of the inverter. The most
significant bit (MSB) of the number represents the switching
states of phase a, the second MSB for phase x and so on.
For DTPIM with = 30 we select the 12 biggest vectors
in the ( , ) subspace in which the respective voltages in the
o

The mechanical equation can be given as:

Jm

d
dt

= m - L

(8)

In which J m is the inertia coefficient, and;

m = p(s * is )

is the torque generated by the motor.

(9)

( 1, 2) subspace will be smallest amplitude vectors. By this

selection we have 12 voltage vectors available for selection.
These are used with five-level hysteresis comparator. For
small error, a different voltage vector is selected and for large
errors another vector is selected. This is totally different from
conventional hysteresis comparator where for both small and
large errors same voltage vector is selected. In this case the
switching table is modified with ten rows and six columns.
579

The voltage space is divided in six equal parts. According to

the torque and flux errors and the sector in which the voltage
vector is laying the next voltage vector is selected.

Like stator flux, for torque control also, effect of each space
vector can be explained. Space voltage vectors V56, V60,
V28, V12, and V14 increase electric torque while V7, V3,
V35, V51, V49 and V48 decrease electric torque. Space
voltage vectors V28 and V35 have the greatest effect on the
electric torque. For controlling both stator flux and electric
torque, we can conclude following laws. For decreasing both
stator flux and electric torque we can apply V7 or V3. For
increasing both stator flux and electric torque we can apply
V56 or V60. For increasing stator flux and decreasing electric
torque, space voltage vectors V51, V49 or V48 can be
applied. For decreasing stator flux and increasing electric
torque, space voltage vectors V12 or V14 can be applied. For
maintaining the stator flux amplitude and decreasing the
electric torque, space voltage vectors V0 or V63 can be
applied.
V. SIMULATION RESULTS
In order to verify the efficiency of the proposed five-level
torque hysteresis band, a MATLAB Simulink model has
been developed. Fig 5 shows the block diagram of the
method. A Simulink model for the DTPIM has been
developed with the help of equations (1) and (2). Equations
(4) and (5) have been used to estimate the amplitude and
angle of stator flux vector. Five-level torque and two-level
flux hysteresis regulators have been used for controlling stator
flux and electric torque. The dc source voltage and the stator
currents are measured in this control algorithm. The
parameters of the simulated motor are given in the Table 1.
Fig 8 and 9 show simulation results for five-level and threelevel hysteresis band controllers for DTPIM. Fig 8a and 9a
shows the quadrate component of stator flux versus horizontal
component of stator flux in stationary reference frame for
three level and five level torque hysteresis DTC controller
respectively. Fig 8b and 9b shows the timing response of
developed electromagnetic torque for three-level and fivelevel torque hysteresis DTC controller respectively. On
comaring fig. 8b and 9b we can see that five level hysteresis
DTC controller reduces torque ripples and hence improves
the transient performance of induction motor drives under
varying load conditions.

Fig. 6 Voltage vectors in the ( , ) subspace.

Fig. 7 Voltage vectors in the ( 1, 2) subspace.

This improves the performance as compared to the

conventional DTC controller.
IV. SWITCHING PATTERN FOR DTPIM
The aim of DTC of DTPIM is to select proper state space
voltage vector to maintain both the stator flux and electric
torque within the limits of their hysteresis bands. If the stator
flux is less than its reference, the space voltage vectors V51,
V49, V48, V56, and V60 can be applied to increase the stator
amplitude. For decreasing start flux, space voltage vectors
V12, V14, V15, V7, and V3 can be selected. The space
voltage vectors V48 and V15 have the greatest effect on the
stator flux amplitude. The zero voltage vectors V0 and V3
havent any effect on the stator flux amplitude.

Fig. 8a Electromagnetic torque vs. Time.

580

TABLE I
PARAMETER OF THE SIMULATED MOTOR

VSI DC source voltage

600V

Mutual inductance

51.3 mH

Stator Resistance

2.34

Stator leakage inductance

6.7 mH

Rotor resistance

1.17

Rotor leakage inductance

6.7 mH

Inertia coefficient

0.03 Kg.m

VI. CONCLUSION
Fig. 8b Stator flux ( , ) component.
Fig. 8 Simulation results for three-level torque hysteresis comparator based DTC
for DTPIM.

This paper deals with a direct torque control (DTC)

scheme for dual three-phase induction motor drives. DTPIM
has 64 space voltage vectors that with respect to its three
orthogonal subspaces, for reducing losses due to the current
components which do not have any contribution in the energy
conversion, we have used 12 non zero space voltage vectors
with a five level torque hysteresis band controller for
separately dealing small and large torque errors. The
simulation results shows satisfactory results for five level
torque DTC controller for DTPIM.
VII. ACKNOWLEDGMENT
The authors gratefully acknowledge the contributions of
Mohd. Tabrej Alam and Vipin Chandra Pal.
VIII. REFERENCES
Ward E.E. and Harer H, Preliminary investigation of an invertor-fed 5phase induction motor, Proc. IEE, 1969, 116, (6), pp. 980984.
[2] E. Levi, R. Bojoi, F. Profumo, H. A. Tolyat, and S. Williamson,
Multiphase induction motor drivesA technology status review, IET
Elect. Power Appl., vol. 1, no. 4, pp. 489516, Jul. 2007.
[3] I. Takahashi, T. Noguchi, A new quick-response and high efficiency
control strategy of an induction machine, IEEE Trans. On IA, Vol. 22, N.
5, Sept./Oct. 1986, pp. 820-827.
[4] I. Takahashi, T. Noguchi, "Take a look back upon the past decade of
direct torque control of induction motors", Proceeding of the Industrial
Electronics Society Annual Meeting Conference 1997, Vol. 2, pp. 546551.
[5] D. Casadei, G. Grandi, G. Serra, and A. Tani, "Effects of flux and torque
hysteresis band amplitude in direct torque control of induction machines",
Proc. IECON'94, pp.299 - 304 , 1994 .
[6] A. Purcell, P. Acarnley, "Multilevel Hysteresis Comparator Forms for
Direct Torque Contol Schemes," IEEE Electronics Letters, vol.34, pp.
601-603, March, 1998. (Pubitemid 128561717)
[7] D. Casadei, G. Grandi, G. Serra, and A. Tani, "Effects of flux and torque
hysteresis band amplitude in direct torque control of induction machines",
Proc. IECON'94, pp.299 - 304 , 1994 .
[8] Y. Zhao and T.A. Lipo, "Space vector PWM control of dual three-phase
induction machine using vector space decomposition", IEEE Trans. Ind.
Appl., Vol. 31, No.5, September/October 1995, pp.1100-1108.
[9] R. Kianinezhad, B. Nahidmobarakeh, F. Betin and G. A. Capolino," A
New Field Orientation Control of Dual Three Phase Induction Machines",
IEEE International Conference on Industrial Technology, ICIT 2004; 810 Dec. 2004.
[10] I. Takahashi and T. Noguchi, "A new quick-response and high-efficiency
control strategy of an induction motor", IEEE Trans. Ind. Applicat., vol.
IA-22, pp.820 - 827 , 1986.
[1]

Fig. 9a Electromagnetic torque vs. Time.

Fig. 9b Stator flux ( , ) component.

Fig. 9 Simulation results for five-level torque hysteresis comparator based DTC
for DTPIM.

581

[11] R. Bojoi, F. Farina, G. Griva, F. Profumo, and A. Tenconi, "Direct torque

control for dual three-phase induction motor drives," IEEE Transactions
on Industry Applications, vol. 41, no. 6, pp. 1627-1636, Nov. 2005.
[12] R. Zaimeddine and T. Undeland, "Direct torque control scheme for dualthree-phase induction motor", IEEE International Power Electronics
Conference (IPEC), pp.3007-3014, 2010.

582

Analytical Models for Low Pressure Square

Diaphragm Piezoresistive MEMS Sensor
SaloniChaurasia and B.S. Chaurasia

Abstract--Pressure micro sensors are designed to operate in

linear range and presently the most widely used devices are
MEMS sensors and have gained popularity in biomedical,
automotive and avionics Industries. In the present work
modeling of low pressure square diaphragm piezoresistive
MEMS sensor has been done using the available analytical
models through their best fitting to match with FEM (Finite
Element Method) simulation results. This is done for different
aspect (thickness (h) / length (L)) ratios of the diaphragm after
discovering that the h/L ratio is the prime design parameter.
Further, an analytical model for the stress value at diaphragm
centre has been proposed whose inevitability is based on the
investigation that stress at centre exceeds the stress near the edge
of diaphragm with increasing aspect ratios and these values are
an important factor for sensor design considering the fact that
the level of stress generated in the diaphragm region should be
within fracture limit at burst pressure. This work presents
analytical models for designing pressure micro sensors applicable
to different aspect ratios of diaphragm and thus simplifying the
designing of senor without experiencing the limitation of the
available models.
Index Terms--MEMS; micro sensor; piezoresistive; pressure.

I. INTRODUCTION

HE demand for low cost and micro size semiconductor

pressure sensor is growing with technological
development in various fields of engineering including
metrology, control systems and biomedical. The transitions
from mechanical to silicon type are in response to meet these
demands. Micro sensors are the most widely used device
today and pressure micro sensors are one of the most common
MEMS devices [1] and have gained popularity in biomedical,
aerospace and automotive industries. The present work also is
focused on the modeling and simulation of silicon square
diaphragm piezoresistive MEMS low pressure sensor.
In the piezoresistive device, a bridge of diffused resistors is
used to measure stress at four points on the diaphragm
and convert it to an electrical output signal. The diaphragm
can be simulated as a thin plate problem [2] and the sensor
sensitivity, pressure range or burst pressure depends on its
diaphragm length and thickness. A set of equations fitted by
SaloniChaurasia is with the Department of Electronics and
Communication Engineering, Motilal Nehru National Institute of Technology,
Allahabad-211004, India (e-mail: saloni1290@gmail.com).
B.S. Chaurasia is with the Department of Electronics Engineering,
Institute of Technology, B.H.U. Varanasi-221005, India (e-mail:
bhanu_chaurasia@yahoo.com).

the results from finite element methods (FEM) to calculate

analytically the diaphragm deflection, sensitivity and burst
pressure to design a pressure micro sensor is proposed [3],[4]
which in spite of being straightforward and useful have
certain limitation. These models show mismatch with FEM
simulation results and found to have congruity with the design
of the diaphragm of a particular aspect (thickness (h) / length
(L)) ratio only. A further investigation reveals that the sensor
performance changes with diaphragm aspect ratio establishing
the aspect ratio as the main design parameter and thus
necessitating the fitting of the analytical models on the basis
of different aspect ratios to match with FEM simulation
results. Further, while designing a pressure sensor attention is
paid to the level of stress generated at burst pressure and that
should be kept within the fracture limit of silicon. Also, the
stress generated near the centre of diaphragm edge is normally
higher than other regions, however, it was observed that with
increasing aspect (h/L) ratio the stress generated at diaphragm
centre exceeds the stress developed near the diaphragm edge
and also there is no model reported, except in the previous
work of the coauthor of this paper, for stress generated at
diaphragm centre. Therefore, an analytical model for
calculating stress at diaphragm centre for designing the sensor
has been proposed.
The following sections describe measurement theory,
reported and proposed analytical models useful for the sensor
design, and FEM simulation based mechanical analysis of the
sensor models of different aspect ratios for verification and
validation of the analytical models using Intellisuite MEMS
CAD software tools which are equipped with FEM model
prototyping and their different mechanical analysis
capabilities. Further, a close matching between the proposed
analytical model and simulation results has been observed and
thus validates the models.
II. THE MEASUREMENT THEORY
The measurement theory of silicon piezoresistive pressure
sensor is well established [1], [5]-[6] where the piezoresistors
are diffused on the surface of the sculptured diaphragm (Fig.
1) and connected to form a Wheatstone bridge. The fractional
change in the resistance of a resistor (R) that is subjected to
longitudinal (l) and transverse (t) stresses is given by
(1)
l and t respectively are the longitudinal and transverse
piezoresistive coefficients.

978-1-4673-0455-9/12/$31.00 2012 IEEE

583

The three independent piezoresistive constants namely

longitudinal, transverse and shear, which need to be
considered in the case of a cubic silicon crystal are 11, 12 and
44 and can be used to derive the longitudinal and transverse
piezoresistive coefficients for any crystal direction [5], [6].
Thus

= 11 - 2 (11 - 12 - 44) (l12 m12 + l12 n12 + m12 n12)

And t = 12 + (11 - 12 - 44) (l12 l22 + m12 m22 + n12 n22)
(l1, m1, n1) and (l2, m2, n2) are respectively the sets of
direction cosines between the longitudinal resistor directions
(subscript 1) and the crystal axis, and between the transverse
resistor directions (subscript 2) and the crystal axis. Further,
the longitudinal piezoresistive coefficients are maximum in
110 direction in (100) plane wafers [7] and 110 is also the
direction of primary flat of wafers which is used to align them.
Therefore in the fabrication of piezoresistive sensors, the
piezoresistors should be perpendicular or parallel to the
primary flat of the wafers. Also, the longitudinal and
transverse cosines for the 110 directions oriented
piezoresistors are (1/2, 1/2, 0) and (-1/2, 1/2, 0)
respectively. These result in

110 = (11 + 12 + 44)

t110 = (11 + 12 - 44)

For this specific configuration of p-type diffused

piezoresistors and tensile stress, the resistance of the resistors
oriented in the longitudinal direction increases whereas the
resistance of the resistors oriented in the transverse direction
decreases. Also, the values of longitudinal and transverse
gauge factors are roughly equal but of opposite signs (8) and
thus both types of resistors can contribute to the bridge
sensitivity with linearity.
Combining (1), (4) and (5) we get the general
expression for fractional change in piezoresistance given by
(9)
The Wheatstone bridges output is given as
(10)
Where VCC is bridge excitation and VO is bridge output.
Plugging (9) in to (10) gives
(11)

(2)
(3)

Vcc

These equations yields

110 = 44
t110 = - 44

(4)
(5)

Since 11 and 12 are negligible as compared to 44 for p-type

diffused resistors.
Fig.1 shows the top view of a square diaphragm
piezoresistive pressure sensor in which the resistors R1 and R3
are longitudinal and R2 and R4 are transverse piezoresistors
forming a Wheatstone bridge with their axes aligned to 110
direction. Further, the longitudinal and transverse stresses both
act on each resistor, i.e., if a resistor experiences a stress l
length wise then it must also be subjected to a stress l along
its width and vice versa, where is the Poissons ratio. Also,
the stresses on the longitudinal resistors (R1 and R3), and on
transverse resistors (R2 and R4) are equal but act in direction
90 to each other, that is, the transverse stress on R2 and R4 is
the longitudinal stress on R1 and R3, and vice versa[8]. Thus,
for the case when all resistors are equal (R) then using (1),
the total changes in longitudinal resistance and transverse
resistance would be

(6)
(7)

R3

R4

R2

X
R1

: Stress direction due to applied pressure

Fig.1.Top view of conventional square diaphragm piezoresistive pressure

sensor (R1, R3: longitudinal piezoresistors; R2, R4: transverse piezoresistors)

III.

ANALYTICAL MODELS

A. Reported Analytical Models

The reported analytical models [2], [3] useful to design the
low pressure sensor are
Diaphragm deflection at the centre w
(12)

Using (4) and (5) in (6) and (7), we get

And Sensitivity S
(8)
584

(13)

Where h is diaphragm thickness, L is diaphragm length

(Fig. 2), E is Youngs modulus, is Poissons ratio and 44 is
piezoresistive coefficient respectively.

TABLE I
OPTIMIZATION CONSTANTS FOR DIAPHRAGM DEFLECTION (w)
MODEL FOR DIFFERENT ASPECT (h/L) RATIOS
Aspect
ratio 0.001 (h/L) 0.01 0.01<(h/L)<0.03 0.03(h/L)<0.05 (h/L)=0.05 0.05<(h/L)0.1
(h/L)

APPLIED PRESSURE
DIAPHRAGM

PIEZORESISTOR

Constant

(Cw)

0.0155

0.0166

0.0179

0.0189

0.0235

L
TABLE II
OPTIMIZATION CONSTANTS FOR SENSITIVITY (S) MODEL FOR
DIFFERENT ASPECT (h/L) RATIOS

Fig.2. Cross sectional schematic of the pressure sensor

Further, the plots for diaphragm deflections and sensor

output obtained using the above reported analytical models
were compared with simulation results and it was found that
they have close matching only at diaphragm aspect ratio of
0.005 (Figs. 3 and 4).

(h/L) =
Aspect
0.001(h/L)<0.01 0.01(h/L)0.03 0.03<(h/L)0.05 0.05<(h/L)<0.1
0 .1
ratio(h/L)

Constant
(Cs)

0.1299

0.1155

B. The Analytical Models

In this work the reported analytical models have been best
fitted in accordance to different aspect ratios to match closely
with the corresponding simulation results.

0.1144

0.1599

0.099

TABLE III
OPTIMIZATION CONSTANTS FOR STRESS AT DIAPHRAGM CENTRE
(centre) FOR DIFFERENT ASPECT RATIOS

Aspect ratio
(h/L)
Constant (Cc)

0.001 (h/L) <0.01 0.01 (h/L) 0.05 0.05 < (h/L) 0.1
0.02263

0.02363

0.02799

And therefore the models obtained after optimizing their

constants for a range for aspect ratios as given in Table 1 and
2 and useful to design low pressure sensors are
Diaphragm deflection at the centre w
Fig.3. Comparison of diaphragm deflection plots for reported analytical model
results with FEM simulation result for aspect ratio 0.005

(14)
And Sensitivity S
(15)
Where Cw and Cs are empirically selected optimization
constants for different aspect ratios (Table 1 and Table 2).
C. Analytical Model for Stress at Centre
The other proposed analytical model for stress at
diaphragm centre
is [2], [9]-[10]

(16)
Fig.4. Comparison of sensor output plots for reported analytical model results
with FEM simulation result for aspect ratio 0.005

585

Where P is pressure applied to diaphragm and Cc is

empirically selected optimization constant for different aspect
ratios (Table 3).
IV. SIMULATION RESULTS AND DISCUSSIONS
The reported analytical models have been empirically
fitted (optimized) for different aspect ratios for better
matching with FEM simulation results using Intellisuite
MEMS CAD software. The plots given in Figs. 5 18 show
close matching of these fitted models as well as the proposed
model for calculating stress at diaphragm centre with
simulation results and thus validate them.
Figures 5, 6, 7, 8 and 9 show plots for diaphragm
deflection versus applied pressure for different aspect ratios of
the diaphragm.
Figs. 10, 11, 12, 13 and 14 show plots for output
(sensitivity) versus applied pressure calculated from the stress
value obtained through simulation and using (11) for
different aspect ratios of the diaphragm.
Figs. 15, 16, 17, 18 show stresses versus applied pressure
plots for different aspect ratios of the diaphragm.
Further, the plots in Fig. 18 shows that at higher aspect
ratio (h/L = 0.1) the stress at centre supersedes the stress at
diaphragm edge and hence becomes a crucial factor in
designing the sensor.

Fig. 7.Comparison of diaphragm deflection plots for reported and optimized

analytical model results with simulation results for aspect ratio 0.04

Fig. 8.Comparison of diaphragm deflection plots for reported and optimized

analytical model results with simulation results for aspect ratio 0.05

Fig. 5 .Comparison of diaphragm deflection plots for reported and optimized

analytical model results with simulation results for aspect ratio 0.005

Fig. 6 .Comparison of diaphragm deflection plots for reported and optimized

analytical model results with simulation results for aspect ratio 0.02

Fig. 9.Comparison of diaphragm deflection plots for reported and optimized

analytical model results with simulation results for aspect ratio 0.075

586

Fig. 10.Comparison of output plots for reported and optimized analytical

model results with simulation results for aspect ratio 0.005

Fig. 13.Comparison of output plots for reported and optimized analytical

model results with simulation results for aspect ratio 0.075

Fig. 11.Comparison of output plots for reported and optimized analytical

model results with simulation results for aspect ratio 0.02

Fig. 14.Comparison of output plots for reported and optimized analytical

model results with simulation results for aspect ratio 0.1

Fig. 12.Comparison of output plots for reported and optimized analytical

model results with simulation results for aspect ratio 0.04

Fig. 15.Comparison of stresses plots for optimized analytical model results

with simulation results for aspect ratio 0.005

587

Fig. 16.Comparison of stress plots for optimized analytical model results with
simulation results for aspect ratio 0.02

Fig. 18.Comparison of stress plots for optimized analytical model results with
simulation results for aspect ratio 0.1

This work provides a kind of methods and theoretical basis for

the design of square diaphragm piezoresistive MEMS pressure
sensor.
VI. REFERENCES

Fig. 17.Comparison of stress plots for optimized analytical model results with
simulation results for aspect ratio 0.075

V. CONCLUSION
This paper has presented the optimization of reported
analytical models for different aspect ratios of the diaphragm
useful for the design of pressure sensors and the proposed
models have been validated through FEM simulation. Also, an
analytical model for calculation of stress at centre of
diaphragm has been proposed which plays key role in design
of pressure sensor at high aspect ratios.

[1] Madou M., Fundamentals of microfabrication, CRC Press, NY, 1997.

[2] Timoshenko P., Woinoushy-Krieger S., Theory of plates and shells,
McGraw Hill, S.E., 1959.
[3] G. Bistu, J. G. Elizalde, S. Garcia-Alonso, E. Castano, F. J. Gracia, andA.
Garcia-Alonso, A design tool for pressure microsensors based on FEM
simulations, Sens. Actuators A, vol. 62, 1997, pp. 591594.
[4] Shih-Chin Gong and Chengkuo Lee, Analytical solutions of sensitivity for
Pressure microsensors,Sensors journal, IEEE,vol.1, 2001, pp.340-344.
[5] Tufte O.N., Chapman P.W., and Long D., Silicon diffused element
piezoresistive diaphragms, J. Appl. Phys., 33, 1962, p. 3322.
[6] Smith C. S., Piezoresistance effect in germanium and silicon, Phys. Rev.,
94 (1), 1954, 42-49.
[7] Kanda Y., A graphical representation of the piezoresistance coefficients in
silicon, IEEE Transactions on Electron Devices, vol. ED-29, No. 1,
January 1982, pp.64-70.
[8] Senturia S. D., Microsystem design, Kluwer Academic, 2001.
[9] Rudolph Szilard, Theories and Application of Plate Analysis, Classical,
Numerical and Engineering Methods, John Willey & Sons, Inc, 2004.
[10] B. S. Chaurasia, Modeling and Simulation of High Pressure
Piezoresistive MEMS Sensor, Ph. D. Thesis, Department of Electronics
Engineering, Institute of Technology, BHU, Varanasi, India.

588

Low Voltage Ride Through (LVRT) Ability of

DFIG based Wind Energy Conversion System-I
Rishabh Dev Shukla, Student Member, IEEE, Prof. Ramesh Kumar Tripathi, Member, IEEE

Turbine

Abstract-- Doubly Fed Induction Generators (DFIGs) are

nowadays extensively used in variable speed wind power plants.
Doubly fed induction generators (DFIG) offer many advantages
such as reduced converter rating, low cost and reduced losses
with an improved efficiency, easy implementation of power factor
correction schemes, variable speed operation and four quadrants
active and reactive power control capabilities. Due to variable
speed operation total energy output is much more in case of
DFIG based WECS so capacity utilization factor is improved and
cost of per unit energy is reduced. But the main disadvantage of
DFIG is that it is very sensitive to grid disturbance/fault,
especially for the voltage dip. Since the doubly-fed induction
generator (DFIG) has been widely used in wind energy
conversion, the low voltage ride through (LVRT) technology of
the DFIG has been investigated extensively in recent times. This
paper focuses on the Asymmetrical fault ride-through capability
of doubly fed induction generator (DFIG) based WECSs. The
paper also provides an overview on the interaction between
variable-speed DFIG based WECSs and the power system
subjected to disturbances. The dynamic behaviour of DFIG wind
turbines during Asymmetrical grid faults is simulated and
assessed.
Index TermsDFIG, LVRT, RSC, GSC, WECS.

I. INTRODUCTION

s the penetration of wind power increases, wind turbines

are required to remain connected during grid fault and
contribute to system stability, according to the modern
grid codes. Since the doubly-fed induction generator (DFIG)
has been widely used in wind energy conversion systems, the
low voltage ride through (LVRT) technology of the DFIG has
been investigated extensively in recent times. A simplified
diagram of a wind energy conversion system is illustrated in
Fig.1. It consists of a wind turbine, a gearbox, a doubly-fed
induction generator (DFIG) a grid side converter and a rotor
side converter. By controlling the rotor and grid side
converters, the DFIG characteristics can be adjusted so as to
achieve maximum of effective power conversion or capturing
capability for a wind turbine and to control its power
generation with less fluctuation. Power converters are usually
controlled utilizing vector control techniques [1], [3], which
allow decoupled control of both active and reactive power.
Rishabh Dev Shukla, Ph.D Research Scholar, Department of Electrical
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: a_author@gmail.com).
Prof. Ramesh Kumar Tripathi, Department of Electrical Engineering,
Motilal Nehru National Institute of Technology, Allahabad-211004, India (email: rktripathi@mnnit.ac.in).

DFIG

Ps

Qs

Transformer

Gearbox

PWM
Converter

PWM
Converter
L
C

PWM

PWM

ir
vs

Rotor-side
vector
control

is
Wr

Grid-side
vector
control

ig
vg

Vdc

Controller
Qs_ref

Vdc_ref Qdc_ref

Ps_ref

Fig. 1. Diagram of DFIG Based WECS

In electrical power grid, voltage dip could cause over voltage

and over current in the rotor windings and consequently
damaged the rotor side converter, the controllers for generatorside and grid-side converters work concurrently to meet the
low voltage ride-through requirement by storing the active
power surplus in the inertia of the generator and keeping
constant the dc-link voltage. In this paper, the dynamic
response of a DFIG under grid voltage dip is analyzed
experimentally by software simulation in Matlab/Simulink.
This paper also discusses major grid problems and grid codes
for operation and grid connection of wind farms. One
requirement is that the turbine remain connected to the grid
within a certain voltage range and for a given time duration, a
requirement expressed in the form of the Low Voltage Ride
through (LVRT) curve Fig.2 [5]. Low voltage occurrences are
usually associated with grid disturbances, mostly in the form
of short circuits occurring on the lines connecting the WECS
to the main grid or at remote locations within the grid.
II. MAJOR GRID PROBLEMS & GRID CODES
Numerous concepts have been proposed for studying the
behavior of DFIG based WECS connected to the grid. With
the growth of wind power; the interaction between WECS and
gird will cause new problems about the safe and reliable
operation of systems. High penetration of intermittent wind
power may affect the network in the following terms link [1],
[4]-[7]: Poor grid stability; Low-frequency operation; Impact
of low power factor; Power flow; Short circuit; Power Quality.
The grid codes for wind, in general deal with the technical
requirements. The major requirements of typical grid codes for
operation and grid connection of wind turbines are
summarized in [5]: Voltage operating range; Frequency
operating range; Active power control; Frequency control;
Voltage & Reactive power control; High voltage & Low

978-1-4673-0455-9/12/$31.00 2012 IEEE

589

Low voltage ride through (LVRT):

In the event of voltage sag, the wind turbines are required to
remain connected for a specific amount of time before being
allowed to disconnect. In addition, some utilities require that
the wind turbines help support grid voltage during faults.
Period of fault or low voltage ride through depends on the
magnitude of voltage drop at the Point of Common Coupling
(PCC) during the fault and time taken by the grid system to
recover to the normal state. Table I shows the fault clearing
times for different nominal system voltages. The typical
duration for fault clearing is 0.15s.

Voltage (kV)

Vf : 15% of nominal system

voltage
Vpf : Minimum Voltage for
normal operation of the
wind turbine.
The typical duration is 0.15 s,

Vf

3000

V (kV)

pf

(kV)
360
200
120
96.25
60

+
Lm

+
Rotor
Vr converter

Ir

Grid Vs

Rr

+-

js s
j(s-r)
Fig. 4. Equivalent circuit diagram of DFIG

(2)
(3)
(4)

Control of Rotor Side Converter (RSC)

The active and reactive powers which are delivered from the
DFIG to the grid are controlled by means of controlling the
rotor currents of the DFIG [15]-[20]. The two controllers in
the rotor side controller determine inverter d- and q- axis
voltages by comparing the d and q current set points to the
actual d and q rotor current Fig.5.

TABLE. I [5]

Lr

Time (ms)

Fault
clearing
time,
T(ms)
100
160
160
160
300

Ls

Rs

Vr = R r Ir + r + j S r r
dt
Where, flux linkages
S = Ls IS + Lm IS + Ir
r = Lr Ir + Lm Is + Ir

Fig. 2. LVRT Curve

Nominal
system
voltage
(kV)
400
220
132
110
66

Is

The stator and rotor voltages VS and Vr in the synchronous

reference frame can be expressed as,
d
VS = R S IS + S + jS S
(1)
dt

Vpf

Must not Trip

Mathematical model of DFIG

The equivalent circuit of a DFIG in an arbitrary reference
frame rotating at synchronous angular speed s shown in
Fig.4.[9]-[11]

+-

voltage ride through (HVRT & LVRT); Power quality; Wind

farm modelling and verification; Communications & external
control.

60.0
33.0
19.8
16.5
9.9

P*

Ird*

+
-

PI

+-

PI

Power Control

+
+

*
Vrd

Rotor Current Control

Ird
-rq( s - r )
Vs / sLm

III. DFIG MODELING & CONTROL

Q*

In DFIG based variable-speed WECSs, the power electronic

converter only has to handle a fraction (2030%) of the total
power [3], [12]-[13]. This means that the losses in the power
electronic converter can be reduced compared to a system
where the converter has to handle the total power. In addition,
the cost of the converter becomes lower. The stator circuit of
the DFIG is connected to the grid while the rotor circuit is
connected to a converter via slip rings, see Fig.3.
Ps

Qs

L
Qr
Capacitor

Pr
Tm r

AC/DC
converter C

Tem
AC

Gearbox

Rotor

DC

DC/AC
converter

Irq*

Slower Control
Loop

*
Vrq

+
-

PI

+
+

Faster Control Loop

Irq
rd(

Fig.5. DFIG Rotor side controller

In Stator Voltage Orientation (SVO), neglecting the stator

resistive voltage drop, the active and reactive powers of the
stator and rotor are expressed as eq. (5, 6, 7 & 8),
L
Ps = 1.5 L +mL Vsd Ird
(5)
S

Qs = 1.5
Grid

Turbine

PI

+-

Vs

LS + Lm

( sd +Lm Irq )
s

(6)

Pr = 1.5 Vrd Ird + Vrq Irq

(7)
Qr = 1.5 Vrq Ird Vrd Irq
(8)
From the above equations, it is clear that power fed to the grid
can be controlled by controlling the rotor currents
components. The rotor current components can be controlled
by the vector control technique.

AC
Pgc

Wind
Qgc

s
Stator

Fig. 3. Operating principle of DFIG based Wind Turbine

Control of grid side converter (GSC)

The purpose of the grid-side converter is to keep the DC link
voltage constant irrespective of the direction of the rotor
power flow. In order to maintain the DC link voltage constant,
590

a bidirectional converter is required to implement in the rotor

side circuit. Below the synchronous speed this converter work
as a rectifier and above synchronous speed this converter
works as an inverter to supply all generated power to the grid
at a constant DC link voltage.
Vdc*

*
Igd
PI

+Vdc

DC Voltage Control

Turbine

DFIG

575 V
Stator

25 KV
GRID

575 V/25 KV
40 Km

Wind
25 KV/120 KV

Ugd

+
Igd

Simulation Configuration of the DFIG Based Wind Turbine

under Three-Phase Grid Fault:

PI

Rotor
PWM
Converter

Converter Current Control

PWM
Converter

Load
600 W

Three
Phase
fault

C
40 Km headline : positive and zero sequence resistor

PWM

*
Igq

PWM

: R1 = 0.1153 ohm/Km, R0 = 0.413 ohm/Km,

Inductance : L1 = 1.05e-3 H/Km, L0 = 3.32 e-3 H/Km

+
Igq

Ugq

Rotor-side
vector
control

PI
Fast Control Loop

Grid-side
vector
control

DC-link : Nominal Voltage = 1200V,

Capacitance = 10PF

Fig. 7. Simulation configuration of DFIG under Three Phase Fault

Fig. 6. DFIG Grid side controller

The grid side converter typically regulates DC voltage and

reactive power. It is also a two stage controller operating in a
grid AC voltage reference frame. The two controllers in the
grid side controller determine inverter d-and q-axis voltages
by comparing the d and q-current set points to the actual d and
q- currents to the grid [18].
IV. SIMULATION & RESULTS
For the purpose of studying the dynamic performance of DFIG
wind turbine under normal and faulty condition with the SVO
vector control scheme extensive simulation using
MATLAB/SIMULINK have been performed. The
turbine has the following specifications:

Using the MATLAB/SIMULINK the above model is used to

simulate under the three phase short circuit current in voltage
dip situation. When three phase fault occurs at 25KV Bus, the
voltage sag at 575V will depend on the percentage impedance
drop of DFIG. Using the MATLAB/SIMULINK the above
model is used to simulate under the three phase short circuit
current in voltage dip situation. When three phase fault occurs
at 25KV Bus, the voltage sag at 575V will depend on the
percentage impedance drop of DFIG
Simulation Results
Case 1. DFIG during Grid fault (Voltage dips to 20%)
Voltage at Bus 575 V ~ Time

TABLE II
SPECIFICATION DATA
Turbine data:
Turbine Power = 9
MW
Rated power = 5MW
Maximum output
power = 10 MW
Cut-in wind speed = 4
m/s
Rated wind speed = 12
m/s
Cut out wind speed =
18 m/s
Type = 3 bladed,
Upwind/Horizontal axis
Rotor diameter = 82 m
Rotational speed at
rated power = 15.6-18.4
rpm
Swept area = 22.89 m2
Tower height =27 m
Wind energy
utilization ratio (Cp) =
0.48

DFIG data:
Rated power = 9
MW
Voltage (line to
line) = 575 V
No. of Poles = 6
Frequency (f) = 60
Hz
Stator resistance
(Rs) = 0.00706 pu
Rotor resistance
(Rr) =0.005 pu
Stator leakage
inductance (Ls) = 0.171
pu
Rotor leakage
inductance (Lr) =0.156
pu
Magnetizing
inductance (Lm) = 2.9
pu

Fig.8. Voltage at Bus 575V under 20% voltage dip

Current at Bus 575 V ~ Time

Fig. 9. Current at Bus 575 V under 20 % voltage dip

Rotor Speed ~ Time

Fig. 10. Rotor Speed under 20 % Voltage dip

591

Total Active Power ~ Time

Case2. Wind Turbine DFIG during Grid fault (Voltage dips to

40%)
Voltage at Bus 575 V ~ Time

Fig. 11. Total Active Power under 20% voltage dip

Fig. 15. Voltage at Bus 575V under 40% voltage dip

Reactive Power ~ Time

Current at Bus 575 V ~ Time

Fig. 16. Current at Bus 575 V under 40 % voltage dip

Fig. 12. Reactive Power under 20 % Voltage dip

The duration of voltage sag in this simulation is 120ms.

4.4.3. k. Rotor Active Power ~ Time

Rotor Speed ~ Time

Fig. 17. Rotor Speed under 40 % Voltage dip

Fig. 13. Rotor Active Power under 20% voltage dip

Total Active Power ~ Time

DC link Voltage ~ Time

Fig. 18. Total Active Power under 40% voltage dip

Reactive Power ~ Time

Fig. 14. DC link Voltage under 20 % Voltage dip

In this situation the active and reactive power fluctuates

slightly. Unity power factor is not maintained but it does not
result in a cause of great damage. Hence the decrease in value
of power factor is of no great consequence. Since the DC link
voltage also varies slightly, there is no risk of the link
capacitor getting damaged.
Fig.19. Reactive Power under 40 % Voltage dip

592

Rotor Active Power ~ Time

Total Active Power ~ Time

Fig. 24. Total Active Power under 90% voltage dip

Fig. 20. Rotor Active Power under 40% voltage dip

Reactive Power ~ Time

DC link Voltage ~ Time

Fig. 21. DC link Voltage under 40 % Voltage dip

Fig.25. Reactive Power under 90% Voltage dip

For the duration of fault, active and reactive powers start

fluctuating as rotor speeds up and down. Similarly, the DC
link voltage fluctuates throughout sag. In this case the
majority power flows through the rotor. This phenomenon
might lead to the damage of the converters. Hence rotor
protection is of paramount importance in case of majority fault
condition. Since the DC link voltage varies in this case, there
is considerable chance of damage to the capacitor.
Case 3. Wind Turbine DFIG during Grid fault (Voltage dips
to 90%)
Voltage at Bus 575 V ~ Time

Rotor Active Power ~ Time

Fig. 26. Rotor Active Power under 90% voltage dip

DC link Voltage ~ Time

Fig. 22. Voltage at Bus 575 V under 90 % Voltage dip

Rotor Speed ~ Time

Fig. 27. DC link Voltage under 90% Voltage dip

Fig. 23. Rotor Speed under 90% Voltage dip

In case of a 90% dip in voltage, a spiky swell in the

fluctuation range is observed. The voltage starts to pull
through very sluggishly. For the duration of fault, active and
reactive powers continue to swing as rotor speed varies.
Correspondingly, the DC link voltage fluctuates all the way
through. In this case the majority power flows through the
rotor. This phenomenon might lead to the damage of the
converters.

593

V. CONCLUSION
This paper presents a fault ride through ability of variable
speed DFIG based wind turbine when the power system is
subjected to asymmetrical grid faults. The dynamic behavior
of DFIG under power system disturbance is simulated by
using MATLAB/SIMULINK platform using space vector
control concept. Exact transient simulations are required to
investigate the influence of the wind power on the power
system stability. In the Stator Voltage Orientation vector
control method, the magnetic saturation, electro-magnetic
transients and other nonlinear factors are neglected. With the
SVO based control of RSC & GSC, connected to DFIG one
can control the flow of active and reactive power from DFIM
to grid and maintain the DC link voltage constant under
normal operating conditions at constant wind speed (12 m/s).
This controller and system performances have been studied
under different voltage sags. Up to 20% sag fluctuation in
active power, reactive power and DC link voltage are in the
tolerable range and system recovers after the fault is cleared.
With 40% sag fluctuations are more as compared to previous
and may become harmful for converters and capacitors but
beyond this limit say at 90% sag, components like converter,
capacitor etc may be permanently damaged. During fault the
active and reactive powers start fluctuate in the wide range of
its steady state value. After 130 ms, the fault causing the
voltage sag on the 575V bus bar is cleared, as the duration of
the fault is 120ms, then the wind turbine is operated under the
normal condition and produces the nominal power. Using the
SVO, the reactive power flow to the grid is maintained zero.
This ensures the unity power factor operation of DFIG. It has
been observed that under steady-state condition out of total
power (4.9MW) flowing to the grid, 1.4MW is flowing
through the rotor circuit (DC link) of DFIG which is about
twenty eighty percent. This indicates that under normal
condition the converter power rating will be around thirty
percent to that of DFIG power rating.

[11] Hu Jia-bing, Yi-kang. Control and Operation of DFIG Fault Ridethrough

Ability [J]. Automation of Electrical Power System, 2008, 32 (2):49-52.
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Induction Generator under Three Phase Short Circuit [J], IEEE Transactions
on Energy Conversion, 1991,6(1):62-68.
[9] Johan Morren. Short-Circuit Current of Wind Turbines WithDoublyFed
Induction Generator [J]. IEEE Transactions on Energy Conversion,
2007,22(1):174-180.
[10] Hu Jia-bing,Sun Dan,He Yi-kang. A Model and Control Method of the
DFIG during Grid Voltage Dip [J]. Automation of Electrical Power System,
2006, 30(8):21-26.

594

Low Voltage Ride Through (LVRT) Ability of

DFIG based Wind Energy Conversion System II
Rishabh Dev Shukla, Student Member, IEEE, Prof. Ramesh Kumar Tripathi, Member, IEEE

Abstract-- Doubly Fed Induction Generators (DFIGs) are

nowadays extensively used in variable speed wind power plants.
Doubly fed induction generators (DFIG) offer many advantages
such as reduced converter rating, low cost and reduced losses
with an improved efficiency, easy implementation of power factor
correction schemes, variable speed operation and four quadrants
active and reactive power control capabilities. Due to variable
speed operation total energy output is much more in case of
DFIG based WECS so capacity utilization factor is improved and
cost of per unit energy is reduced. But the main disadvantage of
DFIG is that it is very sensitive to grid disturbance/fault,
especially for the voltage dip. Since the doubly-fed induction
generator (DFIG) has been widely used in wind energy
conversion, the low voltage ride through (LVRT) technology of
the DFIG has been investigated extensively in recent times. This
paper focuses on the fault ride-through capability of doubly fed
induction generator (DFIG) based WECSs Under three phase
symmetrical fault. The paper also provides an overview on the
interaction between variable-speed DFIG based WECSs and the
power system subjected to three phase symmetrical fault. The
Steady state behaviour under normal condition and dynamic
behaviour of DFIG wind turbines during grid faults is simulated
and assessed.
Index TermsDFIG, LVRT, RSC, GSC. Symmetrical fault

I. INTRODUCTION

ccording to recent grid codes of many countries, the wind

turbines are required to remain connected during grid
fault and contribute to system stability. Since the doublyfed induction generator (DFIG) has been widely used in wind
energy conversion systems, the low voltage ride through
(LVRT) technology of the DFIG has been investigated
extensively in recent times. A simplified diagram of a wind
energy conversion system using DFIG is illustrated in Fig.1. It
consists of a wind turbine, a gearbox, a doubly-fed induction
generator (DFIG) a grid side converter and a rotor side
converter. The stator winding of the DFIG is directly
connected to the grid whereas its rotor windings are fed by
back-to-back three level converters. By controlling the rotor
and grid side converters, the DFIG characteristics can be
adjusted so as to achieve maximum of effective power
conversion or capturing capability for a wind turbine and to
Rishabh Dev Shukla, Ph.D Research Scholar, Department of Electrical
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: a_author@gmail.com).
Prof. Ramesh Kumar Tripathi, Department of Electrical Engineering,
Motilal Nehru National Institute of Technology, Allahabad-211004, India (email: rktripathi@mnnit.ac.in).

control its power generation with less fluctuation. Power

converters are usually controlled utilizing vector control
techniques [7], [11], which allow decoupled control of both
active and reactive power.
Turbine
DFIG
Transformer

Grid

Gearbox
Wind

Power
Converters
(RSC & GSC)

Fig. 1. Wind energy conversion system using DFIG

In normal operation the aim of the rotor side converter is to

control independently the active and reactive power on the
grid, while the grid side converter has to keep the dc-link
capacitor voltage at a set value regardless of the magnitude
and the direction of the rotor power and to guarantee a
converter operation with unity power factor (zero reactive
power). In voltage dip, the controllers for generator-side and
grid-side converters work concurrently to meet the low
voltage ride-through requirement by storing the active power
surplus in the inertia of the generator and keeping constant the
dc-link voltage. It could cause over voltage and over current in
the rotor windings and consequently damaged the rotor side
converter. In this paper, the dynamic response of a DFIG
under three phase symmetrical fault is analyzed
experimentally by software simulation in Matlab/Simulink.
This paper also discusses major grid problems and grid codes
for operation and grid connection of wind farms.
II. GRID CODES
With the growth of wind power; the interaction between
WECS and gird will cause new problems about the safe and
reliable operation of systems. High penetration of intermittent
wind power may affect the network in the following ways [1][3], [5]: Poor grid stability; Low-frequency operation; Impact
of low power factor; Power flow; Short circuit; Power Quality
The grid codes for wind, in general deal with the technical
requirements. The major requirements of typical grid codes for
operation and grid connection of wind turbines are
summarized in [3]:
Voltage operating range:
The wind turbines are required to operate within typical
grid voltage variations. For safe and reliable operation of grid,

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595

the Operating voltage limits for wind farms Voltage (kV)

should be within the range as specified by authority.

Frequency operating range:

The wind turbines are required to operate within typical
grid frequency variations. Frequency tolerance range is 47.5 to
51.5 Hz. Beyond this, the tolerance range is specified by the
manufacturer. Wind Turbines shall be able to withstand
change in frequency up to 0.5 Hz/sec.
Active power control:
This is the ability of the wind turbine generators to regulate
the active power output of the wind turbine according to
system requirement. It is used to make sure a stable frequency
in the system, to prevent overloading of transmission lines, to
stay away from large voltage steps and in-rush currents during
start up and shut down of wind turbines.
Frequency control:
Grid codes require the wind farms to provide frequency
regulation capability to help for maintaining the desired
network frequency. The system frequency is a major indicator
of the power balance in the system.
Voltage & Reactive power control:
Grid codes require that individual wind turbines control
their own terminal voltage to a constant value by means of an
automatic voltage regulator and provide dynamic reactive
power control capability to maintain the reactive power
balance and the power factor in the desired range. The wind
farm should maintain a power factor of 0.95 lagging to 0.95
leading.

Wind farms are required to provide the electric power with

a desired quality, e.g., maintaining constant voltage or voltage
fluctuations in the desired range, maintaining voltage/current
harmonics in the desired range, etc. Capability of a wind farm,
to operate loads without damaging or disturbing them &
reducing the efficiency of the system. A property mainly
concerned with voltage quality at points of common coupling.
Wind farm modeling and verification
Grid codes require wind farm owners/developers to provide
models and system data, to enable the system operator to
investigate by simulations the interaction between the wind
farm and the power system. They also require installation of
monitoring equipment to verify the actual behavior of the
wind farm during faults, and to check the model.
Communications and external control
The wind farm operators are required to provide signals
corresponding to a number of parameters important for the
system operator to enable proper operation of the power
system. Moreover, it must be possible to connect and
disconnect the wind turbines remotely.
III. DFIG MODELLING & CONTROL
In DFIG based variable-speed WECSs, the power electronic
converter only has to handle a fraction (2030%) of the total
power [7]-[8]. This means that the losses in the power
electronic converter can be reduced compared to a system
where the converter has to handle the total power. In addition,
the cost of the converter becomes lower [10]. The stator circuit
of the DFIG is connected to the grid while the rotor circuit is
connected to a converter via slip rings, see Fig.3.
Ps

Grid

High voltage ride through (HVRT):

In the event the voltage goes above its upper limit value,
the wind turbines should be capable to stay on line for a given
length of time.

L
Qr
Capacitor

Pr
Turbine

Low voltage ride through (LVRT):

In the event of voltage sag, the wind turbines are required to
remain connected for a specific amount of time before being
allowed to disconnect Fig. 2. In addition, some utilities require
that the wind turbines help support grid voltage during faults.
Period of fault or low voltage ride through depends on the
magnitude of voltage drop at the Point of Common Coupling
(PCC) during the fault and time taken by the grid system to
recover to the normal state.

Tm r

Gearbox

3000

Fig. 3. Operating principle of DFIG based Wind Turbine

Mathematical model of DFIG

The equivalent circuit of a DFIG in an arbitrary reference
frame rotating at synchronous angular speed s shown in [6]
Fig.4.

Voltage (kV)

Ls

Rs

Lr
+
s

Grid Vs

Time (ms)

Fig. 2. LVRT Curve

Power Quality

Pgc

Stator

js

Rr

+
Lm

Rotor
Vr converter

j(s-r)

Fig. 4. Equivalent circuit diagram of DFIG

596

Ir

+-

+-

AC

Rotor

Qgc

Is

DC/AC
converter

DC

Wind

Vf : 15% of nominal system

voltage
Vpf : Minimum Voltage for
normal operation of the
wind turbine.
The typical duration is 0.15 s,

Vf

AC/DC
converter C

Tem
AC

Vpf

Must not Trip

Qs

The stator and rotor voltages VS and Vr in the synchronous

reference frame can be expressed as [9],
d
VS = R S IS + S + jS S
(1)
dt
d

Vr = R r Ir + r + j S r r
dt
Where, flux linkages
S = Ls IS + Lm IS + Ir
r = Lr Ir + Lm Is + Ir

(2)

IV. SIMULATION & RESULTS

(3)
(4)

Control of Rotor Side Converter (RSC)

The active and reactive powers which are delivered from the
DFIG to the grid are controlled by means of controlling the
rotor currents of the DFIG [9], [11]. The operation rotor side
controller is showing in Fig.5.
Ird*

P*

+
-

PI

+-

PI

Power Control

In the grid side control, mainly DC link voltage is compared

with the reference DC link voltage and error is fed to PI
controller to maintain constant DC link voltage Fig.6. The grid
side converter typically regulates DC voltage and reactive
power.

For the purpose of studying the dynamic performance of DFIG

wind turbine under normal and faulty condition with the stator
voltage Orientation vector control scheme extensive
simulation using MATLAB/SIMULINK have been
performed. The turbine has the following specifications:
TABLE I
SPECIFICATION DATA

*
Vrd

+
+

Turbine data:

Rotor Current Control

Turbine Power = 9 MW
Rated power = 5MW
Maximum output power
= 10 MW
Cut-in wind speed = 4
m/s
Rated wind speed = 12
m/s
Cut out wind speed = 18
m/s
Type = 3 bladed,
Upwind/Horizontal axis
Rotor diameter = 82 m
Rotational speed at rated
power = 15.6-18.4 rpm
Swept area = 22.89 m2
Tower height =27 m
Wind energy utilization
ratio (Cp) = 0.48

Ird
-rq( s - r )

Vs / sLm
Q*

Irq*

PI

+-

Slower Control
Loop

*
Vrq

+
-

+
+

PI
Faster Control Loop

Irq
rd(

Fig. 5. DFIG Rotor side controller

In Stator Voltage Orientation (SVO), neglecting the stator

resistive voltage drop, the active and reactive powers of the
stator and rotor are expressed as,
L
Ps = 1.5 L +mL Vsd Ird
(5)
S

Qs = 1.5 L

Vs

S + Lm

( sd +Lm Irq )

(6)

Pr = 1.5 Vrd Ird + Vrq Irq

(7)
Qr = 1.5 Vrq Ird Vrd Irq
(8)
From the above equations, it is clear that power fed to the grid
can be controlled by controlling the rotor currents
components. The rotor current components can be controlled
by the vector control techniques.

DFIG data:

Simulation Configuration of the DFIG Based Wind Turbine

under Three-Phase Grid Fault:
Turbine

DFIG

575 V
Stator

Control of grid side converter (GSC)

The purpose of the grid-side converter is to keep the DC link
voltage constant irrespective of the direction of the rotor
power flow. In order to maintain the DC link voltage constant,
a bidirectional converter is required to implement in the rotor
side circuit. Below the synchronous speed this converter work
as a rectifier and above synchronous speed this converter
works as an inverter to supply all generated power to the grid
at a constant DC link voltage.
Vdc*

Igd*
PI

+Vdc

DC Voltage Control

*
Igq

+
Igq

Rotor
PWM
Converter

Ugq

Fast Control Loop

Fig. 6. DFIG Grid side controller

PWM
Converter

Load
600 W

Three
Phase
fault

C
40 Km headline : positive and zero sequence resistor

PWM

PWM

: R1 = 0.1153 ohm/Km, R0 = 0.413 ohm/Km,

Inductance : L1 = 1.05e-3 H/Km, L0 = 3.32 e-3 H/Km

Rotor-side
vector
control

PI

PI

GRID

25 KV/120 KV

Converter Current Control

Igd

25 KV
575 V/25 KV
40 Km

Wind

Ugd

+
-

Rated power = 9 MW
Voltage (line to line)
= 575 V
No. of Poles = 6
Frequency (f) = 60
Hz
Stator resistance (Rs)
= 0.00706 pu
Rotor resistance (Rr)
=0.005 pu
Stator leakage
inductance (Ls) = 0.171
pu
Rotor leakage
inductance (Lr) =0.156
pu
Magnetizing
inductance (Lm) = 2.9 pu

Grid-side
vector
control

DC-link : Nominal Voltage = 1200V,

Capacitance = 10PF

Fig. 7. Simulation configuration of DFIG under Three Phase Fault

Using the MATLAB/SIMULINK the above model is used to

simulate under the three phase short circuit current in voltage
dip situation. When three phase fault occurs at 25KV Bus, the
voltage sag at 575V will depend on the percentage impedance
drop of DFIG. Using the MATLAB/SIMULINK the above
model is used to simulate under the three phase short circuit
597

current in voltage dip situation. When three phase fault occurs

at 25KV Bus, the voltage sag at 575V will depend on the
percentage impedance drop of DFIG

Rotor Speed ~ Time

Simulation Results
Case1. Wind Turbine DFIG with normal condition
Voltage at Bus 575 V ~ Time

Fig. 12. Rotor Speed under normal condition

Total Active Power ~ Time

Fig. 8. Voltage at Bus 575V under normal condition

Current at Bus 575 V ~ Time

Fig. 13.Total Active Power under normal condition

Reactive Power ~ Time

Fig. 9. Current at Bus 575V under normal condition

Voltage at Bus 25 KV ~ Time

Fig. 14. Reactive Power under normal condition

Rotor Active Power ~ Time

Fig. 10. Voltage at Bus 25KV under normal condition

Current at Bus 25 KV ~ Time

Fig. 15. Rotor Active Power under normal condition

DC link Voltage ~ Time

Fig. 16. DC link Voltage under normal condition.

Fig. 11. Current at Bus 25 KV under normal condition

598

Normal condition, power flow is approximately 70 to 80%

through the stator and 20 to 30% through the rotor. The DFIG
wind turbine produces around 4.9 MW active power,
corresponding to 12 m/s wind speed. By using the stator
voltage orientation rotor side vector control scheme, the
reactive power is kept at zero, to sustain the stator at unity
power factor. The rating of the converter is approximately
30% of the total power.
Case2. Wind Turbine DFIG with Three phase symmetrical
fault at 25 KV
When three phase symmetrical fault occurs at 10 ms at the
wind farm busbar (25KV), and it is removed at 130ms. The
fault causes the busbar (575 V) voltage drop down to 0.25pu
or 143.75 V. The fault location is at the high voltage side of
the step-up transformer at the wind farm busbar. The drop in
voltage at 575 V bus depends on the percentage impedance
drop.

Current at Bus 25KV Vs Time

Fig. 20. Current at Bus 25 KV under three phase fault.

Rotor Speed Vs Time

Voltage at Bus 575V Vs Time

Fig. 21. Rotor speed under three phase fault at 25 KV Bus

Total Active Power Vs Time

Fig. 17. Voltage at Bus 575V under three phase fault

Current at Bus 575V Vs time

Fig. 22. Total Active Power under three phase fault at Bus 25 KV

Reactive Power Vs Time

Fig. 18. Current at Bus 575 V under three phase fault

Voltage at Bus 25KV Vs Time

Fig. 23. Reactive Power under three phase fault at Bus 25 KV

Rotor Active Power ~ Time

Fig. 19. Voltage at Bus 25 KV under three phase fault

Fig. 24. Rotor Active Power under three phase fault at Bus 25 KV

599

the wide range of its steady state value respectively. After 130
ms, the fault causing the voltage sag on the 575V bus bar is
cleared, as the duration of the fault is 120ms, then under the
normal condition the wind turbine recovers. Using the SVO,
the reactive power flow to the grid is maintained zero. This
ensures the unity power factor operation of DFIG. It has been
observed that under steady-state condition out of total power
(4.9MW) flowing to the grid, 1.4MW is flowing through the
rotor circuit (DC link) of DFIG which. This indicates that
under normal condition the converter power rating will be
around thirty percent to that of DFIG power rating.

DC Link Voltage ~ Time

REFERENCES

Fig.25. DC link voltage under three phase fault

During 3- fault, first of all active power reaches to 7 MW

approximately, then fall down to zero and then goes negative.
After 130 ms the fault causing the voltage sag on the 575V
busbar is cleared as the duration of the fault is 120ms, and
wind turbine is operated under the normal condition. As the
reactive power should maintain at zero, i.e., stator is operated
at unity power factor, so majority of the power flow from the
stator side. But during fault turbine start to generate and
absorb the reactive power and so, majority power will flow
through rotor so the converter may destroy because it has to
handle the power beyond its power rating limit. Similarly, the
dc link voltage excessively fluctuates in a large range. The
maximum value of DC link voltage during three phase fault
with SVO controller has arrived at 1425V whereas the rated
set value is 1200V; and the capacitor would be under
excessive voltage stress and possible destroyed. The minimum
value of the DC link voltage is 960V and it would drop down
to the much lower value if the input voltage of the grid side
converter decline more deeply.
V. CONCLUSION

[1] Bansal, R.C., Bhatti, T.S., and Kothari, D.P. (2001) Some aspects of grid
connected wind electric energy conversion system,Interdisciplinary Journal of
Institution on Engineers (India), May, Vol. 82, pp. 25-28.
[2] Indian Wind Grid Code-Version 1.0, July 2009.
[3] World Wind Energy Report 2009 : world wind energy Association.
[4] M S Vicatos, J A. Tegopoulos, Transient State Analysis of a Doublyfed
Induction Generator under Three Phase Short Circuit [J], IEEE Transactions
on Energy Conversion, 1991,6(1):62-68.
[5] T. Ackermann and L. Soder, An overview of wind energy-status 2002,
Renew. Sustain.Energy Rev., vol. 6, no. 12, pp. 67128, Feb./Apr. 2002.
[6] L. Xu and C. Wei, Torque and reactive power control of a doubly fed
induction machine by position sensorless scheme, IEEE Trans. Ind.
Applicat., vol. 31, no. 3, pp. 636642, May/June 1995.
[7] Johan Morren, Sjoerd W. H. de Haan, Ridethrough of Wind Turbines
with Doubly-Fed Induction Generator During a Voltage Dip IEEE
transaction on energy conversion june, 2005 pages 435-441 vol. 20.
[8] Jesus Lopez, Pablo Sanchis. Dynamic Behavior of the Doubly Fed
Induction Generator during Three-Phase Voltage Dips [J]. IEEE
Transactions on Energy Conversion, 2007, 22(3):709-717.
[9] R. Pena, J.C. Clare, G.M. Asher, Doubly Fed Induction Generator using
Back-to-back PWM Converters and Its Application to Variable speed Windenergy Generation[J]. IEE Proc-Electr. Power Appl, vol.143, no.3, May 1996.
[10] Ned Mohan, Ted K. A. Brekken Control of a Doubly Fed Induction
Wind Generator Under Unbalanced Grid Voltage Conditions IEEE
Transaction Energy conversion, vol.no22. 1, march 2007 page 129-135.
[11] Muller, S. et al., Doubly Fed Induction Generator System for Wind
Turbines, IEEE Industry Application Magazine, May/June 2002.

This paper presents a performance study and fault ride through

ability of variable speed DFIG based wind turbine when the
power system is subjected to three phase symmetrical grid
faults. The dynamic behavior of DFIG under power system
disturbance is simulated by using MATLAB/SIMULINK
platform using vector space control concept. Exact transient
simulations are required to investigate the influence of the
wind power on the power system stability. In the Stator
Voltage Orientation (SVO) vector control method, the
magnetic saturation, electro-magnetic transients and other
nonlinear factors are neglected. With the SVO based control
of rotor and grid side converters, connected to DFIG Wind
Turbine one can control the flow of active and reactive power
from DFIM to grid and maintain the DC link voltage constant
under normal operating conditions at constant wind speed (12
m/s). This controller and system performances have been
studied under three phase short circuit fault conditions. The
maximum value of DC link voltage during three phase fault
with SVO controller rises to 1.187pu hence the capacitor
would be under excessive voltage stress and may possibly be
destroyed. The minimum value of the DC link voltage is 0.8pu
and it would drop down to a much lower value if the input
voltage of the grid side converter declines more deeply.
During fault the active and reactive powers start fluctuate in
600

Heat Capacity of LiInX2 (X=S, Se, Te)

Compounds
Bramha Prasad Pandey, S. K. Tripathy and V. Kumar

Abstract: This paper has described the heat capacity of LiInX2 (X

= S, Se, Te) compounds. Four relations are proposed for the
calculation of the heat capacity of these compounds. Out of the
four, two are based on the best fit of the experimental data of C p
and the other two on similarity factor. The proposed relations are
applicable in the temperature range 25-311 (K). The calculated
values of heat capacity from all equations are in good agreement
with the experimental values and the values reported by different
workers.
Index Terms: Heat capacity, Chalcopyrite materials, New nonlinear compounds.

temperature range 25-311 (K). The calculated values of heat

capacity from all equations are in good agreement with the
experimental values and the values reported by different
workers.
II. THEORY
Based on the experimental values of Cp of LiInTe2
[2], we have simulated the data in the temperature range of 7311 (K) using curve fitting tool box of MATLAB software
and proposed the following relation for Cp(T) in the
temperature range of 25-311 (K) for LiInTe2:
Cp T = aT + 1943.66

I. INTRODUCTION
In the recent past, LiInX2 (X = S, Se, Te) compounds with
wurtzite structure have been considered as promising materials
for non-linear applications in mid-IR (2-20 m) region and
attracted a lot of attention due to their unique optical property
such as a wide transparency range, sufficiently large
birefringence, good thermo-mechanical properties and a small
two-photon absorption coefficient [1,2]. The light Li+ ions can
enlarge the band gaps of these compounds, increase the
frequencies of lattice vibrations, the Debye temperature and
lead to high laser induced damage threshold [LIDT].
There have been various experimental and theoretical
approaches for the measurement of molar heat capacity (Cp) of
these compounds. Investigations of Cp for LiInTe2 have been
carried out in the temperature range of 7-311 (K) [2]; LiInSe2:
2-300 (K) [3] and Li-In-S2: 200-550 (K) [4]. The majority of
these compounds belong to the ternary chalcopyrite
semiconductors of the AIBIIIC2VI and AIIBIVC2V family, where
A=Cu, Ag; B =Al, Ga, In; C = S, Se, Te [1]. Comprehensive
optical, thermal, non-liner properties of LiInS2 [5] and LiInSe2
[6, 7] have been reported in the literature. Dielectric and
thermodynamic properties of LiInX2 (X= S, Se, Te) have been
recently studied by Ma et al. [8]. In spite of their potential
applications the optical and thermodynamical properties of
these compounds are not sufficiently studied. In this paper, we
propose four relations for the calculation of the heat capacity
of these semiconductors. Out of the four, two are based on the
best fit of the experimental data of Cp and the other two on
similarity factor. All four relations are applicable in the
Bramha Prasad Pandey is with Department of ECE, GLNA Institute of
Technology, Mathura, U.P.
S. K. Tripathy and V. Kumar are with Department of Electronics
Engineering, Indian School of Mines, Dhanbad 826004 (emailvkumar52@hotmail.com).

T
G

+ b + cT

(1)

where G (= 180 K) is the Debye temperature of LiInTe2, a, b

and c are the constants. The numerical values of a, b and c are
found to be 0.9916, 0.2379 and 0.06903 respectively. The
values of these constants are obtained by simulating the
closest experimental data of Cp in the temperature range 25311 (K). In Eq. (1), the first term on the right hand side
represents the electronic contribution; the second term
represents phonon contribution at low temperature (Debye T 3
law) and the third term which is a form of polynomial
equation shows contribution of the heat capacity at high
temperatures. Using Eq. (1), we have calculated the values of
Cp for LiInTe2 in the temperature range of 25-311 (K) and
listed in Table 1. Curves are also plotted between Cp and T
and shown in Fig 1 and 2 take both the calculated and the
experimental values of Cp.
We also propose the following form of polynomial
equation for the calculation of Cp:
Cp (T) = p + p1 T + p2 T 2 + p3 T 3
(2)
where p, p1, p2 and p3 are the constants and their numerical
values are, respectively, 5.730 (Jmol-1K-1), 1.146 (Jmol-1K-2),
0.004592 (Jmol-1K-3) and 6.594 10-6 (Jmol-1K-4) for
LiInTe2. The values of these constants are also obtained by
simulating the experimental data of Cp in the temperature
range 25-311 (K) using MATLAB software. Using Eq. (2), we
have calculated the values of Cp for LiInTe2 in the range of 25311 (K) and listed in Table 1 along with the experimental
values.
We have extended the above Eqs. (1) and (2) for LiInS2
and LiInSe2 materials for which the values of Cp are not
known for the entire temperature range specially for LiInS2
but are known at room temperature, i.e, at 298.15 K. The
LiInS2 and LiInSe2 semiconductors have the same structure as
LiInTe2. Hence it is quite reasonable to consider LiInTe2 as a
reference material for LiInS2 and LiInSe2. Considering
LiInTe2 as a reference material, we propose the following

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601

relations for LiInS2 and LiInSe2 in the temperature range of

25-311 (K) by introducing a similarity factor k in Eqs. (1)
and (2):
Tk 3
G

100
+ b + cTk

and
Cp (T) = p + p1 (kT) + p2 (kT)2 + p3 (kT)3

(3)

80

Cp(J/mol.K)

Cp T = aTk + 1943.66

(4)

60

where k = T0/T0* and T0 is the temperature at which the molar

heat capacity of the reference material (LiInTe2) is equal to the
molar heat capacity of the studied materials (LiInS2 and
LiInSe2) at T0*, i.e., Cp, r(T0) = Cp, x(T0*). The experimental
value of Cp at 298.15 (K) for LiInS2 is equal to 92.90 (J mol1 -1
K ) [5] and corresponding to this value of Cp, the
temperature of reference material, i.e., LiInTe2 is 202.7 (K)
[2]. Thus the value of k for LiInS2 is equal to 0.6798.
Similarly for LiInSe2, the value of Cp at 298.15 (K) is equal to
98.1 1.4 J Mol-1K-1 [6] and corresponding to this value of Cp,
the temperature of reference material is 250.3 (K) and hence k
= 0.8395.

40
20
0
0

[4]

Cp(J/mol.K)

80

60
40
20
0
0

100

200
300
Temperature(T)

400

Fig 2. Plot between Cp(T) vs T LiInX2 (X = S, Se, Te) compounds using

Eqs.(2) and (4).
[5]

[6]

[3]

400

100

REFERENCES
J. L. Shay and T. H. Wernick, Ternary chalcopyrite Semiconductors:
Growth, Electrical properties and applications (Pergamon, Oxford,
1975).
U.C. Boeknke, G. Kuhu, F.I. Frolova, I.E Paukov and H. Neumann,
Heat Capacity of LiInTe2. Journal of Thermal Analysis, 33 (1988) 205209.
E. Gmelin and W. Honle, Anomalous lattice specific heat of LiInSe2 at
low temperatures. Thermochimica Acta 269/270 (1995) 575-590.
G. Kuhn, E. Pirl, H. Neumann and E. Nowak. Heat Capacity of LiInS 2,
LiInSe2 and LiInTe2, between 200 and 550 K. Cryst. Res. Technol. 22
(1987) 265-269.

200
300
Temperature(K)

Exp. Cp of LiInTe2
Cp of LiInTe2 using Poly eq.
Cp of LiInS2 calc. by poly using LiInTe2 as ref
Cp of LiInSe2 Calc. by Poly eq. using LiInTe2 as Ref.

120

Using Eqs. (1) to (4), we have calculated the values of Cp in

the temperature ranges 25-311 (K) for LiInTe2, LiInS2 and
LiInSe2 semiconductors. The calculated values are listed in
Table 1 along with the experimental values of LiInTe2 and
LiInSe2. The average percentage deviation of Eqs (1) to (4) is
also calculated. The average deviation of Eqs (1) and (2) is,
respectively, 1.4548% and 1.8538% for LiInTe2, and for Eqs.
(3) and (4) is 3.1722% and 0.8964% for LiInSe2. Our
calculated values are in good agreement with experimental
values of LiInTe2 and LiInSe2 compounds in temperature
range 25-311 (K). The values of Cp of LiInS2 are calculated
for the first time in the entire temperature range 25-311 (K).
The curves are also plotted between calculated values of Cp
and T for all three lithium compounds and shown in Fig. 1 and
2, which are in good agreement with the experimental curves.
The pronounced curvature in low temperature and linear at
high temperature range is obtained as observed by other
workers. Thus, one can calculate the values of Cp of LiInTe2,
LiInS2 and LiInSe2 semiconductors using the proposed
relations. We can also predict the values of Cp for AIBIIIC2VI
and AIIBIVC2V groups of compounds using above equations.
The proposed models also hold good for the third group
nitrides [9].

[2]

100

Fig1.Plot between Cp(T) vs T for LiInX2 (X = S, Se, Te) compounds using

Eqs.(1) and (3).

III. CONCLUSION

[1]

Exp. Cp of LiInTe2
Cp of LiInTe2 calc. by model eq.
Cp of LiInS2 calc. by model eq. taking LiInTe2 as ref.
Cp of LiInSe2 calc. by model eq. taking LiInTe2 as ref.

120

[7]

[8]

[9]

602

S. Fossier, S. Salaun, J. Mangin, O. Bidault, I. Thenot, J. J. Zondy, W.

Chen, F. Rotermund, V. Petrov, P. Petrov, J.Henningsen, A. Yelisseyev,
L. Isaenko, S. Lobanov, O. Balachninaite, G. Slekys, and V. Sirutkaitis,
Optical, vibrational, thermal, electrical, damage, and phase-matching
properties of lithium thioindate J. Opt. Soc. Am.. B, 21(2004) 19812007.
A. P. Yelisseyev, V. A. Drebushchak, A. S. Titov, L. I. Isaenko, S. I.
Lobanov, K. M. Lyapunov, V. A. Gruzdev, S. G. Komarov, V. Petrov, J.
J. Zondy, Thermal properties of the midinfrared nonlinear crystal
LiInSe2 , J. of Applied Phys, 96 (2004) 3659-3665.
A. Yelisseyev, A. Titov, K. Lyapunov, V. Drebushchak, L. Isaenko, S.
Lobanov,
Thermal and thermo-optics parameter of LiInSe2 single
crystal, J.Cryst. Growth 275 (2005) e1679-e1684.
T. Ma, L. Sun, Chao Xu, Y. Chen, First- principle study of lattice
dynamics and thermodynamic properties of LiInX2 (X= S, Se, Te), J. of
Alloy and Compounds. 509 (2011) 9733-9741.
V. Kumar and Bramha Prasad Pandey, Debye temperature and heat
capacity of AlN, GaN and InN semiconductors. Int. Conf. on Materials
for Advanced Technologies (ICMAT-2011), SUNTEC, Singapore, 26
June -1 July 2011

TABLE 1. MOLAR HEAT CAPACITY CP (J Mol - 1K- 1) OF LiInS2, LiInSe2, LiInTe2 COMPOUNDS.
Heat Capacity Cp (J mol - 1K- 1)
T (K)

25.58
28.56
31.80
34.91
38.51
42.08
46.18
49.72
52.91
57.06
62.33
67.28
71.84
76.03
80.01
83.78
87.40
90.89
92.56
95.94
99.70
104.5
110.2

Expt. [2]

LiInTe2
Cal.
Eq. (1)

LiInS2
Cal. Eq. (2)

Cal.
Eq. (3)

Cal.
Eq. (4)

T(K)

Exp. [3]

15.233
19.834
23.944
27.804
34.533
40.852
46.679
52.042
56.969
61.485
65.617
69.387
78.754
81.296
83.581
85.624
93.642
94.385
94.983
95.445
95.775
95.979
96.045
98.1[6]$
96.061

22.56
25.40
28.66
31.28
34.0
36.9
39.8
42.1
44.6
47.3
50.5
53.4
55.7
57.6
60.1
61.8
63.4
65.1
66.1
67.5
68.9
70.8
72.7

22.877
25.272
27.815
30.196
32.880
35.467
38.348
40.759
42.870
45.537
48.788
51.710
54.291
56.571
58.657
60.564
62.332
63.980
64.749
66.268
67.900
69.895
72.141

20.690
23.407
26.281
28.961
31.969
34.853
38.048
40.707
43.026
45.934
49.456
52.594
55.344
57.754
59.942
61.927
63.755
65.446
66.231
67.773
69.416
71.406
73.618

16.009
17.747
19.607
21.364
23.363
25.309
27.499
29.352
30.993
33.085
35.676
38.041
40.164
42.067
43.833
45.470
47.008
48.460
49.145
50.510
51.996
53.845
55.972

12.844
14.837
16.964
18.968
21.242
23.449
25.925
28.013
29.855
32.198
35.085
37.709
40.053
42.144
44.0781
45.861
47.531
49.102
49.840
51.308
52.900
54.871
57.122

25
30
35
40
50
60
70
80
90
100
110
120
150
160
170
180
240
250
260
270
280
290
298.15

115.7
74.6
121.0
76.1
126.2
77.9
131.3
79.3
136.3
80.8
141.2
82.0
146.0
83.1
150.8
84.3
155.5
85.3
160.1
86.0
164.7
87.2
170.3
88.2
176.7
89.2
183.3
90.3
189.8
91.2
196.3
91.9
202.7
92.9
209.0
93.7
214.8
94.6
221.0
94.9
227.2
95.8
233.3
96.4
239.4
97.1
245.5
97.7
251.5
98.2
257.5
98.7
263.5
99.1
269.4
99.7
275.3
100.1
281.2
100.5
287.0
101.0
293.3
101.4
299.6
101.8
305.3
102.3
311.0
102.6
Average % deviation

74.185
76.045
77.768
79.365
80.843
82.212
83.479
84.675
85.782
86.804
87.770
88.872
90.040
91.147
92.149
93.070
93.904
94.663
95.311
95.957
96.561
97.120
97.650
98.157
98.638
99.108
99.573
100.031
100.493
100.967
101.448
101.995
102.572
103.126
103.716
1.4548

75.604
77.386
79.014
80.501
81.858
83.095
84.224
85.274
86.230
87.102
87.913
88.824
89.772
90.656
91.444
92.161
92.808
93.399
93.911
94.432
94.937
95.426
95.917
96.419
96.931
97.471
98.048
98.658
99.319
100.040
100.815
101.739
102.759
103.773
104.882
1.8538

57.955
59.801
61.554
63.216
64.794
66.289
67.708
69.081
70.382
71.615
72.809
74.210
75.743
77.251
78.664
80.009
81.269
82.449
83.484
84.538
85.540
86.476
87.366
88.211
88.999
89.748
90.458
91.121
91.750
92.348
92.906
93.480
94.025
94.492
94.938

59.207
61.135
62.952
64.664
66.276
67.794
69.223
70.597
71.888
73.103
74.270
75.628
77.099
78.528
79.851
81.095
82.245
83.308
84.229
85.155
86.023
86.824
87.575
88.279
88.928
89.536
90.107
90.635
91.131
91.599
92.033
92.480
92.902
93.266
93.616

300

LiInSe2
Cal.
Eq. (3)
19.078
22.555
25.924
29.184
35.392
41.194
46.605
51.641
56.317
60.648
64.651
68.340
77.679
80.268
82.620
84.750
93.750
94.763
95.678
96.511
97.276
97.989
98.543

16.360
20.324
24.145
27.824
34.770
41.186
47.095
52.520
57.486
62.015
66.131
69.857
78.931
81.332
83.460
85.339
92.689
93.478
94.205
94.894
95.567
96.249
96.826

98.666

96.962

3.1723

*Experimental data, +Reported data, $ these experimental data have been used in the present calculation.

603

Cal.
Eq (4)

0.8964

Ecosecurity Energy Harvesting Using

Piezoelectric Crystal
Kumar Govind, Student Member, IEEE, Anil Pahwa, Fellow IEEE, Nimika Aggarwal, Student
Member, IEEE , and Vibha Balodhi , Student Member, IEEE

Abstract-- Ecological security is an important basis of the entire

human security system. Since Industry revolution, human began
to suffer from many kinds of pollution and ecosystem
degradation. This paper presents the method of generating ecofriendly electricity using piezoelectric material by reducing
global warming. The model with piezo material converts the
scavenged mechanical energy vibration and rotation to
electrical energy for powering the Eco secured Piezoelectric
Road and Ecosecured Piezoelectric Waterfall.This allows
the material to function as a power harvesting medium.
The significance of the proposed approach results in
generation of electricity in hilly areas using natural resources
and in rural areas through tube-well water pressure. This
research also provides a solution to overcome critical problems
faced by the people living BPL.
Ecosystem
,
Electrical
Index
Terms
Piezoelectricity, Pressure, Quartz, Vibration .

Energy,

I. INTRODUCTION
Now-a-days, the most challenging task is to develop
an eco-friendly and cost efficient world having no problem of
Electricity. The need to generate electricity is the demand for
todays life because of the fact that even if the planet doubles
the amount of solar and wind power available, there would
still be a shortage of clean energy source. Miniaturization is a
continuing trend in the electronics industry. The power
required by smaller devices has decreased, but the challenge
remains to find energy-efficient power sources for them.
The concept of capturing the lost energy surrounding a
system from vibrating sources in the environment is pervasive
and accessible, found in places such as automobile engines,
rotating equipment, and the human body, in all instances
translating vibration into electrical energy via the
deformation of a piezoelectric material. Harvesting this
energy is one of the most promising techniques owing to the
high energy density and ample power it provides (on the
order of 100_W).

Agriculture is the backbone of India, Water is the primary

source required for Irrigation and this is drawn through tube
well therefore the water pressure developed there can be
utilized to vibrate the piezoelectric crystal to generate the
energy in rural areas. We can think of innovative Ecosecured
Piezo Road (PZR) in the world famous pedestrian tourist
places like Kedarnath, Yamunotri, Vaishno Devi where lakhs
of Tourists travel in a single year in the peak season,
Waterfall areas can also utilized for electricity generation in
the form of Ecosecured Piezo Waterfall (PZW) and
generated power can be utilized in street lightning and also
low-power microelectronic-driven devices like mobiles,
MP3s, I pads - anything that requires re-chargeable batteries
or small batteries to run. Moreover, it can also be
implemented in crowded areas like Bus Station, Railway
Stations, Malls and Footpaths of Metro-Politian cities by
utilizing the pressure created by footsteps to generate
electricity.
The generation of an electric charge in certain non
conducting and non symmetric material such as quartz
crystals and ceramics, when they are subjected to mechanical
stress (such as pressure or vibration), or the generation of
vibrations in such materials when they are subjected to an
electric field. Piezoelectric materials exposed to a fairly
constant electric field tend to vibrate at a precise frequency
with very little variation, making them useful as time-keeping
devices in electronic clocks, as used in wristwatches and
computers.
Piezoelectric materials have a crystalline structure
that provides a unique ability to convert an applied strain into
an electrical current and vice versa[3].The effective
piezoelectric plate contains the maximum of 50 quartz
material which will generate 230 volts around potential (as 1
crystal generates app. 5 volts).

Kumar Govind Author is with the Department of Electronics and

communication Engineering, Graphic Era University, Dehradun -248002, India
(e-mail: kmrgovind@ieee.org)
Anil Pahwa Author is with the Department of Electrical and Computer
Engineering, Kansas State University, Kansas 66506-5204, U.S.A (e-mail:
pahwa@ksu.edu ).
Nimika Aggarwal and Vibha Balodhi are with the Department of Electronics
and communication Engineering, Graphic Era University, Dehradun -248002,
India(e-mail:c_nimikaaggarwal66@gmail.com, d_balodhivibha21@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

604

Fig.2. Ecosecured Piezoelectric Road (PZR)

Fig.1. Ecosecured Piezoelectric Waterfall (PZW)

Fig.3. Effect on ecosystem by different methods of electricity
generation
The graph shown above is demonstrating the effect of
electricity generation on eco system through various sources.
Nuclear power method has the highest effect as it produces
the large amount of hydrogen. The coal and hydroelectricity
produces the green house gases (CO2) but the renewable
method is eco-friendly.
605

II. THEORY
Piezoelectric Constitutive Equation:
Piezoelectric Material: Core Material of Research
Piezoelectric crystal such as quartz exhibits
electromechanical resonance characteristics that are very
stable with time and temperature and highly selective (having
high Q factors).
Piezoelectric crystals are one of many small scale
energy sources. Whenever piezoelectric crystals are
mechanically deformed or subject to vibration they generate a
small voltage, commonly know as piezoelectricity. This form
of renewable energy is not ideally suited to an industrial
situation. For example, lead zirconate titanate crystals will
generate measurable piezoelectricity when their static
structure is deformed by about 0.1% of the original dimension
[2]. Conversely, those same crystals will change about 0.1%
of their static dimension when an external electric field is
applied to the material.

Fig.4. Piezoelectric Effect

Rochelle salt exhibits much piezoelectric activity but
mechanically very weak and hence used in microphones.
Tourmaline has less piezoelectric activity but mechanically
very strong and much expensive and hence used at high
frequency.
Quartz crystal is the best crystal as it has piezoelectric
activity as of Rochelle salt and is mechanically strong as
tourmaline. It is less expensive and can be found in nature
easily and hence it is used for many purposes like oscillators,
radio transmitters and to produce electricity.
The technology just keeps getting better, too. The
combination of silicone and nanoribbons of lead zirconate
titanate to create PZT, an ultra-efficient piezoelectric material
that can convert up to 80 percent of mechanical energy into
electricity. PZT is 100 times more efficient than quartz. It's so
efficient, in fact, that the material could be used to harness
energy from the minute vibrations found in items like shoes
and clothing. That means a piezoelectric-equipped shirt could
potentially charge up your cell phone after a day of activity.

Piezoelectricity is described mathematically within a

material's constitutive equation, which defines how the
piezoelectric material's stress (T), strain (S), charge-density
displacement (D), and electric field (E) interact.
Piezoelectricity is the combined effect of the electrical
behavior of the material [5]:

Where D is the electric charge density displacement (electric

displacement), is permittivity and E is electric field
strength, and
Hooke's Law:
S=sT
Where S is strain, s is compliance and T is stress.
Piezoelectric constitutive equation represents the
Relation of stress and voltage. Where S is strain, s
compliance, E electric field, T stress, D electric displacement,
d piezoelectric coefficient, and Dielectric constant. The
piezoelectric constitutive law (in Strain-Charge form) is:

Equations given above energy conversion relation are

expressed in piezoelectric coupling factors [10]. Especially
piezoelectric coefficient, d, represents the amount of charge
generated by Relationship between the stress and dipole
moment. Piezoelectric coefficient is a constant value in static
loading, but variable in dynamic loading such as resonant
frequency.

Piezoelectric effect:
The piezoelectric effect is understood as the linear
electromechanical interaction between the mechanical and the
electrical state in crystalline materials with no inversion
symmetry. The piezoelectric effect is a reversible process in
that materials exhibiting the direct piezoelectric effect (the
internal generation of electrical charge resulting from an
applied mechanical force) also exhibit the reverse
piezoelectric effect (the internal generation of a mechanical
strain resulting from an applied electrical field)[4].

606

There are a number of other remarkable

coincidences about quartz. It is fairly readily available in the
sort of purity and size of crystal, which are necessary for
sensible manufacturing, which of course means it s not a
terribly expensive material. The frequency at which it vibrates
will be determined by the mechanical dimensions of the
quartz - either the length or the thickness or a particular
shape.
Impedance/Reactance Curve:

Fig.5. Charge separation in piezoelectric material

[6] The diagram shows how some of the charge becomes
separated in a piezoelectric material when stressed. The effect
of applying a voltage to deform the crystal is not always
parallel like shown here. The effect depends on the crystal
structure and sometimes the deformation can sheer or be at
different angles compared to the electric field.

A crystal has two frequencies of zero phase, as

illustrated in Figure 8. The first, or lower of the two, is the
Series Resonant Frequency, denoted as (fs). At this point, the
crystal appears resistive in the circuit, impedance is at a
minimum and current flow is maximum. As the frequency is
increased beyond the point of series resonance, the crystal
appears inductive in the circuit.[9] When the reactances of
the motional inductance and shunt capacitance cancel, the
crystal is at the Frequency of Anti-resonance, denoted as (fa).
At this point, impedance is maximized and current flow is
minimized.

A. Quartz as an electronic material:

The primary use of quartz crystal components in
electronics is to define a frequency: so in a watch there is a
quartz component which is vibrating at around 32,768 cycles
per second (32.768 kHz) and the circuitry in the watch will
convert that into a time.

Fig.7. Impedance and reactance curve

IV.WORKING

Fig.6. Showing piezoelectric effect in Quartz [8]

Piezoelectricity is sometimes called pressure
electricity. When a nonsymmetrical, nonconducting crystal,
such as quartz (whose structure is shown above in simplified
form) is stretched, a small voltage is generated between
opposite faces of the crystal. When the tension (T) changes to
compression (C), the voltage changes sign. As the
temperature of quartz rises, it deforms more easily, producing
a stronger piezoelectric effect. However, once the temperature
reaches about 1,063F (573C), the piezoelectric effect
disappears

The working is based on the concept of capturing the

unused energy surrounding any system and converting it into
electrical energy that can be used to extend the lifetime of that
system by providing energy through backup. The piezoelectric
plates will be placed under the non-conducting material (hard
rubber) and the pressure created by the pressure such as
footsteps (in PZR) and waterfall pressure (in PZW) will
produce energy which can be stored and utilized as
mentioned.
The figure (Fig 1 and Fig 2 ) illustrates the piezoelectric
arrangement. The piezoelectric elements are in their various
forms and configurations are designed to operate near
resonance. Resonance may vary as a function of number of

607

properties of Piezo materials being employed. These may

include the size, shape, density and other physical parameters
of a particular configuration for elements being used.
Electrical contacts or coupling elements used in the figure are
coupled to suitable electrical leads, which are electrically
coupled to the piezoelectric element.
The polarity of charge depends upon whether element is
under compression or tension as a result of applied force. If
the element is subjected to an applied compressive force its
polarity will be positive and due to applied tensile force it will
be negative. This element generates the electrical charge to
the voltage limiter. Voltage limiter is the back to back zener
diodes. It provides the return channel through which electric
charge may flow to the piezo unit to prevent the
depolarization of the piezo element. The return channel is
provided to work in either polarity mode. Voltage limited
electrical charge is coupled electrically to bridge rectifier.
This pulsating DC from rectifier is coupled to the capacitor
filter which efficiently serves as ripple filter. This rippled free
DC obtained from filter is provided to shunt type voltage
regulator, to regulate voltage which advantageously coupled
to storage element which can be a battery or a capacitor.
This is embodiment of single piezo electric unit. For large
scale production, multiunit piezo electric Array is utilized by
plurality of elements. More preferable stack Array
arrangement passes the applied force through all layers
forming piezoelectric elements in the Array thus causing the
voltage to rise.
The Array consists of the given type of subsystem
embodiments which are eclectically coupled at nodes so as to
form a voltage additive series circuit arrangement. The
summed electrical charge is input to the regulator by the way
of nodes. This output is stored in one or more electrical
charge element. Finally the generated, regulated, conditioned
and stored electrical charge of the system is available for use
by external circuitry. The conditioning circuitry is preferably
of relatively low impedance to more efficiently capture the
generated charge.

608

Fig.8. Block diagram showing working of

Model

[8]

www.eetimes.com/design/tactile feedback solutions, last visited: Jan

2,2012.
[9] www.wikipedia.com , Dec 30 2011.
[10] Jae-Yun Lee,Jae-geun Oh, Kwang-Soo Kim and Bumkyoo Choi The
Energy Conversion System With Piezo Electric Effect For Wireless Sensor
Network,pp1-2, 2008.

Fig.9. Output Power in the Storage Element with the

generated Output Voltage
.
V. ACKNOWLEDGEMENT
The authors would like to thank Kansas State University,
U.S.A and Graphic Era University, INDIA for providing
infrastructure and technical support.
This work has been funded by IEEE Graphic Era
University Student Branch.
VI. CONCLUSION
This paper presents an adaptive approach to harvest electrical
energy from mechanically excited piezoelectric element. It
proposes energy conversion system as a power source for the
rural as well as hilly areas in terms of generating electricity.
This technique of implementing the Piezo Road & Piezo
Waterfall is to reduce the global warming .The most of the
applications of the piezoelectric effect has been done but the
novelty of this paper leads to the optimal efficiency of the
system consisting of energy generation which is connected to
a power processing circuit to use without affecting natural
resources.
The compact model not only provides the accurate results
but also gave the computational speed-ups of the generation
VII. REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]

Harper, Douglas. "piezoelectric". Online Etymology Dictionary.

Gautschi, G (2002). Piezoelectric Sensorics: Force, Strain, Pressure,
Acceleration and Acoustic Emission Sensors, Materials and Amplifiers..
Damjanovic, Dragan (1998). "Ferroelectric, dielectric and piezoelectric
properties of ferroelectric thin films and ceramics"
Kochervinskii, V (July 2003). "Piezoelectricity in Crystallizing
Ferroelectric Polymers".
www.mathworks.com/access/helpdesk/help/toolbox/physmod/elec/ref/piez
ostack.html.
www.creationscience.com , last visited: Jan 4, 2012.
Research Media and Cybernatics.

609

A Model for Assembly Line Balancing Problems

Shwetank Avikal, P. K. Mishra, and Rajeev Jain

IT

idle time

Abstract-- The assignment of jobs to work stations in an

assembly environment has been the matter of concern to
researchers so that the efficiency of the system can be enhanced.
An assembly line is a flow-oriented production system where the
productive units performing the operations, referred to as
stations, are aligned in a serial manner. The proposed work
deals with a methodology for the problem of assigning tasks to
work stations in assembly lines, where the cycle time is variable.
A model has been proposed to assign the tasks to the work
station in assembly lines, where variation of cycle time is
imposed by the management.

WS
LE
NT
MaxTT
MinTT
MNF
RPW
RPW & MTT

=
=
=
=
=
=
=

work station
line efficiency
number of task
maximum task time
maximum task time
max number of followers
rank positional weight

rank positional weight & maximum task

time
maximum no of follower and maximum
task time

MNF & MTT =

Index Terms-- Assembly line, cycle efficiency, heuristics, line
balancing.

N assembly line balancing problem is how to streamline

the assembly activities, so that the total assembly time
required at each workstation is approximately the same. The
cycle time of the assembly line is determined by the
workstation with maximum total assembly time.
Originally, assembly lines were developed for a cost
efficient mass production of standardized products, designed
to exploit a high specialization of labor and the associated
learning effects. Since the times of Henry Ford, product
requirements and thereby the requirements of production
systems have changed dramatically. In order to respond to
diversified customer needs, companies have to allow for an
individualization of their products. This individualization
forced the management to design the assembly line in
minimum time by which the setup time of the line can be
minimized.
The remainder of the paper is arranged as follows. In
Section II, nomenclature is given. Literature review is
presented in Section III. Section IV presents the proposed
model for assembly line balancing problem solving. The
Results of proposed model is presented in Section V. Finally
conclusions are given in the Section VI.
II. NOMENCLATURE
P
CT
TT

I. INTRODUCTION

=
=
=

problem
cycle time
task time

Shwetank Avikal, P. K. Mishra, and Rajeev Jain are with the Department of
Mechanical Engineering, Motilal Nehru National Institute of Technology,
Allahabad-211004, India (e-mail: shwetank@mnnit.ac.in, pkm@mnnit.ac.in,
rjain@mnnit.ac.in).

yi
N
T
T
F
S2

=
=
=
=
=
=
=

observation

ith response
total number of observations
sum of all observation
average of all observations
fisher ratio
variance

III. LITERATURE REVIEW

The problem of assembly line balancing for ideal
assignment of tasks to the workstations has been addressed by
many researchers for different types of assembly line
balancing problems using different types of heuristics and
optimizations techniques.
Sofia. et. al. [1] proposed a genetic algorithm based
approach to the mixed model assembly line balancing of type
two. In this model he has used genetic algorithm for line
balancing. He gradually reduced the cycle time by one unit
and tried to solve the problem. If feasible solution is found
then he again reduced cycle time otherwise he increased cycle
time by one unit and solve the problem. He used this model
for parallel workstations.
Bautista. et. al. [2] proposed a time and space constrained
assembly line balancing problem. In this approach they have
used Ant algorithm for example given a source of food, an ant
colony tends to naturally find out shortest path between the
source and its nest via two processes. Firstly, the ant deposit
pheromone on the route, and secondly, they normally follows
the path on which they find more previous deposited
pheromone. Here he proposed different types of line
balancing problems line feasibility problem, single objective
problems, and multi objectives problems.

978-1-4673-0455-9/12/$31.00 2012 IEEE

610

Boysen. et. al. [3] defined different types of models and

explain that which model to use when for assembly line
balancing problems. That modal was based on the number of
model like single model, multi models and mixed model, and
based on line control like paced, unpaced asynchronous &
unpaced synchronous and frequency like first time
installation & reconfiguration and level of automation like
manual lines and automatic lines.
Tetsuo et. al. [4] have presented a management design
approach to assembly line system by considering both the cost
and lead time under demand fluctuations. First, a design
procedure based on the 2-stage design method is presented for
the assembly line system with and without stopper in the
installation case of production facilities. Next, the strategic
relation of economic traffic and lead-time is considered by
introducing the production matrix table. Finally, a positioning
strategy is discussed for a case in which the lead-time is
restricted.
Toksari. et. al. [6] proposed simple and U-type assembly
line balancing problem with learning effect. He has
introduced the learning effect into assembly line balancing
problems. In many realistic settings, the produced worker or
machine develops continuously by repeated the same or
similar activities. Therefore, the production time of product
shortens if it is processed later. They show that polynomial
solution can be obtained for both simple assembly lines
balancing problem and U-type line balancing problem with
learning effect.
Amen [11] presented his work concerned with costoriented assembly line balancing. In his work First a short
problem description is presented. After that a classification of
existent and new heuristic methods for solving this problem is
given. He also proposed a new priority rule called best
change of idle cost is proposed. This priority rule differs
from the existent priority rules because it is the only one
which considers that production cost are the result of both,
production time and cost rates.
Fleszar et. al. [13] proposed a new heuristic algorithm and
new reduction techniques for the type 1 assembly line
balancing problem. The new proposed heuristic is based on
the well-known Hoffmann heuristic and builds solutions from
both sides of the precedence network to choose the best. The
reduction techniques aim at augmenting precedences,
conjoining tasks and increasing operation times.
Albert. et.al. [7] proposed the technique of balancing
assembly line with skilled and unskilled workers. He
presented the process of rebalancing the line at motorcycleassembly plant. The company found it necessary to rebalance
its line, since it needs to increase production in the spring and
summer months. The main characteristics of the problem are:
(i) the company hires temporary staff, which needs more time
to carry out their tasks than permanent workers; (ii) there
must be at least one skilled employee working alongside an
unskilled one; and (iii) different task groups are incompatible
with each other (clean-hands tasks and dirty-hands tasks).
The goal is to minimize the number of temporary workers
required, for a cycle time and the team of workers on staff.

The problem is modeled as a binary linear program (BLP)

and solved optimally by means of the ILOG CPLEX 9.0
optimizer. The solution provided, namely 12 permanent
workers (skilled) and two temporary workers (unskilled), is
an improvement on the solution implemented by the business,
which involved 12 permanent workers and four temporary
workers.
This paper presents a model that yield minimum cycle
time while using the proposed algorithm.
IV. PROPOSED MODEL
In proposed model it has been assumed that the variation
in cycle time is very small (few units), Change in no of work
station can be acceptable, Change in production rate can be
acceptable, every work station have a same and constant cycle
time.
In this proposed model a term used, named variation and it
depends upon the assembly line, has been added and it was
found out on the bases of market requirements and it should
vary within 15 percent of the cycle time because variation up
to 15 percent is mostly acceptable for assembly line balancing
problems. This variation has been reduced and then added to
the cycle time and got a series of the cycle time on which the
assembly line can run, with a view that minimum cycle time
should not be less than any task time. Here first of all, the
problem has been solved and then the efficiency of all the
heuristic is calculated for the first cycle time i.e. C1 and then
increase the cycle time by one unit and again solve the
problem and calculate the efficiency of the all heuristics.

Fig I Proposed assembly line balancing model

The system uses different heuristics that comprises of

different priority rules. All the heuristics were used to evolve
idle time and cycle time.
Priority Rules and Heuristic:
Optimal solution of the ALB problems having typically
been obtained by following approaches.

611

1.
2.
3.
4.

Maximum task time

Maximum number of followers
Maximum, ranked positional weight
Combination of Maximum task time and Maximum
number of followers
5. Combination of Maximum task time and Maximum,
rank positional weight

minimum idle time with minimum cycle time and minimum

number of work stations.
The model is illustrated through an example whose
precedence diagram is given as:
3
6

Analysis of variance (ANOVA):

This method was developed by Sir Ronald fisher in the

1930s as a way to interpret the results from agriculture
experiments. ANOVA is not a complicated method and also
has a lot of mathematical beauty associated with it. ANOVA
is a statistical based, objective decision-making tool for
detecting any difference in average performance of groups of
items tested. The decision rather than using pure judgment,
takes variation into account.

7
5

Fig II Precedence diagram of simple assembly line

Input Data:

y T

Task
TT

TABLE I TASK AND TASK TIME

S y2

i 1

(1)

N 1
kA

A T

1
14

2
5

3
6

4
7

5
8

6
5

7
10

8
5

Cycle time = 17 sec

No. of theoretical work stations = Sum of task time/ CT = 4

S y2

i 1

kA 1

(2)

TABLE II VALUE OF CYCLE TIME, IDLE TIME, NO. OF

WORKSTATIONS AND LINE EFFICIENCY FOR ALL HEURISTICS

F test for variance comparison:

Statistically, there is a tool which provides a decision at
some confidence level as to whether these estimates are
significantly deferent. This tool is calculated an F-Test,
named after Sir Ronald Fisher, A British Statistician, who
invented the ANOVA method. The F-Test is simply a ratio is
sample variance.
F

S y21
S y22

(3)

When this ratio becomes large enough, then the two

sample variances are accepted as being unequal at some
confidence level. F tables which list the required F ratio to
achieve some confidence level are provided in the appendixes.
To determine whether an F ratio of two sample variance is
statistically large enough, there pieces of information are
considered. One, the confidence level necessary: two, the
degree of freedom associated with the sample variance in the
numerator: and there, the degree of freedom associated with
the sample variance in the denominator. Each combination of
confidence, numerator degree of freedom, and denominator
degree of freedom has an F ratio associated with it.
V. RESULTS

Heuristic
MTT
MNF
RPW
MNF & MTT

CT
17
16
18
18

IT
8
4
12
12

WS
4
4
4
4

LE%
88
93
83
83

RPW & MTT

18

12

83

It can be seen (tables II) that the optimal idle times by

different heuristic are not same and the cycle efficiency is also
not same. It is found that maximum task time method yields
optimum solution at 17 sec cycle time, maximum no of
follower gives optimum solution at 16 sec cycle time, rank
positional weight give optimum solution at 18 sec cycle time,
combination of maximum task time and maximum no of
follower gives optimum solution at 18 sec cycle time and
combination of maximum task time and rank positional
weight gives optimum solution at 18 sec cycle time.
By this we can say that first two heuristics gives different
solution both and last three gives same optimal solution. But
the solution by maximum no of followers is optimum solution
and the assignment schedules of all heuristics are different.
The table shows that idle time, number of work stations and
cycle efficiency with their cycle time of all heuristic.
Ten different problems have been solved and their results
are given in TABLE III.

The present work deals with single model assembly line

balancing problems with an objective to propose a efficient
heuristic to find out the optimal solution in the terms of

612

TABLE III COMPARISON OF LINE EFFICIENCY FOR SAMPLE

PROBLEMS

P1
P2
P3
P4
P5
P6
P7
P8
P9
P 10

MTT
%
93.3
85.2
85.2
95.2
96.5
88.2
93.7
92.9
97.9
98.0

MNF
%
93.3
85.2
69.7
95.2
86.2
93.8
93.7
86.4
90.4
82.5

RPW
%
93.3
85.2
85.2
95.2
92.8
83.3
93.7
92.9
90.4
82.5

MNF &
MTT %
93.3
85.2
69.7
95.2
86.2
83.3
93.7
92.9
90.4
82.5

[2]

RPW &
MTT %
93.3
85.2
85.2
95.2
92.8
83.3
93.7
92.9
90.4
82.5

[3]

[4]

[5]

[6]

[7]

After solving ten sample problems the mean of their

efficiency, standard deviation has been calculated and then
rank has been assigned to all heuristic.

[8]

[9]

TABLE IV FINAL RESULTS OF THE PROBLEMS

MTT
%

MNF
%

RPW
%

MNF &
MTT %

RPW &
MTT %

Mean
Efficiency

92.55

86.81

88.62

87.18

89.39

Standard
Deviation

4.823

7.434

4.834

7.658

4.807

Rank

[10]

[11]
[12]

[13]

Analysis of variance (ANOVA):

[14]

S y21 22.49735

S y22 37.74149

[15]

F test for variance comparison (90% confidence level):

[16]

F 0.596091

VI. CONCLUSION
This paper presents a model for solving the assembly line
balancing problem by varying the cycle time. The results have
compared with the reported heuristics and priority rules. It is
found that the results obtained by using proposed heuristics
are comparable with the variation of cycle time. The
performance measures used for comparison are efficiency,
idle time of work stations and cycle time. It can be seen (see
Table IV) that the maximum task time heuristic gives
maximum efficiency and has first rank. The ANOVA and F
test also validate the result. Thus, it can be said that heuristic
of maximum task time performs better than other heuristic
and it yields line efficiency.
VII. REFERENCES
[1]

Ana Sofia Simaria and Pedro m. A genetic algorithm based approach to

the mixed model assembly line balancing problem of type-2, 2004,
Computer and industrial engineering, vol. 47, P. 391-407.

613

Joaquin Bautista and Jordi P., Ant algorithm for a time and space
assembly line balancing problem, European journal of operation
research, 2006, vol. 177, P. 2016-2032.
Nil Baysen and Malte F., Assembly line balancing: which model to use
when, 2007, International journal of production economics, vol.111, P.
509-528.
Testuo Yamada and Masayuki M. A management design approach to
assembly line system, International journal of production economics,
vol.84, P. 193-204, 2002.
Joaquin B and Jaine C., Minimizing work overload in mixed-model
assembly line, International journal of production economics, vol.112,
P. 177-191, 2007.
M. Duran T., Simple and U-shaped assembly line balancing problem with
a learning effect, Applied mathematical modeling, vol.32, P. 2954-2961,
2007.
Albert C. and Rafael P., Balancing assembly line with skilled and
unskilled workers, Omega the International journal of management
science, vol.26, P. 1126-1132, 2006.
D. D. Sheu and Shiao-Lan P. Assessing manufacturing management
performance for notebook computer plant in Taiwan, International
journal of production economics, vol.84, P.215-225, 2002.
Joaquin B. and Jordi P. A dynamic programming based heuristics for the
assembly lone balancing problem, European journal of operation
research, vol.194, P. 787-794, 2008.
Asar Khan and Andrew J. Day, A knowledge based design methodology
for manufacturing assembly lines, Computer and industrial engineering,
vol.41, P. 441-467, 2001.
Amen, Heuristic methods for cost-oriented assembly line balancing: A
survey, Int. J. Production Economics, vol. 68, p. 1-14, 2000.
Mendes et.al. Combining heuristic procedures and simulation models for
balancing a PC camera assembly line, Computers & Industrial
Engineering, vol. 49, p. 413431, 2005.
Kfleszar et.al. An enumerative heuristic and reduction methods for the
assembly line balancing problem, European Journal of Operational
Research, vol. 145, p. 606620, 2003.
Yamada T and Matsui M., A management design approach to assembly
line balancing systems, International journal of production economics,
vol.84, P. 193-204, 2003
J. Rubinovitz and G. Levitin, Genetic algorithm based line balancing,
International journal of production economics, vol.41, P. 343-354,
1995.
Phillip J. Ross, Taguchi Techniques for Quality Engineering, Edition II,
TMH Publishing Company Ltd., New Delhi, 2005.

Business Logic Model for Web Services Change

Management
Naga Venkata Kiran G, Student, Thirumaran M and, Dhavachelvan P

Abstract-- Emergency changes to business logic are eternal

incidents in enterprise business environments to meet the
clients requirements in todays fast and rapidly growing IT
business market. This requires an urgent need of a dynamic
model to facilitate the business analysts to manage these critical
changes reliably and sophistically by themselves without relying
on the IT staff. Also compromising the changes with respect to
the business policy will be the major issue which has not been
addressed by the existing change management frameworks. In
this paper a framework is presented for managing and
implementing these changes based on Finite State Machine
[FSM]. Here FSM is used for creating the business logic set
which also includes the policy constraints with its allied
mapping function to guarantee the changes made are policy
enabled during run time.
Index Terms-- Dynamic Change Management; Business
Policy Driven Approach; Finite State Machine; Business Logic
Management; Backward Compatibility;

I. INTRODUCTION
usiness logic is an executable capsule consists of set of
business policies and procedures which determines the
service operations, behaviors and also the providers
reputation among the wide range of competitors. Todays the
Business Logic Management system (BLMS) brings about
best results if it is able to reconcile with the business
methodology of that system. It allows the non- technical
people to create and alter very detailed levels of business logic
without calling for the assistance of the IT Department, by
providing a point-and-click or GUI interface that endows the
user to manage the logic using easily apprehensible symbols.
The system supports a test environment that permits the
business analyst or non-technical user to test logic changes
before deploying the modifications in a live environment.
This is the only means to ascertain that changes do not
negatively impact business logic integrity or compromise the
production system. The debugger provides a method for
adjusting parameters and data, in real time, so that the
business analyst can create realistic test cases and validate

Naga Venkata Kiran G, Student and Thirumaran M, Assistant Professor

are with the Department of Computer Science and Engineering, Pondicherry
Engineering College, Puducherry-605014, India (Corresponding Author e-mail:
nagavenkatakiran@pec.edu).
Dhavachelvan P, Professor and HOD, is with the Department of Computer
Science, School of Engineering and Technology, Pondicherry University,
Puducherry-605014.

each one as they are executed.

Business logic ought to be changed off times to cope with
the challenges in a free-enterprise economy (Antonio Oliveira
Filho, 2010). It focuses on creating environment for dynamic
variations to the business logic so that it is feasible to make
frequent modifications in a service which aids service
provider and serves him to satisfy clients newfangled quests.
Such environment is useful in the run-time management of
web services and to exactly spot the solution to the service
providers maintenance element. There are many models that
subsist for Business Process Management in which the
process is recycled for the overall process changes. However,
the problem with these solutions is that they only support the
process level flexibility and not the application/service level
flexibility. On the other hand this Business Logic
Management Framework tries to append that service level
flexibility. These changes are done at the Business Analyst or
Business Experts level instead of being done at the developer
level, which reduces the hierarchy level in change
management and thus implies a reduction in time and cost
requirements. Here a dynamic model is proposed for business
logic visualization and automated logic alteration which
monitors the services at a point in time. The main goal is to
bring forth a lucid Business Logic schema (BL Schema)
which interprets the service source code with business
vocabularies according and make the business experts to
understand the service functionality at the schema
modification level (conceptual level). The BL schema
generation deals with generating a XML code that reflects
changes to the service logic as anticipated. This paper draws
a bead on providing immediate alterations to the services thus
effectuating service automation process. Thus, it gives new
dimensions to the Business Logic community by discussing
the transparent framework for Dynamic management of
Business Logic.
A framework for managing changes that are propagated
during run time using FSM (Finite State Machine) is carried
out in this work. In our work a policy driven change
management framework is introduced to manage the
emergency changes by the business analyst. Usually Business
Analyst deals with the business process in the administration
level for any kind of modification or refinement of existing
business process. Here Business Analyst can directly control
and manage the business process at the development level
through the business logic schema. Finite State Machine is

978-1-4673-0455-9/12/$31.00 2012 IEEE

614

used to generate the business logic schema with respect to the

composed business logic set. The generated business logic
schema allows business experts to modify the business logic
at the schema level by eliminating the complexity of hard
coded business logic. This schema is completely policy driven
since it has the capability to map the business policy
associated with the changes. During the progress of change
the business policies associated with the business logics are
mapped and verified in order to eliminate the changes which
causes policy violation. Finally the changes made on the
business logic schema will be reflected on the business logic
code once the policy manager commits the changes, and then
the changes associated with the service will be rebuilt and
redeployed at the provider end automatically.
II. FRAMEWORK FOR WEB SERVICES CHANGE MANAGEMENT
Business Logic Model for policy driven web service
change management demonstrated in figure 1 provides an
abstract framework which guides to manage the existing
business logics and to shape up in different forms for
persuading various complex demands. The major task of the
model is to cope up the existing logics, adapt meaningful
changes into it and amend into different form for swaying
various requisites. It accomplishes these tasks through five
chief components such as Logic Analyzer, Dependency
Analyzer, Change Manager, Property Evaluator and Schema
Generator.

the business logic schema is generated based on the logic and

policy mapping constraints. Then the changes to be enforced
are measured to find the completeness of the set and a state
transition table is build to analyze the states after changes are
done.
Algorithm PolicyMapper (Business Logic, Policy Set)
//L(R, F, Pr, Py, D); where L is business Logic set
//Rset of rules
//Fset of functions
//Prset of parameters
//Pyset of policies
//Dfunction dependency relation
Begin
CRGetChangeRequest
Domainfind Domain (CR)
//CR be the change request consisting of Domain
Variable (DV)
Lextract logic (domain, DV)
L(R, F, P, Py, D)
// STT be the state transition table
STTSimulates (L)
BLSchemaGenerate Schema (L, Py)
//f be mapping function
//policy mapping
Pgets Policy (Py)
Statestart state
i=1
Do
Begin
NextfindTransition (L, P, STT)
Statenext
f[i] next
i i +1
End
While (state==endstate && P==NULL)
Return f[i]
End
IV.

WORKING MODEL

The proposed work manages and implements the changes

done to business logic in an effective manner. Here Business
Logic (BL) is defined as a set consisting of Business
Functions (BF), Business Parameters (BP), and Business
Rules (BR).
BL={BF,BR,BP,BD}.(1)
Also identified the dependencies existing between
functions, rules and parameters through the dependency set
BD. If change request is generated dynamically, our system
first measures the whether the change can be implemented or
not. This is done as described in the following sections.
Figure 1. Framework for Web Services Change Management

III. BUSINESS POLICY DRIVEN MAPPING ALGORITHM

The following algorithm builds the policy mapping
existing between the business logic set L and the policy set. If
any changes are to be done, i.e. after change requests are
received, logic is extracted for the domain variable Dv. Then

A. Procedure/Steps Involved In Dynamic Business Logic

Change Management
(i) The change request [CR] is the input to the source
manager which consists of command, resource and condition.

615

CR = <command> <resource> <condition>,

Where,
<Command> action raised by the user
<Resource> where the change has to be implemented
<Condition> the condition which the system has to be
satisfied.
(ii) Once the change request is analyzed and measured to be
complete and finite, corresponding business logic schema is
composed for the change request generated.
(iii) Here, before implementing the change on a particular
logic, the corresponding business functions and parameters
which are dependent on the business entity to be changed are
identified as this establishes the dependency set and
overcomes the problem of incorrect functioning of service
logic.
(iv) The dependency relations are then mapped into
corresponding BL schema file
(v) The BL schema generation deals with generating a XML
code that reflects changes to the web service business logic as
expected and versioning of the schema file is updated.
(vi) The rule to be modified or changed is written to this file
and these results in automatic change in the corresponding
source code without the intervention of developer.
B. Advantages
(i) As business logic requirements change, business analysts
can update the business logic without the support of IT staff.
(ii) Saves labor costs as everything i.e. the change
management is done at the business analyst level.
(iii) Automates the business logic change management in an
effective manner
(iv) Time can be saved drastically as there is no need to
change the entire source code from the scratch
(v) All the changes to be implemented are dynamic in nature
i.e. run time

supports the change and generates the new schema that

satisfies the change requirement.

Figure 2. Policy Dependencies

The architecture flow of the proposed system is shown in the

below figure.

V. MOTIVATING EXAMPLE
Consider a real time scenario for a banking service
application. If a change request modifywithdrawlimit has to
be validated which is generated dynamically first the
functions, rules, parameters and dependency sets to the
functions interdependent on this are checked. Here the
change request is the rule to be modified. For example, the
rule set corresponding to the function deposit () are:
check_acc_holder () and check_policy_details (). If these
rules are verified and validated to be true then only the
change request is accepted by the source manager and the
corresponding schema to the change request is generated
automatically in dynamic fashion. Hence if change request is
generated for one method, it indirectly depends on various
rules which are interdependent. This change is made based on
the dependency relation existing between the functions (i.e.)
order of execution. Thus change in one particular function or
rule can result in various modifications on other rules that fall
under the same category or set. The methodology is based on
verifying completeness and finiteness of changes in business
rules propagated dynamically. This technique automatically

Figure 3. Architecture Flow of the Proposed System

VI. CASE STUDY & IMPLEMENTATION

We have implemented the above travel agency case study
using java web services technology in Net Beans IDE and also
incorporated changes to the airline reservation service schema
which reflects the changes back to the source code level
without the intervention of source code developer [Figure 4].
A new business logic concession is added to the service and
all the changes are implemented successfully at the business
analyst level itself.

616

Travel Agency
Bank service
Browse Menu
package
Request tour
package

Airline Reservation
Service

Track request
package
Traveller

Update

Hotel Reservation Service

Service Provider

Figure 4. Basic Functionalities of Travel Agency (UML Case Diagram)

The run-time architectural view of the Travel Agency case

study is shown in the below figure. Four services are deployed
and the run-time changes are introduced into the system. The
system has successfully adapted to the changes excluding the
help of software professionals.

Figure 5. Run-time view of Travel Agency Case Study scenario

The following figure shows the schema of the airline

reservation service after the inclusion of the function
concession which has been added dynamically without the
necessity of source code developers. The snapshot also shows
that the service after changes has been successfully passed
after redeploying the service.

Figure 6. Reservation Service Build and Redeployment after the change

TABLE I. EVALUATION OF CHANGE MANAGEMENT

Business Logic

CR
Anal
ysis
Tim
e
(ms)

BL
extra
ction
Time
(ms)

BL
Set
Const
ruct
Time
(ms)

Polic
y
Map
ping
Time
(ms)

Chang
e
adopti
ng
Time
(ms)

Total
Time

Reservation

0.22

0.22

0.33

0.21

0.23

1.22

Payment

0.23

0.53

0.43

0.45

1.88

Registration

0.32

0.32

0.32

0.12

0.22

1.31

Hotel_Booking

0.21

0.45

0.33

0.21

0.23

1.43

Local_transport

0.13

0.33

0.23

0.23

0.15

1.08

Restaurant

0.22

0.32

0.32

0.22

0.22

1.30

0.23

The above table gives the results of performance

measures for various services implemented in our case study.
They are identified with respect to change request analysis
[CR Analysis], business logic extraction [BL Extraction], and
business logic set construction time [BL Set Construct time],
policy mapping time, and change adoption time. Also the
total time is calculated for analyzing the time taken to
redeploy the services after changes are done at business logic
level. The performance measure for the above case study is
given in the following graph depicted as Figure 7.

617

Figure 7. Performance evaluation of various services implemented with respect

to time

VII. RELATED WORKS

While different researchers proposed different
methodologies for change management, they all included
activities that help organizations transition from a current
state to desired future state during the implementation of ERP
systems to achieve the organizational outcome. Dimitris
Apostolou et all presented an ontology-based approach for
managing e-Government services that enables systematic
response of e-Government systems to changes by applying
formal methods for achieving consistency when a change is
discovered [1]. Xumin Liu et all proposed a framework where
managing changes in LCSs is modeled as a dual service query
optimization process where in the first phase, the selection of
Web services is based on using reputation as the key
parameter and in the second phase, the non-functional QoWS
is used to narrow down the set to those Web services that are
both reputable and best meet the QoWS [2]. It is central to
recognize that differences dont only exists among those
reviewed methodologies; change management tasks are not
the same even in one ERP project as different groups and
individuals will be affected differently and therefore will need
different strategies [3]. Combination of Ordinary Petri nets
and Reconfigurable Petri nets were used to model the
triggering changes and reactive changes, respectively by
Salman Akram and proposed an automatic change
management framework that is based on the Petri net models
[4]. Christian Gerth and others described an approach that
allows the semantic comparison of different business process
models using a normal form [5]. The dependencies between
business processes and services in service oriented
environment for managing changes were proposed by Yi
Wang, Jian Yang and Weiliang Zhao [6]. Praveen K.
Muthuswamy developed change scheduling algorithms that
seek to attain the change capacity of the system. [7]. Bruno
Wassermann proposes the Change 2.0 approach to crossdomain change management based on an inversion of
responsibility for impact assessment and the facilitation of
cross-domain service process integration [8]. Xiang Luo,
Koushik Kar et al considered the Change Management

Process for Enterprise IT services with the goal of improving

the efficiency of this process, i.e., minimizing change
completion time and maximizing the change capacity.
Their results indicate that a simple longest queue based
scheduling approach works well in a wide range of practical
scenarios [9]. Uttam Kumar Tripathi presented a
methodology and system for changing SOA-based business
process implementation at two layers: the design layer
processes are modeled in the ontology-based semantic markup
language for web services OWL-S, and for execution, the
processes are translated into BPEL [10]. Change
Management is a vital duty of project management and
furthermore project managers can use project management
web service as a consultant for change management [11].
Heiner Stuckenschmidt defined a formal representation for
modular ontologies based on the notion of Distributed
Description Logics and introduced an architecture that
supports local reasoning by compiling implied axioms. They
addressed the problem of guaranteeing the correctness and
completeness of compiled knowledge in the presence of
changes in different modules and proposed a heuristic for
analyzing changes and their impact on compiled knowledge
and guiding the process of updating compiled information
that can often reduce the effort of maintaining a modular
ontology by avoiding unnecessary recompilation [12]. To
keep align IT with business, Knut Hinkelmann methodology
heavily relies on the fact that the processes are represented in
a declarative, semantically rich modeling language based on
ontology OWL-S [13]. There are several tools for managing
changes for work flow management systems (WFMS) [14].
Changes to a single system can have an unexpected impact on
other dependent systems. Boris Stumms Caro approach tried
to cope with this problem by observing each system
participating in the infrastructure and analyzing the impact of
any change that occurs. The analysis process is driven by
declaratively defined rules and works with a generic and
extensible graph model to represent the relevant metadata
that is subject to changes. This makes Caro applicable to
heterogeneous scenarios and customizable to special needs
[15]. Alexander Keller and Remi Badonnel have successfully
integrated a work flow based change management system
with a commercial service provisioning system that allows the
execution of automatically generated change plans as well as
the monitoring of their execution. Their prototype
demonstrates that change plans, generated by the CHAMPS
change management system, can be executed by the TIO
deployment engine and that the BPEL4WS workflow
language can be used effectively to describe change plans
[16]. Requirements for ontologies that can be used in
representing QoS constraints and in management of Web
Services, with special focus on QoS metrics, measurement
units, and currency units are discussed in [17]. Antonio
Oliveira Filho distinguished between two kinds of concerns
related to impact analysis: business-specific concerns, those
related to stakeholders interested in checking if other business
rules are impacted by the change and also need to be
modified; and software-specific concerns, those related to
stakeholders interested in the impacted software artifacts that

618

need to be modified [18]. Mi Wang et al proposed a method

to automatically get the global services dependency matrix of
the distributed cross-organization process via analyzing the
private orchestration and the partial public choreography and
introduced the impact analysis model to compute the impact
that these changes have on the other services with the intraservice and inter-service change propagation matrix to
calculate the service impact effects [19]. Change Management
for semantic web services was published in [20]. An impact
analysis model based on service dependency is discussed in
[21].

[8]

[9]

[10]

[11]

[12]

VIII. CONCLUSION AND OUTLOOK

Managing and implementing business logic changes
during run-time are a critical problem. An efficient
framework for monitoring and managing changes in web
services business logic during run-time is modeled. A Finite
State Machine based model was presented to show the
improvements from the existing approaches and for
simulating the business logic set which includes the business
policy constraints with its associated mapping function in
order ensure the changes made are policy enabled during run
time. It facilitated Business Analyst directly to control and
manage the business logic of the targeting web services
dynamically and thereby eliminated the IT staff effort. This
paper presents a new framework for managing the changes
propagated at run time based on FSM and business logic
schema files are updated separately with different version
numbers to support backward compatibility.

[13]

[14]

[15]

[16]

[17]

[18]
[19]

IX. ACKNOWLEDGEMENT
The authors would like to thank the referees for their
comments and suggestions to improve the quality of the
paper.

[20]
[21]

X. REFERENCES
[1]

[2]

[3]

[4]

[5]

[6]

[7]

Dimitris Apostolou, Gregoris Mentzas, Ljiljana Stojanovic, Barbara

Thoenssen, Toms Pariente Lobo, A collaborative decision framework for
managing changes in e-Government services, ScienceDirect, Government
Information Quarterly 28 (2011), Elsevier Inc 2010 pp.101116.
Xumin Liu, Athman Bouguettaya, Qi Yu, Zaki Malik, Efficient change
management in long-term composed services, Original Research Paper,
Springer-Verlag London Limited 2010.
Hailah Alballaa, Abdullah S. Al-Mudimigh, Change Management
Strategies for Effective Enterprise Resource Planning Systems: A Case
Study of a Saudi Company, International Journal of Computer
Applications (0975 8887) Volume 17 No.2, March 2011
Salman Akram, Athman Bouguettaya, Xumin Liu, Armin Haller, Florian
Rosenberg, Xiaobing Wu, A Change Management Framework for Service
Oriented Enterprises, International Journal of Next-Generation
Computing (IJNGC), Vol. 1, No. 1, 09 2010, pp.1-077.
Christian Gerth, Markus Luckey, Jochen M. Kuster and Gregor Engels,
Detection of Semantically Equivalent Fragments for Business Process
Model Change Management, IEEE International Conference on Services
Computing 2010, IEEE Computer Society.
Yi Wang, Jian Yang and Weiliang Zhao, Managing Changes for Service
Based Business Processes, IEEE Asia-Pacific Services Computing
Conference 2010, IEEE Computer Society.
Praveen K. Muthuswamy, Koushik Kar, Sambit Sahu , Prashant Pradhan
and Saswati Sarkar, Change Management in Enterprise IT Systems:
Process Modeling and Capacity-optimal Scheduling, IEEE INFOCOM
2010 proceedings, IEEE Communications Society.

619

Bruno Wassermann, Heiko Ludwig, Jim Laredo, Kamal Bhattacharya,

Liliana Pasquale, Distributed Cross-Domain Change Management,
IEEE International Conference on Web Services 2009, IEEE Computer
Society.
Xiang Luo, Koushik Kar, Sambit Sahu, Prashant Pradhan, Anees Shaikh.
On Improving Change Management Process for Enterprise IT Services,
IEEE International Conference on Services Computing 2008, IEEE
Computer Soceity.
Uttam Kumar Tripathi, Knut Hinkelmann and Daniela Feldkamp. Life
Cycle for Change Management in Business Processes using Semantic
Technologies, Journal Of Computers, Vol. 3, No. 1, January 2008.
Shahriar Mohammadi , Ali Khalili, A Semantic Web Service-Oriented
Model for Project Management, IEEE 8th International Conference on
Computer and Information Technology Workshops, IEEE Computer
Soceity.
Heiner Stuckenschmidt, Michel Klein. Reasoning and change management
in modular ontologies, Data & Knowledge Engineering 63 (2007) 200
223, Elsevier B.V.
Uttam Kumar Tripathi, Knut Hinkelmann. Change Management in
Semantic Business Processes Modeling, Eighth International Symposium
on Autonomous Decentralized Systems (ISADS'07), IEEE Computer
Soceity.
Qi Yu, Xumin Liu, Athman Bouguettaya, Brahim Medjahed. Deploying
and managing Web services: issues, solutions, and directions, The VLDB
Journal (2008) 17:537572, Springer-Verlag 2006.
Boris Stumm. Change Management in Large-Scale Enterprise Information
Systems, EDBT 2006 Workshops, LNCS 4254, pp. 8696, 2006,
Springer-Verlag Berlin Heidelberg 2006.
Alexander Keller and Remi Badonnel. Automating the Provisioning of
Application Services with the BPEL4WS Workflow Language,
Proceedings of the 15th IFIP/IEEE International Workshop on Distributed
Systems: Operations & Management (DSOM 2004), Davis, CA, USA,
November 2004.
Vladimir Tosic, Babak Esfandiari, Bernard Pagurek, and Kruti Patel. On
Requirements for Ontologies in Management of Web Services, WES 2002,
LNCS 2512, pp. 237247, 2002. Springer-Verlag Berlin Heidelberg
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ICSE 10, May 2-8 2010, Cape Town, South Africa, ACM 2010.
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Web Service Process, Proceedings of the 2010 14th International
Conference on Computer Supported Cooperative Work in Design, IEEE
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Xumin Liu, Salman Akram,Athman Bouguettaya. Change Management
for Semantic Web Services, Springerlink.
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Model For Web Services Evolution, IEEE International Conference on
Web Services, 2009, IEEE Computer Society.

Synchronization of Chaotic System Using

U-Model Based Adaptive Inverse Control
G. Ramsingh and B. B. Sharma

Abstract-- In present work, the U-Model based Adaptive

Inverse Control (AIC) is proposed to achieve the synchronization
of two discrete chaotic systems. First, the proposed control
structure of chaotic synchronization is introduced. Next the
receiver dynamics is modelled using the control oriented model
i.e. U-model frame work. The controller utilizes the information
of U-Model and output of master system. By using standard root
solving technique, it will generate the control signal, used to
formulate the drive signal for receiver system to achieve
synchronization. Numerical simulation shows the effectiveness of
proposed scheme.
Index Terms-- adaptive inverse control, chaos synchronization,
LMS adaptive algorithm, U-model.

I. INTRODUCTION

n last two decades, synchronization and control of chaotic

system have drawn much attention of research community
because of its potential applications in various fields[1]-[4].
Chaos synchronization is an active area of research in the field
of non-linear science as well. Chaos synchronization was
initially proposed by L.M. Pecora and T.L. Carroll in 1990 for
two chaotic systems with different initial conditions [1]. Till
date, there are lots of control techniques such as backstepping control [5], time delay feedback control [6],
contraction theory based approach [7], observer-based
synchronization [8] and neural-network based control
proposed to achieve synchronization of chaotic systems.
Chaos synchronization using adaptive inverse control based on
hybrid particle swarm optimization (HPSO) scheme was
introduced in [9].

Adaptive inverse control (AIC) is a novel method to find the

inverse model of the plant [10], [11]. Here, the inverse model
is cascaded with the actual plant. This inverse model then acts
as an open loop controller and can be employed to drive the
plant to the desired response. AIC has more advantages
compared to other methods which can be attributed due to its
faster dynamic response, better tracking performance and
independent dynamic control. Moreover, it is easier to model
using a simple linear and non linear filter.

G.Ramsingh is with the Department of Electrical Engineering, National

Institute
of
Technology,
Hamirpur-177005,
India
(e-mail:
ramsinghg2@gmail.com).
B. B. Sharma is Asst. Prof. with the Department of Electrical Engineering,
National Institute of Technology, Hamirpur-177005, India (e-mail:
bharat.nit@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

Fig. 1. U-model based AIC scheme

The control oriented model termed as U-model was initially

proposed in [12]. U-model based adaptive inverse control
scheme was first time introduced to track the non-linear
dynamic plant which has been studied by [14], [15]. Also,
more research work has been done on U-model based internal
model control approach as presented in [16], [17]. This Umodel has less computational complexity compared to
remaining parametric models such as NARMAX model,
Hammerstein model, etc. The U-model utilizes only
information of past data for modeling and for controller
design, the standard root solving algorithm such as NewtonRaphson technique is used. The controller acts like an inverse
model of plant. The structure of the scheme is shown in Fig. 1.
In present work, by using [9], [15] we are proposing an AIC
based U-model framework to achieve chaos synchronization.
By using information of single state output from master system
and proposed methodology, one can achieve complete
synchronization between master and slave system. In this
method, the controller design is dependent on output of slave
system.
The paper is organized as follows. First, the preliminary
discussion about control terminology is given in section II.
System description and proposed control scheme is discussed
in section III. In section IV, simulation results and discussion
are carried out. Finally, conclusion is given in section V.

620

II. PRELIMINARIES
A. Introduction to U-model
The U-Model based discrete time nonlinear system is
described as [12], [15]:
L

y ( n)

where,

j (n)u

j 0

(n 1) e(n)

(1)

is a function of past inputs (u(n 2),

past
outputs
( y(n 1),
u(n 3) ,..., u(n l )),
y(n 2), ..., y(n l )) and model errors (e(n), e(n 1),
..., e(n l )). L is the degree of model input u(n 1) and l
represents the order of the plant. The above function can be
treated as pure polynomial based power series of the input
control term u(n 1) . j (n) is the time varying parameter.
0 (n)

Which is updated online based on LMS adaptive algorithm.

When the error becomes zero, U-model response is equivalent
to non-linear plant output.

here, q is iteration index, n is the discrete time index. These

roots will act as a control signal for plant to get desire
response. The roots solving the equation (3) for zero error are
assigned as control signal, when in two consecutive
iterations uq 1 (n 1) uq (n 1)

is

(2)

(u(n 1))

where, ( ) can be represented by direct comparison with (1).

When proposed model is not giving the desired output the
error function Err ( ) can be written from (2) as follow

small

III. CHAOS SYNCHRONIZATION USING AIC BASED U-MODEL

A. System Description
Let us consider a two dimensional Henon map as a master
system. Its dynamic is described as [9]:
x(n 1) 1 a1 x 2 (n) b1 y (n)

The control law is formulated so as to achieve y(n) U (n)

by constructing the U-model as proposed in [12], [15], such
that the following requirement is satisfied

Err ( ) U (n)

where

positive constant. Indirectly, the control signal drives the plant

to make error equal to zero. For computation aspects two
major problems may occur first one is that denominator of
equation (4) has become zero and second is that the error
function may not be having the real roots. To overcome these
problems, improved computation of Newton-Raphson method
can be used as is proposed in [13].

B. Controller design

U (n)

y (n 1)

x ( n)

(5)

The coefficients a1 and b1 are the system parameters. The

Henon map is a fundamental example of an invertible map
possessing a chaotic attractor. If parameter b1 is fixed as

b1 0.3 and parameter a1 is varied s.t. a1 (0,1.4), then one

will encounter a period-doubling sequence for the full chaotic
attractor. Due to the period-doubling bifurcations, there are
lots of unstable periodic points embedded in the attractor. The
proposed scheme is shown in Fig. 2.

(u(n 1))

U ( n)

L
j 0

j ( n)u

(n 1)

(3)

To get the control signal, one needs to find out the roots of
the error function. The error function exhibits a polynomial
structure in terms of u(n 1) , so the roots of the error function
are nothing but the values of u(n 1) while solving eqn. (3) for
roots. These roots can be obtained by using simple root
solving procedure such as Newton-Raphson algorithm. Using
eqn. (3), update of control values based on Newton-Raphson
can be given as

uq 1 (n 1)

Err ( )
d ( Err ( )) duq (n 1)

uq (n 1)

it further implies
uq 1 (n 1)

uq (n 1)

Fig. 2. Chaos synchronization based on U-model

L

U ( n)
d (U (n)

j 0
L
j 0

j
j (n )uq (n 1)

j
j (n )uq (n

1)) duq (n 1)

(4)

Henon map is an invertible map, so one can consider the slave

system dynamics as inverse of master system dynamics [9],
which can be described as
621

x (n 1)

u y1 (n)

y (n 1)

1
(ux1 (n) 1 a1u 2y1 (n))
b1

(6)

e( n )

here, slave system parameters are taken as similar to that of the

master system. u x1 (n) , u y1 ( n) are the drive signals derived

The U-Model M ( ) consists of polynomial pre-processor

and simple linear combiner. The polynomial pre-processor is
used to generate power series of input control signal u(n 1)
by using polynomial function. The general identified model for
slave state x (n) can be described by

(11)

C. Controller Design
The error function of controller is formulated by using (3)
and described as
L

from controller output u (n) based on dynamics of slave

system.
B. The Identified Model (U-Model)

x (n) WnT X n

Err ( )

x (n)

jn u

(12)

(n 1)

j 0

Control signal is generated by solving the roots of error

function using standard Newton-Raphson algorithm as
described in (4).

uq 1 (n 1)

uq (n 1)
L
j
jn uq (n

1) x(n)
(13)

j 0

xm (n)

jn u

(7)

(n 1)

1n u (n

0n

1)

2nu

(n 1)

where, n is discrete time index,

0n

3n u

(n 1)

where, x(n) is the master state and q is the iteration index.

The controller generates the control signal u (n
formulate the drive signals.

(8)

is the function of past

inputs
past
outputs
u(n 2), u(n 3),..., u(n l ),
x(n 1), x(n 2), ..., x(n l )
and errors
e(n), e(n 1),

..., e(n l ). The model parameter

jn

for j

0,1, 2,3 is

Wn

(9)

X n e(n)

where, Wn represents the filter tap weight vector and X n is the

input weight vector is given as
Wn

Xn

0n

0n

1n

1n

2n

2n

jn

the

T
3n ]

basis

u j ( n 1)

The error e( n) is given by

u(n 1)

(14)

u y1 (n 1)

u (n 1)

(15)

IV. RESULT AND DISCUSSION

2
, where,
trR
tr ( R) tr[ X n X nT ] is the trace of input correlation matrix R .
The Polynomial function is described as
on

ux1 (n 2)

Drive signals are used to drive the slave system to achieve

synchronization.

T
3n ]

is the step size parameter and to ensure stability it is

selected

1) , used to

D. Drive Signals Generation

Drive signals are derived on the basis of the dynamics of
slave system and is represented in terms of current control
term u(n 1) . Drive signals are described as

equivalent to time varying parameter of equation (1). These

parameters are updated based on LMS weight update equation
described as

Wn

1)] duq (n 1)

j 0

For simplicity, with L 3 the identified model becomes

xm (n)

j
jn uq (n

d[

j 0

of

(10)

In order to illustrate the efficacy of the proposed method to

achieve synchronization between two chaotic systems, one can
consider two dimensional Henon map for the master system
with dynamics described in (5). Its system parameters are
chosen as a1 1.4 and b1 0.3 where as initial conditions for
system states are taken as [0.1, 0.1] respectively. Consider the
slave system dynamics as inverse of the master system
dynamics described in (6). Slave system parameters are same
as that of master system and initial conditions are chosen as
[0.5, 0.4]. In design of U-model, step size is chosen as
0.4 .
The controller output signal u(n 1) is used to formulate the
drive
signals.
For
slave
system
drive
signals
ux1 (n 1), u y1 (n 1) are described in (14) & (15), respectively.

622

Fig. 3 & 4 show the simulation results of synchronization of

corresponding x states and y states of master and slave system,
respectively. Synchronization error plots of two states are
shown in Fig. 5 & 6, respectively. It can be seen that
synchronization error has become zero for both states after
around 375 iterations. So, numerical simulations clearly
validate that the proposed method achieves the goal of
synchronization efficiently.

y state error

e2(n)

-2

-4

1.5

x(n), x"(n)

200

300

400

500

600

Fig. 6. Error between y states

V. CONCLUSIONS

0.5

-0.5

-1

-1.5

100

sample instants

Master state x(n)

Slave state x"(n)

100

200

300

400

500

600

sample instants
Fig. 3. Synchronization of x states between Master and Slave system

In the present work, U-model based AIC structure is

proposed to achieve synchronization of two discrete chaotic
systems. The controller is formulated based on U-model and
solved by using root solving technique, involving only current
control term. It provides less computational complexity and
simplicity in structure. Controller design is dependent only on
output state of the slave model. The future work would be to
extend the proposed method to address synchronization of two
chaotic systems in master-slave configuration with different
system parameters. Simulation results presented in the end
justify the effectiveness of proposed method.

REFERENCES
4

Maste state y(n)

Slave state y"(n)

y(n), y"(n)

[1]
[2]

[3]

-2

[4]

-4

[5]

-6

[6]

-8

100

200

300

400

500

600

[7]

sample instants

Fig. 4. Synchronization of y states between Master and Slave system

[8]

0.6

[9]
x state error

0.4

e1(n)

0.2

[10]

-0.2

[11]

-0.4

[12]

-0.6
-0.8

100

200

300

400

sample instants

500

600

[13]

Fig. 5. Error between x states

623

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[14] N. R. Butt, M. Shafiq, Adaptive tracking of non-linear dynamic plants

using the U-model, IMechE, J. Systems and Control Engineering,
2006, 220(16), 473-487.
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scheme for tracking of nonlinear dynamic plant, 1st International
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624

Improved Techniques for High Performance

Noise-Tolerant Domino CMOS Logic Circuits
Srinivasa V S Sarma D and Kamala Kanta Mahapatra

Abstract-- Dynamic CMOS gates are widely exploited in highperformance designs because of their speed. However, they suffer
from high noise sensitivity. The main reason for this is the subthreshold leakage current flowing through the evaluation network.
This problem becomes more and more severe with continuous
scaling of the technology. A new circuit technique for increasing
the noise tolerance of dynamic CMOS gates is designed. A
comparison with previously reported schemes is presented.
Simulations proved that, when 90 nm CMOS technology is used to
realize wide fan-in gates, the proposed design technique can
achieve the highest level of noise robustness.
Index TermsDomino logic, leakage current, noise tolerance,
power consumption.

I. INTRODUCTION
Owing to the aggressive scaling down of the technology to
the deep sub-micrometer regime, noise immunity is becoming a
very important issue in the design of VLSI chips. The term
noise in digital integrated circuits generally refers to any
possible event that may cause the voltage at a node to vary from
its nominal value. There are different sources of noise in deepsubmicron circuits. They are mostly related to crosstalk, small
variations of the nominal supply voltage value, charge sharing
and leakage current. The leakage current is the most critical,
since in digital circuits it exponentially increases with the
continuous shrinking of the MOS transistor dimensions [1, 2]. In
fact, in order to limit dynamic energy consumption, the supply
voltage is reduced in each new technology node. At the same
time, the threshold voltage (VTH) of the MOS transistor is scaled
down to assure high performance. As a consequence, the subthreshold leakage current continually increases, since it is
exponentially dependent on -VTH. Furthermore, the continuous
reduction of the gate oxide thickness causes an exponential
increase of the gate leakage current because of the enhanced
tunneling of the carriers through the oxide itself.

employed in the critical path of high-performance chips, such as

in general purpose microprocessors or digital signal processors.
As an example, wide fan-in OR gates and MUXs are used in the
design of high-performance register files.
Domino gates suffer from higher noise sensitivity than their
static CMOS counterparts. This is because of their low
switching threshold voltage, which is equal to the VTH of the
pull-down NMOS devices. Noise immunity has become a great
concern, especially in the design of high fan-in gates. This is
because of the high number of transistors and circuit branches,
which cause more possible paths for gate and sub-threshold
leakage currents.
Several techniques have been proposed to reduce the leakage
noise sensitivity of high fan-in footless domino gates [3-10]. All
the existing techniques improve the noise robustness of domino
gates at a significant cost in terms of delay or energy
consumption. Moreover, the degradation in speed and the
increase in energy dissipation seem to become more and more
troublesome with continuous technological progresses.
In this paper, a new technique is proposed to increase the
noise immunity of dynamic gates with minimal energy and
delay penalties.
II. DIFFERENT HIGH-PERFORMANCE NOISE TOLERANT CIRCUIT
TECHNIQUES

(A) Wide fan-in Domino OR gate-Footless scheme

In Fig. 1, a typical wide fan-in domino OR gate-footless
scheme is depicted. The footless scheme is often exploited in
high-performance circuits because the discharge of the dynamic
node is faster and the capacitive load of the clock line is
reduced. The operation of a domino gate is managed by the
clock signal.

Together with the increase of transistor density, specific

design styles have also been aggressively exploited in order to
achieve high performance. Here, it is the case of the domino
logic design style, which is faster than the static CMOS.
Moreover, domino gates are more compact, especially when
they have a wide fan-in. Wide fan-in domino gates are often
Srinivasa V S Sarma D, Research Scholar, Department of Electronics and
Communication Engineering, National Institute of Technology, Rourkela, India769008 (e-mail: dsvssarma@gmail.com).
Kamala Kanta Mahapatra, Professor, Department of Electronics and
Communication Engineering, National Institute of Technology, Rourkela, India769008 (e-mail: kkm@nitrkl.ac.in)
Fig. 1 Wide fan-in Domino OR gate-Footless scheme.

978-1-4673-0455-9/12/$31.00 2012 IEEE

625

a noise impulse at one or more gate inputs enhances the

discharging mechanism of the dynamic node.
Besides an input glitch, also a fluctuation of the voltage level
of the ground network may cause a wrong discharge of the
dynamic node during the evaluation phase. In fact, a negative
voltage pulse occurring at the ground line would increase the
VGS of the NMOS transistors inside the PDN. The subthreshold current flowing from the dynamic node would be
higher, thus enhancing the discharge of the dynamic node.
From the simulation result, the leakage current was found to be
25.49 n.a.
(B)Wide fan-in Domino OR gate-Footed scheme
Fig. 2 Wide fan-in Domino OR gate-footless schematic simulation.

In Wide fan-in Domino OR gate-footed schematic-Leakage

current Simulation the leakage current was found to be 257 n.a.

Fig. 3 Wide fan-in Domino OR gate-Footless schematic-Leakage current

simulation.

During precharge (CLK = 0):

Fig. 4 Wide fan-in Domino OR gate-Footed scheme.

The pre-charging PMOS charges the dynamic node up to vdd.

During Evaluation phase (CLK = 1):
The dynamic node is no longer constantly connected to Vdd
through the pre-charge PMOS. Only the keeper provides a
connection to Vdd until OUT goes high. This event could be
forced by the sub-threshold leakage currents. In fact, even with
all the inputs low, the leakage currents flowing through the
NMOS pull-down network (PDN) could discharge the dynamic
node. This effect is enhanced if a noise voltage pulse occurs at
one or more inputs.
The noise voltage impulse causes two main effects.
i. First of all, the sub-threshold leakage current through the
pull down NMOS transistor exponentially increases with
the gate-to-source voltage (VGS) variation. As a result, the
dynamic node is forced to be wrongly discharged.
ii. The drain-to-gate voltage (VDG) decreases with VGS
increasing, thus decrementing the drain-to-gate leakage
current.
Unfortunately, the reduction of the gate leakage current is
almost irrelevant if compared with the increase of the subthreshold leakage current. In fact, the drain-to-gate leakage
dependence on VDG is less remarkable than the impact of VGS
on the sub-threshold leakage current. As a result, the presence of

Fig. 5 Wide fan-in Domino OR gate-Footed schematic simulation.

626

Fig. 6 Wide fan-in Domino OR gate-Footed schematic-Leakage current

simulation.

Fig. 9 Wide fan-in Domino OR gate-Dynamic node footed schematic-leakage

current simulation.

(C) Wide fan-in Domino OR gate-Dynamic node footed scheme

Fig. 10 Wide fan-in Domino OR gate-Dynamic node footed schematic

simulation.
Fig. 7 Wide fan-in Domino OR gate Dynamic node footed schematic.

(ii)Three static inverters and the PMOS transistor Mt are

exploited to properly turn Mn on.
(iii)At the beginning of the evaluation phase, owing to the
finite delay of the inverters-chain (Tdelay), both the Clk
and NCLK signals are high. During this time (the
Transparency Window), the gate can elaborate the input
signals and the dynamic node can be eventually discharged.
(iv)After the time Tdelay is elapsed, NCLK becomes low and
Mn is turned off. In this condition, owing to the stack
effect, the charge leakage from the dynamic node to ground
is exponentially reduced and the noise immunity of the gate
is increased.
(v)Like the diode-footed technique, also the dynamic nodefooted scheme leads to a very low area overhead.

From the simulation result, the leakage current was found to

be 702 n.a.
Advantages:
(i)An NMOS transistor Mn is inserted between the dynamic
node and the PDN. Thus this technique will be referred to
as the dynamic node-footed scheme.

Disadvantages:
The increased capacitive load of the Clk line and the
increased resistance of the discharging path for the dynamic
node because of the presence of the extra transistor MN.
Impact of Tdelay:
Fig. 8 Signal stages of Wide fan-in Domino OR gate-Dynamic node footed
schematic.

Case (a): The longer the Tdelay, the wider the gate transparency
window, the faster the gate and the lower the noise immunity.
Case (b): The smaller the Tdelay, the thicker the transparency
window. This leads to a slower gate but also to greater noise
robustness.
The three techniques described above reduce the leakage
current flowing through the dynamic node by exploiting the

627

stack effect. These approaches do not reduce the overall leakage

current, but only the leakage current at the dynamic node that
drives the final static inverter and is the critical node.
III. IMPROVED HIGH-PERFORMANCE NOISE TOLERANT CIRCUIT
TECHNIQUES

(A) Improved Wide fan-in Domino OR gate-Footed scheme

This modified technique has been proposed to reduce the
leakage noise sensitivity of high fan-in footed domino gates. All
the existing techniques improve the noise robustness of domino
gates at a significant cost in terms of delay or energy
consumption.
To prove the efficiency of the proposed technique, the
external NMOS transistor is inserted between the evaluation
PDN network and footer transistor. The purpose is to reduce sub
threshold leakage current that flows through evaluation PDN,
thereby reducing the gate noise sensitivity. The modified circuit
is designed and simulated.
From the simulation result, the leakage current was found to be
42 p.a.

Fig. 12 Improved Wide fan-in Domino OR gate-Footed schematic simulation.

(B) Modified Wide fan-in Domino OR gate-Footless scheme

Actually the same modified logic, which had been applied to
footed technique, was applied to this technique also. The
corresponding schematic implementation along with its
simulation result is shown below.

Advantages:
Leakage current is reduced considerably.
Disadvantages:
Though the leakage current through evaluation PDN is
reduced, the current through footer is again increased, i.e. the
leakage current through footer is 122 .a.
Discharge of dynamic node is not so fast as previous
technique (unmodified).

Fig. 13 Modified Wide fan-in Domino OR gate-Footless schematic

implementation.

Fig. 11 Improved
implementation.

Wide

fan-in

Domino OR

gate-Footed

schematic

Fig. 14 Modified Wide fan-in Domino OR gate-Footless schematic simulation.

The modified version is not giving faithful results. Though

the same modified logic is applied to this circuit also, it does not
hold good in this case, since it does not possess footer transistor.
Thus the discharging of dynamic node is fast enough without
modification. If any transistor is added to this PDN, then it
reduces the sources potential, thereby increasing sub threshold
leakage current.
628

From the simulation result, the leakage current was found to

be 266.9 n.a.

Advantages:
(i)High noise robustness.
(ii)Reduction of leakage current.
(iii)Low area over overhead.

Drawbacks:
(i)Increased sub threshold leakage current.
(ii)The equivalent resistance of PDN network may increase.
(iii)Gate delay may be present.

Disadvantages:
(i)Increased capacitive load of Clk line and increased
resistance of discharging path of dynamic node due to
presence of Mn and NMOS-externally inserted transistor.
(ii)Series of inverters, Mn, NMOS-externally inserted
transistor all these cause dynamic energy dissipation,
even output does not change.

Thus this modified network may be omitted.

(C) Improved Wide fan-in Domino OR gate-Dynamic node
footed scheme
To avoid the capacitive loading problems, we go for this
modified new technique. The following modified circuit fulfils
our requirements. In spite of having few drawbacks, as a whole
its results are better than most other techniques.

IV. COMPARISON RESULTS

Table 1 Leakage current, power dissipation comparisons among
different techniques of Wide fan-in Domino OR gate.
Circuit Technique

Leakage Current
( in Amps)
25.49 n

Foot-less

Power Dissipation
(in Watts)
497.34 n

Footed

257 n

503.7 n

Dynamic node footed

scheme

702 n

232

Table 2 Leakage current, power dissipation comparisons between

unmodified & improved techniques of wide-domino OR gate.

Circuit
Technique

Leakage Current
( in Amps)

Power Dissipation
(in Watts)

Unmodified

Improved

Unmodified

Improved

Footed

257 n

42 p

503.7 n

Footless

25.49 n

266.9 n

497.34 n

984.84 n

Dynamic node
footed

702 n

21.45 n

232

431.6

Fig. 15 Improved Wide fan-in Domino OR gate-Dynamic node footed schematic

implementation.

V. CONCLUSION

Fig. 16 Improved Wide fan-in Domino OR gate-Dynamic node footed schematic

simulation.

Modifications made:
i. Reduction of the Transparency window (Tdelay) so that
greater the noise robustness.
ii. Insertion of NMOS transistor Mn between dynamic node
and PDN.
iii. Reduction of the Transparency window (Tdelay) so that
greater the noise robustness.
iv. Insertion of NMOS transistor Mn between dynamic node
and PDN.
This modified circuit is simulated and corresponding
simulation result is shown below.
From the simulation result, the leakage current was found to be
21.45 n.a.

Domino CMOS logic circuit family finds a wide variety of

applications in microprocessors, digital signal processors, and
dynamic memory due to their high speed and low device count.
Domino logic is a CMOS logic style obtained by adding a static
inverter to the output of the basic dynamic gate circuit. In this
paper High-performance noise-tolerant circuit techniques for
CMOS dynamic logic are studied and corresponding Domino
logic techniques have been designed & simulated. The results
are studied. The advantages & disadvantages are also observed.
Few modifications have also been made to already existing
domino techniques to get desired results. The improved
techniques, though they suffer from few drawbacks, are giving
better results compared with previous techniques.
Different Domino logic circuits are simulated in both
Cadence virtuoso and Mentor graphics environments. The
performance parameters of improved techniques are also
compared with other standard architectures of Domino logic.
VI. REFERENCES
[1]

629

SHEPARD K.L., NARAYANAN V.: Noise in deep submicron digital

design. Int. Conf. Computer-Aided Design, ICCAD 96, Digest of
Technical Papers, San Jose, CA, USA, November 1996, pp. 524531

[2]

[3]

[4]

[5]

[6]

DE V., BORKAR S.: Technology and design challenges for low power
and high performance. Proc. Int. Symp. Low Power Electronics and
Design, ISLPED 99, San Diego, CA, USA, August 1999, pp. 163138
MAHMOODI-MEIMAND H., ROY K.: Diode-footed domino: a
leakage-tolerant high fan-in dynamic circuit design style, IEEE Trans.
Very Large Scale Integr. Syst., 2004, 51, (3), pp. 495503.
WANG L., SHANBHAG N.R.: An energy-efficient noisetolerant
dynamic circuit technique, IEEE Trans. Circuits Syst. II, 2000, 47, (11),
pp. 13001306
MENDOZA-HERNANDEZ F., LINARES-ARANDA M., CHAMPAC
V.:Noise-tolerance improvement in dynamic CMOS logic circuits, IEE
Proc. Circuits, Devices Syst., 2006, 153, (6),pp. 565573
GRONOWSKI P.: Issues in dynamic logic design, in
CHANDRAKASAN A., BOWHILL W.J., FOX F. (EDS.): Design of
highperformance microprocessor circuits (IEEE Press,Piscataway, NJ ,
2001), Ch. 8, pp. 140157

ANIS M.H., ALLAM M.W., ELMASRY M.I.: High-speed dynamic logic

styles for scaled-down CMOS and MTCMOS technologies. Proc. Int.
Symp. Low Power Electronics and Design, ISLPED 00, Rapallo, Italy,
July 2000, pp. 155160
[8] ANIS M.H., ALLAM M.W., ELMASRY M.I.: Energy-efficient noise
tolerant dynamic styles for scaled-down CMOS and MTCMOS
technologies, IEEE Trans. Very Large Scale Integr. Syst., 2002, 10, (2),
pp. 7178.J.
[9] ALVANDPOUR A., KRISHNAMURTHY R.K., SOUMYANATH K.,
BORKAR S.Y.: A Sub-130-nm conditional keeper technique, IEEE J.
Solid-State Circuits, 2002, 37, (5), pp. 633638
[10] FRUSTACI F., CORSONELLOP., COCORULLOG.: A new noisetolerant dynamic logic circuit design, IEEE Ph.D. Research in
Microelectronics and Electronics, PRIME 2007, Bordeaux, France, July
2007,pp.6164.
[7]

630

Energy Consumption Techniques for Desktop Grid

Rosario Dsouza B, Infant Vinoth T , Simila A, and Sudalai Muthu T
Abstract Desktop grids use the idle cycles of mostly desktop
computers for executing large-scale distributed applications.
This has been used since the beginning days of grid computing.
Desktop grids gather the CPU cycles from personal computers
donated by donors who are willing to offer their Personal
Computers and volunteers who are willing to support scientific
research. This paper focuses on the energy utilization techniques
which can be followed to make the desktop-grid greener.
More heat producing tasks and process are ranked
according to the Energy Consumption Level Identifier (ECLI)
Algorithm. This algorithm identifies the most heat producing
processes and distributes it to the idle CPU which is in the cooler
regions or these processes can be computed during night hours.
In this paper we introduce a ranking algorithm to evaluate the
performances of massive tasks which can produce more heat.
And we give the solution for this problem which makes the
desktop grid greener.
Keywords Desktop Grid, ECLI, CPU cycle, Virtual
Organization

I. INTRODUCTION
Desktop grid is a growing infrastructure that will basically
change the way we think about the use of computers. It will
connect multiple regional and national computational grids to
create a global source of computing power. Naturally desktop
grids are greener than the service grids and data centres.
Service grids are more flexible and can accommodate a
broader range of appliances than desktop grids; however their
setup and maintenance require greater effort, highly skilled
specialists, and dedicated resources.
Desktop grids at a first glance seem to have a positive
influence on both costs and environmental influences, because
they use already existing computers. Desktop grids could
reduce environmental pressure when compared to big data
centres. Also local desktop grids, when managed correctly,
can contribute to a better environment and reduced costs. For
donated desktop grids, important aspects are the ambient
conditions, and the type and efficiency of applications. When
you are in a part of the world that is hot and you need air do
the computing. In cold areas, on the other hand, low energy is
required to heat the room, because the excess heat from the
system heats up the room too.
In a local Desktop grid conditioning to extract the heat from
the room in which the volunteer computer is located, it takes
about double the energy to pull out the heat from the room,
than the energy needed to fine tunings are possible in general.
So user can opt for desktop grid when his/her computers are
Authors are with Department of School of Computing Sciences and
Engineering in Hindustan University, Chennai (email: rosariodso@gmail.com,
infavino@gmail.com, simila.smile@gmail.com, sudalaimuthut@gmail.com).

not used. And later without human intervention switches them

off, when there is no work on the desktop grid.
These Desktop grids using a metric that is generally used
for green computing and computer centre power efficiency.
This is called as PUE factor (Power Utilization Efficiency)[1].
Real time massive super computer centres operation has PUE
factors between 2 to 3 while desktop grids can claim PUE
factors near to perfection: 100x.
In this paper we provide two criterion which will decrease
the energy efficiency of the desktop grids, one is the ranking
algorithms which filters the high power consuming processes
in a queue then the second is the system which decides on
where to distribute those tasks to.
In the desktop grid environment there will be two types of
systems one is running in hot regions another running in
cooler regions. When a more heat producing tasks are found
in a particular desktop then it can be transferred to a system
which is in cooler region and ready to accept work load.
II. RELATED WORK
Already there were many research works were done to
make the Desktop grid a reliable and efficient one by making
it green. Low cost approach in the desktop grid was
introduced towards important scientific output, implemented
using BOINC[2], sometimes XtremWeb[3] and other
packages. And some green methodologies are proposed to
focus on the energy efficiency aspects of grid computing [4]
this is a task of FP7 DEGISCO project. Green methodologies
[1] are proposed as given below,
Ambient metrics based green optimization
Cool strategy: avoid air condition use
Energy profiling of application
CPU speed steps
Exploitation of natural ambient conditions
Time-of-day dependent energy tariffs
But in our paper we give an algorithm called Energy
Consumption level identifier (ECLI) which will rank the
processes which are all producing more heat, by ranking those
processes we can make a decision on how to distribute them
to different regions where the CPU is idle and the system
temperature is cooler.
III. ENERGY CONSUMPTION TECHNIQUES
Power utilization of Data centres are measured by PUE.
Power Usage Efficiency has been broadly adopted as metric to
determine how green data centres are. PUE is defined as
Total Facility Energy divided by the IT Equipment Energy.
The best possible value is 1,0 = all energy provided is used in
the IT equipment. PUE values are to be measured over a full
year time span to have winter temperature value with lower

978-1-4673-0455-9/12/$31.00 2012 IEEE

631

cooling efforts balance summer heat. PUE typically ranges

between 1.52.5[1]. Here in this paper we introduce a
algorithm which ranks the tasks which are producing more
heat.
The Rules and conditions followed by Data centres [8] says
that most (old) European data centres are actually worse: they
consume more than 200% of the IT related energy (PUE 3) for
cooling down the system temperature, UPS and power
distribution losses.

Tasks: 194 total, 34 running, 160 sleeping, 0 stopped, 0

zombies.
Cpu Usage: 35%

35
30
25
20
15
10
5
0

VLPCT(Very Less Power

Consuming Tasks)

Fig. 1 A bar graph to represent CPU utilization, x-axis : CPU Tasks, Y-axis:
Percentage of Tasks.

This graph is drawn between CPU tasks and the

Percentage of tasks running in CPU. From the total 194
tasks, 34 are running tasks. From the running tasks, the
top 5 tasks are chosen to be sent to other systems. From
the example we can see sleeping process which are less
intensive and can be computed in the same machine
because it will not consume more energy. But the top 5
tasks are CPU-Intensive tasks which will be moved to
other system in the desktop grid. From the graph we can
see only 2% of the tasks are More Power Consuming
Tasks (MPCT). 18% of the tasks are Less Power
Consuming Tasks (LPCT) and the remaining 80% of the
tasks are Very Less Power Consuming Tasks (VLPCT).
These MPCT tasks are kept in the ready queue, and these
tasks will be sent to other systems which will consume
less power because of their local weather and local
system temperature [7].

Given
, the bigger
, the more
valuable r to q, i.e., the more power consuming tasks.
If the function rank satisfies:

2.

LPCT(Less Power
Consuming Tasks)

CPU Tasks

, here R represents the set of

relevant high power consuming tasks , Q represents the
administrators request to rank the power consuming tasks.
Without loss of generality, we can view R as the relevant
processes
found
by
the
ECLI
Algorithm.

1.

MPCT(More Power
Consuming Tasks)

Percentage of Tasks

A. ENERGY CONSUMPTION LEVEL IDENTIFIER(ECLI)

Desktop Grid computing atmosphere allows forming
Virtual Organizations (VOs). A VO is a virtualised collection
of users or institutions that pools their resources into a single
virtual administrative domain, for some common purpose. A
VO File System (VOFS) combined data objects (files,
directories and disk spaces) interprets by VO members.
Expose here means a VOFS operation to assign a data object
(a directory or a file on a VO members computer) a logical
name in the VOFS namespace and make it accessible via a
VOFS server[5].
Using VOFS virtualised collections, all the tasks running in
different VO member systems are shown in the admin system
from which the tasks will be assigned to other systems. Thus
the Virtual Organization is used to assign the tasks to the
donor system that is idle at the moment. Before the
administrator assigns the task to other system, he should know
which task to send. Choosing the high energy consuming task
is done by the ECLI algorithm.
Here we use a ranking function to rank the tasks in the
virtual organization file system (VOFS). Using the VO, we
can combine all the tasks from all members of the grid
environment. The rank function of high energy consuming
processes
can
be
formally
defined
as

the ranking using ECLI algorithm. The result of the ECLI

algorithms is similar to the Linux command top. This
automatically displays a listing of most CPU-Intensive
tasks on the system. Result of the algorithm looks as
follows,

B. TEMPERATURE MONITORING OVER DESKTOP GRID

In the virtualised collection of grid members it is possible
to find the CPU temperature of a grid member.

,
,

(i) Symptoms of high CPU temperature

Virtual administrative domain allows the system to list

out all the tasks running in various desktop grids. This
ECLI algorithm helps us to find the most power
consuming tasks among all the desktop grids which is
shown as the virtualized collection of users in the Vitual
Organization.

There are few indications by which we can easily figure

out that the temperature of desktop grids CPU is not in good
temperature i.e. system CPU temperature is developed further
than its acceptable condition. Some of the symptoms found
are,

The practical iteration is done using ten grid members,

Initially Ri is the number of high energy consuming tasks,
and Qi is the first request made by the administrator to do

632

By the loading or installing time of OS, personal

computers give the infamous blue screen.

Average temperature analysis is done with 12 different

types of processors. For finding the average temperature of a
particular processor, ten same processors are deployed in a

network then the average temperature is noted after t time. In

our experiment AMD and Intel processors were used. Various
These above mentioned three criteria are the general tasks were run in the 10 different machines then the average
symptoms of the high CPU temperature. But Using BIOS temperature is listed in terms of degree Celsius (C). AMD
information checks we can able get the accurate CPU hotness. Athlon produces 90C to 95C as average temperature and
If a desktop grid member is in low temperature and idle to AMD Athlon64Mobile processor produces heat from 95C to
accept a task then that particular system is selected by the user. 100C, these are the maximum temperature noticed in the
While CPU is running, it produces heat. CPU hotness can be temperature analysis experiment. We find the temperature
calculated through PC BIOS. To check grid members CPU 38C to 42C range and below 38C level is good range of cooler
temperature, The processor temperature should be taken from CPUs [6]. For these CPUs tasks can be assigned by the user.
the BIOS of the computer. It is operating system independent,
i.e. weather the grid operating system is Windows or Linux or
any other operating system.
It is noticed that the computer works correctly
but after some time it starts to malfunction.
It is also noticed that the PC is running very
smoothly but all on a sudden it restarts.

Fig. 3 User assigns task to idle CPUs

Fig. 2 A Snap shot of a CPU Heath status

The mainstream of today's desktop processors should not
go beyond temperatures of 95C. And nearly all will run
between 70C-90C. Using the Virtual Organization (VO)
temperature of the desktop grid member is monitored. If the
Grid members temperature is more than 95C then the system
is avoided for assigning tasks. From the experiment average
temperature in various type of CPU are listed below,
(ii) Average temperature analysis
TABLE I
AVERAGE TEMPERATURE OF VARIOUS CPU

PROCESSOR
AMD Athlon
AMD Athlon64
AMD Athlon64 Mobile
AMD Opteron
AMD K5
AMD K7 Thunderbird
Intel Pentium II
Intel Pentium III
Intel Celeron
Intel Pentium Pro
Intel Pentium Mobile
Intel Pentium 4

AVERAGE
TEMPERATURE (C)
90C - 95C
65C - 70C
95C - 100C
65C - 71C
60C - 70C
70C - 95C
75C - 65C
85C - 60C
67C - 85C
80C - 85C
100C
64C 78C

Low heat producing CPUs are identified by the Grid servers

using the Virtual Organization. Virtual organization file
system (VOFS) is used to gather the temperature details of
associated grid members of the Desktop grid network. Now
the user uses the ranked list which is created by the Energy
Consumption level identifier (ECLI) Algorithm. From the
ranked list, the top ranked tasks are assigned to the lowest
temperature grid member, and the next ranked task is assigned
to the next low heat producing system and so on. User assigns
tasks to the desktop grid members which are idle or with low
temperature when compared to other desktops in the grid.
Thus using the BIOS temperature, the low heat producing
CPU is identified and the tasks are assigned to the cooler
system. This methodology reduces the energy consumption in
the desktop grid and makes the Desktop grid greener.
IV. CONCLUSION
In this paper ECLI algorithm ranks the tasks according to
the energy consumption. This is done in the Virtual
Organization environment so that the Administrator initiates
the ranking process. Then by the VO organization the grid
servers gets the average temperature and current temperature
of all the Grid members among the desktop grids. In our
temperature analysis experiment AMD processors emits more
heat than the Intel processors. From the ranked tasks by the
ECLI algorithm, these tasks are assigned to the low heat
producing grid members which are active and have free CPU

633

cycles. By assigning these tasks to the cooler desktop grids,

the energy consumption level is reduced and the power usage
also decreases. In the desktop grid environment, air
conditioning is never used because for a single system we
never require air conditioning and cooling methodologies.
Here cooler system can be found where a system is running in
night time. During night time the desktop systems
temperature is considerably lower than the day time
temperature. Thus we conclude that this method reduces the
power consumption for processing and makes the Desktop
grid greener.
V. FUTURE WORK
As our future work well modify the ECLI algorithm to
improve the number of desktop grid members which are of
different desktop grid environment. And we are planning to
implement this energy consumption techniques in the complex
business grids where there are more systems are deployed. By
applying these energy consumption techniques to the business
grids, the profit considerably increases and the productivity
also improved. About the temperature monitoring system, we
are working on a project to create software which will be
deployed in a grid server and this software can be used for
monitoring the system temperature of each grid members in
the business grid. By using these techniques the power
consumption of the grid will be decreased further.
REFERENCES
[1]

[2]
[3]
[4]
[5]

[6]

[7]

[8]

Bernhard Schott, Ad Emmen, Green Methodologies in Desktop grid,

International Multiconference on Computer Science and Information
Technology, IMCIST, VOLUME 5, 2010.
BOINC. Open-Source Software fur Volunteer Computing and Grid
Computing. [Online] 06 09 2010. http://boinc.berkeley.edu/.
XtremWeb. XtremWeb: the Open Source platform for Desktop Grids
[Online] 06 09 2010. http://www.xtremweb.net/.
DEGISCO. Degisco project website. [Online] 06 09 2010.
http://degisco.eu/introduction.
Mizani, H.-R, Liang Zheng, Vlassov V, Popov, Design and
Implementation of a Virtual Organization File System for Dynamic
VOs, IEEE International Conference on Computational Science and
Engineering Workshops, July 2008.
Ayan Banerjee, Tridib Mukherjee, Georgios Varsamopoulos, and
Sandeep K. S. Gupta, Cooling- Aware and Thermal-Aware Workload
Placement for Green HPC Data Centers, IEEE International
Conference, 2010.
Wang D, Meeting Green Computing Challenges, International
Symposium on High Density packaging and Microsystem
Integration,2007. HDP07.
Zhang Jiemin, Lu Jinsheng, The Model of District Medical Data
Center, International Conference on Computer Application and
System Modeling (ICCASM), 2010.

634

Adaptive Synchronization Scheme for Chaotic

Gyros with Input Nonlinearity and Parametric
Uncertainties
Jitendra Kumar Jain, Manoj Shukla and B.B. Sharma

Abstract--In this paper, an adaptive sliding mode approachis

proposed for synchronization of chaotic gyros subject to input
nonlinearity with uncertainties, external disturbances and
unknown parameters. It is assumed that the bounds on the
uncertainties and external disturbances are unknown.
Astableswitching surface is adopted which ensures the stability of
the error dynamics in sliding mode andan adaptive sliding mode
controller is designed to achieve synchronization of the systems
when the control input is subjected to nonlinearities produced by
actuator or external uncertainty sources. Simulation results are
presented to verify the validity of the proposed control scheme.
Index Terms--Sliding Mode Control, Gyros System, Adaptive
Control, Chaos Synchronization, Input Nonlinearity

I. INTRODUCTION

ome dynamical systems can be extremely sensitive to

initial conditions due to which a small change to initial
conditions results in extraordinary perturbation in the
system states.Thisbehavior is known as deterministic chaos.
In addition to sensitive dependence on initial conditions, chaos
also hassome specific characteristics like sensitivity to system
parameter variations, broad Fourier transform spectra and
fractal properties of the motion in the phase space. Due to
these special properties, chaos control has been applied in
various practical engineering applications such as chemical
reactions, power converters, secure communications,
information processing, and so on. Initially, Pecora and
Carroll [1] proposed that synchronization of dynamical
systems in chaotic regime can be achieved. Including adaptive
sliding mode control [14], for controlling and synchronizing of
chaotic systems, several control techniques, have been
developed such as optimal control [5], adaptive control [6, 7],
backstepping control [8, 9],passive control [10],H-infinity
approach [11],fuzzy logic control [12],PID control [13], etc.
Gyro is an attractive and everlasting subject of dynamics
which has been studied by many authors.It is considered as
one of the most important problems in control theory. Gyro
Sensors are used for measuring angular velocity in many areas
of applications such as stability and navigation control in
Jitendra Kr. Jain and Manoj Shukla are with the Department of
ElectricalEngineering, National Institute of Technology, Hamirpur-177005,
India (email:jitendra1610@gmail.com, acdcmks@gmail.com).
B.B. Sharma is Asst. Prof. with the Department of Electrical Engineering,
National Institute of Technology, Hamirpur-177005, India (email:bharat.nit@gmail.com).

spacecrafts and aeroplanes. In the past years the motion of a

symmetric gyro has been studied by Ge and Chen [2, 3], Tong
and Mrad [4]. Their results indicate that a symmetric
gyroexhibits both regular and chaotic motions. Active control
based synchronization of chaotic gyros has been achieved by
Lei,Xu and Zheng [15], but it was based on fully known
parameters. Yan, Hung and Liao [16] have proposed a new
synchronization controller for chaotic gyros with fully
unknown parameters.
Moreover, from the practical implementation point of view,
the limitations of actuators lead to the nonlinearities in the
control input, which may seriously influence the system
performance and decrease the speed of system response [17].
Also, the nonlinearity in control input may cause the gyro
system perturbed to unpredicted results as it is very sensitive
to any variation in system parameters. In present paper, a
scheme for synchronization of the chaotic gyros subject to
input nonlinearity, uncertainties, external disturbances and
unknown parameters is proposed with simulation results to
justify the control scheme. The proposed approach utilize
adaptive sliding mode approach, the analysis assumes that
bounds on uncertainties and external disturbances are
unknown.
The organization of this paper is as follows. In section II,
system description is presented. In section III, problem
formulation and the design procedure of the proposed
Adaptive sliding mode control scheme is given. Finally, in
section IV simulation results have been presented to verify the
results.
II. SYSTEM DESCRIPTION
The equation representing the motion of a symmetric gyro
with linear-plus-cubic damping in terms of the angle is
given by [16]:
+ 2

1 cos
3

+ 1 + 2 3 sin = sin sin

(1)
where is the normalized amplitudeof harmonic excitation,
is the frequency of the external excitation disturbance, is the
nutation angle of symmetric gyro, sin is a parametric
excitation,1 and 2 3 are linear and nonlinear damping
terms respectively and,
1 cos 2
2
sin
3

978-1-4673-0455-9/12/$31.00 2012 IEEE

635

is a nonlinear resilience term.Normalized equations in state

space can be written as:
1 = 2
2 = 2
+ sin sin 1

1 cos 1
3 1

term u(t) is to be determined for synchronizing the two

systems with same unknown parameters, , 1 , 2 , , .
The term shown in Fig.2, is a nonlinear function of
u(t) with 0 = 0 belonging to the sector [p,q], where p and
q are nonzero scalars i.e.,

1 2 2 23 + sin 1
() (()) ()() 0

(2)

(5)

() (()) ()() 0(6)

Here choice of state variables is made as 1 = and 2 = .

This symmetric gyro exhibits chaotic behavior [16] for the
parameters
values 2 = 100, = 1,1 = 0.5,
2 = 0.05,
= 2, and = 35.5.Chaotic attractor with initial
conditions 1 0 , 2 (0) = 1,2 is shown in Fig.1.

To develop the proposed strategy for chaotic

synchronization of gyro systems, following assumptions are
made [17]:
Assumption 1: The external disturbances 1 and 2
have bounds k1 and k2 and thus it can be concluded that;
1 2

Assumption 2: For the un-modeled dynamics with nonlinear

function (, )and(, ), there exist positive constants
1 and 2 large enough such that:

0
-1
4

(, ) 1 ()and (, ) 2 ()
Resulting in,
, (, ) ()

2
0
-2
x 2(t)

-4

-0.5

-1

0.5

As we know synchronization via ASMC (Adaptive Sliding

Mode Control) involves two fundamental steps:

x 1(t)

1.

Fig. 1 The phase portrait of 1 versus 2

III. PROBLEM FORMULATION

For the two nonlinear gyros given below, let us denote drive
and response systems as x and y system, respectively. The
equation for the drive system is taken as:

1 = 2
(3)

2 = 2

1 cos 1

Choosing a suitable switching surface such that the

sliding motion in the sliding mode is stable and
ensureslim () = 0. Here () is the
synchronization error.
2. Finding an ASMC law which guarantees the
existence of the sliding mode = 0even with
input nonlinearity and fully unknown parameters of
the system.
Hence to start with, let us first define error variables as

1 = 1 1
2 = 2 2

1 2 2 32 + sin 1
3 1
+ sin sin 1 + 1 + (, )

(7)

using (3) and (4), the dynamics of the error system becomes
and the equation for slave system is taken as:
1 = 2
(4)
1 cos 1 2
2 = 2
1 2 2 23 + sin 1
3 1
+ sin sin 1 + 2 + (, )+ (())
Here it is assumed that the drive and response gyros are
subjected to external disturbances 1 and2 ,
respectively, which are bounded i.e. 1 1 + and
2 2 + . Also (, )and (, )are uncertain
terms in the drive and response system, respectively.The input

Fig.2 Input control function with sectored nonlinearity

636

1 = 2 2
(8)
2 = 1 2 + 2 1 , 1 2 23 + 2 23
+
+ sin sin 1
sin 1 + (1
2 ) + ( , , ) (())

Lemma 2: If the control function u(t) is in the form =

(()) as in (11), then the following inequality holds
[17]:
()
(13)

where,
1 , 1 =

1 cos 1
3 1

1 cos 1
3 1

Lemma 1: (Barbalats lemma [21]) If (): is a

uniformly continuous function for 0 and if

lim 0 exists and is finite, thenlim () = 0

Proof: If we multiply both sides of (5) by u(t), we get:

Now, we define a switching surface() in the error space

so as to ensure the asymptotic stability of the sliding mode. It
can be written as,
= 2 + 1 ()

2 () ()

By using the controller = (()) , we get:

2 2 (()) (())

(9)

This can be further written as,

where() and is a design parameter which can be

easily determined as shown in later part of paper.
Our next step shall be to design an ASMC scheme to drive the
error system trajectories onto the switching surface S = 0in
finite time.
For this purpose, following controller is proposed,
1

() = (1 + 2 + + + )

2 ()

()
()

()
()

()
()

Multiplying above inequality by 2 (), one can get

2 () ()
2 ()

(10)

(14)

where,
1 = 2 + 1 2 + 1 , 1
2 = 2 2 3 2 3 + 1 1 ,

From the result in (14), Lemma 2 given by (13) can easily be

proved.

and is a positive constant that can be chosen by the designer.

Proof of Theorem 1: To establish

the convergent nature of
error dynamics to the sliding surface, let the parameters be
taken as

Also, controller can be written as:

= ( )

1 = 1 1 ,
(11)

where,
=

1
( + 2 + + + )
1

2 = 2 2 ,
3 = 2 ,
4 = , 5 = , 6 = (15)

where = +
As parameters 1 , 2 , 2 , , and are unknown constants, it
leads to

along with adaptation laws,

1 = 1 , 2 = 2 , 3 = ,
4 = , 5 = , 6 =

1 = 2
2 = 2 3 2 3
= (1 , 1 ) (12)
= 1 1
= , =

(16)

Now, defining a suitable Lyapunov function as

1

Theorem 1: If the system dynamics represented by error

dynamics in (8) are controlled by u(t) in (10) along with
adaptation law (12), then the system trajectory converges to
the sliding surface = 0,in finite time [16].

= 2 2 +

2
6
=1

(17)

Taking the derivative of function V (t ) in (17) with respect

to time t, one can get,

To prove the above theorem, Let us first define

Barbalats lemma.

= +

6
=1

Using (9) in (14), one can achieve,

637

(18)

 = 1 + 2 +

6
=1

(19)

Now, putting (8) in above (19), one can obtain

= [2 1 2 + 2 1 , 1 2 23 + 2 23
+ + sin 1 1 + (1 2 )
+ ( , , ) ( )]
6

=1

Remark 1: Control law (11), in which function is used

as a hard switcher, gives undesirable chattering phenomenon.
In order to reduce the chattering, the () function in (10)
is replaced by thetanh
(),(>0)function.Also, to get a
smooth transition at the intersection, one need a third function
that smoothly "switches" between two values at a defined
point. The pure () function shows this behaviour, as it
returns values close to -1 for << 0 and values close to 1
for >> 0.
Therefore the control input in (11) becomes

= [2 1 2 + 2 1 , 1 2 23 + 2 23
+ + sin 1 1 + 1 2

= ()

+ , , ] ( ) +

IV. SIMULATION RESULTS

In this section, simulation results are presented to show the

validation of the proposed scheme. The coding and execution
have been performed using MATLAB software. Different
parameters are assigned following values from the perspective
of simulation: 2 = 100, = 1, 1 = 0.5,2 = 0.05, =
2,=35.5, = 10, 1 = 0.6cos
(),2 = 0.6cos
(),
, = 0.1sin
(2 ), , = 0.1sin
(2 ).

=1

Using Lemma 2,
( 2 + 1 2 + 2 1 , 1

+ 2 32 32
1 sin 1 + + )

+ +

Fig. 3 and 4 show the states of master and slave system.

It can be seen that states x1 and x2 of master system approach
states y1 and y2 of slave system respectively. Further Fig.5
depicts the convergence of synchronization error towards zero
in finite time. Switching surface which has been chosen for the
present case has been shown in Fig.6. Adaptation of
parameters has been depicted in Fig.7. It can be seen that the
uncertain parameters are approximately converging towards
some constant values.

=1

By replacing r in the above equation, the following result is

obtained,
[ 1 1 2 + 2 1 , 1

( 2 2 )

23

23

+
1 sin 1
6

+ + ] +

1.5

x1

=1

x2

Also, the following expression is obtained by using the

adaptation laws in (12)

x 1 & y1 state

0.5

(20)

Now if we choose
() = > 0

-0.5

Then according to Barbalats lemma, one can obtain

-1

[()] = ( ) 0

4
6
t(time in seconds)

Fig.3 Synchronization of states x1 and y1

Since > 0 for all > 0 , implies () 0 as .

Hence proof of theorem 1 is achieved.
When the control input u(t) given in (10) drives the error
dynamics in (8) using adaptation laws in (12), all the error
trajectories converge to the sliding surface S(t) =0. As in (9),
the values of > 0 ensures the asymptotic stability of the error
dynamics given in (8). This gives guarantee of asymptotic
stability of the closed loop error system.

638

10

REFERENCES

4
3

x 2 & y2 state

x2

[1]

y2

[2]

[3]

[4]

-1
-2

[5]

-3

[6]

-4

4
6
t(time in seconds)

10

Fig.4 Synchronization of states x2 and y2

L.M. Pecora, and T.L. Carroll, Synchronization in chaotic systems,

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Synchronization errors

e1
e2

0.5

-0.5

-1

4
6
8
t(time in seconds)
Fig.5 Convergence of synchronization errors

10
Fig.7 Adaptation of parameters
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[8]
0.25

-0.2

0.2
0.15

-0.6

0.05

Switching surface
S

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[9]

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[10]

-0.8

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-1

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[12]

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0

[11]

-0.1

4
6
t(time in seconds)

10

[13]

10

Fig.6 Switching surface

[14]

V. CONCLUSION
In this paper an adaptive sliding mode approachfor the
synchronization of chaotic gyros systems is proposed. These
systems are assumed to be subjected to input nonlinearity
withuncertainties, external disturbances and unknown
parameters. Furthermore, simulation results have been
presented to verify the validity of the approach.

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F. Wang and C. Liu, Synchronization of unified chaotic system based
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JJ. Yan, ML. Hung and TL. Lio, Adaptive siding mode control for
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[17] H. Kebriaei and M.J. Yazdanpanah, Robust adaptive synchronization of

different uncertain chaotic systems subject to input nonlinearity, vol.
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[18] H.K. Chen, Chaos and chaos synchronization of a symmetric gyro with
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[19] B.B. Sharma and I.N. Kar, Observer-based synchronization scheme for
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[21] V.I. Utkin, Sliding Mode and Their Applications in Variable Structure
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Englewood Cliffs, NJ, 1990.

640

FACTS Modelling and Control: Application of

CSC based STATCOM in Transmission Line
Sandeep Gupta, Student Member, IEEE, Prof. R. K. Tripathi, Member, IEEE

Abstract-- Flexible AC Transmission Systems (FACTS)

devices have been used in power systems since the 1970s for the
improvement of its dynamic performance. Among these devices,
Static Synchronous Compensator (STATCOM) is a shunt
connected FACTS device, which is capable of providing reactive
power compensation to the power system. This paper describes a
static synchronous compensator using PWM current source
converter (CSC). In this paper, initially the dynamic dq-frame
model of the CSC based STATCOM is presented and its linear
steady-state characteristics are derived based on the model
using power balance equation. Letter on, the operation of CSC
based STATCOM system is analyzed in detail through a
theoretical approach and computer simulation with
Matlab/Simulink. This paper also presents the advantages of
CSC topology over VSC topology based STATCOM.
Index TermsCSC, FACTs, STATCOM, VSC.

I. INTRODUCTION

N recent years, along with the rapidly increasing electric

power requirement, the reconstruction of India's urban and
rural power network is more and more urgent. There will be
huge demand for reactive power compensation to improve the
efficiency and stability of AC transmission systems during
transmission upgrade process. Given a profit-driven,
deregulated electric power industry coupled with increased
load growth, the power transmission infrastructure is being
stressed to its upper operating limits to achieve maximum
economic returns to both generator and transmission system
owners. In such an environment, system stability problems
such as inadequate voltage control and fast regulation must be
resolved in the cost-effective manner to improve overall grid
security and reliability.
In recent decades, the electric distribution systems are
suffering from significant power quality (PQ) problems,
which are characterized by low power factor, poor voltage
profile, voltage fluctuations, voltage sag/swell, load
unbalancing, and supply interruptions. These power quality

Sandeep Gupta, Research Scholar in Department of Electrical Engineering of

Motilal Nehru National Institute of Technology, Allahabad (U.P.)-211004
INDIA (e-mail: jecsandeep@gmail.com).
Dr. R.K. Tripathi, Professor in Department of Electrical Engineering of
Motilal Nehru National Institute of Technology, Allahabad (U.P.)-211004
INDIA (e-mail: rktripathi@mnnit.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

issues have attracted attention of researchers both in academic

and industry.
At the present time, thanks to the development of
sophisticated and versatile power electronic devices named
Flexible AC Transmission Systems (FACTS), which are used
to adjust the magnitude of voltage in power system with
proper control. With the development in power electronics,
switch-mode power converters based on controllable switches
such as GTO and IGCT have also become capable of doing
the job with higher flexibility and controllability. The
FACTS controllers can be realized by either a voltagesource converter (VSC) or a current-source converter
(CSC). The research has been mainly concentrated on
voltage-source converter based FACTS controller, e.g. [1][4], but some attention has also been paid to an alternative
current-source converter based FACTS controller, e.g. [5] and
[6]. Since the VSC topology is widely used in industrial
applications in comparison to CSC topology [7]. In spite of
intensive research work on VSC-based STATCOM (VSCSTATCOM), limited number of research work has been
carried out on CSC-based STATCOM (CSC-STATCOM)
[5][14]. In addition, the VSC has been said to have several
advantages compared to the CSC, such as simplicity of
control, higher efficiency, low cost and does not require
reverse voltage blocking capability of power semiconductors.
But the recent developments in the control of CSC and the
technology of semiconductor switches, the above situation is
likely to change and now the choice of CSC topology is used
in industrial applications over VSC. There are distinct
advantages such as implicit short-circuit protection, fast startup, high converter reliability and directly controlling the
output current of converter.
In this paper, the use of CSC-STATCOM in transmission
line is analyzed. Basic principle & dynamic modeling of CSC
based STATCOM is presented in section 2. In section 3,
operation of CSC based STATCOM system is evaluated by
simulation tool Matlab/Simulink. Finally, section 4 concludes
this paper.
II. USE OF CSC BASED STATCOM IN TRANSMISSION LINE
A. Basic Principle of STATCOM
The STATCOM with voltage source converter regulates
the re-active current into the bus by controlling the output

641

voltage of inverter, which is in phase with the bus voltage,

through the adjustment of firing angle or modulation index.
The reactive current is indirectly regulated by control of
potential difference across the coupling reactor. However, the
STATCOM with current source converter can directly control
the reactive current by adjusting firing angle or modulation
index.
ISR

capacitors. Ldc is the smoothing inductor, and the resistor RdC

represents the converter switching and conduction losses. Idc
is the dc-side current. ea, eb, ec are the line voltages. ia, ib, ic
are the secondary-side currents of the transformer. va, vb, vc
are the voltages across the filter capacitors. And i ia, iib, iic are
the currents at the terminals of the CSC.

Es Rs

Ls

Lr

ea

VCR

Rr Er

eb

ICR
IR1=MIdc

VR

ec

(n:1)

L
R

(a)

ia ib ic
va
vb

vc

iia
iib
iic

Ldc
Rdc

Fig. 2. CSC-based STATCOM

Harmonic free line voltages for the three phase balanced

AC supply cause presented as:
ea = Vcos t
(1)
eb = Vcos t - 2 / 3
(I)

ec = Vcos t - 4 / 3

(II)

(b)
Fig. 1. Operational principle of CSC based STATCOM. (a) Equivalent single
line diagram. (b) Phasor diagrams

Fig. 1(a) shows the single line diagram of CSC based

STATCOM for preliminary operational analysis where supply
voltage VR is assumed to be constant. Phasor diagrams for
CSC based STATCOM is presented in Fig. 1(b) for both
inductive and capacitive mode of operation. The input voltage
VCR of the CSC is lower than VR for inductive mode of
operation as expected while it is higher than VR for capacitive
mode. The regulated reactive power at the connection point
can be inductive or capacitive depending on the phase
relationship of injected current with respect to the voltage at
the connection point. The magnitude of reactive current can
be regulated by a slight increase or decrease of the firing
angle from the -900 or +900 position.
B. Dynamic Modelling
The schematic diagram of a CSC-based STATCOM is
shown in Fig. 2. The transformer T is modeled as a
combination of an ideal transformer and a series R-L
impedance. The turns ratio of the transformer is n: 1, with the
transmission line on the primary-side and the converter on
the secondary-side. C is the capacitance of the filter

CSC is controlled with three-level SPWM technique. In

this way, it behaves as a 3-phase linear power amplier. CSC
by three-level SPWM control can be modeled as
i ia = ma Idc
i ib = mb Idc

(2)

i ic = mcIdc

d
Ldc
I
+ RdcIdc = ma va mb vb mc vc (3)
dt dc

where, ma, mb, mc and are the modulating signals of the 3phases normalized to the peak of the carrier signal. After d-q
transformation of modulating signals equation (3) can be rewritten as:
I
I

id
iq

= Md Idc
= Mq Idc

d
3
3
Ldc
I
+ RdcIdc = Md Vd Mq Vq
dt dc
2
2

(4)

Based on Fig. 2 and above equations, the differential

equations for the system are derived in the abc frame and then
transformed into the synchronous dq frame [15].

642

d
R
1 Ed
1
Id =
Id + wIq
+
V
dt
L
L n
L d
d
R
1
Iq = wId
Iq + Vq
dt
L
L

(5)
(6)

d
1
1
V = Id + wVq + MdIdc
dt d
C
C

(7)

d
1
1
Vq =
Iq wVd +
MqIdc
dt
C
C

(8)

From above equations, the resulting improved dynamic

model of the SATACOM in matrix form can be derived as

R
d
3
3
I
= dc Idc
Md Vd
Mq Vq
dt dc
Ldc
2Ldc
2Ldc

dt

(9)
In above differential equations Md and Mq are the input
variables. Idc and Iq are output variables. w is the rotation
frequency of the frame and is equal to the nominal frequency
of the system voltage. By above equations we can say that
CSC based controller is nonlinear. This nonlinearity can be
removed by properly modeling of CSC based controller. Istd
and Istq are the control signals of CSC and can be explained
by
Istd
cos

= M*

Istq

sin

(10)

dc dc

(13)

Pac = Pdc

(14)

Finally equation (14) can be rewritten as

2Rdc 2
3Ed
d 2
Idc =
Idc
I
dt
Ldc
Ldcn d

3Ed
Ldcn

x=
I2

dc

Id

R
L

wo

1
L

-w o

R
L

1
C

-w o

1
C

0


0

1 *

wo

idc
2

iq

vcd

vcq

id

(16)
(17)

I iq

2
y =
Idc

Iq

0
0

0
B = 1

(15)

Iq

u = I id

e = Ed

2R dc
Ldc

A=
0

dc dc

3 E
Pac = * d Id
2
n

R dc
Ldc
2

idc

0
id

iq = 0

vcd

0
vcq

Where

(11)

dc dc dt dc

= MqIdc

iq

x = Ax + Bu + Fe
y = Cx

From above equations (5)-(9), we can say that nonlinearity

in CSC based STATCOM model is due to the component of
Idc. This nonlinearity is removed by the use of active power
balance equation. In this system we have assumed that the
power loss in the switches and resistance R is neglect. So in
power balance equation the active power delivered by the ac
source (Pac) is equal to the active power absorbed by the dcside (Pdc).
d
(12)
P
=V I
=L I
I
+R I 2
dc

= MdIdc , I

Above model is simplified in the matrix form

where is the phase angle of CSC output current with

respect to the system phase voltage, Vs and M is the
modulation index. In order to simplify the analysis, let the daxis of the dq frame match with the space vector of the system
voltage, i.e.,
vsd
V

= s
v
sq

id

0
0

Vq

Vd

3Ed
Ldc

R
L

1
L

-
-

1
c

1
0

C = 0

R
L

0
0

0
0

1
c

0
1

L
F=
0

0
0

III. TEST SYSTEM & RESULTS

In above equation (15) state variable is (I2dc) instead of Idc,

to make the dynamic equation linear. The consequential
improved dynamic model of the STATCOM is equations (5),
(6), (7), (8) and (15). Where, Iid and Iiq are the input
variables, (I2dc) and Iq are the output variables, and (I2dc), Iq
,Id , Vd and Vq are the state variables. R, L, c, Rdc, Ldc and
are system parameters and considered as constants. In the
steady-state, the system voltage Ed is close to 1 p.u. Thus,
there is no problem in considering it as a constant value. In
above equation Md and Mq are coupled with Idc. These can be
expressed as

In order to investigate the developed CSC based

STATCOM
system
a
computer
model
in
MATLAB/SIMULINK environment has been elaborated in
Fig. 3. The simulated power system is composed of two
voltage sources at the sending- and receiving-ends of a
transmission line. The base values for the voltage and power
are taken to be 500kV/3000MVA (sending-end) and
500kV/2500MVA (receiving-end) respectively. The dc
inductor is sized at 40mH to ensure a dc current ripple of less
than 5%. The dc resistor is neglected. Fig. 4 illustrates the
operation of the control system during the entire simulation

643

B2

B1

ES

B3

Er

Voltage at Bus B3

time (t = 0 to 4 s). At t = 2 to 3.45, the test system (without

CSC-STATCOM) has encounters with 3-phase fault. Due to
this problem the voltages at bus B1, B2 & B3 are reduced.
When CSC-STATCOM is applied to the test system, the
voltages at bus B1, B2 & B3 are extensively increased in
comparison to without CSC-STATCOM. All above
simulation results are shown in Fig. 4 to Fig. 7. In fig. 7, the
reactive power is negative, as a result that the STATCOM is
supplying the vars to the system. It is observed that
STATCOM is in capacitive mode of operation and the
reactive power flows from the converter to the system. The
simulation results show clearly the impact of CSCSTATCOM in the power transmission line.

0.8
0.6
0.4
0.2
0

2
Time

(c)
Fig. 4. Voltage at Bus B1, B2 & B3 without CSC-STATCOM with 3-phase
fault occurring at t = 2s and fault is cleared at t = 3.45s

Voltage at Bus B1

CSC based
STATCOM

Fig. 3. Schematic diagram of the test system

0.5

0.8
0

0.6

0.4

2
Time
(a)

2
Time
(b)

0.2
0

2
(a)

Time

Voltage at Bus B2

Voltage at Bus B1

1.5

0.5

0.8
0

0.6

0.4
1.4

0.2

1.2

2
Time

Voltage at Bus B3

Voltage at Bus B2

1.5

(b)

1
0.8
0.6
0.4
0.2
0

2
Time

(c)
Fig. 5. Voltage at Bus B1, B2 & B3 with CSC-STATCOM with 3-phase fault

644

the amount of reactive power injected into or absorbed from

the power system in Fig. 6 & 7. The simulation results
indicate that the CSC-STATCOM can fulfill the objectives of
the VSC-STATCOM.
Thus, it is concluded that, CSC based STATCOM helps in
controlling the power flow and improving the voltage profile.
Therefore CSC based STATCOM can be regarded as an
alternative FACTs device to that of VSC based STATCOM.

18
16

Active Power

14
12
10
8

V. REFERENCES

6
4

[1]
0

2
3
4
Time
Fig. 6. Active power flow at Bus B2 without CSC-STATCOM with 3-phase
fault

[2]

35

[3]

30
Active Power

[4]

25
[5]

20
15

[6]

10
[7]

2
Time

4
[8]

(a)

20

[9]

Reactive Power

[10]

-20
-40
[11]

-60
-80

2
Time

[12]

(b)
Fig. 7. Active & Reactive power flow at Bus B2 with CSC-STATCOM when 3phase fault occurs at t = 2s and fault is cleared at t = 3.45s
[13]

IV. CONCLUSION
The simulation results show clearly the impact of CSCSTATCOM in the test system. It can be shown from Fig. 4 &
5, when CSC-STATCOM is used in the system, the voltages
at bus B1, B2, B3 are improved under fault conditions in
comparison to that of without CSC-STATCOM. The CSCSTATCOM regulates voltage at its terminal by controlling

[14]

[15]

645

C. A. Canizares and Z. T. Faur, Analysis of SVC and TCSC Controllers

in Voltage Collapse, IEEE Trans. on Power Systems, Vol 14, No. 1,
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Controllers, Proceedings of International Conference on Power System
Technology (PowerCon 2000), Piscataway, NJ, USA, vol. 1, December
2000, pp. 391-396.
N.G. Hingorani and L. Gyugyi, Understanding FACTS: Concepts and
Technology of Flexible AC Transmission Systems, IEEE Press,
Piscataway, NJ, USA, 2000, pp. 132-133.
Schauder, M. Gernhardt, and E. Stacey , Operation of +/- 100MVAR
TVA STATCON, IEEE Trans. Power Delivery, vol. 12, pp. 18051811,
Oct. 1997.
L. Moran, P. Ziogas, and G. Joos, "Analysis and design of a three-phase
synchronous solid-state Var compensator", IEEE Trans. Industry
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Delivery, vol.20, no.2, April 2005.
Bilgin, H.F., Ermis, M., Kose, K.N., Cetin, A., Cadirci, I., Acik, A.,
Terciyanli, A., Kocak, C., Yorukoglu, M., "Reactive power
compensation of coal mining excavators by using a new generation
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Conveyor Belt Drives by using D-STATCOMs, Industry Applications
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Comparative Studies on Decentralized

Multiloop PID Controller Design Using
Evolutionary Algorithms
Sayan Saha, Saptarshi Das, Anindya Pakhira, Sumit Mukherjee, and Indranil Pan
AbstractDecentralized PID controllers have been designed in
this paper for simultaneous tracking of individual process
variables in multivariable systems under step reference input.
The controller design framework takes into account the
minimization of a weighted sum of Integral of Time multiplied
Squared Error (ITSE) and Integral of Squared Controller
Output (ISCO) so as to balance the overall tracking errors for
the process variables and required variation in the
corresponding manipulated variables. Decentralized PID gains
are tuned using three popular Evolutionary Algorithms (EAs)
viz. Genetic Algorithm (GA), Evolutionary Strategy (ES) and
Cultural Algorithm (CA). Credible simulation comparisons have
been reported for four benchmark 22 multivariable processes.
Index Terms-Cultural Algorithm; Evolutionary Strategy;
Genetic Algorithm; multivariable process control; PID controller

I. INTRODUCTION

N most of the industrial process control systems, generally

few manipulated variables are adjusted to control a number
of controlled variables. Such control systems are known as
multi-variable processes and more commonly termed as
multiple-input multiple-output (MIMO) systems [1]. In
multivariable process control, unlike single-input, singleoutput (SISO) systems, change of any single manipulated
variables affects more than one controlled variable, giving
rise to the loop interaction [2]. The simplest MIMO processes
which are often referred in multivariable process control
literatures consist of two inputs and two outputs (TITO) [3].
Conventional method of designing PID type controllers for
such MIMO processes require correct pairing of one
manipulated variable to one controlled variable, to avoid poor
controller performance and reduced stability margins, which
can be achieved by means of Relative Gain Array (RGA)
approach. Other improved measures of loop interaction,
necessary and sufficient conditions for pairing, control
structure selection etc. have been thoroughly reviewed in [2],
though the RGA based loop interaction analysis still
dominates the process control industries. Only steady-state
information about the process gain matrix is required to
develop a RGA, which provides a measure of process
interactions between the manipulated variables and controlled

S. Saha and A. Pakhira are with the Department of Instrumentation and

Electronics Engineering, Jadavpur University, Salt-Lake Campus, LB-8, Sector
3, Kolkata-700098, India.
S. Das, S. Mukherjee, and I. Pan are with the Department of Power
Engineering, Jadavpur University, Salt-Lake Campus, LB-8, Sector 3, Kolkata700098, India. (e-mail: saptarshi@pe.jusl.ac.in).

variables. The most effective pairing can be achieved if a

manipulated variable is used to monitor a controlled variable
with which its measure of interaction is highest, preferably,
close to unity. This allows pairing of a single controlled
variable with a single manipulated variable via a feedback
controller for two such loops of TITO process as in Fig. 1.
Thus in decentralized PID control of 22 MIMO systems,
the control system consists of two such controllers. Each of
them takes care of a single loop only and the interaction
between the two loops is greatly reduced unlike the
centralized PID control where similar 22 controller structure
is assumed to stabilize a TITO process [4]-[5]. However, the
decentralized controller design can be easily applied if the
loops do not heavily interact with each other i.e. the
corresponding RGA should have dominating principal
diagonal. If the loop interaction changes the process gains of
the individual loops considerably, then well-tuned controller
for the individual loops fail to keep the controlled variables at
their respective set-points. In such cases, pairing of any
manipulated variable with any controlled variable results in
poor controller performance. One method to overcome this
problem, as attempted in this paper, is to tune both the loops
simultaneously instead of tuning decoupled loops
individually. This is because in the later case when one loop
is being tuned, the controlled variable of the other loop is not
traced. Thus it is likely to deviate from the set-point in case of
large loop interaction.
One of the conventional methods of tuning SISO control
loops in frequency domain is user-specified gain and phasemargin (GPM) methods. However, in case of MIMO systems,
the number of control loops is two or more, resulting in a
number of pairs of gain-margins and phase-margins i.e. one
pair for each loop, calculated by opening that individual loop
only. Thus, the presence of multiple loops makes it
impossible to correctly assign a particular gain-margin and
phase-margin to a MIMO system and hence tuning of MIMO
systems in frequency domain becomes very difficult. Huang et
al. [6] have proposed a methodology to decompose MIMO
processes as several effective open loop processes and applied
the GPM method for those individual loops. This method may
be used to monitor the speed of response for each loop of the
MIMO systems. However this does not take into consideration
the required variation in the manipulated variables or control
signal which is required in order to limit the actuator size and
variation of the manipulated variables. The time domain
integral performance index based PID controller tuning for
MIMO processes, as attempted in this paper was first

978-1-4673-0455-9/12/$31.00 2012 IEEE

646

introduced by Zhuang and Atherton [3] whereas the present

paper improves this technique by taking both loop error index
(ITSE) and required controller effort (ISCO) simultaneously
into consideration. In case of optimal tuning of PID
controllers to handle MIMO systems, if each of the controlled
variables is enforced to track a set-point using some
optimization technique, while ignoring the variation in the
other controlled variables, it becomes almost impossible to
track both the controlled variables to desired set-points with
the tuned controller parameters. In this paper, multivariable
PID controllers are designed by simultaneous optimal tuning
of all the control loops for 22 multivariable benchmark
processes with high loop interaction viz. Wood and Berry
(WB), Vinante and Luyben (VL), Wardle and Wood (WW),
and Ogunnaike and Ray (OR) [6]. Optimum tuning is
attempted using three well known evolutionary algorithms
viz. Genetic Algorithm (GA), Evolutionary Strategy (ES) and
Cultural Algorithm (CA) for simultaneous tracking of all the
controlled variables around desired set-points, implemented
as unit step reference inputs.

Comparison of control performances for the benchmark TITO

processes are outlined in Section IV. The paper ends with the
conclusion as Section V, followed by the references.
II. TIME-DOMAIN OPTIMUM PID CONTROLLER DESIGN FOR
MIMO PROCESSES
A. Proposed Approach of PID Controller Tuning for
Multivariable Processes
The controller for each loop has been considered as the PID
type in parallel structure since PID controllers still dominates
process industries due to their simplicity, robustness and ease
of implementation. The PID controller parameters
K p , Ki , Kd for each loop of the multi-variable process is
tuned in an optimal fashion so as to keep each of the
controlled variables at their set-points, irrespective of any
change in set-points of other controlled variables. In many
process control applications, large variations of manipulated
variables are not allowed to keep the physical strain of the
final control element within limits. The control action is
hence limited to minimize the deviations of manipulated
variables. Evolutionary algorithms are used to minimize the
objective function which takes into account both the deviation
of the controller output and that of the controlled variable,
given by:

J w1 t e2 (t ) w2 u 2 (t ) dt

(1)

The first term in the above expression corresponds to the

ITSE which minimizes the overshoot and settling time,
whereas the second term denotes the ISCO. The two weights
w1 , w2 balances the impact of control loop error (oscillation

Figure 1. Schematic of the decentralized PID control structure for benchmark

TITO processes.

Similar computational intelligent and optimization based

attempts have been made in few contemporary literatures for
the tuning of multi-loop PID controllers e.g. Chang et al. [7]
proposed an on-line scheme for PID controller design for
multivariable processes, using auto-tuning neurons employing
hyperbolic tangent activation function. Iruthayarajan and
Baskar [8] and Chang [9] used evolutionary algorithms and
multi-crossover genetic algorithm to minimize the summed
integrated absolute error (IAE) for each loop while tuning the
PID controller parameters. Rajabioun et al. [10] designed a
decentralized PID controller by minimizing total IAE for all
loops using colonial competitive algorithm. Han et al. [11]
tuned PID controller based on a closed loop particle swarm
optimizer (PSO) algorithm. Zhao et al. [12] minimized
integral square error (ISE) employing two-lbests based PSO
for designing robust PID controller for MIMO systems. This
paper puts forward a new methodology of tuning MIMO
control loops taking set-point tracking and controller effort
both into consideration and comparison is made between
three different EA based decentralized PID controller tuning.
Rest of the paper is organized as follows. Section II
describes the basics of time domain tuning of PID controllers
to handle MIMO processes. Brief description of three EAs,
used for controller tuning is presented in Section III.

and/or sluggishness) and control signal (larger actuator size

and chance of integral wind-up) and both have been chosen to
be unity in the present simulation study, indicating same
penalty for large magnitude ITSE and ISCO. Evolutionary
Algorithms (EA) have now been employed to obtain optimum
PID controller parameters within the range of
K p , Ki , Kd 6, 6 to minimize the objective function
(1). In the proposed approach the transfer function matrix of
any process need not necessarily be a square one, a criterion
that must be met if de-couplers are to be used for controlling
the multivariable process. However, since most of the
classical test-bench problems have 22 transfer function
matrices, the simulation study has been limited to 22 multivariable processes only in this paper. The same principle can
be used to tune higher dimensional MIMO processes.
However, in such cases the time required for such an
optimization with large number of decision variables,
representing the controller parameters will also increase.
Since the proposed multi-loop controller tuning methodology
is offline, thus computational complexity and required time
for the EA to converge is not a major concern.

647

B. Multi-loop Test-bench Processes

In order to test the effectiveness of the proposed tuning
methodology, four different 22 multi-variable processes,
normally encountered in process control applications, have
been considered as a test-bench [6]. The transfer function
matrices for Wood and Berry, Vinante and Luyben, Wardle
and Wood, Ogunnaike and Ray MIMO processes are given by
equations (2)-(5) respectively:
12.8e s
18.9e 3 s
16.7 s 1
(2)
21s 1
GWB s
7 s
3 s
19.4e
6.6e
10.9s 1 14.4s 1
2.2e s
1.3e 0.3 s
7s 1
(3)
7 s 1
GVL s
1.8 s
0.35 s
4.3e
2.8e

9.5s 1
9.2s 1
0.126e 6 s

0.101e 12 s

60
s

1
48
s

1
45
s

1
(4)

GWW s
8 s
0.094e 8 s

0.12e

35s 1
38s 1

0.2 s
0.4 s
22.89e

11.64e
4.572 s 1

(5)

s
1.807
1

GOR s
0.2 s
0.4 s
5.8e
4.689e

2.174 s 1
1.801s 1
As previously mentioned, proper pairing of manipulated
variable with the controlled variable is required to minimize
the effect of loop interaction as much as possible for the
design of decentralized controllers for multivariable
processes. The common criterion, used to obtain the
knowledge of correct pairing is the relative gain array or
RGA, derived from the dc gain G p 0 of the steady state
process transfer matrix as:
1
RGA Gp 0 (G p 0 )T

(6)
where, denotes the element-by-element multiplication of
the matrices. The RGA for the above four test-bench
processes are:
1.0094
2.0094
RGAWB
(7)
2.0094
1.0094
0.6254
1.6254
RGAVL
(8)
1.6254
0.6254
1.6875
2.6875
RGAWW
(9)

1.6875
2.6875

0.2913
0.7087
RGAOR
(10)
0.7087
0.2913
It is observed from the RGA values of the test-bench TITO
processes that the processes suffer from high loop
interactions. Hence designing decentralized controllers by
pairing of any manipulated variable with any controlled
variable will not lead to a satisfactory performance. In this
paper, we utilized simultaneous tuning of both the PID
controllers at a time for considering the effect of loop

interactions in the tuning phase while minimizing the

objective function (1) for all loops, instead of tuning one
controller as in a SISO loop.
III. BRIEF DESCRIPTION OF THE OPTIMIZATION ALGORITHMS
USED IN THE PRESENT CONTROLLER TUNING PROBLEM
In MIMO processes, it is often observed that one loop is
stable while the other one is unstable when all other loops in
the system except the concerned one are opened. However,
the MIMO system as a whole may be stable when all the
loops are closed. It is also seen that while one of the
individual loops involves a positive process gain, some other
loop has negative process gain. Also, some loops exhibit a
leading nature while rest of the loops may have lagging
characteristics. To stabilize a MIMO process, where coexistence and combination of such different dynamical
behaviors are inevitable, it is important to avoid local minima
while searching for optimum controller parameters. To
resolve this problem evolutionary algorithms are used in this
study, since they are derivative free global optimizers, capable
of avoiding local minima. We have developed in-house
MATLAB codes to implement Genetic Algorithm,
Evolutionary Strategies and Cultural Algorithm as three
representative cases of evolutionary algorithms [13].
A. Genetic Algorithm
Genetic Algorithm is a stochastic optimization technique
based on Darwins theory of natural selection. In GA, an
initial set of probable solutions, viewed as a pool of
chromosomes, is evolved over successive generations using
the processes of selection, crossover and mutation, to arrive at
an optimum. A fitness function is defined which measures the
closeness of a chromosome to the required optimum. In each
generation the fitness of each individual chromosome in the
population is measured and a set of most fit chromosomes is
selected, based on some well-defined criteria. This is termed
as selection. The selected chromosomes are then treated as
parents for the reproduction of the next generation. A fraction
of the parents undergo crossover, where genetic information
between two chromosomes is blended. The remaining fraction
undergoes random mutation. The crossover represents
traversal of the search space for optimum solutions. Mutation
is used to prevent pre-mature convergence and trapping into
local minima/maxima. In this way, a new generation is
formed, and the process is repeated. In certain GA variants, a
small set of best fit individuals is directly put into the
population of the next generation. This is termed elitism. Real
GA, where each chromosome is represented as a vector of
real values, poses as a very viable variant of GA and is
specifically suited for solving optimization problems
employing large continuous search spaces and has been used
in the present multivariable PID controller tuning problem.
B. Evolutionary Strategies
Among several variants of ES, self-adapting ES is used in
this study. Evolutionary strategy begins with an initial set of
population consisting of real valued vectors termed as
individuals, each one representing the genetic characteristics

648

of the decision vector to be optimized. Evolution of the initial

population formed by randomly generated individuals, called
parents, consists of evolving of the genetic characteristics
controlled by the strategy parameter ( ) which is also
evolved dynamically, depending upon the performance.
Strategy parameter of each individual is set to a common
value of 0.5 initially. Multi-membered ES, denoted by
( ) is used for optimization. For the purpose of
determining the optimized value of the decision vector,
number of parents ( ) and number of off-springs ( )
generated in one generation are fixed to 30. In each
generation two parents ( 2 ) were selected at random and
recombined by a randomized real-valued crossover operator
to generate an offspring. Evolution of strategy parameter is
done following the modified 1/5th update rule, reported in
Greenwood and Zhu [14] according to which, is updated
after every n 9 trials depending on the number of successful
mutations. Mutation of each offspring is then done by adding
the zero-mean Gaussian variable with standard deviation
( ). Selection to form the new population is done by
choosing the best ( ) individuals out of the pool of the total
( ) individuals comprising of all the parents and
offsprings depending upon their fitness value. This whole
process is repeated until the required value of fitness is
reached or the maximum number of generations is exceeded.
C. Cultural Algorithm
Cultural Algorithm has been developed by modeling how
human cultures work. Culture is viewed as a vehicle for
storing relevant information gathered since the start of the
culture, and is available to all the subsequent generations of
the society. This information can be useful for the generations
to guide their problem solving activities, at the same time
being dynamically modified by new information gathered by
each new generation. The CA is modeled using two separate
information spaces, viz. the population space and the belief
space. The population space contains the set of possible
solutions to the problem available in the present generation.
The belief space models the actual cultural aspects. It stores
information related to the problem solution that has been
found till the present generation and in turn influences the
evolution of the population space in subsequent generations.
Communication between the two spaces is handled by a
protocol consisting of two functions: an acceptance function,
which selects the set of individuals that will influence the
belief space and an influence function which influences the
creation of the next generation. In addition the belief space
requires an update function which is basically responsible for
updating the belief space when required. The belief space is
composed of a few knowledge sources viz. normative
knowledge, topographical knowledge, situational knowledge
and history knowledge. In the present case, a variation of the
CA has been used, where the evolutionary aspect is handled
by a Genetic Algorithm [15]. In this Genetic Algorithm based
Cultural Algorithm (GACA), the acceptance function accepts
the best 25% of the population using stochastic uniform

sampling, to be responsible for updating the belief space.

Belief space is composed of normative and situational
components. The normative knowledge component is
composed of the upper and lower bounds of each of the
variables among the individuals accepted. The situational
knowledge is a set of the best or elite individuals. At the end
of each generation the normative knowledge is updated with
the bounds of the accepted individuals and the situational
component is updated if necessary. Mutation in the Genetic
Algorithm part is influenced by the belief space. The
direction of mutation is determined by the position of current
individual with respect to individual present in the situational
knowledge space. Mutation is directed towards the best
individual. Also, mutation range i.e. the maximum range
through which the individual can be mutated, is determined
by the width of the normative knowledge component for each
of the variables of an individual solution. Finally, if an
individual after mutation or crossover violates the normative
knowledge, it is forced back into the search space dictated by
the normative knowledge.
IV. SIMULATION AND RESULTS
The above discussed three EAs have now been applied to
tune decentralized PID controller parameters (Fig. 1) for each
of the test-bench TITO processes (2)-(5). The set-point
tracking performance and required variation in manipulated
variables of each loop have been shown in Fig. 2-9
respectively. Table I-II reports the best found optimum
controller parameters for the two loops of each TITO process
using GA, ES and CA. It can be easily inferred from figures
presented that all the three algorithms viz. GA, ES and CA
performs satisfactorily in simultaneous tuning of both the PID
controllers for the multivariable processes with high loop
interaction. From the results presented in Table III it is
evident that though performance of all the three algorithms
are almost same, CA outperforms the other two by some
margin in all the cases.

649

Figure 2. Variation in process variables for WB MIMO process.

TABLE I.
Process
Wood
and
Berry
Vinante
and
Luyben
Wardle
and
Wood

Figure 3. Variation in manipulated variables for WB MIMO process.

It is to be noted that variation in the results obtained from

five independent runs of each EAs is minimum for CA. Some
of the obtained controller gains are negative which is due to
the fact that the MIMO process has negative transfer
functions in some loops. The tuned response with the
controllers, using the proposed methodology, is somewhat
process dependent. From Fig. 2-3, it can be seen that the WB
process has slight overshoot in tracking of process variables
and oscillations in manipulated variables. From Fig. 4-5 it is
observed that the VL process gives sluggish output in one
loop and slight overshoot in the other. For the WW process
the settling time is very large and hence the control signal has
not settled during the finite simulation time horizon (Fig. 67). From Figs. 8-9 it can be inferred that the OR process gives
fast set-point tracking for both the loops.

Ogunnaike
and
Ray

TUNED CONTROLLER PARAMETERS FOR THE FIRST LOOP

Algorithm

Kp1

Ki1

Kd1

GA

0.252294

0.001602

0.252587

ES

0.25363

0.001868

0.280028

CA

0.273853

0.001801

0.25349

GA

-1.20453

-0.15561

-0.33433

ES

-1.26164

-0.16466

-0.41223

CA

-1.21045

-0.15963

-0.41414

GA

4.874161

0.047187

0.009791

ES

5.067988

0.045413

0.009664

CA

4.917404

0.045597

0.010642

GA

0.642728

0.287408

-0.02641

ES

0.584019

0.210688

-0.03858

CA

0.65208

0.241827

-0.01971

Figure 6. Variation in process variables for WW MIMO process.

Figure 4. Variation in process variables for VL MIMO process.

Figure 7. Variation in manipulated variables for WW MIMO process.

TABLE II.
Process
Wood
and
Berry
Vinante
and
Luyben
Figure 5. Variation in manipulated variables for VL MIMO process.

650

TUNED CONTROLLER PARAMETERS FOR THE SECOND LOOP

Algorithm

Kp2

Ki2

Kd2

GA

-0.25612

-0.01075

-0.52361

ES

-0.26353

-0.01248

-0.53572

CA

-0.25855

-0.01177

-0.5521

GA

1.886448

0.154075

0.713463

ES

1.660539

0.155043

0.544667

CA

1.648765

0.16293

0.572449

Wardle
and
Wood
Ogunnaike
and
Ray

GA

-5.37666

-0.05618

0.003258

V. CONCLUSION
In this paper, a new strategy was proposed for the
decentralized PID controller tuning for TITO processes. The
optimization based controller parameter selection uses an
objective function as a weighted sum of ITSE and ISCO. The
minimization problem was solved using three popular global
optimization techniques viz. Genetic Algorithm, Evolutionary
Strategies and Cultural Algorithm for each of the four testbench TITO processes. It is observed that for each cases,
though all algorithms lead to stable controllers, CA was the
most effective amongst the three EAs. This is reflected by the
standard deviation and mean of the cost functions, confirming
the effectiveness of CA. Simple GA is observed to be the most
ineffective among the three EAs.

ES

-5.58605

-0.05802

0.002066

CA

-5.54188

-0.05698

0.002082

GA

0.249743

0.148489

0.043295

ES

0.223773

0.142789

0.036895

CA

0.25331

0.144433

0.053634

REFERENCES
[1]
[2]
Figure 8. Variation in process variables for OR MIMO process.

[3]

[4]

[5]

[6]

[7]

[8]
Figure 9. Variation in process variables for OR MIMO process.
TABLE III.

Process
Wood and
Berry

Vinante
and
Luyben

Wardle
and Wood

Ogunnaike
and Ray

CONSISTENCY OF THE EAS FOR MULTI-LOOP PID

CONTROLLER DESIGN

Algorithm

Jmin (mean)

Jmin (standard deviation)

GA

14.99845738

0.081435328

ES

14.88321436

0.100647197

CA

14.72939843

0.031005916

GA

34.97645399

0.017734663

ES

34.93504378

0.02309397

CA

34.90486417

0.003799923

GA

22386.76045

27.45458538

ES

22369.29554

3.637316428

CA

22363.25092

0.237556354

GA

2.18127584

0.001161726

ES

2.180784464

0.00223164

CA

2.178030194

0.001346768

[9]

[10]

[11]

[12]

[13]
[14]

[15]

651

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direct method for multi-loop PI/PID controller design, Journal of Process
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Bahman Mesgari, and Farzad R. Salmasi, Decentralized PID controller
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swarm optimizer for multivariable process controller design, Journal of
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S.-Z. Zhao, M. Willjuice Iruthayarajan, S. Baskar, P.N. Suganthan,
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Technology, ICIT 07, pp. 117-122, March 2007, Shenzhen.

Novel architecture of Modular Exponent on

Reconfigurable System
Rourab Paul , Sangeet Saha Chandrajit Pal and Suman Sau

Abstract. This paper proposes a single chip solution of the

modulus exponent operation for FPGA based embedded system
applications. Throughput and resource usage are the two most
important issues in the design of embedded systems and the
designers must need to choose appropriate hardware
architecture to meet these requirements. There are two ways of
hardware design namely parallel architecture and sequential
architecture. Though sequential architecture has lesser
throughput it is suitable for limited resource hardware domain
like FPGA based systems. Parallel design may consume huge
resources but it has better throughput compare to its sequential
counterpart. In this paper, we have proposed the design and
implementation of modulus exponent operation in three
different ways namely single clock architecture, sequential
architecture and a processor core based architecture. The
proposed design is implemented and verified on Spartan 3E
(XC3S500E-FG320) and Virtex-5, (XC5VLX110T-FF1136)
FPGA system. We have used VHDL and SystemC for the
various implementations in our work. The results show that our
design is better in terms of execution speed and hardware
utilization in comparison with the existing research work.

Keywords: - Reconfigurable architecture, modulus

exponent, XPS, EDK, high throughput.

I. INTRODUCTION
In secure data communication system, especially in secure
electronic trading, modular exponent calculations are widely
used. Two widely adopted public-key cryptosystems namely
the Rivest-Shamir-Addleman (RSA) cryptosystem [1] and the
Elliptic Curve Cryptography (ECC) [2, 3] are based on the
modular exponent calculation. Many hardware based research
works are available on Modular Exponent calculation [4], [5],
[6], [7], [8], [9] but very few of them have proper hardware
compatibility and good throughput. Due to the huge resource
usage in [4], a modular exponent architecture based on RSA
algorithm could not be implemented on FPGA Board. [5],
[6], and [7] have implemented their proposed custom design
successfully but did not have the proper resource, and
execution time management.

Though [8] has proposed two alternative architectures named

as PAR architecture and sub-pipelined architecture but they
do not have better throughput compared to our proposed one.
The merit of our paper lies in the following three
major achievements,obtained by the three consecutive
expereminets.
Experiment 1 : This single clock architeture can execute
modular exponent operation of any possible operand bit
width within a single clock. Since throughput is independent
of the width of input data, this architecture has reached the
maximum throughput level. In the architecture of experiment
1 a single clock architecture modulus entity is used which can
execute modulus operation in a single clock. All of the
versions of Xilinx ISE Tool have some restrictions over the
Modulus operation ( detail decriptions in section II. C ). We
also did not use IP cores because it will take several clocks to
complete the process.
Experiment 2 : Though Experiment 1 has the highest
throughput but due to the concurrent nature it consumes
enormous resource which make the architecture unfit for
implementation purpose on FPGA platform, specially in case
of large data width modular exponent term. Another
sequential architecture has been proposed where three clock
cycles are needed to execute a single operand bit. This
architecture reduces the resource utilization compromising
with the throughput.
Experiment 3 : This solution follows the same sequential
architecture which is described in Experiment 2. Here all the
operations are related to the modular exponent operation, like
addition, subtraction and multiplication has been handled by
a soft processor core.
In Section II we have described the design overflow, Section
III details out the proposed three architectures and its
implementation, Section IV and V compares the three
hardware architecture with existing works, and finally we
have concluded in Section VI.

Rourab Paul is with Department of Electronic Science, University of

Calcutta, India (email: rourabpaul@gmail.com).
Sangeet Saha is with Department of Computer Science and
Engineering,
University
of
Calcutta,
India
(email:
sangeet.saha87@gmai.com).
Chandrajit Pal and Suman Sau are A. K. Choudhury School of
Information Technology, University of Calcutta, India (email:
palchandrajit@gmail.com,sumansau@gmail.com).

II. DESIGN OVERVIEW

Modular exponentiation is a type of exponentiation
performed over a modulus. It is particularly useful in
computer science, especially in the field of cryptography. In
RSA [1], a plaintext block M is encrypted to a cipher text
block C by: C = Me mod N
(1)
The plaintext block is recovered by:

978-1-4673-0455-9/12/$31.00 2012 IEEE

652

M = Cd mod N

(2)

power of 2. Hardware have a simple faster alternative logic to

execute modulus operator [11]. For example, the modulus of
powers of 2 can alternatively be expressed as a bitwise AND
operation:

A. Hardware based modular exponential operation

Its hard to compute Me[10] because both M and e may be
very large to store in real-time hardware system. The
temporary result must be reduced modulo N at each step of
exponentiation because of the space requirement of Me is
enormous. Here, we have used the Binary Method [10] to
compute the modular exponent term. As we know resources
usage and execution time are the two fundamental issues in
hardware designing so we must have a minimum number of
modular multiplication to compute Me mod N. According to
the reference [10] binary method is one of the fastest methods
to compute modulus exponent without computing Me.

x % 2n = x & (2n - 1).

Examples (assuming x is a positive integer):
x %2 =x &1
x %4 =x &3
x % 8 = x & 7.
This logic is used in devices and software that implement
bitwise operations more efficiently than modulo which can
result in faster calculations. Optimizing VHDL compilers
generally recognize expressions of the form expression
%constant where constant is a power of two and
automatically implements them as expression & (constant-1).
This can allow the programmer to write clear codes without
compromising performance.
Behavioral simulation of modulus operator works well in test
bench but process will be stopped by the tool during the
implementation. Many research papers like [4] have tested
their design only on test bench. They did not suffer the
curious restriction of the tool.

B. Modulus Exponent Algorithm

We present the binary method algorithm in Fig. 1. In our
algorithm we have 3 inputs M, N and e where all the inputs
have n number of bits. In this method, scanning of each of the
bits of the exponent term are done from left to right.
Depending on the scan bit value a squaring and a subsequent
multiplication operation is performed for each step (2a and
2b).

D. Proposing of Concurrent Modulus Operation

Proposed Algorithm for Modulus
Exponent term
Input: M, e, N
Output C= Me mod N
1. ek-1 =1 then C:=M else C:=1
2. For i=k-2 down to 0
2a. C=C*C (mod N)
2b. if ei=1 then C=C*M(mod N)
3. return C

This problem can be solved in two different ways:

Using IP core available in Tool,
Design a custom modulus core.
The modulus IP core is not available in ISE (Integrated
Software Environment). A modulus IP can be obtained by a
significant change in the code of DIVIDER IP core. But this
relevant IP needs at least 7 clocks which may decrease the
throughput. We take the second alternative where we have
tried to design our own logic by the algorithm shown in Fig.
2[12]. This modulus architecture is a concurrent process,
where any width of data may be executed within a single
clock.

Fig. 1: Proposed Algorithm

As an example; let e=01111011. Which implies k=8. Since

ek-1=0, we take C=1. The binary method proceeds as shown
in Table I.
From Table I we can see that the number of modulus
multiplications required by the binary method for computing
M123 is 7+5=12. It is very obvious that the number of clocks
to execute modulus exponent only depends on the number of
modulus multiplications rather than the value of exponent
term.

Proposed Algorithm for modulus operation

Input: a,b
Output p1= a mod b
1. For i=0 to n-2
2. p1((n-1) down to 1)= p1((n-2) down to 0)
3 . p1(0)=a(n-1)
4. a((n-1) down to 1)= a((n-2) down to 0)
5. p1=p1-b
6. if p1(n-1)=1 then
6a. a(0)=0
6b.p1=p1+b
6c. Else
6d. a(0)=1
6e. end if
7. end loop
8. return p1

TABLE I
STEPWISE RESULT OF MOD CALCULATION ALGORITHM

i
6
5
4
3
2
1
0

ei
1
1
1
1
0
1
1

Step 2a
1
M2
M6
M14
M30
M60
M122

Step 2b
M
M3
M7
M15
M30
M61
M123

Fig. 2: Proposed Modulus Algorithm

C.Restrictions over the Modulus Operand in VHDL

Fig. 3 is the resister transistor logic schematic for a single bit

modulus operation. We need one adder, one subtractor and
one 2:1 MUX for a single bit operation. For an n bit width
of data this block will be repeated for n times.

In VHDL language modulus operator(%) is available but the

tools which are provided by XILINX (all vertions of ISE) to
compile VHDL code has some restrictions on the %
operation. The base(N) must be a constant in the form of

653

III. PROPOSED ARCHITECTURES AND

IMPLEMENTATIONS
The proposed architecture was synthesized using Xilinx ISE
11.1[13] and was implemented on XC3S500e Spartan 3E and
VIRTEX 5, (XC5VLX110T-FF1136) FPGA Board [13]. We
have proposed 3 different designs in our consecutive
experiments.

Fig. 3: RTL Schematic for a single bit Modulus Operation

A. Single Clock Architecture

Experiment 1 proposes a single clock architecture where any
width of modulus exponent term can be executed in a single
clock pulse. Fig. 4 shows the relevant architecture of
concurrent computation for a single round. If the power term
e has n bits then this modulus multiplication block will
also be repeated for (n-1) times. To increase the throughput
of our architecture, the value of C register is fed to the next
successive modulus multiplication block (Fig. 4).

Fig. 4: single clock architecture for modular multiplication for single round

Fig. 5: Top level single clock architecture for modular Exponent operation

Hence (n-1) rounds can be executed within a single clock.

Fig. 5 is showing the top level single clock architecture of
modular exponent operation. According to the line 1 of Fig.1
the value of C register at output of MUX0 will be decided
by the most significant bit (MSB) of the power term e.
Square multiplier and concurrent modulus Block compute the
term C=C*C (mod N). At MUX1, next subsequent bits of
e will decide whether the process computes 2b line or not.
The output of MUX1 will fed to the square multiplier of next
block. If e has n bit width this process will repeat for (n-1)
times.

654

We have written the program code of single clock

architecture in VHDL and successfully implemented on
FPGA Board (Spartnan3E and ML505) up to 20 bit. For
higher bit implementation of this architecture we need large
resource FPGAs.

Fig. 6: Behavioral Simulation Result

B. Sequential Architecture:
In the secure communication system throughput is one of the
most important part. The single clock architecture may have
best throughput but it is not at all suitable for limited resource
hardware architecture like ASIC and FPGA. By a little
compromise with the throughput we can save a huge amount
of resource usage. In experiment no 2 we have proposed a
sequential architecture where every single bit can be
computed in three clock pulses. The sequential architecture is
shown in Fig. 7 where every round of the process are using
the same modular multiplication block, whereas the single
clock architecture is using separate block for each round. This
fundamental concept is responsible behind the usage
reduction. We have written the program code of sequential
architecture by VHDL and successfully implemented on
FPGA Board (Spartan3E and VIRTEX 5) up to 64 bit. By
dividing the operations of each clock into more machine
states we can reduce resource utilization efficiently.

Fig. 7: Top level sequential architecture for modular Exponent operation

C. Processor-Core based Architecture:

Previous two architectures are based on custom hardware
logic where multiplier, adder and subtractor are logically
implemented on the board according to the user design. In
this architecture every logic operation and signals handling
modular exponent operation are managed by the separate
blocks of Arithmetic and Logic Unit (ALU) of the processor.
A soft core pipelined (RISC) processor; named Microblaze
[13] is used for the implementation purpose. The process is
following the same algorithm described in Fig. 1. The code

655

has been written in SystemC language to be executed by

MicroBlaze processor. The process has lesser throughput than
the other two architectures because every single instruction
needs minimum 3 clock cycles; decoding, fetch, and
execution cycle. But the processor handled architecture has
some advantages.
Real time data can be collected from RS232, Ethernet, ADC,
DAC, VGA etc. Without processor, handling of these
interfaces is quite tough.
Multiplication, division and modulus operator have some
complexity which can be handled very easily by processor.
DLMB
BRAM
CNTLR
B
R
A
M

MDM

UART 2

representation of required registers, multipliers

adder/subtractor for different data bit width.
TABLE III

COMAPARISON OF EXECUTION SPEED OF THREE PROPOSED

ARCHITECTURE FOR 16 BIT

Single Clock
Architecture
No. of
Clocks

Architectures
Sequential
Architecture

48

Processor handled
architecture
4414 to 7116(Approx.)
(Depending on the
modular multiplication)

EMC

P
L
B

Micro
Blaze

UART 1

ILMB
BRAM
CNTLR

GPIO

GPIO

LED

DIP
SWITCH
H
Fig. 8: Block Diagram of Processor handled Architecture
Fig. 9: Register usage of Single Clock Architecture and Sequential
Architecture

The program code of processor handled architecture has been

coded by SystemC code and successfully implemented on
FPGA Board (Spartnan3E and VIRTEX 5) up to 32 bit. Fig. 8
shows the block diagram of processor based architecture.
IV. COMPARATIVE STUDY OF 3 EXPERIMENTS
Table II is describing resource utilization of the three
proposed architectures. Due to the concurrency single clock
architecture has used maximum number of LUTs than others.
Compared to the processor handled architecture, sequential
architecture has utilized almost 27 times and 22 times less
LUT(Look Up Table) FF(Flip-flop) pairs and slices
respectively. The processor handled architecture utilizes
minimum number of LUTs compare to other two designs.
TABLE II

Fig. 10: Multiplier usage of Single Clock Architecture and Sequential

Architecture

COMAPARISON OF RESOURCE USAGE OF THREE PROPOSED

ARCHITECTURE FOR 16 BIT

LUT
LUT FF
Pairs
Slice

Single Clock
Architecture

Usage
Sequential
Architecture

28453
0
0

Available

5032
51

Processor
handled
architecture
2226
1383

69120
69120

67

1508

5048

and

Table III represents the execution speed of the three

architectures for 16 width data. Fig. 9, 10, 11 is the graphical

656

TABLE VI
COMAPARISON OF DEVICE UTILIZATION SUMMERY WITH
EXISTING [8] FOR 1024 BIT

Fig. 11: Adder/Subtractor usage of Single Clock Architecture and Sequential

Architecture

V. COMPARATIVE WITH EXISTING WORK

EXISTIN
G [8]
(PAR
DESIGN)

EXISTI
NG [8]
(PAR
DESIG
N)
v4fx100

EXISTIN
G [8]
(SUBPIPELIN
ED
DESIGN)
v2p100

EXISTIN
G [8]
(SUBPIPELIN
ED
DESIGN)
v4fx100

Selected
Device

v2p100

No. of
Slices
No. of
slice Flip
Flops
No. of
LUTs

PROPO
SED
(EXP. 2)

12791

14910

12162

14329

xc5vlx11
0tff1136-3
2083

17932

17831

19772

119794

1059

19213

19692

16359

17003

2585728

TABLE VII
COMAPARISON OF EXECUTION SPEED WITH EXISTING [8] FOE
1024 BITS
EXIST
EXISTI
EXISTIN
EXISTING
PROP
ING [8]
NG [8]
G [8]
[8] (SUBOSED
(PAR
(PAR
(SUBPIPELINE
(EXP.
DESIG
DESIGN
PIPELIN
D)
2)

The performance measure of our implementation is

compared with existing architectures as shown in Table IV,
V, VI, and VII. HDL(Hardware Description Language)
synthesizable report and device utilization which are shown
in table IV and V respectively claims that our proposed
sequential architecture has better hardware resource
compatibility than its existing counterpart [4]. If we compare
our results with [8], though the LUT utilization is much better
in [8] but our proposed FPGA architecture needs less slice
and slice flip-flops usage than [8] for the same width of
bit(shown in table VI). Table VII shows that our architecture
has much better throughput than existing [8]. This establishes
the superiority of our design compared to the related research
works. Fig 12 shows an output on test bench for 1024 bit
data. So our design proposes an efficient solution for modular
exponent operation using reconfigurable FPGA platform.

No. of
Clock

N)

ED)

100605
0

1000671

999792

1000403

3072

TABLE IV
COMAPARISON OF HDL SYTHESIZE REPORT WITH EXISTING [4]
(MACRO STATTISTICS)
COMPONENT

EXISTING[4]

No. of Multipliers
No. of
Adders/Subtractors
No. of Registers
No. of Comparators
No. of XORs

PROPOSED
(EXPERIMENT 2)
2
1025

430
1
192

290
0
0

Fig. 12: Behavioral Simulation Result Of 1024 bit modular exponent term

VI. CONCLUSION
In this paper we have presented a comparative study
on modular exponent operation against single clock
architecture, sequential architecture and processor handled
architecture. Proper architecture adoption is one of the
important issues for hardware designer. In speedy
communication system single clock architecture suits best but
in case of limited hardware resources sequential design will
be the suitable solution. On the other hand Processor-Core
based Architecture may deals best in real time interface
application platform. This paper has tried to emphasize on
two important factors, concurrency and execution speed of
hardware architecture. In future we will try to include custom
hardware blocks in real time operating system which will
serve an excellent communication between hardware and
operating system.

TABLE V
COMAPARISON OF DEVICE UTILIZATION SUMMERY WITH
EXISTING [4]
EXISTING[4]
Selected Device
No. of Slices
No. of slice Flip Flops
No. of LUTS
No. of IOs

3s100evq100-4
960
1920
1920
517

PROPOSED
(EXPERIMENT 2)
xc5vlx110t-ff1136-3
291
163
161608
513

657

VII. ACKNOWLEDGMENT
We are thankful to the Department of Science and
Technology (DST) for the financial support. The authors
gratefully acknowledge the tireless contributions of Dr.
Amlan Chakrabarti who has provided us the creative
environment.
VIII. REFERENCES
R. L. Rivest, A. Shamir and L. Adleman, A method for obtaining
digital signatures, Communications of the ACM, vol. 21, 1978, pp.120126
[2]
N. Koblitz, Elliptic curve cryptosystems, Mathematics of
Computation, vol. 48, no. 177, 1987, pp. 203-209.
[3] V. S. Miller, Use of elliptic curves in cryptography, in Proc. Of
Crypto85, LNCS 218, 1986, pp. 417-426.
[4] FPGA Implementation of RSA Encryption System. Sushanta Kumar
Sahu,Deptt. of Electronics & Tele-comm. Engg. VSS University of
Technology, Burla. Manoranjan Pradhan Deptt. of Electronics & Telecomm. Engg. VSS University of Technology, Burla. International
Journal of Computer Applications (0975 8887) Volume 19 No.9,
April 2011.
[5] Modular Exponent realization on FPGAs Jri Pldre | Kalle
Tammeme | Marek Mandre Tallinn Technical University, Computer
Engineering Department ,jp@pld.ttu.ee.
[6] Hardware Design for End-to-End Modular Exponentiation in
RedundantNumber Representation. Moboluwaji O. Sanu, Department
of Electrical & Computer Engr. The University of Texas at Austin
Austin, TX, U.S.A. Earl E. Swartzlander, Jr. Department of Electrical
& Computer Engr. The University of Texas at Austin, TX, U.S.A.2005.
[7] Radix 4 Implementation of a Montgomery Multiplier for a RSA
Cryptosystem. Steven Hubbard.
[8] A SCALABLE ARCHITECTURE FOR RSA CRYPTOGRAPHY
ON LARGE FPGAS.E. Allen Michalski, Duncan A. Buell CSE
Department The University of South Carolina Columbia, SC 29208,
U.S.A. 2006.
[9] VHDL IMPLEMENTATION OF SYSTOLIC MODULAR
MULTIPLICATIONS ON RSA CRYPTOSYSTEM. Chinuk Kim.
The City College of the City University of New York. Jan. 2001.
[10] High-Speed RSA Implementation, Cetin Kaya Koc, November 1994,
Version 2.0, ftp://ftp.rsa.com/pub/pdfs/tr201.pdf.
[11] http://en.wikipedia.org/wiki/Modulo_operation.
http://vhdlguru.blogspot.in/2010/03/vhdl-function-for-division-two[12]
signed.html
[13] http://www.xilinx.com.
[1]

658

Modeling Simulation and Control of active

suspension system in Matlab Simulink
environment
Mohd. Avesh, Rajeev Srivastava

Abstract- This paper proposes the study of automobile active

suspension system for the purpose of improving ride comfort to
passengers and simultaneously improving the stability of vehicle
by reducing vibration effects on suspension system. With the
increased demand of fine control of parameters, the mechatronic
controller is being used for increasing the comfort of vehicle with
their application to the suspension system of the vehicle. This is
the prime location for the consideration of inclusion of controller.
The modeling and simulation is carried out in Simulink
environment and the PID (Proportional Integral derivative)
controller is introduced for improving the performance of the
suspension system. The active control of the suspension system is
being carried out by proper tuning of the controller.
The dynamic performance of the integrated system is
improved significantly by using the controller.
KeywordsActive suspension, Modeling and Simulation of
half car suspension, PID control of suspension.

I. INTRODUCTION

he basic purpose of suspension system is to isolate a

vehicle body from road irregularities in order to improve
the driving comfort, safety and retain continuous road wheel
contact in order to provide road holding [1, 2, 3].
Suspension system connects the wheel and the vehicle body
by springs, dampers and some linkages, the spring carries the
body mass by storing energy and helps to isolate the body
from road disturbances, while damper dissipates this energy
and helps to damp the oscillations [4, 5].
Suspension system is one of the important concerns of the
researchers in automobiles from the very beginning of
automobiles era. So far the human expectations also increased
with time and a lot of researches have been done for
improving the performance of automobile suspension system
for getting a comfortable riding of the vehicle [3]. The main
factors always attracted the researchers i.e. durability or
stability, road holding and comfortable riding for the various
operating conditions.

Mohd. Avesh, PG student, Department of Mechanical Engineering,

Motilal Nehru National Institute of Technology, Allahabad - 211004, India (email: mail2avesh@gmail.com).
Rajeev Srivastava, Associate Professor, Department of Mechanical
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: rajmnrec@gmail.com).

Suspension system is the most important factor responsible in

order to provide good riding comfort and stability to a vehicle
[4, 6].
In early days simple coils and leaf springs were used as a
suspension system. The first steel spring put on a vehicle was
a single flat plate installed on carriages by the French in the
18th century. In recent years as the electronic and computer
technology had a tremendous growth [7, 8]. Effect of this
growing technology can also be seen in the field of
automobile industry. Modern Suspension system is the
integration of mechatronic controllers as well the mechanical
system [3].
There are three basic approaches to control a suspension
system as Passive suspension, semi active suspension and
active suspension [4, 8]. There are some factors, such as
suspension design, quick response against the jerk,
intelligence, and ability to work in real time operating
conditions etc., have a very important role for providing a
good ride comfort, road holding, and improving the stability
of the vehicle [3, 6].
Specifically, passive suspension is an older conventional
system have non-controlled springs and shock-absorbing
dampers with fixed parameters [8, 9]. Passive system designs
for a specific operating condition and havent the ability to
adjust its parameter according to the operating conditions [10].
While in real world application operating conditions change
i.e. the load on the vehicle and road profiles etc. Beyond this a
new technology required by which Suspension system should
be able to retain the comfort level with variable operating
condition [3]. A variable or adjustable, damper or spring
considerably improved the driving comfort and vehicle
stability in comparison with fixed parameters, this strategy
adapted in the basic suspension system in the early 1970s
[11] and give the name semi active control. Semi-active
suspension systems offer a considerable improvement in the
dynamic performance of the vehicle. Electro Rheological (ER)
[12, 13] and Magneto Rheological (MR) [6, 14] fluid dampers
are often preferred in semi-active suspension system, such
dampers have the ability to change damping coefficient
accordingly [5].
Beyond this, a controlled action of force introduced against
the suspension travel by means of the external actuator. These
additional forces are controlled by various control algorithms
using the data from sensor attached to the vehicle body [8]. In

978-1-4673-0455-9/12/$31.00 2012 IEEE

659

active suspension system passive components are augmented

by actuators that supply additional forces while pulling down
or pushing up the body masses for gathering the desired level
of comfort in order to suppress the vibrations due to the road
irregularities [4]. The systems with active control can improve
its qualities through the addition of an active shock absorber,
which generates instantaneous forces making it possible to
support the loads and to ensure the safety and comfort against
the constraints [15]. Main drawback of Active suspension is
that actuation energy fed to the system from the external
source leading to increase the system cost [16]. So far various
control approach introduced for active control in suspension
system application such as back stepping control [18], H
control [19], sliding control [20], fuzzy control [1, 7], adaptive
sliding fuzzy control [21] and intelligent control [22, 23] etc.
Various control approaches of such type were invented and
applied to control the active suspension system. In this paper,
the PID controller is considered for providing the fine control
to vehicle suspension system. The proposed approach has
more advantages as compared with the conventional passive
approach [3, 5, 11, 15].
It has been observed from the comprehensive literature
study that active suspension system can maintain good
comfort and durability of vehicle for various operating
conditions [4, 15]. It is attracted the attention of numerous
researchers and automotive industries in the field of active
suspension system because its modern features which can
overcome the limitation of passive suspension system [8, 16].
The modeling and simulation has been carried out in
Simulink environment and further sophisticated controller
implemented i.e. PID. Simulink is a versatile interface can
handle various types of controllers easily [5, 6, 24]. It is
requires, for dynamic performance analysis, constructing a
basic suspension model and implements a controller as an
integrated system.
The present work tries to analyse the performance of active
control in the application of a four degree of freedom vehicle
suspension. Dynamic response with road uncertainties
simulated with fixed parameter of the system. Further
implements the PID controller and the performance
improvement analyses are carried out for such system. The
whole system works as a close loop control system. A sensor
measures the physical parameter (vertical displacement,
acceleration and velocity) and decode into electrical signal.
These acquired signals proceed by the PID and generate a
controlled signal which controls the action of the actuator for
fine response in real time [8].
The responses are recorded and it can be observed from the
graph of system dynamic responses in fig. 7, an active
suspension system with PID controller provides a high level of
comfort and suppresses the body vibration at the large scale.

Modelling of suspension system has taking into account the

following observations.
The suspension system modelled here is considered four
degree of freedom system and assumed to be a linear or
approximately linear system for a half car. However, as the
model is practically denoted as a system including nonnegligible non-linearity and uncertainty, the modelling of
the active control becomes relatively complicated [25].
Some minor forces (including flex in the vehicle body,
movement and backlash in various linkages, joints and gear
systems) are neglected for reducing the complexity of the
model because effect of these forces is minimal due to low
intensity. Hence these are left out for the system model.
Tyre material is considered as having damping property as
well as stiffness.
A. Modelling of passive system
The passive system consists of an axel which connects rear
and front wheel together through the Passive springs and
dampers, where each tyre modelled as springs & dampers
[26].
It is represented as a mass connected by the front and rear
suspension in fig. 1.

Fig. 1. Model of a four degree of freedom half car suspension system.

.

Equations of motion are derived considering different

parameters for this proposed system. These differential
equations are obtained by utilizing physical laws (Newtons
laws of motion) and it will be linear time invariant for
considered linear system. Considered parameters are tabulated
in Table 1.

II. SYSTEM MODELING

The mathematical modelling of a four degree of freedom
half car body for a passive and active suspension system is
being carried out by using basic law of mechanics.

660

TABLE 1
PARAMETERS USED IN THE SYSTEM SIMULATION

S.N.
Parameter
1 Mass of vehicles body
2
3
4
5
6
7
8
9

Symbol

ms
Total Length of the body
l
Length of the body front from l
1

N/m
N/m

Damping coefficients of the c c

s1 s2
dampers
Damping coefficients of the Tyre c c
t1 t2
material
Moment of inertia of the body
I

yu1

yu2

kg m

11 Unsprung masses of the suspension m m kg

u1
u2
12 Body
vertical
Displacements y y
s1
s2
(Sprung mass)
13 Suspension Travel(unsprung mass y y
u1
u2
vertical displacement)
14 Tyre vertical travel due to road y y
t1
t2
disturbance (Jerk Height)

m
m
m

Note- Suffix 1&2 shows the front and rear suspension parameters
respectively.

In this section whole suspension system modeled by top

and bottom section considered individually as shown in Fig. 1
and derived mathematical equations for both section as
follows
Top section: Initially by considering only top section of the
suspension systems following two mathematical equations are
derived.

ys

(5)

mu1

( ys2 yu2 ).ks2 ( y s2 y u2 ).cs2 ( yu2 yt2 ).kt2 ( y u2 y t2 ).ct2

(6)

mu2

B. Modelling of active system

Active suspension system consists of actuators with springs
and dampers. Actuators feed the desired force to the
suspension system in order to suppress the unnecessary
vibrations as well as the vertical travel of the vehicle sprung
mass.
For providing the controlled action (u) an external energy
source also needed through which this actuator works. A
Proportional Integral Derivative (PID) controller proposed
here for fine controlling the actuating force in real time
operating.
The actuating force considered as u. It provides equal and
opposite force in both upper and lower direction between the
sprung and unsprung masses as shown in fig. 2.

( ys1 yu1 ).ks1 ( y s1 y u1 ).cs1 ( ys2 yu2 ).ks2 ( y s2 y u2 ).cs2

(1)

ms

So far the mathematical modelling for the proposed passive

suspension system is done as in above equations (1), (2), (3),
(4), (5) & (6).

Rad/sec2

( ys1 yu1 ).ks1 ( y s1 y u1 ).cs1 ( yu1 yt1 ).kt1 ( y u1 y t1 ).ct1

N-s/m

N-s/m

ms

l ( A C ) l2 ( B D )
(4)
s [ 1
]
Is
Bottom section: The second approach involved bottom
section of the system; in which unsprung mass is considered
and derived the following two equations by balancing the
upward and downward forces.

k s1 k s2

10 Angular acceleration of the body

ys [

m
m

centre of gravity
Length of the body rear part from l
2
centre of gravity
Stiffness of the Tyre material
kt1 kt2
Coefficient of springs

After equating it is possible to get reduce (1) and (2) as

following equations (3) & (4).
(3)

A B C D

Unit
kg

l1[( ys1 yu1 ).ks1 ( y s1 y u1 ).cs1 ] l2 [( ys2 yu2 ).ks2 ( y s2 y u2 ).cs2 ]

(2)
Is
Equation (1) relates vehicle body mass (m s), vertical
acceleration at the centre of gravity with their respective
displacements and velocities. Whereas (2) relates the moment
of inertia (Is) and the angular acceleration with the vehicle
moments at front and rear position.
For feasibility in modelling it have consider the following
terms in A,B ,C and D as shown below
A ( ys1 yu1 ).k s1
B ( ys2 yu2 ).k s2

C ( y s1 y u1 ).cs1

Fig. 2. 1/4th Model of active suspension system with actuating force (u)
between sprung and unsprung mass.

Further, Mathematical modelling is done for half car active

suspension system model through balancing the vertical forces
of the body, and following two equations are derived.

D ( y s2 y u2 ).cs2

661

yu1

mu1

( ys1 yu1 ).ks1 ( y s1 y u1 ).cs1 ( yu1 yt1 ).kt1 ( y u1 y t1 ).ct1

closed loop an error signal fed to adjust the input in order to

reach the output to desired setpoint as shown in fig. 5. This
error signal acquired from the vehicle body as the difference
between desired and actual values.

u
(7)
mu1

( ys2 yu2 ).ks2 ( y s2 y u2 ).cs2 ( yu2 yt2 ).kt2 ( y u2 y t2 ).ct2

u (8)
mu2
mu2
Modelling of entire system is completed in both ways as
passive and active suspension and total eight mathematical
equations derived.
yu2

III. SIMULATION IN MATLAB SIMULINK

Fig. 5. PID as a feedback loop control.

In this approach system needs to simulate for getting the

dynamic response. The entire suspension system is simulated
with the application of Matlab Simulink. In last section
mathematical modeling of proposed system is done and eight
mathematical equations are derived as (1), (2), (3), (4), (5),
(6), (7) & (8).
The Simulink library is utilized and the logic is developed
according to the mathematical model, further the entire system
is simulated in the Simulink as shown in fig. 3 and fig. 4.

Fig. 3. Road disturbance (tr ) simulated by unit step input with feedback
controller (PID).

There are three gains as Proportional Kp, Integral Ki and

derivative gain Kd can easily tune or adjust in order to provide
fine control for the application [3]. In Table 2 shows the
variation in gain with some respective factor for fine tuning of
the controller.
TABLE 2
GAIN VARIATION WITH SOME RESPECTIVE FACTOR

CL
Response
Kp

Rise
time
Decrease

Overshoot

Ki
Kd

Decrease
Small
Change

Increase
Decrease

Increase

Settling
time
Small
Change
Increase
Decrease

S-S
Error
Decrease
Eliminate
Small
Change

For fine tuning of the controller in order to reducing the

overshoot and settling time the following gain values are taken
into consideration.
Kp=1000, Kd =4000 & Ki =5000
The above selected values of gains are taken into account
by adjusted it manually in Simulink where the minimum
overshoot and as well as the minimum settling time is
possible, while Simulink platform also have a provision by
which it can auto tune the gains. The manual tuning is carried
out taking in account of the criteria mentioned in Table 2.

Fig. 4. Simulation of the basic suspension system in Matlab Simulink.

IV. CONTROL METHODOLOGY AND TUNING

It is designed a Proportional Integral derivative (PID) as a
feedback loop controller for the proposed system. In this

Actually when vehicle runs on different type of road

profiles, different irregularities come into play such as plane
and smooth road, rough road and bumpy road etc, therefore
this work is to predict the vehicle dynamic response for such
type of road irregularities. In order to overcome such effects
on the durability and ride quality the active control is
implemented.
A speed breaker is considered as a jerk for which average
height is considered 100 mm and vehicle runs slowly at 10
km/hr at which it can easily analyze the dynamic response of
rear and front suspension for the jerk.
The following parameters are taken into account for the
simulation of suspension system under analysis:
Bump height = 100mm.
Speed of Vehicle = 10 km/h.
Time delay* = 0.84 sec.

662

*The chassis length of the vehicle is L=2.34m and vehicle run at 10km/h so
the time taken by the rear wheel is 0.84 sec for getting the earlier position of
front wheel.

So far the system dynamic response recorded for 50

seconds which shown in Fig. 6 and 7. In order to investigate
the effect of uncertainties, the numerical data is considered for
simulation are mentioned in table 3 [17].
TABLE 3
NUMERICAL VALUES FOR THE MODEL PARAMETERS.

Parameter

Value

Unit

430
30

kg
kg

mu
2

25

kg

l1

0.871
1.469
152

m
m
N/m

kt
2

152

N/m

ks
1

6666.67

N/m

ks
2

10000

N/m

cs
1

500

N-s/m

cs
2

400

N-s/m

ct
1

24

N-s/m

ct
2

24

N-s/m

Is

600

Kg m2

ms
mu
1

l2
kt
1

Fig. 7. Time response plots of vehicle body displacement of active

suspension system.
TABLE 4
HIGHEST VALUES OF DISPLACEMENT, VELOCITY AND SETTLING TIMES FOR
BOTH ACTIVE AND PASSIVE SYSTEMS, AND THE PERFORMANCE EVALUATION.

Displacement
(mm)
Velocity
(mm/sec)
Settling
time(sec)

Passive
-6.6468

Active
-0.72941

Improvement
89.0262%

-12.0724

5.0408

58.2433%

100

92%

V. CONCLUSION

The time response plot which is obtained during simulation

while considering passive and active system is shown in fig. 6
and fig.7 respectively.

The simulated model is analyzed after running it to predefine

time and different observations are drawn in light of the
performance and behavior of suspension system.
The comparison between active and passive suspension
system is made and dynamic characteristics are compared.
It has been observed that performance is improved in the
form of vertical displacement and settling time by 89% and
92% respectively which will increase the passenger
comfort and stability of vehicle.
The proposed PID control gives percentage reduction in
body vertical displacement, velocity and settling time.
It is apparent that, the displacement and velocity signal
amplitude of active control reduced by 9 times and 2.5
times of the passive signal respectively for the same
operating conditions.
The observation drawn from the analysis is carried out
with the help of software, the practical simulation may
differ which can be further supported by control logics.
VI. REFERENCES

Fig. 6. Time response plots of vehicle body displacement of passive

suspension system.

663

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of fuzzy controller for active suspension system Journal of
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Performance Analysis of Discrete Time Systems

with Input Saturation: An LMI-Based Approach
Vipin Chandra Pal and Richa Negi

Abstract-- In this paper a Static anti-windup scheme for discrete

time systems to achieve global stability and induced l2
performance is presented. The present approach exploits the
structural properties of saturation nonlinearities in greater detail
as compared to that of a previously reported approach. The
applicability of the proposed criterion is illustrated with an
example.
Index Terms Antiwindup, discrete time systems, stability
analysis.

II. PROBLEM STATEMENT

The discrete time anti windup scheme is shown in figure 1.
The discrete time linear system under consideration is
described by

r (k )

I. INTRODUCTION

n the presence of input saturation the performance of

feedback system may degrade significantly and in some
cases it may lead to instability. It may be noticed that some
anti-windup schemes are designed for a state feedback
nominal controller and some others are for an output feedback
dynamic controller [1]. The schemes with an output feedback
dynamic controller may be put in a state estimate feedback
form for analysis and design as shown in [2]. The structures of
the anti-windup compensator may be static [2] or dynamic [3].
It is shown in [2] that having a static anti-windup
compensation may give a better performance while offering a
global stability of discretetime system. The problem of
implementing algebraic loop formed in that scheme still exists
as in the continuous time system. However, one may use a
number of methods to solve this such as Gauss-Newton
search, QP, or simple iterative methods [4].
In this paper we present an alternate approach of [2] a
discrete time case of the static anti-windup scheme in which
we determine anti-windup gain that affirms global stability of
closed loop. It exploits the structural properties of saturation
nonlinearities.
This Paper is divided into four sections. The Problem
statement is given in Section-II.In Section-III, an improved
LMI-based criterion pertaining to determination of the antiwindup gain that guarantees global stability of the closed loop
system is presented. A numerical example highlighting the
applicability of the proposed approach is given in Section-IV.

Vipin Chandra Pal is M Tech. student in the Department of Electrical

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: vipin.vchandra@gmail.com).
Richa Negi is Assistant Professor in the Department of Electrical
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: richa_negi123@yahoo.co.in).

saturation
u (k )
u (k )

K ( z)

controller

(k )
-

v(k )

A W controller

y (k )

P( z)

plant
Fig. 1. Discrete Time Anti windup scheme

x p (k 1) A p x p (k ) B p u ( k )

(1)

y ( k ) C p x p ( k ).

(2)

where x p (k ) is a state vector, u (k )

vector to the plant and

nn

is an input

y(k ) is an output vector.

p

AP , BP , and C P pn are constant matrices

of appropriate dimensions.
To reduce the undesirable effects of windup caused by
saturation, an anti-windup compensation is added at the stage
of control implementation.
The Controller is described by
x (k 1) Ac xc (k ) Bc e (k ) 1
(3)
c
u(k ) Cc x (k ) Dc e (k ) 2
(4)

n m

xc (k ) nc
is a controller state vector,
e(k ) r (k) - y(k ) is a controller input vector and u(k ) is a

where

controller

978-1-4673-0455-9/12/$31.00 2012 IEEE

e( k )

output

vector.

Ac nc nc ,

Cc mc nc ,

Dc mc pc are constant matrices of appropriate dimensions.

With ( k ) 1 1 ( u( k ) u ( k ))
2
2

665

(5)

III. PROPOSED CRITERION

The nominal controller K ( z ) is K ( z ) with (k) = 0

define
z (k ) e (k )
(6)
v (k ) u(k ) u (k ) u(k ) (u (k ))
(7)
dz I

(8)
The saturation nonlinearities are given by:
u0(i ) if
u(i ) u0(i )

(9)
sat (u (k ))(i ) u(i ) if u0(i ) u(i ) u0(i )

u(i ) u0(i )

u0(i ) if
Note that at any time step k , given the error e(k) and the
controller states xc (k ) , the control applied u (k ) is found by
solving the implicit set of equations (4),(5),and (7).
We can define an extended state vector
x p (k )
n+n
(k )
c
xc (k )
With compensated controller, the closed loop system can be
written as
(10)
(k 1) A (k ) + ( Bv L)( K (k )) + Br r (k )
Where
(11)
(u(k )) = ( K (k )) ( K (k )) sat ( K (k ))

In this section, an improved LMI based criterion for the

global asymptotic stability of system (10) is proposed. The
following lemma is needed in the proof of our main result.
Lemma 1[5]: Consider the function ( K t defined in (11)
then
n

c ( K (t ))(i ) ( sat ( K (t ))(i )

i 1

m
( sat ( K (t ))(i )
( sat ( K (t ))( j )
cij
cii

u0(i )
u0( j )
j 1, j i

( K (k ))T (W )sat ( K (k )) sat ( K (k ))T (W T )( K (k ))

sat ( K (k ))T (W W T )sat ( K (k )) 0

Whe re the matrix W = wij mm is defined by

cij
c
wii ii ; wij
u0(i )
u0( j )

(15a)

cii

cij

i 1, 2, n

(15b)

j 1, j i

A p - B p DcC p B p Cc
- B p
; Bv =

;
- Bc C p
Ac
0

- B p Dc
0 -p
; L=
Br =

I 0 .
Bc

A=

Based on above lemma an improve LMI based global stability

condition of closed loop system has been presented.

An LMI based criterion to deal with anti-windup problem for

system (10) has been reported in [2].One of the main results of
[2] is as follows:
T

Theorem 1 [2] If there exist a matrix Q = Q > 0 , a diagonal

matrix M > 0, an arbitrary matrix X = M , scalars > 0 and
d > 0 such that the following LMIs are satisfied
T T
T T
T T
-Q
0
Q Cu
Q Cz
Q A
0

T
T
T
- I
Dur
Dzr
Br
0
0

T T
T T
T
R
0
M Bv X Be M < 0
Cu Q Dur
C z Q Dzr
0
- I
0
0
AQ B B M - B X
0
Q
0
r
v
e

M
-dI
0
0
0
0

Remark 1: Assuming symmetric state saturation, a property

identical to Lemma 1 was used in [6], [7] to establish global
asymptotic stability of digital filters.
Theorem 2: Discrete Time Anti-windup Synthesis [8]
If

there

exists

matrix Q = Q > 0 ,

matrix W = wij mm , given by (15) an arbitrary

matrix X = W , scalars > 0 and d > 0 such that satisfying
0
*
*
*
*
-Q
0
- I
*
*
*
*
C Q D

R1
*
*
*
ur
u
<0
0
-I *
*
C z Q Dzr
AQ B B W - B X 0 -Q *
r
v
e

0
0
W
0
0 - dI

(12)
T

(14)

(16)

where R = -2 M - X Due - Due X

(13)
Then, the interconnection in Figure1 is globally stable for all
(diagonal nonlinearity in sector [0, I]) and has a
maximum induced l2 gain performance from r to e of .

where R1 = -( W + W ) - X Due - Due X

(17)
Then, the interconnection in figure 1 is globally s table for all
and has a maximum induced l2 gain performance from
r to e of .

666

 -P
0
0
-I
T
T
W Cu W Dur

Proof:
Consider a Lyapunov function
T

V(x(k)) = x(k) Px(k)

(18)

Where P = P > 0
Suppose, the following inequality is required, with > o , that
1
T
T
V ( x(k + 1)) - V ( x ( k )) + z ( k ) z ( k ) - r ( k ) r ( k ) +

T
T
T
v ( k ) v ( k ) + u Wv + v Wu
T
T
-v (W + W )v < 0

This condition is equivalent to the following

LMIs

T
T -1
A PA- P+C z C z

BrT PA+DzrT -1C z

BT PA+DzT -1C z +W T Cu

(22)

Or
T
-P

0
Cu W
T
0

-I
Dur W
T

T
T
T
T
W Cu W Dur Du W + W Du - (W + W ) + I
C zT
AT
T
1
T
Dzr C z Dzr Dz Br -P
T
D T
B
z

AT PBr +C zT -1 Dzr
-I+BrT PBr +DzrT -1Dzr
BT PBr +DzT -1Dzr +W T Dur

-1

BrT PB+DzrT Dz +Dur T W

-1

BT PB+DzT Dz +DuT W +W T Du -(W +W T )+I

AT PB+C zT -1 Dz +CuT W

x (k )
r (k ) < 0
v (k )

B <0

Du W + W Du - (W + W ) + I
Dz

(21)

T
Dzr
T
Dz

-I
Cz

Dur W

AT PB+C zT -1 Dz +CuTW

It can be simplified by using Schur Complement [9]

(23)

Cu W

AT PBr +C zT -1 Dzr
-I+BrT PBr +DzrT -1Dzr
BT PBr +DzT -1Dzr +W T Dur

T
T -1
T
Br PB+Dzr Dz +Dur W
<0

BT PB+DzT -1 Dz +DuTW +W T Du -(W +W T )+I

Br

-P
0

-I
0
T
T
W Cu W Dur
C
Dzr

(20)

It is equivalent to

AT PA- P+C zT -1C z

BrT PA+DzrT -1C z

BT PA+DzT -1C z +W T Cu

C z T -1C z C zT -1 Dzr C zT -1 Dz
T -1
D T -1C D T -1 D

zr
zr Dzr Dz
zrT -1 z
T -1
T -1
Dz C z Dz Dzr Dz Dz
AT PA AT PBr AT PB
B T PA B T PB B T PB < 0
r
r
r
rT

T
T
B PA B PBr B PB

(19)

x (k )T r (k )T v (k )T

Dur W

T
T
T
Du W + W Du - (W + W ) + I

Cu W

AT
T
- Br -P A Br B <0
T
B

(24)

Or it can be written as
-P

W T Cu

C
z

667

CuTW

- I

T
Dur
W

W T Dur

D T W +W T Du -(W +W T )+I

Dzr
Br

Dz
B

C Tz

AT

DTzr

BrT

DTz
- I

BT <0

Next let us define a matrix M c such that

Mc [M ij ] mm

(25)

mii di

-1

P
0

0
0
0

0 W

di 0, i 1, 2, n
ij ji 0, ij ji 0, i, j 1,2,...,n (i j )

-1

0 0

(10), as a consequence of Theorem 2, we have the following

result.

0 0

Corollary 1: Suppose there exist a matrix Q = Q > 0 , a

matrix Mc = mij mm , an arbitrary matrix X = M c ,

and scalars > 0 and d > 0 such that following LMIs are
satisfied

0 I

0
CuTW
P

I
Dur TW
0
T
T
T
T
T
W Cu W Dur Du W W Du (W W ) I
C
Dzr
Dz
z

Br
B
A

C zT
AT P 1 0
0
0 0

T
T
0
I
0
0 0
Dzr
Br

0 W
0 0 0
D zT
BT 0

0
0
I 0
I
0 0

0 0 0 0 I
0
P 1

0
*
*
*
*
-Q
0
- I
*
*
*
*
C Q D

R3
*
*
*
ur
u
< 0 (30)
0
- I *
*
C z Q Dzr
AQ B B M - B X 0 -Q *
r
v c
e

0
0
0
0 -dI
M

c
T

(26)

0
-Q

0
- I

-1 T
-1 T
W W Cu Q W W Dur

C zQ
Dzr

AQ
Br

QC zT

QAT

DTzr

BT
r

- I
0

Where Q = P

QCuT
T
Dur

have

-Q

CuQ

C z Q

AQ
0

R1

DzW -1
BW -1

QCT
z

(27)

DTzr
M c DzT
- I
0
0

R2 = W -1 DuT + W -1W T DuW -1

-(W

-1

-1

-1

-1

-1

dominant matrix [10].Choosing W = W = M c in (27), we

W -1 BT
0

-Q

where R3 = -2 Mc - X Due - Due X

Then closed loop system (10) is globally asymptotically
stable.
Proof: It is well-known that the inverse of a symmetric
diagonal dominant matrix is also a symmetric diagonal
T

Or it can be written as,

W -1 DzT

(29)

Assuming u0(i ) 1, i n for the system given by

0 0

ij , i 1, 2...,n.

mij i j i j , i, j 1, 2...,n (i j )

Applying a congruence transformation diag ( P , I,W , I, I )

gives
1

ij

j=1, j i

- P -1

+ W W W ) + W W

-1

(28)

QCuT

- I

T
Dur

Dur
Dzr
Br
0

M c DuT Du M c 2 M c

Dz M c
BM c
Mc

QAT
BT
r
M BT
c

0
-Q
0

Where d =

668

-1

M c
0

-dI

(31)

1.5
output signals y1 & y2

Remark 2: The matrix inequality (31) is LMIs. Hence, it

can be solved efficiently by using MATLAB LMI toolbox
[11].
To conclude the minimum achievable induced l2
performance of , first take an infinite summation from k=0 on
the required condition. By noting the following facts-

0.5

-0.5

500

1000

1500

1000

1500

no. of samples

> 0 (since

2. v (k ) v (k ) > 0 (since by assumption

is Lyapunov

>0)

controlsignal u

1. V ( x(0) = 0) ; V ( x())
function).
T

3. 2v (k ) W ( u(k ) - v (k )) > 0 (due to passivity of )

We than have
1

T
T
V ( x()) - V ( x (0 )) + z ( k ) z ( k ) - r ( k ) r ( k ) <0(32)
k=0

4 -5
100s +1 -3 4

and the (nominal) inverse-type PI controller:

K(s) = (1 +

0
0

0
=

1299400 -1259600
-1682300 2317700

Therefore, according to corollary 1, the system under

consideration is globally asymptotically stable for above gain.
In Figure 2, the undershoot response is due to an effectively
zero compensation through controllers states (due to 1 0 ).
V. CONCLUSION
In this paper a Static anti-windup scheme for discrete time
systems to achieve global stability and induced l2 performance
is presented. We have provided a method to design an antiwindup static gain aiming at ensuring the stability for discrete
time system with saturated input.
VI. REFERENCES
[1]

[2]

[3]

[4]

2 2.5
100s 1.5 2
1

500

which is used by many authors as an example (e.g. in [2])

.The discrete time model is obtained with sampling time
T=0.1 sec.
Using MATLAB LMI Toolbox [11] in Theorem 2 give the l2
gain performance:
= 6.3721 and static gain

Consider the continuous plant with the transfer function

10

Fig. 2. Step Response

Hence, the condition may still hold for a possible

minimum of . As for the global stability, now suppose the
inequality condition holds for certain . Since the condition is
strict and by the above facts, we have the conditions for
Lyapunov global stability.
V ( x(k 1)) V ( x(k )) <0 for k > 0
(33)
2
Remark 3: If we define = / , > 0 , then from the
condition (19) we will have an equivalent induced l2 mixed
performance:
e( k )
(34)

< . r ( k ) 2 .
.v ( k ) 2
Iteration Implementation
Implementation of controller in the discrete time case
requires some attention because of algebraic loop present.
There are number of methods to implement of algebraic loop
[4]. One may use any quadratic programme (QP) algorithms if
the non-linear algebraic loop (under certain conditions) is
equivalent to a constrained QP. Hence, the performance of the
closed loop systems will be also dependent on the
convergence properties of the algorithms used, i.e. the
condition and speed of convergence.

P(s) =

no. of samples

z (k ) 2 r (k ) 2

IV. NUMERICAL E XAMPLE

T
T
z ( k ) z ( k ) r ( k ) r ( k ) 0
k 0

L.Zaccarian and A.R.Teel, A common framework for anti-windup

bumpless transfer and reliable design, Automatica, 38, 1735-1744,
2002.
A.Syaichu-Rohman, R.H.Middleton, Anti-windup scheme for Discrete
Time Systems: An LMI-based design. Proceedings of 5 th Asian Control
Conference, 2004
G.Grimm, J.Hatfield, I.Postlethwaite, A.R.Teel, M.C.Turner and
L.Zaccarian, Antiwindup an LMI based synthesis, internal
publication, Univ. of California, Santa Barbara USA, 2001.
A.SyaichuRohman, R.H. Middleton, and M.M Seron, A Multivariable
Nonlinear Algebraic Loop as A QP with application to MPC,
Proceedings of the 7th European Control Conference, Cambridge- UK,
2003.

669

Richa Negi, Subhi Purwar and Haranath Kar, Anti-Windup Design

with Global Asymptotic Stability for Discrete-Time Linear Systems: An
LMI based Approach, Canadian Journal on Electrical and Electronics
Engineering Vol.2, No.12, December 2011.
[6] V.Singh, Elimination of overflow oscillations in fixed-point state space
digital filters using saturation arithmetic, IEEE Transactions on
Circuits and Systems, vol.36, pp.814-818, June 1990.
[7] H.Kar and V.Singh, An improved criterion for the asymptotic stability
of 2-D filters described by the Fornasini-Marchesini second model using
saturation arithmetic, IEEE Transactions on Circuits and Systems I:
Fundamental Theory and Applications, vol.46, pp.1412-1413,
Nov.1999.
[8] H.K.Khalil, Nonlinear Systems, New York: MacMillan Publishing
Co.1992.
[9] S.Boyd, L.El-Ghaousi, E.Feron, and V. Balakrishnan,Linear Matrix
Inequalities in system and Control Theory, SIAM, Philadelphia, 1994.
[10] R.A.Horn, C.R.Jhonson, Topic in Matrix Analysis, Cambridge
University Press, New York, 1991, pp.125.
[11] P.Gahinet, A.Nemirovski, A.J.Laub, M.Chilali, LMI control ToolboxFor use with MATLAB, MATH Works Inc., Natic, MA, 1995.
[5]

670

An Enhanced Fuzzy Similarity Based Concept

Mining Model for Text Classification Using
Feature Clustering
Shalini Puri, Sona Kaushik

AbstractIn the current era, the feature reduction is an essential

part of the classification algorithms, methodologies and
algorithms. When a set of features is extracted from a text
document, then these features collectively make a huge, large
volume high dimensional data set and contain large space and
long time to be processed each time. This challenge requires a
new text classification forum which can find the solution to
remedy it. In this paper, a Fuzzy Similarity based Concept
Mining Model Using Feature Clustering (FSCMM-FC) is
proposed which capably categorizes various seen and known text
documents into different predefined and mutually exclusive
categories groups by keeping the data (or feature set dimension)
very low. The paper also discusses a case study of 4 text
documents to analyze the proposed system. The analysis shows
that the system provides 70 - 75 % improved results; thereby
increasing the system performance drastically.
Index Terms--Concept mining, feature clustering, fuzzy
similarity measure, sentence level, document level, and integrated
corpora level processing.

I. INTRODUCTION

IGH usage of text categorization techniques, problem of

big size of feature sets, need of effective implementation,
and demand of accurate text document partitioning! Efficient
and effective text document categorization is the need of every
system, so that the documents can be grouped into the desired
and required categories. Text mining [1] - [13] includes
basically two different techniques, text classification and text
clustering. The text classification [1] - [7] techniques and
methods require prior knowledge and information as input and
make the classifier learnable by providing the required
processing with some additional cost, whereas text clustering
[3], [13] provides a base to cluster the documents using
unsupervised learning, where no prior information is available
for this. Such classification not even increases the
performance of the system, but also makes the complete
system more accurate and predictable.
Text classification plays an important, appealing and vital
ShaliniPuri is currently pursuing M. Tech. degree program in Computer
Science from Birla Institute of Technology, Mesra - 835215, Ranchi,
Jharkhand, India (e-mail: eng.shalinipuri30@gmail.com).
Sona Kaushik is currently pursuing M. Tech. degree program in
Computer Science from Birla Institute of Technology, Mesra- 835215,
Ranchi, Jharkhand, India(e-mail: sonakaushik22@gmail.com).

role to legitimately categorize the text documents using

supervised learning techniques. With the increased use of text
categorization systems, the systems must be developed and
implemented with great efficiency. But these systems face the
big problem of curse of dimensionality [1], [2] which is
considered as the bottleneck of categorizers. Many researchers
are doing much in this direction. To reduce the large volume
of extracted feature sets from the text documents, they must be
compressed or made low-dimensional, so that their use and
meaning are not lost and the system performance is increased
greatly.
As such a lot of research work has been done on the text
document categorization using different classifiers, this work
puts a step ahead to provide a new way in this direction. In the
proposed work, the category groups are created as per the
defined and given class labels. The text documents are
processed on the sentence, document and integrated corpora
levels. At each level, the total number of each different
concept (or feature) is counted and all the redundant entries of
each word are removed. In Fuzzy Feature Category Similarity
Analyzer (FFCSA), Features Groups (FGs) are made. These
FGs are used to make the clusters of the similar words by
finding out the feature pattern of each different feature, so that
the total number of features can be reduced. The feature of
highest frequency of a feature group is extracted and
represents that group. In this way, the Text DocumentIntegrated Corpora Feature Vector (TD-ICFV) matrix is
refined by transforming it into the low dimensional Matrix.
Finally, the resultant refined matrix is used to make the
Support Vector Machine Classifier. The proposed model
efficiently provides high quality by highly reducing the
dimensionality of the feature sets.
Section II provides the background of the related research
work. In section III, a brief overview of the existing system
and methodology is discussed. Section IV discusses the
proposed enhanced model to give a new direction to the
existing method. Next, a case study is discussed to analyze the
proposed system in section V. Finally, section VI concludes
and suggests the extension of the paper.
II. BACKGROUND
This section presents the background and related research
work done on the related terms of the text classification and

978-1-4673-0455-9/12/$31.00 2012 IEEE

671

the fuzzy logic. In the following subsections, the concept

based mining, feature clustering, and the role of fuzzy
similarity measurement are discussed. Researchers have done
a lot of work for text classification and related concerns.
A. Concept Based Mining
Concept based mining is used to extract the features or
words (or terms) which make sense in a particular given
sentence. These concepts are searched out in the initial phase
of the text document processing and are further used step by
step for rest of the document processing. The concept mining
model [1], [12], [13] represents the usage of all concepts
which are extracted from the text document by finding out the
actual meaning of a particular concept for all verb-argument
structures of a sentence. This provides a structure format of
the sentence to extract the concepts from a sentence.
B. Feature Clustering
Feature clustering is used to make the clusters or the groups
of the features provided. The methods to find out the features
of a text document are feature selection [1], [2], [13] and
feature extraction [1], [2]. Feature selection chooses a subset
of features from a feature set on the basis of some criteria,
whereas feature extraction is used to convert the feature set of
a document into a compressed like form to make it low
dimensional, so that the total number of features can be
reduced highly.
C. Fuzzy Similarity Measurement
Researchers have done a lot and are still doing in the text
classification field to accurately categorize the text documents
using fuzzy based concepts and methods. Fuzziness gives
uncertainty, and provides a range of values. It uses the concept
of membership function which is associated with a particular
value and ranges between 0 and 1. Instead, in the crisp sets,
only two Boolean values 0 and 1 are used, which only results
in yes or no modes. The uncertainty and the use of
membership function of fuzzy measures [1] [12] provide a
strong and efficient base for the text categorization. The fuzzy
similarity measurement is used to find out the similarity
among different text documents, so that similar type of text
documents can be grouped into one category group.
III. EXISTING MODEL AND METHODOLOGY
Fuzzy Similarity Based Concept Mining Model (FSCMM)
[1] is used to classify a set of text documents into pre - defined
Category Groups (CG) by providing them training and
preparing on the sentence, document and integrated corpora
levels[1], [13], [14], [15], [16] along with feature reduction,
and ambiguity removal on each level to achieve high system
performance. Fuzzy Feature Category Similarity Analyzer
(FFCSA) [1] is used to analyze each extracted feature of
Integrated Corpora Feature Vector (ICFV) with the
corresponding categories or classes. This model uses Support
Vector Machine Classifier (SVMC) [1], [2] to classify
correctly the training data patterns into two groups; i. e., + 1
and 1; thereby producing accurate and correct results. The

proposed model works efficiently and effectively with great

performance and high - accuracy results.
This model is divided into the two phases: Text Learning
Phase (TLP) [1] and Text Classification Phase (TCP) [1]. TLP
performs the learning function on a given set of text
documents. It performs the steps of first stage; i. e., Text
Document Training Processor (TDTP) and then the steps of
second stage; i. e., Fuzzy Feature Category Similarity
Analyzer (FFCSA).The TDTP is used to process the text
document by converting it into its small and constituent parts
or chunks by using NLP concepts at the Sentence, Document
and Integrated Corpora Levels. Then, it searches and stores
the desired, important and non-redundant concepts by
removing stop words, invalid words and extra words. In the
next step, it performs word stemming and feature reduction.
The result of sentence level preparation is low dimensional
Reduced Feature Vector (RFV). Each RFV of a document is
sent for document level preparation, so that Integrated
Reduced Feature Vector (IRFV) is obtained. To obtain IRFV,
all the RFVs are integrated into one. Now, Reduced Feature
Frequency Calculator (RFFC) is used to calculate the total
frequency of each different word occurred in the document.
Finally, all redundant entries of each exclusive word are
removed and all the words with their associated frequencies
are stored in decreasing order of their frequencies. At the
integrated corpora level, the low dimension Integrated
Corpora Feature Vector (ICFV) is resulted. In such a way,
feature vectors at each level are made low dimensional by
processing and updating step by step. Such functionality helps
a lot to search the appropriate concepts with reduced vector
length to improve system performance and accuracy.
FFCSA performs similarity measure based analysis for
feature pattern (TD ICFV) using the enriched fuzzy logic
base. The membership degree of each feature is associated
with it. Therefore, an analysis is performed between every
feature of a text document and class.
The Pseudo Thesaurus is a predefined English Vocabulary
Set which is used to check the invalid words or to remove
extra words from a sentence while processing the sentence in
the TDTP. It is also used for word stemming so that the exact
word can be obtained. In the Class Feeder (CF), the classes,
from which the classification procedure can choose, can be
described in many ways. So classification is considered as the
essential part of many problems solving tasks or recognition
tasks. Before classification can be done, the desired number of
classes must be defined.
SVMC is used for the categorization of the text documents.
It uses the concept of hyper planes to identify the suitable
category. Furthermore, SVMC accuracy is checked by
providing some new and unknown text documents to be
classified into the respective Category Group (CG). This task
is performed in TCP.
IV. FUZZY SIMILARITY BASED CONCEPT MINING MODEL
USING FEATURE CLUSTERING
The proposed Fuzzy Similarity Based Concept Mining
Model Using Feature Clustering (FSCMM-FC) enhances the
existing work and includes an additional stage or level of
Feature Clustering (FC), as shown in Fig. 1. This stage is

672

introduced to more reduce the problem of curse of

dimensionality, and then to make the feature set more
compact, so that the total number of extracted features can be
reduced at its best level. The proposed model aims to
categorize the English text documents into the predefined
Category Groups (CGs) or Classes by first processing each
document at its constituent parts and then making them low

dimensional by Feature Clustering (FC) at its best. For this, it

makes use of the Feature Pattern (FP) for each different
feature of ICFV and then clusters them by finding out the
similar feature patterns. The resultant transformed Refined
Document Feature Matrix (RDFM) is the very low
dimensional Feature Set which is now used for text
categorization.

Fig. 1. An Enhanced Fuzzy Similarity Based Concept Mining Model Using Feature Clustering.

673

V. CASE STUDY: AN ANALYSIS OF THE PROPOSED SYSTEM

Consider four text documents, TD1, TD2, TD3, and
TD4.Three predefined classes C1, C2 and C3 are used. Each
text document is a set of sentences and processed through the
sentence, document and integrated corpora levels.

Such sentence level processing provides the basic

features (or concepts) in the form of feature vector. These
features are called the concepts as they represent their role
and specify their meaning in the sentence. The Feature
Vector (FV) and the associated frequency of each feature
of S11 are shown in the Table I.

A. Text Document Training Processing(TDTP)

TABLE I
FEATURE VECTOR OF SENTENCE S11

In TDTP, each document is processed at the document

and each of its respective sentence levels. After such
processing, all the features collectively, i. e. IRFVs are
integrated to form ICFV. Firstly, consider the text document
TD1 (complete processing is shown for some parts of TD1
only), given as,

Parameters

The computer is colored with paint. This paint is angel

paint. Such computers are used very much. I like angels.
There are four sentences in TD1 which have their welldefined boundaries. So, they are separated accordingly and the
resultant sentences areS11
S12
S13
S14

Features

Feature Number

F111

F112

F113

Feature Name

computer

color

paint

Feature Frequency

In the same way, other three sentences S12, S13, and

S14 of TD1 are processed. Table II shows various feature
vectors of S11, S12, S13, and S14.
TABLE II
FEATURE VECTOR SETS OF TEXT DOCUMENT TD1

The computer is colored with paint.

This paint is angel paint.
Such Computers are used very much.
I like angels.

Sentence
No.
S11

1) Sentence Level Processing: In the sentence level

processing, firstly the sentence S11 is extracted. The verb
argument structure of first sentence for the verb is is
given as,
The computer [ARG1] is [verb] colored with paint
[ARG2].
When the S11is processed, then its syntax tree is drawn
as shown in the Fig. 2. The constituent parts of S11 are
matched with the Pseudo Thesaurus, so that nouns,
pronouns, adverbs, adjectives, determiners, and
punctuations can be exactly identified. Each word is
compared respectively, so that all the stop words like
The, a, an, in Fig. 2, are removed. Any invalid
word appeared in S11 is also removed. Finally, word
stemming is performed.

S12
S13
S14

Feature Sets
Feature No.

F111

F112

F113

Feature Name

computer

color

paint

Feature No.

F121

F122

F123

Feature Name

paint

angel

paint

Feature No.

F131

Feature Name

computer

Feature No.

F141

Feature Name

angel

The next step is to calculate each different features

frequency and removing all the duplicate entries of each
different occurred feature to provide the feature reduction for
low dimensionality. As shown in the Table III, S12 has
multiple entries of feature paint; therefore, only one
instance of this feature is kept and others are deleted. This
process will be performed for all the sentences of TD1. This
will result in the Reduced Feature Vectors (RFVs) of all the
sentences of TD1.
TABLE III
REDUCED FEATURE VECTORS AND CORRESPONDING FREQUENCIES IN TD1

Parameters

RFV
Number

Feature
Number

Feature
Name

Feature
Frequency

F111

computer

F112

color

F113

paint

F121

paint

F122

angel

RFV13

F131

computer

RFV14

F141

angel

RFV11
Reduced
Feature
Vectors
Fig. 2. Syntax Tree Structure for Sentence S11.

674

RFV12

2) Document Level Processing: When all the sentences

of the TD1 are processed, then all RFVs are integrated at
the document level. Only one instance of a feature will be
considered. Therefore, the frequency of a feature is
updated. The updated RFV in terms of Integrated Reduced
Feature Vector (IRFV) is given in the Table IV.

Such processing shows its high performance by reducing

the data set size greatly about 70 75%. Such learning
models are very useful where the space complexity is a major
concern. Fig. 4 shows an analytical result between a set of
documents and feature vector corresponding to the predefined
classes.

TABLE IV
REPRESENTING LOW DIMENSIONAL IRFV AND CORRESPONDING
FREQUENCIES IN TD1

Feature Number
F11

Feature Name
computer

Feature Frequency
2

F12

color

F13

paint

F14

angel

In the same way, all the remaining 3 text documents

TD2, TD3, and TD4 are processed.
3) Integrated Corpora Level Processing: At this level,
Integrated Corpora Feature Vector (ICFV) is generated as
shown in the Table V. It also shows the class label
association with the text documents and their respective
features.
TABLE V
REPRESENTING LOW DIMENSIONAL ICFV, CORRESPONDING
FREQUENCIES AND CLASSES IN TDS

Features

Text Documents
TD1

TD2

TD3

TD4

computer

stock

angel

color

paint

Class

C1

C2

C3

C1

Fig. 4. 3 D Chart Showing the Relation between Text Documents and

Extracted Features

The Feature Patterns of each of the feature are evaluated

next by using the membership degree of each feature and its
occurrence in all attributes for a given class. The following
calculation shows the feature pattern calculation of feature
computer, and calculated as,
F = {computer, stock, angel, color, paint}
Pr (C1|computer)= (2*1+0*0+0*0+3*1) / (2+3) =1

B. Fuzzy Feature Category Similarity Analyser (FFCSA)

Fig. 3 shows the partitioning of all 4 text documents in
three parts in which they are categorized efficiently. It shows
a method for Text Document Categorization.

Pr (C2|computer)= (2*0+0*1+0*0+3*0) / (2+3) =0

Pr (C3|computer)= (2*0+0*0+2*0+3*0) / (2+3) =0
So, all the feature patterns are evaluated as, F1 = (1, 0, 0),
F2 = (0, 0, 1), F3 = (1, 0, 0), F4 = (0.8, 0.2, 0), and F5 =
(0.75, 0.25, 0).
These feature patterns are used corresponding to the
feature clustering. In this case, three feature clusters are
made: G1 (F1, F3), G2 (F2), and G3 (F4, F5).Therefore, the
feature clustering helps to make the groups of the features, so
that total dimension of the ICFV matrix can further be
reduced.
C. Support Vector Machine Classifier (SVMC)
The transformed matrix is used to build the SVMC. The
new and unknown text documents are sent to the SVMC to
estimate its accuracy.

Fig. 3. Two Partitions Dividing 4 Text Documents Among 3 Classes.

675

[11] G. Fenza, V. Loia, and S. Senatore, Concept Mining of Semantic Web

Services By Means Of Extended Fuzzy Formal Concept Analysis
(FFCA), IEEE International Conference on Systems, Man and
Cybernetics, pp. 240 245, 2008.
[12] C. Yanyun, Q. Jianlin, G. Xiang, C. Jianping, J. Dan, and C. Li,
Advances in Research of Fuzzy C-means Clustering Algorithm,
International Conference on Network Computing and Information
Security, vol. 2, pp. 28 31, 2011.
[13] S. Shehata, F. Karray, and M. S. Kamel, An Efficient Concept-Based
Mining Model for Enhancing Text Clustering, IEEE Transactions On
Knowledge And Data Engineering, vol. 22, pp. 1360 - 1371, October
2010.
[14] S. Puri, and S. Kaushik, Sensitive Information on Move, International
Journal of Scientific & Engineering Research, vol. 2, December 2011.
[15] S. Puri, and S. Kaushik, Design and Implementation of Sensitive
Information Security Model Based on Term Clustering, unpublished.
[16] S. Puri, and S. Kaushik, An Enhanced Sensitive Information Security
Model, unpublished, 2012.

VI. CONCLUSION AND FUTURE EXTENSION

In this paper, FSCMM-CM is developed to show the
processing and working of the model which includes different
stages and sub-stages of text preprocessing, data reduction,
fuzzy similarity - feature clustering, similarity analyzer and
classification using support vector machine for the accuracy
estimation. It shows how exactly the English text is processed
stage by stage, reduced into smaller and smaller data chunks
and finally categorized by the classifier. The accuracy of the
classifier is checked against the unknown documents. Such
implementation depicts the good usage of the model for the
highly bulky text documents. It shows that the total feature
set is reduced around 70 - 75% in size; thereby it helps to
increase the total performance of the system.
In the future, this model will be extended to provide the
categorization system for non-segmented text and image
categorization using text classification techniques.
ACKNOWLEDGMENT
We would like to give our special thanks to Asst. Prof.
Pankaj Gupta, Birla Institute of Technology, Mesra, Ranchi
(Noida Branch), India for his stipulating encouragement.
We acknowledge gratefully Dr. Vikas Saxena, Jay Pee
Institute of Information Technology, Noida, Uttar Pradesh,
India for his continuous guidance, help and good suggestions.
REFERENCES
S. Puri, A Fuzzy Similarity Based Concept Mining Model for Text
Classification, International Journal of Advanced Computer Science
and Applications, vol. 2, pp. 115 - 121, November 2011.
[2] J. Y. Jiang, R. J. Liou, and S. J. Lee, A Fuzzy Self-Constructing
Feature Clustering Algorithm for Text Classification, IEEE
Transactions on Knowledge and Data Engineering, vol. 23, pp. 335
349, March 2011.
[3] M. V. C. Guelpeli, and A. C. B. Garcia, An Analysis of Constructed
Categories for Textual Classification Using Fuzzy Similarity and
Agglomerative Hierarchical Methods, Third International IEEE
Conference on Signal-Image Technologies and Internet-Based System,
pp. 92 99, 2007.
[4] C. Haruechaiyasak, M. L. Shyu, S. C. Chen, and X. Li, Web
Document Classification Based on Fuzzy Association, Proceedings of
26th Annual International IEEE Computer Software and Applications
Conference, pp. 487 492, 2002.
[5] A. T. Al-Taani, and N. A. K. Al-Awad, A Comparative Study of Webpages Classification Methods using Fuzzy Operators Applied to Arabic
Web-pages, World Academy of Science, Engineering and
Technology, 2005.
[6] S. Sumpeno, M. Hariadi, and M. H. Purnomo, Facial Emotional
Expressions of Life-like Character Based on Text Classifier and Fuzzy
Logic, IAENG International Journal of Computer Science, May 2011.
[7] R. Mokhtar, S. N. H. S. Abdullah, and N. A. M. Zin, Classifying
Modality Learning Styles based on Production Fuzzy Rules,
International Conference on Pattern Analysis and Intelligent Robotics,
vol. 1, pp. 154 159, June 2011.
[8] Q. Yang, W. Chen, and B. Wen, Fuzzy Ontology Generation Model
using Fuzzy Clustering for Learning Evaluation, IEEE International
Conference on Granular Computing, pp. 682 685, 2009.
[9] K. W. Wong, T. Chumwatana, and D. Tikk, Exploring The Use of
Fuzzy Signature for Text Mining, IEEE International Conference on
Fuzzy Systems, pp. 1 5, 2010.
[10] O. Dehzangi, M. J. Zolghadri, S. Taheri and S. M. Fakhrahmad,
Efficient Fuzzy Rule Generation: A New Approach Using Data
Mining Principles and Rule Weighting, IEEE Fourth International
Conference on Fuzzy Systems and Knowledge Discovery, vol. 2, pp.
134 139, 2007.
[1]

676

SCES 2012

Dialogue Session Papers

677

Performance Analysis of OFDM using

MATLAB Simulation with M-PSK Mapping
Neha Singhal1 and Sarika Pal2
Electronics and Communication Engineering Department
Krishna Institute of Engineering &Technology, Ghaziabad, India
1

nehasinghal7@yahoo.co.in, 2 narensarru@gmail.com
interference, High spectral efficiency, Lower multi-path
distortion.
OFDM is sometimes called multi-carrier or discrete
multi-tone modulation[13]. It is the modulation technique
used for digital TV in Europe, Japan and Australia[17].
The purpose of OFDM is to divide the wide frequency
selectivity of fading channels into multiple flat fading
channels [1], [11]. The idea of using a Discrete Fourier
Transform for the generation and reception of OFDM
signals eliminates the requirement ofbanks of analog sub
carrier oscillators [5] [10]. Orthogonal FDM's (OFDM)
spread spectrum technique distributes the data over a
large number of carriers that are spaced apart at precise
frequencies. This spacing provides the "orthogonality" in
this technique which prevents the demodulators from
seeing frequencies other than their own[5]. In OFDM
spectrum each subchannel has a peak at the subcarrier
frequency and nulls evenly spaced with a frequency gap
equal to the carrier spacing f = 1/Ts, where Tsis OFDM
symbol duration [1], [2], [5]. Another characteristic of
orthogonality is that each carrier has an integer number
of sine wave cycles in one bit period [8].
The peak to average ratio (PAR) of the transmitted signal
power is large [4], [15]which is the main drawback.
OFDM system performance can be improved by channel
coding [1], [6].

Abstract--OrthogonalFrequencyDivisionMultiplexing (OFDM) is a digital multi-carrier

modulation scheme, which uses a large number of
closely-spaced orthogonal sub-carriers. Each subcarrier is modulated with a conventional modulation
scheme at a low symbol rate, maintaining data rates
similar to conventional single-carrier modulation
schemes in the same bandwidth. Practically, OFDM
signals are generated and detected using the Fast
Fourier transform algorithm. Orthogonal Frequency
Division Multiplexing (OFDM) is one of the
techniques for parallel transmission. The basic idea of
OFDM is to split the total transmission bandwidth
into a number of orthogonal subcarriers in order to
transmit the symbols using these subcarriers in
parallel. The digital modulation schemes such as MPSK (M-ary Phase Shift Keying) provide way of
parallel transmission, and can be compared to
analyse the SER performance of designed OFDM
system. Schemes used in OFDM system can be
selected on the basis of the requirement of power or
spectrum efficiency and SER analysis. In this paper
value of symbol energy to noise energy has been
varied to calculate SER of OFDM Transmitter.
Index TermsConstellation Diagram, ISI (Inter
symbol interference) M-PSK(M-ary phase shift keying)
OFDM(Orthogonal frequency division multiplexing),
Orthogonality & SER(symbol error rate).

II OFDM TRANSMITTER CHAIN

I INTRODUCTION
Many methods are proposed to combat the multipath
effects in wireless communication. One of the solutions
to fight the Inter Symbol Interference (ISI) is multicarrier
modulation for data transmission [1], [3], [14], that is
Orthogonal Frequency Division Multiplexing (OFDM).
After the analysis of Symbol Error Rate (BER)
performance it is concluded that, OFDM is better than
Code Division Multiple Access (CDMA) which is mostly
incorporated in existing 3G systems [3], [11]. Moreover,
OFDM can perform better than single carrier modulation
in the presence of impulsive noise, because it spreads the
effect of impulsive noise over multiple subcarriers. As in
other communications systems, coding can improve the
OFDM system performance but because of the nature of
this channel, the achieved improvements are usually very
restricted. Benefits of OFDM are- Resiliency to RF

Figure.1 Basic block diagram of OFDM tr. chain

OFDM can be combined with frequency hopping to

create a spread spectrum system, realizing the benefits of
frequency diversity andinterference averaging previously
described for CDMA.

978-1-4673-0455-9/12/$31.00 2012 IEEE

678

III MODEL DESIGN OF OFDM TRANSCEIVER

USING MATLAB/SIMULINK
The
OFDM
system
is
modelled
using
MATLAB/SIMULUNK to allow various parameters of
the system to be varied and tested. The following OFDM
system parameters are considered for the simulation.
Figure3(a). Constellation diagram of 2-PSK

Samples per symbol : 1

Data mapping

: M-PSK

IFFT, FFT size

: 64-point

Channel used

: AWGN

Guard Interval size: IFFT size/4 :16 samples

Es/No

: 38dB(for a lower SER)

The system model for OFDM with M-PSK mapping is

shown in Figure 1, representing the following blocks. MPSK block can be replaced by M-QAM block for further
comparison.
Binary source: The random Bernoulli binary generator
generates binary data that is frame based. In data output,
44 samples per frame are used, and sample per symbol is
1.
Data mapping: The input data stream is available serially,
and a serial to parallel converter is required to convert
data into parallel stream according to digital modulation
scheme. Each data word is assigned to one carrier and
transmitted in parallel. Once each subcarrier has been
allocated symbols, they are phase mapped according to
modulation scheme, which is then represented by a
complex In-phase and Quadrature-phase (I-Q) vector.
The constellation diagrams of different M-PSK are
shown in figure2,3.Consider QPSK mapping in M-PSK
block of proposed model, which maps 2 bits per symbol
into phase, as shown in Figure3(b). Each combination of
2 bits of data corresponds to a unique I-Q vector. In MPSK block, by changing bits per symbol, we can map the
data for 8-PSK, 16-PSK etc. By moving to higher order
constellation, it is possible to transmit more bits per
symbol in parallel resulting in high speed
communication. The advantage of using phase shift
keying is that it produces constant amplitude signal and
reduce problems with amplitude fluctuation due to
fading.

Figure 3(b). Constellation diagram of Q-PSK

IFFT-frequency domain to time domain conversion: The

IFFT converts frequency domain data into time domain
signal and at the same time maintains the orthogonality
of subcarriers. In this stage, IFFT mapping, zero pad, and
selector blocks are included. Zero pad block adds zeros at
the end to adjust the IFFT size of length L, as the number
of subcarriers may be less than IIFT size. Selector
blockreorders the subcarriers. The IFFT block computes
the Inverse Fast Fourier Transform (IFFT) of length L
points, where L must be a power of 2 [8].
Guard period: The effect of ISI on an OFDM signal can
be eliminated by the addition of a guard period at the
start of each symbol [5]. This guard period is a cyclic
copy that extends the length of the symbol waveform.
The guard period adds time overhead, decreasing the
overall spectral efficiency of the system. Guard duration
should be longer than channel delay spread [5]. After the
guard band has been added, the symbols are converted
into serial form. One frame length duration T = T s + Tg ,
where Ts = NT, N = number of carriers. This is the
OFDM base band signal, which can be up converted to
required transmission frequency.
An AWGN channel model is then applied to transmitted
signal. The model allows for the Signal to Noise Ratio
(SNR) variation.Es/No is selected 38dBThe receiver
performs the reverse operation of the transmitter. The
receiver consists of removal of guard band, FFT, removal
of zero padding and demapping of data.

Figure2. Constellation diagram of 8-PSK.

679

MATLAB SIMULINK BLOCK DIAGRAM OF OFDM

TRANSRECEIVER

Figure4. Block diagram of OFDM transreceiver

IV SIMULATION RESULTS
The performance of a data transmission system is usually
analyzed and measured in terms of the probability of
error at given bit rate (or symbol rate) and SNR. The
parameter Es/No, where Esis symbol energy and No is
noise energy, is adjusted every time by changing noise in
the designed channel.
For particular Es/No value, system is simulated and
corresponding probability of error is noted. The proposed
design is simulated with necessary parameter changes for
8-PSK and 16-PSK.If we go on increasing the Es/No
value, SER reduces. In comparison of SER performance
for M-PSK, it can be shown that use of a higher M-ary
constellation is better for high capacity transmission but
the drawback is that the points on constellation are closer
which makes the transmission less robust to errors with
same SNR.For OFDM with QPSK simulation,
constellation diagram of transmitted signal and received
signal is shown in Figure5,6.

Figure5. Constellation diagram for Es/No = 38dB

Figure6. Constellation diagram for Es/No = 2Db

680

[5] P.Moose, "A Technique for Orthogonal Frequency

Division Multiplexing Frequency Offset Correction",
IEEETransactions on Communications, Vol. 42, No. 10,
pp 2908-2914, October 1994

[6] W.A.C. Fernando, R.M.A.P. Rajtheva, K.M.Ahmed,

Performance of coded OFDM with higher modulation
schemes, Communication Technology Proceedings,
Beijing, China, October 22-24, 1998, vol.2 pp. 2.
[7] Z. Wang,OFDM or single carrier block
transmission, IEEE Transaction on Communication,
March 2004, vol.52, issue 3, pp. 480-394.

Figure7. symbol error probability curve

[8] Wi-LAN, Wireless Data communications, Wideband

Orthogonal
Frequency
Divison
Multiplexing
(WOFDM),White paper, Year 2000, version 1.0.

It is observed from M-PSK that as value of Es/No

increases symbol error rate decreases.This has been
shown by using scatter diagram and graph of SER vs.
Es/No.

[9] J.A.Sills, MaximumLikelihood Modulation

Classification for PSK/QAM, Military Communications
Conference Proceedings, IEEE, Oct.-Nov. 1999, vol.1,
pp.217-220.
[10] M. Schiibinger, S.R.Meier, DSP-based signal
processing for OFDM transmission, Acoustics, Speech,
and Signal Processing Proceedings (ICASSP01), IEEE,
7-11 May 2001, vol.2, pp.1249-1252.

V CONCLUSION
OFDM is a powerful modulation technique used for high
data rate, and is able to eliminate ISI. It is
computationally efficient due to the use of FFT
techniques to implement modulation and demodulation
functions. The performance of OFDM is tested for digital
modulation techniques
namely M-PSK using
MATLAB/SIMULINK toolbox. For M-PSK as the value
of Es/No increases symbol error rate decreases, it can be
observed from scatter diagram and graph of SER vs.
Es/No.

[11]Bernard Sklar Digital Communication Fundamentals

and Applications, Second Edition, Pearson Education
Asia, 2000.
[12]A. Gusmao, R. Dinis, J. Conceicao, N. Esteves
Comparison of Two Modulation Choices for Broadband
Wireless Communications IEEE Vehicular Tech.
Conference 2000 (VTC2000), Tokyo, Japan (Vol.2,
pp.1300-1305)

REFERENCES

[13]S.S.RiazAhamed, Performance Analysis of OFDM

Journal of Theoretical and Applied Information
Technology, pp 22-30, 2008.

[1] J.A.C Bingham, Multicarrier modulation for data

transmission: An idea whose time has come, IEEE
Communication Magazine, May 1990, vol.28, issue 5,
pp.5-14.

[14] P. Amirshahi (Member), S.M. Navidpour and M.

Kavehrad (FIEEE) Performance Analysis of OFDM
Broadband Communications System Over Low Voltage
Powerline with Impulsive Noise The Pennsylvania State
University, IEEE International conference 2006.

[2] F.B. Frederiksen and R. Prasad, An Overview of

OFDM and related techniques towards development of
future wireless multimedia communications, Radio and
Wireless Conference, 11-14 Aug 2002, IEEE, pp.19-22.

[15]C.V.
Arasu,
P.Hyanki,
H.L.
Sharma,
G.Lakshminarayanan, M. H. Lee, S.Kol PAPR
reduction for improving performance of ofdm
Department of Electrical and Computer Engineering,
University of Saskatchewan, Canada. Communication
Control and Computing Technologies (ICCCCT), 2010

[3]U.D.Dalal, J. N. Patel A Comparative Performance

Analysis of OFDM using MATLABSimulation with MPSK and M-QAM Mapping.International conference on
computational intelligence and multimedia applications
2007.
[4] B. R. Saltzberg, Comparison of single carrier and
multitone digital modulation for ADSL application,
IEEE communication Magazine, Nov. 1998, vol.36, issue
11, pp. 114-121.

681

A Proposed Prototype Control System for

Implantable Dopamine Regulation System
Anukaran Khanna, Niyati Tandon and Jyoti Khanna

basis of past experience, mathematical computation, or by trial

and error. The fluid is delivered at set rate until the setting is
changed [5]. There are many disadvantages of this method,
thus, this method cannot control dopamine level efficiently and
effectively.
This paper is concerned with developing a real-time
continuous dopamine monitoring system (CDMS) which can
inject the desired amount of sinemet automatically. An
implantable automated dopamine delivery system consists of
dopamine sensor which provides frequent measurement,
sinemet pump, and data transmitter to send the data to pump
Index TermsClinical device, closed loop control, dopamine, by frequency telemetry. The most component such as sinemet
reservoir, pump, and transmitter are all externally attached to
substantia nigra
the body, which may cause some inconveniences, the degree
I. INTRODUCTION
of inconvenience may vary from person to person.
ARKINSONS disease (PD) also known as paralysis
agitans and shaking palsy is a representative degenerative
II. SYSTEM DESCRIPTION
disease that occurs due to a deficiency of nerve cells, called
dopamine neurons, distributed in the substantia nigra of the
We are proposing an artificial substantia nigra here,
brain [1]. It is the second most common neurodegenerative dopamine level is measured by an intravenous continuous
disorder. PD is a chronic, progressive disorder of basal ganglia dopamine monitor (CDM) and sinemet is delivered by a
characterized by cardinal features of rigidity (muscle stiffness), continuous intravenous sinemet infusion (CISI) pump. An
bradykinesia (slowness of movement), tremors (shaking), gait intelligent control algorithm calculates the appropriate sinemet
and postural instability. Low fluctuating dopamine level is the dosage for the current conditions to achieve the optimal
contributing factor to the development of depression, anxiety, regulation of dopamine. The sinemet injected each time will be
sexual dysfunction, urinal retention [2].
calculated according to a dynamic model. There is substantial
A common therapy is dopamine infusion at specified time. time delay between sinemet delivery and the appearance of
Taking dopamine itself does not help, because it cannot enter dopamine in central nervous system with the use of
the brain. Levodopa, the most effective Parkinsons drug is intravenous sinemet delivery. This time delay limits the
absorbed by the nerve cells in the brain and turned into desired control performance.
dopamine. 100mg Levodopa is combined with 25 mg
The complete system (Fig.1) is integration of four
carbidopa to create sinemet. Carbidopa prevents the levodopa subsystems: sensing subsystem, pumping subsystem,
from being destroyed by enzymes in digestive tracts; it also controller subsystem and power supply subsystem. The most
reduces levodopa side effects, such as nausea, vomiting, important and critical part of artificial substantia nigra are
fatigue and dizziness[3][4].Sinemet pumps are portable device implantable intravenous dopamine sensor in sensing
that inject combination of L-dopa and carbidopa at constant subsystem, sinemet pump in pumping subsystem and
rate. However, most of these pumps work on an open loop microcontroller in controller subsystem.
system where the rate of delivery is set by the clinician on the
Other than essential components, it also consists of
reservoir for sinemet, charger, battery, power supply unit, and
radio frequency (RF) transmitter as depicted in Fig. 2. Through
Anukaran Khanna, M.Tech scholar is with the Department of Electrical
Engineering, Motilal Nehru National Institute of Technology, Allahabad- an intelligent control algorithm developed, the appropriate
211004, India (e-mail: anukaran84@gmail.com).
dosage of sinemet to be injected into the body is calculated and
Niyati Tandon, B.Tech scholar is with the Department of Biotechnology, the desired amount of sinemet dosage is sent to
Amity
University,
Lucknow-226010,
India
(e-mail:
microcontroller, which in turn passes the signal to the reservoir
niyati.tandon74@gmail.com).
Jyoti Khanna, M.P.T Neuro is co-owner of Dr. Khanna Health Clinic & to deliver the required amount.

Abstract-- In this paper, we have proposed a prototype closed loop

control system to regulate dopamine level. For an artificial
Substantia Nigra to become feasible for ambulatory use, a
robust and precise clinical device is important. The key feature of
this system is its four different types of subsystems: sensing
subsystem, pumping subsystem, controller subsystem and power
supply subsystem. Each subsystem is vital in developing a
complete feasible implantable system to regulate the dopamine
level. Through this paper, a proportional derivative (PD) control
strategy is proposed for dopamine secretion by the substantia
nigra. Further scope still persists on hardware and control
algorithm to make it clinically viable.

Physiotherapy Centre, Allahabad-211003, India

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682

A. Dopamine Sensor
To achieve optimal regulation of dopamine, dopamine level
must be measured continuously and must be delivered without
any time delay.
To design an artificial substantia nigra, the major challenge
is dopamine sensor. For an ideal sensor, it must have linear
relation, high sensitivity, high accuracy, long life span and
sensing delay as small as possible.

Signal

Microcontroller
rer

aaaa
aala

Sinemet Pump

Plant

Signal

aaa
Sinemet
Pump

Dopamine Sensor

Ssensor

aaala

Fig. 1 Block diagram of the closed-loop dopamine control system

Microcontroller
rer
Dopamine
Sensor

Sinemet
Pump

clinician in future for monitoring and diagnosis purpose. This

record will also help in estimating the sinemet that has been
consumed by the patient, to decide when and how much new
drug should be injected into the reservoir.
D. RF module : Transmitter & Receiver
The RF module, as the name suggests, operates at Radio
Frequency. The corresponding frequency range varies between
30 kHz & 300 GHz. In this RF system, the digital data is
represented as variations in the amplitude of carrier wave.
Transmission through RF is better than IR (infrared) because
of many reasons. Firstly, signals through RF can travel through
larger distances making it suitable for long range applications.
Also, while IR mostly operates in line-of-sight mode, RF
signals can travel even when there is an obstruction between
transmitter & receiver. Secondly, RF transmission is more
strong and reliable than IR transmission. RF communication
uses a specific frequency unlike IR signals. This RF module
comprises of an RF Transmitter and an RF Receiver. The
transmitter/receiver (Tx/Rx) pair operates at a frequency of
434 MHz. An RF transmitter receives serial data and transmits
it wirelessly through RF through its antenna connected. The
transmitted data is received by an RF receiver operating at the
same frequency as that of the transmitter [6].
III. CONTROL ALGORITHM

Battery

Charger

RF
Transmitter

Sinemet
Reservoir

Epidemic Layer
To power
supply

RF
Receiver

Fig. 2 The essential components of closed-loop dopamine control system:

sensing subsystem, pumping subsystem, controller subsystem, power supply
subsystem along with battery- charger and RF transmitter- receiver.

B. Sinemet Pump
We have chosen intravenous infusion of dopamine because
of safety and convenience. Although there are some
disadvantages of intravenous pump over subcutaneous pump
like catheter blockage, catheter related infection etc. A stepper
motor is used as pump here, in stepper motor, the armature
turns through a specific number of degrees and then stops. It
converts electronic digital signal into mechanical motion in
fixed increments. Each time an incoming pulse is applied to
the motor, its shaft turns or steps a specific angular distance
and thus infuses drug into patient.
C. Microcontroller
The micro controller will compute the amount of sinemet
needed and control the pump for infusion. The communication
module will send the dopamine level sensed by the sensor to
the microcontroller on a real time basis. An ultra- low power
transceiver will be embedded in the model proposed, upon
receiving the instruction from the microcontroller, transmit
signal to an external device. This will happen when dopamine
level reaches some critical values. The transmitter will also
have the feature of sending the patients dopamine level record
to an external device on regular basis, which can be used by

The concept of CDM and sinemet pumps, along with

advances in computational algorithms for automatic estimation
and adjustment of appropriate sinemet infusion makes the
development of artificial substantia nigra feasible and
clinically viable. Several methods are available to design
feedback controller for sinemet delivery, such as classical
methods like proportional-integral-derivative (PID) control,
pole placement, which require linearized model for design, and
model predictive control (MPC) [7][8][9]. Proportionalintegral-derivative (PID) control or proportional derivative
(PD) control is known to be applicable to wide variety of
dynamic systems. With the higher requirement for the
accuracy, MPC control has been applied to prototype model.
In order to describe the dynamics of the system, some
assumptions are made in proposing the control system to make
it feasible and simpler. The assumptions are as: there exist a
linear relationship between sinemet and dopamine level; there
are no significant disturbances to affect the dopamine level.
Based on these assumptions, the control system can be
modelled as depicted in Figure 3, in which the human body is
treated as plant to be regulated by the closed-loop system.
Input
+

Substantia
Nigra

Disturbance

Dopamine
Controller

Output

+
+

+
+

Plant

+
=
=
Sensor

Fig. 3 Block diagram model of the algorithm of closed-loop dopamine control

system

683

Kp

1/ (T1s+1)

DL(s)

I(s)
+
+

Kp

1/ (T2s+1)

9
Fig. 4 Block diagram model of dopamine secretion

+
=
=

The time course of dopamine can be represented as shown

in (1)
DL(t) = DLo + kiIi(t) + ksI(t)

(1)

where DL(t) is the dopamine level, DLo is the initial value at

the time of start, kiIi(t) is the sinemet released from the sinemet
reservoir into the body, and ksI(t) is the dopamine secreted by
the substantia nigra.
We have chosen a PD controller with first order time lag to
simplify the dopamine secretion model by substantia nigra[10].
The Block diagram model of dopamine secretion is depicted in
Figure 4. The equation for relationship of sinemet secretion,
dopamine and its rate of change can be represented as shown
in (2)

Fig. 5 Illustration of the Parkinson disease [11]

IV. SIMULATION RESULT

Simulations are carried out to identify the performance of

proposed model. The assumption made is that neither any
external disturbance nor any artifacts are acting on the system.
Except the secretion of dopamine from substantia nigra, A varying gain from 0.5 to 2.0 in model of dopamine secretion
sinemet is also infused from sinemet pump. Sinemet infused by artificial substantia nigra is used. The dopamine unit used is
from pump infusion can be modelled as depicted in (3)
pg/mL and time is in minute. The simulation results shown in
Fig. 6 demonstrate that gain of 0.5 is having higher overshoot
Ci = Amt
/V
(3) as compared to that with gain of 2.0.

I(t)

(2)

where Ci is the dopamine concentration, K is clearance time,

V. CONCLUSION AND FUTURE WORK
Amt is the dosage input at certain time and V is the volume of
In this paper a proportional derivative (PD) approach has
sinemet. After a certain time t, the sinemet input Ii(t) can be
been
proposed in order to estimate the optimal sinemet
represented as depicted in (4)
infusion rates. Since, the controller is of closed loop type, the
infusion of sinemet is done automatically, not requiring any
Ii(t) =
=
dz
(4) pre evaluation of dopamine content. The proposed system
assumes that patient is continuously attached to infusion pump
However, sinemet pump delivers small dose of sinemet each and dopamine concentration is monitored at all time.
time, hence, equation (4) has to be modified. If sinemet Therefore, this type of controller is beneficial for patients with
infused in one sampling cycle, which is suppose n seconds, severe parkinsionism.
then equation (4) can be rewritten as depicted in (5)
There are in general two kinds of control strategies:
proportional integral and derivative (PID) control which is
Ii (t) =
dz
(5) widely used in controller design, and model predictive control
(MPC) which is popular for showing better and accurate
where ki is a dynamic amount of sinemet infused into the body prediction. In our future work, an improved mathematical
proportional to the dopamine level as depicted in (6), (z-k+1) model with simulation result will be employed to design a
controller.
represents the delay.
Other than improvement on control algorithms, some other
factors must also be considered in future like, dopamine
0,
if DLr 30 pg/mL
sensors stability, accuracy, precision, calibration, time delays
Ki =
(6)
(DLd DLr).Ks,
otherwise
of absorption of sinemet, effect of disturbances, etc. Though,
there have been many progresses in the field of biomedical
where DLd is the desired dopamine level, and DLr is the engineering, a clinical feasible and viable solution is yet to be
found.
dopamine reading obtained from dopamine sensor.

684

[8]

ACKNOWLEDGMENT
The authors are indebted to many colleagues for very
important discussions, particularly Nishu Gupta an
academician, Ritesh Khanna a medical practitioner. Their
advice and experience is greatly appreciated.
REFERENCES
[1]
[2]
[3]
[4]
[5]
[6]
[7]

[9]

[10]

[11]

Koller, W.C., Falls and Parkinsons disease, Clin Neuropharmacol,

vol. 12, 1989 pp. 98105.
http://www.medicalnewstoday.com/info/parkinsons-disease/
http://www.netdoctor.co.uk/diseases/facts/parkinson.htm
http://www.medicinenet.com/parkinsons_disease/page5.htm
Susan B. Osullivan, Thomas J. Schmitz, Physical Rehabiliation:
Assesment and Treatment, 4 th edition, Jaypee Brothers.
http:// www.engineersgarage.com/ electronic-components/rf-moduletransmitter-receiver
Chee F , F., Tyrone L., A.V.Savkin, and V. van Heeden, Expert PID
control system for blood glucose control in critically ill patients. IEEE
Trans. Biomed. Eng., 2003. 7(4): p. 419-425.

[12]

[13]

[14]

Marchetti, G., An improved PID switching control strategy for type I

diabetes. IEEE Trans Biomed Eng. 2008. 55(3): p. 857-65.
Magni, L., Model predictive control of glucose concentration in type I
diabetic patients: An in silico trial. Biomedical Signal Processing and
Control, 2009.
Nomura, M., A mathematical insulin-secretion model and its validation
in isolated rat pancreatic islets perifusion. Comput Biomed Res, 1984.
17(6): p.570-9.
Sir William Richard Gowers, manual of Diseases of the Nervous System,
1886
Trevor G. Marshall, N.Mikhiel, W.S. Jackman, K.Perlman,
A.M.Albisser, new Microprocessor based Insulin controller. IEEE Trans.
Biomed Eng., Vol. BME-30, No.11, Nov.1983.
Karl Heinz Kienitz, Takashi Yoneyama, A Robust Controller for Insulin
Pumps based on H Infinity Theory, IEEE Trans. Biomed Eng., Vol.04,
No.11, Nov.1993.
K. Zarkogianni, A. Vazeou, S.G. Mougiakakou, A.Prountzou,
K.S.Nikita, . IEEE Trans. Biomed Eng., Vol. 58, No.09, Sep.2011.

Fig. 6 Simulation result of dopamine level with model gain of 2 (Left) and 0.5 (Right). The purple curve (1) shows the dopamine
level after dopamine is released into body. The blue curve (2) shows the dopamine level without any input from substantia nigra.

685

A Comparative Study: Singular Value

Decomposition, Discrete Cosine Transformation
and Block Truncating Coding
Nivedita, Sonika Jindal, Richa Jindal and Pardeep Singh
Abstract-- We undertake a study of the performance difference
of different transform coding techniques i.e. singular value
decomposition (SVD), discrete cosine transformation and block
truncating coding. This paper focuses important features of
transform coding in compression of still images, including the
extent to which the quality of image is degraded by the process
of compression and decompression. The above techniques have
been successfully used in many applications. The techniques are
com-pared by using the performance parameters PSNR, CR and
reduced size. Images obtained with DCT technique yield very
good results.
Index Terms-- Image Compression, Singular value
decomposition (SVD), Block Truncating Coding (BTC), Discrete
Cosine Transform (DCT).

I. INTRODUCTION

ith the growth of multimedia and internet, compression

techniques have become the thrust area in the fields of
com-puters. Popularity of multimedia has led to the
integration of various types of computer data. Multimedia
combines many data types like text, graphics, still images,
animation, audio and video. Image compression is a process
of efficiently cod-ing digital image to reduce the number of
bits required in rep-resenting image. Its purpose is to reduce
the storage space and transmission cost while maintaining
good quality. Many dif-ferent image compression techniques
currently exist for the compression of different types of
images. Image compression is fundamental to the efficient
and cost-effective use of digital imaging technology and
applications.
The image compression techniques are categorized into two
main classifications namely lossy compression techniques and
Lossless compression techniques [1].
Nivedita is PG student in the Department of Computer Science &
Engineering, Shaheed Bhagat Singh College of Engineering & Technology,
Ferozepur-India (e-mail: nivedita.makrandi@gmail.com).
Sonika Jindal is with the Department of Computer Science & Engineering,
Shaheed Bhagat Singh College of Engineering & Technology, Ferozepur-India
(email: sonikamanoj@gmail.com )
Richa Jindal is with the Department of Information Technology, PEC
University of Technology, Chandigarh-India (e-mail: hrricha@gmail.com)
Pardeep Singh is PG student at Indo Global College, Mohali- India.
pardeepshinghdhot@gmail.com ).

In lossless compression, the reconstructed image after

compression is numerically identical to the original image. In
lossy compression scheme, the reconstructed image contains
degradation relative to the original. Lossy technique causes
image quality degradation in each compression or
decompression step. In general, lossy techniques provide for
greater compression ratios than lossless techniques i.e.
Lossless compression gives good quality of compressed
images, but yields only less compression whereas the lossy
compression techniques [2] lead to loss of data with higher
compression ratio. The approaches for lossless image
compression include variable-length encoding, Adaptive
dictionary algorithms such as LZW, bit-plane coding, lossless
predictive coding, etc. The approaches for lossy compression
include lossy predictive coding and transform coding.
Transform coding, which applies a Fourier-related transform
such as DCT [3], is the most commonly used approach.
The paper is organized as follows: Section II explains
image compression; Section III explains singular value
decomposition (SVD); Section IV explains Block Truncating
coding (BTC); Section V explains Discrete Cosine Transform
(DCT); Section VI introduces the experimental results and
Section VII gives the conclusion.
II. IMAGE COMPRESSION
Image compression means minimizing the size in bytes of
a graphics file without degrading the quality of the image to
an unacceptable level. The reduction in file size allows more
images to be stored in a given amount of disk more memory
space. It also reduces the time required for image to be sent
over the internet or downloaded from web pages. The recent
growth of data intensive multimedia based web application
have not only sustained the need for more efficient ways to
encode signals and images but have made compression of
such signal central to storage and communication technology.
The principle behind image compression is that the
neighbouring pixels are correlated and therefore contain
redundant information. The foremost task then is to find less
correlated representation of the image.
Two fundamental components of compression are
redundancy and irrelevancy reduction.
Redundancies reduction aims at removing duplication

978-1-4673-0455-9/12/$31.00 2012 IEEE

686

from the signal source (image/video).

Irrelevancy reduction omits parts of the signal that
will not be noticed by the signal receiver, namely the
Human Visual System.
In digital image compression, three basic data
redundancies can be identified and exploited:
Coding redundancy
Inter pixel redundancy
Psycho visual redundancy
Data compression is achieved when one or more of these
redundancies are reduced or eliminated.
A. Coding Redundancy
Use shorter code words for the more common gray levels and
longer code words for the less common gray levels. This is
called Variable Length Coding. To reduce this redundancy
from an image we go for the Huffman technique were we are,
assigning fewer bits to the more probable gray levels than to
the less probable ones achieves data compression.
B. Interpixel Redundancy
Another important form of data redundancy is inter pixel
redundancy, which is directly related to the inter pixel
correlations within an image. Because the value of any given
pixel can be reasonable predicted from the value of its
neighbours, the information carried by individual pixels is
relatively small. Much of the visual contribution of a single
pixel to an image is redundant; it could have been guessed on
the basis of its neighbours values. A variety of names,
including spatial redundancy, geometric redundancy, and
interframe Redundancies have been coined to refer to these
interpixel dependencies.

product USV T, which allows us to refactoring a digital image

in three matrices. The using of singular values of such
refactoring allows us to represent the image with a smaller set
of values, which can preserve useful features of the original
image, but use less storage space in the memory, and achieve
the image compression process. Lets say we have a matrix A
with m rows and n columns, with rank r and r n m. Then
the A can be factorized into three matrices: U, S, and V such
that [5]
A=U*S*VT
where, U is m-by-k orthonormal columns
S is k*k diagonal column
V is k*n orthonormal columns
U*S*VT is the closest rank k approximation to A
The purpose of transforming the matrix A into USV T. We
want to approximate the m n matrix A by using far fewer
entries than in the original matrix. By using the rank of a
matrix we remove the redundant information (the dependant
entries). SVD can be used to provide the best lower-rank
approximation to a matrix M, and thus be used for image
compression. Its usefulness in applications concerning image
processing has also been evaluated. Among these applications
we can mention patron recognition, secret communication of
digital images, movement estimation, classification and
quantization. [6] To illustrate the SVD image compression
process, we show detail procedures:
r

A USV

Singular Value Decomposition (SVD) is said to be a

significant topic in linear algebra by many renowned
mathematicians. SVD method can transform matrix A into

(1)

That is A can be represented by the outer product expansion:

T
1 1 1

III. SINGULAR VALUE DECOMPOSITION

uv

i i i
i 1

C. Psycho-Visual redundancy
Human perception of the information in an image
normally does not involve quantitative analysis of every pixel
or luminance value in the image. In general, an observer
searches for distinguishing features such as edges or textural
regions and mentally combines them into recognizable
groupings. The brain then correlates these groupings with
prior knowledge in order to complete the image interpretation
process. Thus eye does not respond with equal sensitivity to
all visual information. Certain information simply has less
relative importance than other information in normal visual
processing. This information is said to be psycho visually
redundant. To reduce psycho visual redundancy we use
quantizer. Since the elimination of psycho visually redundant
data results in a loss of quantitative information. [4]
In the present research three algorithms (SVD, DCT and
Block truncating Coding) has been used. The aim of this
work is to understand different compression techniques and
compare them.

uv

uv

2 2 2

uv

(2)

r r r

When compressing the image, the sum is not performed to

the very last SVs; the SVs with small enough values are
dropped. (Remember that the SVs are ordered on the
diagonal.) The closet matrix of rank k is obtained by
truncating those sums after the first k terms:

Ak

T
1 1 1

uv

uv

2 2 2

uk vk

(3)

The integer k can be chosen confidently less then n, and

the digital image corresponding to k A still have very close
the original image. However, the chose the different k will
have a different corresponding image and storage for it. [7]
IV. BLOCK TRUNCATING CODE
Block Truncation Coding (BTC) is a well-known
compression scheme proposed in 1979 for the gray scale
images. It was also called the moment-preserving block
truncation [8]-[9] because it preserves the first and second
moments of each image block. The fundamental idea of BTC
is to divide the original image into non-overlapping blocks;
each pixel in a block is replaced by either high or low mean.
BTC has the advantage of relatively good image quality while
maintaining low computation effort [10, 16].

687

Here, a brief description of BTC is given. In the encoding

phase, the original image is firstly divided into non
overlapping blocks with n n pixels.

The first step is to obtain matrix M from equation (7):

D(i, j )
N 1N 1

1 x(i, j ) x
0 x(i, j ) x

y(i, j )

2N

(4)

q
m q

m q
q

p( x, y ) cos
x 0 y 0

(2 x 1)i
2N

cos

(2 y 1)i
2N

(7)

One must use the following equation (8) if i > 0

where x(i,j) are pixel elements of the original block

and y(i,j) are elements of the compressed block. In words this
can be explained as: If a pixel value is greater than the mean
it is assigned the value "1", otherwise "0". For each block the
Mean and Standard Deviation are calculated, these values
change from block to block. These two values define what
values the reconstructed or new block will have, in other
words the blocks of the BTC compressed image will all have
the same mean and standard deviation of the original image.
Compressed block is stored or transmitted along with the
values of Mean and Standard Deviation. Reconstruction is
made with two values "a" and "b" which preserve the mean
and the standard deviation.

C (i ) C ( j )

(5)

(6)

where is the standard deviation, m is the total number of

pixels in the block and q is the number of pixels greater than
the mean (x) [11].

V. DISCRETE COSINE TRANSFORMATION

The discrete cosine transform (DCT) represents an image
as a sum of sinusoids of varying magnitudes and frequencies.
The DCT has the property that, for a typical image, most of
the visually significant information about the image is
concentrated in just a few coefficients of the DCT. DCT work
by separating image into the parts of differing frequencies.
During a step called Quantization, where compression
actually occur, the less important frequencies are discarded,
hence the use of the lossy. Then the most important
frequencies that remain are used retrieve the image in
decomposition process. As a result, reconstructed image is
distorted [12].
In the DCT compression algorithm
The input image is divided into 8-by-8 or 16-by-16
blocks
The two-dimensional DCT is computed for each
block.
The DCT coefficients are then quantized, coded, and
transmitted.
The receiver (or file reader) decodes the quantized
DCT coefficients, computes the inverse twodimensional DCT (IDCT)of each block
Puts the blocks back together into a single image. [13]

T (i, j )
1

if i

0 and

(2 j 1)i
2
cos
N
2N

(8)

The next step is to apply DCT to 8X8 block. The particular

block was chosen from the very upper left hand corner of an
image. As DCT is designed to work on pixel values ranging
from -128 to 127, the original block is leveled off by
subtracting 128 from every entry. This results in the
generation of matrix M.
D = TMT'
(9)
The matrix M is first multiplied on the left by the DCT
matrix T from the previous segment; this transforms the
rows. The columns are then transformed by multiplying on
the right by the transpose of the DCT matrix. This yields the
matrix D. The top-left co-efficient, C00, correlates to the
low frequencies of the original image block and C77
corresponds to the highest frequency. It is significant to note
that the human eye is most sensitive to low frequencies.
The next step is to use the quantization technique of level
Q50.

C (i, j )

round

D(i, j )
Q(i, j )

(10)

The integers situated near the upper-left corner correspond

to the lower frequencies to which the human eye is most
sensitive of the image block. In addition, the zeros represent
the less important, higher frequencies that have been
discarded, giving rise to the lossy part of compression. As
mentioned earlier, only the remaining non-zero co-efficient
will be used to reconstruct the image.
The final step of image compression using DCT is to
decompose the matrix C [14].

R(i, j) Q(i, j) C(i, j)

(11)

The IDCT is next applied to matrix R, which is rounded to

the nearest integer. Finally, 128 is added to each element of
that result, giving the decompressed version N of original 8
8 image block M.

round(T RT ) 128

(12)

VI. EXPERIMENTAL RESULTS

The three schemes discussed and elaborated here are
simulated on MATLAB platform. [15] The compression

688

TABLE I
PERFORMANCE EVALUATION OF SVD ALGORITHM

efficiency is measured using the CR. The quality of the image

is analyzed by measuring PSNR and MSE.

MSE

1 m1
mn i 0

PSNR

n 1

I (i, j ) K (i, j )

Jellyfish.jpg

Rank K

j 0

20 log10

Original Size 775702 bytes

MAX I
MSE

A. Results of SVD Image Compression Technique

The Singular value decomposition (SVD) image
compression technique is applied to jellyfish image with
varying k values. SVD computation on jellyfish image gives
maximum PSNR of 33.297 at k=125. Fig. 1 gives information
about the computation of SVD algorithm by varying rank of
matrix k.

Compressed

Compression

size (in bytes)

ratio

K=1

29051

26.7014

17.1916

K=25

51704

15.0027

27.2558

K=50

57266

13.5456

30.4268

K=75

59578

13.0199

32.089

K=100

60324

12.8589

30.435

K=125

60232

12.8786

33.297

PSNR

B. Results of BCT Image Compression Technique

The block truncate coding (BCT) technique is applied to
same jellyfish image with different lock size. In BCT
algorithm gives size first decreases then start increases. The
block size of 2* 2 gives maximum PSNR value but time taken
to compress image is more. Fig. 2 gives information about the
computation of BCT algorithm by varying block size. Table-II
represents performance summary and investigation of BCT
algorithm.

(a)

Figure 1 Computation of SVD algorithm by (a) k= 1, (b) k= 25, (c) k=50, (d)
k=75, (e) k=100 and (f) k=125

(c)

(b)

(d)

Table-I shows the performance evaluation of SVD in terms

of PSNR, CR and compressed size for varying k values. The
varying k values in turn called by the name adaptive k values
of SVD.

(e)

689

(f)

TABLE III
PERFORMANCE EVAULATION OF DCT IMAGE COMPRESSION
TECHNIQUE

TABLE II
PERFORMANCE EVALUATION OF BCT IMAGE COMPRESSION
TECHNIQUE

DCT
Coefficients

Jellyfish.jpg

Block
Size

Original Size 775702 bytes

2*2

Compresse
d size (in
bytes)
63048

4*4

61474

12.6184

32.2504

8*8

60150

12.8961

30.6124

16*16

61159

12.6834

28.8922

64*64

63334

12.2478

25.6506

68426

11.3364

24.185

128*12
8

Compression
ratio

PSNR

12.3034

33.5528

Figure 2 : Computation of BCT algorithm by varying Block Size of (a) Original

Image (b)2*2, (c) 4*4, (d) 16*16, (e) 64*64 and (f) 128*128

C. Results of DCT Image Compression Technique

The Discrete cosine Transform (DCT ) technique applied
to jellyfish images will generate variable PSNR with
compression .DCT application to image produces the PSNR
of 21.56, 23.69, 25.71, 28.45, 31.25, 32.34 corresponding to
coefficient c=250, 1000, 3000, 10000, 30000, 50000. Fig. 3
shows the images when compressed with different
coefficients. Table-III represents performance summary and
investigation of DCT algorithm.

(a)

(b)

(c)

(d)

(e)

Jellyfish.jpg
Original Size 775702 bytes

250

Compress
ed size (in
bytes)
33535

1000

44374

17.481

23.692

3000

54739

14.1709

25.719

10000

68136

11.3846

28.450

30000

73563

10.5447

31.252

80000

71276

9.245

33.958

Compressi
on ratio

PSNR

23.1311

21.564

Figure 3 Computation of DCT algorithm by DCT coefficients (a) c = 250, (b) c=

1000, (c) c=3000, (d) c=10000, (e) c=30000, (f) c= 50000

VII. CONCLUSION
Three image compression techniques i.e. Singular value
de-composition (SVD), Discrete Value Decomposition (DCT)
and Block Truncating Coding (BTC) are compared. The
results reveal that images can be compressed as application
demands, but redundant information is added as more
coefficients are added and simultaneously time taken to
compress the image and data storage needed increases.
Using SVD computation, an image matrix can be
compressed to a significantly smaller sized matrix, and
during decomposition, the image portray almost an identical
to original image. This in turn saves a lot of memory space.
Here the average value of k considered for Decomposition is
125 and gives optimal image quality as depicted.
Image compression using block truncation coding has been
investigated. In this the original block truncation coding
(BTC) based on dividing the image into non-overlapping
blocks and uses a two-level quantization. Here block size of
2*2 give optimal result and image quality.
The significant advantage of DCT is that it uses
quantization process, which is an efficient method to
eliminate redundant data and provides flexibility. It uses DCT
coefficients with most energy. A comparison between the
image resolutions reveals that the output images obtained
from projected work resemble the original images. The
selection of different DCT coefficient such as 250,
1000,3000,10000 enable diverse CR with deviation in PSNR.
Consequently, DCT algorithm gives good result and takes
less time to compress the image as compared to other
techniques.

(f)
690

REFERENCES
[1]
[2]

[3]
[4]
[5]

[6]

[7]

[8]

[9]

[10]

[11]

[12]
[13]
[14]

[15]
[16]

Rafael C. Gonzalez, Richard Eugene; Digital image processing, Edition

3, 2008, page 466.
M. Ghanbari "Standard Codecs: Image Compression to Advanced Video
Coding" Institution Electrical Engineers, ISBN: 0852967101, 2003,
CHM, 430 pages.
Chuanwei Sun 1Quanbin Li,Jingao Liu, The Study of Digital Image
Compression Based on Wavelets, ICALIP 2010, pp 312 316.
K. S. Thyagarajan , Still Image and video compression with MATLAB, ,
A JOHN WILEY & SONS, INC.
Adam Abrahamsen and David Richards, Image Compression using
Singular
Value
Decomposition,
December
14,
2001.
http://online.redwoods.cc.ca.us/instruct/darnold/laproj/fall2001/adamdave/
textwriteup.pdf
Mr. Mahendra M. Dixit1, Prof. Priyatamkumar, Comparative Analysis of
Variable Quantization DCT and Variable Rank Matrix SVD Algorithms
for Image Compression Applications IEEE International Conference on
Computational Intelligence and Computing Research, 2010, pp 1 5.
Lijie Cao Singular Value Decomposition Applied To Digital Image
Processing, Division of Computing Studies Arizona State University
Poly-technic Campus.
Franti P, Nevalainen O, Kaukoranta T. Compression of Digital Images by
Block Truncation Coding: A Survey, The Computer Journal, Vol. 37, No.
4, 1994, pp 308 332.
C. C. Tsou, S. H. Wu, Y. C. Hu, "Fast Pixel Grouping Technique for
Block Truncation Coding," 2005 Workshop on Consumer Electronics and
Signal Processing (WCEsp 2005), Yunlin, Nov. 17-18, 2005.
] Xiaotian Wu, Wei Sun Data Hiding in Block Truncation Coding,
IEEE International Conference on Computational Intelligence and Security
, 2010, pp 406 410.
Aditya Kumar Pardeep Singh, Comparative study of Block Truncation
Coding with EBTC, International Journal of Advances in Computer
Networks and its Security, pp 395 405.
Ken cabeen, peter gent. "Image compression and the discrete cosine
transform" math45 collage of Redwoods, pp-,2.
DCT-BASED IMAGE COMPRESSION, Vision Research and Image
Sciences Laboratory http://visl.technion.ac.il
Lala Krikor, Image Encryption Using DCT and Stream Cipher,
European Journal of Scientific Research ISSN 1450-216X Vol.32 No.1
2009,
pp.47-57

Euro
Journals
Publishing,
Inc.
http://www.eurojournals.com/ejsr.htm
MATLAB Central Website: http://www.mathworks.com/ .
Doaa Mohammed, Fatma Abou-Chadi, Image Compression Using Block
Truncating Code, JSAT, 2011, pp 9 13

691

Optimization of Short Channel Effects in Sub 40nm

Bulk MOSFET Using Halo Doping
Akansha Bansal, Student, Manish Goswami and B.R.Singh
Abstract-This paper presents the simulation results on the
impact of halo doping on short channel effects (SCE) in
40nm bulk MOSFET. The silvaco TCAD tool has been
used for simulation. Our results clearly demonstrate that
the halo doping, its width, depth and spacing from source
and drain junction greatly influence the short channel
behavior. Optimized halo parameters result in low DIBL
without affecting the threshold voltage. The higher halo
doping for low DIBL should essentially be deep and
narrow to have low threshold voltage. Minimum halo to
extension spacing is required for low DIBL and threshold
voltage.
Keywords: Channel Engineering, DIBL, Halo doping,
Short Channel Effect (SCE), Silvaco TCAD, Threshold
voltage

I.

INTRODUCTION

The ever increasing demand for higher speed, complexity and

low power consumption has acted as a driving force for
microminiaturization of VLSI circuits. As the device
dimensions are scaled to nanometer regime, various short
channel effects namely threshold voltage roll-off, drain
induced barrier lowering (DIBL), hot carrier effect, velocity
saturation etc. play crucial role. Although the bulk MOSFET
device technology has been in forefront for this
miniaturization, various new device structures such as
multiple gate structures, surround gate MOSFETs and FinFETs and technologies are being explored to minimize the
short channel behavior. [1-3]. In addition, retrograde and halo
channel doping has been observed to considerably minimize
SCE and increase the transistor drive current without causing
an increase in off-state leakage current [4-6].

The present paper deals with a systematic study of the impact

of halo doping concentration, its profile and location across
the channel in lateral direction on SCE in general and DIBL
and threshold voltage in particular. The optimized 40nm bulk
MOSFETs show highly suppressed threshold voltage roll -off
while both the drain induced barrier leakage (DIBL) and
threshold voltage are maintained at acceptable level.
II. METHODOLOGY
A 40nm bulk NMOS structure has been generated using
DEVEDIT 2D and simulated using ATLAS Silvaco TCAD
tools [7]. The device parameters were optimized in order to
get a close fit with experimental results. The generated device
along with optimized device parameters is shown in fig.1 and
table1 respectively. The transfer characteristics (ID Vs VGS)
and drain current Vs drain voltage (ID Vs VDS) of conventional
(without halo doping) bulk NMOS structure having 40nm
channel length are shown in figs.2 and 3 respectively. The
impact of various halo doping, concentration, its spacing (s),
depth (d) and width (w), on DIBL and threshold voltage was
considered next.

Akansha Bansal, Manish Goswami and B.R.Singh are with

the department of microelectronics, Indian Institute of
Information Technology, Allahabad-211012, India (email:
iakanshahere@gmail.com, brs2747@yahoo.co.in )

978-1-4673-0455-9/12/$31.00 2012 IEEE

692

Fig.1 NMOS structure generated using DEVEDIT 2D

III. RESULTS AND DISCUSSIONS

Fig.2 ID Vs VDS characteristics

It is well known that in nano MOSFETs, DIBL occurs due to

lowering of source to channel barrier with the applied drain
bias resulting in reduced control of gate over the channel. In
fact, the depletion region of the drain interacts with the source
near the channel surface to lower the surface potential barrier
at high applied drain voltages [8]. Channel engineering i.e,
retrograde or halo doping of the channel has been observed to
considerably affect the DIBL in nano scale MOSFETs. Fig.4
shows a 40nm bulk MOSFET structure with halo doping near
source and drain junction. The effect of halo doping
concentration keeping halo depth and width constant (10nm)
on the DIBL can be seen from the fig.5. DIBL in a structure
without halo doping with a drain bias voltage of 3V
was extracted to be 37.76 mV/V. Halo doping concentration is
varied from 2*1019 cm-3 to 6*1019 cm-3. It is apparent from the
fig.5 that the DIBL is reduced considerably with increase in
halo doping concentration up to 4*1019 cm-3and starts
increasing beyond this doping level Increase in DIBL after a
particular halo doping concentration (> 4*1019cm-3) is
attributed to the enhanced electric field which result in bandto-band tunneling and perhaps puts the fundamental limit to
control of DIBL. Further, it can also be seen that the
magnitude of DIBL also depends on the halo spacing from the
source- drain junction and is considerably lower i.e.3-4mv/V
if halo spacing (s) is kept minimum.

Fig .3 ID Vs VGS characteristics

Table 1. NMOS design parameters

P-Type substrate

Boron concentration 1.0e+15

Wafer orientation

<100>

Channel length (L)

40nm

Gate oxide thickness

2.5nm

P-well implant

Boron concentration 5.0e+17

VT threshold implant

Boron concentration 1.5e+12

LDD

Phosphorus concentration 5e+13

S/D implant

Arsenic concentration 2e+21

Polydoping

Arsenic concentration 1e+19

S/D junction depth

30.9nm

693

Fig4. NMOS structure with halo doping

minimized by using deep halo doping. Deeper halo is

observed to have lesser threshold voltage, this is mainly
because of the fact that deeper halo depths will then have
lesser interaction with the channel electric field.

Fig.5 DIBL Vs Halo Doping Concentration with and without halo spacing (s),
keeping halo width (w) and halo depth (d) constant

The variation of threshold voltage with halo doping

concentration and spacing (s) keeping halo width (w) and
depth (d) constant is shown in fig. 6. It can be seen from the
figure that slight increase in threshold voltage is observed
with increase in halo doping concentration. This effect is more
pronounced if halo is kept far apart from the source-drain
regions. Increase in threshold voltage in this case is justified
by the increase in the electric field.

Fig. 7 Threshold voltage Vs halo depth with different halo doping

concentration keeping halo spacing (s) and halo width (w) constant

The effect of halo width on threshold voltage for MOSFETs

having different channel length is shown in fig.8. It is
apparent from the figure that the threshold voltage is
marginally affected by halo width and wider halo results in
slightly higher threshold voltage. Also, the threshold voltage
is nearly independent in this channel length range. Slight
increase is due to the interactions between Si point defects that
are created during the S/D implant & boron doping in the
channel causes the boron to pile up near the S/D and thus raise
the threshold voltage [9].

Fig.6 Threshold voltage Vs Halo Doping Concentration with and without halo
spacing
Fig.7

shows the effect of halo depth variation on threshold

voltage for two doping concentrations. The higher halo
concentration results in higher threshold voltage but can be

Fig. 8 Threshold voltage Vs Channel length with varying halo width (w).

694

IV. CONCLUSION
Channel engineering has been observed to be very effective
approach in controlling the SCE effects in nano MOSFETs in
general and DIBL and threshold voltage in particular. With
the optimized deep doping close to source and drain region,
sub 50nm bulk MOSFETs can be realized with acceptable
short channel behavior.
ACKNOWLEDGEMENT
The authors would like to thank Dr. M.D.Tiwari, Director,
IIIT-Allahabad for his constant support and encouragement.
Thanks are also due to Prof. Radhakrishna, HOD,
Microelectronics Division for his keen interest in the work.
REFERENCES
[1]

[2]

[3]

[4]

[5]

[6]

[7]
[8]
[9]

J.P. Colinge, M.H. Gao, A. Romano-Rodriguez, H. Maes, and C.

Claeys, Silicon-On-Insulator, gate-all-around device" Proc. Int.
Electron Devices Meeting, 595 (1990).
Christopher P. Auth, James D. Plummer, Scaling Theory for
Cylindrical, Fully-Depleted, Surrounding-Gate MOSFETs IEEE
Electron Device Lett. 18, 74 (1997).
Xuejue Huang, Wen-Chin Lee, Charles Kuo, Digh Hisamoto, Leland
Chang, Jakub Kedzierski, Erik Anderson, Hideki Takeuchi, Yang-Kyu
Choi, Kazuya Asano, Vivek Subramanian, Tsu-Jae King, Jeffrey Bokor
and Chenming Hu, Sub 50-nm FinFET: PMOS Tech Digest IEDM,
Washington D.C., USA, 67 (1999).
Chun-Hsing Shih, Yi-Min Chen, and Chenhsin Lien, Design Strategy
of Localized Heavy Doped Halo Profile for Achieving Sub-50 nm Bulk
MOSFET 2003 IEEE.
F.Salehuddin, I.Ahmad, F.A.Hamid, Effect of Process Parameter
Variations on Threshold Voltage in 45nm NMOS Device Proceedings
of 2010 IEEE Student Conference on Research and Development
(SCOReD 2010), 13 - 14 Dec 2010, Putrajaya, Malaysia.
Najeeb-uddin Hakim, V. Ramgopal b o , and J. Vasi, Thin Film Single
Halo (SH) SO1 nMOSFETs -Short Channel Performance in Mixed
Signal Applications, IEEE INDICON, 525-529 (2004).
DEVEDIT 2D and ATLAS users manual, SILVACO corporation,
USA.
Plummer, J. D., M. D. Deal, and P. B. Griffin, Silicon VLSI
Technology Upper Saddle.River, NJ: Prentice Hall, 2000.
Ben G. Streetman, Sanjay Kumar Banerjee, Solid State Electronic
Devices Sixth edition, PHI learning private limited, 2009.

695

Simulation of SVPWM Based Variable

Frequency Drive Using Variable Step Size
Rakhi U Asodekar, E&TC Dept., College of Engineering, Pune, India (e-mail:rakhi.asodekar@gmail.com),
Shilpa P Metkar , E&TC Dept., College of Engineering, Pune, India (e-mail:metkars.extc@coep.ac.in)
Abstract- Speed control for induction motor is a necessary
part of todays industry. Normally we use mechanical methods
for speed control like gear box which are getting superseded.
Recently digital approach is used because of its higher reliability
and energy conservation. This paper describes the development
and simulation of a speed controller for a three phase squirrel
cage induction motor using Space Vector Pulse Width
Modulation (SVPWM). The above system is designed using a
novel variable step size method which keeps the switching
frequency constant. The paper presents MATLAB/SIMULINK
simulation model. The results confirm the validity of the model
and its control method.
Index Terms- SVPWM, PWM, Voltage Source Inverter
(VSI), Synchronous speed.

I. INTRODUCTION

he research in Pulse width modulation schemes has been

intensive in the last couple of decades. PWM techniques
have been used to achieve variable voltage and variable
frequency in dc-ac converters. PWM techniques are widely
used in different applications such as variable speed drives
(VSD). The objective of PWM techniques was to fabricate a
sinusoidal AC output whose magnitude and frequency could
both be restricted.
PWM switching strategies not only addresses the primary
issues viz, less THD, effective dc bus utilization etc but also
take care of secondary issues like switching loss, better
spreading of Harmonics over the spectrum. There are many
different PWM Techniques such as sinusoidal PWM Space
vector PWM, delta modulation techniques. It has been
analyzed theoretically and proved that the SVPWM technique
is may be the best modulation solution of the whole.
SVPWM is the best way to suppress harmonics and used to
adjust motor velocity. Especially it can attain low harmonics
even at lower operating frequency. And another merit
employing SVPWM is it can achieve 15% more fundamental
component among output voltage.

Fig. 1. 3 Phase Inverter

While the motor is running, three out of six switches will

be on at any given time; either one upper and two lower
switches or one lower and two upper switches. The switching
produces a rectangular shaped output waveform that is rich in
harmonics. The inductive nature of the motors stator
windings filters this supplied current to produce a 3- phase
sine wave with negligible harmonics.
When switches are turned off, the inductive nature of the
windings oppose any sudden change in direction of flow of
the current until all of the energy stored in the windings is
dissipated. To facilitate this, fast recovery diodes are provided
across each switch. These diodes are known as freewheeling
diodes.
To prevent the DC bus supply from being shorted, the
upper and lower switches of the same half bridge should not
be switched on at the same time. A dead time is given between
switching off one switch and switching on the other. This can
be achieved using inverter between the upper and lower gates.
This ensures that both switches are not conductive at the same
time as each one changes state. The voltage that needs to be
supplied so as to keep V/F ration constant is calculated as
depicted in following graph.

II. PRINCIPLE OF SPACE VECTOR PWM

The 3-phase induction motor is connected to a 3-phase
inverter bridge as shown in following fig. 1.The power
inverter has 6 switches that are controlled in order to generate
3-phase AC output from the DC bus. PWM signals, generated
from the microcontroller, control these 6 switches.
Switches Q1 through Q3, which are connected to DC+, are
called upper switches. Switches Q4 through Q6, connected to
DC-, are called lower switches.

Fig. 2. VF curve

Space Vector PWM supplies the AC machine with the

desired phase voltages. The SVPWM method of generating
the pulsed signals minimizes the harmonic contents. There are
eight possible combinations for the switch commands.

978-1-4673-0455-9/12/$31.00 2012 IEEE

696

Number of possible combinations from 3 arms will be 23=8

Out of which 2 vectors are zero vectors V000 and V111
The sector angles will be 360/6 = 60o
Hence each sector correspond to 60o

db = (Tb/ T) Vb
Tb = 2/ (Vx /Vb) sin () T
T0= T - (Ta+Tb)

These eight switch combinations determine eight phase

voltage configurations. The diagram below depicts these
combinations.

(2)
(3)

Where Ta and Tb are the times during which the vectors

V100 and V110 are applied and T0 the time during which the
zero vectors are applied.
The inverter output switching state topologies and
corresponding voltages are as described below

Fig. 3. Space vectors

The vectors divide the plan into six sectors. Depending on

the sector that the voltage reference is in, two adjacent vectors
are chosen. The binary representations of two adjacent basic
vectors differ in only one bit, so that only one of the upper
transistors switches when the switching pattern moves from
one vector to the adjacent one. The two vectors are time
weighted in a sample period T to produce the desired output
voltage. Assuming that the Vref is in 0th sector, we have
following situation.

Fig. 5. Switching diagram for power devices

The corresponding voltages are as described in following

Table I.
TABLE I
Phase voltages according to switching states

V110

db
b

/3

V100
da
Fig. 4. Vector components

da = Vx cos d2 cos /3
da = 2/ Vx cos
1/2 sin)
da = 2/
da = 2/

Vx
cos cos /3sin)
Vx sin (/3-)

Vx sin = d2 sin /3
db = 2/
Vx sin
da = (Ta/ T) Va
Ta = 2/ (Vx /Va) sin (/3-) T

(1)
697

State

On
Devices

VAB

VBC

VAC

Space
Voltage
vector

Q4,Q5,Q6

V0

Q1,Q5,Q6

2/3Vdc

-1/3Vdc

-1/3Vdc

V1

Q1,Q2,Q6

1/3Vdc

1/3Vdc

-2/3Vdc

V2

Q4,Q2,Q6

-1/3Vdc

2/3Vdc

-1/3Vdc

V3

Q4,Q2,Q3

-2/3Vdc

1/3Vdc

1/3Vdc

V4

Q4,Q5,Q3

-1/3Vdc

-1/3Vdc

2/3Vdc

V5

Q1,Q5,Q3

1/3Vdc

-2/3Vdc

1/3Vdc

V6

Q1,Q2,Q3

V7

III. SYSTEM DESIGN FLOW

The steps to achieve the required output are described below
The required speed is calculated from the output from the
ADC. The max value i.e. +10 V corresponds to the max
speed and -10 V correspond to min speed. If the motor is
required to rotate in both directions then the negative
voltage may correspond to the reverse direction.
The speed calculated above is the required rotor speed.
From this synchronous speed is calculated from the
equation Ns=Nm + Nslip. Nslip is fixed for a given motor
hardware.
The supply frequency is calculated as fs = NS * p/60
where p is number of poles for the given motor.
As described in speed control section the v/f ration should
remain constant. Hence the corresponding amplitude to be
supplied is calculated.
The step size is determined and the following steps are
executed in a continuous loop
- Sector is determined using the relation
Sector = floor (alpha/60)
- The floor function is used to round up the float value
to the closest integer less than the value
E.g. if alpha = 92o
Sector = 90/60 = 1.5
Floor (1.5) = 1
Sector = 1
- Sector alpha varies between 0 to 60o. the sector alpha
is calculated as
Sector alpha= (alpha mod 60)
E.g. if alpha = 90
Sector alpha = (90 mod 60) = 30 o
- Using the alpha calculated in above step T a, Tb and
T0 are calculated as follows
Ta = 2/ (Vx /Va) sin (/3-) T
Tb = 2/ (Vx /Vb) sin () T
T0= T - (Ta+Tb)
- Switching pattern is determined according to the
sector and corresponding rising and falling edge
timings are calculated.
- The alpha is incremented by calculated step size till
359 and again reset to 0.
All these steps are repeated for each sampled value of
alpha.
IV. SAMPLING CALCULATIONS
A. Conventional Method
The conventional method for PWM calculation is as
described below
Suppose the required supply frequency is 50 Hz
fac =50 Hz
Tac= 1/50 = 20ms
If we fix the sample size = 2o
Number of samples per cycle will be = 360/2= 180

Period per sample will be

= 20ms/180
= 55s
The PWM frequency = 1/55s =9k
Keeping the sampling size constant if the required supply
frequency is 200 Hz
fac =200 Hz
Tac= 1/200 = 5ms
As stated the fixed sample size = 2o
Number of samples per cycle will be = 360/2= 180
Period per sample will be
= 5ms/180
= 27s
The PWM frequency = 1/27s = 36k
According to the switching pattern selected it is clear that
the switching frequency is twice PWM frequency. Hence the
switching frequency will be almost 72 k which is quite high. If
we increase the step size to reduce the switching, it will work
fine for high frequencies but it will create shape distortion at
lower frequencies. This problem can be solved by varying the
step size according to supply frequency keeping PWM
frequency constant. The method is explained in the following
section.
B. Proposed Method
To solve the problem which is addressed above we fix the
PWM frequency which is selected according to switching
power losses and switching frequency supported by the
switching power devices which are IGBTs in our case. Here
are sample calculations.
Lets fix the PWM frequency as 20k
TPWM= 1/20k = 50s
For fac =50 Hz
Tac= 1/50 = 20ms
Number of samples per cycle will be = 20ms/50s= 400
samples
Sample size will be
= 360/400
= 0.9o
For fac =200 Hz
Tac= 1/200 = 5ms
Number of samples per cycle will be = 5ms/50s= 100
samples
Sample size will be
= 360/100
= 3.6o
We can observe that unlike the conventional method here we
have sample size less at lea frequency which prevents
distortion and the switching frequency also remains constant.
Hence both the above stated can be solved by a very small
adjustment in the firmware logic.
V. SIMULATION AND RESULTS
The project is simulated using MATLAB/SIMULINK and
results are verified.

698

operators. The next block calculates output of the VSI using

following logic

Fig. 6 Simulation model for SVM

The counter block along with the clock produces the

sampling values according to the step size. The period for
clock equals the PWM period and the max value for the
counter is 359.Matlab function blocks are used to determine
the sector and sector alpha. The functions used for the
calculation are floor (u/60) and mod(u,60) for sector and alpha
determination respectively.

Fig. 9. Va, Vb and Vc Voltages at output verses time axis

Output frequency variations can be seen in following

examples
Example 1
The PWM period is set to 55 S and number of samples
are 360 per cycle.

Fig. 10. Output for Example 1

Fig. 7. Alpha, Sector and Sector alpha outputs verses time axis

The sector and alpha are used to calculate the timings T1

and T2 using lookup table. The T0 period is calculated from
these two periods. Considering PWM period as 100 the output
of these blocks is as shown in following Fig. 7.

From figure the period for waveform is 2.

But the sampling period is 1/100.
Hence the actual period is
2*1/100=0.02s=20ms
The output frequency is fac = 1/20ms = 50Hz

Example 2
To achieve frequency of 60 Hz we keep the PWM period
constant as 55 S and number of samples are changed to 303
per cycle.

Fig. 8. T1, T2 and T0 variations verses time axis

Using all these inputs rising and falling edge calculations

are done. These rising and falling edges are used to generate
double edge controlled PWM waveform using relational

Fig. 11. Output for Example 2

The period is now changed to 1.67 from the Fig. 11.

But the sampling period is 1/100.

699

The future scope includes the hardware implementation of the

proposed system and testing it for validation.

Hence the actual period is 1.67*1/100=0.0167s=16.7ms.

The output frequency is fac = 1/16.7ms =59.88 Hz 60Hz
VI. CONCLUSION

REFRENCES

AND FUTURE WORK

From above results we have,

PWM frequency =18k Hz (fixed for both )
For Example 1 step size=10
fac=50Hz
For Example 2 step size=1.20
fac=60Hz
Hence we have achieved desired change in frequency by
changing step size while keeping the PWM period constant
which also helps in output filter designing. From the results it
is verified that the proposed method has produced desired
frequency variation keeping the switching frequency constant.

[1] Atif Iqbal, S.k. Moin Ahmed, Mohammad Arif Khan, Haitham Abu-Rub,
Generalized simulation and experimental implementation of space vector
PWM technique of a three-phase voltage source inverter, International
Journal of Engineering, Science and Technology Vol. 2, No. 1, 2010, pp. 1-12
[2] Leon, J.I.; Vazquez, S.; Sanchez, J.A.; Portillo, R.; Franquelo, L.G.;
Carrasco, J.M.; Dominguez, E., Conventional Space-Vector Modulation
Techniques Versus the Single-Phase Modulator for Multilevel Converters,
IEEE Transactions on Industrial Electronics, Vol. 57, No. 7.,2010,pp. 2473 2482.
[3]Bimal K. Bose, Power Electronics and Variable Frequency Drives
Technology and Applications, New York, IEEE PRESS.
[4] Wenxi Yao; Haibing Hu; Zhengyu Lu, Comparisons of Space-Vector
Modulation and Carrier-Based Modulation of Multilevel Inverter, IEEE
Transactions on Power Electronics, Vol. 23, No. 1,2008, pp.45 51.
[5] GE Industrial Systems, SVM Space Vector Modulation Improved output
performance through advanced inverter control, White Paper No.2, UPS
systems for power quality solutions.

700

FLOW ANALYSIS AND ROTOR-STATOR

INTERACTION ALONG WITH DESIGN
SPECIFICATION OF A MULTI STAGE LOW
SPEED AXIAL COMPRESSOR
ARATRIKA SENGUPTA1 ,
B.TECH, 3 YEAR, ELECTRICAL ENGINEERING,
WEST BENGAL UNIVERSITY OF TECHNOLOGY,
E-MAIL : sengupta.aratrika8@gmail.com
rd

ABSTRACT
A compressor in which the fluid enters and leaves in the axial
direction is called axial flow compressor. Here the compression
is fully based on diffusing action of the passages. If 50% of the
pressure rise in a stage is obtained at the rotor section, it is said
to have a 50% reaction. Now, in order to improve unsteadiness
in the flow of fluid for turbo machinery applications, there is
still the need for high quality performance factor and design
specification required for validation . The blade-to-blade
measurements impart an idea of the transport of the fluid and
the flow phenomena within the rotor and also establishes a
correlation between the semiconductor probes in the axial gaps
and tip leakage flow region, especially for the analysis of
forced response operating points. So the main objective is to
represent a unique work in analyzing the performance
parameters and design specifications. An analysis of multistage axial compressor with high reaction blading is carried
out. The usual methods of linearizing the equations for flow
through the compressor fail for this type of blading. An
analytical solution of the non-linear equations is worked
through for off-design operation. Flow velocities through the
first stages are calculated for the off-design flow rates in order
to insure that the flow does indeed come to a steady-state
repeating pattern. Entering flow angles for both rotor and
stator are calculated for this repeating flow condition . the offdesign incidence angles for the stators at low flow rates
indicate a possible deterioration of efficiency.
INDEX TERMS : Axial compressor,rotor-stator interaction,
multistage,turbo-machinery.

List of symbols :
r radius measured from compressor straight line
R tip radius
angle of rotation
efficiency (work into ideal compressor) / (work into actual
compressor)
mass flow parameter
Tf Final Temperature
Pf Final Pressure
Ti Initial Temperature
Pi Initial Pressure
angular velocity of rotor

D Diameter of the annulus ring

h enthalpy change
density(assumed constant throughout)
axial direction specification
angle between axial direction and relative velocities
r/R
work co-efficient
u tip speed
ca axial component of velocity
cu tangential component of velocity
w velocity relative to the rotor
work factor
1.INTRODUCTION
Axial compressors are rotating, airfoil-based compressor in which
the working fluid flows parallel to the axis of rotation.
This is in contrast with other rotating compressors such as
centrifugal, axi-centrifugal and mixed-flow compressors where the
air may enter axially but will have a significant radial component
on exit. Axial flow compressors produce a continuous flow of
compressed gas, and have the benefits of high efficiencies and
large mass flow capacity, particularly in relation to their crosssection.[1-3] They do, however, require several rows of airfoils to
achieve large pressure rises making them complex and expensive
relative to other designs (e.g. centrifugal compressor).Axial
compressors are widely used in gas turbines, such as jet engines,
high speed ship engines, and small scale power stations. They are
also used in industrial applications such as large volume air
separation plants, blast furnace air, fluid catalytic cracking air, and
many other purposes. Axial compressors, known as supercharges,
have also been used to boost the power of automotive reciprocating
engines by compressing the intake air.
Real work on axial-flow engines started in the late 1930s, in
several efforts that all started at about the same time. In England,
Hayne Constant reached an agreement with the steam turbine
company Metropolitan-Vickers (Metrovick) in 1937, starting their
turboprop effort based on the Griffith design in 1938. In 1940,
after the successful run of Whittle's centrifugal-flow design, their
effort was re-designed as a pure jet, the Metrovick F.2. as
mentioned in literature[4]In Germany, von Ohain had produced
several working centrifugal engines, some of which had flown
including the world's first jet aircraft (He 178), but development
efforts had moved on to Junkers (Jumo 004) and BMW (BMW

978-1-4673-0455-9/12/$31.00 2012 IEEE

701

003), which used axial-flow designs in the world's first jet fighter
(Messerschmitt Me 262) and jet bomber (Arado Ar 234). In the
United States, both Lockheed and General Electric were awarded
contracts in 1941 to develop axial-flow engines, the former a pure
jet, the latter a turboprop. Northrop also started their own project to
develop a turboprop, which the US Navy eventually contracted in
1943. Westinghouse also entered the race in 1942, their project
proving to be the only successful one of the US efforts, later
becoming the J30 [5-6].
By the 1950s every major engine development had moved on to
the axial-flow type. As Griffith had originally noted in 1929, the
large frontal size of the centrifugal compressor caused it to have
higher drag than the narrower axial-flow type. Additionally the
axial-flow design could improve its compression ratio simply by
adding additional stages and making the engine slightly longer. In
the centrifugal-flow design the compressor itself had to be larger in
diameter, which was much more difficult to "fit" properly on the
aircraft.[7] On the other hand, centrifugal-flow designs remained
much less complex (the major reason they "won" in the race to
flying examples) and therefore have a role in places where size and
streamlining are not so important. For this reason they remain a
major solution for helicopter engines, where the compressor lies
flat and can be built to any needed size without upsetting the
streamlining to any great degree.
The compressors in most gas turbine applications, especially
units over 5MW, use axial flow compressors. An axial flow
compressor is one in which the flow enters the compressor in an
axial direction (parallel with the axis of rotation), and exits from
the gas turbine, also in an axial direction. The axial-flow
compressor compresses its working fluid by first accelerating the
fluid and then diffusing it to obtain a pressure increase. The fluid is
accelerated by a row of rotating airfoils (blades) called the rotor,
and then diffused in a row of stationary blades (the stator). The
diffusion in the stator converts the velocity increase gained in the
rotor to a pressure increase.[8] A compressor consists of several
stages: 1) A combination of a rotor followed by a stator make-up a
stage in a compressor; 2) An additional row of stationary blades
are frequently used at the compressor inlet and are known as Inlet
Guide Vanes (IGV) to ensure that air enters the first-stage rotors at
the desired flow angle, these vanes are also pitch variable thus can
be adjusted to the varying flow requirements of the engine; and 3)
In addition to the stators, another diffuser at the exit of the
compressor consisting of another set of vanes further diffuses the
fluid and controls its velocity entering the combustors and is often
known as the Exit Guide Vanes (EGV). The arrangement is as
shown below.

Figure 1 : blade movement

The compressor has several important parameters. There are the

mass ow , the initial and nal temperatures T02 and T03 , the
initial and nal pressures p02 and p03 , the shaft speed (also
denoted as N or ), the rotor diameter D, and so on. To compare
the parameters in some ways,[9] Dimensionless parameters are
used. By using dimensional analysis, we can nd that there are
four dimensionless parameter groups. The parameter groups are
known as the mass ow parameter group , the pressure ratio,
the shaft speed parameter group and the eciency . The
expression for them are respectively given as
(RTi )/piD2

pf /pi

D/(RTi )

2. DISCUSSION
2.1)Significance of the low speed axial compressors
In the jet engine application, the compressor faces a wide variety
of operating conditions. On the ground at takeoff the inlet pressure
is high, inlet speed zero, and the compressor spun at a variety of
speeds as the power is applied. Once in flight the inlet pressure
drops, but the inlet speed increases (due to the forward motion of
the aircraft) to recover some of this pressure, and the compressor
tends to run at a single speed for long periods of time. [10]There is
simply no "perfect" compressor for this wide range of operating
conditions. Fixed geometry compressors, like those used on early
jet engines, are limited to a design pressure ratio of about 4 or 5:1.
As with any heat engine, fuel efficiency is strongly related to
the compression ratio, so there is very strong financial need to
improve the compressor stages beyond these sorts of ratios.
Additionally the compressor may stall if the inlet conditions
change abruptly, a common problem on early engines. In some
cases, if the stall occurs near the front of the engine, all of the
stages from that point on will stop compressing the air. In this
situation the energy required to run the compressor drops suddenly,
and the remaining hot air in the rear of the engine allows the
turbine to speed up the whole engine dramatically.[11] This
condition, known as surging, was a major problem on early
engines and often led to the turbine or compressor breaking and
shedding blades. For all of these reasons, axial compressors on
modern jet engines are considerably more complex than those on
earlier designs. Hence speed in axial compressor is usually made
slow. The diagram below shows the physical sketch of Low speed
axial compressors.

Figure 2: Low speed axial compressors

702

2.2) Variation of temperature velocity, and pressure through

an axial-flow compressor.
Figure below shows the pressure, velocity, and total
temperature variation for flow through several stages of an axial
compressor.[12] As indicated in figure, the length of the blades,
and the annulus area, this is the area between the shaft and shroud
which decreases throughout the length of the compressor. The next
diagram showing the single blade profile, the combination of
which makes up the multi stage compressor.

Figure 3 : pressure, velocity, temperature variation

Polytropic efficiency is isentropic efficiency of an infinitesimally

small compression step, such that its magnitude is constant
throughout.
Isentropic efficiency falls as pressure ratio is increased for same
polytropic efficiency.
Isentropic efficiency is denoted by c[3]
Where , c = (T03s T01)/(T03 T01)
Two of the most widely used efficiencies are the
isentropic efficiency and the polytropic efficiency.
Graphically[13] , the efficiency comparison of both
dynamically processed compressors are shown.

Figure 5: Efficiency Comparison between axial and

Centrifugal compressor
2.4 Losses
The flow in a compressor is a complicated 3-D , unsteady, and
dominated by viscous effects. [14-16]The dissipative nature
increases entrpy and a loss in pressure occurs due to the flow
effects. The individual losses are lumped into profile- and endwalllosses. These pressure losses are dependent on a numerous
parameters which include tip clearance, blade aspect ratio, pitch
chord ratio, thickness chord ratio, Mach number and Reynolds
number. The different loss models are based on mid radius and will
be modelled individually for the rotor/stator.

Figure 4 : blade profile

2.3) Axial flow compressorsbasic operation
Working fluid initially accelerated by rotor blades, then
decelerated in stator blades where kinetic energy
transferred in rotor is converted to static pressure
Many stages necessary for required overall pressure ratio
Flow always subject to adverse pressure gradient
Process consists of series of diffusions in both rotor &
stator blade passages
Careful design of compressor blading necessary to
prevent wasteful losses and minimize stalling
Flow reversals may occur at mass flow conditions
different from blade design conditions
Now, Isentropic efficiency is ratio of ideal specific work input,
or total T rise, for given pressure ratio to actual
Definition of isentropic is adiabatic + reversible
Total T rise & power input to sustain given P ratio is proportional
to inlet total temperature.

Figure 6 : Graph representing Total Loss

2.4.1)Profile Loss :
Profile-losses are based on the effect of blade boundary layer
growth (including separated flow) and wakes through turbulent and
viscous dissipation. The effect of these losses is an increase of
entropy due to the heat developed by the mechanical energy within
the boundary layers. This results in a stagnation pressure loss
2.4.2)Endwall Loss :
In addition to the losses which arise from the blade surfaces, i.e.
profile losses, additional losses generated on the end walls. These

703

are often called secondary losses which arises from end-wall

boundary layer build up, secondary flow and tip clearance. When a
flow that is parallel but non-uniform in velocity and density is
made to follow a curved path, the result is a three-dimensional
motion with velocity normal to the overall flow direction. Crossflow of this type is referred as secondary flow. A good analogy
of this is a simple teacup. When stirring the tea in a teacup, the tea
leafs will move towards the center of the cup driven by the
secondary flow. The formation, development, diffusion and
dissipation of these vortices as well as the kinetic energy in
secondary velocities generate secondary flow losses. Somewhere
between 50-70% of the losses may come from endwall losses,
depending of the type of turbo machinery.
2.5) Advantages of axial compressors
Frontal area is lower for given mass flow & pressure
ratio. For ex. at pressure ratio of 5:1, axial compressor
diameter would be half of centrifugal.
Weight is less because of lower engine diameter.
For mass flow rates > 5kg/s, axial flow compressor has
greater isentropic efficiency.
Disadvantages of axial compressors
Good efficiency over narrow rotational speed range.
Difficulty of manufacture and high cost.
Relatively high weight.
High starting power requirements (this has been partially
overcome by split compressors)
3. THREE DIMENSIONAL EFFECT ON AXIAL
COMPRESSOR[17]
The pressure rise across the stage is obtained as ,
(Pf-pi )/ = u2

.(1)

A work co-efficient is usually defined as

= (p) / 0.5 2R2

evaluated therefore will be conservative over the rest of the blade.

An existing experimental set up prescribed the hub ratio 1 = 0.6 .
There is another restriction on the velocities which cannot be easily
described in the analytical form. This is the amount of turning that
can be accomplished efficiently in the blade rows. Due to lower
blade speed at the hub and the adverse pressure gradient in the
rotor, this condition is most severe at the rotor hub. was chosen
as 0.6 and the values of turning angle were obtained for different
values of . The quantity = 0.70 and = 0.58 and were
subsequently chosen. The value of can be raised substantially for
a compressor with hub ratio in the range of 0.7 to 0.75
This is not expected since vortex blading is exactly twodimensional at the design flow rate. However, we have yet to
consider the off-design conditions where a radial component of
velocity does exist. At, design the work co-efficient was constant
over the blade height. This is desirable to cut down losses due to
mixing at the end of the compressor and actually is necessary on
all stages after the first few because a piling up of pressure at
some radius is impossible for a very large number of stages. Thus
restrictions will be applied at off-design flow rates also. But since
the value of ideal pressure greater than 0.72 will be required at the
starting, the two dimensional analysis of flow is unsatisfactory. It
must be mentioned that if can be pushed as high as 0.72 in a
standard compressor, there would be the same difficulty.
Normally, axial flow compressors have an ideal pressure coefficient of between 0.4 and 0.5 .It has been observed
experimentally that a three dimensional flow analysis of the
compressor does not contain this singularity in .This difficulty is
mathematical rather than physical and appears to be the result of an
invalid linearization of the three dimensional equations of
motion.There seems to be no way of calculating the ideal flow
patterns except by numerical procedure with a radial shift of the
streamlines taken into account.
The assumptions made in the three dimensional analysis are :

..(2)

Incompressible perfect fluid

Asymmetric flow
Equations are written for far upstreams and far
downstreams of a blade row.

Thus, when the compressor is operating at the design point,

= 2

4. ANALYTICAL CALCULATIONS AND RESULTS

But, experimentally it has been found that is not unrestricted.

Thus,
( wi 2- wf2)/ wi 2 <

(3)

Where is between 0.5 and 0.6 .Defining a non-dimensional flow

co-efficient as
=ca/u

..(4)

This restriction can be written as,

{( + 22)2/(44/1-) } {2/( 2/)} < 1
..(5)
This condition must be satisfied over the entire length of the blade.
Since the restriction is most severe at the hub, values of and

4.1)Calculation limitations :
Mean stream line analyses[18]
The calculations in this thesis are based on mean line stream
analysis i.e. one dimension. The mean radius is used in the
calculations to determine the blade speed. Normally when
calculating with the mean line stream method, the mean radius will
not
change. But by changing the mean radius throughout one stage will
give a more accurate design, as shown in the figure. The mean
radius will be kept constant in the space between rotor and stator as
well for the space between each row. A change in radius in the
space between each blade row wont make a big difference in the
end result. It is more crucial to have a change in radius in the blade
them self since this will have a more noticeable effect.

704

Convergence criterias
There are two main input parameters that the calculation must
satisfy. These are the total pressure ratio, , and the stage
reaction, R. To be able to have the desirable pressure ratio and
stage reaction after the calculation is done, it is necessary to adjust
some parameters. There are several parameters that can be chosen
but two parameters have been selected, one for the pressure ratio
and one for the stage reaction. The pressure ratio is adjusted with
help from the stage load coefficient.It is easier to control the load
on the compressor when designing it; this is why the stage load
coefficient is selected as the adjustment parameter for the pressure
ratio.
4.2) Axial compressor analysis velocity triangle[19]

Figure 7: velocity triangle

4.3) Axial compressor analysis with the help of velocity

triangle and eulers equation[19]
Air approaches rotor with velocity V1 at angle 1 in axial direction
Combining V1 vectorially with blade speed U gives velocity
relative to blade Vr1 at angle 1
Fluid leaves rotor with relative velocity Vr2 at angle 2
Air leaving rotor at angle 2 then passes to stator where it is
diffused to velocity V3 at an angle 3
Typical design is such that
V3 = V1 & 3=1
Assuming Vf=Vf1=Vf2 the following equations emerge
U/Vf = tan 2 + tan 2
Power input is given by
W = mcp(T02 T01)
& W = mU(Vw2 Vw1)

The expression can be put in terms of velocity & air

angles to give
W = mUVf(tan 2 tan 1)
or W = mUVf(tan 1 tan 2)
Unlike conventional multi-stage compressors,the design of the
stator blade is such as to give an accelerating flow through the
stator rows. The rotor blades then turn flow back to the axial
direction. This type of design has been used in some single-stage
fans.
The energy transfer may also be written in terms of the absolute
velocity flow angles. We See,
W/m=U2Cx2-U1Cx1 .......... (6)
Or, E= (U2Cx2 U1CX1)/g
But from the velocity triangles and noticing that Ca is constant
through the stage, and U1=U2=U,
Cx2 = U Ca tan2
It is only inlet of the machine that the velocity profit is fairly
constant over the blade length. The solid boundaries of the rotor
and stator exert more and more influence on the velocity profile as
the air moves through the compressor. The variation in work done
factor in the figure shows a decrease as the number of compressor
stages increases.
And, Assuming adiabatic flow through stage, h03=h02 , and
therefore Eq(3.1) may be written as
Cx1 = U Catan1
Thus, Cx2 Cx1 = Ca (tan1 tan2) ...... (7)
And
E = U Ca (tan1 tan2)/g (W/(N/s)) .. (8)
The energy transfer may also be written in terms of the
absolute velocity flow angles. Equation (7) may be used depending
upon the information available.
The flow through the stage is shown thermodynamically on the
Mollier chart in the figure and is similar to that for a centrifugal
compressor. The enthalpy change is continuous taking account of
irreversibilities in the rotor and stator.
W/m = h02-h01 (w/(kg/s)) .. (9)
Writing, ho = h + C2/2 = h + (Ca2 + Cx2) /2
(h2-h1) (Cx2 Cx1) [ 2U (Cx2 + Cx1)]/2 = 0
Rearranging , (h2-h1) (Cx2 Cx1)[(U Cx2) + (U Cx1)]/2 = 0
(h2-h1) + [(Wx2 Wx1)( Wx2 + Wx1)]/2 = 0
(h2 h1) + (Wx22 Wx12)/2 = 0
2
But ( Wx2 Wx12) = (W22 W12) since Ca is constant. Therefore,
h2 + W22/2 = h1 + W12/2 .. (10)
And eq (3.5) can be written , h02rel = h01rel .. (11)
Where the relative total enthalpy is based on the relative
velocity.
Equation(11) shows that the total enthalpy based on relative
velocities in the rotor is constant across the rotor and this result is
also valid for axial flow gas turbine rotor. The relative velocity
may be of the same order of magnitude, but the axial flow
compressor receives no contribution from the change in tangential
velocity.
The isentropic efficiency is written as,
c = Ideal isentropic work input/ Actual work input
= (h03ss h01)/ (h03 h01)
Which reduces to
= T01(T03ss/T01 1) / (T03 T01)
Putting
P03/P01 = (T03ss/ T01 )
The pressure ratio becomes
P03/P01 = [ 1 + c(T03 T01)/ T01]

705

The energy input to the fluid will be absorbed usefully in

raising the pressure and velocity of air and some will be wasted in
overcoming various frictional losses. However the whole of the
work input will appear as a stagnation temperature rise of the air
regardless of the isentropic efficiency. In practice Ca is not

constant along the length of the blade. Hence to account for this, a
work done factor, is introduced, defined as
work done factor , = Actual work absorbing capacity / Ideal
work absorbing capacity

+
Figure 8: Mollier chart

Figure 9: variation of axial velocity along a blade

Figure 10 : Variation of work done factor with number of stages

706

5. SIZING PARAMETERS AND DESIGN

SPECIFICATION[20-21]
Mean inlet Mach number
This is the mean Inlet Mach Number at the compressor
face calculated using Q curves together with the known
inlet flow, pressure, temperature and front face area.
While it is desirable particularly for aero-engines, to
have a high inlet mach number to minimize the frontal
area this leads to high relative velocities at the first stage
blade tip, and hence efficiency.
Common values lie between 0.4 & 0.6.
Highest level for aeroengines in supersonic application.
Tip Relative Mach number
The highest tip relative mach no. will occur on the first
stage.
Inlet absolute gas velocity will usually be axial & may be
considered constant across the annulus
Conservative & ambitious design levels are 0.9 & 1.3.
The latter requires high diffusion relative to blade to
achieve subsonic conditions, which increases pressure
losses.
Stage Loading
Measure of how much work is demanded of the
compressor or stage.
It is the enthalpy increase per unit mass flow of air,
divided by blade speed squared (Dimensionless).
Efficiency improves as loading is reduced, but more
stages are required for given pressure ratio.
Loading along the pitch line should be 0.25 to 0.5.
Pressure ratio & number of stages
Achievable pressure ratio for given no. of stages
governed most importantly by good efficiency.
Higher the overall pressure ratio in a given no. of stages,
& hence loading, lower the efficiency.
Hade Angle
Angle of the inner or outer annulus line to the axial.
A hade angle of upto 10 degree , but preferably less
than 5 degree may be used for outer annulus
Inner annulus line angle should be kept to less than 10
degree.
Axial Velocity & Axial Velocity Ratio
Axial velocity ratio is the axial velocity divided by blade
speed on the pitch line.
Axial component of velocity is normally kept constant
throughout the compressor.
Axial velocity ratio is normally btw 0.5 & 0.75.
Aspect Ratio
Defined as height divided by vane or blade chord.
Typical design levels are 1.5 3.5.
Exit Mach number & Swirl Angle
Must be minimized to prevent downstream pressure loss.
Mach no. shouldnt be higher than 0.35 (ideally 0.25).
6. SUMMARY
Optimum values of sizing parameters for axial flow compressors
have been discussed . Frictional, Incidence and Clearance &
Leakage Losses for compressors have been discussed. Axial

compressors have their own advantages & limitations and has been
discussed. Owing to manufacturing difficulties there is practical
upper limit of around 0.8m on diameter of centrifugal impeller,
hence mass flow & pressure ratio capability.Magnitude of above
advantage increases with mass flow rate. In Axial compressors,
pressure ratio is achieved by passing the fluid through stages of
rotors & stators. Compressors are machines which raise the
pressure of a fluid using various energy transformations.
7. REFERENCES
[1] Gas Turbine Theory by H.I.H. Saravanamuttoo, G.F.C.Rogers
and H. Cohen.
[2] Gas Turbine Performance by P.P. Walsh and P.Fletcher.
[3] Introduction to the Gas Turbine by D.G. Shepherd & Lieblein,
S., Schwenk, F.C., and Broderick, R.L., Diffusion Factor for
Estimating Losses and Limiting Blade Loading
in Axial-Flow Compressor Blade Elements, NACA RM #53001
(1953).
[4] Thesis, by James H. Mauldin , California Institute of
Technology, Yr:1963
[5] Boyce, M.P., Fluid Flow Phenomena in Dusty Air, (Thesis),
University of Oklahoma Graduate College, 1969, p.18.
[6]General Concepts from NPTEL Online & Google Search
Engine.
[7]Hill, Philip and Carl Peterson. 'Mechanics and Thermodynamics
of Propulsion,' 2nd edn, Prentice Hall, 1991.
[8]Kerrebrock, Jack L. 'Aircraft Engines and Gas Turbines,' 2nd edn,
Cambridge, Massachusetts: The MIT Press, 1992..
[9]Rangwalla, Abdulla. S. 'Turbo-Machinery Dynamics: Design and
Operation,' New York: McGrawl-Hill: 2005.
[10]Wilson, David Gordon and Theodosios Korakianitis. 'The Design
of High-Efficiency Turbomachinery and Turbines,' 2nd edn, Prentice
Hall, 1998.
[11]Lakshminarayana, Budugur. Fluid Dynamics and Heat Transfer
ofTurbomachinery, Wiley-Interscience, John Wiley & Sons, 1996.
[12]Howard, J.H.G. Axial Fan and Compressor Modeling. 2001.
McKenzie, A.B. Axial Flow Fans and Compressors, Ashgate
PublishingLimited, 1997.
[13]Denton, J D. Cambridge Turbomachinery Course, Whittle
Laboratory,
[14]Deparment of Engineering, University of Cambridge, 2004.
Hoffman, Joe D. Numerical Methods for Engineers and Scientists,
MarcelDekker Inc
[15] Marble, F.E ,The flow of perfect fluid through an axial
Turbomachine with prescribed blade loading Journal of aero
science, Vol. 15, pp 473-485 (August 1948).
[16] Smith, C. J., Affordable nacelle technologies for future
turbofans, ASME Paper # 95-GT-402,New York, 1995.
[17]Tryfonidis, M., Etchevers, O., Paduano, J. D., Epstein, A. H., and
Hendricks, G. J., Prestall behavior of several high speed
compressors, ASME Journal of Turbo-Machinery 117(1):6280,
1995.
[18]Wadia, A. R. and James, F. D., F110-GE-132: Enhanced power
through low-risk derivative technology,
ASME Paper # 2000-GT-578, New York, 2000.
[19]Garnier, V. H., Epstein, A. H., and Greitzer, E. M., Rotating
stall anticipation and initiation in axial compressors, ASME Paper #
90-GT-156, New York, 1990.
[20] Hunecke, K., Jet EnginesFundamentals of Theory, Design and
Operation, Motorbooks International Publishers, Osceola, Wis.,
1997.
[21]McDougall, N. M., Cumpsty, N. A., and Hynes, T. P. Stall
inception in axial compressors,ASME
Journal of Turbo-Machinery 112:116125,1990.

707

Computer- aided Prognosis of Histopathological

Digital Image: A Classification, based on Quality
Parameters
Pranshu Saxena, Student
M.Tech Department of Computer Science
Lovely Professional University, Jalandhar-144402, India
Email:pranshusaxena@gmail.com

Abstract: - We are developing a computer-aided prognosis system

for cancer, The Computer aided system (CAD) aid better
representation (3D + quantitative values) for physician to judge
the diseased tissue for further treatment planning [8]. According
to the Pathology Classification, cancer patients are classified into
favourable and unfavourable histology based on the tissue
morphology and to identify unfavourable histology at initial
phase leads to increase the chance to recover the cancer quickly.
In this study, we propose an image analysis system that operates
on digital Histopathological images and classifies each image in
terms of their quality parameters (Brightness, Contrast,
Entropy, Hue, Saturation and Value, Size, Texture, Shape). Basic
idea behind this project is to benefit the physicians in diagnosing
the problems faced by patients. CAD that analyses the quality of
histopathological images using artificial neural network, for
analysing the quality we are using components like Feature
Extraction (for describing the Image quality), Principal
Component Analysis (PCA) for abbreviated value of feature
extraction, and finally Artificial Neural Network (ANN) for
justifying the image quality. We then compare the system output
with the pathologists prediction, and conclude about quality in
terms of good, moderate or bad. It is our strong belief that there
is no such system documented in the scientific community by
which doctors can relate their qualitative results (which varies
doctor to doctor) of Histopathological Images.

but n-dimensional large matrices, containing pixel value and

each pixel, collectively describing the property of the image.
It is to be noted that when we perform operations on such
large images, there is time complexity associated with it. The
solution to this is the implementation of Principal Component
analysis (PCA). PCA reduces the dimensions of the image
without much loss of information. It is a mathematical
procedure that transforms a number of possibly correlated
variables (image pixel having similar behaviour) into a
smaller number of uncorrelated variables [7] by which we can
reduce the dimension of matrices and predict the value of
quality features (Brightness, Contrast, Entropy, Hue,
Saturation and Value, Size, Texture, Shape) of input image
efficiently. The output of PCA contains all the features are fed
as input to Neural Network intelligent module. Neural
networks are composed of simple elements operating in
parallel. These elements are inspired by biological nervous
systems. As in nature, the connections between elements
largely determine the network function.To train this neural
network, we extract above features from number of images,
both good and bad. Neural network as per its training gives
analyses and declares the quality of an image by giving us
experimented value of input image.

Index Terms -- Artificial Neural Network, Histopathology,

qualitative & quantitative analysis, Principal Component Analysis,
Prognosis, and Tissue

I.

INTRODUCTION

Histopathology, the microscopic study of diseased tissue (like

blood clouding, distortion), is an important framework in the
field of anatomical pathology. Accurate diagnosis of cancer
and other diseases usually require Histopathological
examination (MIRA) of samples. Analyzing all these
microscopic digital images by physicians is a very tedious
process, and sometimes leads us to incorrect conclusions.
First, it is not practical to examine every region of the tissue
slide under the microscope at high magnification and second,
the resulting diagnosis reports various considerably doctor to
doctor. So we hope the computer aided system (CAD)
developed would aid physicians and lead us to new areas of
research. We tap Digital image processing techniques to aid us
reduce the human error. Digital Image Processing is nothing

978-1-4673-0455-9/12/$31.00 2012 IEEE

708

Fig. 1. Basic concept of project

Finally we compared experimented output (of CAD) and

expected (pathologists) predictive value. We describe the
quality as good If both results are same (less deviated),
moderate if average deviation between results, and finally
more deviation as bad result. However, due to variation of
tissue structure and different prognosis produced in different
diseased types, it is impractical to develop a universal system
that suites all diseased type even though they showed similar
characteristics so we restrict our research to only prostate.In
our following sections, we provide detailed description of
entire system and comparative analysis between experimented
and expected output including error analysis.
II.

EXTRACTION OF E XTRACTION

First step in our system is to transform the image into a set of

quality parameters. Transforming the input data (image) into
the set of features is named as feature extraction. Feature
extraction involves tapping appropriate algorithms and
techniques to extract the qualitative and quantitative
parameters of objects of interest from a large set of data as
precisely as possible. In the field of Medical Imaging, the
following features like brightness, colour, contrast, entropy
calculation, texture, shape, size analysis are considered to be
important.

Entropy is a statistical measure of uncertainty, associated to

random variable that can be used to characterize the texture of
the input image. Entropy is defined as
E = -sum (p.*log (p))
Where, p contains the histogram counts returned from imhist.
We use direct matlab function to determine the Entropy value.
E. Shape Analysis
For the extraction of shape of disease tissue and cell, we
started with simple Hough Transform, finding tangents on the
boundary of every polynomial shape and joining all of
tangents of respective cell for drawing the exact shape of a
particular cell. This method is known as Circular Hough
Transform (CHT) [11]-[12] in which we

2.

Select number of input arguments above threshold

value.
Convert image to single precision.

3.

Create accumulation array.

4.

Calculate gradient of these pixels.

5.

Vote on these gradients is done.

6.

calculate local maximum of the remaining

7.

Calculates area of interest.

8.

Calculates Centroid of all local maxima of each AOI.

A. Brightness Calculation

9.

Estimates the radii of circle by signature curves.

Brightness is an attribute of a visual sensation according to

which a given visual stimulus appears to be more or less
intense. For our purpose we are calculating Brightness by
converting the pixel in to double precision and taking mean of
pixel value after that we normalize value to get value in
probabilistic base (in the range of 0 to 1). [10]

10. Local maxima of the signature curve is calculated

All these features are extracted from the image using

MATLAB, version R2009a on Windows XP, Intel Dual core
1.73 GHz Processor. The input images were acquired from
patients in the area of Pune, India from various Radiologists.
A brief explanation is as follows.

1.

which is radii of circle.

11. Circle is drawn with the help of rectangle function.

B. Color Calculation
Hue saturation and value are three parameters by which we
represent the color of any image all three parameters are
calculated explicitly by converting input image in HSV form
[3].
C. Contrast Calculation
Contrast shows the dissimilarity between things (pixels). It
creates a new gray color map that has an approximately equal
intensity distribution. [10]
D. Entropy Calculation
Fig.2. Shape analysis by CHT

709

Modified Active Contour Model

Previously, size analysis by circular Hough Transform was
not able to justify our need because it was able to find only the
circular image while tissue can have any kind of shape,
resulting in choosing active contour model (ACM) in
modified form which also named as snake algorithm because
algorithm proceeds like a snake and works on energy function
that is the sum of internal and external energy. The algorithm
covers the entire image area and find out the shape of nuclei.
Working of algorithm is as follows. When the snake is at the
objects boundary position i.e. on the verge of drawing the
boundary (regularized boundary of nuclei), the external
energy is supposed to be minimal.[13]
The internal energy is supposed to be minimal when the snake
has a shape which is supposed to be relevant to the shape of
the sought object (nuclei).

Gabor Filter provides information on orientation and

frequency of the features. We ignore the frequency, but
determine the orientation of the texture of an image using the
following steps-1.
2.
3.
4.
5.

Load Input image.

Creating Gabor filters with 30 orientations with
respect to others for filtering purpose.
Convolving each mask (filter) with input image.
Find out the covariance of convolving matrices
(classification).
Display the textured (segmented) image.

The orientation of the texture is a property whose analysis

leads us to determine three dimensional representation of the
texture of an image. The input image is convolved with 12
different orientation masks using GABOR filter, resulting in
an output of 12 different representations (with different
orientation) of our input image. The information included in
the 12 representations coming from the application of Gabor
filter is summarized in twelve images that correspond to each
of the orientations used in the filters. We then combine these
12 images into one textured image as shown in Figure [6].
Gmask=G30+G60+G90+G120+G150+G180+G210
+G240+G270+G300+G330+G360.

Fig. 3. Active Contour Model output

In our experiments, we were not able to cover the entire image

even after 10000 iterations.
F. Size Calculation
Size belongs to area that is found out in the analysis of shape
feature may be any kind of nuclei belong to polygon.
Fig. 4. Textured Image

G. Texture Analysis
III.

PRINCIPAL COMPONENT ANALYSIS

Texture analysis refers to the characterization of regions in an

image by their texture content .In other words its a repetition
of an element or pattern on the surface [14]. Texture analysis
attempts to quantify intuitive qualities described by terms such
as rough, smooth, silky, or bumpy as a function of the spatial
variation in pixel intensities and to extract boundary between
major texture regions.

PCA is a useful statistical common lossless technique for

finding patterns in data of high dimensions. It covers standard
deviation, covariance, eigenvectors and Eigen values. For our
purpose we are dealing with Eigen values of each quality
parameter. This background knowledge is meant to make the
PCA section very straightforward.

Texture Analysis Using Masking Scheme

In PCA, we are feeding the data from feature extractor to the

PCA implementation module. This step allows us to reduce

710

the dimension of the image without much loss of information.

We now calculate the quality factor or feature values from the
image using the following steps [5]
1.
2.
3.
4.
5.

Input data from feature extractor in a suitable data

structure
Using data from Step 1, calculate the mean
Calculate the covariance matrix.
Calculate the Eigen Values and Vectors of the
covariance matrix
Deriving new data in a suitable matrix.

These values are now fed to the Artificial Neural Network

(ANN) for training and further classification described in the
next section.
IV.

(MIRA) of samples which provides us subjective value (varies

doctors to doctors).
Our computer aided system provides doctors both qualitative
and quantitative examination for diseases tissue which helps
doctors in their decision making polices. Prototype of our
system explains in following waysInput Image-The diseased image which we are testing.
System- The entire system which we explained before [fig.1]
Output- output of our system contains both qualitative
analysis in terms of (hue, saturation, value, contrast,
brightness, entropy) and qualitative analysis in terms of
Texture and nuclei detection.

ARTIFICIAL NEURAL NETWORK

Artificial neural networks (ANNs) are computational

framework inspired by our expanding knowledge of the
activity of networks of biological neurons in the brain. We
consider 10 neurons which work as a hidden layer for training
and for training the ANN we are using recognition patterns
technique. [7]
INPUT LAYER- Input layer contains Eigen value of various
quality parameters (Hue, saturation, value, contrast,
brightness, texture, size). We keep this as input data to train
our neural network to test 107 Histopathological images we
procured from Radiologists. [9]
Output of ANN is compared with the observations of the
Radiologists. Good result represents no deviation between the
experimented results from the result of the Radiologists. We
quantified 0-5% deviation has good result, 6-28% moderate
deviation and any deviation more than 28% is considered bad.

Fig.6.Prototype of proposed system

TABLE I
SUBJECTIVE VALUES OF HISTOPATHOLOGICAL IMAGES BY
DOCTOR PATHOLOGISTS
Following output is obtained by visiting many doctors places and comes with
their subjective result

Image

Patho1

Patho2

Patho3

Expected
Output

B1.jpg

1.33

B2.jpg

3.5

2.5

3.00

A1.jpg

7.00

A5.jpg

6.5

7.16

C1.jpg

5.5

6.5

6.00

A2.jpg

3.3

C2.jpg

7.5

7.5

C3.jpg

1.33

Fig. 5. Artificial Neural Network

V.

SYSTEM DESIGN

In current scenario accurate diagnosis of cancer and other

diseases usually require Histopathological examination

711

C4.jpg

B3.jpg

6.5

6.5

6.3

B4.jpg

B5.pjg

C5.jpg

4.66

A4.jpg

4.33

The scale for the Neural Network output is BAD 1.8-1.5,

MODERATE 1.5-1.2, and GOOD 1.2 -0.Both the scales are
brought to a common level to calculate the % Error

These ratings were taken from 3 pathologists on a scale of 1-10, and the mean
was calculated.
The scale is: BAD 1-4, MODERATE 4-7, and GOOD 7-10

TABLE II
OBJECTIVE VALUES OBTAINED FROM OUR SYSTEM.

Experimented
Output

Quality

B1.jpg

1.54

Moderate

B2.jpg

1.02

Good

A1.jpg

0.941

Good

A5.jpg

1.10

Good

C1.jpg

2.05

Bad

C2.jpg

0.987

Good

C3.jpg

1.179

Good

C4.jpg

1.603

moderate

B3.jpg

1.876

Bad

B4.jpg

1.576

Moderate

B5.pjg

1.698

Good

C5.jpg

0.897

Good

A4.jpg

1.500

Moderate

Image

Bar Graph showing % Error calculated by comparing experimented

and expected output

VI.

KEY FACTOR TO JUDGE THE QUALITY

Training neural network with more number of training

images may decrease the error in quantifying the
results.
Implementation of Principle Component Analysis
reduces the large time and space complexity without
affecting much of information.
The back propagation algorithm is used in layered
feed-forward ANNs. This means that the artificial
neurons are organized in layers, and send their input
forward, and then the errors are propagated
backwards.
VII. CONCLUSION
The evaluation of tissue sample is absolutely desirable for
accurate prognosis of fatal cancer diseased. For practical
reason pathologist typically examine representative regions in
each slide before they come up with a prognosis decision.
However this conclusion may lead us to prognosis error. Since
computer-aided system deals with entire image which can aid
to pathologist for proper diagnosis by providing complete 3-D
representation, nuclei shape detection and various quantitative
values (color, brightness, entropy) of input image.
A supervised quality analytical algorithm for analyzing
various pathological images based on Neural Network has
been described.
Information extracted from the input
pathological image is assigned a feature vector in the Feature

712

Extraction process. The features extracted are brightness,

contrast, HSV, size, shape, Texture and entropy of the images.
The feature vector was input to the Principal Component
Analysis to provide principal component coefficients. These
principal component coefficients were given to Back
Propagation Neural Network. BPNN has 3 layers:
1. Input Layer
2. Hidden Layer
3. Output Layer
It is a complex arithmetic to calculate number of
neurons in Hidden and Output layer. It is calculated through
Trial and Error method. This system had 10 neurons in
Hidden layer. Our analysis has a percentage error of 26.94 %.
This error could be reduced by training the neural network for
more number of images. The advantage of utilizing Back
Propagation Neural Network is the Mean Squared Error is
calculated and is fed back to Propagation Neural Network,
because of which efficiency increases.
VIII. FUTURE SCOPE
1.

2.

3.
4.

5.
6.

Replace Neural Networks with Fuzzy Logic because

neural network works on probalistic base and its
output depends on the training datasets.
Traindx is a training function instead of trainrp which
coule be more effective because this function have
more variable rate back propagation.[14]
Nuclei detection can be extended to cell detection in
images.
Shape
detection
using
ACM
can
be
extended by dividing image into 9 parts and applying
snake algorithm to each part explicitly.
Class Membership (Good, Bad, Moderate) can be
further increased.
Extraction of new features (Statistical, Mean,
Standard Deviation) and their utility in classification
of images.

IX.

ACKNOWLEDGEMENT

We wish to express our deepest gratitude and warmest

appreciation to the following people, who, in any way have
contributed and inspired the researchers to the overall success
of the undertaking:
To Dr. (Prof) Aditya S. Abhayankar Chair, IEEE
North Country Chapter, 2003-04, US, for her guidance and
support in the duration of the study
Dr. Sankar Srivatsa, Dean of Lovely Professional
University, Punjab.
REFERENCES
[1]. O.Sertel J, Kong H. Shimada, U.V. Catalyurek, J.H Saltz, and
M.N. Gurcan Computer-aided Prognosis of Neuroblastoma on
Whole-slide Images: Classification of Stromal Development
Pattern Recognit. 2009 June; 42(6): 10931103.
[2]. Doi K. Computer-aided diagnosis in medical imaging: historical
review, current status and future potential Comput Med Imaging
Graph. 2007 Jun-Jul; 31:198211.

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[3]. Rafael C. Gonzalez, Richard E. Woods Digital Image Processing

using matlab, 2ond Edition, Pearson Prentice Hall. ISBN 0-20118075-8
[4]. Lexe G, Monaco J, Doyle S, Basavanhally A, Reddy A, Seiler M,
Ganesan S, Bhanot G, Madabhushi A. Towards Improved Cancer
Diagnosis and Prognosis Using Analysis of Gene Expression Data
and Computer Aided Imaging. Experimental Biology and
Medicine2009 August 1; 234:860879.
[5]. Howard Anton, John Wiley & Lindsay I Smith, Elementary
Linear Algebra 5th edition ISBN 0-471-85223-6 February 26,
2002.
[6]. Jorge A. RECIO, Luis A. RUIZ FERNN Use of Gabor filters
for texture Classification of digital images ISSN: 0214-4557.
Fsica de la Tierra 2005, 17 47-59.
[7]. Howard Demuth, Mark Beale, Martin Hagan Artificial Neural
Network 19922010 by The Math Works, Inc.
[8]. Metin N. Gurcan, Senior Member, IEEE, Laura Boucheron,
Member, IEEE, Ali Can, Member, IEEE, Anant Madabhushi,
Member, IEEE, Nasir Rajpoot, and Bulent Yener, Senior Member,
IEEE Histopathological Image Analysis, A review. Department
of Biomedical Informatics, the Ohio State University, Columbus,
OH 43210 USA.
[9]. K.A.G. Udeshani, R.G.N. Meegama & T.G.I. Fernando Statistical
Feature-based Neural Network Approach for the Detection of
Lung Cancer in Chest X-Ray Images. published in International
Journal of Image Processing (IJIP), Volume (5) : Issue (4) : 2011.
[10]. Sergey Bezryadin, Pavel Bourov, Dmitry Ilinih Brightness
Calculation in Digital Image Processing KWE Int. Inc., San
Francisco, USA.
[11]. Jack Bresenham. A linear algorithm for incremental digital display
of circular arcs. Communications of the ACM February, Volume
20,Number 2, February 1977.
[12]. Simon Just Kjeldgaard Pedersen Circular Hough Transform
Aalborg University, Vision, Graphics, and Interactive Systems,
lecturer notes November 2007.
[13]. Krishnan, N.; Sujatha, S.N.N Segmentation of cervical cancer
images using active contour models IEEE confrence in
Coimbatore ISBN: 978-1-4244-5965-0 ,29 Dec. 2010.
[14]. Jitendra Malik, Serge Belongie, Thomas Leung and Jianbo SHI,
Contour and Texture Analysis for Image Segmentation,
Received December 28, 1999; Revised February 23, 2001;
Accepted February 23, 2001.

On Control of Time Delay Dynamic Systems

G. Sushnigdha and Akhilesh Swarup, Senior Member, IEEE

Abstract-- Delays are among the most common dynamic

phenomena arising in control engineering practice. This paper
presents the study on effects of delay in dynamics, complications
involved in time delay systems, their classification, their modeling
and few control methodologies to counteract the effect of delay.
Examples of delays in various systems and approximations of
delay have been described. The simulation study has also been
presented.
Index Terms-- delay, infinite dimensional, nonlinear, nonminimum phase, PDE, SDT controller.

I. INTRODUCTION

n the mathematical description of a physical process, one

generally assumes that the behavior of the considered
process depends only on the present (in the usual sense) state,
assumption which is verified for a large class of dynamical
systems. However, there exist situations (for example,
material or information transport), where this assumption is
not satisfied and the use of a "classical" model in systems
analysis and design may lead to poor performance. Moreover,
small delays may lead to destabilization also. In such cases, it
is better to consider that the system's behavior includes
additional information on the former states. These systems are
called time-delay systems as shown in Fig. 1 [1]. in Fig. 1
indicates the delay in state.
The existence of a delay in a system model could have several
causes, as for example: the measurement of a system variable,
the physical nature of a system's component or a signal
transmission.
Classification of delays:
Delays can be classified as follows
Inherent delays
Network delays
Measurement delays
A. Inherent Delays
Actuator and sensor delays are among the most common
dynamic phenomena that arise in engineering practice but fall
outside the scope of the standard finite dimensional systems
[9]. Fig.1 shows the input control delay given to a plant with
inherent process delay. Here the control input delay might be

due in inherent infinite dimensional actuator dynamics time

delays. Chemical processes have process delays, occurred due
to inherent plant dynamics.
Delay

dx/dt = A x(t- +B u

Fig. 1. Linear ODE plant with input delay.

B. Network Delays
Network control systems (NCSs) are spatially distributed
systems in which the communication between sensors,
actuators, and controllers occurs through a shared band limited
digital communication network as shown in Fig. 2 [12].

Fig. 2. General NCS architecture.

The network delays are common as the components are

distributed through network. Controllers to actuator delay,
sensor to controller delay occur frequently. Depending upon
network protocols and scheduling methods, network induced
time delays have different characteristics.
C. Measurement Delays
The measurements of state variables in process are
subjected to unknown random delays leading to measurement
delays. Signals are delayed when passed through devices such
as an amplifier, a loudspeaker, or propagating through space
or a medium, such as air. These delays are common in
computing systems.
II. EXAMPLES OF DELAY IN VARIOUS APPLICATIONS

G. Sushnigdha (M.Tech Student) is with the Department of Electrical

Engineering, National Institute of Technology, Kurukshetra-136119, India (email: sushnigdha.g@gmail.com).
Prof. Akhilesh Swarup is with the Department of Electrical Engineering,
National Institute of Technology, Kurukshetra-136119, India (e-mail:
akhilesh.swarup@gmail.com).

There is a need to control processes with time delays in

many areas of the metal industry. Examples can be found from
refining to rolling. In refining there is transportation delays
associated with the process fluids flowing through the plant

978-1-4673-0455-9/12/$31.00 2012 IEEE

714

piping. In the casting area, control of metal level in a trough

using a tilting furnace can be modeled as a process with a time
constant of 45 s and a time delay of 60 s [2]. The time delay
associated with the measuring gauge in a strip caster is ten
times the system time constant. The gauge in a particular
continuous hot mill responds to control signals with a time
constant of 0.6 s and a time delay of 1.82 s. It is well known
that time delays as a source of the generation of oscillation and
a source of instability are frequently encountered in various
engineering systems such as long transmission lines in
pneumatic systems, rolling mills, hydraulic systems and
manufacturing processes. Therefore, the problem of stability
analysis and control of time-delay systems has attracted much
attention, and considerable effort has been applied to different
aspects of linear time-delay systems during recent years.
III. COMPLICATIONS INVOLVED IN TIME DELAY SYSTEMS
Time delays occur frequently in chemical, biological,
mechanical, and electronic systems. They are associated with
travel times (as of fluids in a chemical process), or with
computation times (evaluating the output of a digital control
algorithm). Time-delay systems are more difficult to analyze
and design. For example, in time-delay systems initial
conditions must be specified for the whole interval from - to
0, where is the time delay. For simplicity, in steady-state
behavior, or equivalently the initial conditions are assumed to
be zero [4].
A unity feedback, closed-loop control system with
KGH = K/ ( s+ 1) has a transfer function of
(1)
is
This is stable for - 1 < K. If a time delay of the form
introduced in the forward path, then the system is no longer a
linear system. Transfer function becomes irrational. Hence,
standard tools to interpret stability and performance fail. Thus
stability is no longer guaranteed. In order to make the system
linear and transfer function rational, delay is approximated.
The transfer function of such a system with delay is
(2)
The stability limits are not obvious. The exponential in the
numerator is left undisturbed. The exponential in the
denominator will be approximated by an algebraic expression.
The following four approximation techniques have been
suggested in the literature
By a mathematician, the Taylor series expansion:
(3)

By a process
approximation:

control

engineer,

the

Pad

And by a classical control engineer :

where n is a large number.

<< 1 for frequencies of interest, the
If is small so that
first technique can be derived as a single pole solution, using
equation (2). The transfer function becomes

By the Routh-Hurwitz criterion this transfer function is stable

if all the denominator coefficients are positive. This implies
- 1 <K < . The following two-pole solution can be derived
by substituting the first three terms of (3) into (2):

All denominator coefficients will be positive and the system

will be stable if 0<K< .
Using the Pad approximation in equation (2) produces a
third transfer function.
(5)
All denominator coefficients will be positive and the system
will be stable if - 1 < K< 1 +
.
Equation (5) shows that a zero has been introduced on the
right half of s plane. Thus the system became non minimal
phase system. Designing a controller for such systems is much
difficult. These three approximations yield different stability
limits. This should be expected because they are
approximations.
For the sake of comparison, we can use the Nyquist criterion
[5] to derive stability constraints for equation (2). These
constraints depend on the relationship of to :
For < < stability requires
-1 < K <
For

stability requires

-1< K <
For >> stability requires
-1< K <

(4)
By a digital control engineer, the z-transform equivalent:

where h is the system sampling period, n is an integer and

nh = .

The Pad approximation could indicate stability for some

unstable systems. The introduction of a time delay makes it
more difficult to access the stability of a system. These
approximations are not, in general, good methods for
assessing the stability of a system. However, following
generalization can be made. Large gains can only be used in
715

time delay systems if the plant time delay is small compared to

the plant time constant.
IV. EFFECTS OF DELAY
In this section the effect of delay on performance of
dynamic system has been explained with the help of examples.
A. Performance degradation
Delays in a control loop are widely known to degrade
system performances of a control system [3]. To briefly
illustrate system performance degradations by delays in-theloop, the transfer functions of the controller
and the
are respectively, as follows:
plant

=0.0232s

(6)
Where
is a PI controller,
is the proportional gain,
is the integral gain, (s) is the plant of a DC motor, is a
parameter to adjust
and
in this case, =1. This system
with control has been simulated in SIMULINK/MATLAB as
shown in Fig. 3. The results are shown in Fig. 4. Higher
overshoot and the longer settling time are observed when the
delays
=
= /2 are longer.
is the transport delay
between the controller and actuator.
is the transport delay
between the sensor and controller. By changing the value of
transport delay varies as shown in Fig. 4.
From the simulation, the effect of increase in delay results in
poor dynamic response of system (transient portion). Thus
performance of system decreases and may lead to instability.

c.

=0.0627s

=0.3150s

Fig. 3. Closed-loop control system example realization in SIMULINK.

=0.0005s

Fig. 4. a, b, c, d is unit step responses of above closed loop system with

increasing transport delays.

For
4d).

=0.3150s the system response becomes unstable (Fig.

B. Undershoot:
Consider a system with inherent input delay G(s) =
,
Now using Pad approximation the given irrational function
is converted into rational. Then G(s) is obtained as
G(s) =
(7)
This indicates that system has a zero on right half of s plane.
716

Step response and Bode plots of system (7) are obtained using
MATLAB and are given in Fig. 5, Fig. 6 respectively.

Fig. 7. Smith Predictor for a process

Fig. 5. Step response of G(s).

Thus including delay into the system transfer function leads to

undershoot in systems step response, leading to zero on right
half s-plane, hence system becomes non-minimal phase
system.
Bode plot for non-minimal phase system (7) is shown in Fig.
6.

, with dead time

Fig. 8. Equivalent system of Smith Predictor.

A. Performance Comparison between Smith Predictor and

Conventional PI controller
Consider a system P with delay 35s.
P=

(8)

Several tuning procedures for the conventional PI controller

are available in literature. A performance study of SDT
controller and conventional PI controller is done by comparing
their step responses. The step response of system is simulated
in MATLAB and results are obtained as shown in Fig. 9 and
Fig. 10.
Closed loop unit step response of system P with PI controller
is shown in Fig.9. For
results in PI
controller C=

Fig. 6. Bode plot of G(s).

The phase plot of non minimal phase system (7) indicates a

knee, thus designing the controller becomes difficult.
Presence of right half plane poles and zeros in the open-loop
transfer function imposes limitations upon the design of
feedback systems. They place constraints upon the system
sensitivity function [6].
V. CONTROL OF DELAY
The most popular and very effective long dead-time
compensator in use today is the Smith predictor [7]. It was the
first idea to eliminate the delay element from the closed-loop
and thus to reduce the problem to a finite-dimensional
problem.
Fig.7 shows the Smith predictor for a process
, with
dead time . Input and output delays are collectively referred
to as dead time. SDT (Smith Dead Time) controller consists of
two portions, one being the conventional PI controller while
the other contains a model of the process. The feedback from
the conventional control action takes place immediately
through the model
(s). The part coming through the model
dead time will be cancelled by the response through the
process. Fig. 8 shows the equivalent system when
Here dead time is effectively moved out
of the closed loop.

Fig. 9. Closed loop step response system (8) with PI controller C.

Step response of system P with Smith Predictor is shown in

Fig. 10. Conventional PI controller in SDT is tuned to

717

the boundary condition u(D, t ) = U( t ) , and the output map is

given by Y( t ) = u( 0, t ) . In this example, the state of the
dynamic system at time t is u(. , t ) , whereas the infinite
dimensional state equation, consists of the PDE
and the boundary condition u(D, t )=U( t ).
C. Predictor feedback for nonlinear systems
Consider a nonlinear system with non linear control in
presence of long input delay (9) as shown in the Fig. 11.

Fig. 10. Closed loop step response of system (8) using Smith Predictor
controller.

It is evident that settling time of response using SDT is 150s

and PI is 390s. Thus settling time using SDT is very less
compared to PI controller response. If the process parameters
are accurately known, the SDT controller yields excellent
results compared to the PI controller as shown in Fig. 10 and
Fig. 9.
When the input delay is long, the controller must account
for the delay state. The resulting design is an infinitedimensional controller, such as the Smith predictor. The Smith
predictor approach can also be used to compensate a long
output delay. However, the Smith predictor may fail to
achieve closed-loop stability when the plant is unstable, even
though the nominal controller is designed to stabilize the
system without delay. A modification of Smith Predictor that
removes its limitation to stable plants is given by finite
spectrum assignment (FSA) approach [8].
Several basic points should be noted about delay systems
[9]:
Delay systems are infinite-dimensional
The state is not a vector but a function (or a vector of
functions)
The characteristic equation is not a polynomial, it involves
exponentials
Stability analysis requires Krasovskii functionals rather than
Lyapunov functions.
For ODE systems with actuator and sensor delays,
predictor- based control design and its extensions to observers,
adaptive control, and even nonlinear system have been active
areas of research over the last thirty years [10].

(9)
and assume a feedback law U = k(X) with k(0) = 0 that
globally asymptotically stabilizes the zero solution of the
system (9) when D = 0. Denote the initial conditions as
and
A predictor feedback is given by
U (t) = k(P (t)),
(10)
Where the predictor P(t) is defined as
P(t)=
(11)
(12)
P(
The predictor P(t) is defined in terms of its past values through
a nonlinear integral equation. The nonlinear integral equation
(11) is equivalent to the plant model (9) since P (t) =X (t + D).
A solution P (t) to (11) does not always exist since the control
applied after t=0 has no effect on the plant over the time
interval [0, D].
U (t)

Delay

dX/dt= f(X, U)

Fig. 11. Nonlinear control in the presence of an arbitrarily long input delay.

If the plant is forward-complete, a predictor feedback for non

linear systems (9)(12) guarantees global asymptotic
stabilization in the absence of delay [8].
Consider the following nonlinear system, based on
predictive feedback a control law is derived for second-order
system
=
,
(13)
The control law is derived as
U (t) = -

Above system equations are solved by programming in C

language to obtain closed loop solutions for D=5 and initial
conditions
and
(a)

B. Delays modeled as partial differential equations

The Delay in a dynamic system can be represented as a
partial differential equation (PDE) of transport type, which
evolves in one spatial dimension, with one derivative in space
and one derivative in time. For example [8], in the case of an
input delay, the signal U(t-D) can be represented as the output
of the transport PDE system
, where x 0,
D) is a time-like spatial coordinate along which the state
variable u is at unity speed, the control U( t ) enters through
718

with PI controller is also presented through simulation results.

Network control system is an active area of research for delay
compensation. Further partial differential equations modeling
of delay is also helpful in control of dynamic systems. A
predictor feedback for nonlinear systems is discussed with an
example. The work on delay control in space applications is
under progress and will be reported later on.
VII. REFERENCES

(b)

(c)

Fig. 12.a, b, c Time responses of system (13) for D=5s.

in Fig. 12 (a) after t=5s

The transient response of
highlights the nonlinear character of closed loop system. The
size of the control input U (t) shown in Fig. 12(c) is due to the
need to compensate for the long input delay of D=5s.
Above are few control methodologies to compensate delay.
The other methods for delay compensation, reported in
literature are Finite spectrum assignment (in connection with
finite
Laplace
transform),
Bezout
factorization
(parameterization of all stabilizing controllers) approach and
practical solutions to
problems [11].

[1] L .Dugard and E.I. Verriest, Stability and Control of Time-Delay

systems-(Lecture notes in control and information sciences), Springer-Verlag
London Limited, Great Britain, 1998.
[2] Donna M. Schneider, Control of Processes with Time Delays, IEEE
Transactions on Industry Applications, vol. 24, no. 2, pp. 186-191, MarchApril 1988.
[3] Yodyium Tipsuwan and Mo-Yuen Chow, Control methodologies in
networked control systems, Control Engineering Practice, vol. 11, no. 10,
pp. 1099-1111, 2003.
[4] A. Terry Bahill, A Simple Adaptive Smith-Predictor for Controlling
Time-Delay System, IEEE Control Systems magazine, vol. 3, no. 2, pp. 1622, May 1983.
[5] F. L. N-Nagy and M. N. AI-Tikriti, Stability criterion of linear control
systems with time delay, ASME Journal of Dynamic systems, Measurement
and Control, vol. 3, pp. 86-87, 1970.
[6] James S. Freudenberg and Douglas P. Looze, Right half plane poles and
zeros and design tradeoffs in feedback systems, IEEE Transaction on
Automatic Control, vol. AC-30, no. 6, pp. 555-565, Jun. 1985.
[7] Chang C. Hang and C. H. Tan, W. P. Chan, A performance study of
control systems with dead time, IEEE Transactions on Industrial Electronics
and Control Instrumentation, vol. IECI-27, no. 3, pp. 234-241, Aug. 1980.
[8] Miroslav Krstic, Compensation of Infinite dimensional Actuator and
Sensor dynamics, IEEE Control System magazine, vol. 30, no. 1, pp. 22-41,
Feb. 2010.
[9] Kristic, Delay compensation for non linear, adaptive, and PDE systems,
Birkhuser Boston, a part of Springer Science and Business Media, LLC
2009.
[10] Miroslav Krstic, Compensating actuator and sensor dynamics governed
by diffusion PDEs, Systems & Control Letters, vol. 58, no.5, pp. 372-377,
2009.
[11] Watanabe, K. Nobuyama, and Kojima, A Recent advances in control of
time delay systems: A tutorial review, Proc. 35th IEEE CDC, vol. 2, pp.
2083-2089, 1996.
[12] J. P. Hespanha, P. Naghshtabrizi, and Y. Xu, A survey of recent results
in networked control systems, Proc. IEEE, vol. 95, no. 1, pp. 138, Jan. 2007.
[13] V. B. Kolmanovskii, Silviu-Iulian Niculescu and Keqin Gu, Delay
effects on stability: A survey, Proc. 38, IEEE Conference on Decision &
Control Phoenix, Arizona USA, vol. 2, pp. 1993-1998, Dec. 1999.

VI. CONCLUSION
The time delay appears in various dynamic systems and its
effects have been analyzed on the system performance. This
paper presents an expository description of causes of time
delay, effects of time delay and control of time delay in
dynamic systems. Simulation results have been presented to
illustrate the performance under various conditions. Control
of delay using Smith Predictor is discussed and its comparison
719

Thinning of Binary Images for Character

Recognition
Tushar Rastogi and Andrew Prashanth Dept of Electronics and Communication Engineering, Motilal
Nehru National Institute of Technology,Allahabad, Uttar Pradesh, India.
Tusharrastogi11@gmail.com; prashanthandrew@gmail.com

II. INTRODUCTION TO THINNING

AbstractThinning is a morphological operation that is used to
remove selected foreground pixels from binary images, similar
to erosion or opening. It is commonly used to dapper the output
of edge detectors by reducing all lines to single pixel thickness.
Thinning is normally only applied to binary images, and
produces another binary image as output.
This paper investigates various algorithms that are used for
thinning process; our aim is to improve the quality of the
thinned image, and we have done so by making modifications to
pre-existing algorithm which have enabled reductions in error
due to due to erroneous joining and has thereby improved the
character reorganization..

Thinning is a fundamental early step in pattern analysis such

as optical character recognition, industrial parts inspection,
fingerprint recognition, and biomedical diagnosis. The result
of thinning a binary image is called the skeleton. The term
skeletonhas been used in general to denote a representation
of a pattern by a collection of thin arcs and curves. Some
authors refer to a thinned imageas a line drawing
representation of pattern. One advantage of thinning is the
reduction of memory space required for storage of the
essential structural information presented in a pattern.[4]
Thinning is a morphological operation that is used to
remove selected foreground pixels from binary images.
Thinning is normally only applied to binary images, and
produces another binary image as output. Thinning reduces
the width of pattern to just a single pixel.[4] Thinning has
various advantages that include reduction of the amount of
data required to be processed.[5] Thinning can reduce the
time required for data to be processed; the process enables us
to extract critical features such as end-points, junction-points,
and connection among the components. The vectorization
algorithms often used in pattern recognition tasks requires
only one-pixel-wide lines as input. Shape analysis can be
more easily made on line like patterns. The importance of
thinning are blatant in applications such as Handwritten and
printed characters analysis, Fingerprint patterns recognition,
Chromosomes and biological cell structure analysis and in
Engineering drawings.

Index Terms- Thinning; Modified Nagendar Prasad Wang

Gupta Thinning Algorithm; skeletonization; erroneous joint
improvement.

I. INTRODUCTION
The main aim of this paper is to thin printed characters of a
binarised image obtained from pre-processing of scanned
pages and to study different types of thinning algorithms and
suggest the most suitable one for the application.
In this paper, we have described the use and importance of
OpenCV [6] and in series to this thinning and its
requirements are discussed. In the next section, various
algorithms, their requirements, and detailed explanation of
the algorithms studied are described. We have also included
our modifications to the algorithm thereby reducing and/or
removing the errors coming up in the output image. In the
subsection, error analysis and error rate are discussed.

III. ALGORITHM AND REQUIREMENTS

Although there is no general agreement on the exact
mathematical definition of thinness, a reasonable compromise
has been reached that the generated skeleton must essential to
preserve the objects topology and to represent the patterns
shape informatively. The resulting skeleton must also be one
pixel in width and lie approximately along the medial axis of
the object regions. Many thinning algorithms are available in

Tushar Rastogi is with the Department of Electronics and Communication

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (tusharrastogi11@gmail.com)
Andrew Prashanth is with the Department of Electronics and communication
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: prashanthandrew@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

720

2
the literature. Different algorithms produce slightly different
skeletons. Usually thinning algorithms are categorized into
Sequential, Parallel, or Hybrid algorithms. In a good thinning
algorithm, the resulting skeleton must be topologically
equivalent to the object. It must run along the medial axis of
the object regions and must be one pixel thick or as thin as
possible. A good thinning algorithm should preserve
connectivity for both foreground and background, and should
be noise insensitive to small protrusions and indentations in
the boundaries. It should prevent extensive erosion and
should not be completely deleted, and require as little
iteration as possible while deleting pixels symmetrically to
avoid bias in certain directions.

1) P is critical if P0 = 0 and P1 = 1 or P4 = 0 and P3=1;

2) P is critical if P6 = 0 and P7 = 1 or P2 = 0 and
P1=l; 3) P is critical if P0 = 0 and P7 = 1 or P4 = 0
and P5=1; 4) P is critical if P6 = 0 and P5 = 1 or P2
= 0 and P3=1.
Theorem 2 If P matches the template in Fig. 1(a) then P is an
end pixel; if P0, P1, P3, P4, P5 and P7 are 0 (equivalently,
P0 + P1 + P3 + P4 + P5 + P7 = 0). Similar conditions hold
for the other three templates.
The algorithm proposed here is iterative in nature. It
constantly removes the boundary pixels for every iteration.
The removal of pixels is done in sequence. To remove
boundary pixels in different directions, the scanning direction
is alternative. In other words, the scanning direction in odd
iterations is from left to right, and the scanning direction in
even iterations is from top to bottom. In addition, in order to
prevent the skeleton non-symmetry caused by sequential
thinning, a couple of templates are used in each iteration. Fig.
1 (a) and (c) are for odd iteration, and Fig. 1 (b) and (d) are
for even iteration. Fig. l (a), (b), (c) and (d) correspond to the
right, top, left and bottom boundary pixels respectively.

IV. HYBRID THINNING ALGORITHM

The algorithm combines the feature of high speed of
sequential algorithms with the robust feature of parallel
algorithms.

Like traditional sequential thinning algorithms, processing an

object pixel consists of two steps. The first step is to identify
whether the object pixel is a boundary pixel or skeleton leg.
Using Fig. 1 (a)~(d) and a 3 * 3 window, four types of
boundary pixels and skeleton legs can be identified. The
second step is to remove unnecessary boundary pixels (not
critical ones) according to theorem 1.

1
Fig.1 (a)

Fig.1 (b)

However, the difference from traditional sequential

algorithms is that the proposed algorithm alternatively uses a
couple of templates to identify object pixels. When a present
object pixel is identified, the used template is the opposite
template which was used to identify the previous non-critical
boundary pixel. In other words, if the previous non-critical
boundary pixel matches Fig. I (a) or (b), the present object
pixel should be identified with Fig. 1 (c) or (d). This method
can only remove the couple of the outer next layer pixels of
an object so as to reserve the skeleton symmetry. Moreover, it
can accelerate the thinning process.

1
0

Fig.1 (c)

Fig.1 (d)

P7

P0

P1

P6

P2

P5

P4

P3

On the basis of the theorems and definitions mentioned

above, the thinning algorithm consists of following steps:
A. Setting up flags
Set up template selection flags namely m and n.
Let m = 0, then n = 0
.
If m = 0, Fig.1 (c) is selected to identify left boundary pixels;
If m = 1, Fig. 1 (a) is selected to identify right boundary
pixels.
If n = 0, Fig. 1 (b) is selected to identify up boundary pixels;

Fig.2

Theorem 1 If P matches (in between) any of the four

templates (Fig. 1 (a) ~ (d)) then the following are true
respectively:

721

3
If n = 1, Fig. 1 (d) is selected to identify bottom boundary
pixels.

p(7)

p(0)

p(1)

B. Thinning operation

p(6)

p(2)

In every odd iteration, the thinning operation in each row can

be done as follows:

p(5)

p(4)

p(3)

Figure 1: Numbering of neighboring pixels.

From left to right, search boundary pixels with Fig. 1 (a) and
(d). Once find the boundary pixel which matches Fig. 1 (a) or
(c) and is not critical, remove the boundary pixel and set m=
0 or m= 1 then go to Step (2); otherwise continue to search
boundary pixels until the end of the row, then go to next row
thinning operation.

The NWG algorithm[1] is shown, where b(p) is the number

of neighbors of p which are on (pixels with value 1), a(p) is
the number of off-to-on transitions when the neighbors are
visited following a walk around p and the functions c(p), e(p)
and f(p) are given by:

If m = 1, select Fig. 1 (a) to identify rest object pixels. Once

find an object pixel which matches Fig. 1 (a) and is not
critical, set m = 0 and remove the object pixel; if m =0, select
Fig. 1 (c) to identify rest object pixels. Once find a noncritical
boundary pixel, set m = 1 and remove the boundary pixel.

1.
c(p) =

1
if
p(0)=p(1)=p(2)=p(5)
p(4)=p(6)=1;

and

1 if p(2) = p(3) = p(4) = p(7) = 0 and

p(6)=p(0)=1
0 otherwise

Repeat Step (2) until end the row; repeat Step (1)--(3) row by
row until the last row.
In each even iteration, the thinning steps are similar to that in
the odd iteration. The difference is that Fig. 1 (b) and (d) take
the place of Fig. 1 (a) and (c), and the scanning direction is
from top to bottom.

e(p) = (p(2) + p(4)) * p(0) * p(6);

f(p) = (p(6) + p(0)) * p(4) * p(2);

d(p) =

Figure: Input Image

f
.

1 if p(1) = p(4) = p(5) = p(6) = 0 and p(0)

= p(2) = 1;
1I
1 if p(0) = p(3) = p(6) = p(7) = 0 and p(2)
=p(4)=1
;
0 otherwise.

Modified NWG Algorithm:

Figure: output Image

Input: Q (pixel map)

Output: Q

V. MODIFIED NAGENDRA PRASAD- WANGGUPTA THINNING ALGORITHM

g = 1; h = 1; Q0 = Q; (initial settings)

[1]This algorithm is significantly faster and easier to

program. It also allows for a simple parallel
implementation, because at every iteration the value of a
pixel depends only on the value of the pixel and its
neighbours at the previous iteration. The algorithm uses
masks in order to select pixels to be turned off. The 8
closest neighbours are numbered following a clockwise
walk around the pixel p, which starts at the upper edge as
shown in fig. 1.

do (while h = 1)
h = 0;
Q = Q0;
g = 1 g;
for (every pixel p belonging to Q)
if (1 < b(p) < 7 and (a(p) = 1 or (1 g) *
c(p) + g * d(p) = 1)) then
if(g=0 and e(p)=0)then
erase p in Q0
end if
722

4
if (g=1 and f(p)=0)then
erase p in Q0
end if
end if
end for
end do
end NWG

Fig: Input Image

Fig: Output Image

W
W
W

W
B
W

B
W
B

W
W
B

W
B
W

W
W
B

B
W
W

W
B
W

B
W
W

VI. OUTPUT ANALYSIS AND MODIFICATIONS

SPURIOUS SINGLE
PIXELS WERE
DETECTED AFTER
NWG WAS APPLIED

Fig: Output character

In case of very bad quality binary image with broken
characters, the output thinned image was also corrupted. To
solve this problem, another pre-processing[2] was done to the
input image to improve the quality of the output thinned
image.

After the application of the above algorithm, output image

was thinned but there were pixels (like in the above picture)
protruding out of a straight line. To solve this problem a
template mask of 8 neighbors was applied to all the pixels of
the output image and if the template matches, the pixel was
changed to white and the adjacent pixel was modified to
black.

W
Fig. Input broken character
output
723

Fig: corrupt

5
The whole input image was analyzed for pixel gaps of 1 unit,
horizontally or vertically using masking templates as shown
below.

B
W
B

Fig: Input Image

Fig: Improved Character
with Erroneous joining
The output characters topology is improved but erroneous
joining are creating loops in certain characters.

Improvement in
character

Error Joins
For higher resolution images with broken characters, for e.g.
600dpi, templates like shown below can be used for better
results.

B
W
W
B

Hence, this pre-processing method [2], [3] should only be

used in case of very bad quality broken characters as it
improves the output.
Moreover, this process should not be used in case of lower
resolution images below 300 dpi as it joins adjacent
characters which are not acceptable.

The pixels matching the above templates were transformed

from white to black pixel. The output now is much more
connected and hence, thinned image is also of better quality.

VII. Analysis and Results

The output of the two algorithms are shown

Output characters after applying hybrid thinning algorithm

are containing spurious unwanted branches and the resulting
sample is not desirable as the character recognition algorithm
will be difficult to apply on such characters.

Fig: Input after pre-processing

The output character after applying the N-W-G algorithm [1]

are better in quality than that obtained by the previous
algorithm and we can get very good thinned characters. But
with some poor input samples, output also comes out to be
poor i.e. if the characters are broken, then the output also
comes out to be broken with gaps in between making it
difficult for any character recognition algorithm to determine
the character because of missing information.

Fig: Better character

recognition

But the above pre-processing [2], [3] produces slight errors in

the input images as it joins some pixels which were not
required.

To overcome this problem, a modification was applied

successfully to the input image sample to fill up the broken
gaps which were one pixel wide and were causing
discontinuity in the characters. However, some error cases
were also detected as described above. But their rate of
occurrence was very less.
This modification i.e. preprocessing technique was successful
with 300 dpi images and should not be used with lower
resolution images because one would find joining of
characters in the input image sample as expected. For higher
resolution input sample, templates should be changed as
described in the above subsection.
724

6
The output image samples still had some 1 pixel protrusions
projecting out of the characters. This error was also removed
using templates and modifying the detected pixels.
The output now is having er broken characters and spurious
protrusions hence improving chances for character
recognition.
A third algorithm based on 20 templates to remove noncritical pixels was also studied but was discarded because of
non symmetric output characters.

Fig: Output of Modified NWG Algorithm

X. Error Analysis:
There were 5 undesirable error joins with on an average 330
characters. Percentage error = 1.515% as this error is preknown; hence a proper modification in the character
recognition algorithm can be applied to deal with the
problem.

References
[1]Rafael C. Carrasco and Mikel L. Forcada, Symmetric
Version of Nagendra prasad-Wang-Gupta Thinning
Algorithm
[2]Maher Ahmed and Rabab Ward, Fellow, IEEE, A Rotation
Invariant Rule-Based Thinning Algorithm for Character
Recognition.
[3]Zheng Hong, A Hybrid Thinning Algorithm For Binary
Topography Map.
[4]R.C.Gonzalez and R.E.Woods, Digital Image Processing.
Upper Saddle River, New Jersey 07458: Prentice Hall, Inc.
[5]Anil K. Jain, Fundamentals Of Digital Image Processing.
Englewood Cliffs, NJ 07632: Prentice Hall, Inc.
[6]OpenCV Reference manual by Intel Corporation.

Fig: Output of Hybrid Thinning Algorithm

725

7
[7]Gary Bradski and Adrian Kaehler, Learning OpenCV.
1005 Gravenstein Highway
North, Sebastopol, CA 95472: OReilly Media, Inc.

726

Tactical Monitoring of Coastal Areas Using

Hybrid Sensor Networks
Andrew Prashanth and Tushar Rastogi
Dept of Electronics and Communication Engineering, Motilal Nehru National Institute of
Technology, Allahabad, Uttar Pradesh, India.
prashanthandrew@gmail.com, tusharrastogi11@gmail.com

most feasible means of communication owing to the

harshness of the underwater environment.
We propose a surveillance network that utilizes static as
well as dynamic nodes as a means to relay information to the
base station. Despite the advantages of hybrid sensor
networks adopted for military applications, it should be noted
that commercial hybrid sensor network systems cannot offer
the high scale requirements that are needed for tactical
military applications, especially in remote large scale
networks. There have been large amount of ongoing research
regarding tactical military wireless sensor networks (WSNs)
and sufficient progress has been accounted for. Nevertheless,
most of the military sensor models are operated using
thousands of static sensor nodes.
In this paper we look into the prospect of optimization of
military deployment of wireless sensor networks (WSNs) in
large scale environments that require high network
connectivity, lower ene3rgy consumption yielding longer life
time, cut down in delay etc.
The remaining sections of the paper are presented as follows;
section 2) Tactical military HSN applications. 3) System
architecture 4) underwater hybrid sensor networks 5) Vocal
reorganization algorithm.

AbstractWireless sensor networks (Wsn's) finds its use in

several military applications such as monitoring or tracking
enemies and protection of military frontiers [2]. Our goal is to
use automatic vocal recognitions to monitor coastal areas for
signs of intrusion, this is especially challenging as crucial factors
such as large scale network topology, and configuration,
network connectivity, maintenance, and energy consumption are
to be taken into account. This paper employs the usage of hybrid
sensor networks and underwater wireless acoustic sensor
networks (UW-ASNs) as a means of relaying information to the
base station. We will also discuss the prospect of a real time
surveillance module using the MIC sound sensor system by
sunroom technologies [7].
.
Index Terms-Wireless sensor networks; hybrid network;
tactical coastal monitoring; under water acoustic sensor
networks; voice recognition

I. INTRODUCTION

HIS paper investigates underwater wireless acoustic

hybrid sensor network (UW-AHSNs) and hybrid sensor
network (HSNs) application monitoring coastal regions of
military interest. Our goal is to use vocal recognition to
monitor the costal frontiers; this is a challenging task, as it
requires high frequency acoustic sampling, signal processing
and a wide area sensing network. And has to deal with other
challenges such as propagation delay, ambient noise, signal
attenuation, low bandwidth and high transmission energy that
occur especially in the shallow oceanic regions, we propose
an underwater wireless acoustic hybrid sensor network (UWAHSNs) to be used in oceanic environment and tactical
coastal area monitoring. In UWHSNs, acoustic is taken as the

II. TACTICAL MILITARY HSN APPLICATIONS

Wireless Sensor Networks (WSNs) consists of spatially
dispersed independent sensors to monitor physical and
environmental conditions, they are used to monitor
temperature, sounds, pressure, vibration, motion and pass
them across the network to the base station. In order to
improve the deployment in wireless network systems (WSNs)
the utilization of both static as well as movable sensor nodes
is employed. These Hybrid sensor nodes (HSNs) make
information transfer more energy efficient. This is achieved
by the simultaneous use of static and dynamic nodes; while
static nodes cannot be managed manually after their
deployment, hybrid sensor nodes makes it possible for them to
align themselves and heal the impaired parts of the network.
[3,4]Another approach, by which a whole new dimension of

Andrew Prashanth is with the Department of Electronics and communication

Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: prashanthandrew@gmail.com).
Tushar Rastogi is with the Department of Electronics and Communication
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (tusharrastogi11@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

727

II
control can be added to the system, is by using bidirectional
networks.
Hybrid sensor networks have recently found a new scope in
friendly forces protection. The friendly force tracking
solution enables vehical tracking, message exchange, and is
essential for forces to prevent their base, armory and
command centre from being attacked. They can also be used
for soldier health monitoring, missile launch tracking, and
sniper location monitoring.
III. SYSTEM ARCHITECTURE
The architecture of a wireless sensor network for coastal
monitoring is proposed as follows. It comprises of a number
of Waverider buoy [8] components that are used to measure
the movement of the water surface as a wave train deploys in
its surrounding area. These buoys are each equipped with a
sensor node.
The proposed system is designed according to the following
specifications: all nodes must resemble each other in their
architecture and functionality, its architecture should be
modular and can be modified or improved in a simple way
with remote accessibility; the system should be easily
transportable; it should provide low-power consumption with
perfunctory maintenance; and finally, every node capable of
transmitting the data collected to a central system directly or
working cooperatively with the rest ones.
The architecture of every node should consist of a signal
conditioning stage for typical sensors used in coastal
monitoring. Each node should also have a vocal recognition
feature by which sounds, words or phrases spoken by humans
are converted into electrical signals, and these signals are to
be transformed into coding patterns which are relayed
through the network to the base station. To meet the hardware
requirements of such a system we suggest the mica mote
series: Mica2 mote[figure 1]; a third generation of Berkeley
mote manufactured and available commercially by crossbow
industries [5]. The specifications of the sensor include a 7.7
MHz Atmega processor and 512 kilobytes on-board flash
memory. It can transmit data rates up to 19 kbps and is
powered by a pair of AA size batteries. While the micaz rf
tranciever can deliver up to 250 kbps of transfer speed.
The system also includes the use of an underwater wireless
hybrid sensor network to work in compliance with the above
mentioned system, the details on functionality of an
underwater hybrid sensor network are discussed in the next
section.

Figure1: Mica2 mote by Crossbow industries

IV. UNDERWATER WIRELESS HYBRID SENSOR NETWORKS
(UW-HSNS)
Underwater wireless hybrid sensor networks are an
improved paradigm for WSNs. The concept behind which is
to use radio, high data rate and low data rate channels for
large traffic and acoustic for small traffic. The sensor nodes
are equipped with a mechanical module in addition to the
radio interference. This mechanical module allows the nodes
to traverse the water body, sink (rise to water surface) and
submerge (dive in.) The mechanical module can be some high
tech sophisticated device or can be a simple buoyancy
mechanism.
The node rises up and sinks to the bottom, only when
acoustically transmitting the queued data. The sensor nodes
are anchored to the oceans bottom to ensure it doesnt drift
away. The sensors on surfacing form an ad-hoc and short
lived network, wheras the overwater network is a short
ranged multi hop radio network. Any existing routing,
networking protocol can be used with minimal change for the
surface communication.
UW-HSNs are able to provide reliable, superior network
capacity and higher energy efficiency and longer life span. It
avoids network congestion by providing an alternative
channel of communication. In case of network congestion the
nodes can use the radio link of surface network to queue the
data. Nodes carry their own as well as their neighboring
nodes data from the ocean to the base station. As a result of
the surfacing and submerging action of the nodes the
continuous end to end acoustic connectivity cannot be
ascertained.
The submerging and surfacing action of the nodes are
similar to the biological movement of a whale. The blowhole
architecture [1] is made possible by a piston-based buoyancy
mechanism. In this mechanism the node is able to float
upwards when the piston pushes the water out of a special
chamber thus lessening the density of the node. And the
submerging action of the node is as a result of the piston
pulling back to create a negative bouncy. The sensor node on
surfacing is used for data transfer with its neighbors and the
base station. The blowhole architecture continues to be cost
efficient as it only employs simple balloon type mechanism to
surface under positive buoyancy. In the blowhole architecture
728

III
we use a single-hop long range radio communication for the
surface network.

The algorithm examines each slice of the spectrogram and

tries to estimate the frequencies. These waveforms are used to
identify any intrusion in the coastal frontiers.

V. VOCALIZATION REORGANIZATION ALGORITHM

A/D

Spectral
sharping
-ng

Spectral
Analysis

Paramer
Transform

In this section, we provide an appropriate vocalization

algorithm that has been used to motivate our prototype,
acoustic features in the time and frequency domains can be
used to identify human vocalizations. The voice must be
recognized despite difficult conditions owing to noise caused
by natural causes like rain, tides etc. segmentation or
isolation of voice would only lead to complexities, instead the
input signal is converted into a spectrogram if time-frequency
pixel by a Fast Fourier Transform algorithm. Features such as
call rate, pulse repitation rate, amplitude-time envelope,
waveform periodicity, frequency modulation, frequency and
spectral patterns are useful parameters in recognizing voice or
speech.
The first stage of the voice recognizing process converts
speech to a digital representation by sampling speech at the
rate of 8 kHz/second. Spectral shaping is carried out to
highlight the frequency components of particular interest, by
using a finite impulse response (FIR) filter. The sampled
signal is then split into frames; each frame represents a finite
time slice, where each slice is short enough to be considered
stationary within the frame. A technique called windowing is
used to achieve this result. This technique maintains spectral
leakage to a minimal. Another window function, the
hamming window, is an error-trapping routine that is used to
detect data errors inside individual windows. By stepping a
data window along a sampled speech signal, a sequence of
frames that represent the whole speech wave sequence is
obtained. Individual windowed speech frames are then
processed further to capture the characteristic information in
a more compact form.
We have selected the TMS320C2xx by Texas Instruments
as hardware for the voice recognition. The TMS320C2xx uses
a linear predictive coding (LPC) to perform speech spectral
analysis.[6] LPC conversions use a pitch-asynchronous
automatic-correlation method with a frame rate of 20 ms. The
gestures generated by the acoustic front end of the recognizer
are obtained by orthogonalization of the 14-mel spaced filterbank outputs. These values, in addition to the corresponding
14 difference values, the actual speech level, the relative
speech level, the transitional characteristics of the speech, and
the energy difference values, make up a 32-element vector
called the generalized speech parameters (GSPs). This 32element vector is then multiplied by a linear transform (LT)
value [6] to provide a 10-element vector named the
generalized speech features (GSFs), which is used in the final
acoustic-distance calculation.

729

Fig2: TMS320C2xx by Texas Instruments

VI. VISUAL SURVEILLANCE
To incorporate a visual sensing unit to the above
architecture, the MIC sound sensor from Sunrom
Technologies or the TMS320C2xx is employed. The sound
sensing device on detection of human vocalization generates
an output for a present amount of time; this output can be
transferred to a microcontroller, thereby activating a camera
present on of the buoys.
VII. ACKNOWLEDGMENT
This work was supported by Motilal Nehru National
Institute of Technology, Allahabad 211004. The authors
acknowledge Dr. Sudarshan Tiwari for his guidance in the
field of networking.
REFERENCES:
[1]
[2]
[3]

De Marziami et al. A low cost reconfigurable sensor network for coastal

monitoring
Gaurav Sharma A case for hybrid sensor network
Wen Hu The design and evaluation of a hybrid sensor network for canetoad monitoring

IV
[4]

[5]
[6]
[7]
[8]

R. Chellappa, G. Qian, and Q. Zheng, Vehicle detection and

trackingusing acoustic and video sensors, in Proceedings of the
International Conference on Acoustics, Speech and Signal Processing,
Montreal, Canada, May 2004.
Crossbow technology, inc. http://www.xbow.com..
Lim Hong Swee implementing Speech-Recognition Algorithms on the
TMS320C2xx Platform
Sunrom technologies inc. http://www.sunrom.com
METOCEAN. (2008). METOCEAN SLDMB: Operating & Maintenance
Manual (Version 3.0 ed.) Retrieved from http://www.metocean.com.]

730

Speech Processing Using Adaptive Filters

1
1,2

Abhinav Priyanshu, 2Padma Batra

Department of Electronics and Communication Engineering,

Krishna Institute of Engineering and Technology, Ghaziabad-201206, India

1

abhi.pri08@gmail.com, 2padmabatra61@gmail.com

Abstract This work uses LMS adaptive filter for removing noise
from a voice signal. In this paper, we have made use of MATLAB and
NOISEX database to plot the waveforms of an arbitrary sound wave
having noise and then filtering the signal adaptively so as to obtain the
original signal. We have introduced adaptive filters through the
example of system identification using the LMS algorithm. Such a
filter adjusts its coefficients to minimize the mean-square error
between its output and that of an unknown system. An actual speech
signal was recorded in the form of .wav file and noise was added to it
using NOISEX database. The waveform was traced and spectrograms
of speech signal, noise signal and the composite signal were plotted.
Finally we used LMS adaptive filtering technique to obtain the original
speech signal which is free from noise.
KeywordsAdaptive filter, LMS algorithm, MATLAB, Filter
coefficients, Mean Square Error

It does so by adjusting the filter coefficients so as to minimize the

error. The gradient is the del operator (partial derivative) and is
applied to find the divergence of a function, which is the error with
respect to the nth coefficient in this case. The LMS algorithm
approaches the minimum of a function to minimize error by taking
the negative gradient of the function.
Figure 1 is a block diagram of system identification using adaptive
filtering. The objective is to change (adapt) the coefficients of an
FIR filter, W, to match as closely as possible the response of an
unknown system, H. The unknown system and the adapting filter
process the same input signal x[n] and have outputs d[n] (also
referred to as the desired signal) and y[n]

I. INTRODUCTION

A. ADAPTIVE FILTERS
Adaptive algorithms have become a mainstay in Digital Signal
Processing. They are used in wide ranging applications including
wireless channel estimation, radar guidance systems, acoustic echo
cancellations and many others. An adaptive algorithm is used to
estimate a time varying signal. There are many adaptive algorithms
like Recursive Least Square (RLS), Kalman filter, etc. but the most
Fig 1 Block diagram of system identification using adaptive filters
commonly used is the Least Mean Square (LMS) algorithm. LMS is
a simple but powerful algorithm and can be implemented to take
advantage of the Lattice FPGA architecture.[6,7]. LMS can be The desired signal d(n) is tracked by adjusting the filter coefficients
superior in a context where the optimal filter W0(k) to be tracked is c(n). The input reference signal x(n) is a known signal that is fed to
a zero-mean random function of time.
the FIR filter. The difference between d(n) and y(n) is the error
e(n). The error e(n) is then fed to the LMS algorithm to compute the
filter coefficients c(n+1) to iteratively minimize the error[6].
B. LMS ALGORITHM
The LMS algorithm was developed by Windrow and Hoff in 1959.
The algorithm uses a gradient descent to estimate a time varying
signal. The gradient descent method finds a minimum, if it exists,
by taking steps in the direction negative of the gradient.

978-1-4673-0455-9/12/$31.00 2012 IEEE

731

The LMS algorithm is an iterative technique for minimizing the

mean square error (MSE) between the primary input and the
reference signal [9]. The adaptive filter weights are updated by
using the LMS algorithm. The LMS algorithm can be written in
matrix notation:

W(k+1)=W(k)+ 2. e(k) .pT(k)

b(k+1)=b(k)+ 2 .e(k)
where W(k) =[1 w(k) 2 w(k) ....i w(k)]T is a set of filter weights at
time k, and i w(k) is the ith row of the weight matrix. PT(k) is the
input vector at time k of the samples from the reference signal. The
error is
e(k)=t(k) a(k) = (s(k)+m(k))- a(k)
where, t is the desired primary input to be filtered, and a(k) is the
filter output that is the best least-squared estimate of t(k). The
convergence time of the LMS algorithm depends on the step size .
If is small, then it may take a long convergence time and this may
defeat the purpose of using an LMS filter. However if is too large,
the algorithm may never converge. The value of should be
scientifically computed based on the effects the environment will
have on d(n).

representations can be thought of as a generalization of the standard

power spectrum. On the other hand a stationary noise is one which
can be defined as a random noise for which the probability that the
noise voltage lies within any given interval does not change with
time [4]. Now we need to filter the speech signal using adaptive
filtering (LMS Adaptive filtering) technique. We use the Wiener
spectrum and other time/frequency representations to represent timevarying noises. However, the amount of noise reduction is in general
proportional to the amount of speech degradation. This may seem
discouraging as we always expect an algorithm to have maximal
noise reduction without much speech distortion. Fortunately, we
show that speech distortion can be better managed in three different
ways. If we have some a priori knowledge (such as the linear
prediction coefficients) of the clean speech signal, this a priori
knowledge can be exploited to achieve noise reduction while
maintaining a low level of speech distortion. When no a priori
knowledge is available, we can still achieve a better control of noise
reduction and speech distortion by properly manipulating the
Wiener filter, resulting in a suboptimal Wiener filter. In case that
we have multiple microphone sensors, the multiple observations of
the speech signal can be used to reduce noise with less or even no
speech distortion.

III. SIMULATION USING MATLAB

Fig2.A detailed description of LMS Adaptive filter.

II. STATIONARY & NON STATIONARY NOISE

Audio signals, much like images, require filtering. It is rather easier

to understand the impact of signal processing on audio signals,
since audio signals need not be translated from a spatial to a
Since we are living in a natural environment where noise is frequency domain [2]. These are the steps to read a recorded speech
inevitable and ubiquitous, speech signals are generally immersed in signal and perform various operations as stated above
acoustic ambient noise and can seldom be recorded in pure form.
Therefore, it is essential for speech processing and communication 1. To load a wave (PCM) audio file, Matlab provides the
function wavread
systems to apply effective noise reduction/speech enhancement
techniques in order to extract the desired speech signal from its
x=wavread (sound.wav);
corrupted observations. Many manmade and natural noises in
nature are non stationary, however most methods that have been
devised to study noises, theoretically or experimentally, have been 2. It's important to capture the sampling frequency at which the
sound was recorded; otherwise the speed of playback and results
devised for the stationary situations. We have developed a number
of further processing is not guaranteed to be correct.
of methods to study noises that are non stationary. These

732

[sound, f]= wavread (sound.wav);

appended in Fig4 show that noise has been removed from the
speech signal by adaptive filtering.

3. To play a wave file at sampling frequency f:

wavplay (sound);
4. Finally we plot the waveform to see what it looks like:
plot(sound);
5. Now the variation of spectral densities with respect to time is
studied by plotting the spectrogram of the speech signal.
spectrogram (x,window(n),noverlap,n,fs,yaxis);
The noise signal is processed in the similar manner and finally the
output signal is traced along with the reconstructed signal.

IV. RESULTS AND DISCUSSION

Firstly white noise (stationary) in the form of a sinusoidal

waveform is taken (since noise is supposed to be some form of
random oscillations) and this clearly matches the problem that we
have chosen. Firstly the original recorded signal was heard, and
Fig4. Spectrograms of various signals in case of stationary noise
then the noise signal was heard using wavplay (sound).
Next the corrupted signal and finally the output signal of the filter Now the simulation was performed using human noise (non
were heard. All the plots are appended which show that the filter stationary) which was again in the form of a sinusoidal waveform.
recognized the original signal almost perfectly.

Fig3. Waveforms of various signals

Fig5. Waveforms of various signals in case of non stationary noise
The waveforms of the speech signal, noise signal, combined signal
and the reconstructed signal are drawn in Fig3. The spectrograms The plots for the speech signal and non stationary noise signal and
their combined forms are plotted along with their spectrograms.

733

on the speech signal. The proposed method is designed to cancel

out the noise from any given audio signal.[4]
This is an adaptive process, which means it does not require a
prior knowledge of signal or noise characteristics. In an
engineering context, signals are carriers of information, both
useful and unwanted. Therefore extracting or enhancing the useful
information from a mix of conflicting information is a simplest
form of signal processing.[5]

ACKNOWLEDGMENT
This work is supported by Department of Electronics and
Communication Engineering, Krishna Institute of Engineering
and Technology, Ghaziabad, India and also by Department of
Electrical Engineering, IITK, Kanpur, India.
REFERENCES
[1]

[2]
[3]

[4]
[5]
Fig6. Spectrograms of various signals in case of non stationary noise
[6]
[7]

V. CONCLUSION

[8]

A least mean-square (LMS) adaptive filtering approach has been

formulated for removing the deleterious effects of additive noise

734

Radhika Chinaboina, Adaptive Algorithm For Acoustic Echo

Cancellation In Speech Processing ,
K L University, Guntur DT,
AP, India
Matlab/Simulink Hints and Tips, Ridgely/Owen, Jan 2004
;
; , J. ;
; skala, V., Application of optimal settings of
the LMS adaptive filter for speech signal processing, VSB-Tech.
Univ. of Ostrava, Ostrava, Czech Republic..
Sambur, M.; Adaptive Noise Canceling for speech signals
ITT Defense Communication Division, Nutley, NJ
V.Jagan Naveen Noise Suppression In Speech Signal Using Adaptive
Algorithms, GMR Institute of Technology, Rajam-53212, India
Adaptive Filter Theory by Simon Haykin; 3rd edition, Pearson
Education Asia, LPE.
Adaptive Signal Processing by John G Proakis, 3 rd edition, Prentice
Hall of India
Simon Haykin, Neural Networks: A Comprehensive Foundation ,
Prentice Hall, 2nd edition, 1998.

An Overview of Manufacturing Technologies

and Applications of Fiber Reinforced Polymers
(FRPs)
Sandeep Kumar, Sant Ram Chauhan

Abstract--

This paper describes an overview of the

manufacturing technologies and applications of fiber reinforced
polymers (plastics). Today fiber reinforced plastics (FRPs) have
an important place not only in the field of engineering materials
but also in many industries such as aerospace, automotive,
marine, sporting goods, chemicals, constructions, and electrical
due to their high strength to weight ratio, high damping, high
fracture toughness, excellent corrosion thermal resistances, and
low maintenance. FRP materials are characterized by their high
strength, high stiffness, low density and high durability.
Index Terms-- Filament winding, FRPs, hand lay-up,
pultrusion, spray-up.

I. INTRODUCTION

omposite materials consist of two or more materials

combined in such a way that the individual materials are
easily distinguishable. The individual materials that make up
a composite are called constituents. Most composites have
two constituent materials: a binder or matrix, and
reinforcement. The reinforcement is usually much stronger
and stiffer than the matrix, and gives the composite its good
properties. The matrix holds the reinforcements in an orderly
pattern and also helps to transfer load among the
reinforcements. The most common composites are those made
with strong fibers held together in a binder. Composites that
use more than one type of reinforcement material are called
hybrids. When the same properties are desired in every
direction on the plane of the lamina, randomly oriented fibers
are used. Composite materials are available as plies or
lamina. A single ply consists of fibers oriented in a single
direction (unidirectional) or in two directions (bidirectional;

Sandeep Kumar Department of Mechanical Engineering, National

Institute of Technology, Hamirpur-177005, India (e-mail:
sandeep6437@gmail.com).
Sant Ram Chauhan Department of Mechanical Engineering,
National Institute of Technology, Hamirpur-177005, India (e-mail:
srchauhan@nitham.com).

for example a woven fabric). Composite properties are best in

the direction of the fibers. In the direction perpendicular, or
transverse, to the fibers, the matrix properties dominate
because load must be transferred by the matrix every fiber
diameter. Because most structures are not loaded in a single
direction, even though one direction may dominate, it is
necessary to orient fibers in multiple directions. This is
accomplished by stacking multiple plies together. Such a
stack is called a laminate.
Polymers are typically classified into two categories
depending upon the reaction to heating and cooling. They are
called thermosets and thermoplastics. The important
difference between these two categories is their behaviour
under pressure and heat. Thermoset polymers are
hygrothermally sensitive and can degrade at moderately high
temperatures around 1600 to 18000C in the presence of water.
Because of their unique properties thermoset and
thermoplastic polymers are used for specific structural and
nonstructural applications. For example, thermosets are
conventionally used for producing structural shapes whereas
thermoplastics are typically used in many nonstructural
applications such as automobile panels, dashboards, door
frames and so on.
With the increasing use of these FRPs in many industries,
as well as in defense, space and aerospace industries, the
machining of these materials is assuming a significant role
[1]. The machining of the FRPs is different from the
machining of the metals because FRPs having different
phases of a material having different mechanical and thermal
properties, which affects the machining processes [2]-[4].
II. MANUFACTURING TECHNOLOGIES
Although there are many manufacturing technologies of
the FRPs, but in this paper we are discussing only about the
some important manufacturing technologies such as hand layup, spray-up, filament winding and pultrusion.
A. Hand lay-up
Hand lay-up is a simple and versatile manufacturing
technique for the production of FRPs composites. In this
technique, the mold must be used for hand lay-up parts unless
the composite is to be joined directly to another structure. The
mold can be as simple as a flat sheet or may have infinite

978-1-4673-0455-9/12/$31.00 2012 IEEE

735

curves and edges. For some shapes, molds must be joined in

sections so they can be taken apart for part removal after
curing. Before lay-up, the mold is prepared with a release
agent (for example a releasing sprayer) to insure that the
part will not adhere to the mold after the preparation of the
composites. In this technique, the alternative layers of resin
(thermosetting and thermoplastic) and reinforcement (fibers)
can be laid in the mold. It is up to the designer to organize
the type, amount and direction of the fibers being used. Resin
must then be catalyzed and added to the fibers. A brush, roller
or squeegee can be used to impregnate the fibers with the
resin. The lay-up technician is responsible for controlling the
amount of resin and the quality of saturation.

has two nozzles. One of the nozzles ejects resin premixed

with catalyst, or catalyst alone, while the other nozzle ejects
resin premixed with accelerator. In the second system, there
is internal mixing system that has only one nozzle. Resin and
catalyst are fed into a single gun mixing chamber ahead of
the spray nozzle.
By either method, the resin mix precoats the strands of
glass and the merged spray is directed at the mould by the
operator. A typical spray-up process is shown systematically
in figure 2.
After the resin and glass mix is deposited, it is rolled by hand
to remove air, to compact the fibers, and to smooth the
surface. The spray-up process relies heavily on operator skill
for product quality. It is faster and hence less costly than hand
lay-up.

Fig. 1. Hand lay-up.

Hand lay-up, because of the its high labour content and the
dependence on the skill of the laminator has the inherent
problem of variability in the finished mouldings. Hand lay-up
can be divided into two categories: wet laminating; and dry or
pre-preg laminating.
B. Spray-up
Spray-up manufacturing technique is a semi-mechanised
process, here, the operator manipulates a chopper/spray gun
to dispense fibers and resin on to the mould. The gun
simultaneously chops rovings and pumps resin producing a
combined spray of chopped fibers and resin. In this process, it
is difficult to control the deposition of material accurately and
this leads to local variations in fiber fraction and moulding
thickness. However, the material deposition rates are high
compared to conventional hand lay-up [5]. This is partially
automated from of hand lay-up. Chopped glass fibers and
resin are simultaneously deposited on an open mould. Fiber
glass roving is fed through a chopper on the spray gun and
blown into a resin stream that is directed at the mould by
either of two spray systems. First by the external mixing that

Fig. 2. Spray-up.

C. Filament winding
Filament winding is another process for the
manufacturing of composites, which usually involves a high
initial investment. In its simplest form, the winding machine
is similar to a lathe, the payout eye replacing the cutting tool
and a cylindrical the work piece. Payout eye located on the
moving carriage of the winding machine. As the mandrel
rotates, resin impregnated filaments are pulled on to its
surface via the payout eye which is mechanically traversed
parallel to the mandrel axis producing a helical pattern. On
completion of the winding process, the resin is cured and the
mandrel removed. Modern winding machines are multi-axis
and computer controlled, being capable of winding non
axisymmetric and branched shapes. Also, because of the
complexity of generating data for winding patterns quickly
and accurately they are also being interfaced to sophisticated
CAD/CAE/CAM systems [5]. Some advantages of filament
winding are low material and labor costs and accuracy of
product dimensions. Some disadvantages of filament winding

736

are cost and design constraints of removable mandrels and

the inability of winding on concave surfaces. Part production
by filament winding keeps increasing and only seems limited
by imagination.
Figure 3 shows the basic process of filament winding.
Filament wound parts can be wound with or without resin.
Wet winding systems use a resin bath or fiber that has resin
premixed. Wet resin is catalyzed and mixed into the filaments
with the aid of a resin bath. Dry resin systems use preimpregnated fibers. Running filament strands through a resin
mixing process makes pre-impregnated fibers. If the resin
added is thermosetting then the fibers must be kept cool to
prevent catalyzation. Keeping the impregnated fibers cool
also prevents them from being too tacky. If the resin added is
thermoplastic then the fibers must be heated to form a
finished part. Parts wound without resin will need the resin to
be impregnated into the fibers after winding. Either form can
be wound in the same manner, but the tow or routing stages
must be modified accordingly. Nip rollers (pinch rollers) are
powered rollers that are used to press two or more sheets
together to form a laminated product. The high pressure
created at the nip point brings the sheets into intimate
contact, and can squeeze out any bubbles or blisters that
might cause a defective bond. Nip rollers can be used to
laminate sheets using wet adhesives, film adhesive or parts
covered with hot melt glues or contact cement. Nip roller
units can also be used as pullers for material being pulled off
of rolls or being fed between operations. Nip rolls are
sometimes called laminating rolls, laminators, squeeze rolls,
pinch rolls or even wringers.

Pultrusion is a composite fabrication process designed for

structural shapes. The investment cost is very high and
therefore only feasible for mass production parts. Fibers are
drawn through a resin bath and then through a forming block.
Heaters are used to insure fast curing through steel dies and
then the part is cut to proper length. Pultruded parts are
strongest in the longitudinal direction because of their fiber
orientation. Fiber orientation can be changed to increase
strength in other directions. Solid, open sided and hollow
shapes can be produced at almost any length. Cores such as
foam and wood can be built inside of the pultruded shapes.
Due to the pressure and designs of production, protruded
production can be up to 95% effective in material utilization.
Figure 4 shows the basic schematic diagram of Pultrusion
process.

Fig. 4. Pultrusion.

III. COMPARISON BETWEEN HAND LAY-UP,

FILAMENT WINDING AND PULTRUSION
Here, we are making the comparison between hand lay-up,
filament winding and pultrusion on the basis of investment
for single parts, for multiple parts, for mass production,
labour cost, speed of production and part quality. The
comparison between these processes is shown in the table 1.
TABLE I.
COMPARISON BETWEEN HAND LAY-UP, FILAMENT WINDING AND
PULTRUSION.

Fig. 3. Filament winding.

D. Pultrusion
737

IV. APPLICATIONS
FRPs due to their light weight, high strength-to-weight
ratio, good directional strength, good corrosion resistance,
weather resistance, good dimensional stability, low
maintenance, high fracture toughness, long durability etc.,
have their applications in many industries [6]-[9]. Table 2
shows the applications of fiber composites in various
industries.

S. No.

Title

Hand
lay-up

Filament
winding

Pultrusion

Investment for
single part
Investment for
multiple parts

Low

High

Very high

Low

Medium

Medium

Investment for
mass production

Medium

Low

Low

Labour cost

High

Medium

Low

Speed of
production

Slow

Medium

Fast

Part quality

Good

Excellent

Excellent

TABLE II.
APPLICATIONS OF FRPs.

S. No.

Industry

Examples

Aerospace

Space shuttle, space station.

Automotive

Body frame, chassis components,

engine components, exterior body
components, leaf springs, etc.
Tennis and racquetball, golf club shafts
and heads, bicycle frames, skis,
helmets,
Structural and decorative panels, fuel
tanks, portable bridges, housings,
furniture, etc.

Sporting goods

Construction

Electrical

1998.
[6] Hollaway, Leonard, Handbook of polymer composites for engineers, New
Delhi: Jaico Publishing House, 1995.
[7] A. Toldy, B. Szolnoki, Gy. Marosi, Flame retardency of fiber-reinforced
epoxy resin composites for aerospace applications. Polymer Degradation
and Stability, vol. 96, pp. 371-376, 2011.
[8] G. Williams, R. Trask, I. Bond, A self healing carbon fiber reinforced
polymer for aerospace applications. Composites, vol. 38, pp. 15251532, 2007.

Printed circuit
boards (PCBs),
computer housing, insulators, battery
plates, smart structures.

[9] S. Pimenta, S. T. Pinho, Recycling carbon fiber reinforced polymers for

structural applications: Technology review and market outlook. Waste
Management, vol. 31, pp. 378-392, 2011.

V. CONCLUSION
The area of the FRPs is a vast and still evolving.
Additionally, this paper provides sufficient information for
the important manufacturing technologies and applications of
the FRPs and allows more detailed investigation through the
references, but it is not a substitute for expert advice. The
main aim of this paper is to create the interest towards the
various young researchers.
VI. REFERENCES
[1] N. Bhatnagar, N. Ramakrishnan, N.K. Naik, On the machining of fiber
reinforced plastics ( FRPs ) composite laminates, Int. J. Mach. Tools
Manuf., vol. 35/5, pp. 701-716, 1995.
[2] M. Rahman, S. Ramakrishna, J. Prakash, D. Tan, Machinability study of
carbon fiber reinforced composite, J. Mater. Process. Technol., vol. 8990, pp. 292-297, 1999.
[3] A. Sang - Olk, L. Eun - Sang, N. Sang-Lay, A study on the cutting
Characteristics of glass fiber reinforced plastics with respect to tool
materials and geometries, J. Mater. Process. Technol., vol. 68, pp. 6067, 1997.
[4] E. Eriksen, Influence from production parameters on the surface
roughness of a machined short fiber reinforced thermoplastic, Int. J.
Mach. Tools Manuf., vol. 39, pp. 1611-1618, 1999.
[5] K. L. Edwards, An overview of the technology of fiber - reinforced
plastics for design purposes. Materials and design, vol. 19, pp. 1-10,

738

Managing Electricity Consumption using Image

Processing as a Tool
Faraz Ahmad, Student Member, IEEE

Abstract-- The electricity demand in India is at its zenith.

Electricity consumption is rising but its wastage is rising at a
higher pace. The wastage at some places account to even 500%600% the actual consumption calculated. Some part is lost as
heating of conductors as a result of resistance of conductor or
poor contact. But if properly analyzed, the major part of wastage
arises from the misuse of electricity. BEE ratings on electrical
appliances have raised awareness on Smart Energy Usage but
awareness alone cant fix the problem of misuse and ignorance
towards energy management. This paper presents a possible
solution to encounter the problem of Electricity Misuse. The
technology used here is implementing occupancy sensing using
Face Detection (and/or Recognition). The solution implements
Face detection to detect a human presence and accordingly turnon/off the supply of the place under consideration. Thus, the
electricity supply is maintained when people are present (i.e.
when need of electricity is there, for example in classrooms,
conference rooms/halls, houses, etc.). The proposed concept could
also be used for monitoring and surveillance purposes also.
Index TermsEngineering, Energy Management, Electric
Power Saving, Image Processing, Face Detection, Occupancy
Sensing.

I. INTRODUCTION

HE electricity crisis is a major issue now days. This has

made the development progress at a much slower rate.
The elevated cost of electricity has made this utility
unfriendly to the pockets of many people. Electricity misuse
bears a larger responsibility for this shortcoming. If the misuse
can be brought down, then to a larger extent this problem can
be solved. Thus, the proposed idea will try to meet out this
problem to a much larger extent.
The demand for energy is growing manifold and the
energy sources are becoming scarce and costlier. In
particular, electric consumption directly indicates economic
growth. Energy conservation and energy efficiency are a part
of the Government's strategy to decouple economic growth
from growth in energy consumption and reduce the energy
intensity of the economy, says Annual Ministry of Power
(MoP) report 2004-05.[6] Hence, the electricity must be
conserved in order to meet the rising demands.
The paper describes a possible solution to conserve
electricity by implementing occupancy sensor that is based on
image processing, face detection to be precise.

Lighting accounts for 15% of the total consumption in

India. [5] This sector provides a maximum opportunity for
energy conservation.
II. NEED FOR ENERGY MANAGEMENT
In any industry, the three top operating expenses are often
found to be energy (both electrical and thermal), labour and
materials. If one were to relate to the manageability of the cost
or potential cost savings in each of the above components,
energy would invariably emerge as a top ranker, and thus
energy management function constitutes a strategic area for
cost reduction. Energy Audit will help to understand more
about the ways energy and fuel are used in any industry, and
help in identifying the areas where waste can occur and where
scope for improvement exists. The Energy Audit would give a
positive orientation to the energy cost reduction, preventive
maintenance and quality control programmes which are vital
for production and utility activities. Such an audit programme
will help to keep focus on variations which occur in the energy
costs, availability and reliability of supply of energy, decide
on appropriate energy mix, identify energy conservation
technologies, retrofit for energy conservation equipment etc.
The primary objective of Energy Audit is to determine
ways to reduce energy consumption per unit of product output
or to lower operating costs. Energy Audit provides a
benchmark (Reference point) for managing energy in the
organization and also provides the basis for planning a more
effective use of energy throughout the organization. [4]
III. BACKGROUND OF THE WORK
A. Previous Works

Mr Faraz Ahmad is a third year Electrical Engineering student at the

Department of Electrical Engineering, Zakir Husain College of Engineering
and Technology, Aligarh Muslim University, Aligarh-202002, India (e-mail:
farazahmad@zhcet.ac.in).

739

As per the Electricity Conservation and Building Codes,

there should be an automatic lighting control device to
switch off electricity when not in use. [5] This can be
achieved by installing occupancy sensor in each facility.
Several techniques have been implemented so far to
manage electricity consumption by controlling usage. Such
systems used various active/ passive sensors to detect the
presence of human or activity that required electricity.
Sound sensors were used to differentiate between the level
of noise in empty rooms and when it was full with people.
Optical sensors using IR were also installed that counted
the number of persons in the room. But it was a failure
with several persons entering or leaving the room
simultaneously.

B. Demerits of Earlier Works

b) Each frame of the video is extracted by the program and

checked for any combination resembling a face.
c) In case any face is detected (Human present demand for
electricity) the program sends an output to trigger the
corresponding relay via UART (Universal Asynchronous
Receiver & Transmitter) through the microcontroller
ATMEGA16L.
d) The relay acts as a switch and powers on/off the supply
as required.

The suggestion of bringing out a solution for managing

electricity is not new. The techniques discussed earlier
were incompatible and less robust in many situations.
Following are the drawbacks of earlier implemented
techniques.
Technology Used
Sound Sensors
Optical Sensors

RFID

Drawback(s)
Erroneous when different
sound levels are considered
Incapable of providing correct
numbers in case of multiple
entry of exits
Costly and training required

A. Webcam Operation and Image Acquisition

The webcam continuously streams the video. This video is
acquired into the processor, here computer. Then it is
processed by the program and it extracts every frame from the
video. The frames are in image format. This is denoted by
WEBCAM in Figure 1.

Table 1: Demerits of Earlier Implemented Technologies

The above listed technologies were introduced but they were
flaw full and were not compatible in several environments.
Here we are using image processing to check occupancy
within the facility which provides an accurate result.
IV. SUGGESTED SCHEME
To overcome the shortcomings of the previous
technologies, a scheme is proposed that can resolve the
drawbacks.
The idea is to implement face detection using MATLAB or
any programing language (such as C, C++, Java, .NET, etc.)
by reading the image of the place of interest and detecting
faces(in case of human presence). In case of any detection the
program commands a relay to switch on power supply. In all
other conditions the relay remains un-triggered and the power
supply remains off. All the interpretations are made by the
program.

B. Processing and Control Operation

These frames are scanned for a combination that resembles
a human face using face detection algorithm. The face
detection is used as a tool [1]
The coordinates of the eyes, nose, lips and ear are
calculated. On the human face, these coordinates are located at
a particular relative distance with each other. This unique
parameter facilitates the human face detection. Once the
program finds out that a human face is detected, it sends a
signal to trip the corresponding relay. The triggering can be
achieved by two ways:
a) The program sends the control signal to the relay directly
through the port programing.
b) The program sends the signal to a microcontroller via
UART (Universal Asynchronous Receiver &
Transmitter) and the signal is interpreted and amplified
by the microcontroller. The output of the microcontroller
then controls the relay switching operation. [2]
The latter method is recommended as the output of the
COM Port is very low. Thus, it needs to be amplified. The
amplification is accomplished by the ATMEGA 16L and the
IC L298N.
This is denoted by PROCESSING in Figure 1.
C. Triggering Operation
a)

OFF to ON:
a.1) The relay is normally open (N.O.). At this stage no
contact is established. Thus, no current is supplied
to the appliances. This is for the case of no person
present.
a.2) When anyone steps into the room (Place under
consideration), the webcam streams the video, the
program processes the frames and detects the face
of the person entered, it sends an output signal
through the COM port of the system, the signal is
received via UART and the microcontroller acts to
trigger the relay. This closes the contacts and the
appliances are fed with electrical power.

Figure 1: Schematic Diagram

The scheme works as follows:

a) The webcam streams the video of the place under
consideration.
978-1-4673-0455-9/12/$31.00 2012 IEEE
740

b)

ON to OFF:

 Cost of a single device

Rupees 800/- (Total of above values)
Cost of a Computer
Rupees 30,000/ Total cost for 25 device and a computer
Rupees
50,000/(Rs.20,000/+
Rs.30,000/-)
Average cost per device
Rupees 2,000/- (Rs.50,00025=2,000/-)

b.1) When the person moves out of the facility, the

program will detect the absence of a human face.
This will make the output logic zero.
b.2) This will stop the trigger signal and switch off the
relay. Thus, cutting off the power supply.
This is denoted by RELAY in Figure 1.
D. Block Diagram

Thus, we obtain an astonishing result for the cost optimization

of the scheme and can sum-up that this is a pocket-friendly
method of saving energy and promising for industries and
large setups.
V. ADVANTAGES OF THIS SCHEME

Figure 2: Block Diagram

The scheme is efficient enough to control switching even if a
person is not looking at the camera. This is because motion
sensing is also incorporated along this.
E. Equipment Used
a) Webcam 2.0MP
b) Computer System with a programing language and
compiler installed and Serial COM port
c) MATLAB
d) ATMEGA 16L
e) L298N- Motor Driver
f) Relay- 5V
g) A.C. Load
F. Cost Analysis
The approximate cost of the stand-alone device is analyzed as
follows:
Webcam
Rupees 500/ATMEGA 16L
Rupees 130/IC L298N
Rupees
150/Relay & Others
Rupees 20/The cost is analyzed for the device excluding the computer
system and the simulation software MATLAB. The cost after
including the system cost becomes optimized to Rupees
2000/-* for 25 devices connected on a network. The further
analysis is shown below. The cost for software can be dropped
to nil by using open source simulating software SCiLAB.

This scheme of energy management serves the following

advantages:
a) Accurate information regarding number of people
present: This is quite helpful for tracking and
controlling crowds at public places and banks.
b) Open source codes make the setup economic: The cost
of MATLAB can be cut down by using open-source
wares.
c) Multiple Webcams can be connected to the same
system. Thus, a central processing facility can monitor
all: By this way the cost can be optimised and as
analysed, this can be brought to an affordable cost.
d) Fast data transfer: Can be achieved by the use of
Ethernet.
e) Maintenance of system and various components used is
easy and economic: The device is made modular which
makes the maintenance and replacement quite easy and
cheap.
f) The system can be connected to the SMART GRID
and provide a better distribution option: A log can be
maintained by the central computing system and
provide the necessary usage details to the SMART Grid
for a better distribution option.
VI. DEMERITS
Although the system is advantageous over others, as discussed
in the previous section, there are some minor drawbacks.
These are listed as follows:

978-1-4673-0455-9/12/$31.00 2012 IEEE

741

a) The camera cannot differentiate between the actual

and photograph of the face. This can be eliminated by
the use of special cameras that capture by reading the
contours of the face. These are then costly add-ons.
b) Problems associated with threshold are common and
could be rectified by calibration.
c) MATLAB is a costly software and intended for a
much advanced usage. Thus, programing languages
such as C, C++, Java, etc. can be used that will further
bring down the cost of application.

VII. FUTURE ADVANCEMENTS AND MODIFICATIONS

The following modifications can help improve the working of
the system in future:
a) Several webcams can be put on a network. This will
provide a faster access and instead of multiple USB
ports, the communication can be made via LAN.
b) The need of a dedicated system can eliminated by
using a microcontroller interfaced with a webcam.
Each such component can be housed into a device and
mounted at the place of interest, thus, saving space and
cost.
c) The video stream can be captured on the device and
thus, serve the purpose of video surveillance.
d) This application can be made to run on Symbian and
Android powered cell phones that will use the camera
of the cell phone in place of webcam and provide an
output from the head-phone jack to trigger relay. Thus,
a portable device is possible to be made that does the
requisite application.
VIII. EPILOGUE
The idea proposed in this paper is a probable solution to the
problem of electricity management. This overcomes the
shortcomings of the other technologies that were proposed
earlier. The drawbacks reported here come with a solution and
can be eliminated. The future modifications provide a brighter
scope of portable, much lower cost energy monitoring devices.
Thus, a problem relating to misuse of electrical energy is seen
to end soon
IX. ACKNOWLEDGMENT
This idea would not have been possible without the
valuable inputs from Prof. Ekram Khan (Department of
Electronics Engineering, ZH College of Engg & Tech, AMU),
Er. Minhaz Ahmad (BEL, India) and Ms S H Mariyam, Ms
Firdaus Khan (Department of Electronics Engineering, ZH
College of Engg & Tech, AMU)
X. REFERENCES
[1]

[2]
[3]
[4]
[5]
[6]

http://www.mathworks.com/matlabcentral/fileexchange/24092J. Clerk
Maxwell, A Treatise on Electricity and Magnetism, 3rd ed., vol. 2.
Oxford: Clarendon, 1892, pp.6873.
Brics Summer training Program on UART- Presentation by Mohammad
Umair.
http://developers.face.com/new-detector-demo/
http://www.em-ea.org/Guide Books/Book-1/1.3 Energy management &
Audit.pdf
Energy Conservation and Building Codes, User Guide, BEE-USAID.
Chapter 7, Pg. 58-60.
Annual Report of Ministry of Power, Government of India.

978-1-4673-0455-9/12/$31.00 2012 IEEE

742

Analysis of Notch Loaded Circular Disk Patch

Antenna for Dualband Operation
Vivek Kushwaha, Ashish Singh, Kamakshi, Atul R. Srivastava, J.A. Ansari
Department of Electronics and Communication
University of Allahabad, Allahabad
E-mail: vivek.jkit09@gmail.com

Abstract: In the present paper notch loaded shorted

microstrip patch antenna has been analyzed using
cavity model. The proposed antenna shows dual
band operation which depends on notch dimensions
as well as shorting pin. The frequency ratio is found
to be 1.75 for the notch loaded circular patch
antenna. The theoretical results are compared with
IE3D simulation.

Theoretical considerations
The geometry of proposed antenna is shown in
Fig.1.

Keywords: circular disk patch antenna, dualband

patch antenna, Notch loaded patch antenna.
I.

INTRODUCTION

Microstrip patch antennas are popular for their

attractive features such as low profile, light weight, low
cost, ease of fabrication and integration with RF devices.
In the recent years, radar and communication system,
such as global positioning system (GPS), synthetic
aperture radar (SAR), often require dual frequency patch
antennas to avoid the use of two different antennas. The
notch loading allows one to obtain two resonant
frequencies due to strong attraction between the main
patch and the notch resonant frequency. Notch[1]
loading is a good solution to minimize and enhance the
impedance mismatch and bandwidth[2-14] respectively.
Shorted[8] patch antennas have been reported to
overcome the size constraints for a variety of
communication link. Recently it has been demonstrated
that loading the microstrip antenna with shorting pin and
shorted wall can reduce the patch size for a fixed
operating frequency.
In this paper, analysis of notch-loaded circular
disk micostrip patch antenna has been carried out using
circuit theory concept. In the present work the study of
effect of notch length and width on the resonance
frequencies has been investigated, and a shorting pin is
inserted to reduce the size of patch. The frequency ratio
of two resonances frequencies (lower & upper) is found
to be 1.75.

Fig.1 Geometry of proposed notch loaded disk patch antenna

Top view and Side view

A simple circular microstrip patch antenna can be

analyzed as a parallel combination of R1, L1 and C1 as
shown in Fig.2, where R1, L1 and C1 can be defined
as[15]

978-1-4673-0455-9/12/$31.00 2012 IEEE

743

R1

L1

where k '

C1

1 k2

w1
s

1
k2
Fig.2 Equivalent circuit of circular patch

h2 E0 2 J n 2 (kp0 )
2Pt
R1
2 fr Qt

R1
L1

w1
s

L1

C1

R2

Qt
2 R1f r

C1

w2
s
w2
1
s

where, h = thickness of the substrate

Fig.3 Equivalent circuit of patch due to effect of notch

Pt= total power loss

The input impedance of the resonant circuit shown in

fig.3 can be computed from the simplified circuit as:

Qt= quality factor

fr= resonant frequency

Z Patch

po= feed point location of the patch

The input impedance of the resonant circuit shown in
fig.2 is calculated as:

1
R1

j C1

1
j L1

The notch is introduced along the radiating side. Due to

the effect of notch, the two current flows in the patch,
one is the normal patch current and resonates at the
design frequency of the initial patch; however the other
current flows around the notch consequently alters the
resonance frequency shown in fig.3. Additional series
inductance L and capacitance C due to notch effect
are calculated respectively as:

where

cos

C2

C1 C
C1
C

L2

L1

L2

C2

Ls

Fig. 4 Equivalent circuit of shorted patch antenna

Znotch

y0
Ls

1
j L2

j C2

R2

Z 01 Z 02
fl
tan( r n )
16 f r F
c

1
R2

where,

Z Patch

Zshorted

C
L

Cm
C 2ln

ln

k'

k'

ln coth

s
4h

0.013

h
s

Fig.5 Equivalent circuit of coupled notch loaded circular disk

patch antenna

744

It may be noted that the two resonant circuits,

one is the initial RLC of shorted circular disk patch
shown in Fig.4 and other one is after cutting the notch
are coupled through mutual inductance ( L m )

Lm

and

C 2p ( L1 L2 )

C 2p ( L1

Hence the total input impedance of proposed antenna

can be calculated from Fig.5 as[15-16]

ZTotal

Z notch

Z short Z m
Z short Z m

where

where, Z notch is the input impedance of the microstrip

patch antenna can be calculated from Fig.3 as:

Z notch

and

j R1 L2
R1 R1 L2C2

j L2

Z short

R1 j
LT R1 R1C1

(C1

C2 )

(C1

C2 ) 2

4C1C 2 (1 C p 2 )

Cp

Q1Q2

and Q1 and Q 2 are quality factors of the two resonant

circuits. The reflection coefficient of the patch can be
calculated as

Z0
Z0

ZT
ZT

where Z0= characteristic impedance of the coaxial feed

(50ohm).
Return loss

LS L1
L1 LS

LT

4C 2p (1 C 2p ) L1L2

2(1 C 2p )

mutual capacitance ( Cm ). Thus the equivalent circuit of

the notch loaded patch antenna can be given as shown in
Fig.5.

Cm

L2 )2

RL = 20 log | |
Design Specifications

Ls
where

h ln[4c / E d r ]
2 fr

Radius of disk
Relative permittivity of the
substrate (r)
Thickness of the dielectric
substrate (h)
Loss tangent
Length of the notch (Ln)
Width of the notch (Wn)
Feed location (x, y)
Position of the shorting pin (x,y)

C=speed of light
d=diameter of the shorted pin
E=Euler constant
0 =120

and

Zm

j Lm

1
j Cm

where Lm and Cm are the mutual inductance and mutual

capacitance between two resonant circuits and given
as[16]:

745

5mm
1.07
4mm
0.0009
4.336mm
1.7123mm
(0, -2.45mm)
(- 3.2mm,0.125mm)

Results and Discussion

0
-5

-10
Return loss (dB)

-5

Return loss(dB)

-10

-15

-15
-20
-25

-20

Ln=4.3361mm
Ln=5.3361mm
Ln=6.3361mm

-30
-25
Theoretical
Simulated

-35

-30

-35

-40

8
9
10
Frequency(Hz)

11

12

13

8
9
10
Frequency (Hz)

11

12

13

14
9

x 10

14
9

x 10

Fig.8 Variation of return loss with frequency for different

value of notch length

Fig.6 Comparison between theoretical and simulated[17]

result

The bandwidth of notch loaded Circular disk

patch antenna is found to be 26.7% at lower resonant
frequency 5.7 GHz and 19.8% at upper resonant
frequency 10.0 GHz.

Fig.8 and fig.9 show that lower and upper resonance

frequencies shift towards lower side as the value of
notch length or notch width is increased.
Variation of notch width(Wn)
0
-5

-10
Return loss (dB)

-5
-10

Return loss (dB)

-15
-20
-25

-15
-20
-25

Wn=1.7123mm
Wn=2.7123mm
Wn=3.7123mm
Wn=4.7123mm

-30

-30
-35

-35
h=0.413mm
h=0.433mm
h=0.453mm
h=0.463mm

-40
-45
-50

8
9
10
Frequency (Hz)

-40

11

12

13

8
9
10
Frequency (Hz)

11

12

13

14
9

x 10

Fig.9 Variation of return loss with frequency for different

value of notch width.

14
9

x 10

Fig.7 Variation of return loss with frequency for different

value of substrate height

Fig 10 shows the radiation pattern at upper and lower

resonance frequency for Etheta when phi=0 and Ephi
when phi=90.

Fig.7 shows that the lower and upper resonance

frequencies shift towards higher side as the value of
substrate thickness increases.

746

4.

5.
6.
7.

(a)

8.

9.

10.

11.

(b)

12.

Fig.10 Radiation pattern(a) Lower and (b) Upper resonance

frequency
13.

II.

CONCLUSIONS

It is observed that both upper and lower

resonance frequencies are controllable by the notch
parameters. Frequency ratio is found to be 1.75. It
increases with increasing value of notch length. The
dependence of ratio of two frequencies allows flexibility
in the design of the dual band antenna. By inserting a
shorting pin, it is observed that reduction in size of the
antenna is obtained. The theoretical result is compared
with the simulated result and it is observed that the
result is in close agreement.
III.
1.

2.

3.

REFERENCES

A. Mishra, P. Singh, N. P. Yadav, and J. A. Ansari,

Compact shorted microstrip patch antenna for dual band
operation, Progress In Electromagnetic Research C,
Vol. 9 ,pp.171-182, 2009.
J. A. Ansari, S. K. Dubey, Prabhakar Singh, R. U. Khan
and B. R Vishvakarma, Analysis of compact H-shaped
microstrip patch antenna, Microwave Optical Technol
Lett, Vol. 50, pp.1779-1783, 2008.
S. Bhunia, D. Sarkar, S. Biswas, P. P. Sarkar, B.Gupta,
and Yasumoto, Reduced size small dual band multifrequency microstrip antennas, Microwave Optical
Technol Lett, vol. 50, pp. 961-965, 2008.

747

14.

15.
16.
17.

J. A. Anasri, S. K. Dubey, Prabhakar Singh, R. U.

Khan and B. R Vishvakarma, Analysis of U-slot
loaded patch for dual bandoperation, Int. J. of
Microwave Optical Technol. Lett., vol.3, pp. 80-84,
2008.
K. L.Wong and W. S. Chen, Compact microstrip
antenna withdual frequency operation, Electron.
Lett., 2008 Vol. 33, pp.646-647, 1997.
S. Maci, G. B. Gentillin, Dual frequency patch
antenna, IEEE Antenna Propag . Mag., Vol. 39, pp.
13-17, 1997.
A. K. Singh and M. K Meshram, Slot loaded shorted
patch antenna for dual band operation, Microwave
Optical TechnolLett, vol. 50, pp. 1010-1017, 2008.
Cheol Yoon, Sun-Ho-Choi, Hwa-Choon Lee and
Hyo-Dal Park, Small microstrip patch antennas with
short-pin using a dualband operation, Microwave
Optical Technol Lett. Vol. 50, pp. 367-371, 2007.
A. K. Shackelford, S. Y. Leong and K. F. Lee, Small
size probe fed notched patch antenna with shorting
post, MicrowaveOptical Technol Lett , Vol. 31,pp.
377-379, 2001.
S. Y. Chen P. Hsu, Broad band radial slot antenna
fed by coplanar wave guide for dual frequency
operation, IEEE Tran Antenna Propag , Vol. 53, pp.
3444 -3452, 2005.
H. M Chen, Single fed dual frequency rectangular
micro strip antenna with a shaped slot, IEEE Proc
Micro Antenna Propag Vol. 148, pp. 60- 64, 2001.
S. Maci, G. B. Gentillin, P. Piazzessi and C
Salvador, Dualband slot loaded patch antenaa, IEE
Proc H Micro Antennas Propag. Vol. 142, pp.225232, 1995,.
A Eldek and el.al, Square slot antenna for the dual
band and wideband wireless communication
system, J. of Electromagnetic Wave and
Applications, Vol. 19, 1571-1581, 2001.
S K Palit and A Hamadi., Design and development
of wide band and dual band microstrip antennas,
IEEE Proc H Micro Antennas Propag. Vol. 146, 35,
1999.
I. J Bahal and P. Bhartia, Microstrip antennas,
Artech House, Massachuaetts, 1980.
I .J. Bahal, Lumped elements for RF and microwave
circuits, Artech House, Boston, 2003.
Zeland softwere, Inc., IE3D simulation software,
version 14.05 Zeland software, C A, 2008.

A Brief Introduction of Human Models Used

In Various Industrial Applications: Overview
Shashank Kumar Kushwaha, Ravi Prakash Vishvakarma and S. P. Singh
(E-mail: singhsurya12@gmail.com)

Abstract-- Human models are currently being used in

a wide field of industrial and scientific applications. It is
very important for especially industrial application.
There are mainly two type of direction, first is physical
and second is cognitive modeling. This paper presents a
short survey of these modeling methods and takes a
closer look at a special overview approach and an
overview is given of the main developments. These
models have been developed for many human aspects.

Controllers based on the process control expertise put

in its methods [02].
II.HUMAN MODELS, MODELING AND DEVELOPMENT
There are different types of point of view to
describe the various types of human models. The
main objective of human models is it shows strength
and limitation of human body. Comfortable and
facilities provides to the human and also gives good
inter communication with various type tools [02].
Human models like a tools that can be simulated any
parameter in industrial application. Design processes
are used to evaluate different alternatives and user
requirements. Designers need many benchmarks and
data for system. Human models are used directly in
design
for
human
functions,
performance
requirements [03].

Index Terms-- Human model, modeling behavior,

industrial application and design

I. INTRODUCTION

uman models are developed to evaluate and

optimize the socio-technical aspects of
production systems. Human models specially are
used to adapt workplaces or productions to human
requirements. This paper provides an overview of
human modeling techniques and their applications in
the present and in the future [01]. In industrial
application, human models technology enables the
efficient and transparent implementation of human
control expertise. Human models give set values for

s
e
s
a
ba
D
ta

yT
ro
e
h

Disciplinary
area

ata
dcN
m
u
ir
e

m
hs
t ir
o
gA
l

Basic application
Or
Academic Interest

Goal

s
m
e
M
tr
n
u
e
s
a
e

n
oi ta
z
m
iiO
tp

g
nim
le
d
o
a
ci l S
inI

n
oi ta
ci f ir
e
v&
n
oi ta
di V
la

External
relationships

:g
ni tT
s
e

s
n
oi ta
ci A
lp

Fig. 2 Development of a human model

Type of model

Level

Completeness

A specific human aspect to be modeled determines

the goal of the model, the involved disciplinary areas,
and the external relationships between the human and
the environment.

Complexity

Model characteristics

III. ARTIFICIAL NEURAL NETWORKS MODELS

Fig. 1 The analysis of the initial problem determines the type of the
model. The scope of the model Application determines the model
characteristics

The field of neural networks has a history of five

decades but has found solid application only in the
past decade, and the field is still developing rapidly.
Neural networks are composed of many simple
elements operating in parallel. These elements are
inspired by biological nervous systems [04]. The
network function is determined largely by the
connections between elements. Neural networks have
been trained to perform complex functions in various
fields of application including pattern recognition,
forecasting, identification, classification, speech,
visions and control systems. Artificial neural
networks can be characterized most adequately as

Shashank Kumar Kushwaha, M.Tech. Student, (Thermal

Engineering) in Department of Mechanical Engineering of Kamla
Nehru Institute of Technology, Sultanpur (U.P.)-228 118, INDIA.
(E-mail: shashankniec35@gmail.com)
Ravi Prakash Vishvakarma, M.Tech. Student, (Power
Electronics & Drives) in Department of Electrical Engineering of
Kamla Nehru Institute of Technology, Sultanpur (U.P.)-228 118,
INDIA.
(E-mail: raviraj.vishvakarma@gmail.com)
Surya Prakash Singh, Assistant Professor in Department of
Electrical Engineering of Kamla Nehru Institute of Technology,
Sultanpur (U.P.)-228 118 INDIA

978-1-4673-0455-9/12/$31.00 2012 IEEE

748

computational [05]. Models with particular properties

such as the ability of adapt, to learn, to generalize, or
to cluster or organize data, and which operation are
based on parallel processing. An artificial network
consists of a pool of simple processing units which
communicate by sending signals to each other over a
large number of weighted connections [06].

[09]. ORM models provide not only testable

hypothesis, but also simplified system structure that
can be easily recreated in the corresponding
experiment designs [12].The study of OR two
section. First, it is part of mounting evidence that
formal process and optimization of explicit goals.
Second, study of result. They are used mostly to
design the layout of installations and instruments to
reduce the operator effort and time of human tasks.
Operation research arrives at optimal decisionmaking problems. Operation research is often
concerned with determining the maximum or
minimum of some real-world objectives [13].

Artificial Neural Network Models

Neuro
n typ
e

ture

Neuro

hitec
n Arc

Defining the problem

Single Layer
Or
Multi Layer

Weighted
Or
Weightless

Supervised
Or
Unsupervised

Developing a method

Fig. 3 ANN human model

IV. FUZZY LOGIC MODELS

Obtaining input data

Fuzzy logic was first developed by Zadeh in the

mid-1960s for representing uncertain and imprecise
knowledge [07]. It provides an approximate but
effective means of describing the behavior of systems
that are too complex, ill-defined, or not easily
analyzed mathematically [08], [09]. Fuzzy variables
are processed using a system called a fuzzy logic
controller. It involves fuzzification, fuzzy inference,
and defuzzification. The fuzzification process
converts a crisp input value to a fuzzy value. The
fuzzy inference is responsible for drawing
conclusions from the knowledge base [10]. The
defuzzification process converts the fuzzy control
actions into a crisp control action. Fuzzy logic
techniques have been successfully applied in various
applications for example, computer vision, decision
making, and system design including ANN training
and industrial sector [11].
Distance, Angle
(Linguistic Variables)

Linguistic
Level
Technical
Level

Fuzzy Inference

Fuzzification

Distance, Angle
(Real Variables)

Solving the model

Testing and analyzing the solution

Implementing the results

Fig. 5 the phases of part of industrial application using Operation

research methodology

Operation research is Mathematical model which

consist of Three basic components; Decision
variable, Uncontrollable variables and result
variables [14].
Model
Input

Controllable
(decision) Variable

Mathematical
relationships

Result variables

Fig. 6 OR Mathematical model

VI. GENETIC ALGORITHM

Genetic algorithms are a relatively new technique
with respect to the packing industry (Hopper and
Turton, 1998), however they have already been used
successfully in a vast number of industrial
applications such as structural design, planning of
Tele communication networks, electronic circuit
design and pattern recognition [15], [16]. They utilize
search and optimization procedures that operate in a
similar way to the evolutionary processes observed in
nature. The search is guided towards improvement
using the survival of the fittest principle. This is
achieved by extracting the most desirable features
from a generation of solutions and combining them to
form the next generation [17], [18]. The quality of
each solution is evaluated and the "fitter" individuals

Motor Power
(Linguistic Variable)

Defuzzification

Container Crane

Uncontrollable Variable

Motor Power
(Real Variable)

Fig. 4 Structure of a fuzzy logic controller, the fuzzy logic system

consists of three steps: fuzzification, fuzzy inference, and
defuzzification.
V. BEHAVIORAL OPERATION MANAGEMENT
RESEARCH:

Operation Management researches have been well

structured and analyzed in mathematical models, for
example, supply chain contracting and co-ordination

749

Kinematics is the branch of biomechanics about the

study of movement to the amount of time taken to
carry out the activity [21], [22].

are selected for the reproduction process.

Continuation of this process through a number of
generations will result in optimal or near-optimal
solutions. Further theoretical and practical details can
be found in (Davies, 1991; Goldberg, 1989) [19].
Two techniques are uses a well-known heuristic
from literature (BL), for the second one an improved
version of this heuristic has been developed (BLF).
The genetic algorithm combined with the improved
BLF heuristic outperforms the GA using the BL
method as well as the heuristic methods on their own.

VIII. DIGITAL HUMAN MODELS

DHM have always provided researchers and
practitioners with challenging problems. The study
characteristics, analysis and evaluation tools,
modeling approaches and results achieved have been
revised. In fact, a survey of the literature shows that
many different solutions have been proposed in
different industry sectors [23], [24].
Static models - 3D scans
Dynamic models
For visualization (JACK)
Biomechanics - crash dummy (MADYMO)
Interface with CAD for workplace assessment
(Safe works)
For comfort assessment (RAMSIS)
Human performance models (IUSS)

Start

Create random population of the

variables with specific range

Has the
best
generation
been met?

Yes

Stop

No
Apply selection, crossover and mutation
to each chromosome of population

Generation=Generation + 1

Human

Fig. 7 Flow chart of genetic algorithm

Interaction

Artifact/Environment

Performance

For industrial applications the improved heuristic is

sufficient to achieve high quality layouts. Since the
performance difference between the two hybrids GAs
is only due to the improved heuristic, the decoder has
a larger effect on the outcome of the hybrid technique
than the GA [20]. In order to improve the GA
encoding schemes need to be studied that incorporate
more layout specific knowledge.

Fig. 9 The performance as a quality measure for the Interaction

between human and artifact or environment

DHM started in the 60s, main purpose to improve

ergonomic design. DHMs are effective techniques to
visualize,
evaluate,
and
analyze
human
characteristics, behavior, and interaction with the
digital environment in an industrial. The way that the
study is structured and communicated is the primary
reason that slows down the transferring from
laboratories to real manufacturing systems or even to
commercial software tools Therefore, industrial
sectors where the study takes place, and researchers
institutions will be highlighted, as well as their goals
and results[25],[26].
There are many tools in industries like Jack, Ramsis,
Sammie and Safework etc, used jointly with the
digital human model to achieve an effective
workplace design. A set of analysis tools that can be
divided in quantitative evaluation tools and semiquantitative tools. Quantitative tools are used to
evaluate working postures and physical workloads.
Semi-quantitative tools are field of vision, reach
envelopes, and accessibility and clearance analysis.
Anthropometric models describe linear dimensions
such as distances between physical body landmarks,
reach envelops and lines of sight. Shape models
describe the shape of the human body.
Biomechanical models describe the human
kinematics (movements) and the human kinetics
where internal and external forces and pressures are

VII. ENGINEERING HUMAN MODELS

The field of modeling techniques in geo mechanics
encompasses analytical and experimental method.
There application to the design and construction of
transportation facilities. Also include ANN,
biomechanical,
microscopic,
reliability
and
centrifugal modeling. Biomechanical models are used
to represent the human body guided by internal
forces and external forces in industrial application
through dynamics and static human activities.

Fig. 8 Biomechanics model

Biomechanics use of mechanics method is search

the structure and function of the human body. It is the
study of the mechanical law relating to the movement
or structure of living organisms like human body.

750

[33].There is a class of modeling approaches

sometimes called cognitive architectures which are
used to simulate actual human perceptual and/or
cognitive processes specially in the high risk (e.g.
nuclear and military) industries. A cognitive
architecture is a blueprint for intelligent agents It
proposes (artificial) computational processes that act
like certain cognitive systems, most often, like a
person, or acts intelligent under some definition.
Cognitive architectures form a subset of general
agent architectures. The term 'architecture' implies an
approach that attempts to model not only behavior,
but also structural properties of the modeled system.
These need not be physical properties: they can be
properties of virtual machines implemented in
physical machines (e.g. brains or computers) [34],
[35].

considered in relation with movement, tissue

deformation or relocation and forces in joints [27],
[28], [29].
Ergonomics-Based Anthropometric Human motion
analysis can also be of value in the area of industrial
design. Ergonomic studies aim at analyzing comfort
and user friendliness of new products. Providing high
precision motion data based on anthropometric and
ergonomic considerations yields valuable data for
industrial purpose.
It presents our approach at marker less human
motion capture. Our setup is a multiple camera setup
with 3 cameras capturing the human subject from
different sides. RAMSIS is used for tracking. It is
capable of capturing different anthropometries. A
wide range of existing applications and available
domain knowledge such as force and comfort
measures within the model further motivate its use.
RAMSIS is used especially in the automotive
community. It was initially developed to ease CADbased design of car interior and human workspaces,
as well as for use in ergonomic studies. The
following advantages for motion analysis tasks come
along with the use of this model [30].
1. The model is capable of capturing different
body types according to anthropometric
considerations.
2. The locations of the inner joints correspond
precisely to the real human joint locations.
This makes the model ideal for analyzing
the detected motions.
3. It is capable to capture most of the
movements humans can perform while
retaining a correct outer appearance.
These advantages, several extensions to the model
have been developed that provide space for
promising future improvements of our motion
tracking algorithm. It consists of an inner model that
is modeled very closely after a real human skeleton
(e.g. with an accurately approximated spine. for the
surface representation of the human skin. Both inner
and outer model are adaptable to different
anthropometries (height, figure, body mass, etc.)
[34].This is usually done by hand in an initialization
step. We are currently working on reducing the
parameters needed for the anthropometric adjustment
using Principal Component Analysis, so that the
initialization is simplified [31],[32].

Objects
Action

Feelings

Theory

Models

Thinking

Fig. 10 Cognitive architecture model

Cognitive architecture hybrid, Some cognitive

architectures or models are based on a set of generic
rules, as, e.g., the Information Processing Language
(e.g., Soar based on the unified theory of cognition,
or similarly ACT) [36].
Task
High level

Architecture for

Content for
Application

Low level

Content for

Architecture for
Hardware

Fig. 11 Cognitive human model behavior

Many of these architectures are based on the mind

is like a computer analogy. In contrast sub symbolic
processing specifies no such rules a priori and relies
on emergent properties of processing units. Hybrid
architectures combine both types of processing (such
as CLARION). A further distinction is whether the
architecture is centralized with a neural correlate of a
processor at its core, or decentralized (distributed). A
further design issue is additionally a decision
between holistic and atomistic, (more concrete)
modular structure. By analogy, this extends to issues
of knowledge representation [37], [38], and [39].

IX. COGNITIVE MODELS

Cognitive models introduce by several different
discipline including psychology, goal and task,
hierarchies, linguistic, physical and device,
architectural. They model aspects of user of
understanding, knowledge, intention, processing

X. INDUSTRIAL AND ORGANIZATIONAL PSYCHOLOGY

It is the scientific study of employees, workplaces
and organizations. Industrial and organizational

751

I/O psychologists do the research that leads to the

development of HR tools (e.g., performance
management systems or leadership development
programs) that are utilized internally by the HR
department. Thus, according to Muchinsky, the
applied side of I/O Psychology is concerned with
utilizing knowledge gathered from scientific inquiry
"to solve real problems in the world of work"[42].

psychologists contribute to an organization's success

by improving the performance and well-being of its
people [40]. Guion (1965) defines I/O Psychology as
"the scientific study of the relationship between man
and the world of work: in the process of making a
living. Blum and Naylor (1968) define it as "simply
the application or extension of psychological facts
and principles to the problems concerning human
beings operating within the context of business and
industry"[41].
Topics in industrial/organizational psychology
1. job performance
2. Personnel selection
3. Job analysis
4. Training
5. Occupational health psychology
6. Job enrichment

Techniques

Anthropom.data
bases

ADAPS
wire
frame

APOLINX
wire frame

DINED

very limited

Implementation
in CAD

Typical
application

anthropom
evaluation
of work
place

Industrial Psychology

Science

Organizational Psychology

HRM

OB

Psy D

Fig. 12 Industrial/organizational psychology

TABLE 1
OVERVIEW OF PHYSICAL MODELS
JACK
RAMSIS
ANTHROPOS
wire frame

SAFEWORK

world wide

data
gloves
and body
trackers
product
design

Practice

Measurement

contumis
for
individual
anthropom
automation,
clothing,
sport,
medicine

SAMMIE
wire
frame
six basic
mannequins

simple environment

CATIA

anthropom
assessment

ergon
analysis

ergonom

HUMOS
external shape
and internal
organs:FEM
Very limited,
avg and linear
scaling

car design crash

analysis

in design purposes and virtual design system. Also

used the simulation, to simulate the real things like
automobile industries, aerospace industries etc. Its
classification has helped us to develop an integrated
whole human modeling system. Its main application
features include (I) posture predication, (ii) muscle
fatigue,(iii) clothing modeling, (iv)Electromyogram,
(v)physiological Systems, (vi) real-time visualization,
(vii)motion
capture,
(viii) interacting and
communicating, (ix) artificial intelligence, (x)
dynamic motion prediction, (xi) anthropometric hand
model and (xii) cognitive abilities. At a basic level
such features have been programmed and
implemented, which proved the feasibility within the
assumed boundary conditions.
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754

An Optimized Viterbi Decoder

Suneha Gupta , Thapar University ,Patiala ,India , sunehagupta9@gmail.com and Sakshi Bajaj ,
Thapar University ,Patiala ,India , sakshi.bajaj@thapar.Edu .

Abstract-Convolutional encoding is a forward error correction

technique that is used for correction of errors at the receiver
end. Viterbi decoding is the technique for decoding the
convolutional codes. This study addresses the design of viterbi
decoder and its algorithm considering the power dissipation and
throughput of viterbi decoder. The main part of viterbi
algorithm is a non linear feedback loop which presents a
bottleneck for high speed implementations. The throughput of
decoder is increased through architectural transformation of
add-compare-select unit. To avoid overflow, normalization unit
is used. Pipelining is used to further improve the speed of
viterbi decoder.

bits and the contents of the shift registers. Output depends not
only on current set of k input bits, but also on past K-1 input
k-tuples.
Consider Convolution Encoder (Rate 2/3 K-4) shown in fig.2.
Encoder unit is designed with five edge triggered D-flip
flops.[4] Four flip flops were connected in series such that the
output of one flip flop was fed to the other. The fifth flip flop
was used to sequentially transmit the most significant bit of

Keywords- Add-Compare-Select structure, Convolution

encoder, encoder, Modulo metric normalization, viterbi
algorithm.

I.

INTRODUCTION

The communication channel introduces noise and

interference to corrupt the transmitted signal. At the receiver,
the corrupted transmitted signal is mapped back to binary bits.
The received binary information is an estimate of the
transmitted binary information. Bit errors may result due to
the transmission and the number of bit errors depends on the
amount of noise and interference in the communication
channel. Channel coding refers to the class of signal
transformations designed to improve communications
performance by enabling the transmitted signals to better
withstand the effects of various channel impairments, such as
noise, fading, and jamming. Broadly error control techniques
are classified into error detection and retransmission and
forward error correction (FEC). The former technique requires
two-way link, where the receiver simply asks the transmitter
to resend the data, if the receiver detects an error. In contrast,
FEC requires oneway link and in this case parity bits are
designed for both the detection and correction of errors by the
receiver. The FEC technique can be realized on linear block
codes and convolutional codes. In this paper, we have realized
FEC technique known as convolutional coding with Viterbi
Decoding.
This paper is organized as follows: Section 2 presents the
encoder hardware design. In Section 3 viterbi algorithm is
explained. Section 3 presents the architectural analysis of
various ACS structures. In section 4 normalisation techniques
are introduced. Section 5 presents the pipelined viterbi
decoder.
II.

ENCODER DESIGN

A convolutional code introduces redundant bits into the

data stream through the use of linear shift registers as shown
in fig.1, where K is the constraint length, n is the polynomial
and r is the coding rate. The information bits are shifted into
shift registers and the output encoded bits are obtained by
modulo-2 addition (Exclusive OR) of the input information

Fig. 1 General structure of convolutional encoder

Fig. 2 Convolution Encoder for (Rate 2/3 K-4)

the input data. The third bit comes from the output of the fifth
flip flop.
Convolution encoder can be represented in three different
ways.
* State Diagram
* Tree Diagram
* Trellis Diagram

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III.

VITERBI DECODER

Viterbi Algorithm performs maximum likelihood

decoding for convolutional codes. Maximum likelihood
decoding means finding the code branch in the code trellis that
was most likely to be transmitted. The algorithm involves
calculating a measure of similarity, or distance, between the
received signal, at time ti and all the trellis paths entering each
state at time ti. These distances are known as Hamming
distances. Hamming distance is equal to the number of bits, a
bit combination differs from the other combination. The
Viterbi Algorithm removes from consideration those trellis
paths that could not possibly be candidate for the maximum
likelihood choice. When two paths enter the same state, the
one having the least path metric is chosen. This path is called
the surviving path. This selection of surviving paths is
performed for all the states. The decoder continues in this way
to advance deeper into the trellis, making decisions by
eliminating the least likely paths.
The basic units of Viterbi decoder are branch metric unit,
add compare and select unit and survivor memory
management unit.

two previous states. The associated state-transition branch

metric is also calculated. The path with least path metric is
selected as survival path for the state in current stage.

Fig. 3 Block diagram of viterbi decoder

Flow chart depicts the order of data flow, and the dependency
of each module to the other.
A. Branch metric
The branch metric computation block compares the
received code symbol with the expected code symbol and
counts the number of differing bits. Fig. 4 shows the block
diagram of branch metrics

Fig.4 Branch Metrics of viterbi decoder

B. Add-Compare-Select (ACS) structure

The ACS adds state metrics with branch metrics and
selects the lesser one. Specifically, it calculates the path
metrics for each state in current stage from path metrics of its

756

Fig. 5 ACS structure

Fig. 6 Eight-state Radix-2 trellis

Fig. 7

Radix-4 trellis

Fig. 6 shows the transition trellis of an example

eight-state Viterbi decoder. The critical-path of a traditional
ACS computation extends through the comparison and a
selection. Let smi(n) represent the path metric for state , and
bmij(n) , the branch metric of a corresponding transition from
state to state , with the time step denoted by n . Then, an
example of the ACS recursion corresponding to state 0 is

(1)
High-throughput implementations of the Viterbi
decoder required the unrolling of the ACS loop in order to
perform two-step iterations of the trellis recursions within a
single clock period. These lookahead methods replace the
original radix-2 trellis with a radix-4 trellis shown in fig. 7, at
the cost of increased interconnect complexity. A radix-4 ACS
computes four sums in parallel followed by a four-way
comparison. In order to minimize the critical-path delay, the
comparison is realized using six parallel pair-wise
subtractions of the four output sums. In general, the criticalpath delay increases. However, due to the doubled symbol
rate, the effective throughput is improved if this increase in
delay is less than twofold.
Finally, an architecture, obtained through retiming
and transformation of the ACS unit has a critical path
consisting only of a two-input adder and a multiplexer. Fig. 9
shows a retimed ACS[5], A comparison between the two sums
is followed by selection of the appropriate minimum value,
and finally, addition of the two corresponding branch metrics.
The resulting structure has been labeled as a CSA unit. The
complete delays of the addition and subtraction appear in the
critical path.
However, the CSA structure can be further
transformed by moving the add operations before the select
operation, as shown in Fig. 10 resulting in

Fig. 8 ACS structure of radix-4 trellis

the parallel execution of the compare and add operations. The

critical path delay is reduced to the combined delays of the
comparator and the multiplexer. This modification incurs the
cost of doubling the number of adders and multiplexers.

Fig. 9 CSA (compare-select-add) structure

757

Fig. 11 Variable Shift Metric Normalization

Fig. 10 Concurrent addcompare select architecture

The radix-4 ACS is consistently larger and consumes more

power than any of the other structures. Both the transformed
CSA and concurrent ACS are able to improve the throughput
with significantly less area and power penalty. The choice of
ACS structure is dependent on the required critical-path delay.
IV.

NORMALISATION
Fig. 12 Fixed shift Metric Normalisation

While VD decoder receives data, path metrics will add

the branch metric up and accumulate error bits in each ACS
recursion. If ACS ever overflows, then a wrong decision will
result, and choose the survivor path metric. Therefore, it is
necessary to use normalization. In VISI implementation of the
normalization techniques, the two most desirable properties
are locality and uniformity. Metric normalization is
considered local if it is accomplished within each ACS
without information from other ACSs. It is considered
uniform if the ACS operation is not interrupted to perform
metric normalization. Locality minimizes the global signal
communications and hence reduces the wiring area. The
normalization techniques[2] are shown as following:
A. Variable Shift Metric Normalisation
After the fixed number N of ACS recursion, the minimum
survivor path metric is discovered and subtracted from all of
them. One subtractor is required in ACS structure, Subtractor
increases the critical delay of ACS. Besides, the circuit that
searches for the minimum path metric is also needed. This
technique is extremely global and non-uniform.

Variable Shift, this method requires much less global signal

communications.
C. Modulo Metric Normalisation
Modulo metric normalization is the well-known
normalization. It use the modulo comparison, which works
with the twos complement representation and the modular
arithmetic, to decide the survivor path metrics no matter
overflow occurs or not.
In that modular ACS, a twos complement subtractor is
requested to do modulo comparison. Thus the twos
complement subtractor tied the ACS speed up. Except this
disadvantage, use the modulo metric normalization to be
useful for power and area saving.

B. Fixed Shift Normalisation

In Fixed shift metric normalization, when the Path Metric
Memory (PMM) detects that all MSB of survivor path metric
is 1, it resets all MSB to 0. By this way, all of them are
normalized and used on next ACS recursion. Compared to the
Fig. 13 Modulo Metric Normalization

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TABLE1:
ADVANTAGES AND ANALYSIS OF NORMALIZATION TECHNIQUES

Normalisation
Techniques
Variable shift
Normalization
Fixed
shift
Normalization
Modulo metric
Normalization

Advantages

Analysis

metric

ACS bits is
Minimum

metric

It is convenient
to use

It spends gate
delay to improve
the power and area
Good efficiency
for speed , power
and area
The subtractor is
the bottleneck of
the ACS

It is the well
known normalization

D. High Bit Clear Circuit

Table1, lists the
properties and drawbacks of
corresponding normalization technique. In order to minimize
the ACS bits and improve the speed of ACS recursion, we
must use the more efficient normalization. To diminish the
bits of ACS not only improves the speed of ACS, but also
reduces the cost and power consumption in VD. Finally, we
use the idea of fixed metric normalization and a better
normalization circuit called high bit clear circuit is designed.
Under the (3,1,2) convolutional code, the ACS operation
speed with using the high bit clear circuit is very close to the
ACS iteration bound. ACS system with high bit clear circuit is
shown in figure 14. In other words, it is only requested a few
overhead to normalize all survivor path metrics. Architecture
of high bit clear circuit is shown in fig. 15.

Fig. 15 High bit clear circuit

(2)
Improvements of ACS in speed power and area for
normalization techniques are listed in Table2.
TABLE2:
COMPARISONS OF SPEED, POWER AND AREA

Normalization
techniques
Variable shift metric
Normalization
Modulo metric
Normalization
High bit clear

V.

Speed

Power

Area

Normal

Normal

Normal

Good

Good

Good

Better

better

Better

PIPELINED VITERBI DECODER

The VD with high bit clear circuit is improved for its

operational speed but still limited by its ACS iteration bound.
In this section, we pipeline the VD into three blocks at first
and analyze the gate delay for each pipelined block[8].

Fig. 14 ACS system with high bit clear circuit

A suitable ACS architecture not merely avoids the

ACS overflow, but also improves the operational speed of the
ACS. An equation(2) is shown to assist our design
Constraint Length: K
Maximum Branch Metric: D
Initial Value of The Competitive State: N
ACS Bits: B

Fig. 16 Datapath of pipelined Viterbi decoder

Traditionally, we can find that the decoding speed of

pipelined VD is dominated by its ACS recursion. In other

759

words, breaking the ACS recursion is necessary to improve

the decoding speed of VD. The throughput of the decoders is
increased through architectural transformation of the addcompare-select recursion, with a small area overhead. The
preferred ACS structure varies as the critical-path delay
constraint. In this high-throughput decoder implementation,
the transformed CSA can be implemented because it provided
the highest decoding throughput. The pipelined decoder with
transformed ACS structure can be used for high speed
pipelined operation.
VI.

CONCLUSION

Viterbi algorithm allows safe data transmission via error

correction and original message can be recovered accurately.
Four different ACS structures have been discussed , the
transformed CSA with the lowest critical path provided the
highest throughput without much area and power penalties.
Different normalization techniques are introduced and
compared. The high bit clear normalization circuit operates as
close as ACS iteration bound providing higher operational
speed. In order to realize high speed operation , pipelined
decoder with transformed ACS structure can be used .
VII.

REFERENCES

[1] Lai, K.Y.-T.;Dept. of Electron. Eng., Nat. Chiao Tung Univ., Hsinchu,
Taiwan A high-speed low-power pipelined Viterbi Decoder: breaking the
ACS-bottleneck Aug.2010.
[2] Kelvin Yi-Tse Lai,"An Efficient Metric Normalization Architecture for
High-Speed Low-Power Viterbi Decoder," IEEE TENCON 2007.
[3] Chien-Ching Lin, Yen-Hsu Shih, Hsie-Chia Chang and Chen-Yi
Lee,"Design of a Power-Reduction Viterbi Decoder for WLAN
Applications," IEEE Transactions on Circuits and Systems I, vol. 52, no. 6,
pp. 1148-1156, Jun. 2005.
[4] M. Irfan, S. M. Shah and A. K. Khan, "Design and Implementation of
Viterbi Encoding and Decoding Algorithm on FPGA," in Proceedings of
ICM'05, Islamabad, Pakistan, pp.234-239, Dec. 2005,.
[5] Engling Yeo, Stephanie A. Augsburger, W. Rhett Davis and Borivoje
Nikolic, "A 500-Mb/s Soft-Output Viterbi Decoder," IEEE Journal of SolidState Circuits, vol. 38, no. 7, pp. 1234-1241, Jul. 2003.
[6] I. Lee and J. L. Sonntag, A new architecture for the fast Viterbi
algorithm, in Proc. IEEE Global Telecommunications Conf.,pp.16641668 ,
Nov./Dec. 2000.
[7] K.K. Parhi, VLSI Digital Signal Processing Systems: Design and
Implementation, Wiley-Interscience Pub., 1999.
[8] Boo, M.; Brugera, J.D.; Pipelined architectures for the Viterbi
algorithm Dec. 1997.
[9] C. B. Shung, P. H. Siegel, G. Ungerboeck, and H. K. Thaper, "VLSI
architectures for metric normalization in the Viterbi algorithm," IEEE ICC,
pp. 1723-1728, Apr. 1990,

760

Security and Privacy Framework using

Redundant Array of Inexpensive Disks in Cloud
Computing
Sandeep Singh Sengar
Abstract Cloud computing can be seen as a novel emerging
field which is set to revolutionize the approach. we use the
Internet, there is much to be careful about. There are lots of
new technology are rising at a fast rate, everyone with
technological developments and with the potential of making
humans lives simpler. But each must be extremely alert to
understand the limitations and security risks came in exploiting
these technologies. Cloud infrastructures security depends on
trusted computing and cryptography. In this paper we will
develop the framework for security in cloud computing, which
reduce the security challenges related to traditional security,
business Continuity, data center operations, shared technology
issues, data loss or leakage. We also use access control
mechanism for maintaining the privacy between client and
cloud using transaction id with time to live (TTL) value.
Index Terms-- Cloud Computing; Security; Privacy; Data
Storage; Access Control; Leakage; Authentication; RAID;
Parity Bit.

I. INTRODUCTION

loud computing characterizes one of the most important

shifts in information technology. Cloud computing is
identified as a virtual infrastructure which offers shared
information and communication technology services via an
internet. It provides a mechanism to access the information
technology Services like as applications, servers, data storage
without need an understanding of the technology or even
rights of the infrastructure. In Cloud computing users may
automatically request and get provision of server time and
network storage, right of entry to network is obtainable
through multiple platforms like as cellular phones, laptops,
and Personal Digital Assistants. The suppliers provide
resources like applications, memory, bandwidth, virtual
machines to service many users not considering of location
and in a scalable manner if there is requirements of more
resource then more will be provided and less is provided if
less is needed,
The supplier clearly controls, meters, monitors, and
documents service handling for billing. Cloud computing is
recognized for its client easiness, flexibility, little cost, and
much more. At the present days cloud computing is used for
business continuity planning by allowing accessibility to
numerous data centers anyplace on the globe. Cloud

computing can be judged as a new computing paradigm with

implication for better flexibility and accessibility at lower
cost.
There are different security issue and challenges with every
cloud computing technology. Cloud computing offered
services in layered medium, thus there must be some service
management. Service management ultimately amplifies the
confidence of the user. Data security over the cloud is a most
important distress, privacy protecting auditing for the data
storage security are also a major concern in cloud computing.
The most essential thing of cloud computing is that it allows
customers a new way to enlarge capacity and insert capability
to their machines on the go. Users need optimized security
solutions and guarantee regarding the security issues and risk
concerned in information flow [1].
We will use the RAID storage Technology in our paper, so
RAID (Redundant Array of Independent Disks, originally
Redundant Array of Inexpensive Disks) is a storage
technology that merges numerous disk drive components into
a logical unit. Data is distributed across the drives in one of
several ways called "RAID levels", depending on what level
of redundancy and performance is required. RAID is now
used as an umbrella term for computer data storage schemes
that can divide and replicate data among multiple physical
drives [10]. The physical drives are said to be in a RAID,
which is accessed by the operating system as one single drive.
The different schemes or architectures are named by the word
RAID followed by a number (e.g., RAID 0, RAID 1). Every
scheme offers a different balance between two key goals:
enhance data reliability and increase input/output
performance [10].
The first part of this paper describe the security related
problem like traditional security, business Continuity, Data
center operations, shared technology issues, data loss or
leakage in cloud computing. After that in the proposed
scheme part we will give a solution using new framework for
cloud computing to eliminate all such kinds of problem. New
framework is implemented by RAID technology and P-BIT
(Parity-BIT). We will also apply access control mechanism
using transaction id with time to live (TTL) field in the
gateway. Finally conclusion summarizes this paper and
discusses future work.
II. MODEL AND PROBLEM

Sandeep Singh Sengar is Research Scholar in the Department of Computer

Science and Engineering, JP University of Information Technology, Waknaghat,
India-173234 (email: Sansen0911@gmail.com).

At present cloud computing formulates each and everything

flexible and simpler, but there is an additional facet that is
what about security? According to the survey the rapid use of
cloud computing was identified as one of the top information

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761

security challenge. Is cloud computing in existing scenario is

offering confidentiality, integrity and being controlled by
compliance as Data Protection Act [1] [2]. The resources are
centralized through cloud computing, so the exposure factors
proportionally amplify which results in risk. So it is required
to place a counter measure to alleviate the potential risk.
There may be situation when defender become eater i.e. cloud
provider itself become responsible for data loss or corruption.
Now to maintain their reputation and clients faith, they hide
details about the data being corrupted or lost that happen due
to some technical errors or malicious codes. As a result the
client may face serious problem.
According to the survey some organization says that it
become easier for awful guys to focus their effort and violate
hundred of thousand of record, leak the data due to cloud
computing. For cloud computing there is no security rating
system [8]. Prime object of Cloud computing is to reduce cost
[3] but it should not be that we are reducing cost by reducing
responsibility for security and privacy. So in this paper we
will reduce the problem related to traditional security,
business Continuity, Data center operations, shared
technology issues, data loss or leakage by using new
framework for cloud computing.
III. PROPOSED SCHEME
A study of the cloud security problems, and the recent
situation of security related to clouds show that these
problems do not have any real broad solution and presented
cloud security are in its infancy. There is a necessity for an
approach to cloud security that is it reflects, holistic, and
adjust client requirements.
For cloud security mechanism there should be certain rules
like:
Cloud security should depend on particular types of
services.
There should be a single sign-on environment for each
cloud.
There should be transferable security method.
Communication amid client and server should be in
encrypted form. Only initial request could be sent in
clear.
In this paper we have divided our solution in two parts for
applies the security and privacy. In a first step we have
applied the security at the cloud side using parity bit and
RAID (Redundant Array of Inexpensive Disks) technology.
Next step will show Privacy between client and server using
access control mechanism through gateway.
A. Cloud Computing Security Framework
Pseudo code of our framework is shown below in two
phases for apply the security.
Phase 1: Client side file categorization
1. Collect the data for cloud storage at the client side.
2. Client performs critical rating using CIA
(Confidentiality, Integrity, and Availability) for
analysis and prioritizes the data.

3. Prioritize Data will be encrypted.

4. Record the parity bit at client side of analyzed and
prioritized data.
5. Client establishes connection with cloud using
gateway. Whole process for connection between
client and cloud using gateway is shown in access
control mechanism part.
Cloud computing security framework is shown in Fig. 1
and pseudo code for apply the security in cloud environment
is given above. So as shown in figure first of all client collects
the data for storing from cloud side. After that client find the
critical rating using CIA (Confidentiality, Integrity, and
Availability) values. According to the critical rating data will
be analyze and analyzed date will be filter on the basis of
priority and filtered data will be encrypt and define the parity
of each and every bit which we have named in figure as PBIT [4]. Parity bits are utilized as the simplest form of error
detecting code. P-BIT is used for eliminate the damaged or
change data using RAID technology at the cloud side. There
are two alternatives of parity bits even parity bit and odd
parity bit. While using even parity, the parity bit is set to 1
and while using odd parity, the parity bit is set to 0. If there is
any kinds of change or damaged occur in data then parity
value of that data will be change from 1 to 0 or 0 to 1. So at
the cloud side we will use synchronize technique to match the
parity bit of data. After completion of first phase client send
the data to cloud using server process. Data transfer between
client and Cloud happens through access control mechanism
which is applied by gateway. We will discuss about whole
process of gateway in access control mechanism part.
Phase 2: Cloud side Data Storage
1. Initially cloud uses buffer and temporary file to store
client side data.
2. Reader/Writer process is used to send or receive data
between buffer and cloud.
3. Logger is used to maintain all the activities in the log.
4. Archive is used to compress the log file.
5. Synchronization between client process and cloud
process established using P-Bit to gain consistency
and reliability of the data.
6. Whole data in the database at the cloud side store in
the redundant manner by using RAID Technique.
As shown in Fig. 1 second phase of cloud computing
security framework are used to secure the data at the cloud
side. So here we have added advantage of RAID technology
to apply the same level of redundancy of data. Here
redundancy means if any bit is lost or corrupted then it can be
replaced by other redundant bit. As shown in Pseudo code of
second phase initially cloud stores the whole client side data
in the buffer or temporary files and data can be fetch by writer
process in the database of cloud. We have used RAID
technology at the cloud side to store the data [7][9]. RAID is
a technology that offers boosted storage functions and
consistency through redundancy. It is accomplished by
merging numerous disk drive modules into a logical unit.
Here we will also achieve storage virtualization using RAID
technology.

762

Storage virtualization facilitates enhanced functionality

and extra advanced features inside the storage system. RAID
uses P-BIT to check the stored parity of data from client. If
there is any kinds of changed and damaged occur in the data
then P-BIT value will be change. So that particular value at
the P-BIT will be replaced with the redundant value using
RAID technology [5]. Log at the cloud side is used to
maintain the entry of temporary or archive file.

It is the most important point to apply the security and

privacy between client and cloud side. As shown above in Fig.
2 Access control mechanism can be provided using gateway.
To connect with the cloud first of all client will send the
request to gate keeper, after that clearance broker will request
for private key (password) from client [6]. When client enters
the password it will verify by the clearance verifier using

Figure 1. Cloud Computing Security Framework

B. Access Control mechanism between Client and Cloud

Pseudo code for access control mechanisms between
client and clouds are shown below
1. Connection with cloud1.
1.1 Client request for access services.
1.2 Gateway server request for private key (password).
1.3 Verification of private key performs.
1.4 If verification successful, transaction Id provider give
the transaction id (TID) with TTL (Time to Live)
value to client. Otherwise request for access denied.
1.5 Now client request for services using TID from cloud.
1.6 Cloud response to particular services.
2. Connection with cloud2.
2.1 Client request for access services.
2.2 Now gateway server2 accepts the private key
(password) of client from gateway server1.
2.3 Verification of private key performs.
2.4 If verification successful, transaction Id provider give
the transaction id (TID) with TTL (Time to Live)
value to client. Otherwise request for access denied.
2.5 Now client request for services using TID from cloud.
2.6 Cloud response to particular services.

particular service. If password is not correct then one message

will flashed wrong password and access denied and if
verification successful, transaction Id provider gives the
transaction id (TID) to the client and TID is also having one
Figure 2. Access Control Mechanism

763

TTL (Time to Limit) field. Here TTL value means TID will
be valid for only certain time limits after that it will expire.
So when client will get TID, after using that unique id client
can access the services of cloud, and client can attach with
another cloud without enter his private key (password) again
and again. Private Key of the client can be verifying from the
previous clouds gateway server.
By using above given two approaches we can reduce the
entire problem related to business Continuity, Data center
operations, shared technology issues, data loss or leakage and
we will achieve security and privacy in cloud computing.
IV. CONCLUSION AND FUTURE WORK
In this paper, we have shown a selection of issues related to
Cloud Computing security. As can be obtained from our
observations, an initial good opening point for getting better
Cloud Computing security consists in rise the security
capabilities of both Client and cloud side. In this paper key
security challenges and contemplations like verification,
traditional security, business Continuity, Data center
operations, shared technology issues, data loss or leakage in
the Cloud computing industry are bring to light. To overcome
of such types of security challenges we have developed one
framework for client and cloud using parity bit and RAID
technology. Security and privacy at the gateway level for
access control between client and cloud using private key and
Transaction id with TTL field is specified by this paper. We
have also connected two cloud service providers with single
client without entering the private key again and again for
verification. In future we will persist to harden the foundation
of Cloud Computing security by use of tools, specifications,
and protocols engaged in the Cloud Computing scenario.
REFERENCES
[1]

[2]

[3]

[4]

[5]
[6]

[7]
[8]

A. W. Jansen, Cloud Hook: Security and Privacy Issues in Cloud

computing, Proc. of 44th IEEE intl conf. on Hawaii System Sciences,
ISBN -978-1-4244-9618-1, Ver. 2011, pp. 1-10, Jan 2011.
P. Prasad, B. Ojha, R. R. Sahi, R. Lal, A. Vaish, U. Goel Dimensional
Security in Cloud computing, Proc. of 3 rd IEEE intl Conf. on Computer
Research and Development (ICCRD), Vol. 3, pp. 198-201, May 2011.
S. Ho NA, J. Young Park, and E. Nam Huh, Personal Cloud Computing
Security Framework, IEEE Asia-Pacific Services Computing Conference,
DOI 10.1109/APSCC.2010.117, ISBN 978-1-4244-9396-8, pp. 671675, Dec 2010.
S. Ramgovind, M. M. Eloff, and E. Smith, The Management of Security
in Cloud Computing, IEEE intl conf. on Information Security for South
Africa (ISSA), ISBN 978-1-4244-5493-8, pp. 1-7, Aug 2010.
H. Takabi, B. D. Joshi, and G. J. Ahn, Security and Privacy Challenges
in Cloud Computing Environments, IEEE Computer and Reliability
Societies, 1540-7993/10, Vol. 8, pp. 24-31, Dec 2010.
J. Harauz, L. M. Kaufman, Data Security in the World of Cloud
Computing, IEEE Computer and Reliability Societies, Vol. 7, ISSN
1540-7993/09, pp. 61-64, Aug. 2009.
Cloud Computing, en.wikipedia.org/wiki/Cloud_computing.
S. Zhang, Shuai Zhang, X. Chen, S. Wu, Analysis and Research of
Cloud Computing System Instance, IEEE intl conf. on Future Networks,
ISBN: 978-0-7695-3940-9 pp. 88-92, Jan. 2010.

[9] B. Grobauer, T. Walloschek, E. Stocker, Understanding Cloud

Computing Vulnerabilities,IEEE Intl conf. on Security and Privacy,
Vol 9, pp. 50-57, Jun 2010.
[10] Redundant array of independent disks, en.wikipedia.org/wiki/RAID.

764

A New Channel Coding Technique to Enhance the

Performance of Interleave Division Multiple Access
(IDMA) System
Priyanka Sonkar, Vineeta Agarwal, senior member, IEEE
Department of Electrical Engineering
Motilal Nehru National Institute of Technology, Allahabad, India
e-mail: mechpriya123@gmail.com, vineeta@mnnit.ac.in
AbstractA new coding technique has been developed for
enhancing the error detection & correction ratio of the
transmission channel for Interleave Division Multiple Access
which is a new networking technique under research. The
technique would improve upon the currently prevailing
communication techniques such as GSM and CDMA, in terms of:
Wider bandwidth, Higher data rates, Lower transmission errors,
Improved battery back-up of the user device, Enhanced safety
levels, Greater inter-operability between networks in different
parts of the world. The working of this new coding technique is
based on the assumption that during the transmission of data in
form of binary bits (after encoding) that is 0 and 1. The 0 bit
can be changed to one due to added energy due to presence of
noise which is random in nature but the bit having its value as 1
in no case can change its value to 0.

correct encoded data with 2 errors introduced in the channel

while viterbi cannot correct 2 bit error [3].
II. PROPOSED CODING TECHNIQUE
Proposed new channel encoding technique is based on the
pattern of arrival of interleaved bits from the Interleaver to the
channel encoder at the transmitting end [4]. Now since the
transmission is digital so the arriving bit and the bit following
it would be either 1 or 0. Further the bit following it would
also either be 0 or 1. Therefore based on this observation,
in this coding technique a predefined code is suggested for the
arriving bit pattern, which can be mentioned as
00
01
10
11

Index TermsCDMA, GSM, IDMA, Viterbi.

I. INTRODUCTION

N communication, a code is a rule for converting a piece of

information like a letter, word phrase or gesture, into
another form or representation (one sign into another sign), not
necessarily of the same type while encoding is the process by
which information from a source is converted into symbols to
be communicated [1]. Decoding is the reverse process,
converting these code symbols back into information
understandable by a receiver. One reason for coding is to
enable communication in places where ordinary spoken or
written language is difficult or impossible. For example,
semaphore, where the configuration of flags held by a signaler
or the arms of a semaphore tower encodes parts of the
message, typically individual letters and numbers. Another
person standing at a great distance can interpret the flags and
reproduce the words sent. Different coding techniques used in
earlier days and currently in use are: Reed-Solomon Coding,
Reed Muller Coding, Hamming Coding, BCH Coding, Lowdensity parity-check (LDPC) Coding, and Convolution Coding
[2].
In this paper convolutional coding has been replaced with
the new channel coding technique at the transmitter end and
Viterbi decoding at the receiver end. This technique is more
efficient, simple and requires less hardware. Viterbi decoding
has limited no of transition states. One cannot move from state
01 to 00 even if there is a need for the decoding of data. It can

000
100
010
001

Now as these four codes are the only possible cases of

subsequent bit arrival pattern in case of a digital transmission
there is actually no need of making tedious and time
consuming calculations as currently being done in case of
Convolution coding where we need to process a huge tree
consisting of the codes to be assigned to the different bits
arriving from the Interleaver following the Trellis diagram [5].
Thus a lot of processing time is saved at the transmission
end as well as consequently at the receiver end where the
encoded data is conventionally decoded using Viterbi
decoding.
Again to ensure that the data encoded is less prone to be
corrupted by the noise prevailing in the communication
channel, in this new coding technique, a zero is added prior
and post the data stream or say the data packet arriving to the
encoder.
III. CODING
In order to understand about coding using proposed
technique, let there is one 6 bit data, 101101, stream as the
data to be encoded. Then the steps involved can be mentioned
as:

978-1-4673-0455-9/12/$31.00 2012 IEEE

765

*Add a 00 bits at both the ends of the data stream, so a

new 10 bit data stream is obtained as 0010110100.
1. Now as per the code since initially we get 00, we
encode it as 000.
2. Next we have 01 correspondingly we get 100.
3. Next we have 10 thus we get 010.
4. Next we have 01 thus we obtain 100.
5. Next we have 11 thus we obtain 001.
6. Next we have 10 thus we obtain 010.
7. Next we have 01 thus we obtain 100.
8. Next we have 10 thus we obtain 010.
9. Next we have 00 thus we obtain 000.
Thus compiling the codes obtained above the 27 bit
encoded data stream is obtained from the input data stream
101101. That 27 bit data may be written as
000100010100001010100010000.
It can easily be observed that the bandwidth required for
the encoded data stream here is 27/10 (i.e. 2.70) or 270 % of
channel bandwidth is required to transmit the encoded data
across the channel. Figure 1 shows the encoding algorithm for
converting six bit data to 27 bit data.

IV. DECODING
The decoding of the previously encoded 6 bit data is quite
simpler. After encoding of the 6 bit data 27 bit coded data is
obtained. It can be decoded by making the triplets of the
encoded data and decoding is simple reverse of the coding.
Problem in decoding comes when error is introduced. The
error will be introduced when the data passes through any
channel. Here the channel considered is AWGN channel. The
steps involved are: Step I:
1.000 will be decoded as 00 as per the predefined code.
2.100 will be decoded as 01.
3.010 will be decoded as 10.
4.100 will be decoded as 01.
5.001 will be decoded as 11.
6.010 will be decoded as 10.
7.100 will be decoded as 01.
8.010 will be decoded as 10.
9.000 will be decoded as 00.
Now in Figure 2, in step II the consecutive decoded data
have same LSB and MSB respectively, for example 00,01.
From this decoded data the common bit is used to obtain final
data.
Figure 2 shows the steps for decoding purpose and Figure
4 shows the algorithm.

000 100 010 100 001 010 100 010 000

00

01 10

0 0

01 11 10

01 10 00

0 0

Figure: 2. Steps for Decoding

Figure: 1. Encoding Algorithm

Figure: 3. Tree representation of the decoding process

In Figure no.3 the path of the decoded data is shown, from

where the original data can be retrived as 0010110100.

766

000
010

000
a)

000
010

100

000
100
0
010
\001

b)

100
001

010
c)

100
001

001

000
100
0
000
001

d)
Figure: 5. Future Value Representation.

Figure 5 shows the future value representation of the

decoded data. 5 (a) shows 000 has future values000 and
100.5 (b) shows 100 has future values 010 and 001. 5
(c) shows 010 has future values 000 and 100.
5 (d) shows 001 has future values 000 and 001.
Example: original data: 101101
Appending 00 to the original data - 0010110100
Coded data - 000 100 010 100 001 010 100 010 000
Error pattern: C E C E C E C
Error type: single bit
Errored coded data- 000 101 010 101 001 011 100 011
000

Figure: 4. Decoding Algorithm.

V. DECODING OF DATA WITH THE INTRODUCTION OF ERROR

The error will be introduced when the data passes through
any channel. Here the channel considered is AWGN channel.

Assumption: Channel cannot introduce negative error

i.e. 0 can be converted to 1 but 1 cannot become 0.

Two points will be taken into consideration i.e.

* Hamming distance
* Future value (i.e. the value just after the data to be
decoded).

Hamming distance is used to find most probable path. It

can be calculated as:
Hamming distance = correct data(XOR) errored data.

Decoding or Encoding the data values on the basis of

future values as per the following figure:

Figure: 6. Tree representation of the decoding of errored data

In Figure 6, path of decoded data for errored coded data is

represented by blue color. Red color path may be the probable
path but since it doesnt satisfy the future value condition as
well as least hamming distance condition the blue color path
is selected.

767

000 will be decoded as 00, then to decode 101, two

conditions will be checked for both paths:
a) For red path:
1. Hamming distance=2
2. Future value is not obtained.
b) For Blue path
1. Hamming distance=1
2. Future value is 010.Thus blue path is selected.
Similarly decoding is done for other triplets also.
Calculating probability of error:

After the research work came it has been found that

all single bit, two bit error and three bit error are
correctable in pattern type:
CECECEC
P(e)= 0.

If pattern type is;

CC EE CC EE CC EE CC
All cases are not correctable.
Now patterns which are incorrectable:
011 101
011 010
100 010
101 101

Figure: 7. IDMA Transmitter and Receiver Structures

VIII. REFERENCES
[1]

[2]

[3]

[4]

P(e) = probability of channel*(no of incorrectable

cases/total no of cases)
P(e)=x*x*(4/16)
P(e)=x2/4
If x=10-3
P(e)=10-6/4

[5]

[6]

VI. CONCLUSION
A new channel coding and decoding algorithm has been
proposed along with its coding in C. The main advantage of
the proposed technique is that it has been able to correct 2 bit
error (except 4 cases) which is not possible in viterbi
decoding. The probability of error has been calculated which
is found to be less. Now this coding and decoding technique
can be implemented in coder and decoder in the block diagram
of IDMA in order to evaluate its performance.
VII. FUTURE WORK
Further this coding technique is to be implemented in IDMA.
The block diagram of IDMA [6] is given below:

768

Earp, C.W. A recent development in communication technique,

Proceedings of the IEE - Part III: Radio and Communication Engineering
Volume: 99, Issue: 60
Li Ping, Lihai Liu, Keying Wu, W. Leung, Interleave Division Multiple
Access, IEEE Transactions On Wireless Communications, Vol. 5, No. 4,
pp. 938-947, April 2006
Maria Kovaci, Horia G. Balta and Miranda M. Nafornita, The
Performance of Interleavers Used in Turbo Codes, National Conference
on Microwave and Antenna, NCMASP 2011,pp. 363-366, 2005.
X. Zhang, Z. Bie, Z. He and W. Wu, Boosts to LDPC-coded IDMA
systems Electronics letter, Vol.44, Feburary 2008
Li Ping and Lihai Liu, Analysis and design for IDMA systems based on
SNR evolution and power allocation, in Proc. IEEE VTC04 Fall, Los
Angels, CA, vol. 2, pp.1068-1072, Sept. 2004.
Li.Ping Interleave-Division Multiple Access and Chip-by-Chip Iterative
Multi-User Detection, communications magazine IEEE,Volume
43,issue:6, Publication Year: 2005 , Page(s): S19 - S23.

Slit cut Stacked Circular Patch Antenna for dual

band and multiband operations.
Ashish Sharma, Student Member, IEEE, Shekhar Rudra, Student Member, IEEE, Binod K. Kanaujia,
Member, IEEE , and Ritu Raj Mishra, Student Member, IEEE

Abstract-- This paper presents the study on the stacked patch

antennas and in particular stacked circular patch antenna
(SCPA) for the dual band operations. The further study is done
using the four slit configuration on the upper patch and effects
are observed in terms of the return loss (S11 v/s frequency) and
VSWR*. The immediate effects were found in the terms of
multiple resonant frequencies obtained in S11 curves that too at
lower frequency signifying the compactness and multiband
operation. A compactness of around 27% is obtained by the
proposed slit cut stacked patch antenna. The antenna structure is
made to operate around 8-12 GHz i.e. in X-band.
* All the simulations are performed on the Ansofts HFSS tool.
Index Terms Dual band, Multiband, Stacked Circular Patch
Antenna (SCPA), Slit cut Stacked Circular Patch Antenna
(SSCPA), wideband.

I. INTRODUCTION

HE Microstrip patch antennas came into existence in

1970s and since then they have consistently been the
major focus of study among the researchers. Patch
antennas are popular for their well-known attractive features,
such as a low profile, light weight, and compatibility with
monolithic microwave integrated circuits (MMICs). Their
main disadvantage is an intrinsic limitation in bandwidth. A
lot of methods to enhance the bandwidth have been suggested
by Shafai in [1] along with several types of feeding methods in
[2] but among them, most of the times due to its robust nature,
coaxial feeding technique is employed. The foremost method
of increasing the bandwidth is to simply increase the thickness
of the dielectric substrate between the patch and ground plane.
However, this method cannot be extended too far without loss
of low profile characteristics of the antenna with the excitation
of undesirable higher order modes. Only minimal increases in
bandwidth are reported by such structures. The stacked patch
antennas (SPA) have been suggested in [3]-[5] with a parasitic
patch stacked over the fed or driven patch and resulting in dual
band characteristics.
Dual-band antennas, however, may provide an alternative to
larger bandwidth using different techniques as suggested in
[5]-[6] are really needed to operate at separate transmit-

receive bands. The behavior of the antenna characteristics for

the range of the intermediate frequencies may be of little or no
concern. For this purpose, Long and Walton [5] designed and
studied dual-frequency antenna by stacking slightly different
sized circular discs for different size combinations based on
the reference from [7]. Stacked elements have the advantage
of providing two or more metallic patches within the same
aperture area which allows the designers to obtain multiple
frequencies with or without dual polarization. Bandwidths
may be controlled by varying substrate thickness or
permittivity. In this paper, authors theoretically analyzed and
simulated on the basis of the extended cavity analysis. Upper
patch is working as driven element with different slit-cut
combinations while the lower patch being the parasitic
element here. The simulated return loss curves are presented
and studied in the following sections of the paper. Although
increased weight and thickness may present few limitations
but still a level of compactness is achieved through this paper
with the slit cut configuration.
II. STACKED CIRCULAR PATCH ANTENNA (SCPA) FOR DUALBAND OPERATIONS

The proposed structure shown in the fig. 1.a consists of two

circular patches that are aligned with their centers being along
the same line. The inner conductor of the coaxial feed passes
through a clearance hole in the lower patch and is electrically
connected to the upper patch. The lower patch is therefore
coupled only through the fringing field. The two patches are
aligned accurately so that the overall structure can be viewed
as two coupled circular cavities. The cavity model developed
for the single circular patch antenna in [8] can now be
extended for the stacked geometry.

Ashish Sharma, Shekhar Rudra, Ritu Raj Mishra are B.Tech students and
Binod K. Kanaujia is Associate Professor at the Department of Electronics
and Communication Engineering, Ambedkar Institute of Advanced
Communication Technologies and Research, Delhi-110031, India (e-mail:
ashish.sharma@ieee.org,shekhar.rudra.mw@gmail.com,
bkkanaujia@ieee.org, vasant.ipu@gmail.com ).

978-1-4673-0455-9/12/$31.00 2012 IEEE

769

(a)

III.

(b)
Fig. 1.a) Stacked Circular Patch antenna, b) Equivalent circuit of resonant
SCPA

SCPA DESIGN

The preliminary structure presented in this paper is shown

in fig. 1.a and fig. 3. The antenna consists of two dielectric
substrates. The height h1 and h2 both are 0.32mm such that
the total height h=h1+h2=0.64mm. The dielectric constants
are r1=r2 = 2.33(Rogers RT/duroid 5870 ). The circular
patch situated on the lower substrate has the radius of 6mm
while the upper patch is 5.4mm in radius. The coaxial feed is
given to the upper patch with the inner conductor passing
through the clearance hole in the lower patch. The optimized
location of the feed point is found as (0, 1.8mm). The ground
plane is taken to have much larger dimensions than that of the
patches.

The idea as suggested by [9] is to accurately predict the

upper and lower cavity resonant frequency; next, the electric
field generated inside the upper and lower cavities are added
together using the corrective effective values of the dielectric
constant, radius and resonant frequency. The lower cavity can
be considered to be loaded by dielectric material ignoring the
upper patch (fig.2) with the resonant frequency calculated as:
fr,np = np 300
2beffr,ef

(1)

Where r,ef can be calculated for a circular patch sandwiched

between two dielectric layers as in [4].
The upper patch has to be analyzed like an uncovered
microstrip patch. In case the dimension of the patches are
comparable, the lower patch may not offer large ground plane
and this fact will introduce error in the model. As noted by
Long and Walton [5] the resonant frequency of the lower
patch remains unaffected by the diameter changes in the upper
patch. Hence, the main motive to change the dimension of
upper patch is to independently analyze upper and lower
patches.
Since the fringing fields are different for two cavities, their
effective radii are different even though their physical radii are
same. Consequently, two resonant frequencies are expected.
Thus preferred configuration for multiple frequency is to feed
top disc with a larger bottom disc as the equivalent circuit
consists of two coupled parallel resonant circuit and a series
inductor to model filed inductance (fig. 1.b) which ensures the
strong coupling between the two patches and hence the dual
band behavior.

Fig. 2 Coax-fed SCPA with dielectric superstrate.

Fig. 3 3D view of SCPA

IV. SLIT CUT STACKED CIRCULAR PATCH ANTENNA

(SSCPA) FOR MULTI FREQUENCY OPERATIONS
A. Slitting Operation
Slitting (or slit-cutting) is an operation done on metal
patches (such as rectangular or circular), which removes a
particular metallic part to exploit its resulting wideband/
multiband and radiation efficiency property. Slotting can be
done to achieve compact multi band frequency operation as
well. Numerous slotting techniques are mentioned in [10].
An effective method for achieving a lowered fundamental
resonant frequency for the microstrip antenna can be achieved
by inserting several narrow slits at the patchs radiating
boundaries.
B. Effects of Slitting
Slitting leads to a greatly lengthened current path for a fixed
patch linear dimension as mentioned in [10], [11] and as
shown in fig. 4 where the authors proposed structure is
compared with the surface current distribution of normal
SCPA design. This behavior results in a greatly lowered
antenna fundamental resonant frequency, and thus a large
antenna size reduction at a fixed operating frequency can be
obtained. Fig 5 shows the magnitude of the surface current
distribution obtained from HFSS signifying that patch radiates
more effectively at the discontinuities than the regular
structure.
The resonant frequency is greatly lowered due to the
bending of the patch surface current paths along the antennas
resonant or excitation direction, and that no lateral current
components are generated. In this paper, compactness and

770

multi band characteristics are achieved by cutting four equally

spaced orthogonal slits at the boundary of the upper circular
patch as shown in fig.6.
When lx =ly or lx is small, a single feed for multi-frequency
excitation cannot be obtained in the present design as verified
by such HFSS model. It is seen that the lowest resonant
frequency f1 is independent of the slit ratio (lx / ly). On the
other hand, the second resonant frequency f2 varies with
increasing (lx / ly) slit ratio. From the experimental results in
[10], an approximate equation for determining frequency ratio
(f2/ f1) is derived as follows:
d fratio (d + ly )/(d + 0.8 lx)

(2)

where
lx= length of the slit along x-axis.
ly= length of the slit along y-axis.
d= diameter of the upper patch.

Fig. 6 Geometry of a circular microstrip antenna with four inserted slits for
compact multi-frequency operation

(The above equation is applicable for lx / ly0.280.85). This

constraint is followed in the proposed deign of SSCPA as
well.

V. SSCPA DESIGN
The structure of SSCPA used in this paper is shown in fig.7.
The slits are characterized by slit-ratio lx / ly within the range
of 0.280.85 which are equally spaced and are cut at the
boundary of the upper patch while rest of the dimensions of
the patch and the substrates remaining the same as that for
SCPA in this paper with the slot width kept constant at 1mm.
Next parametric analysis is done by keeping lx / ly constant
with variable slit width. From [10], the optimal feed position
can be chosen for multiband operation at a point displaced
from its original location without slits.

(a)

(b)
Fig. 4.a) Surface Current vector on SCPA; b) Lengthening of patch
currents due to slitting in the proposed SSCPA

Fig. 7 Slotted-Stacked Circular Patch Antenna

VI. RESULTS AND DISCUSSIONS

Fig. 5 Magnitude of Current Distribution on upper patch of SSCPA

The HFSS models for various configurations mentioned

were developed and analyzed. Fig. 8 shows the variation of
the return loss with frequency (fig. 8.a), reveals that the
stacked microstrip patch configuration show dual band
characteristics. It is found that resonance frequencies of lower
and upper cavities are at 9.3 GHz and 10.5 GHz respectively
with VSWR<2 satisfying the -10 dB criteria. It is clearly
visible in the Smith chart curve that there are two very distinct

771

TABLE I
FREQUENCIES OBTAINED FOR SPECIFIC LX/LY WITH CONSTANT SLOT WIDTH

circles and both of them crossing the right hand real axis
corresponding to the two resonant frequencies obtained.
Fig. 9 shows the variation of return loss with frequency as
per table I for different slit ratio lx/ly and constant slit width as
1mm for the proposed Stacked Circular Patch Antenna
configuration with four orthogonal slits in this paper. It is clear
that antenna shows the multiband characteristic as in reference
[10] and the optimum results are obtained for slit-ratio of 0.68
and 0.74.
XY Plot 4

0.00

HFSSDesign1

S.
No.
1
2
3
4

Multiple Resonant frequencies obtained

lx/ly
Frequency (GHz)
0.6
9.2, 9.4
0.68
7.7, 9.3, 10.4
0.74
7.7, 8.9, 9
0.8
8.4, 9.3, 11.1

XY Plot 1

0.00

ANSOFT

Fig.
No.
8. (a)
8. (b)
8. (c)
8. (d)

HFSSDesign1

ANSOFT

Curve Info
dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1
dB(St(coax_pin_T1,coax_pin_T1))

-2.50

dB(St(coax_pin_T1,coax_pin_T1))

-5.00

Curve Info
dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1

-5.00

-7.50

-10.00

-10.00

-12.50

-15.00

-15.00

-17.50

-20.00

-20.00

5.00

7.50

10.00
Freq [GHz]

12.50

15.00

(a)
-25.00

5.00

7.50

10.00
Freq [GHz]

12.50

Curve Info

12.50

dB(St(coax_pin_T1,coax_pin_T1))

HFSSDesign1
VSWRt(coax_pin_T1)
Setup1 : Sw eep1

VSWRt(coax_pin_T1)

ANSOFT

Curve Info

XY Plot 3

15.00

HFSSDesign1

-2.00

(a)
Ansoft LLC

XY Plot 1

0.00

15.00

dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1

-4.00

-6.00
-8.00

-10.00

-12.00

10.00

-14.00

7.50

-16.00

5.00

7.50

10.00
Freq [GHz]

12.50

15.00

(b)

5.00

XY Plot 1

0.00

HFSSDesign1

ANSOFT

Curve Info
dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1

2.50

0.00

8.56

8.75

9.00

9.25

9.50

9.75
Freq [GHz]

10.00

10.25

10.50

10.71

(b)
Smith Chart 1

Ansoft LLC

110
120
130
0.50
140

100

HFSSDesign1

90 80
70
1.00
60
2.00

Curve Info
St(coax_pin_T1,coax_pin_T1)
Setup1 : Sw eep1

50
40

150

-15.00

-20.00

0.00

2.00

4.00

5.00 20

170
0.20

0.50

1.00

2.00

5.00

-150
-140
-0.50
-130
-120
-110

-20

dB(St(coax_pin_T1,coax_pin_T1))

-5.00

-30
-2.00
-1.00
-100 -90

-80

-70

-60

10.00

12.00

HFSSDesign1

-40

ANSOFT

Curve Info
dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1

-2.50

-10
-0.20

8.00

XY Plot 1

0.00

-170

6.00
Freq [GHz]

(c)

10

180 0.00
0.00

-160

-10.00

-25.00

30

160 0.20

dB(St(coax_pin_T1,coax_pin_T1))

-5.00

-5.00
-7.50

-10.00

-50

-12.50
-15.00

(c)

-17.50
-20.00

Fig. 8 a) Return loss, b) VSWR, c) Smith Chart of SCPA

-22.50

5.00

7.50

10.00
Freq [GHz]

12.50

(d)
Fig. 9 a), b), c), d) Variation of Return Loss with frequency for
different slit ratio with constant slit width.

772

15.00

TABLE II
FREQUENCIES OBTAINED FOR SPECIFIC SLIT WIDTH WITH CONSTANT LX/LY

As is clear from various plots, the return loss curve for

SSCPA contains more than two resonant frequency that too at
smaller values and hence supports the idea of compactness.
Further analysis is done parametrically by keeping lx/ly ratio
constant and varying the slit-width from 0.3mm to 1.2mm as
per table II shown in fig. 10. From the table it is observed that
for slit-width 0.3mm and 0.6mm, optimum results are
obtained. Again multiband return loss curve is obtained with
multiple circles in the right hand of real axis of the Smith
Chart signifying the multiband operations. Also note that
VSWR is still less than 2 for band of operation.
XY Plot 1

Ansoft LLC
-0.04

HFSSDesign1

dB(St(coax_pin_T1,coax_pin_T1))

-5.00

Curve Info

-10.00

dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1
w ='0.3mm'

-12.50

dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1
w ='0.6mm'

-15.00

dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1
w ='0.9mm'

-17.50

dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1
w ='1.2mm'

-20.00

dB(St(coax_pin_T1,coax_pin_T1))
Setup1 : Sw eep1
w ='1.5mm'

6.31

7.00

8.00

9.00

Freq [GHz]

10.00

11.00

12.00

XY Plot 4

12.91

HFSSDesign1

ANSOFT

Curve Info
VSWRt(coax_pin_T1)
Setup1 : Sw eep1

75.00

VII. CONCLUSION

VIII. ACKNOWLEDGEMENT

(a)
83.60

Multiple Resonant frequencies obtained

Slit width (mm)
Frequency (GHz)
Fig no.
0.3
7.5, 9, 9.4, 10.8
10.(a)
0.6
7.2, 9.1, 9.3, 10.3
0.9
8.9, 9.2
1.2
9, 9.2
1.5
9.1

An amount of compactness of around 27% along with the

multiband characteristics can be achieved by the proposed
slitting configuration in comparison to the SCPA as obtained
by the simulation results from Ansofts HFSS; which for few
applications may serve the purpose of being applicable to a
wide frequency range operations. In future, other methods of
increasing the bandwidth like EBG structures and SRR
structures may be included and comprehensively studied.

-2.50

-7.50

S.
No.
1
2
3
4
5

The authors gratefully acknowledge the guidance provided

by their mentor Dr. B. K. Kanaujia for DST Project from the
Government of India under SERC scheme project sanction
order no. SR/S3/EECE/0117/2010(G) and their Institute
AIACT&R for allowing the easy access of the laboratory
facilities and thanks the support of the complete lab staff
during the course of the undergraduate research work.

VSWRt(coax_pin_T1)

62.50

50.00

REFERENCES
37.50

[1]

25.00

12.50

0.04

7.73

8.75

10.00
Freq [GHz]

11.25

12.18

(b)
Smith Chart 2
120
130
140

110

100

HFSSDesign1

St(coax_pin_T1,coax_pin_T1)
Setup1 : Sw eep1

60

0.50

2.00

50
40

150

30

160 0.20

5.00 20

170
180

10
0.00
0.00

0.20

0.50

1.00

2.00

5.00

-170

-10

-160 -0.20

-5.00 -20

-150

-30

-140
-130

-0.50
-120

-110

-2.00
-1.00
-100 -90

-80

ANSOFT

Curve Info

90 80
70
1.00

-70

-40
-50

-60

(c)

L. Shafai, Antenna Engineering Handbook, McGraw-Hill, University of

Manitoba, 2007.
[2] M Irsadi, Shun Lien Chuang, Yuen Tze Lo, On slot-coupled Microstrip
antennas and their applications to CP operation, IEEE Antennas and
Propagation Magazine, Vol. 38, No. 8, August 1990.
[3] Pramendra Tilanthe, P.C. Sharma, An Ultra Broadband Stacked Patch
Antenna, IEEE conf. IMPACT-2009, 2009.
[4] Shilpee Patil, Tunable Stacked Circular Patch Microstrip Antenna,
M.Tech Thesis, Ambedkar Institute of Technology, 2009.
[5] S.A. Long, M.D. Walton, A Dual-Frequency Stacked Circular-Disc
Antenna, IEEE Antennas and Propagation Magazine, Vol. AP-27, No.
8, March 1979.
[6] S. Maci, G. Biffi Gentili, Dual-Frequency Patch Antennas, IEEE
Antennas and Propagation Magazine, Vol. 39, No. 6, December 1997.
[7] G.G. Sanford, Multiple resonance radio frequency microstrip antenna
structure, U.S. Patent 4 070 676, Jan. 1978.
[8] Constantin B.A, Antenna Theory, John Wiley and sons, 2005.
[9] M. Mahajan, S.K. Khah, T. Chakravarty; Extended Cavity model of
stacked circular disc, (unknown publication), 2007.
[10] K.L. Wong , Compact and broadband microcstrip antennas, John Wiley
& Sons, Inc., 2002.
[11] V. R. Gupta, N. Gupta, Characteristics of a Compact Circularly
Polarized Microstrip Antenna, Elektronika IR Elektrotechnika. 2004.
Nr 3(52).

Fig. 10 a) Return loss, b) VSWR, c) Smith Chart for SSCPA with variable
slot widths.

773

EGDD: Energy-Aware Grid-Based Data

Dissemination to Mobile Sinks in Wireless
Sensor Networks
A. Ravi Kant Sahu, and B. Lalit Kumar Awasthi, Senior Member, IEEE

Abstract-- In Wireless Sensor Networks, data dissemination

to multiple mobile sinks consumes a lot of energy. Various gridbased data dissemination schemes have been proposed over the
years to reduce the energy consumption in Wireless Sensor
Networks. In this paper, we have proposed an energy aware
data dissemination scheme for reducing the energy consumption
during grid construction, dissemination node failure handling
and data and query forwarding. The proposed EGDD scheme
uses a single virtual grid for data dissemination and sensor
nodes are energy aware so a data dissemination node is replaced
by an alternate dissemination node as soon as its residual energy
reaches to a predefined threshold value. We have proposed a
novel scheme for determining the cell size of the grid, selecting
the dissemination nodes and alternate dissemination nodes. The
proposed scheme reduces the energy consumption during the
query and data forwarding and handling dissemination node
failure. It also solves the problem of sink mobility. Theoretical
analysis shows that the proposed EGDD scheme performs better
than the existing data dissemination schemes.

and ARBITER [6] rely on constructing a virtual grid

infrastructure for query and data forwarding.
These protocols proactively build a virtual grid over the
entire sensor field and the crossing points of the grid are
known as dissemination points. The grid consists of small
square cells of cell size .
The sensor nodes at each dissemination point or crossing
point are called dissemination nodes. The dissemination
nodes are responsible for query and data forwarding. All
other nodes do not participate in query/data forwarding.

Index Terms-- Data Dissemination, Dissemination point,

Mobile Sink, Expected zone, Source Id, Threshold energy.

I. INTRODUCTION

typical wireless sensor network consists of several lowcost, low-powers but multi-functional devices called
sensor nodes. A large number of the sensor nodes are
randomly distributed over a vast field to self-organize a largescale wireless sensor network [1], [2]. The sensor nodes
monitor some events in surrounding environments, such as
heat, sound, vibration, presence of objects, and so on. If a
sensor node detects an event, the sensor node produces data
and makes data announcement to sinks subscribing the data
(as shown in fig.1). The sensor node denotes a source node
and this procedure is called data dissemination [3]. Several
virtual grid-based data dissemination schemes have been
proposed over the years for forwarding the sensed data from
source node to mobile sink in wireless sensor networks. These
data dissemination protocols such as TTDD [4], GBDD [5]

A. Author and B. Author are with the Department of Computer Science &
Engineering, National Institute of Technology, Hamirpur-177005, India (e-mail:
er.ravikantsahu@gmail.com, lalitdec@yahoo.com ).

Fig. 1. Data dissemination to multiple sinks

The main problems in existing data dissemination

protocols areHow to determine the cell size of the grid?
There may not be a sensor node at the exact estimated
location of the grid crossing point.
The sensor node at the estimated crossing point may have
very low energy while the second closest node to the
crossing point has very high energy. So how to select the
best node as a dissemination node.
How to deal with the dissemination node failure problem?
Handling sinks mobility in an energy efficient manner.
We have proposed an energy-aware grid-based data
dissemination scheme in which sensor nodes are aware of
their residual energy level and are capable of doing some
computation. Data is forwarded from source to mobile sinks

978-1-4673-0455-9/12/$31.00 2012 IEEE

774

from the shortest path using the square size virtual grid
infrastructure.
II. RELATED WORK
In recent years many data dissemination protocols [4-9]
have been proposed by the researchers which rely on virtual
grid based infrastructure for query and data forwarding.
Haiyun Luo et al. proposed a two-tier data dissemination
scheme (TTDD) [4] which utilizes the virtual grid-structure
for data dissemination to mobile sinks. Query and data are
forwarded only by the dissemination nodes and all other
nodes are responsible for sensing only. In order to handle sink
mobility, trajectory forwarding is employed to relay data from
the immediate dissemination node. The main drawback of
TTDD is that every time a new event appears in sensor field,
a new grid is constructed. This consumes a lot of energy and
costs major overheads if number of events is more.
T. P. Sharma et al. proposed a grid based data
dissemination scheme (GBDD) [5] which makes use of a
single virtual grid infrastructure. Grid construction process is
initiated by the sink only when there is no valid grid present
in the sensor field. GBDD uses dual radio signals for query
and data forwarding. In order to handle the dissemination
node failure, alternate dissemination zone is formed using the
low power radio.
Soochang Park et al. proposed an ARBITER [6] design
which follows the time, space and synchronization decoupling
properties. ARBITER considers independent hidden
infrastructure and shared buffering of queries and data via the
infrastructure. Sensor nodes are classified into init node,
transit nodes and storage nodes. Sink Mobility is supported by
ARBITER using the progressive footprint-chaining.
Nguyen Xuan Quy et al. proposed an energy-efficient data
dissemination protocol (EEDD) [8] which considers energyefficient consumption and network lifetime especially to
sensor networks with high node density. In EEDD a uniform
grid structure of square size is used and it relies on
dynamically reconfiguring the virtual grid in a distributed
manner after node failures, wear-out, and battery depletion.
III. ENERGY-AWARE GRID-BASED DATA DISSEMINATION
SCHEME (EGDD)
EGDD is a rendezvous-based data dissemination scheme
in which the grid is constructed only when no valid grid is
present in the sensor field. The first source appearing in the
sensor field initiates the grid construction process with its
source id, its own location co-ordinates and a predefined
radius (d) of the expected zone in the dissemination node
location. The value d is used because it is not always possible
to find the sensor nodes at the exact location estimated for the
dissemination point. It is also possible that the node closest to
the crossing point has very low energy while other nodes have
higher energy level. So it is desired to select the node with the
maximum residual energy in the neighborhood. It also
restricts the flooding of messages over the sensor field as only
those nodes which have distance from estimated
dissemination point less than the value of d will reply to

dissemination node. The expected zone is a circular region of

radius d. For handling the dissemination node failure, each
sensor node which forwards a Grid Construction Message
(GCM) for grid construction maintains a list of all sensor
nodes that belong to the expected zone.
In the proposed scheme, a minimum threshold energy Et is
defined. This is the minimum energy which is required for a
node to work as a dissemination node. When the residual
energy of a dissemination node becomes equal to Et, it sends
an Alternate Dissemination Message (ADM) to the alternate
dissemination node. Thus the alternate dissemination node
takes over this node. In this way there is no dissemination
node failure and energy is not wasted in alternate
dissemination node selection process as a list of alternate
dissemination nodes is already maintained during grid
construction process.
A. Network Model
The following assumptions are used in this paper for
network modelingA vast field is covered by a large number of homogeneous
sensor nodes which communicate with each other through
radio signals.
Each sensor node is aware of its own location co-ordinates
in a two-dimensional sensor field (for example, using GPS
signals).
Sensor nodes are stationary, capable of storing some
information regarding the neighboring nodes and aware of
their own residual energy.
Sinks send query packet to the source with the Source Id of
the corresponding source node.
Source nodes forward the data to the sink using the
backward path followed by the query packet from sink.
The grid is constructed by the source only when there is no
already existing grid.
B. Grid Construction
EGDD is a virtual grid-based data dissemination scheme
in which the grid construction process is initiated only by the
first source appearing in the sensor field. Unlike TTDD, a
new grid is constructed only when there is no valid grid
present in the sensor field which prevents the loss of energy
due to unnecessary grid construction.
The grid construction process is similar to TTDD [4]. A
source divides the entire sensor field into a grid of square
sized cells of dimension . A source itself is at one
crossing point of the grid. It propagates Grid Construction
Message (GCM) to reach all other crossings, called
dissemination points, on the grid. GCM consists of the coordinates of calculated dissemination point and the radius of
the expected zone (d). For a particular source at location Ls =
(X, Y), dissemination points are located at Lp = (Xi, Yj )
such that:

775

{Xi = X + i, Yj = Y + j; i, j = 0,1,2, . . .}

While constructing the grid, there may not be a sensor

node present at the calculated dissemination point or the
sensor node located at the calculated dissemination point may
have very low energy. EGDD handles this problem by using
an expected zone for the dissemination node. In the proposed
scheme, a circular region of radius d is constructed which is
known as Expected zone (as shown in fig.2). A sensor node
with maximum energy within the expected zone is selected as
the dissemination node.

So from the above derivation it is clear that the cell size

should be equals to (R 2d) / 2.
2) Determining the Radius of Expected Zone. We will
construct a circular expected zone with radius d.
So d2 will be the area of the expected zone.
Let there are n sensor nodes deployed in the sensor field
and the area of the region is A.
Then, Area of finding 1 sensor node = (total number of
sensors / total area)
d2 = n / A
d = (n / A)
We will take the upper bound (floor value) of the
calculated value, so that there will be the probability of
finding more than one sensor nodes in that area-

Fig. 2. Grid construction by source S

On receiving a GCM message, all the nodes belonging to

the expected zone reply back to the sender node with their
residual energy levels and distances from the original
dissemination point. Now the sender dissemination node
arranges all neighbor nodes in descending order of residual
energy levels. The node with maximum residual energy level
is selected as the dissemination node and the other nodes will
serve as alternate dissemination nodes.
When the residual energy level of a dissemination node
becomes equal to the minimum threshold energy level Et, the
sensor node with maximum energy is selected from the list
and it becomes the dissemination node. Thus EGDD does not
suffer from dissemination node failure problem and saves the
energy wasted in selecting an alternate dissemination node as
in GBDD [5].

n / A

(2)

C. Query and Data Forwarding

We propose a query forwarding scheme (Figure 4) for data
dissemination to mobile sinks in WSN. Unlike TTDD and
GBDD, EGDD does not forward query along the sides of the
grid-cell instead it relies on forwarding the query through the
shortest path between source and sink. Thus EGDD scheme
reduces the energy consumption due to query and data
transmission. In the proposed scheme, only the dissemination
node which is closest to the source forwards the query. Data
from the source to sink is forwarded by following the
backward path followed by the query packet.

1) Determining the Cell-size. Cell size is determined by

using the radio range R of sensor nodes and the
limiting distance d. We can determine the cell size
with the help of figure 3.
AB = BC = CD = AD = (cell size)
AP = CQ = d (radius of expected zone)
In triangle ABC, ABC = 90
So, AC = 2 (Applying Pythagoras Theorem)
Radio range of the node should be equals to PQ.
PQ = R (Radio range)
So, QC + CA + AP = R
Or
d + 2 + d = R
Or
2 + 2d =R
Or
2 = R 2d
Or
= (R 2d) / 2

Fig. 3. Cell size for grid construction

(1)

We assume that each dissemination node is aware of its

own location (coordinates). When a sink wants to forward the

776

query to a particular source, it generates a query packet with

the Sink id, Source Sequence Number and coordinates of the
source dissemination node (Xs, Ys). Now it forwards the
query packet to all its neighbors. In EGDD, the dissemination
node which is closest to the source forwards the query packet.
Each node compares its coordinates with that of source node
and the distance is also calculated. The dissemination node
which is closer to the source forwards the query and all other
nodes discard it.
Let (Xi, Yi), (Xj, Yj) and (Xs, Ys) are the coordinates of
sender node I, receiver node j and the source node S
respectively. Dsi, Dsj are the distances of node I and node J
from the source S respectively. When a dissemination node
receives the query packet, the following steps are followed-

4. Thus EGDD prevents the flooding of duplicate and

redundant data and query packets in the network.
A. Data Forwarding from Multiple Sources
There may be more than one event sources in the sensor
field. EGDD uses the same grid for all sources appearing in
the sensor field. When a source appears in the sensor field, it
uses the existing grid for data forwarding. Each source has a
unique source id as the location co-ordinates of the immediate
dissemination node (IDN) are used as the source id. Event
source makes data announcement with its unique source id
and the sink interested in that event forwards the query using
the existing grid in the sensor field. Query is forwarded using
the same scheme as discussed above (in section C).

Algorithm for query forwarding

1) Update the query packet by including its own (Xi, Yi)
coordinates in the packet.
2) Forward the query to all its neighboring dissemination
nodes with coordinates (Xj, Yj).
3) While (Ys =! Yj & Xs =! Xj )
a) If (Dsj < Dsi)
Forward the query packet
b) else discard
4) If (Ys = Yj )
a) If ( |Xs-Xi| > |Xs-Xj| )

Fig. 4. Query and data forwarding in EGDD

Forward the query packet

Data is forwarded from multiple sources to different sinks
using the backward path traversed by the query packet. Query
and data forwarding is shown in the figure 5.

b) else discard
5) If (Xs = Xj )
a) If |Ys-Yi| > |Ys-Yj|
Forward the query packet
b) else discard
Once the query is received by a dissemination node, it is
forwarded to the data source. Data is forwarded to the sinks
through the reverse path followed by the query. If a
dissemination node had received queries from different
neighboring nodes, it sends a data copy to each of them. Once
the data arrive at a sinks local dissemination node, trajectory
forwarding [4] is employed to further relay the data to the
sink as shown in the figure 4.
D. Query Forwarding from Multiple Sinks
When a dissemination node receives multiple queries for
the same data from different sinks, it forwards only one query
to the source and stores the sink ids of all the sinks from
where the query for same data is received.
When Data is received at this dissemination node,
duplicate copies of data are generated and forwarded to all the
sinks from where query was received as shown in the figure

777

Fig. 5. Data dissemination from multiple sources to different sinks

B. Handling Sink Mobility

Sink mobility introduces several challenges to data

dissemination in wireless sensor networks. When a sink
moves away from its original location from where it has
forwarded the query, data delivery to sink becomes difficult.
A sink may move within the local cell or outside the local cell
in the grid. In the proposed EGDD scheme, Sink movement
within the local cell area is handled through local flooding of
data within the local cell.
In EGDD, sink manager is used to handle the sink
movement outside the local cell. Each time when a sink
moves into adjacent cell, a sink manager is selected by the
mobile sink. Sink manager is the dissemination node which is
common to both the new cell and the old cell of the sink and
closest to the previous immediate dissemination node (IDN).
Thus each time a mobile sink moves into a new cell a
dissemination node is selected to work as a sink manager for
that sink. It reduces the overhead of selecting a new sensor
node as a sink manager. In this way there is a sink manager
for each inter-cell movement of the mobile sink. When a
mobile sink moves into a new cell the common dissemination
node will be informed and will act as a sink manager.

from the list maintained during the grid construction process.

Thus EGDD does not allow a dissemination node to fail.
IV. PERFORMANCE EVALUATION
In this section we evaluate the performance of our EGDD
approach. Energy Efficiency is the major concern of EGDD
scheme so we have analyzed for energy only. The energy
consumption is defined as the total energy consumed in the
network during communication (transmitting and receiving)
excluding the idle state of sensors.
We have compared the proposed EGDD data
dissemination scheme with other data dissemination schemes
such as GBDD and TTDD. Total energy consumption and
average delay are the two main performance matrices which
are used for comparison. Table 1 shows the comparison of
EGDD with TTDD and GBDD.
TABLE I
COMPARISON BETWEEN EGDD AND OTHER DATA DISSEMINATION
SCHEMES

Compariso
n

TTDD

GBDD

EGDD

Grid
Constructio
n

Separate grid
for each
source i.e.
each source
starts grid
construction.

Sink
constructs a
grid only
when no valid
grid is
present.

Source
constructs a
grid only
when no
valid grid is
present in the
sensor field.

Query
Forwarding

Query is
forwarded
along the
sides of the
grid-cell.

Query is
forwarded
along the
sides of the
grid-cell.

Query is
forwarded
diagonally in
the grid-cell.

Immediate
dissemination
nodes are
selected for
handling sink
mobility.

Dissemination
node closest
to the initial
crossing point
is selected for
handling sink
mobility.

Disseminati
on node
failure

No
dissemination
node failure
as separate
grid is
constructed
by each
source.

Dissemination
node failure is
handled by
flooding the
query using
low-range
radio in order
to select the
alternate
dissemination
node.

Energy
Efficiency

Consumes a
lot of energy
in separate
grid
construction
for each

Energy is
wasted in
alternate
dissemination
node
selection.

Sink
Mobility
Fig. 6. Data dissemination to mobile sink

When a sink, which has already queried for some data,

moves into a new cell, it forwards the MQuery to the sink
manager. MQuery is a query with a special flag bit indicating
that the query is from a mobile sink which had already
forwarded the same query. The sink manager forwards the
query to the original IDN of the sink as shown in the figure 6.
MQuery contains the co-ordinates of original IDN of the sink.
When the MQuery reaches to IDN, the data is forwarded to
mobile sink through the backward path.
C. Handling Dissemination Node Failure
EGDD does not suffer from dissemination node failure
problem. In the proposed scheme a minimum threshold
energy level is defined for dissemination nodes. As soon as
the residual energy of any dissemination node reaches to this
level, this dissemination node is replaced by an alternate
dissemination node. Alternate dissemination node is selected
778

The
dissemination
node common
to the
original cell
and the new
cell is
selected as
sink
manager.
No
dissemination
node failure.
Alternate
dissemination
nodes are
selected in
advance
during the
grid
construction
process.
No
dissemination
node failure
and saves
energy in grid
construction.

proposed scheme for handling multiple mobile sinks and

mobile events.

source.

For any sensor node, the total energy consumption is

defined asEtotal = Esens + Etrans + Epro
(3)
Where Etotal is the total Energy of sensor node, E sens is the
energy consumed in sensing the environment, E trans is the
energy consumed in transmission and reception of data and
Epro is the energy consumed in processing the data. Etrans is
directly proportional to the distance of transmission.
EGDD follows the shortest path for query and data
forwarding. Hence it minimizes the energy consumption in
transmission of data. The proposed EGDD scheme is more
energy efficient than TTDD and Directed Diffusion (fig. 7)
because it consumes less energy while transmitting data and
query.

VII. ACKNOWLEDGMENT
The authors gratefully acknowledge Ministry of Human
Resource Development (MHRD) and the Department of
Computer Science and Engineering, N.I.T. Hamirpur (H.P.)
for their support in this work.
VIII. REFERENCES
[1]

[2]

[3]

[4]

[5]

[6]

[7]

[8]

Fig. 7. Energy consumption Vs number of sinks

[9]

V. CONCLUSION
In this paper we have proposed a data dissemination
scheme which makes use of a single virtual grid
infrastructure for query and data forwarding. EGDD
determines the cell size on the basis of radio range of sensors,
the area of the sensor field and the number of nodes deployed
in the area. The EGDD network model ensures query and
data forwarding through the shortest path between source and
sink. The proposed scheme reduces the energy consumption
during the grid construction and maintenance. A minimum
threshold energy level is defined for the dissemination nodes
in order to avoid the dissemination node failure. Theoretical
analysis and comparison with other existing data
dissemination schemes show that the proposed scheme is
energy efficient for multiple sinks and multiple sources.
VI. FUTURE WORK
In future, we plan to simulate the proposed EGDD data
dissemination scheme and compare its performance with
other existing data dissemination schemes such as TTDD,
GBDD and ARBITER etc. We would like to exploit the
design for mobile events and improve the performance of the
779

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wireless micro-sensor network models, ACM Mobile Computing and
Communications Review, Vol. 6, pp. 28-36, Apr. 2002.
E. Hamida and G. Chelius, Strategies for Data Dissemination to Mobile
Sinks in Wireless Sensor Networks, IEEE Wireless Communications,
Vol. 15, Iss. 6, pp. 31-37, Dec. 2008.
Haiyun Luo, Fan Ye, Jerry Cheng, Songwu Lu, Lixia Zhang, TTDD:
two-tier data dissemination in large-scale wireless sensor networks,
Kluwer Academic Publishers Wireless Networks, vol. 11, issue 1-2, pp.
161-175, January 2005.
T.P. Sharma, R.C. Joshi, Manoj Misra, GBDD: Grid Based Data
Dissemination in Wireless Sensor Networks, Advanced Computing and
Communications, ADCOM 2008, pp 234 240, 2008.
Soochang Park, Euisin Lee, Fucai Yu, and Sang-Ha Kim, Scalable and
Robust Data Dissemination in Large-scale Wireless Sensor Networks,
IEEE transaction on Consumer Electronics, Vol. 56, No. 3, August 2010.
Chalermek Intanagonwiwat, Ramesh Govindan, Deborah Estrin, John
Heidemann, and Fabio Silva, Directed Diffusion for Wireless Sensor
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Nguyen Xuan Quy, Dugki Min, and Eunmi Choi, "An Energy-Efficient
Data Dissemination protocol for Grid-Based Wireless Sensor Networks,"
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Information Processing Conference, pp. 1318, 2004.

HVDC Technology and Its Different Aspects

in Power System: An Overview and Key Issues
Vikas Shukla*, Shah Alam Malik* , Ankit Kumar Pandey*, A.S.Pandey**, S.P.Singh**
Abstract- In present scenario of generation and
transmission power system is becoming more complex
and dynamic, so in context of reliability and operation it
is necessary to employ different reliable tools and
techniques regarding efficiency, cost and technical
aspects. HVDC technology is such type of technology
regarding transmission which was implemented in1954
but there is still much work to be done specially in area
of future grid planning. Developments in the power
electronics converter technology and control
methodologies have been accelerated many folds in
recent years and have made possible for the HVDC, but
have resulted in severe harmonics pollution and other
problems. This paper presents a broad review of
introduction and various control technique analysis of
HVDC technology.
Index TermsHVDC, Power system, Fuzzy and Artificial
Controllers, Power Transmission.

distances by cable or overhead lines. It is also used to

interconnect asynchronous AC systems having the
same or different frequency, with the basic principle of
transferring electric energy from one AC system or
node to another, in any direction. The system consists
of three blocks: the two converter stations and a DC
line. Within each station block there are several
components involved in the conversion of AC to DC
and vice versa. Here it is shown single line diagram of
HVDC System in Fig 1.
In HVDC stations the leading role is performed with
Converters which can be categorized as CSC or VSC
type .
The technology where line commutated CSC is used
called CSC-HVDC. Where Voltage Source Converters
(VSC) are used as its core component to convert AC to
DC and vice versa called VSC-HVDC. [1][2]

I. INTRODUCTION

HE HVDC technology is used in transmission

systems to transmit electric bulk power over long

Fig. 1. HVDC Technology Single Line Diagram

These HVDC converter station or HVDC station

includes following components as

*Pursuing

M.Tech in Deptt. of Electrical Engineering ,K N I T

Sultanpur, U.P., India-228118,
email:life.vikas@gmail.com ,
er.samalik@gmail.com, ankitpandey119@gmail.com
***Assistant. Professor , Deptt. of Electrical Engineering ,KNI T
Sultanpur,U.P.,India -228118 email:singhsurya12@gmail.com

1. Thyristor Valves- The valves located in the

converters and consist of a number of thyristors or
transistors, depending on HVDC technology, that are
connected in series. The thyristor valves makes
conversion from ac to dc thus are the central
component of any HVDC converter station.

978-1-4673-0455-9/12/$31.00 2012 IEEE

780

Students Conference on Engineering and Systems-SCES 2012

4) Homopolar configuration- a block diagram of

Homopolar configuration is shown in Fig 5.
Homopolar lines have 2 or more conductors having
same polarity usually negative. [3]

2. HVDC Converter Transformer3. Smoothening reactor- Smoothening reactor

performs several Functions as Prevention of
intermittent current, Limitation of DC fault current,
Prevention of resonance in the DC circuit, reducing
harmonic currents including limitation of telephone
interference. [2]
4. Harmonic filters as AC and DC.
5. Surge Arrester.
6. DC transmission line.
7. Control and protection scheme.
II. HVDC CONFIGURATIONS

Fig. .5. Homopolar configuration of HVDC

Depending on the application and location, a number

of different HVDC station configurations can be
identified. In this paper these are presented for CSCHVDC, with CSC converter symbols, but converter
stations and the DC line. Within each station block
there are several components involved in the
conversion of AC to DC and vice versa.
1) Back-to-back configuration- Block diagram of a
back-to-back configuration with a 12-pulse
configuration is shown in the Fig.2. In this
configuration the HVDC stations are located at the
same site as shown with dotted lines, with no
transmission line between them.

III. CONTROL TECHNIQUES AND

CONTROLLERS ANALYSIS
In the early stages of development of HVDC
transmission, the convertors were equipped with a
basic grid-control system consisting of a negative
feedback loop for constant current or constant power
control and an open-loop predictive type constant
extinction angle control. The convertor operates in
either of the two modes, and transition from the one
to the other takes place automatically when required
by the system conditions. [4]
A) Conventional and advanced controllers (Non
Artificial Intelligence type)
To control a HVDC link, fed from an AC source
through a controlled rectifier and feeding an AC line
through a controlled inverter, applying the modern
control theory was design using state regulator and
tracking techniques , which was designed to improve
system performance. A robust nonlinear controller
for VSC-HVDC transmission link using inputoutput
linearization and sliding mode-control strategy and
self tuning feedback controller based on the pole
placement algorithm is a suggestion for transmission
planners, during steady state and transient operation.
[5]- [12]

Fig. 2. Back-to-back configuration of HVDC

2) Monopolar configuration: A monopolar

configuration with a 12-pulse configuration is shown
in Fig 3. The configuration is mainly used in undersea
transmissions [1] this consists of two HVDC stations
connected with a single conductor line having a
positive
or
negative
polarity.

3) Bipolar configuration: The bipolar configuration

can be seen as two monopolar configurations in
parallel, with a positive and negative pole. Fig 4
shows a block diagram of a 12-pulse bipolar
configuration.

Some control schemes were introduced, supplying

active and absorbing reactive power from the inverter
are controlled by changing the DC current settings
and the constant extinction or the minimum ignition
angle. Also a continuous type of wide-area damping
control system (WADCS) can be used to suppress the
inter-area oscillations in a complicated real power
grid. An individual-phase-control (IPC) SVC
compensation strategy for HVDC link with weak
receiving AC side can be used with solution of
reactive power problem in a line-commutated HVDC
link, by series injection strategy .[13]-[17]

Fig. 4. Bipolar configuration of HVDC

Coordinated control of the DFIGs and the HVDC

link so that the two topologies can work together
with an alternative control philosophies for short
distance HVDC links promise improved performance

Fig. 3. Monopolar configuration of HVDC

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Students Conference on Engineering and Systems-SCES 2012

of the inverter as compared to usual constant direct

voltage control. [18]-[23]

system, three phase HVAC/HVDC load flow must be

taken. [37]-[39]

The issue of the fault ride-through capability of a

wind farm of induction generators, which is
connected to an ac grid through an HVDC link based
on VSCs to regulate the HVDC rectifier firing angle
or dc link current and hence control the power flow
in system. [24]-[26]

Wan Ki Min [40] investigates the usefulness of novel

control method for HVDC link system which suffers
from severe condition of low order harmonic.
Niquini, F.M.M [41] proposes a new modelling of
monopolar HVDC link for harmonic load flow
analysis in electrical power systems with explicit
representation of the DC and AC networks, as well as
the converters nonlinear characteristics and their
harmonic interdependences, ensuring an accurate
solution. Hume, D.J presents a linearised direct
harmonic solution for a back-to-back HVDC link
operating in the steady state. [42]- [43]

B) Artificial Intelligence based Controllers for

HVDC Links
Dash, P.K et. al. presents the design of a very simple
fuzzy logic controller for HVDC transmission links
for fast stabilisation of transient oscillations with the
firing and extinction angle controller of an HVDC .
A fuzzy rule is adopted to smooth the power
transition for reducing power "shock" to the power
system. The strategy also incorporates adaptive
control techniques to prevent tie-link power
"chattering." with different defuzzification methods
(DFMs) and membership functions (MFs) on the
fuzzy logic-based self-tuning current controller
applications in an HVDC link [27]-[32]. Vrionis, D
et. al. [33], analyses the control strategy and
performance of an HVDC link based on VSCs,
which is controlled using fuzzy logic. The system
can feed a weak or even dead network under
fluctuations and big variations of the input power.
Narendra, K.G et. al. [34] proposed an artificial
neural network (ANN) based current controller for a
HVDC transmission link. Different ANN
architectures and activation functions (AFs) are
investigated for this ANN controller. Durrant, et. al.
[35] explained a genetic algorithm (GA) approach to
designing controllers for a VSC HVDC terminal.

V. HVDC SYSTEM FAULTS PREDICTION AND

RESTORATION
1) Faults on AC sides (converter and/ or inverter
side) as- Remote 3 phase ground fault, Single line to
ground faults and three phase ground faults.
2) Faults on DC sides- most of the faults in DC
systems are self-clearing or cleared through the
action of converter controls. In some cases, it may
become necessary to take out a bridge or an entire
pole out of service. The most common type of faults
on DC lines is pole-to-ground faults. This fault
blocks power transfer on the affected pole with the
rest poles remaining intact. An uncontrolled rectifier
can be used instead of a line commutated thyristor
(LCT) rectifier which represents clear advantages in
terms of installation cost and operation reliability and
power flow control. [44]- [48]
When an HVDC scheme is isolated from its
receiving ac system, the inverter may continue to
operate, generating its own ac bus voltages; this is
defined here as Islanding. If islanding is allowed to
continue unrestricted, then main circuit components
may in some conditions be damaged and it is
therefore necessary to provide a suitable protection
system. A coordinated protection relays with a VSCHVDC link for mitigating the occurrence of
cascading failures in stressed power systems can be
used with a corrective load shedding algorithm.
Matlab Power System Toolbox for the transient
stability studies of an AC/DC Interconnection power
system. The modified two-area power system model
with HVDC Link can be used in the
investigation[[49]- 52]

IV. HARMONICS AND FILTERS FOR HVDC

The HVDC converter produces harmonics during the
conversion process between ac and dc current. The
filters consist of capacitors, reactors (inductors) and
resistors. In the filter scheme, there are also surge
arresters for protection of transient stresses, current
measuring equipment for supervising the operating
conditions and for overload protection, and circuit
breakers for connecting the filter into or out of the
power system. These types of filters are known as
passive filters. [35]
In pursuit of higher performance and lower cost for
harmonic filtering in HVDC power transmission
systems, a prototype of an active dc filter was
developed and installed on the dc . Hosseini, S.H
introduces in unbalanced conditions, the ac to dc and
dc to ac conversion processes in the HVDC
transmission, in addition to characteristic harmonics
generate non characteristic harmonics, When
calculating non characteristic harmonics generated
by HVDC converters, because of unbalance at the ac

VI. APPLICATION OF HVDC SCHEMES AS

VARIOUS RESPECTIVE OF POWER SYSTEM

HVDC technology enables interconnections between

two grids or composite power system with
minimizing steady state losses & load change
described as with other applications-

782

Students Conference on Engineering and Systems-SCES 2012

Corsi, S. et al [53] explains, some power modulation

controls achievable by using the HVDC
interconnections between different grids or
subnetworks. HVDC links can be in fact effectively
used for damping electromechanical oscillations,
stabilizing power swings, reducing the life-fatigue
effects of Sub-Synchronous Resonance (SSR), etc.
Daelemans, G et al [55] describes Minimization of
Steady-State Losses can be performed in Meshed
Networks using VSC HVDC. The main part
literature was to verify the feasibility, technical as
well as economic, of VSC HVDC on loss
minimization in meshed networks Interconnection of
Two Very Weak AC Systems can be achieved by
VSC-HVDC Links Using Power-Synchronization
Control , the short-circuit capacities of the ac systems
are no longer the limiting factors, but rather the load
angles. [54]-[56]

VIII. CONCLUSION
This paper has given an introduction to the HVDC
technology, with its motivations and applications.
The main configurations and components in a typical
HVDC system have been analyzed. The applications
and control techniques with harmonics and filters
was examined briefly.
REFERENCES
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[3]
[4]

Thottungal , R et al [57] explains a new controller

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AC System. A concept of frequency stabilization in
interconnected power systems can be implemented
with techniques of overlapping decompositions and
eigen value assignment. Gulf Cooperation Council
Interconnection Authority (GCCIA) is installing an
HVDC converter station as part of an interconnection
of the transmission systems of 60Hz and 50Hz in
Kuwait, Saudi Arabia, Bahrain and Qatar. A new
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multiple HVDC-links in a power system, to enhance
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[5]

[6]

[7]

[8]

VII. SUMMARY OF THE PAPER

[9]

In this paper total 60 papers were discussed and following

chart gives summary of the paper as shown in Fig 6 :

[10]

Theory

no. of papers

40
30

20

control
Techniques

10

Harmonics
and Filter

0
Category

[11]

System
Faults

[12]

[13]
Fig. 6. Chart showing Summary of Paper

783

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BIBLIOGRAPHY
Vikas Shukla is a student of M.Tech. in Power
electronics and drives engineering from the
Kamla Nehru Institute of Technology, Sultanpur.
After completing his B.Tech he has worked as an
electrical engineer in Telecom industry. His
research interests are in multilevel converters in
power electronics and HVDC Technology. He is a student
member
of
Solar
Energy
Society
of
India
(SESI).Mobile:09696445694
Email: life.vikas@gmail.com
Shah Alam Malik is a final year student of
M.Tech. in Power electronics and drives
engineering from the Kamla Nehru Institute of
Technology, Sultanpur. After completing his
B.Tech he has worked as an Electrical design
engineer for many renowned buildings. His
research interests are in multilevel converters in power electronics.
He is a student member of Solar Energy Society of India
(SESI).Mobile:08400836933
Email: er.samalik@gmail.com
Ankit Kr. Pandey is a student of M.Tech. in
Power electronics and drives engineering from the
Kamla Nehru Institute of Technology, Sultanpur.
After completing his B.Tech he has worked
Lecturer. His research interests are in multilevel
converters in power electronics. He is a student
member of Solar Energy Society of India (SESI).
Mobile: 09795824361
Email: ankitpandey119@gmail.com
Dr. Ajay Shekhar Pandey is Associate Professor
in Department of Electrical Engineering of Kamla
Nehru Institute of Technology, Sultanpur (U.P.)228118 INDIA Mobile-09415091697
Surya Prakash Singh, is Assistant Professor in
Department of Electrical Engineering of Kamla
Nehru Institute of Technology, Sultanpur (U.P.)228118 INDIA .Mobile: 09451051969
E-mail: singhsurya12@gmail.com

785

Chasing Immortality with Reverse Engineering

Mohini Singh

AbstractThe allure of eternal life has been tugging at the

human imagination since we first began to contemplate our
finitude. Physical immortality is not possible, that was what
generally people thought. Tryst with a different reality began
the moment, we came to learn about the overarching progress of
engineering in wireless communication, genetics, biotechnology
and robotics. Predictions give a pretty clear view that after
about 20 years, immortality would not be too far from human
and the reason will be some giant inventions in the field of wireless communication, electronic bio-medical instrumentation &
reverse engineering.
In this paper, nanobots , specific application robots of the nano
-range size, are delineated as diagnosing human body from inside , scanning the body from inside for the enhancement of the
field today referred to as the reverse engineering, composition
of artificial organs to be transplanted, & using them as a replacement for the blood ,the conduit of life supporting
processes. This paper is actually intended to give both Medical
and Engineering oriented basis for developing reverse engineering techniques. But this covers more of the engineering aspects
that will be employed in the coming singularity era .The
advancement in technology will make the imaginary nanobots to
come real. And thus, this future advancement will represent the
culmination of the merger of our biological thinking &existence
with our technology, resulting in a world that is still human but
that transcends
our biological roots.
Index Terms-- Magnetic resonance imaging, nanobots, reverse engineering, singularity.

I. INTRODUCTION
If a day, one happens to see a marmalade dropper in a reputed newspaper that physical immortality is also not too far
from man, he/she would have surely amazed, this is what
happened with me.And, it was more astonishing to learn
about the overarching progress of engineering in genetics,
biotechnology, robotics and bio-medical instrumentation.
Nanobots are robots that are the size of human blood
cells, or even smaller. Billions of them could travel through
every brain capillary and scan every relevant feature from up
close. Using high speed wireless communication, the nanobots would communicate with each other, and with other
computers that are compiling the brain scan data base (in

other words, the nanobots will all be on a wireless local area

network).
This paper also spills the beans of different technologies
which can be combined to make physical immortality possible. This paper has been made more practical by utilizing
various thought-experiments. The ultimate crux of the matter
is that the age-old philosophical battle between the supremacy
of mind over matter may be further challenged by these inventions that will lead to establishing that mind is the highest
form of matter.
So, this paper is brought into existence to unleash the idea
that every life-form inside earths atmosphere is engineered.
And the scientific and technical minds are leaving no stone
unturned in their research to find the most basic constituent
and the coding of all life forms on earth-the living planet.
And thus, the aim is to get the basic algorithm used by the
Head Engineer millions of years ago.
II. THE BASIC LAW
Rate of progress of an evolutionary process increases exponentially over time. Over time, the "order" of the information
embedded in the evolutionary process (i.e., the measure of
how well the information fits a purpose, which in evolution is
survival).
The expanding human life span is another one of those exponential trends. In the eighteenth century, we added a few
days every year to human longevity; during the nineteenth
century we added a couple of weeks each year; and now we're
adding almost a half a year every year. With the revolutions
in genomics, proteomics, rational drug design, therapeutic
cloning of our own organs and tissues, and related developments in bio-information sciences, we will be adding more
than a year every year within ten years.
The golden era of nanotechnology & the ubiquitous use of
nanobots to augment the immune system & things like that
will be more like twenty to twenty-five years away. Once we
have the full fruition of biotech & nanotech, we really will
have the means to indefinitely forestall diseases, aging &
death.

Author is a student of BE with Electronics & Communication Engineering

stream in Mandsaur Institute of Technology,Mandsaur458001(M.P.),India (email: mohinisingh.1992@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

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Fig. 1 Exponential growth of technology.

III.

THE SOFTWARE OF INTELLIGENCE

One of the principal assumptions underlying the expectation of the Singularity is the ability of non-biological mediums to emulate the richness, subtlety, and depth of human
thinking. Achieving the computational capacity of the human
brain, or even villages and nations of human brains will not
automatically produce human levels of capability. By human
levels I include all the diverse and subtle ways in which humans are intelligent, including musical and artistic aptitude,
creativity, physically moving through the world, and understanding and responding appropriately to emotion. The requisite hardware capacity is a necessary but not sufficient condition. The organization and content of these resources,the
software of intelligence,is also critical. Once a computer
achieves a human level of intelligence, it will necessarily soar
past it. A key advantage of nonbiological intelligence is that
machines can easily share their knowledge. If I learn French,
or read War and Peace, I can't readily download that learning
to you. You have to acquire that scholarship the same painstaking way that I did. Our knowledge, embedded in a vast
pattern of neurotransmitter concentrations and interneuronal
connections, cannot be quickly accessed or transmitted. But
we won't leave out quick downloading ports in our nonbiological equivalents of human neuron clusters. When one computer learns a skill or gains an insight, it can immediately
share that wisdom with billions of other machines.
In addition, computers are potentially millions of times
faster than human neural circuits. A computer can also remember billions or even trillions of facts perfectly, while we
are hard pressed to remember a handful of phone numbers.
The combination of human level intelligence in a machine
with a computer's inherent superiority in the speed, accuracy,
and sharing ability of its memory will be formidable.
There are a number of compelling scenarios to achieve
higher levels of intelligence in our computers, and ultimately
human levels and beyond. We will be able to evolve and train
a system combining massively parallel neural nets with other
paradigms to understand language and model knowledge,
including the ability to read and model the knowledge con-

tained in written documents. Unlike many contemporary

"neural net" machines, which use mathematically simplified
models of human neurons, some contemporary neural nets
are already using highly detailed models of human neurons,
including detailed nonlinear analog activation functions and
other relevant details. Although the ability of today's computers to extract and learn knowledge from natural language
documents is limited, their capabilities in this domain are
improving rapidly. Computers will be able to read on their
own, understanding and modeling what they have read, by
the second decade of the twenty-first century. We can then
have our computers read all of the world's literature--books,
magazines, scientific journals, and other available material.
Ultimately, the machines will gather knowledge on their own
by venturing out on the web, or even into the physical world,
drawing from the full spectrum of media and information
services, and sharing knowledge with each other (which machines can do far more easily than their human creators).
IV. REVERSE ENGINEERING THE HUMAN BRAIN
The most compelling scenario for mastering the software
of intelligence is to tap into the blueprint of the best example
we can get our hands on of an intelligent process. There is no
reason why we cannot reverse engineer the human brain, and
essentially copy its design. Although it took its original designer several billion years to develop, it's readily available to
us, and not (yet) copyrighted. Although there's a skull around
the brain, it is not hidden from our view.
The most immediately accessible way to accomplish this is
through destructive scanning: we take a frozen brain, preferably one frozen just slightly before rather than slightly after it
was going to die anyway, and examine one brain layer--one
very thin slice--at a time. We can readily see every neuron
and every connection and every neurotransmitter concentration represented in each synapse-thin layer.
Human brain scanning has already started. A condemned
killer allowed his brain and body to be scanned and you can
access all 10 billion bytes of him on the Internet.
But scanning a frozen brain is feasible today, although not yet
at a sufficient speed or bandwidth, but again, the law will
provide the requisite speed of scanning, just as it did for the
human genome scan. Carnegie Mellon University's Andreas
Nowatzyk plans to scan the nervous system of the brain and
body of a mouse with a resolution of less than 200 nanometers, which is getting very close to the resolution needed for
reverse engineering.
We also have noninvasive scanning techniques today, including high-resolution magnetic resonance imaging (MRI)
scans, optical imaging, near-infrared scanning, and other
technologies which are capable in certain instances of resolving individual somas, or neuron cell bodies. Brain scanning
technologies are also increasing their resolution with each
new generation, just what we would expect from the law of
accelerating returns. Future generations will enable us to resolve the connections between neurons and to peer inside the

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synapses and record the neurotransmitter concentrations.

We can peer inside someone's brain today with noninvasive
scanners, which are increasing their resolution with each new
generation of this technology. There are a number of technical challenges in accomplishing this, including achieving suitable resolution, bandwidth, lack of vibration, and safety. For
a variety of reasons it is easier to scan the brain of someone
recently deceased than of someone still living. It is easier to
get someone deceased to sit still, for one thing. But noninvasively scanning a living brain will ultimately become feasible
as MRI, optical, and other scanning technologies continue to
improve in resolution and speed.
V.

SCANNING FROM INSIDE

Although noninvasive means of scanning the brain from

outside the skull are rapidly improving, the most practical
approach to capturing every salient neural detail will be to
scan it from inside. By 2030, "nanobot" (i.e., nanorobot)
technology will be viable, and brain scanning will be a prominent application.
This scenario involves only capabilities that we can touch
and feel today. We already have technology capable of producing very high resolution scans, provided that the scanner
is physically proximate to the neural features. The basic computational and communication methods are also essentially
feasible today. The primary features that are not yet practical
are nanobot size and cost. As we discussed above, we can
project the exponentially declining cost of computation, and
the rapidly declining size of both electronic and mechanical
technologies. We can conservatively expect, therefore, the
requisite nanobot technology by around 2030. Because of its
ability to place each scanner in very close physical proximity
to every neural feature, nanobot-based scanning will be more
practical than scanning the brain from outside.
VI.

HOW TO USE YOUR BRAIN SCAN

How will we apply the thousands of trillions of bytes of information derived from each brain scan? One approach is to
use the results to design more intelligent parallel algorithms
for our machines, particularly those based on one of the neural net paradigms. With this approach, we don't have to copy
every single connection. There is a great deal of repetition
and redundancy within any particular brain region. Although
the information contained in a human brain would require
thousands of trillions of bytes of information (on the order of
100 billion neurons times an average of 1,000 connections
per neuron, each with multiple neurotransmitter concentrations and connection data), the design of the brain is characterized by a human genome of only about a billion bytes.
Furthermore, most of the genome is redundant, so the initial
design of the brain is characterized by approximately one
hundred million bytes, about the size of Microsoft Word. Of
course, the complexity of our brains greatly increases as we
interact with the world (by a factor of more than ten million).
Because of the highly repetitive patterns found in each specif-

ic brain region, it is not necessary to capture each detail in

order to reverse engineer the significant digital-analog algorithms. With this information, we can design simulated nets
that operate similarly. There are already multiple efforts under way to scan the human brain and apply the insights derived to the design of intelligent machines.
These efficient simulations require about 1,000 times less
computation than the theoretical potential of the biological
neurons being simulated.
VII.

A THOUGHT EXPERIMENT

Let's consider the issue of just who I am, and who the new
Mohini is ,a little more carefully. First of all, am I the stuff in
my brain and body?
Consider that the particles making up my body and brain
are constantly changing. We are not at all permanent collections of particles. The cells in our bodies turn over at different
rates, but the particles (e.g., atoms and molecules) that comprise our cells are exchanged at a very rapid rate. I am just
not the same collection of particles that I was even a month
ago. It is the patterns of matter and energy that are semipermanent (that is, changing only gradually), but our actual
material content is changing constantly, and very quickly. We
are rather like the patterns that water makes in a stream. The
rushing water around a formation of rocks makes a particular, unique pattern. This pattern may remain relatively unchanged for hours, even years. Of course, the actual material
constituting the pattern-the water-is replaced in milliseconds.
The same is true for Mohini Singh. Like the water in a
stream, my particles are constantly changing, but the pattern
that people recognize as Mohini has a reasonable level of
continuity. This argues that we should not associate our fundamental identity with a specific set of particles, but rather
the pattern of matter and energy that we represent. Many
contemporary philosophers seem partial to this "identify from
pattern" argument. But (again) wait. If you were to scan my
brain and reinstantiate new Mohini while I was sleeping, I
would not necessarily even know about it (with the nanobots,
this will be a feasible scenario). If you then come to me, and
say, "good news, Mohini, we've successfully reinstantiated
your mind file, so we won't be needing your old brain anymore," I may suddenly realize the flaw in this "identity from
pattern" argument. I may wish new Mohini well, and realize
that she shares my "pattern," but I would nonetheless conclude that she's not me, because I'm still here. How could she
be me? After all, I would not necessarily know that she even
existed.
Let's consider another perplexing scenario. Suppose I replace a small number of biological neurons with functionally
equivalent non-biological ones (they may provide certain
benefits such as greater reliability and longevity, but that's
not relevant to this thought experiment). After I have this
procedure performed, am I still the same person? My friends
certainly think so. I still have the same self-deprecating humor, the same sweet grin--yes, I'm still the same gal.

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It should be clear where I'm going with this. Bit by bit, region
by region, I ultimately replace my entire brain with essentially identical (perhaps improved) non-biological equivalents
(preserving all of the neurotransmitter concentrations and
other details that represent my learning, skills, and memories). At each point, I feel the procedures were successful. At
each point, I feel that I am the same guy. After each procedure, I claim to be the same guy. My friends concur. There is
no old Mohini and new Mohini, just one Mohini, one that
never appears to fundamentally change.
But consider this. This gradual replacement of my brain with
a non-biological equivalent is essentially identical to the following sequence:
1.
2.

(i) scan Mohini and reinstantiate Mohini 's mind file into
new (nonbiological) Mohini, and, then

diverse realms of virtual reality, holo-graphically projected

bodies, physical bodies comprised of nanobot swarms, and
other forms of nanotechnology.
Our mind file-our personality, skills, memories-all of that
is lost today when our biological hardware crashes. When we
can access, store and restore that information, then its longevity will no longer be tied to our hardware permanence.
IX.

BRAINCOMPUTER INTERFACE (BCI)

A braincomputer interface (BCI), sometimes called a direct neural interface or a brainmachine interface, is a direct
communication pathway between a brain and an external
device. BCIs are often aimed at assisting, augmenting or repairing human cognitive or sensory-motor functions.
A. Animal BCI- Research

(ii) terminate old Mohini. But we concluded above that

in such a scenario new Mohini is not the same as old
Mohini. And if old Mohini is terminated, well then that's
the end of Mohini. So the gradual replacement scenario
essentially ends with the same result: New Mohini has
been created, and old Mohini has been destroyed, even if
we never saw her missing. So what appears to be the
continuing existence of just one Mohini is really the
creation of new Mohini and the termination of old Mohini.

On yet another hand (we're running out of philosophical

hands here), the gradual replacement scenario is not altogether different from what happens normally to our biological
selves, in that our particles are always rapidly being replaced.
VIII.

LIVING FOREVER

Once brain porting technology has been refined and fully

developed, will this enable us to live forever? The answer
depends on what we mean by living and dying. Consider
what we do today with our personal computer files. When we
change from one personal computer to a less obsolete model,
we don't throw all our files away; rather we copy them over to
the new hardware. Although our software files do not necessary continue their existence forever, the longevity of our
personal computer software is completely separate and disconnected from the hardware that it runs on. When it comes
to our personal mind file, however, when our human hardware crashes, the software of our lives dies with it. However,
this will not continue to be the case when we have the means
to store and restore the thousands of trillions of bytes of information represented in the pattern that we call our brains.
The longevity of one's mind file will not be dependent, therefore, on the continued viability of any particular hardware
medium. Ultimately software-based humans, albeit vastly
extended beyond the severe limitations of humans as we
know them today, will live out on the web, projecting bodies
whenever they need or want them, including virtual bodies in

Fig. 2 rats implanted with BCIs in Theodore Berger's experiments.

Several laboratories have managed to record signals from

monkey and rat cerebral cortices in order to operate BCIs to
carry out movement. Monkeys have navigated computer cursors on screen and commanded robotic arms to perform simple tasks simply by thinking about the task and without any
motor output. In May 2008 photographs that showed a monkey operating a robotic arm with its mind at the Pittsburgh
University Medical Center were published in a number of
well-known science journals and magazines. Other research
on cats has decoded visual signals.

Fig. 3 Monkey operating a robotic arm with braincomputer interfacing.

The biggest impediment of BCI technology at present is the

lack of a sensor modality that provides safe, accurate, and

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robust access to brain signals. It is conceivable or even likely

that such a sensor will be developed within the next twenty
years. The use of such a sensor should greatly expand the
range of communication functions that can be provided using
a BCI.

X. EEG
Electroencephalography (EEG) is the most studied potential non-invasive interface, mainly due to its fine temporal
resolution, ease of use, portability and low set-up cost.

B. Human BCI Research

1) Invasive BCIs: Invasive BCI research has targeted
repairing damaged sight and providing new functionality to
persons with paralysis. Invasive BCIs are implanted directly
into the grey matter of the brain during neurosurgery. As they
rest in the grey matter, invasive devices produce the highest
quality signals of BCI devices but are prone to scar-tissue
build-up, causing the signal to become weaker or even lost as
the body reacts to a foreign object in the brain.
Fig. 5 Recordings of brainwaves produced by an electroencephalogram.

XI. MEG & MRI

Magnetoencephalography(MEG) and functional magnetic
resonance imaging (fMRI) have both been used successfully
as non-invasive BCIs. In a widely reported experiment, fMRI
allowed two users being scanned to play Pong in real-time by
altering their haemodynamic response or brain blood flow
through biofeedback techniques.
XII. CONCLUSION
F
Fig. 4 Dummy unit illustrating the design of a Brain-Gate interface.

2) Partially-Invasive BCIs: Partially invasive BCI devices are implanted inside the skull but rest outside the brain
rather than within the grey matter. They produce better resolution signals than non-invasive BCIs where the bone tissue
of the cranium deflects and deforms signals and have a lower
risk of forming scar-tissue in the brain than fully-invasive
BCIs.
Electrocorticography (ECoG) measures the electrical activity
of the brain taken from beneath the skull in a similar way to
non-invasive electroencephalography, but the electrodes are
embedded in a thin plastic pad that is placed above the cortex, beneath the dura matter.
3) Non-Invasive BCIs: As well as invasive experiments,
there have also been experiments in humans using noninvasive neuroimaging technologies as interfaces. Signals
recorded in this way have been used to power muscle implants and restore partial movement in an experimental volunteer. Although they are easy to wear, non-invasive implants produce poor signal resolution because the skull dampens signals, dispersing and blurring the electromagnetic
waves created by the neurons. Although the waves can still be
detected it is more difficult to determine the area of the brain
that created them or the actions of individual neurons.

We will transcend death and that natural cycle. We are not

just grapes on the wine-we are overcoming that natural
process that we emerged from .Yes, we came from nature, but
we are going to surpass it through the power of our technology, which comes from our mind.
We will reverse-engineer the human brain not simply because it is our destiny, but because there is valuable information to be found there that will provide insights in building
more intelligent(and more valuable) machines.
Critics say-Science &Technology would give man, the
power, fit to be the God yet he would not as by vagaries of his
mind, lust for becoming almighty, he would put the world at
the threshold of ruin. Such inventions can ruin every fabric of
morality, ethics &the civilization.
Thus, so long as science & technology are used as a servant
for good purposes in a creative way, they will be as faithful as
a dog to a man. But on the contrary, if man becomes a slave
of machines produced by scientific technologies without any
sense following ethics just for comforts & pleasure, science
will become Frankenstein monster prone to the destruction of
the creator, modern development, civilization & human
world.
Today, most of these technologies are just a dream. A
dream, about which if we talk about its coming into reality,
perhaps many would laugh. They will not believe in it. But
today whatever the wonders of technology we are watching,

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were once in the form of a simple dream & dreams only inspired human to convert them into reality.
X.

ACKNOWLEDGMENT

The completion of any research depends upon cooperation,

coordination and combined effects of several resources of
knowledge, energy and time.
Mother nature incessantly remained the source of inspiration
for me.
I would also like to express my deepest sense of gratitude
to my parents who always helped and supported me with their
good wishes and blessings.
The author gratefully acknowledges the contributions of
Mr. Raymond Kurzveil for his work on the original version of
this document.
Lastly, I would like to express my profound thanks to all
those individuals who have made innumerable contribution to
the completion of this research work.
REFERENCES
[1] Raymond Kurzveil, The Singularity is Near, Penguin Group Publications.
[2] Neural Networks, Clifford Lau, IEEE PRESS
[3] YouTube - Ray Kurzweil (pt1of3) The Singularity
Summit at Stanford

791

Optimization of Cutting Parameters of Lathe

Machine by Using Design of Experiment
Mohit Singhal and Dhananjay Pradhan

Abstract- Plane turning on Lathe Machine is a recognized

production method for machining of various materials like mild
steel. Keeping all other parameters same, the work material was
machined with the different values of turning speed, depth of
cut and feed rate according to 23 full factorial designs. It has
been found in terms of these parameters the material removal
rate (g/min) and surface finish (m) varies widely. At the same
time, relative tool wear also changes which results in better
accuracy and trueness of the machined profiles because the
replica of work piece can be made with much exactness. Using
these various readings of the defined parameters a
mathematical model is generated using Design of Experiment
(D.O.E.) and ANOVA so that it can be used for giving optimum
working parameters for different work pieces on the same
machine.

Index Terms-- ANOVA, Lathe Machine, Design of

Experiment (D.O.E.), Material Removal Rate (MRR), Surface
Roughness, Turning process.

I. INTRODUCTION

ODAY, it has been recognized that conditions during

cutting, such as feed rate , cutting speed and depth of
cut[3], should be selected to optimize the economics of
machining operations, as assessed by productivity, total
manufacturing cost. Turning is the process used to produce
cylindrical components on a lathe. It can be done manually or
using a CNC lathe machine. In turning, a cylindrical piece of
material is rotated and a cutting tool is transferred along two
axis of motion to produce precise diameter and depths.
Turning can be either on the outside of the cylinder or on the
inside (also known as boring) to produce tubular components
to various geometries.
Turing can be defined as the machining of an external surface
of the rotating work piece, with a single-point cutting tool,
and with the cutting tool feed will remove the outer surface of
the work.[2]
Adjustable parameters are such as cutting speed (revolution

per minutes (rpm)), feed rate (rev/min) and depth of cut

(mm).

FIG. 1 BASIC TURNING OPERATION

II. THEORY
Lathe Machine used in manufacturing can be classified as
engine, turret, automatics and numerical controls etc.
A. Surface Roughness
Every machining operation leaves some characteristics on
machined surface. These characteristics in the form of finely
spaced micro irregularities left by cutting tool. This pattern is
known as surface finish or surface roughness. It describes the
geometry of the machined surfaces and combined with the
surface texture. Surface roughness can be divided into two
parts such as [4]
1 ) Ideal Roughness: Ideal surface is a function of only
feed and geometry. It represent the best possible finish
which can be obtained for a given tool shape and feed. It
can be achieved only if the built up edge, chatter and
inaccuracies in machine tool moments are eliminated
completely.
2 ) Natural Roughness: In practice, it is not possible to
Achieve the ideal roughness. One of the main factors
contributing to natural roughness is the occurrence of
built-up-edge. Thus, the larger the built-up-edge, the

Mohit Singhal is with the Department of Mechanical Engineering, Krishna

Engineering college, Mohan Nagar, Ghaziabad, Uttar Pradesh-201007, India (email: mohitsinghal25@gmail.com).
Dhananjay Pradhan is with the Department of Mechanical Engineering,
Krishna Engineering College, Uttar Pradesh-211004, India (e-mail:
djay_p@yahoo.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

792

rougher would be the surface produced.

Fig.2 Surface Roughness Profile

B. Response Surface Methodology
In statistics, response surface methodology (RSM) explores
the relationship between several explanatory variables and
one or more response variables. The method was introduced
by G.E.P. Box and K.B. Wilson in 1951. [1]
1) Response surface methodology is a collection of
statistical and mathematical techniques useful for
developing, improving and optimizing process.
2) Consider a process where the response variable
(output)Y depends on the controllable (input)
variables X1,X2, ....Xk. the relationship is:
Y= f(X1, X2.....Xk)
3) In RSM, the true relationship between Y and the
independent variables is generally approximated
by the lower-order polynomial models such as:
Y= 0+ 1X1+ 2X2+ 3X3+ 4X1X2+ 5X1X3+
6X2X3+
Here, the s are the unknown parameters. And
refers to error.
III. THEORETICAL BACKGROUND
A designed experiment is a test or a series of tests in which
purposeful changes are made to the input variables of a
process so that we may observe and identify corresponding
change in the output response. The output product has one or
more observable quality characteristics or responses. Some of
the process variables X1, X2......Xp are controllable, while
others Z1, Z2 ...Zq are uncontrollable. Sometimes these
uncontrollable factors are called noise factors. [6, 7]

Fig. 3 Basic Systematic Diagram

The objective of the experiment may include:
1) Determining which variables are most influential on the
response Y.
2) Determining where to set the Xs so that Y is near
nominal requirement.
3) Determining where to set the influential Xs so that the
variability in Y is small.
4) Determining where to set the influential Xs so that the
effect of uncontrollable variables Z are minimized.
Thus experimental design may be used either in process
development or process troubleshooting to improve process

performance or to obtain a process that is robust or insensitive

to external sources of variability.
Experiment design method also used to identify the input
control variables which result in variation of readings.
Application of Experiment design method is also used in:
1. Improving the productivity
2. Reducing production time
3. Cost effective
Previously published studies show the tendency of seeks effect
of cutting conditions on surface roughness. A vast number of
experiments were conducted on RSM and another method.
Bouacha et al. studied the effect of cutting factors (cutting
speed, feed rate and depth of cut) on AISI52100 hardened
steel by using RSM. Kin and Chincholkar conducted an
experiment on cutting factors and nose radius on Reinforced
polymer. Cakin et al. conducted another study on cutting
factors on AISI P20 cold work tool steel by using RSM.
Horng et al. used cutting factor and tool nose radius on hard
field steel. Lalwani et al. studied the effects of cutting
parameters in turning on cutting forces and surface
roughness. Sahin and Motorcu used cutting factors effects on
AISI1050 hardened steel. Davidran et al. used cutting speed,
feed rate, and coolant for study. Yang and Tarng studied on
optimal cutting parameters using Taguchi method in turning.
Oktem et al. used cutting speed, feed rate, axial depth of cut,
radial depth of cut, machining tolerance on aluminum (7075T6). Noordin et al. used cutting speed, feed rate, and side
cutting edge angle AISI 1045 steel for study [8].
IV. APPARATUS AND METHOD
A. Material
Mild steel is most commonly used metal in industries
thats why it was chosen as the work piece material. Mild
steel composition was
carbon (0.23%), silicon (0.40%),
manganese (1.50%), phosphorous (0.050%), sulphur (0.050).
B. Cutting conditions and machine specification
First of all mild steel rod is cut and ground for removing
initial rust and dust present on it. After grinding operation
diameter, length and weight were being measured. Selection
of mild steel level is taken according to 2k factorial design in
which 2 implies number of levels where k=3 implies number
of factors (parameters such as cutting speed, depth of cut and
feed rate) included. Lathe machine has used three pulley
speeds which were 464, 562 and 673 rpm respectively
tachometer. Now, first and final readings were taken as low
and high values that are going to be fed in calculation table.
The feed was taken as 12.5 and 25rev/min as per convenience
which implies the low and high levels of the feed. The Depth
of cut value has taken as 0.75mm to 1.5mm.

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TABLE I
MILD STEEL PROPERTIES AT ROOM TEMPERATURE

Tensile Strength

410 N/mm2

Yield Stress

250 N/mm2

Elongation

23 %

Density (g/cm)

7.86 g/cm3

Block on replicates
Observations
Responses

TABLE 2
OBERVATION FOR READINGS

-1

-1

-1

-1

-1

-1

-1

-1

-1

-1

-1

-1

:
:
:

NO
8
2

Here, three factors are cutting speed, feed and depth of cut.
Replicates mean the sample size which is equal to 1.
Responses are equal to 2 i.e. MRR and the surface roughness.
b) Factors Properties:
Factors
A
B
C

Name
Low Level
Speed (rpm) 464
Feed (rev/min) 12.5
Depth (mm) 0.75

High Level
673
25
1.5

TABLE 3
FACTORS OBSERVATION

TABLE 4
ANOVA

Where A signifies cutting speed (rpm), B signifies feed

(mm/rev) and C signifies Depth of cut (mm).

S
=
R-sq
=
R-sq(adj.) =

6.8405
99.96%
99.69%

The R Squared (R2) is defined as the ratio of variability

explained by the model to the total variability in the actual
data and is used as a measure of the goodness of fit. The more
R2 approaches unity, the better the model fits the
experimental data. For instance, the obtained value of 0.9969
for R2 implies that the model explains approximately 99.6%
of the variability or 99.69% the model is approximated to
optimal. Also the calculated values of R2 confirm that the
relationships between the independent factors and responses
can adequately be explained by models.
1) Terms selected to be in the model:

Fig.4 Surface Roughness Tester Machine

V. OBSERVATION
A. Calculation for MRR
a) Initial Design Information:
Factors
:
Blocks
:
Center point per block :
Replicates
:

3
1
0
1

Main Effects
A, B, C
2-Way Interaction
AB, AC, BC
As previously described, what are A, B & C and AB, BC and
AC signifies the interaction between this input parameters as
the model to be generated has to be a 2- way interaction
model. Interactions cannot be neglected with these
parameters since these values significantly affect each other.

794

TABLE 5
REGRESSION

With the help of this table we can predict that the interaction
between the depth of cut and the feed will not affect the MRR
significantly since the p-value generated is more than 0.1
VI. PLOTS

The effect shows the effect of individual input parameters as

well as the effect of interactions on the response function i.e.
MRR. The column showing the Coefficient terms are to be
added as per the p-values. The ultimate mathematical model
which is going to be generated will contain these co-efficient
terms. The p-values here show (1-p) % effect of the
corresponding parameter on the response function i.e. smaller
the p-value(less than 0.1), higher will be the effect on the
output function. So, with the help of this table we can predict
that the interaction between the cutting speed and the feed
will not affect the MRR significantly.

A. Main Plots
In the first plot for MRR, individual effect of parameters is
shown on the MRR on a single graph. Red line is showing the
mean speed line, green line shows the mean feed line and
mean depth of cut is shown by the magenta line. These
parameters are varied between -1 to +1 level which are
nothing but the low and high values. On the y-axis, MRRs
variation is shown by the variation in the parameters.
Similar case is with the surface roughness, the variation of
surface roughness with the mean values of these individual
are shown in Fig. 5

B. Calculation for Surface Roughness

TABLE 6
ANOVA

S=0.0138
R-Sq= 99.99%
R-Sq= 99.96%
The R Squared (R2) is defined as the ratio of variability
explained by the model to the total variability in the actual
data and is used as a measure of the goodness of fit. The more
R2 approaches unity, the better the model fits the
experimental data. For instance, the obtained value of 0.9996
for R2 implies that the model explains approximately 99.6%
of the variability or 99.96% the model is approximated to
optimal.
Fig. 5 Main Plots
TABLE 7
REGRESSION

B. Interaction Plots
1) Material Removal Rate:
Interaction plot is shown here. Red line is showing the
mean feed line at low level i.e. 12.5 mm/rev. And the
green line is showing the mean feed line at high level i.e.
25mm/rev. It feed is made constant and the cutting speed
795

is varied between low to high values, the corresponding

effect on the MRR.

Fig.7.a Interaction Matrix for MRR

2) Surface Roughness

Fig.6.a Interaction Plot

2) Surface Roughness:
Similarly, the interaction effect is shown on the surface
roughness.

Fig.7.b Interaction Matrix for Surface Roughness

VII. RESULTS
The mathematical model generated for both the material
removal rate and the surface roughness can be given as
follows:
A. Mathematical Model for MRR
The final equation for MRR in terms of the actual parameter
values is:
MRR=522.0377+56.8635A+79.95B+46.8+95C29.8732AC+18.1367BC
(Where, MRR is in mm3/min; A is in rpm; B is in mm/min
and C is in mm.)
B. Mathematical Model for Surface Roughness

Fig.6.b Interaction Plot

C. Interaction Matrix
Since, there are six possible combinations for the interactions
between three parameters. These effects are plotted on a
single matrix. These are basically six individual plots shown
together. Here, interaction matrix for both MRR and the
surface roughness is shown in Fig. 6
1) MRR:

The final regression equation for MRR in terms of the actual

parameter values is:
Ra=8.0326+0.5686A+0.0951B+0.2564C0.0439AB+0.0549AC
(Where, Surface Roughness is in m; A is in rpm; B is in
mm/min; and C is in mm.)
VIII. CONCLUSION
In the present work, 2k factorial design is used based on
ANOVA (analysis of variance) is used to optimize the cutting
parameters of Surface Roughness and MRR in turning. The
following conclusion can be drawn based on result
A. The word Optimization implies that determination of
best levels of controllable variables that nullify the
effect of uncontrollable variables.
B. 2k factorial design method is suitable to analyze the
surface roughness and the MRR problem as described
in this work.
C. It shows that depth of cut and speed are more important
parameters among three controllable factors (cutting
speed, feed rate and depth of cut).

796

D. The percentage contribution of cutting speed, feed rate

and depth of cut are 14.8915, 30.1139 and 52.5436
respectively.
E. In rate (12.5mm/rev.) and high depth of cut (0.75mm)
are recommended to obtain better surface roughness
for the specific test range.turning, use of low cutting
speed (464 rpm), high feed
IX. ACKNOWLEDGEMENT
I am highly thankful to Prof.A.K. Moudgil, Head,
Mechanical for his motivation and Prof. T. Ramanujam,
Director K.E.C. for his support
X. REFERENCES
[1] Statistical Quality Control by Dougles C. Montgomery, Pg 474-584(Pearson
publication)
[2] Bhattacharya A, Faria-Gonzalez R,Inyong H 1970 Regression analysis for
predicting surface finish and its application in the determination of optimum
maching conditions. Trans. Am. Soc. Mech. Eng. 92:711
[3] Brewer R C, Rueda R 1963 A simplified approach to the optimum selection
of machining parameters. Eng.Dig.24 (9):133-150
[4] El Baradie M A 1993 Surface roughness model for turning grey cast iron
(154 BHN), Proc.inst. Mech. Eng. 207: 43-50
[5] Gopalkrishnan B, Khayyal F A 1991 Machine parameter selection for
turning with constraints: An analytical approach based on geometric
programming. Int. J. Prod. Res. 29: 1897-1908
[6] Hassan GA, Suliman SMA1990 Experimental modeling and optimization of
turning medium carbon steel. Int. J. Prod. Res. 28: 1057-1065
[7] Hinduja S, Petty D J, Tester M, Barrow G 1985 Calculation of optimum
cutting conditions for turning operations. Proc. Inst. Mech. Eng. 199(B2): 81-92
[8] Neseli S, Yeldiz S, Turkes E, Optimization of tool geometry parameters for
turning operations based on the response surface metholody, Measurement
44(2011)580-587.

797

Facial Analysis for the Scope of the

Recognition using Half Face
Qaim Mehdi Rizvi1, Aftab Haider Rizvi2, Hasan Ahmad3
SRMCEM Lucknow, India, 2Manipal University Dubai, United Arab Emirates, 3Sahara Next
Lucknow, India
1
sirqaim@gmail.com, 2aftab@mahedubai.com,3hasansinbox@gmail.com

Abstract The prime objective of pattern recognition is

supervised or unsupervised classification. There are various
frameworks in which pattern recognition has been traditionally
formulated, the statistical approach has been most intensively
studied and used in practice. In human face, the left part of the
face and the right part of the face have tremendous similarity.
In this paper, this similarity we have proved through various
statistical observations. Finally we found that due to heavy
correlation, we can use only one part of the face for face
recognition algorithms and it will give a tremendous pace in face
recognition process.

graphs are available for the pictorial comparison on the

Cropped Yale database. At last section-6 concludes the paper
with some solid results.
II.
BACKGROUND KNOWLEDGE
As seen in Figure-1, face images in observation set
(whose the angle between light source direction and the
camera axis is absolutely constant) is divided into the left
face image (the left for short) and the right face image (the
right for short) and then reconstructed face from the left data
matrix. Any type of image editing scheme, even pixel
normalization has not be done on images. The main reason is
that we like to provide natural environment for face images.
After fulfilling the image analysis process, the left and right
features of each face image in observation set are extracted
respectively, and stored in image matrix for further
processing. The image matrix is constructed through the pixel
value of respective images.

Keywords Localization, Face Recognition, Face Database,

Variance, Entropy.

I.
INTRODUCTION
Over the recent years, the man-machine interaction
system has increased, significantly. So, the face recognition
attracted much attention in recent years. There are several
techniques are available for face recognition. Component
based face recognition [3], Eigen faces [8], Fisher faces [10],
Markov Random Fields [13], Fractal approach [4] are some
of them. One of the most crucial steps of automatic face
recognition systems is the extraction of facial features, which
attempt to find the most appropriate features for feature
classification [1]. The variations between the images of the
same face due to illumination and viewing direction are
almost always larger than the image variations due to a
change in face identity [14]. Extrinsic factors, including
eyeglasses, hairstyle, expression, posture and environmental
lighting, which make distributions of face data highly
complex [6, 9, 7], should be minimized for reliable face
recognition. To achieve reliable results, face recognition
should be performed based on intrinsic factors of the face
only and reflectance of the facial surface. If the left and right
face part are same, only one part of the face is sufficient for
the facial studies [12]. It will impact the overall processing
speed of the recognition system.
In this paper, we studied the facial images through
statistical approaches for finding the sharp similarities of the
two different parts of the same face images. For our study
and computational processes we used the Cropped Yale
database [5]. The results show positive results to use only
half of the part of the same face for recognition.
This paper is organized as follows: section-2 provides
the technical review and the background knowledge. Section3 shows the statistical process for illustrates the similarity
between two parts of faces. Section-4 has the various
computation data in tabular form. In section-5 the different

FIGURE 1. ORIGINAL FACE AND RECONSTRUCTED FACE

III.
PROCESS CONCEPT
The left and right part of the face is treated just like a set
of data. Through statistical technique, we tried to establish
the relation between these two set of data through linear
regression [15, 11]. The linear equation that represents the
simple linear regression model is:
Yi = 0+1Xi+i
Where Yi is value of dependent variable in the ith
observation. 0 is the first parameter of regression equation
which indicates the value of Y when X=0 and 1 is the
second parameter of regression equation which indicates the
slope of the regression line. Xi is the specified value of the
independent variable in the ith observation. The i is the
random-sampling error in the ith observation.

978-1-4673-0455-9/12/$31.00 2012 IEEE

798

Now the 0 and 1 was calculated by the values b0 and b1

that are based on the sample data of the face matrix. Thus the
linear regression equation based on sample data that is used
to estimate a single value of dependent variable is:

observations on Yale faces. The observational results are

satisfactory and favorable. The observational Table-2 is
containing mean, median, mode and Table-3 is containing
standard deviation, variance and entropy. Finally Table-4 has
some sample Yale faces and Table-5 contains their respective
reconstructed faces through the linear equation by obtaining
the data. We constructed left face with the help of right face
and vice versa. The Table-5 contains a comparative list of
Yale database. In this table, five faces are there in the first
row. In the second and third row; face constructed through
right face data and face constructed through left face data is
there. So, these tables can easily provide a comparative
analysis about our approach.

= b0+b1X
The computational formulas by which the values of b0 and
b1 in the regression equation can be determined for the
equation which satisfies the least-squares criterion are:
b1 = (

2)

TABLE-2

After estimating the value of dependent variable, we drew the

complete face which is illustrated in Figure-1. However we
avoid the value of i still we found the fine results.
Finally we used the well known Shannon Entropy formula [2]
for comparing the both (left and right) part of the face. The
formula is given below:
H = pi log (1/pi) = -pi log (pi)
A probability distribution of gray values can be estimated by
counting the number of times each gray value occurs in the
image and dividing those numbers by the total number of
occurrences. An image consisting of a single intensity will
have a low entropy value; it contains very little information.
A high entropy value will be yielded by an image, which has
much different intensity. In this manner, the Shannon entropy
is also a measure of dispersion of a probability distribution. A
distribution with a single sharp peak corresponds to a low
entropy value, whereas a dispersed distribution yields a high
entropy value.
IV.
EXPERIMENTAL RESULTS
However we perform many statistical operations on left and
right face of Yale database, first of all we present the tabular
data of each 38 models of Yale database. These results show
that what a strong relation is exist in between left and right
face data of a person. The Table-1 shows the correlation
coefficient of Yale database faces:

TABLE-3

TABLE-1
CORRELATION COEFFICIENT OF Y ALE FACES

The above table shows that the left part and the right part of
the face have very strong relation and through one part of the
face, we can build the complete face. Many works have been
done in favor of the recognition through the half part of the
human face [9]. For the reliability of the correlation between
two parts of the face, we perform various statistical

799

CHART-3

TABLE-4

STANDARD DEVIATION OF YALE FACES

CHART-4
TABLE-5

VARIANCE OF YALE FACES

VI.
CONCLUSION
In this paper, we examine the left part and the right part of
the face from Yale face database through various statistical
computational methods. After different level of observations
and computational processes, we found the strong similarity
between the left face part and the right face part. Finally to
get strong decision about our observations, we compare the
entropy of each face part and again we found very strong
relation between both parts of the faces. So, we can say that
only one part of the face is sufficient for the face recognition.

TABLE-6

VII.
REFERENCES
[1] Cunjian Chen, Jiashu Zhang, Wavelet Energy Entropy as
a New Feature Extractor for Face Recognition, 4th
International Conference on Image and Graphics, pp 616619, 2007.
[2] E. Loutas, I.Pitas, and C.Nikou, Probabilistic Multiple
Face Detection and Tracking Using Entropy Measures, IEEE
Trans. on Circuits and Systems for Video Technology, VOL.
14, NO. 1, Jan. 2004.
[3] E. Osuna: Support Vector Machines: Training and
Applications. PhD thesis, MIT, Department of Electrical
Engineering and Computer Science, Cambridge, 1998.
[4] Eui-Young Cha, Jae-Hyun Cho, Chul-Woo Park, KwangBaek Kim: Image Recognition using Fractal Parameters,IEEE
International Joint Conference on Digital Object Identifier,
pp 1883-1888, 1998.
[5] K.C. Lee and J. Ho and D. Kriegman. Acquiring Linear
Subspaces for Face Recognition under Variable Lighting.
IEEE Trans. Pattern Anal. Mach. Intelligence, 27(5), pp 684698, 2005.
[6] M. Bichsel and A. P. Pentland, Human Face Recognition
and the Face Image Sets Topology, CVGIP: Image
Understanding, vol. 59, pp -254-261, 1994.
[7] M. Turk, A Random Walk through Eigenspace, IEICE
Trans. Information and Systems, vol. 84, no. 12, pp 15861695, Dec. 2001.
[8] M. Turk and A. Pentland, Face Recognition Using
Eigenfaces, Proc. IEEE Conf. on Computer Vision and
Pattern Recognition, pp. 586-591, 1991.

V.
COMPARISON CHARTS
Throughout the complete experiment, we found different
types of results which are shown in various tables in previous
section. In this section, we present some graphs which
provide the more strong reality about our observations.
CHART-1
CORRELATION COEFFICIENT OF Y ALE FACES

CHART-2
ENTROPY OF Y ALE FACES

800

[12] Shidu Dong, Bo He, Qun Jiang, Huaqiu Wang,

Tongyuan Huang. A Half Face Recognition Scheme, IEEE
Computer Society, pp 355-358, 2007.
[13] W. Freeman, E. Pasztor, and O. Carmichael. Learning
low-level vision. IJCV, 40(1), 2000.
[14] Y. Adini, Y. Moses, S. Ullman, Face recognition: The
problem of compensating for changes in illumination
direction. IEEE Trans. Pattern Anal. Machine Intell, 19 (7):
pp 721732, 1997.
[15] Zhi-Zhong Wang and Jun-Hai Yong, Texture Analysis
and Classification with Linear Regression Model Based on
Wavelet Transform, IEEE Transactions on Image Processing,
Vol. 17, No. 8, pp 1421-1430, August 2008.

[9] P.Y. Simard, Y. A. L. Cun, J. S. Denker and B. Victorri,

Transformation Invariance in Pattern Recognition-Tangent
Distance and Tangent Propagation, Neural Networks: Tricks
of the Trade, pp 239-274, 1998.
[10] R.A. Fisher, The Use of Multiple Measures in
Taxonomic Problems, Ann. Eugenics, vol. 7, pp. 179-188,
1936.
[11] Rong Jin, Luo Si, Shireesh Srivastava, Zheng Li, and
Christina Chan, A Knowledge Driven Regression Model for
Gene Expression and Microarray Analysis, 28th IEEE EMBS
Annual International Conference, pp 5326-5329, September
2006.

801

An Adaptive Image Retrieval System with

Relevance Feedback and Clustering
Arpit Saxena,

Ratnesh Prasad Srivastava

G.B.P.U.A&T., Pantnagar ,India

G.B.P.U.A.&T., Pantnagar,India

ITM Bhilwara,India

arpit.saxena16@gmail.com

write2ratnesh@gmail.com

alka23apr@gmail.com

Abstract -- The objective for this paper is to develop an adaptive

image retrieval system with an innovative approach to use
artificial neural networks and clustering techniques to retrieve
images similar to the input image. This paper involves retrieving
images from huge image databases which are visually similar to a
query image. Due to the enormous increase in image database
size, and its high usage in a variety of applications, need for the
development of Content Based Image Retrieval arose. It
summarizes the problem, the proposed solution, and the desired
results. The system uses neural networks, relevance feedback and
clustering. The system is made intelligent by making the system
learn the users preference as feedback. The relevance feedback
is used to improve the precision of the system by analysing users
relevance feedback for each retrieved image while neural
network and clustering techniques are used to reduce the time
complexity of the system. The system uses three-layered neural
network to train the system using image clusters as training
dataset by a supervised approach. Also after taking the feedback
from the user, the image clusters are re-clustered by rearranging
the images after a successful retrieval. Given a user query as an
image, the neural system retrieves related images by computing
similarities with images in the given image clusters. To provide
preference, from all the retrieved images user selects an image as
relevant one and all other are hence treated as irrelevant ones.
So, the rank of the selected image is increased while the ranks of
other images are decreased. With this feedback, the system
refinement method estimates global approximations and adjusts
the similarity probabilities.
Index Terms-- Artificial neural networks, clustering techniques,
CBIR System, relevance feedback, GLCM Structure, Heuristic
Algorithm .

I. Introduction
Image retrieval has been an active area of research since
decades but it was always restricted by the limited resources
such as processing power and storage. Content Based Image
Retrieval (CBIR) is a multidisciplinary domain closely related
to various computer science and research fields such as
Databases, Artificial Intelligence, Image Processing,
Statistics, Pattern Recognition, Computer Vision, High
Performance Computing and Human Computer Interaction.
In the last few years, there has been a lot of effort made in
the development of CBIR systems. The availability of large
amount of visual data on the web underlines the need to
create retrieval systems that offer precise and quick retrieval
of desired images from the image database that meet the user
978-1-4673-0455-9/12/$31.00 2012 IEEE
802

Alka Srivastava

requirements. Earlier due to technological limitations, the

quick retrieval of desired images was not possible. The recent
developments in processing capabilities, digital and
networking have facilitated us to develop fast and efficient
CBIR systems. Novel techniques have been proposed to
retrieve images by their visual content. Also efforts are going
on to incorporate learning techniques in these systems. Many
image retrieval systems (both commercial and research) have
been developed using these novel techniques .
The existing methods of image indexing and text
annotation are insufficient for retrieving images based on their
visual contents. A lot of research is going on to develop CBIR
systems that can retrieve visually similar images based on
their visual features or the contents of the image. Hence, there
is a lot of scope for the development of such CBIR systems
using visual features.
But there are difficulties in the path such as
development of efficient visual feature extracting algorithms
and high processing power for retrieval from a huge image
database. Hence the trouble directs us to the way of handling
huge image database and focusing on newer and better
algorithms of fast and efficient search.
II. Related work
The aim of CBIR systems is to use the visual content of the
image to search and retrieve visually similar images from an
image database. These image features can be low-level
information such as the color, texture and shape. It can be
statistical values such as principle components etc.
A. Content-Based Image Retrieval: Various approaches and
methodologies are proposed in research papers but there are
mainly two basic steps in the CBIR systems. These are:
1. Feature Extraction: The first step is the extraction of image
features
2. Matching: The second step involves matching those
extracted features with features of existing images to retrieve
visually similar images.
CBIR Architecture
Fig. 2.1 shows the basic architecture of a CBIR system. In
short, when a user inputs a query image, the features of that
query image are extracted and are compared against the precalculated features of images in the image database. The
similar images are retrieved and displayed on the user screen.

common measure for finding image similarity is color

distance
[3].
Two
images
can
be
compared by measuring the difference in the
frequency of colors between them using some
suitable color distance function. Several distance
functions can be used for image comparison for
example,
Quadratic
distance
algorithm,
Minkowski
distance
(Euclidean
distance)
algorithm
etc.
Approaches
for
texture
features
include
the
calculation of co-occurrence matrix of the image
from which we can find texture features such as:
correlation,
energy,
contrast,
homogeneity,
entropy
etc.

B. Query Methods:
Queries in the CBIR system are
usually given by inputting a sample image or images.
Its generally called Query-By-Example approach.The image
retrieval
may
also
start
with
a
browsing
stage. The system first selects some random images
from the database and displays it to the user then the user
searches for suitable image as a query image to
start with. The retrieved images are usually displayed
to the user as thumbnails. And on user click or
selection the full image can be displayed to the user.
1. Queries:- Query from the user initiates the
execution of the CBIR system. Generally, queries in
the CBIR system can be of two types:
1.1 Image-Based Query: In image based query, user
inputs an image to retrieve similar images from the
database.
1.2 Text-based Query: In text based query, user
inputs text as the query and using those keywords, the
similar images are retrieved.
C. Human Perception :-Another issue in CBIR systems is the
human perception of contents in the images. Different people
can
have
different
perception for a single image and, hence, can drastically
affect the efficiency of the system. A CBIR system should hence
adapt itself according to the user needs. Learning tools can be
implemented to make a CBIR system learn. To make the system
learn from users feedback, relevance feedback can be used.
Statistics of users clicks can be used in ranking of images according
to user preference.
D. Image Similarity:While similarity of images
can be found using low-level features such as color,
texture and shape, there are certain other approaches
for image similarity such as wavelet, principle
component etc. There are various algorithms and approaches
describes
in
research
papers
using
these
features. But image similarity depends highly on
the users preference. If user gives high weight-age to
texture and shape than those features should be given
higher priority than other features such as color,
brightness etc. Algorithms of image similarity should
be developed keeping the high priority features in mind. A

803

E. Relevance Feedback:Current CBIR systems may not

always give accurate results every time.
The CBIR system may not
always
retrieve the
desired images in their first retrieval; the image
query thus becomes an iterative process moving
towards the desired images.
This iterative process
can be very useful in determining the desired
similar images. To implement relevance feedback
,usually
weights
are
assigned
to
different
query terms and to the items in the database.
F. Extracting Image Features:- Feature is the information
in an image relevant for solving a task.
More
specifically
Image
features
refer
to
characteristics of an image which describe its
contents.
These features can be low-level information
such as the color, texture and shape or it can be highlevel information such as wavelets [5]. It can be
statistical values such as principle components etc.
These features are extracted from the image using
feature extraction algorithms.
These are:

Principal components analysis

Partial least squares

Semi-definite embedding

Iso-map

Kernel PCA

Multifactor dimensionality reduction

Nonlinear
dimensionality
reduction

Latent semantic analysis

F. Texture Categorization techniques: - There are three main
approaches to describe the texture present in an image. They are
statistical, structural and spectral.
1. Statistical techniques describe texture present in an image
using the statistical properties of the grey level values of the
pixels of the image. Usually, these properties are computed
using the grey level co-occurrence matrix.
2. Structural techniques describe textures as being made of
simple primitive structures called texels (or texture
elements). These are arranged regularly in an image according
to some surface arrangement rules. The Structural techniques
are highly effective when applied to those images having
textures that are very regular.
3. Spectral techniques are based on properties of Fourier
spectrum and represents global periodicity of the grey level
pixel values of a surface by identifying high-energy peaks in
the Fourier spectrum of the image. Co-occurrence matrices,
shift invariant principal component analysis (SPCA).

III. Methodology
A. Artificial Neural Network for Image Retrieval:Artificial Neural Network (ANN) is a network constructed
using a basic processing unit called "neuron". Each neuron has
a weight assigned to it and can do some simple operations
such as thresh-holding using a function such as tan-sigmoid
function, linear function etc. It takes an input performs a
simple operation and gives an output. It has various
applications. It can be used as a learning tool, classifier etc.
The learning process of the network is a series of steps
wherein the weights are changed to achieve a given
performance criterion. The learning methods of ANN are
supervised learning and unsupervised learning. In the training
phase of supervised learning, both the input data and the
desired output are given to the network. If the output of the
network differs from the desired output, the internal weights
of the network are adjusted. In unsupervised learning, only the
input vectors are given the network and the network creates
abstractions in the input space.

Figure 3.1Architecture of Neural Network

Some common architectures of neural networks are feed-back,
feed-forward, and self-organizing neural networks. Feedforward networks, such as the multi-layer perceptron (MLP)
network, are built by successive layers of neurons through
which the input propagates to give the output by the layer of
the network. In feed-back networks , a fraction of the
output is given back to the input layers of the network. In
selforganizing map or competitive-learning networks, Neurons in
all the layers receive identical input and they compete with
their responses to the input. Self-Organizing Map (SOM)
introduced by Kohonen is widely used unsupervised
neural
network learning algorithm while back-propagation algorithm
is widely used supervised neural network learning algorithm.
B. Back Propagation learning algorithm:-Back propagation is a common method of teaching an ANN how to perform a
given task. It is a learning algorithm which is supervised. In the
training process, it calculates the difference in desired
output and the actual output. And depending on the difference
calculated, it changes the weights assigned to the neurons such
that the error is reduced at the next iteration. This process is
repeated till the actual output is acceptable as the desired
output. Summary of the technique:

804

1. Input a training sample to the neural network.

2. Compare the ANN's output to the desired output and
calculate the error in each output neuron.
3. For every neuron, calculate what the output should be, and
a scaling factor, how much higher or lower the output must be
changed to match the desired output. This is the local error.
4. Adjust the weights of each neuron to lower the local error.
5. Propagate this local error to neurons at the previous level,
giving greater responsibility to neurons connected by stronger
weights.
6. Repeat the steps above on the neurons at the previous level,
using each one's local error.
C. Texture Based Image Retrieval:-To extract the texture
features from an image, the Grey Level Co-Occurrence Matrix
(GLCM) is used. The Grey Level Co-Occurrence Matrix
(GLCM) is a tabulation of how frequently different
arrangements of pixels brightness values (or grey level values)
occur in an image based on the orientation and distance
between the image pixels. It is also called Grey-Tone Spatial
Dependency Matrix [4]. Based on GLCM, the texture features
are calculated. These features are used for finding the similar
images. The following sections explain how the GLCM is
calculated and the texture features are obtained from it.
1. Calculation of GLCM:-GLCM texture calculates the
relationship between two pixels of an image at a time, called
as the reference and the neighbour pixel respectively. For
example if the neighbour pixel is to the right of each reference
pixel, then it can be expressed as a (1, 0) relation: 1 pixel in
the x direction, 0 pixels in the y direction. In turn, every pixel
inside the window then becomes the reference pixel, starting
from the upper left corner and proceeding towards the lower
right corner. The following table (Table 3.1) is some possible
combinations between reference pixel values and neighbour
pixel values.

Reference Pixel Value neighbour pixel values.

0
1
2
3
0

0,0

0,1

0,2

0,3

1
2
3

1,0
1,1 1,2 1,3
2,0
2,1 2,2 2,3
3,0
3,1 3,2 3,3
Table 3.1GLCM Structure
Gray Level Values
Table 3.2 test image in gray value
The horizontal GCLM of the above image (table 3.1)
is:
Reference Pixel Value Neighbor Pixel Value
0
1
2
3
0 2
2
1
0
1 0
2
0
0
2 0
0
3
1
3 0
0
0
1
Table 3.3Co-occurrence matrix in horizontal direction

IV. IMPLEMENTATION

and input to all the trained neural network of each cluster and
if output of one or more than one neural network is greater
than a certain threshold then all the most relevant images of
those image clusters are shown to the user as the most similar
images to the input image
Stage One: Texture Features Extraction: - The first stage of
the system is image processing and feature extraction. With
initial clusters of images the feature extraction process is
applied to each image, but before feature extraction all the
images are resized to image of dimension 256 X 256 that is
256 rows and 256 columns. This is necessary as the
dimensions of images in a cluster may vary. So, all the images
of a cluster are resized to 256 X 256 and converted from RGB
to Gray level image. Now the Correlation, Energy,
Contrast, Homogeneity, Entropy features are extracted
from the image. First a gray-level co-occurrence matrix from
image matrix is created by calculating how often a pixel with
gray-level (grayscale intensity) value i occurs horizontally
adjacent to a pixel with the value j. Now all the above
mentioned features can be extracted from the co-occurrence
matrix.
Correlation is a measure of how correlated a pixel is to its
neighbor over the whole image and it is defined as:

Architecture has been divided into two categories

1. CBIR Engine (built using MatLab R2008a)
2. Web Server (built using ASP .NET with IIS Server)
A. CBIR Engine:Web
Interface
Request/Reply

Program Interface

CBIR Server

Web Server

CBIR Engine

Request/Reply

User
Interface

CBIRClient
Image
Database

Image
Metadata

Feedback

Web Interface

Figure 4.1Architecture of CBIR System

Figure 4.2Execution of CBIR System

1. Detailed Description of the CBIR System:-The system takes
an image as an input by the user, extracts features from the
image, measures similarity of the image with existing clusters
of images using neural networks and ranks the retrieved
images using relevance feedback. The system works in two
stages: training and testing. The training consists of features
extraction of the all images in the training image dataset and
then separate neural network is trained for each cluster of the
image database. In this process features of all the images of
each cluster are extracted and then input to train a separate
neural network for each cluster. The image database
consists of several clusters of images where each cluster
contains images of a particular type. In our training dataset we
have taken 10 different clusters of images e.g. Cars,
Buildings, Flowers, Weapons etc. Each cluster contains
around 50 training images whose features are used to train a
separate
neural
0
1
2
3
network for each
0
0
0
1
1
cluster. Content of
1
0
0
1
1
an image can be
2
0
2
2
2
expressed in terms
of different features
3
2
2
3
3
such as color, texture, shape etc. Retrieval based on these
features varies depends on how the features are extracted and
used. Since features in color, texture, and shape are extracted
using different computation methods, different features may
give different similarity measurements. In our system we have
used following texture features of an image: Entropy,
Homogeneity, Energy, Correlation, and Contrast. These
features are extracted from the image and then input to the
neural network for training. In testing Process user is asked to
input an image and then features are extracted from the image

805

Energy is the sum of squared elements in the co-occurrence

matrix and it is defined as:

Contrast is a measure of the intensity contrast between a pixel

and its neighbor over the whole image and it is defined as:

Homogeneity is a measure the closeness of the distribution of

elements in the co-occurrence matrix to the co-occurrence
matrix diagonal and it is defined as:

Entropy is a statistical measure of randomness that can be

used to characterize the texture of the input image and it is
defined as:

And all these features are normalized to a range of (0-1) for

input to the neural network. These features are also stored in a
file for later use.
Stage Two: Neural Network Training: - The features extracted
are to be input to the neural network. The neural network
architecture consists of 5 neurons in the input layer for the 5
features, 5 and 3 neurons in the 1st and 2nd hidden layers
respectively and 1 neuron in output layer whose output will be
1 if the image belongs to a cluster or 0 if does not belong to a
cluster. The neural network is trained using back-propagation

algorithm and Tan-Sigmoid Transfer Function shown as

below:

It takes about 300 epochs to train each neural network

belonging to different image clusters. Increase in the number
of images in each image cluster in training does not cause
much increase in the number of epochs but time required in
each epoch is slightly increased. The results improve if
number of training images are increased but it is noticed that
time required to train the network will also increase slightly.
This conclusion support the technique to store the user input
image also in the relevant image cluster as it will increase the
accuracy while sacrificing slight time complexity. Percentage
of false-detections is also reduced by increase in number of
training images used.
Stage Three: Testing using image as a query by User:The testing starts when user inputs a test image to retrieve
similar images or when user selects an image cluster from a
given list of image category list. When user inputs an image,
the image is input to all the neural networks representing
different image cluster. If the probability of input image for
one or more neural networks is more than a particular
threshold which is 0.6, then the image belongs to those image
clusters. It is possible for an image to be in more than one
image cluster if the input image contains more than one
object. For e.g. If an image contains Car, and Building
both then it belongs to both categories. So, images from both
the clusters should be retrieved with rank according to the
output of the heuristic algorithm which adds the neural
network probability and the relevance value to determine the
rank of the retrieved images. If the user clicks on one of the
retrieved image then relevance measure of the retrieved image
is increased by a value 0.1 while relevance measure of those
images which are not clicked is decreased by 0.01. Also the
input image by the user is stored in those relevant clusters
whose probabilities are more than the threshold 0.6. The new
image is stored in the training dataset. The image is indexed
using heuristic algorithm, its features are extracted and the
network is re-trained using the features of new image also.
These steps are repeated at each query. If the user inputs an
image:

The result after testing for all the neural networks on test
image is:

Figure 4.4NN Probability Output by CBIR Engine

Stage Four: Heuristic Algorithm for similarity measurement:This is main underlying algorithm which decides the actual
relevance of an image with all the clusters. It also manipulates
the relevance measure of the image after each query. When an
images relevance drops to less than 0 then it also deletes that
image file from the data-set. So, this algorithm also maintains
the integrity of the dataset. When a new image is input to the
system then first it creates the index of the input image in the
form an array which contains the relevance of each cluster and
the probability of each neural network.
An example index of a new image calculated by the algorithm
is given below. Each column represents an image cluster
while rows 1 and 2 represent the neural network probability
and Relevance score respectively.

Figure 4.5Table used for Heuristic Algorithm

For e.g. if the index of an image which is already stored
in the data-set is:

Figure 4.6Table used for Heuristic Algorithm

And if on a query this image is retrieved and clicked on first
retrieval then its relevance value for that cluster will increase

Figure 4.3a Test Image

806

by 0.1 as:
5.1Graphical User Interface:In the web based GUI, user can access the system on LAN
and can select the query image from his system and
then submit for the retrieval of the similar images from
the database or user can start by selecting a cluster.

Figure 4.7Table used for Heuristic Algorithm

And if the image is again retrieved on another query but is not
clicked on second retrieval then its relevance value for that
cluster will decrease by 0.01 as:

Figure 5.3 initial screen of the system A snapshot of images

retrieved:
Figure 4.8Table used for Heuristic Algorithm
If the sum of both values of an image falls below 1.0 for
all the image clusters, it is termed as irrelevant to any
image cluster and hence deleted from the dataset. And the
network again is trained without that image. Hence the
irrelevant images are deleted continuously by the system.
The image can be retrieved only for those clusters whose
sum of values is greater than 1.0 in the index of that
image. E.g:Figure 5.4 Search results to the image query Car

Figure 4.9Table used for Heuristic Algorithm

Table 5.4 Accuracy of retrieved images

V. Results
Some of the training and testing images:

Figure
5.1Some
Training
and
Test
Probabilities of Neural network on a query image:

Images

V. Conclusion
The system has been tested on a wide variety of images, with
many clusters and many images in a cluster giving very high
accuracy. Still there are a number of directions for future
work. The main suggestion is to use wavelets as a tool
to extract high-level features. This may slow down the
execution of the system but it will increase the accuracy of the
system. The system is a bit slow because of training involved
after each query. Other neural network architecture and
different training algorithms can be also experimented with
the system.
VI. References
[1]. V. Gudivada and V. Raghavan, Content-Based
Image Retrieval Systems, IEEE Computer Society, vol. 28,
no. 9, pp.18--22, 1995.

Figure 5.2Output Probabilities of each Neural Network

807

[2]. Peter L. Stanchev, Content-Based Image Retrieval

Systems, CompSysTech 2001, Bulgarian Computer Science
Conference - 21-22.06.2001.
[3]. Zhang Lei, Lin Fuzong and Zhang Bo, A CBIR method
based on color-spatial feature, Proceedings of the IEEE,
Vol.1, pp.66-169, Sept. 1999.
[4]. R. M. Haralick, Statistical and structural approaches to
texture, Proceedings of the IEEE, vol. 67, pp. 786-804, 1979.
[5] A. C. Gonzalez-Garcia, J. H. Sossa-Azuela, E. M. FelipeRiveron, Image Retrieval based on Wavelet Computation
and Neural Network Classification, wiamis, p. 44, Eight
International
Workshop
on
Image
Analysis
for
Multimedia Interactive Services (WIAMIS '07), 2007.
[6] Rui, Y., Huang, T. S., Ortega, M., and Mehrotra,
Relevance feedback: A power tool for interactive
content-based image retrieval, IEEE Trans. Circuits Syst.
Video Technol. 8, 5, 644655
[7] Muneesawang, P.; Guan, L., A neural network approach
for learning image similarity in adaptive CBIR, 2001 IEEE
Fourth Workshop on Multimedia Signal Processing, Volume,
Issue, 2001.
[8] Adam Kuffner1 and Antonio Robles-Kelly,
Image
Feature Evaluation for Contents-based Image Retrieval,
Department of Theoretical Physics, Australian National
University, Canberra, Australia .
[11] C. Nastar , M. Mitschke , C. Meilhac, Efficient
QueryRefinement for Image Retrieval, Proceedings of
the IEEEComputer Society Conference on Computer
Vision and Pattern Recognition, p.547, June 23-25, 1998
[12] Vidal, R.; Yi Ma; Sastry, S.; , "Generalized
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and
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Recognition, 2003. Proceedings. 2003 IEEE Computer
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"Application partial least squares regression in the analysis of
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[14] Xianhua Zeng; Ling Gan; Jian Wang; , "A Semi-Definite
Programming Embedding Framework for Local Preserving
Manifold Learning," Pattern Recognition (CCPR), 2010
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[15] Kai-mei Zheng; Xu Qian; Yu Zhou; Li-juan Jia; ,
"Intrusion Detection Using Isomap and Support Vector
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Artificial Intelligence and Computational
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[16] Gyeongyong Heo; Gader, P.; Frigui, H.; , "Robust
kernel PCA using fuzzy membership," Neural Networks,
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[17] Yongshuai Jiang; Ruijie Zhang; Guiyou Liu; Zhen Wang;
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Nonlinear Dimensionality Reduction and Segmentation of
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Jan.2008.

809

Comparative Analysis of Image Restoration

Algorithm on Prostate Tissue
Shiv K.Vaishy, Anil K. Singh and A. K. Singh
Abstract- Image restoration is an important issue in medical
imaging. Images are often degraded during the image acquisition
process. The degradation may involve blurring, information loss
due to sampling, quantization effects, and various sources of
noise. The purpose of image restoration is to estimate the original
image from the degraded image that minimizes the MSE (Mean
Square Error) between them. It is widely used in various fields of
applications, such as medical imaging, astronomical imaging,
remote sensing, microscopy imaging, photography deblurring,
and forensic science, etc. Here we have the image of Prostate
tissue of rat by administration of specific medicine as the
experimental image. In this paper we are giving the comparative
results on the prostate tissue after different image restoration
techniques like Wiener filter and Geometric mean filter, on the
basis of MSE (Mean Square Error), SNR (Signal to Noise Ratio)
and PSNR (Peak SNR). After analysis, in term of the MSE, SNR
and PSNR, we have the comparative results on the prostate tissue
after different image restoration techniques.
Keywords- Image Restoration, Fourier Spectrum, Point
Spread function (PSF), Mean Square Error (MSE), SNR (Signal
to Noise Ratio), PSNR (Peak SNR), Motion Blur.

I. INTRODUCTION
Images are produced to record or display useful
information. Due to imperfections in the imaging and
capturing process, however, the recorded image invariably
represents a degraded version of the original scene [15].
Blurring [5, 6, 7, 8] is a form of bandwidth reduction of an
ideal image owing to the imperfect image formation process.
It can be caused by relative motion between the camera and
the original scene, or by an optical system that is out of focus,
when aerial photographs are produced for remote sensing
corrupted by spherical aberrations of the electron lenses, and
CT scans suffer from X-ray scatter. In this paper we have
purposes, blurs are introduced by atmospheric turbulence,
aberrations in the optical system, and relative motion between
the camera and the ground.

Shiv K.Vaishy and A. K. Singh are with Department of Computer

Science & Engineering, MNNIT, Allahabad (email: shivjkit@gmail.com).
Anil K. Singh is with Biophysics Research Lab, Department of Physics
Ewing Christian College, Allahabad.

Such blurring is not confined to optical images, for example

electron micrographs are used Fourier spectrum method, as a
blur identification method which is used to identify the blurs
that are presents in the degraded image, which is very useful
in the image restoration process. The field of image
restoration [9, 10, 11, 12, 13, 14] (sometimes referred to as
image deblurring or image deconvolution) is concerned with
the reconstruction or estimation of the uncorrupted image
from a blurred and noisy one. Essentially, it tries to perform
an operation on the image that is the inverse of the
imperfections in the image formation system.
II. IMAGE FORMATION MODEL
We assume that the blurring function acts as a convolution
kernel or point-spread function d(n 1,n2) that does not vary
spatially. It means that the statistical properties (mean and
correlation function) of the image and noise do not change
spatially. These modeling assumptions can be mathematically
formulated as follows. The ideal image f(n 1,n2) that does not
contain any blur or noise, then the recorded image g(n 1,n2) is
modeled as shown in Figure 1a.
g (n1 , n2 ) d (n1 , n2 )

f (n1 , n2 ) w(n1 , n2 )

(1)

N 1M 1

d ( k1 , k2 ) f (n1 k1 , n2 k2 ) w(n1 , n2 )
k1 0 k2 0

Where w (n1, n2) is the noise that corrupts the ideal image.
f (n1 , n 2 )

Convolve with
d(n1 , n 2 )

Additive Noise
w(n1 , n 2 )

g(n1 , n 2 )

Fig 1 (a): Image formation model in the spatial domain

F(u, v)

multiply with
D(u, v)

Additive Noise
W(u, v)

G(u, v)

Fig 1(b): Image formation model in the Fourier domain.

The blurring of images is modeled in fig.(1) as the

convolution of an ideal image with a 2-D Point-Spread
Function (PSF) d(n1,n2). The interpretation of equation (1) is
that if the ideal image f(n 1,n2) would consist of a single
intensity point or point source, this point would be recorded as
a spread-out intensity pattern d(n1,n2), hence the name point
spread function.
Equation (1) can be written in the frequency domain [1]-[4]
as,

978-1-4673-0455-9/12/$31.00 2012 IEEE

810

G (u, v) = D(u, v) F(u, v) + W(u, v).

(2)
Where D(u,v) is the Fourier transform of the PSF (called the
optical Transfer function, or OTF).
III. LINEAR MOTION BLUR
It occurs due to the relative motion between the camera and
the scene, i.e. the object moved during the time that the shutter
was open, with the result that the object appears to be smeared
in the recorded image. Obviously we obtain precisely the
same effect if the camera moved while the shutter was open.
When the scene to be recorded, translates relative to the
camera at a constant velocity vrelative under an angle of
radians with the horizontal axis during the exposure interval
[0, t exposure], the distortion is one-dimensional. Defining the
length of motion by L= vrelative . t exposure , then the PSF is
given by:
d ( x , y ; L, )

1
; if x 2 y 2
L
0; elsewhere

L
x
and
2
y

tan

(3)

The discrete version of (3) is not easily captured in a closed

form expression in general. For the special case that =0, an
appropriate approximation is:
1
; if n1 0, n2
L
d (n1 , n2 ; L)

L 1
2

(4)

1
L 1
( L 1) 2
; if n1 0, n2
2L
2
0;

L 1
2

To overcome the noise sensitivity of the inverse filter, a

number of restoration filters have been developed that are
collectively called least-squares filters [16, 17]. We describe the
two most commonly used filters from this collection, namely
the Wiener filter and the constrained least-squares filter. The
Wiener filter is a linear spatially invariant filter to choose an
estimate $f of the uncorrupted image f such that it minimizes
the mean-squared error (MSE) between the ideal and the
restored image.

MSE E f (n1 , n 2 ) f (n1 , n 2 )

N 1 M 1

f (n1 , n 2 ) f (n1 , n 2 )

n1 0 n 2 0

D* (u, v).Sf (u, v)

v)
F(u,

Sf (u, v) D(u, v)

.G(u, v)

S (u, v)

(10)

D* (u, v)

IV. IMAGE RESTORATION ALGORITHM

4.1 Inverse Filter
From equation (1), if noise is not present in the observed
image then the recorded image can be modeled as

f (n1 , n2 )

D(u, v)

D u, v F u, v

(5)
Where D(u, v) = degradation function.
D*(u, v) = complex conjugate of D(u, v).

D(u, v)

i. e., by modeling the degenerating effect (d) and dividing the

FT of the image by the FT of the model, then we can get the
FT of the restored image. If noise is present in the observed
image then we get

g (n1 , n2 ) d (n1 , n2 )

f (n1 , n2 ) w(n1 , n2 )

(7)

u, v
F

4.2

D u, v F u, v
G u, v
D u, v

D* (u, v).D(u, v)
2

S (u, v)

W(u, v) = power spectrum of the noise and

Sf (u, v)

F(u, v) = power spectrum of ideal (original)

image.
When noise is zero, Wiener Filter = inverse Filter.
Since S (u, v)

W(u, v) and Sf (u, v)

F(u, v) are seldom

known, the Wiener Filter is frequently approximated by

Its Fourier transform gives,

G u, v

.G(u, v)

S (u, v) Sf (u, v)
2

(6)

G u, v
D u, v

u, v
F

D(u, v)
1
.G(u, v)
D(u, v) D(u, v) 2 S (u, v) Sf (u, v)

Its Fourier transform gives,

G u, v

(9)

The solution of this minimization problem is known as the

Wiener filter. It removes the additive noise and inverts the
blurring simultaneously so as to emphasize any lines which
are hidden in the image. This filter operates in the Fourier
domain, making the elimination of noise easier as the high and
low frequencies are removed from the noise to leave a sharp
image. Using Fourier transforms means the noise is easier to
completely eliminate and the actual line imbedded in noise
easier to isolate making it a slightly more effective method of
filtering. The Wiener filter in Fourier domain can be
expressed as follows:

elsewhere

g (n1 , n2 ) d (n1 , n2 )

W(u, v)

W(u, v)
D u, v

v)
F(u,

(8)

D(u, v)
1
.G(u, v)
D(u, v) D(u, v) 2 K

Where K is specified as a constant.

Wiener Filter

811

(11)

4.3 Geometric Mean Filter

Geometric mean filter is the generalization of the wiener
fiter.The Geometric mean filter in Fourier domain can be
expressed as follows:
1

v)
F(u,

D* (u, v)
D(u, v)

D* (u, v)

.
D(u, v)

.G(u, v)

V. QUANTITATIVE APPROACH
5.1 Mean Square Error (MSE)
The mean square error (MSE) between the original image f(x,

y) and filtered image f (x , y ) of size M X N, can be

calculated as-

1
MN

M- 1 N- 1

{f (x, y ) -

f (x , y )}

(13)

i= 0 j= 0

5.2 Signal to Noise Ratio (SNR)

In image restoration, the improvement in quality of the
restored image over the recorded blurred one is measured by
the signal-to-noise-ratio improvement. The signal-to-noiseratio [7] of the recorded (blurred and noisy) image is defined as
follows in decibels:
SNR g 10.log10

varianceof theidea limage f (n1,n 2 )

(dB)
varianceof thedifferenceimage g(n1,n 2 ) f (n1,n 2 )

The signal-to-noise-ratio of the restored image is similarly

defined as:
SNR f 10.log10

var iance of theidea lim age f (n1 , n 2 )

(dB)
var iance of the differenceim age f (n1 , n 2 ) f (n1 , n 2 )
2

SNR

10 log10

2
e

(15)

Where p is the peak intensity value of a signal (i.e. 255 is the

peak value in an 8-bit image).

(12)

. S (u, v) Sf (u, v)

Where and are positive and real constant.

When = 1 this filter reduces to the inverse filter, with = 0
the filter becomes parametric wiener filter, which reduces to
the standard wiener filter when =1. If =1/2, the filter
becomes a product of the two quantities raised to the same
power, which is the definition of Geometric mean filter. When
< 1/2 and = 1 then the filter performance will tend toward
inverse Filter similarly, when > 1/2 and =1, the filter
performance tend toward Wiener Filter. When =1/2 and
=1 then the filter is referred to as the spectrum equalization
Filter.

MSE =

p2

PSNR = 10 log10
dB

MSE

(14)

Where 2 is the variance of the desired image and 2e is the

variance of the difference image.
5.3 Peak Signal to Noise Ratio (PSNR)
The metric Peak Signal to Noise Ratio (PSNR) [14] which
relates the magnitude of the noise to the peak value in the
image, in decibels, is defined as,

VI. EXPERIMENTAL RESULTS

In table-1(a), we have shown the image analysis of prostate
tissue in case of motion blur of length 7 pixels and angle 300.
The original image of prostate tissue is given in figure 2(a).
The power spectrum of figure 2(a) is given in figure 2(b) and
its histogram plot is given in figure 2(c). Using MATLAB
software, we are generated a degraded image after introducing
a motion blur in length 7 pixels and angle 300 which are
shown in figure 2(d) and its power spectrum (of figure 2(d))
is given in figure 2(e). The restored image are shown in figure
2((f), (g) & (h))) after applying the various restoration
algorithm such as Wiener Filter and Geometric mean filter on
the degraded image of figure 2 (d). These restoration filters
have better restored image and its comparative performance
using quantitative approach (MSE, SNR & PSNR) are given
in table -1 (b). From table -1 (b), we see that the degraded
image have MSE - 0.011900, SNR-14.779509 and PSNR19.2445 after applying the Wiener filter we get the MSE 0.006473, SNR-20.167760 and PSNR -21.8889 and after
applying the Geometric mean filter we get the MSE 0.000922, SNR-35.145876 and PSNR-30.3537, after seeing
these data we can say that geometric mean filter have smallest
MSE and highest SNR and PSNR value, this means it has
better restored image in comparison of other restoration
algorithm.
VII. CONCLUSIONS
The geometric mean filter gives the better result in
comparison of other restoration filtering techniques. The
geometric mean filter have smallest MSE-0.000922 and
highest SNR-35.1459dB and PSNR-30.3537dB in case of
motion blur in comparison of MSE, SNR and PSNR values of
other restoration filter.
VIII. ACKNOWLEDGEMENT
We are very much thankful to Mr. A. K. Singh (M. Tech.
thesis supervisor) for useful discussion and our Principal, Dr.
M Massey, for providing the space to carry out the research
work in the college. Also, we thanks to Dr. Gopal Gupta,
Senior Scientist, CDRI, Lucknow for providing the rat tissue
from the animal house for the analysis of the administrated
medicines on Prostate tissue and its effect. This work is
financially supported by the UGC, New Delhi (F. No.34295/2008) as in Major Research Project.

812

[1]

IX. REFERENCES
H. Akaike,"Power Spectrum Estimation through Autoregression Model
Fitting",
Annals
of
the
Institute
of
Statistical
Mathematics,vol.21,pp.407-419,1969.

[2] H.Akaike, "A New Look at the Statistical

Identification",IEEE Trans. Autom. Control,
723,1974.
[3]

[4]

[5]

[6]
[7]

[8]

Model
vol.AC-19,pp.716-

A. M. Aibinu, Momoh J. E. Salami,A. A.Shafie and A. R. Najeeb, "MRI

Reconstruction Using Discrete Fourier Transform:A tutorial",World
Academy of Science, Engineering and Technology 42, pp. 179-185,
2008.

[9] R. C. Gonzalez and R.E. Wood, Digital Image Processing, Prentice-Hall,

India, Second Edition, 2007.
[10] A. K. Jain, Fundamental of Digital Image Processing, University of
California, Davis, Prentice Hall of India Private Limited, New Delhi110001, 2007.
[11] A. M. Aibinu, Momoh J. E. Salami,A. A.Shafie and A. R. Najeeb,
"MRI Reconstruction Using Discrete Fourier Transform: A tutorial",
World Academy of Science, Engineering and Technology 42, pp. 179185, 2008.
[12] Jagadish H. Pujar and Kiran S. Kunnur, A Novel Approach for Image
Restoration Via Nearest Neighbor Method, Journal of Theoretical and
Applied information Tech., Vol.14, No.2, pp.76-79, April-2010.

R. Neelamani, H. Choi, and R. G. Baraniuk, "Forward: Fourierwavelet regularized deconvolution for ill-conditioned systems", IEEE
Trans. on Signal Processing, Vol. 52, No 2, pp. 418-433, 2003.
I. Aizenberg, T. Bregin, C. Butakoff, V. Karnaukhov, N. Merzlyakov
and O. Milukova, "Type of Blur and Blur Parameters Identification
Using Neural Network and Its Application to Image Restoration". In
J.R. Dorronsoro (ed.) Lecture Notes in Computer Science, SpringerVerlag, Vol. 2415, pp. 1231-1236, 2002.
M.R. Banham and A. K. Katsaggelos. Digital Image Restoration.
''IEEE Signal Processing Magazine, vol.14, no.2, pp.24-41, March 1997.

[14]

R. L. Lagendijk and J. Biemond, Basic Methods of Image Restoration

and Identification, Information and Communication Theory Group,
pp. 1-25, Feb 15, 1999.

[16] D. Slepian, "Least-squares filtering of distorted images, J. Opt.

Soc.America.,vol.57, pp 918-922, 1967.

R.L.Lagendijk, J. Biemond and D.E. Boekee, Identification and

Restoration of Noisy Blurred Images Using the ExpectationMaximization Algorithm, IEEE Trans. on Acoustics, Speech and
Signal Processing;38, 1990.

[13] S. K. Satpathy,
S. Panda, K. K. Nagwanshi and C. Ardil, Image
Restoration in Non-Linear Filtering Domain using MDB approach,
International
Journal
of
Information
and
Communication
Engineering, Vol.6, No. -1, pp-45-49, 2010.
S. S. Al-amri, N.V. Kalyankar and S.D. Khamitkar, "A Comparative
Study of Removal Noise from Remote Sensing Image", IJCSI
International Journal of Computer Science Issues, 7(1) pp. 32-36,
January 2010.
[15] B. R. Hunt, "Digital image processing," Proc. IEEE, vol. 63, pp.693708, Apr. 1975.

restoration, Opt.

[17] K. Von Heide, "Least

Squares
image
Communication, vol. 31, pp 279-284, 1979.

Table: 1 (a) Image Analysis in case of motion blurs of length 7 pixels and angle 300.
9000
8000
7000
6000
5000
4000
3000
2000
1000
0

Fig(2 a.) Image of Prostate Tissue of Rat

(d). Degraded Image (with random noise &

motion Blur) of fig.2(a)

(b). Power spectrum of fig.2(a)

(e). Power spectrum of fig.2(d)

813

50

100

150

200

250

300

(c). Histogram plot of fig.2 (a)

(f). Restored Image (with parametric wiener

Filter) of fig.2(d)

(g). Restored Image (with constant

wiener Filter) of fig.2(d)

(h) Restored Image (with Geometric

Mean Filter) of fig.2(d)

Table: 1 (b) Measure the performance of Restoration Algorithm using Quantitative Approach in case of motion blur of length 7 pixels and
angle 300.

Filter
Before Filter (Degraded
Image)
Wiener Filter
*parametric
Wiener Filter
*constant
Geometric Mean Filter

Mean Square
Error (MSE)

Signal to Noise
Ratio (SNR)

Peak Signal to Noise

Ratio (PSNR)

14.779509

19.2445

0.006473

20.167760

21.8889

0.008201

17.680091

20.8614

0.000922

35.145876

30.3537

0.011900

814

Very Wide Range of Application of Rogowski

Coil for High Frequency Current Measurement
A. Ricky Sukhadia, B. Mayuri Tahilramani, and C. Mulav Rathod

Abstract-- The main aim of this paper is to expose a simple

low cost device that allows to measure high frequency current.
The Rogowski coil (RC Sensor) is a flux to voltage transducer
for non-intrusive current measurement. Its use is usually
associated to an external circuit for integrating the measured
signal. This paper describes a method for constructing Rogowski
coils without using external integrator. The RC Sensor can be
replacing CTs for Protection, metering and control. Also, this
paper describes implementation and conducting experiment on
various application to measure high frequency current in
various condition.

A Rogowski coil consists of a toroidal solenoid that encircles

a conductor which current is to be measured. The coil is
magnetically coupled to the conductor, so that an emf
proportional to the variation in time of the current is induced.
The main advantages of using Rogowski coil to measure high
frequency currents are:
Non-saturation, because it is air cored.
Good linearity, due to the absence of magnetic
materials.

Index Terms-- High Frequency measurements, Rogowski coil,

Signal integration, Electrical Measurement.

Simple circuitry and low price.

Non-intrusive (the coil does not load the circuit
carrying the current to be measured under certain
conditions of impedance matching). [2]

I. INTRODUCTION
Rogowski coils have been used for the detection and
measurement of electric currents for decades. They operate on
a simple principle. An air-cored coil is placed around the
conductor in a toroidal fashion and the magnetic field
produced by the current induces a voltage in the coil. The
voltage output is proportional to the rate of change of current.
This voltage is integrated, thus producing an output
proportional to the current. In most cases Rogowski coils
have been made by placing the winding on a long, flexible
former and then bending it round the conductor, but coils
wound on rigid toroidal formers have also been used.

II. ROGOWSKI COIL

Fig. 1(a) shows the dimensions of the circular Rogowski coil
with a rectangular cross section. D1, D2 are the inside
diameter and outside diameter of the nonmagnetic toroidal
core, respectively. h is the height of the core.

RC sensors have been used to detect and measure currents

particularly where starting transients of electric motors, split
phase current measurement in generators, sudden short
circuit testing, fault testing on uninterruptible power supplies
etc. [1]
(a)
(b)
Fig. 1. Dimensions and lumped-element model of Rogowski coil.
(a) Dimensions. (b) Lumped-element model.

A. Ricky Sukhadia and B. Mayuri Tahilramani are with the Department of

Electrical Engineering, Sardar Vallabhbhai Patel Institute of Technology, Vasad390019,
India
(a_ricky00102005@gmail.com,
b_mayuritahilramani@yahoo.com ).
C. Assistant professor Mulav Rathod is with the Department of Electrical
Engineering, Sardar Vallabhbhai Patel Institute of Technology, Vasad-390019,
India (e-mail: c_rathodmulaver@gmail.com).

The Rogowski coil can be considered as a lumped-element

model shown in Fig. 1(b). M is the mutual inductance of
Rogowski coil. Lo, Ro, C are the lumped inductance,
resistance, and capacitance of the coil, respectively. Rs is the
damping resistance terminating the coil. i1 is the measured
pulsed current. i2 is the loop current of Rogowski coil.[3]

978-1-4673-0455-9/12/$31.00 2012 IEEE

815

III. PARAMETERS OF THE COIL

For simplicity, the first stage of the study of the influence of
the parameters of the lumped model on the frequency
response of the coil was made for a rectangular cross section,
Figure 1. The lumped parameters of the equivalent circuit can
be calculated as follows.
The resistance Rl, depends on the wire dimensions and on the
material and is given by:
4l
d2

Rl

capacitances can be found in the Rogowski coil, the

Capacitance between the winding and the returning turn, Cl
and the capacitance between turns Ct. The returning turn
prevents external magnetic fields from affecting the
measurement. The capacitances can be calculated as:
2

Cl

log

(1)

(3)

R
r
0

Ct

Where l is the wire length and d is its diameter. Albeit this

resistance is very small it cannot be neglected because the
terminating impedance has similar dimensions. The
resistance affects twofold to the Rogowski coil design.
On the one hand, it is related to the Joule effect losses in the
copper which, at this stage, are not important for the
performance of the probe. On the other hand, the resistance of
the wire plus the terminating impedance determines the
damping of the second order system. This is a critical
constraint in the design because the output of the coil should
not oscillate.

g
N log
d

Where R

(4)
g
d

b a 2, r

b a 2

b a
W is the length of a turn and g
2
the turn to turn distance.[4]
l

a b
2N

is

Substituting the parameters of the Rogowski coil

demonstrates that the capacitance between turns, Ct is notably
smaller than Cl and can be neglected. The capacitance plays
an important role in the dynamic behavior of the probe
together with the inductance.
Finally, the mutual inductance, M measures the coupling
between the coil and the wire where the current is to be
measured and is calculated geometrically as:
M

NW log

b
a

(5)

The mutual inductance can also be derived from the flux link
equation given above. This parameter is intimately related to
the sensitivity of the probe. In the frequency domain the
mutual impedance multiplied by the current through the wirethe current to measure- is the inducted voltage in the coil.

Fig 2.

Coil Dimensions.

The inductance Ll, is a measure of the amount of magnetic

flux produced for the current that flows in the coil.
Remembering that the core of the Rogowski coil is air, the
flux link can be defined as N = Licoil. This equation relates
the magnetic flux through the N turns coil with the current in
the coil wire. The four parameters are interlaced so touching
any of them would change the performance of the others. The
value for the inductance comes from geometrical
considerations [3]. It is given by as:
Ll

N 2W
b
log
2
a

A Rogowski coil works by sensing the magnetic field in the

space around the conductor. Amperes law provides the
relationship between the current flowing on the conductor
and the magnetic field around it. If a single turn coil is placed
perpendicular to this magnetic field so that the flux lines can
link the coil, a voltage will be generated according to
Faradays law.[5]
Applying Amperes law for a coil wound on a nonmagnetic
former and having a cross-sectional area A yields

i t H .dl
(6)
The induced electromotive force (EMF), i.e., edl in a

differential length dl is given by Faradays law as

(2)
edl

Where, N is the number of turns. Besides the relation with the

magnetic flux, the inductance is also an important parameter
in the dynamic behavior of the coil and its bandwidth. Two

dt

d
dt

B.ds

dH
cos
dt

(7)

Where, m is the magnetic flux linking the coil, assuming

that the magnetic flux density is constant over the considered

816

coil cross-sectional surface area, B and H are the magnetic

flux density and field vectors, respectively, and 0 is the
permeability of free space. For a coil of N number of turns of
dl along the length l and assuming that the coil is positioned
perpendicular to the current-carrying conductor (i.e., = 0),
we have
t

et

d
edi N
H cos dl
dt
0
0

di(t )
0 AN
dt

di (t )
M
dt

V. BASIC CONSTRUCTION OF RC SENSOR

There are basically most three types of construction of RC
sensor:
1. Ferrite core
2.

Bobbin core

3.

PVC core

(8)

Where M is the mutual inductance, which is defined as the

ratio of the induced EMF in the coil e(t ) and the change of
the primary current to be measured (i (t )) . For a coil wound
on a circular nonmagnetic former having area A= r 2, with a
minor radius r, number of turns N (where, N= N/2R0), and
mean major radius R0 the induced voltage will be
et

Nr 2 di(t )
2 R0 dt
0

(9)

At a low frequency, the coil transit time is much smaller than

the rise time of the measured current. Therefore, the
equivalent circuit of the coil can be regarded as a voltage
source in series with the self-inductance Lc and resistance Rc
of the coil. The value of the termination resistance Rt will
determine the functioning mode of the coil. If Rt is much
smaller than Lc, the coil will operate in a current mode,
where the coil output voltage is proportional to the measured
current (self-integrated coil). If Rt is much greater than Lc,
the coil will operate in its differential mode, where the coil
output voltage is proportional to the derivative of the
measured current.[5]-[9]

Fig. 3.

Ferrite Core RC Sensor.

Fig. 4.

Bobbin Core RC Sensor.

Fig. 5.

PVC Core RC Sensor.

IV. PERFORMANCE CHARACTERISTICS OF CTS AND RC SENSOR.

Typically, in Bushing type CTs, two CTs are used.
One for metering and one for protection where only
one RC sensor can be used for both applications.
CTs are saturated due to, for symmetric currentssaturation start near 20 times rated current and rated
burden. For asymmetric current, saturation can start
at several times rated current depending on the
primary system X/R value. Where RC sensor does
not saturate (linear).
Typical Frequency limit of CTs : up to 50kHz, For
RC Sensor: up to 1MHz or greater
Remanence is possible in CTs but in RC Sensor, No
remanence (No Iron Core)
Size and weight of CTs have large and heavy. where
for RC Sensor, Small and light
Open secondary can generate dangerous voltage in
CTs but in RC Sensor, Safe (open secondary voltage
are small)
CTs cannot use for multiple protection schemes
Because of its V-I characteristics. One RC Sensor
can be used for multiple protection schemes.

VI.

TESTING OF RC SENSOR ON VARIOUS APPLICATION

A. Measuring starting transients of electric motors.

Fig. 6.

817

Setup of measuring starting transients of electric motors.

C. Testing of 10j, 30KV, 5 STAGE IMPULSE GENERATOR

Fig. 7.

Output of Setup of measuring starting transients of electric motors.

Fig. 5 Shows setup of measuring starting transients of electric

motor using Bobbin Core type Rogowski coil. Starter can be
designed after obtaining starting transient current of electric
motor as in Fig. 6. Value of starting transient current is 1A
and it lasts for 500sec.

Fig. 10. Testing setup of 10j, 30KV, 5 Stage Impulse Generator.

B. Testing of Insulating Paper by 5KV HV Insulator Tester

Fig. 11. Result for positive Electrode Impulse Generator.

Fig. 8.

Setup of Testing of insulator paper by 5KV HV Insulator Tester.

Fig. 12. Result for Negative Electrode Impulse Generator.

Fig. 9.

Fig. 9 shows setup of measuring Impulse current using

Bobbin Core type Rogowski Coil. Fig. 10 and Fig. 11 shows
positive and negative Impulse obtained on oscilloscope
respectively. Value of Impulse current obtained is 2.5A for
both positive and negative.

Output of Insulator paper testing.

Fig. 8 shows breaking time of Insulation is 8 mSec and

insulation breaking current is 23A and Fig. 7 shows testing
setup of insulation paper using 5 KV HV Insulator Tester.

D. Current measurement of Impulse Testing using different

Rogowski coils

Fig. 13. Setup of Current measurement of Impulse Test on Different Rogowski

coils.

818

Fig. 14.

Results of setup of Fig.12.

Fig. 17. Output for Sensitivity Test at Higher Frequency (136.47 kHz).

After obtaining results of current measurement of Impulse

Test using different Rogowski Coils in Fig. 13 we observe
that
Waveform 1indicates that the output of Ferrite Core
type RC is not a perfect Impulse. Thus accurate
Impulse measurement cannot be obtained without
using an Integrator circuit in case of Ferrite type
RC.
Waveform 2 indicates a perfect impulse which is
measured with the help of Bobbin core type RC.
Hence the integrator is not required with this core
type RC.
Waveform 3 indicates the impulse wave obtained from
PVC core type RC coil. So PVC core type RC also
needs integrator circuit.
E. Sensitivity Test

Fig. 16 shows output waveform of Ferrite core type RC lags

by 90 with input supply waveform which indicates inductive
effect of the coil at higher frequencies.

Fig. 18. Output for Sensitivity Test at Resonating Frequency (99.70 kHz) of
Ferrite core type Rogowski Coil.

Fig. 17 shows output waveform of Ferrite core type RC

coincides with input waveform which depicts resonating
frequency of coil.
VII. CONCLUSION
A new high frequency Low leveled current measuring RC
sensor was constructed and calibrated on various area of
application. With this exceptionally valuable and low priced
method fast signal can be measured and recorded in an
oscilloscope.
The idea is to use the coil for protection and measurement in
power generation or in distribution. In particular for
measuring the disturbances produced in power electric
distribution or in power plants another possibility that we are
considering is the use of the coil for the fast detection of
failures in distribution systems.
RC Sensor is to consider the very wide range application in
rotating plant, Static plant, Transmission plant, and pulsed
power etc.

Fig. 15. Setup for Sensitivity Test.

VIII. REFERENCES
[1]
Fig. 16. Output for Sensitivity Test at Lower Frequency (49.70 Hz).

Fig. 15 shows output waveform of Ferrite core type RC leads

by 90 with input supply waveform which indicates capacitive
effect of the coil at lower frequencies.

[2]

[3]

819

Rocoil ( PRECISION ROGOWSKY COILS) Rocoil Limited, 5, Almsford

Avenue, Harrogate, North Yorkshire, HG2 8HD, U.K. Tel/Fax 01423
871792.
J. D. Ramboz, Machinable Rogowski coil. Design and calibration", IEEE
Transactions on Instru- mentation and Measurement, vol. 45, no. 2, pp.
511-515, April 1996.
Yi Liu, Fuchang Lin, Qin Zhang, and Heqing Zhong, Design and
Construction of a Rogowski Coil for Measuring Wide Pulsed Current.
IEEE Sensors Journal, Vol. 11, No. 1, January 2011.

[4]

[5]

[6]

[7]
[8]
[9]

G. Robles, M. Argueso, J. Sanz, Identification of Parameters in a

Rogowski Coil used for measurement of partial discharges", IMTC 2007,
IEEE, Technology Conference, May 2007.
Ibrahim A. Metwally, Self- Integrating Rogowski Coil for High- Impulse
Current Measurement, IEEE Transactions on Instrumentation and
Measurement, Vol. 53, No. 2, February 2010.
D. A. Ward and J. La T. Exon, Using Rogowski coils for transient current
measurements", Engineering Science and Education Journal, pp. 105-113,
June 1993.
W. F. Ray and C. R. Hewson, High performance Rogowski current
transducers", IEEE - IAS Conf. Proc., Sept. 2000.
W. F. Ray, Wide bandwidth rogowski current transducers. part i: The
rogowski coil", EPE Journal, vol. 3, no. 1, pp. 51-59, March 1993.
Ljubomir Kojovic and Martin Bishop, Rogowski Coil Design
PAC.AUTUMN.2007, Cooper Power System,USA.

820

Conformal Antenna Array Synthesis using

Bioinspired Techniques
N Surendra, K R Subhashini, G LalithaManohar

Abstract Antenna designers are constantly challenged with

the temptation to search for optimum solutions for the design of
complex electromagnetic devices. The ability of using numerical
methods to accurately and efficiently characterizing the relative
quality of a particular design has excited the engineers to apply
stochastic global evolutionary optimizers for this objective.
Evolutionary techniques have been applied with growing
applications to the design of complex electromagnetic systems.
These schemes are finding popularity in electromagnetic field as
design tools and problem solvers because of their flexibility,
veracity and ability to optimize in complex multimodal search
spaces. This paper discusses the design and optimization of
conformal antenna arrays with special emphasis on Genetic
Algorithm, and PSO method in application to the KU band .It
also illustrates the implementation procedure of Genetic
algorithm and PSO algorithm in electromagnetic optimization
problems. The optimization procedure is then used to design
conformal antenna array with specific array factor requirements.
A comparative study of design tools is done through simulation.
Keywords-Array synthesis, Evolutionary Approaches, Genetic
algorithm, Conformal Antenna arrays, side lobe level

I. INTRODUCTION

using GA technique is presented. In section IV proposed

algorithms of using PSO for training the conformal antenna
array is described. Section V is dedicated for discussion and
experimental results
II. CONFORMAL ANTENNA ARRAYS
Cylindrical Antenna Arrays are characterized by high
directivities, narrow beams, and low side lobe levels. They
were successfully used to increase the user capacity in the
downlink of WCDMA cellular systems [15]. Their high
directivities lead to an increase of interference in the adjacent
cells, whereas their narrow beams and low side lobes help
efficiently in interference mitigation. A tradeoff between these
two contrasting trends is investigated. Cylindrical antenna
arrays are shown to outperform other array types with similar
properties, leading to an increase in capacity and coverage and
simultaneously providing good interference rejection
properties. The geometry of cylindrical array antenna is shown
below can be assumed as combination of uniform linear array
antenna and uniform circular antenna and its structure is
shown below.

he synthesis of equispaced linear array patterns with a

shaped beam has been considered by some authors in the
specialized literature [1]. There are many applications where
the antenna pattern is required to be shaped to achieve a
desired effect. In this paper a technique for the synthesis of
shaped beam antenna pattern of a linear array is described
.The fields radiated from a linear array are a superposition of
the fields radiated by each element in the presence of other
elements. The synthesis of an antenna array with a specific
radiation pattern, limited by several constraints is a nonlinear
optimization problem. It is the goal of this paper to introduce
Evolutionary techniques to the electromagnetic community
and demonstrate its great potential in electromagnetic
optimizations. Antenna array optimization has received a great
attention in the electromagnetic community. Unlike
deterministic algorithms, one does not need expert knowledge
of antennas physics to achieve optimal result. In section II a
brief introduction to conformal antenna arrays and synthesis
N Surendra and K R Subhashini are with the Department of Electrical
Engineering, National Institution of Technology, Rourkela- 769008, India.(email: n.surendra.nitrkl@gmail.com, subppy@gmail.com)
G LalithaManohar is with Department of Electronics Engineering, AMA
University, Bahrain (e-mail: lalitha.amaiu@gmail.com )

Figure 1 Geometry of Cylindrical Array Antenna

Array Factor of Cylindrical Array Antenna

It is often desired to design an antenna array that will yield
desired radiation characteristics. The task is to find the right
antenna configuration, its geometrical dimensions, and
excitation distribution. The most common antenna arrays are
the linear array and the circular array. The array factor of an M
element linear array with uniform inter element spacing d is
given by:
( +)
, =
(1)
=
In the above equation, = kd cos 0 , where 0 is the
direction of maximum radiation, and Im are the excitation
coefficients.Uniform linear arrays (ULA) are characterized by
a constant value of the excitations i.e. IM=I0 for m=1, 2,
A.

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821

3.M. Chebyshev linear arrays are another type of linear and

uniformly spaced antenna arrays. They have the unique
property that all side lobes in their radiation pattern are of
equal magnitude. The excitation currents of the elements of an
M element Chebyshev array are related to the coefficients of a
Chebyshev polynomial of degree M-1, where M is the number
of the elements in the array.
The array factor of an N element circular array with
uniform inter-element spacing (UCA) is given by:

, =
=

=1

=1

sin cos

(2)

For uniform excitation, the Ins are equal. Stacking circular

arrays one above the other, with an equal vertical separation
between them, will lead to a cylindrical array where the
elements along a vertical line on the cylindrical surface form a
linear array, and those lying in a transversal plane cutting the
surface constitute a circular array[12]. In this case, the total
array factor would be the product of the array factor of a linear
array by that of a circular array. Using a cylinder of M
identical circular arrays, the total array factor is given by the
sum of the M individual array factors:

sin cos ( )
, =
(3)
=1
=1

installation of electronics in the tip region and the radiation

performance in the forward direction is poor. Conical arrays
can often use the same beam steering methods as cylindrical
arrays. Arrays on less pointed cones or where the tip region is
not used have a potential for hemispherical coverage. Arrays
on less pointed cones or where the tip region is not used have
a potential for hemispherical coverage. Shaped to suit missile
and aircraft nose cones, the truncated conical geometry is
nearly cylindrical if the cone angle is small and the array
truncated far from the cone tip. Like the cylindrical array, the
truncated conical array is usually fed by moving an
illuminated region around the cone by means of switching
matrices.
B. Array Factor of Conical Array Antenna
The array factor of an M element linear array with uniform
inter-element spacing d is given by equation (1).The array
factor of an N element circular array with uniform interelement spacing (UCA) is given by equation (2).Conical array
antenna is a combination of uniform linear array antenna and
non-uniform circular array antenna as shown in the below
figure.

In the above equation, we consider that in the far field

region, the array factor of each circular array is the same as the
array factor of the circular array in the x-y plane [9]. Hence, in
equation (3) Cnm can be defined as
Figure 2 Geometry of Conical Array Antenna
=

1 cos +

(4)

In the above equation, the second term in the product

comes from the mth vertical element and the first term is the
excitation coefficient of the nth element of a circular array.
Substituting (5.4) into (5.3), it becomes:
,

1 ( cos + )

{ sin cos

=1

+ }

It clearly reveals from the figure that the radius of the

circular ring keep on decreasing from bottom to up and note
that the radius of the circular array is equal to the distance
spacing between the elements and the spacing between two
circular rings is considered to be the spacing between the
elements in the uniform linear array antenna and the height of
the conical array antenna is equal to the sum of the spacing
between the elements in the linear array antenna and now the
entire assumptions are tabulated below.
Table 1 Analogy of Conical Array Antenna

=1

= , . ,

Parameter of Conical Array Antenna

Justification
Height
D1+D2+D3+D4
Radius
R1 > R2 > R3 > R4
Now the final array factor of the conical array antenna is

(5)

It is evident from equation (5) that the array factor of a

cylindrical array is equivalent to the multiplication of the array
factors of a linear array by that of a circular array. Hence, the
pattern synthesis for cylindrical arrays reduces to two separate
pattern synthesis tasks: the synthesis of a circular array and the
synthesis of a vertical linear array.
III. CONICAL ARRAY ANTENNA
Like the cylinder, the cone is characterized by a singly
curved surface. The conical surface can be of particular
interest for applications in the noses of streamlined airborne
vehicles, rockets, and missiles. The conical surface offers
wide-angle coverage and good aerodynamic performance [6][9]. A small conical angle, however, poses problems with the

, .

(6)

IV. IMPLEMENTATION PROCEDURE OF GENETIC ALGORITHM

This paper present a novel iterative implementation of Genetic
algorithm .To illustrate the implementation procedure, a linear
antenna
array
optimization
is
used
as
an
example.Figure1.Depicts the antenna array geometry
A. Introduction to GA
Gradient-descent training algorithms are the most common
form of training algorithms in signal processing today because

822

they have a solid mathematical foundation and have been

proven over the last five decades to work in many
environments. However, Gradient-descent training has few
limitations which can be removed by using evolutionary
algorithms (derivative free algorithms) such as Genetic
algorithm, Particle swarm optimization etc. Genetic
Algorithms (GA) are based upon the process of natural
selection and does not require error gradient statistics [11]. As
a consequence, a GA is able to find a global error minimum.
The chromosome finesses are used to rank the population with
each individual assigned its own fitness value.

particle among all the particles is represented by the symbol g.

The idea, originally proposed in ,was to change the velocity
component in a manner such that the increments contributed
by the social/individual perspective are directly proportional to
the difference between the current position of the particle and
the
global/local
best,
respectively,
which
were
recordedpreviously. This exchange is accomplished by the
following two equations:

Where d {1, 2... D}; c1 and c2 are the cognitive and

social factors, respectively; randis the statistically independent
random variables uniformly distributed between 0 and 1; w is
the inertia factor. Equation (9) denotes the position update
[19]. The PSO can be better explained using the flowchart
shown in the figure.

Ei ( n)

1
M

e
j 1

2
ji

( n)

(7)

Independently, taking different random crossing points in each

generation. Mutation generally prevents the GA from falling
into local extremes. The GA can be better explained in a
flowchart given below.

= + + ( )
= + ,

(8)
(9)

Table 2 Relationships between elements of GA and Antenna Arrays

Genetic Parameter
Gene

Chromosome
Individual
Population

Antenna Array
Bit chain(string);Amplitude,
Phase
One Element
One Array
Several Arrays

Figure 4 Flowchart of PSO Algorithm

Figure 3 Flow chart of GA

Although the original version of the PSO started with the

inertia weight w = 1, it turned out later that the performance of
the algorithm can be dramatically improved if a variation in
this tuning factor is introduced slowly during the evolution of
the swarm[20]. In most of the examples applied to benchmark
functions and electromagnetic problems considered, we
choose to vary w linearly from 0.9 to a smaller value
0.4.Typical choices are w [0.2, 0.4]. The proposed
acceleration technique will be demonstrated with a practical
application from electromagnetics.

V. IMPLEMENTATION PROCEDURE OF PSO ALGORITHM

VI. DESIGNING THE FITNESS FUNCTION

In 1995, Kennedy and Eberhart firstly introduced particle

swarm optimization (PSO), which is a robust stochastic
evolutionary computation technique based on the movement
and intelligence of swarms [17]. The PSO algorithm is based
on a social-psychological principle. The PSO algorithm
randomly initializes the locations and velocities of particles in
the D-dimensional search space. Each particle flies to the
target area and adjusts its position according to its own
experience and the best experience of its topological

The objective is to design a cylindrical antenna array with

minimum SLLs for a specific first null beam width (FNBW).
While the first criterion ensures maximum directivity of the
antenna, the second criteria is of paramount importance in the
modern world where the focus is increasingly on
miniaturization.
To achieve this, the fitness function can be formulated as

neighbour. The position and velocity of i th particle are

Where msl is the angle where maximum side lobe is

obtained in the bands [0, 800] & [1000, 1800]

represented as Xi= (xi1, xi2, xi3. . .xiD) and Vi = (vi1, vi2, vi3. . .
viD) respectively. The personal previous position is recorded
and expressed asPi= (pi1,pi2,pi3. . .piD). The index of the best

= ()

823

(15)

VII. SIMULATION & RESULTS

Figure 8 Polar plot of Cylindrical Array Antenna for N=12x12 using GA

Algorithm

Figure 5 Beam Pattern of Cylindrical array antenna for N=12x12 using PSO
Algorithm

Figure 9 Polar plot of Conical Array Antenna for N=8x6x4x2 using GA

Algorithm
Figure 6 Beam Pattern of Conical Array Antenna for N=8x6x4x2 using PSO
Algorithm

Figure 7 Beam Pattern of Conical Array Antenna for N=8x6x4x2 using GA

Algorithm

The figures 6 and 7, shows the beam pattern is traced

accurately by the PSO algorithm rather than GA. But the side
lobe level is maintained well by the GA technique. For the
satellite communication in the KU band region where the side
lobe level has to be maintained at a low level GA technique
can be preferred over PSO. The main drawback of the PSO is
that the parameters have to be accurately chosen to land up in
an optimum solution. The polar plot gives the two dimensional
view of the beam pattern over the referred axis. A detail study
of different geometries, ensemble with different number of
elements and their performance in the form of SLL,
Directivity and HPBW is studied and tabulated. From the
tabular readings it can be understood that for the applications
of sharp beam pattern PSO technique is used, as the values of
the Directivity using PSO are very close to the desired beampattern.

Table 3 Comparison of Conical Array Antenna parameters using PSO and GA Algorithm
NUMBER OF
ELEMENTS

HPBW (deg)

DIRECTIVITY (dB)

SIDE LOBE LEVEL (dB)

DESIRED

PSO

GA

DESIRED

PSO

GA

DESIRED

PSO

GA

8X6X4X2

50

56

64

3.68

3.27

2.80

-4.11

-4.28

-13.5

5X4X3X2X1

32

34

50

5.38

5.14

3.68

-4.11

-5.36

-4.71

12X10X8X6X4X2

22

24

44

6.88

6.53

4.15

-4.16

-4.49

-4.16

11X9X7X5X3X1

22

24

33

6.88

6.53

5.26

-4.16

-4.46

-4.16

824

Table 4 Comparison of Cylindrical Array Antenna parameters using PSO and GA Algorithm
NUMBER OF
ELEMENTS

HPBW (deg)

DIRECTIVITY (dB)

DESIRED

PSO

GA

DESIRED

PSO

GA

DESIRED

PSO

GA

8X8

20

22

39

7.27

6.88

4.61

-5.596

-5.592

-5.59

12X12

16

16

23

8.19

8.19

6.70

-5.04

-5.63

-5.04

16X16

10

12

33

10.16

9.39

5.26

-4.31

-4.83

-16.2

20X20

7.76

9.2

29.5

11.23

10.51

5.70

-4.31

-3.74

-14.3

[9]

VIII. CONCLUSION
In this paper we have applied the PSO and GA techniques
to a conformal arrays and achieved good performance in
terms of directivity and SLL,which are very much used in
satellite
communication
and
Synthetic
Aperture
Radar(SAR).The simulation is done using MATLAB.Finally a
novel antenna array is synthesized using these two
optimization techniques.As a further investigation future work
can be considered as a hybrid of the two optimization
techniques PSO and GA and its impact on the conformal
antenna array parameters can be studied
IX. REFERENCES
[1]
[2]
[3]
[4]

[5]

[6]
[7]
[8]

SIDE LOBE LEVEL (dB)

[10]

[11]

[12]
[13]

[14]
rd

C.A.Balanis, Antenna Theory Analysis and Design,3

Ed.,John
Willey&Sons .Inc. New York, 2007.
A.I.Uzkov,Anapproach to the problemof optimum directive antenna
designC.R.Acad.Sci.USSR,vol.35,1946,p.3
Rattan.M,Patterh. M.S,Sohi.B.S,Antenna array Optimization using
Evolutionary Approaches, Apeiron, vol.15 no.1,pp.78-93,Jan 2008
M.M.Khodier and C.G.Christodoulou, Linear array geometry synthesis
with minimum side lobe levels and null control using Particle Swarm
OptimizationIEEE Trans. Antennas Propagation,vol 53,pp.26742679,Aug.2005.
Weng.W.C,Yang.F,Elsherbeni.A.Z, Linear Antenna Array synthesis
using Taguchis Method:A novel Optimization Technique in
Electromagnetics, IEEE Trans.Antennas Propagation,vol 55,pp.723730,Mar.2007.
S.O.Kundukulam and K.S.Beenamole, Optimization of radiation
pattern using genetic algorithmProceedings of IEEE International
Symposium on Microwaves (ISM), Bangalore, and 2006.pp 74-79.
R. L. Haupt and Sue Ellen Haupt, Practical Genetic Algorithms, 2nd ed.,
Wiley, New York, 2004.
Canabal,.A, R.P.Jedlicka ,A.G.Pino, Multifunctional phased array
antenna design for satellite tracking ,Science Direct, Acta Astronautics
57(2005) pg 887-900.

[15]

[16]
[17]
[18]

[19]

[20]
[21]

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A.Recioui,A.Aarar, Use of Genetic algorithms in linear and planar

antenna array synthesis based on schelkunff method,Wiley ,Microwave
and Optical Technology Letters/Vol 49,No.7,July 2007.
Satapathy.J.K, Subhashini.K.R, Tabu based back propagation algorithm
for improvement of performance in Digital communication channel,in
Proc, TENCON 2008, IEEE Region 10 conference.India.Nov.2008 pp.16
MohammadShihab,YahyaNajjar,NihadDib, M.KhodierDesign of nonuniform
circular
antenna
arrays
using
particle
swarm
optimization,Elsevier ,Journal of Electrical EngineeringVol 59,No.4,
2008,216-220.
Ferreira, J. A. and F. Ares, Pattern synthesis of conformal arrays by the
simulated annealing technique," Electron. Lett., Vol. 33,No. 14, 11871189, July 3, 1997.
Merad, L., F. Bendimerad, and S. Meriah, Design of linear antenna
arrays for side lobe reduction using the tabu search method," The
International Arab Journal of InformationTechnology, Vol. 5, No. 3,
219-222, July 2008.
Guney, K. and S. Basbug, Interference suppression of linear antenna
arrays by amplitude-only control using a bacterial foraging algorithm"
Progress In Electromagnetics Research, PIER 79, 475-497, 2008
Rocha-Alicano, C, D. Covarrubias-Rosales, C. Brizuela-Rodriguez, and
M. Panduro-Mendoza, Differential evolution algorithm applied to sidelobe level reduction on a planar array,"AEU International Journal of
Electronic and Communications, Vol. 61, No. 5, 286-290, 2007.
J. Kennedy and R. C. Eberhart, Particle swarm optimization,inProc.
IEEE Conf. Neural Networks IV, Piscataway, NJ, 1995.
R. Poli, Analysis of the publications on the applications of particle
swarm optimization, J.ArtificialEvol. Appl., Article ID 685175, 10
pages, 2008.
M. Khodier and C. Christodoulou, Linear array geometry synthesis
with minimum side-lobelevel and null control using particle swarm
optimization, IEEE Trans. Antennas Propagationvol. 53, no. 8, pp.
26742679, Aug. 2005
Khodier, M. and M. Al-Aqeel, Linear and circular array optimization:
A study using particle swarm intelligence," ProgressIn Electromagnetics
Research, PIER 15, 347-373, 2009.
U. Singh, H. Kumar and T. S. Kamal ,Linear array synthesis using
biogeography based optimization, Progress In Electromagnetics
Research M, Vol. 11, 25-36, 2010
Said M. Mikki and Ahmed A. Kishk,Particle Swarm Optimization: A
Physics-Based Approach, Morgan & Claypool,2008

Performance Evaluation of Unipolar AC-AC Converter-fed

Induction Motor Drive using SVPWM Technique
Rajneesh Mishra*, S. P. Singh**, Deependra Singh**, Dinesh Kumar***

Abstract--This paper investigates the performance of

II. FUNDAMENTAL OF UNIPOLAR CONVERTER AND

BACK TO BACK VOLTAGE SOURCE CONVERTER

an unipolar AC-AC converter fed three-phase

induction motor drive using indirect space vector
modulation technique. Modeling and simulation of
the drive under comprised with the back to back
voltage source converter under different loading
conditions are presented in the MATLAB/Simulink
environment. The simulation has been carried out on
a 3 hp 60 Hz induction motor using
MATLAB/Simulink
and
resulting
waveforms
corresponding to different loading conditions are
presented to demonstrate the effectiveness of the
proposed scheme.

The circuit of unipolar AC-AC converter system

developed in MATLAB/Simulink is shown in Fig. 1.
S4

S1

THREE
PHASE
SUPPLY

KeywordsBack to Back VSC, indirect SVPWM,

induction motor drive, input filter, unipolar AC-AC
converter.

S5

S2

S7

S8

S3

S6

S9

3-PHASE
IM

Fig.1 3-phase unipolar AC/AC converter

A three-phase supply is provided through an LC

filter, which eliminates the harmonics from the
supply side, to AC-AC converter having nine IGBT
switches. These nine switches are used for the both
rectification and inverter stages. Back to Back
voltage source converter is shown below in fig. 2.in
which three-phase supply is also provided through an
LC filter. The Back to Back Voltage source converter
requires relatively high number of active switches
such as insulated gate bipolar transistors (IGBTs).It
requires the twelve IGBT switches in which six
IGBT switches are used for the controlled rectifier
and six IGBT switches are used for the inverter
process. The back to back voltage source converter is
controlled through the space vector pulse width
modulation technique.

I. INTRODUCTION

djustable speed drives are most commonly

controlled through the PWM/SVPWM voltage
source converters. The Unipolar AC-AC converter
system which included nine IGBT switches are used
for the AC-DC-AC conversion employing space
vector PWM control technique [1]. Switches S1, S2,
S4, S5, S7 and S8 are used for the rectification
purpose and switches S2, S3, S5, S6, S8 and S9 are
used for the inversion purpose. This is to be
noticeable that three switches S2, S5 and S8 are
common for the both rectification and inversion
purposes. These three switches are forced
commutated through the SVPWM technique. An
input filter is also used for eliminating the unwanted
signal from the source side. The Unipolar AC-AC
converters are comprised with back to back voltage
source converter [2], [3].

THREE
PHASE
SUPPLY

* Corresponding Author: M. Tech Student, Dept. of Electrical

Engineering, Kamla Nehru Institute of Technology, Sultanpur 228118 (U.P.), India.
(e-mail: rajneeshmishra04@gmail.com)
** Department of Electrical Engineering, Kamla Nehru Institute of
Technology, Sultanpur - 228118 (U.P.), India.
(e-mail: singhsurya12@gmail.com, deependra_knit@yahoo.com,
*** M. Tech Student, Dept. of Electrical Engineering, Kamla
Nehru Institute of Technology, Sultanpur - 228118 (U.P.), India.
(e-mail: dk171987@gmail.com)

V1

V2

V3

S1

S3

S5

S4

S6

S2

S7

S9

S11

3-PHASE
IM

S10

S12

S8

Fig.2 Back to Back voltage source converter

In the present paper unipolar nine-IGBT AC-AC

converter switching is accomplished through the
space vector modulation technique [1],[13] in which

978-1-4673-0455-9/12/$31.00 2012 IEEE

826

TABLE I. SWITCHING STATE OF UNIPOLAR AC-AC

CONVERTER

three switching states are used for the switching of

each leg of unipolar ac-ac converter. In the first state
switch S1 and S2 are in ON mode and the third switch
S3 in the OFF mode. In the second state switch S4 is
in OFF mode and switch S5 and S6 are in the ON
mode, and in the final state switch S7 and S9 are in
ON state and switch S8 in OFF state. In the nineswitch topology, the control of the input and output
voltages has to be accomplished through the three
switches on each leg. Because the middle switches
are shared by the rectifier and inverter, the AC-AC
converter has only three switching states per phase,
as described in Table-II. It implies that the inverter
leg voltage

Unipolar AC-AC converter

Switching state
S1

S2

S3

Van

Vxn

ON

ON

OFF

Vd

Vd

S4

S5

S6

Van

Vxn

OFF

ON

ON

S7

S8

S9

Van

Vxn

ON

OFF

ON

Vd

v xn cannot be higher than the rectifier leg

voltage van at any instant. This, in fact, is the main

constraint for the carrier-based continuous space
vector (SVPWM), established in this paper.

TABLE II. SWITCHING STATE OF BACK TO BACK

VOLTAGE SOURCE CONVERTER AND CONVERTER
LEG VOLTAGE

III. MODULATION TECHNIQUE

Back to back voltage source converter

Space Vector PWM (SVPWM)

This control technique is based on the fact that three
phase voltage vectors of the induction motor can be
converted into a single rotating vector. Rotation of
this space vector can be implemented by VFD to
generate three-phase sine waves. The advantages are
less harmonic magnitude at the PWM switching
frequency due to averaging, less memory requirement
compared to sinusoidal PWM, etc. The disadvantages
are not full utilization of the DC bus voltage, more
calculation required, etc [22], [23].
Space Vector Modulation techniques are following
two types.

Switching
state

S1

ON

OFF ON

ON

OFF ON

S2

S3

Van Vxn
S4

OFF ON

OFF V
d

OFF ON

OFF OFF ON
ON

Vd

Vd

OFF 0

Vd

a) Open loop Control

b) Close loop Control

1.

The determination of switching instant may be

achieved using space vector modulation technique
based on the representation of switching vectors in plane. The Space vector modulation technique is an
advanced, computation intensive PWM technique
and is possibly the best among all the PWM
techniques for drives applications. Because of its
superior performance characteristics, it is been
finding wide spread application in recent years.

Open Loop Control

Space Vector Modulation is a technique where the

reference voltage is represented as a reference vector
to be generated by the power converter. For the
operation of 3-level inverter, there are 3 switching
states for each inverter leg; [P], [O] and [N]. [P]
denotes that the upper two switches in leg A are on
and the inverter terminal voltage, VAN is + vdc 2 ,
while [N] means that the lower two switches are on
with a terminal voltage of - vdc 2 . Switching state
[O] signifies that the inner two switches are on with
the terminal voltage equals to zero. There are a total
of 27 combination of switching states for NPC
inverter.

Fig. 3 Space Vector representation

827

and slip angular frequencies.

i) Principle of Space Vector PWM

and

is desired and

estimated rotor speed, respectively, and r is

calculated using the back-EMF-based model
reference adaptive system (MRAS) speed estimation
in [21]. r , d r , ir , d s and ir , qs denote the d -axis
component of the rotor-flux-linkage vector and the
dq -axis components of the stator-current vector, in

Treats the sinusoidal voltage as a constant

amplitude vector rotating at constant
frequency.
This PWM technique approximates the
reference voltage vref by a combination of
the eight switching patterns ( v0 to v7 ).

the rotor-flux frame, respectively. i and i are

Coordinate Transformation ( abc reference

frame to the stationary d q frame):
A three-phase voltage vector is transformed
into a vector in the stationary d q coordinate frame
which represents the spatial vector sum of the threephase voltage.

axis components of the stator current vector in stator

frame, and the superscript symbol denotes the
desired value. ia , ib And ic are three phase currents,
and va , vb , vc are three phase voltages. Te denotes the
motor torque.

ii) Realization of Space Vector PWM

The space vector PWM is realized based on the
following steps:
Step1. Determine vd , vq , vref , and angle ( ) .
Step2. Determine time duration To , T1 , T2 .
Step3. Determine the switching time of each
switches.

Fig. 5 Speed-sensing vector-control based IM drive

IV. SYSTEM DESCRIPTION

Suitability of any drive for an application depends on
its behavior under transient and steady state
conditions.
To
study
the
behavior
a
MATLAB/Simulink model is developed to examine
the transient performance of the induction motor
drive. The simulations use the parameters of the 3 hp
60 Hz induction motor. The schematic block diagram
of complete drive system is shown in Fig. 6. The
Unipolar AC -AC Converter-fed Induction Motor
Drive consists of a three phase AC source, a three
phase diode rectifier, a nine switch IGBT and a threephase squirrel cage induction motor with load.

Fig. 4 Space-vector pulse-width modulation Gate pulse generation

2. Close Loop Control (Vector Control)

Fig. 5 shows the rotor-flux-oriented vector
control for IM drives, where Gc is a speed regulator
with the proportional and integral type. The current
closed-loop control implements the current
compensation to force the actual currents track the
desired currents. e and s are respective synchronous

828

THREE PHASE
SUPPLY

INPUT FILTER

UNIPOLAR AC/
AC CONVERTER

DC LINK

THREE PHASE
INDUCTION
MOTOR

OUTPUT FILTER

CONTROLLED SVPWM TECHNIQUE

A MATLAB/Simulink model is developed to

examine the performance of the Unipolar ACAC converter fed induction motor drive as
shown in Fig. 6. A three-phase squirrel-cage
induction motor rated 3 hp, 220 V, 60 Hz; 1725
rpm is fed by a three-phase nine-IGBT AC-AC
converter. The firing pulses to the converter are
generated by the space vector PWM modulator
block of the SPS library. The results are obtained
for rotor speed and electromagnetic torque of the
induction motor.
The performance of the drive is investigated for
the following loading conditions

Case 1: At full load ( T fl = 11.9 N-m)

Fig.6 Block diagram of Unipolar AC -AC Converter-fed Induction

Motor Drive

Case 2: At over load condition ( Tl = 14 N-m)

V. SIMULATIONS AND RESULTS

Case 3: At under load condition ( Tl = 8 N-m)

a) Simulation results of Unipolar converter fed

Induction motor drive with SVPWM
Technique:

Case 4: At no load condition ( Tl =0 N-m)

Fig.9 Rotor speed ( Tl = 14 N-m)

Fig.7 Rotor speed ( T fl = 11.9 N-m)

Fig.10 Electromagnetic torque ( Tl = 14 N-m)

Fig.8 Electromagnetic torque ( T fl = 11.9 N-m)

829

Case 1: At full load ( T fl = 11.9 N-m)

Simulation results of induction motor at full load
condition are shown in Fig. 7-8. The starting current
of stator is high and within 1.11 second, it reaches to
steady state value 8.10 A. Steady state value of rotor
current is 4.47 A. The rotor speed is shown in Fig. 7
and it can be observed that speed reaches at steady
state value 1719 rpm within 1.11 second when motor
is subjected to full load 11.9 N-m. Fig. 8 shows the
electromagnetic torque of the motor of which steady
state value is 11.71 N-m.

Fig.11 Rotor speed ( Tl = 8 N-m)

Case 2: At under load condition ( Tl = 8 N-m)

Simulation results of induction motor at under load
condition are shown in Figures 9-10. The starting
current of stator is high and within 0.88 second, it
reaches to steady state value 7.24 A. Steady state
value of rotor current is 4.91 A. The rotor speed is
shown in Fig. 9 and it can be observed that speed
reaches at steady state value 1747 rpm within 0.88
second when motor is subjected to under load 8 N-m.
Fig. 10 shows the electromagnetic torque of the
motor of which steady state value is 7.80 N-m.

Fig.12 Electromagnetic torque ( Tl = 8 N-m)

Case 3: At over load condition ( Tl =14 N-m)

Simulation results of induction motor at over load
condition are shown in Fig. 11-12. The starting
current of stator is high and within 1.18 second, it
reaches to steady state value 8.68 A. Steady state
value of rotor current is 6.385 A. The rotor speed is
shown in Fig. 11and it can be observed that speed
reaches at steady state value 1704 rpm within 1.18
second when motor is subjected to over load 14 N-m.
Fig. 12 shows the electromagnetic torque of the
motor of which steady state value is 13.82 N-m.

Fig.13 Rotor speed ( Tl =0 N-m)

Case 4: At no load condition ( Tl =0 N-m.)

Simulation results of induction motor at no load
condition are shown in figures 13-14. The starting
current is high and within 0.72 second, it reaches to
steady state value 6.27 A. Steady state value of rotor
current is 0.21 A. The rotor speed is shown in Fig. 13
Fig.14 Electromagnetic torque ( Tl =0 N-m)

830

and it can be observed that speed reaches at steady

state value 1800 rpm within 0.72 second when motor
is subjected to no load 0 N-m. Fig. 14 shows the
electromagnetic torque of the motor of which steady
state value is 0.20 N-m.
b) Simulation results of back to back voltage
source converter fed Induction motor drive
with SVPWM Technique:
The performance of the back to back VSC fed
induction motor drive as shown in Fig. 15-22. A
three-phase squirrel-cage induction motor rated 3 hp,
220 V, 60 Hz; 1725 rpm is fed by a three-phase B2B
Converter. The firing pulses to the converter are
generated by the space vector PWM modulator block
of the SPS library.

Fig.17 Rotor speed ( Tl = 14 N-m)

The performance of the drive is investigated for the

following loading conditions:
Case 1: At constant load (Tfl = 11.9 N-m)
Case 2: At over load condition (T =14 N-m)
Case 3: At under load condition (T = 8 N-m)
Case 4: At no load condition (T = 0 N-m)

Fig.18 Electromagnetic torque ( Tl = 14 N-m)

Fig.19 Rotor speed ( Tl = 8 N-m)

Fig.15 Electromagnetic torque ( T fl = 11.9 N-m)

Fig.20 Electromagnetic torque ( Tl = 8 N-m)

Fig.16 Rotor speed ( T fl = 11.9 N-m)

831

current is high and within 1.1 second, it reaches to

steady state value 7.24 A. The rotor speed is shown
in fig. 19 and it can be observed that speed reaches at
steady state value 1746 rpm within 1.1 second when
motor is subjected to under load 8 N-m. Fig. 20
shows the electromagnetic torque of the motor of
which steady state value is 8.024N-m.
Fig.21 Rotor speed ( Tl = 0 N-m).

Case 4: At No Load Condition (T =0 N-m.)

Simulation results of induction motor at over load
condition are shown in figures 21-22. The starting
current is high and within 0.72 second, it reaches to
steady state value 6.27 A. The rotor speed is shown
in fig.21 and it can be observed that speed reaches at
steady state value 1800 rpm within 0.72 second when
motor is subjected to no load 0 N-m. Fig. 22 shows
the electromagnetic torque of the motor of which
steady state value 0.20N-m.

Fig.22 Electromagnetic torque ( Tl = 0 N-m)

Case 1: At Constant Load (Tfl = 11.9 N-m)

V. CONCLUSIONS

Simulation results of induction motor at constant load

condition are shown in fig. 15-16.The starting current
is high and within 1.4 second, it reaches to steady
state value 8.10 A. The rotor speed is shown in fig.
15 and it can be observed that speed reaches at steady
state value 1717 rpm within 1.4 second when motor
is subjected to constant load 11.9 N-m. Fig. 16 shows
the electromagnetic torque of the motor of which
steady state value is 11.9 N-m.

Three phase Unipolar AC-AC converter fed

induction motor drive is presented. As the unipolar
AC-AC converter is a single stage power conversion
device, it provides tremendous interest in industrial
as well as in domestic application where the variable
frequency and variable speed is needed. In this paper,
Unipolar AC-AC converters are comprised with the
back to back voltage source converter under different
loading
conditions
is
presented
in
the
MATLAB/Simulink environment. We conclude that
the scheme of Unipolar AC-AC converter fed
SVPWM induction motor drive is fast enough and
leads to a satisfactory operation in open loop.

Case 2: At Over Load Condition (T=14N-m)

Simulation results of induction motor at over load
condition are shown in fig. 17-18. The starting
current is high and within 1.64second, it reaches to
steady state value 8.68 A The rotor speed is shown in
fig. 17 and it can be observed that speed reaches at
steady state value 1701 rpm within 1.64 second when
motor is subjected to over load 14 N-m. Fig. 18
shows the electromagnetic torque of the motor of
which steady state value is 14.01 N-m.

APPENDIX
Name plate ratings of induction motor
3-hp, three-phase, 220 V, 60Hz, 4-pole, 1725 r.p.m.
Star connected.
Induction motor parameters

Case 3: At under load condition (T = 8 N-m)

Rs = 0.435 . Rr = 0.816 .

Simulation results of induction motor at under load

condition are shown in figures 19-20. The starting

Lr = 0.004 H Lm = 0.06931H

832

Ls = 0.004 H
J = 0.089 Kgm.

TABLE III: PERFORMANCE TABLE OF UNIPOLAR AC-AC CONVERTER AND BACK TO BACK VOLTAGE SOURCE
CONVERTER FED INDUCTION MOTOR DRIVE
PERFORMANCE
QUANTITIES

OVER LOAD
(14 Nm)
UPC

B2B

Stator current(amp)

8.68

7.891

Rotor
Current (amp.)

6.436

Motor speed (r.p.m.)

Electromagnetic
torque(te)
Settling time (sec.)

CONSTANT LOAD
(11.9 Nm)

N0 LOAD
(0 N-m)

UNDER LOAD
(8 N-m)

UPC

B2B

UPC

B2B

UPC

B2B

8.10

7.434

7.24

6.824

6.27

6.427

1.543

4.47

0.1538

4.91

5.425

0.21

0.2107

1704

1711

1719

1725

174

1751

1800

1800

13.82

14

11.71

11.9

7.80

8.008

0.20

0.03201

1.18

1.55

1.11

1.4

0.88

1.15

0.72

0.8

REFERENCES

[1]

[2]

[3]

[4]

[5]

[6]

[7]

Congwei Liu, BinWu, and Navid R. Zargari, A

Novel Three-Phase Three-Leg AC/AC Converter
Using Nine IGBTs, IEEE TRANSACTIONS
ON POWER ELECTRONICS, VOL. 24, NO. 5,
MAY 2009.
Byung Yeol Bae, Doo Young Lee, Byung Moon
Han, and Young Do Choy, Back-to-Back
Voltage Source Converter with PulseInterleaving Circuit, Proceeding of International
Conference on Electrical Machines and Systems
2007, Oct. 8~11, Seoul, Korea.
Babak
Parkhideh1
and
Subhashish
Bhattacharya, A Practical Approach to
Controlling the Back-to-Back Voltage Source
Converter System, IEEE TRANSACTIONS
ON POWER ELECTRONICS, VOL. 24, NO. 4,
MAY 2008.
A. Bouscayrol, B. Francois, P. Delarue, and J.
Niiranen, Control implementation of a five-leg
AC-AC converter to supply a three-phase
induction machine, IEEE Trans. Power
Electron., vol. 20, no. 1, pp. 107-115, Jan. 2005.
C. B. Jacobina, I. S. de Freitas, E. R. C. da Silva,
A. M. N. Lima, and R. L. A. Ribeiro, Reduced
switch count DC-link AC-AC five-leg
converter, IEEE Trans. Power Electron., vol.
21, no. 5, pp. 1301-1310, Sep. 2006.
R. L. A. Ribeiro, C. B. Jacobina, E. R. C. da
Silva, and A. M. N. Lima, AC-AC converter
with four switch three phase structures, in Proc.
IEEE PESC, 1996, vol. 1, pp. 134-139.
B. Wu, High-power Converters and AC Drives.
Piscataway, NJ: IEEE/Wiley, 2006.

[8]

[9]

[10]

[11]

[12]

[13]

[14]

833

B. Singh, B. N. Singh, A. Chandra, K. AlHaddad, A. Pandey, and D. P. Kothari, A

review of three-phase improved power quality
AC-DC converters, IEEE Trans. Ind. Electron.,
vol. 51, no. 3, pp. 641-660, Jun. 2004.
F. Blaabjerg, S. Freysson, H. H. Hansen, and S.
Hansen, A new optimized space-vector
modulation strategy for a component-minimized
voltage source inverter, IEEE Trans. Power
Electron., vol. 12, no. 4, pp. 704-714, Jul. 1997.
C. B. Jacobina, I. S. de Freitas, and A. M. N.
Lima, DC-link three-phase to- three-phase fourleg converters, IEEE Trans. Ind. Electron., vol.
54, no. 4, pp. 1953-1961, Aug. 2007.
Minibock and J. W. Kolar, Novel concept for
mains voltage proportional input current shaping
of a VIENNA rectifier eliminating controller
multipliers, IEEE Trans. Ind. Electron., vol. 52,
no. 1, pp. 162-170, Feb. 2005.
T. Nussbaumer, M. Baumann, and J.W. Kolar,
Comprehensive design of a three-phase threeswitch buck-type PWM rectifier, IEEE Trans.
Power Electron., vol. 22, no. 2, pp. 551-562,
Mar. 2007.
F. A. B. Batista and I. Barbi, Space vector
modulation applied to three phase three-switch
two-level unidirectional PWM rectifier, IEEE
Trans. Power Electron., vol. 22, no. 6, pp. 22452252, Nov. 2007.
P. W. Wheeler, J. Rodriguez, J. C. Clare, L.
Empringham, and A. Weinstein, Matrix
converters: A technology review, IEEE Trans.
Ind. Electron., vol. 49, no. 2, pp. 276-288, Apr.
2002.

Authors are with the Department of Electrical Engineering, Motilal Nehru

National Institute of Technology, Allahabad-211004, India (e-mail:
er.akbarahmad@gmail.com, akhilesh_gupta08@yahoo.com)

Mixed Simulation of generic power converter

using MATLAB/Simulink and ModelSim
Akbar Ahmad and Akhilesh Kr. Gupta

Abstract In this paper we discuss about the Mixed

Simulation of generic converter using MATLAB and ModelSim.
Generic converter is used to provide fixed DC to variable DC
conversion as well as DC/AC conversion according to their
switching pattern algorithm. This simulation is performed by
using two programs: MATLAB/Simulink and ModelSim. In
recent years MATLAB bridged the gap between system
developer and researcher. As system developer and researcher
are working on same platform so it reduced required time to
translating a research paper or technical specification into
functional specifications. ModelSim used HDL (Hardware
Description Language) simulator. The interface provides direct
bidirectional link between hardware Description Language
(HDL) Simulator, ModelSim, and software, MATLAB/Simulink,
for direct hardware design verification and Mixed Simulation.
The most common method of creating hardware design is by
using HDL such as VHDL or Verilog.

In the second case when switches S1 and S2 are in on state

then the input voltage appears across the output terminal. In
third case when the switches S3 and S4 are switched on the
input with a reverse polarity is appeared across the output
terminal. The different waveform according to switching
algorithms with input are shown in figure 2 (DC input),
figure 3 (DC output) and figure 4 (AC output) respectively.

Index TermsMixed Simulation, HDL, Generic Power

Converter, MATLAB, ModelSim, VHDL.

I. INTRODUCTION
Due to rapid invention in field of power electronics many
different kinds of power electronics of devices have appeared
in recent years and in near future the advancement in power
electronics field will be much more. Generic power converter
is shown in figure 1. In this converter we can get either
variable DC or AC according to switching pattern. Previously
from researcher to system developer technical specification to
functional specification conversion was manual. It involved
generic MATLAB code to flat m-code. Now in MATLAB
based design flow MATLAB can be effectively utilized as a
test bench to evaluate the system performance. HDL codes
can be easily integrated in MATLAB environment. Thus it
reduces the time taken in code conversion.
II. PRINCIPLE AND OPERATION OF GENERIC POWER CONVERTER

Fig. 1. Generic Power Converter

III. ALGORITHM
The switching algorithm is given below:
Case 1: when switch S1 and S2 are on and S3, S4 and S0 are
off
V0 = Vi (state u = +1)
Case 2: when switch S3 and S4 are on and S1, S2 and S0 are
off
V0 = - Vi (state u = -1)
Case 3: when switch S3 is on
V0 = 0
(state u = 0)

As shown in figure 1, generic power converter works on

switching pattern. The operation of the output voltage can be
controlled by on period of the various switches. When switch
S0 is switched on the output is short circuited and hence the
zero output is achieved.

978-1-4673-0455-9/12/$31.00 2012 IEEE

834

the point of view of design methodology, one of the key points

is the simulation of the overall system.
Digital controlling of the generic power converter, usually
designed by means of a hardware description language (HDL)
such as VHDL or Verilog, power stage (analog circuitry) and
the interface (analog to digital A/D converter). There are
specific simulator for analog power stage (MATLAB,
PSPICE, PSIM, etc) and specific simulator for HDL
(ModelSim, etc).
Fig. 2. DC input
V. MATLAB BASED DESIGN
MATLAB provides easy and interactive tools for
simulation. There are a lot of tools defined in MATLAB
which make it fastest. The accuracy provided in MATLAB is
much more in comparison with any other analog simulator
tools. MATLAB is an interpreted language for numerical
computation. It allows one to perform numerical calculations,
and visualize the results without the need for complicated and
time consuming programming.
MATLAB allows its users to accurately solve problems,
produce graphics easily and produce code efficiently.

Fig. 3. DC output

VI. MIXED SIMULATION SIMULINK/MODELSIM

The link that is used for ModelSim is a Mixed Simulation
interface that integrates Electronic Design Automation (EDA)
workflow for field programmable gate array (FPGA) and
application specific integrated circuit (ASIC).this interface
provides bidirectional link between ModelSim like hardware
description language simulator with MATLAB/SIMULINK
software for direct hardware design verification and Mixed
Simulation.
The MATLAB/Simulink function block and ModelSim
commands are used to provide the link for ModelSim
interface.
When ModelSim receives a simulation requests from
Mixed Simulation blocks used in Simulink it responds. Thus
a connection is established between ModelSim and Simulink.
Once a session is started, we can use Simulink and ModelSim
to monitor Simulation progress and results.
Similar to other types of project in Simulink a base project
is written to MATLAB/Simulink environment. This project
consists of Simulink toolboxes and a block that provides a
connection with Simulink and ModelSim.
In this block the input and output are any HDL code such
as VHDL code which we are using in our simulation.
The output of this block is given as the control input for
Simulink toolboxes block.
The Mixed Simulation is shown in figure 5.

(a)

(b)
Fig. 4. (a) 2 level AC output (b) 3 level AC output

Simulink
Design
IV. MODELSIM BASED DESIGN
ModelSim is a verification and simulation tool for VHDL,
Verilog, System Verilog and mixed language designs. From

835

Mixed
Simulation and
Verification

VHDL
Simulation

Fig. 5. ModelSim Mixed Simulation

VII.

DESCRIPTION OF SIMULATION AND RESULTS

The simulation diagram of generic converter in Simulink is

shown in figure 6 and outputs are shown in figure 7 whereas
Mixed Simulation diagram is shown in figure 8.In this
diagram ModelSim block is Simulink block which provides a
communication link between HDL simulator, ModelSim, and
software MATLAB/Simulink.
The simulation code for ModelSim block is written in
hardware description language VHDL. The switching pattern
is generated by VHDL code is in digital form which is being
provided into the on/off switches such as MOSFET/IGBT
used in Simulink simulator.
The outputs obtained by this simulation are shown in
figure 9.

(a)

Continuous
powergui

Pulse
Generator

m Terminator

Ideal Switch

Pulse
Generator 1

g
1

m Terminator 1
2

Pulse
Generator 4
g

+
-v

(b)
Scope

Voltage Measurement

g
1
Pulse
Generator 2

Pulse
Generator 3

m Terminator 2
2

Scope 1
m

+
-v

Ideal Switch 2

Terminator 4

Ideal Switch 1

m Terminator 3

Ideal Switch 3

Fig. 6. Simulink Simulation diagram

(c)
Fig. 7. (a) DC output (b) 2 level AC output (c) 3 level AC
output.

836

lecture on generic converter by which I could be able to

understand the algorithm of generic converters operation.
X.

Ned Mohan, tore M. Undeland, and William P. Robbins, Power

Electronics Converter, Applications and Design, Wiley India, 3rd
edition 2009.
[2] MATLAB Users Guide
[3] EDA Simulator Link MQ 2.5 for Mentor Graphcs ModelSim, The
Mathworks,available at http://www.mathworks.com/products/modelsim.
[4] Douglas L.Perry,VHDL programming by exampleTata McGraw-Hill,
4th edition 2002.
[5] ModelSim SE Users Manual Version 6.0 (2004)
[6] ModelSim SE Foreign Language Interface (FLI) Reference Version6.0
(2004)
[7] Laguna, L.; Prieto, R.; Oliver, J.; Cobos, J.; Top-down methodology
employing hardware description languages (HDLs) for designing digital
control in power converters 11th IEEE International Power Electronics
Congress, 2008. CIEP 2008.
[8] Barragan, L.A.; Urriza, I.; Navarro, D.; Artigas, J.I.; Acero, J.; Burdio,
J.M.; Comparing simulation alternatives of FPGA-based controllers
for switching converters IEEE International Symposium on Industrial
Electronics, 2007. ISIE 2007.
[9] Urriza, I.; Barragan, L.A.; Artigas, J.I.; Acero, J.; Navarro, D.; Burdio,
J.M.; Using Mixed-Signal Simulation to Design a Digital Power
Measurement System for Induction Heating Home Appliances IEEE
International Symposium on Industrial Electronics, 2007. ISIE 2007.

[1]

Fig. 8. Mixed Simulation diagram

Fig. 9. Mixed Simulation output

VIII. CONCLUSION
Simulation is a mandatory step in the design process of a
Power converter. When controller is digitally implemented by
Means of FPGA or ASICs, hardware description languages
are normally used, such as VHDL or Verilog.This work
presents the simulation of a system which is used as DC/DC
converter as well as DC/AC converter and called as generic
converter. The MATLAB allows performing the dynamics of
system while the ModelSim runs a program written in HDL
language VHDL. The kind of simulation done in this paper
allows reducing the risk of significant changes of code for one
future implementation in hardware and elimination of errors.
IX.

REFERENCES

ACKNOWLEDGEMENT

I wish to express my profound thanks to my faculty

Dr. Rajesh Gupta, Associate Professor, MNNIT, for his great
837

Performance Enhancement in MIMO-OFDM

using Improved PTS Technique with Spatial
Multiplexing
(The Most Efficient Way of Communication)
[1]

A.Suban , Ra.Ragavi Brintha [2], M.Gayathri [2], R.Naga Prabha [2]

Assistant Professor, [2] UG-Final year in Electronics and Communication Engineering,
Velammal College of Engineering and Technology,Madurai.
subanece@gmail.com, rabrintha24@gmail.com, mgayathri91@gmail.com, rknagaprabha@gmail.com
[1]

Abstract-- Communication is the field of rapid development

from the recent past. The system that best utilize the novel
performance qualities when combined comes with a tradeoff
that must be subjugated to have an enhanced performance. The
present day 4G technology mainly aims at eliminating such
tradeoff. This technology will be more pronounced when it uses
the proposed MIMO-OFDM for its transmission. But the
significant aspect of consideration is the high PAPR which
arises while integrating these techniques. This work mainly aims
at reducing the high peak powers using Partial Transmit
Sequence(PTS). The compensation when provided for this
system to cut down PAPR will produce a proficient result The
analysis is done here for various MIMOOFDM systems with
M-ary QAM to have a more appropriate system for the
available technologies. The peak power reduction technique is
even more enhanced by introducing the spatial multiplexing
property of the MIMO systems.
Index Terms-- M-ary QAM, OFDM, MIMO, PAPR, PTS.
I. INTRODUCTION
.

or the communication through longer distance we use

modulation techniques. The modulation can be either
analog or digital in nature. Before the advent of reliable
modulation techniques that are well known today the
transmission was done in analog modulations. But due to the
increasing demand and the evolution of digital systems we go
for digital modulation schemes.
In this Digital modulation offers many advantages such as
greater noise immunity and robustness to channel
impairments, easier multiplexing of various forms of
information and greater security. Moreover, digital
transmissions accommodate digital error control codes,
support complex signal conditioning and processing
techniques such as source coding, encryption, equalization
A.Suban is Assistant Professor in the Department of Electronics and
Communication Engineering, Velammal College of Engineering and
Technology,
Madurai-625009,
Tamil
Nadu,
India
(e-mail:
subanece@gmail.com).
Ra.Ragavi Brintha, M.Gayathri, R.Naga Prabha are B.E final year with the
Department of Electronics and Communication Engineering, Velammal College
of Engineering and Technology ,Madurai-625009,Tamil Nadu, India (e-mail:
rabrintha24@gmail.com, mgayathri91@gmail.com, rknagaprabha@gmail.com).

and diversity combining to improve the performance of the

overall Communication link.
But these digital techniques always come with a trade off.
That is an increase in the quality of the signal increases the
bandwidth and vice versa. So there is a need to reduce such
trade off that has an effective communication with less
bandwidth, high data rate & very improved quality.
In this system the bandwidth has been controlled by the
M-ary modulation scheme especially using Quadrature
Amplitude Modulation (QAM). The BER of the signal is
improved using the MIMO antennas. The scheme that
conserves the bandwidth of these multiple antennas is the
OFDM technique.
The proposed schemes aims to integrate the bandwidth
efficient M-ary modulation scheme especially using
Quadrature Amplitude Modulation (QAM) [2].The BER of the
signal is been improved using the MIMO antennas. The
scheme that conserves the bandwidth of these multiple
antennas is the OFDM technique [3]. OFDM peak power
reduction has been a hot topic for over a decade and number
of
techniques
has
appeared
in
the
past and in the recent years to develop a more efficient system
for the future [7], [8]. So an investigation of the above system is
done incorporating the PAPR analysis using CDF discussed
Thus the combination of all these schemes brings the long
term goal of the communication engineers into reality.
Quadrature Amplitude Modulation (QAM) is an attractive
technique to achieve high transmission rate without
increasing the bandwidth. Thus M-ary QAM proves to be the
optimum choice for the system which focuses on the effective
bandwidth utilization.
MIMO is an antenna technology for wireless
communications in which multiple antennas are used at both
for transmission and reception. The antennas at each end of
the communications circuit are combined to minimize errors
and optimize data speed. It increases the capacity of the
wireless channel and delivers simultaneous speed, coverage,
and reliability improvements. The multiple paths in MIMO
can also be used to advantage by the spatial multiplexing
property. In spatial multiplexing, a high rate signal is split

978-1-4673-0455-9/12/$31.00 2012 IEEE

838

into multiple lower rate streams and each stream is

transmitted from a different transmit antenna in the same
frequency channel. It is used to increase the throughput
capability by utilizing several sets of antennas
OFDM is Orthogonal Frequency Division Multiplexing. In
this the single broad band frequency is divided into large
number of parallel narrow band of frequencies. OFDM inbuilt
scheme produces orthogonal carriers by using the Inverse Fast
Fourier Transform (IFFT). In addition to that IFFT is also
used to raise the frequency used in the baseband to that of
transmittable high frequency. Thus this reduces the
interference between the carriers of nearer frequencies.
Moreover the cyclic prefix addition makes us to reduce the
most important problem of the digital communication that is
the Inter Symbol Interference (ISI). By using the frequency
response of sub-carrier used for transmission, the amount of
information for each subband can be altered. On the other
hand these narrow bands have less frequency selective fading.
But performing IFFT in the OFDM block the peak amplitudes
occur in the signal.
Though OFDM has a very high advantage over other
techniques the major shortcoming involved here is the high
Peak to Average Power Ratio [4]. The transmit signals in an
OFDM system can have high peak values in the time domain
since many subcarrier components are added via an IFFT
operation [6]. So there is a need for the reduction in this
detrimental factor

PAPR s t

max s t
E

st

(1)

Where s(t) represents the input signal

In the PTS technique [5][10], an input data block of N symbols
is partitioned into disjoint sub-blocks. The subcarriers in each
sub-block are weighted by a phase factor for that sub-block.
The phase factors are selected such that the PAPR of the
combined signal is minimized

This is also enhanced using the property of spatial

multiplexing of MIMO to further reduce the PAPR.

Fig.1 MIMO-OFDM with M-ary modulation

III. RESULTS AND DISCUSSION

For different modulation with N branch diversity,
assuming channel information is known and also with
maximal-ratio combining (MRC) over fading channel the
performance analysis is made in this work. The noise added
by the channel is also presumed to be Gaussian random noise.
The goal of our analysis is to highlight the performance of
this system by comparing them with various interconnected
systems. For analysis of the effectiveness of this system a
performance measure is made between the SNR (in dB) and
BER.

II. PROPOSED SYSTEM MODEL

This system is the incorporation of all the above mentioned
techniques. The bandwidth is been conserved by the M-ary
modulation techniques. The errors are minimized and
optimized data speed is achieved using MIMO antenna
without any compromise for the bandwidth using OFDM.
The block diagram representing the combination of all
the techniques is shown in Fig.1. In this system, the signal is
M-ary modulated and transmitted in MIMO antenna using
OFDM techniques where the factor of PAPR reduction is also
considered for a better performance than the present existing
models. One of the methods for reducing this PAPR is Partial
Transmit Sequence (PTS). In the PTS technique, an input
data block of N symbols is partitioned into disjoint subblocks. The subcarriers in each sub-block are weighted by a
phase factor for that sub-block. The phase factors are selected
such that the PAPR of the combined signal is minimized.

Fig.2 BER vs. SNR for different modulation techniques

The system shown in Fig.2 consists of a MIMO-OFDM

implementation with different modulation techniques for a
subcarrier of 8. It shows the diverge performance for the
various modulation techniques. From the performance

839

analysis a clear idea can be inferred that QAM shows

enhanced performance than other modulation for MIMO
system because M-QAM modulation technique is the most
suitable technique for combating fading in wireless
communication for its lower error. The probability of symbol
error should keep low to transmit data perfectly from
transmitter to receiver. For efficient transmission of
information in wireless communication the M-QAM shows
the better performance for its lower error probability.
TABLE I
SUMMARY OF DECREASE IN BER FOR DIFFERENT MODULATION TECHNIQUES

Modulation
technique
DPSK
PSK
QAM

SNR(in dB)
-5
-5
-5

Probability of
error
0.3774
0.3774
0.1918

DPSK
PSK
QAM

10
10
10

0.0432
0.0168
0.0028

Fig.4 BER vs. SNR for 8-QAM for various dimensions of MIMO

In table I it is inferred that the probability of error decreases

as the modulation techniques are varied in the order of
DPSK, PSK and QAM respectively. There is a decrease in the
error probability by the factor of 0.1856 observed in QAM
with respect to PSK for MIMO systems. So QAM is more
optimum in coherence with MIMO-OFDM for better
execution.

Fig.4 shows the simulation results for an 8QAM MIMOOFDM system for different MIMO dimensions with a
subcarrier of 8. The increase in performance is observed by
increasing the number of receiver antennas. Thus a
comparison is observed for an 8QAM and 4QAM modulation.
If the number of subcarriers increases, then the occurrence
of the error decreases. This makes OFDM more suitable for
MIMO systems. The orthogonal carriers cause less
interference in a MIMO antenna that is closely placed.
MIMO-OFDM gives more capacity than the conventional
MIMO in presence of multipath as shown in Fig.5

Fig.5 BER vs. SNR for 4-QAM for various subcarrier with dimensions of
MIMO as 22

Fig.3 BER vs. SNR for 4-QAM for various dimensions of MIMO

The Fig.3 the performance analysis of an MIMO-OFDM

system with 4-QAM modulation with a subcarrier of 8 for
different dimensions of MIMO systems i.e. for
22,23,24,34. It is observed that the probability of error
is low in the MIMO dimension of 24 and 34 due to
receivers diversity. The results are simulated only with
MIMOs special features of spatial diversity where same
information is transmitted in all the transmitting antennas for
increased quality. This provides good versions of the signal
through one or more paths, thus reducing the probability of
error as the deepest faded signals can be avoided.

In the above proposed system including the MIMO-OFDM

schemes we find PAPR to be a factor that need to be
considered. So the extension of this system for a better
performance will be possible by reducing this PAPR to the
minimal value possible by a suitable technique. Analysis can
be done on the system based CDF. The initial analysis here is
done for an untrained system involving different subcarriers
without any technique to reduce PAPR.

840

The Fig.6 is the estimation of PAPR for the system with

different subcarriers.

It is inferred from table II that when the PTS technique when

applied to the system with increased number of subcarriers
the reduction the amount of PAPR is proficient for a system
with maximum number of subcarriers.
The above mentioned PTS technique can be enhanced by
using MIMO spatial multiplexing. Under spatial
multiplexing, the input data stream is divided into several
small data streams and it is transmitted in different transmit
antennas. If these signals arrive at the receiver antenna array
with sufficiently different spatial signatures, the receiver can
separate these streams so that the receiver can detect the
correct data. Hence spatial multiplexing along with PTS
technique is incorporated such that there is a considerable
decrease in PAPR which is shown in fig.8 which represents
the performance analysis of PTS with and without spatial
multiplexing. For assumed CCDF, the corresponding PAPR

Fig.6 Effect of PAPR for Different Subcarriers using PAPR (dB) vs. CDF

The system with increased number of subcarriers shows an

increase in the PAPR of the system. So a power reduction
technique is adopted to improve the performance of the
proposed system. PTS technique which is compatible with the
above system is used.
PTS due to the moderate complexity and a better
performance it is thus an attractive candidate for PAPR
reduction. Fig.7 shows the PAPR reduction in a system with
PTS technique. An improved performance is thus obtained by
using a Peak Power Reduction technique along with the
value in db is expressed in table III.
Fig.8 Performance analysis of PTS with and without spatial multiplexing
TABLE II
SUMMARY OF DECREASE IN PAPR FOR DIFFERENT SUBCARRIERS IN
OFDM

CCDF

0.2
0.5
0.7

PAPR(dB)
WITHOUT
MUX
5.95
5.593
5.286

PAPR(dB)
WITH MUX
5.461
4.949
4.616

present system.
Fig.7 Comparison of PAPR for system with PTS and without PTS techniques

IV. CONCLUSION
TABLE II
SUMMARY PAPR WITH AND WITHOUT PTS

CCDF

PAPR (in dB)

Without PTS
6.301

With PTS
5.373

0.2

8.02

6.794

0.4

5.489

4.594

7.449

6.462

The results shown above give an increase in the

performance when an MIMO-OFDM system using QAM
modulation. The high PAPR is the detrimental aspects in this
system. So to have an even superior performance Per Antenna
Power Constrain Technique will also be appended in the
future work. This will form The Most Efficient Way of
Communication.
V. REFERENCES
[1]

841

Chirag Warty and Richard Wai Yu, Resource allocation using ASK, FSK
and PSK modulation techniques with varying M, NAVSEA-Port
hueneme, October 2010.

Van Wyk, J. and Linde, Bit error probability for a M-ary QAM OFDMbased system, IEEE Transaction on Wireless Communication, 2007.
[3] Pussadee Kiratipongvooth and Suvepon Sittichivapak,Bit error
probability of cooperative diversity for M-ary QAM OFDM based
system with best relay selection, IPCSIT vol.6, IACSIT Press, 2011.
[4] Andreas F. Molisch,Wireless Communication 2nd edition,
WileyIndia,2011.
[5] A.Omri and R.Bouallegue, New transmission scheme for MIMO-OFDM
system, International Journal of Next-Generation Networks (IJNGN)
Vol.3, No.1, March 2011.
[6] Seyran Khademi, Thomas Svantesson, Mats Viberg and Thomas Eriksson,
Peak-to-average-power-ratio (PAPR) reduction in WiMAX and OFDM/A
systems, EURASIP Journal on Advances in Signal Processing 2011.
[7] Seung Hee Han and Jae Hong Lee, An overview of peak-to-averagepower-ratio reduction techniques for multicarrier transmission, IEEE
wireless Communications, pp.56-65, April 2005.
[8] Guangyue Lu, Ping Wu and Catharina C. Logothetis, Partial transmit
sequences method for PAPR in real-valued OFDM systems,
[9] Xiayu Zheng, Yao Xie, Jian Li and Petre Stoica, MIMO transmit
beamforming under uniform elemental power constraint, IEEE Trans. on
Signal Processing,vol. 55 no.11, November 2007.
[10] Christian Siegl and Robert F. H. Fischer, Partial transmit sequences for
peak-to-average power reduction in multianna OFDM, EURASIP Journal
onWireless Communications and Networking,volume 2008.
[2]

842

Performance Evaluation of Dynamic Particle

Swarm Optimization
A,

A. Hemlata S. Urade, B. Prof. Rahila Patel

Department Of Computer Science and Engineering, RCERT, Chandrapur (M.S),
A
hmurade@gmail.com
B
Department Of Computer Science and Engineering, RCERT, Chandrapur (M.S),
2
rahila.patel@gmail.com

Abstract-- In this paper the concept of dynamic particle

swarm optimization is introduced. The dynamic PSO is different
from the existing PSOs and some local version of PSO in terms
of swarm size and topology. Experiment conducted for
benchmark functions of single objective optimization problem,
which shows the better performance rather the basic PSO. The
paper also contains the comparative analysis for Simple PSO
and Dynamic PSO which shows the better result for dynamic
PSO rather than simple PSO.

space. As the iterations proceed, the particles will tend to

cluster towards a global optimum.

In each iteration, the fitness function is evaluated to find the

optimality of each proposed solution (particle), and then the
location of each particle is updated to drive towards
convergence. Typically, the optimization process is repeated
about minimum 10,000 times to allow the particles to
converge on the global optimum. If the fitness function is
Index Terms-- Optimization, PSO, Dynamic PSO, complex, then the per-iteration evaluation and update process
Multiobjective Optimization.
will tend to be long. After a while, the particles tend to
converge and repeating the evaluation for all particles per
iteration will not add substantial improvement. Most particles
I. INTRODUCTION
would have converged on extremely close locations that there
is no need to repeat the evaluation and update for each and
PTIMIZATION has been an active area of research for
every one of them.
several decades. As many real-world optimization problems
become increasingly complex, better optimization algorithms
In this paper we have conducted the experimental
are always needed. Unconstrained optimization problems can
performance on some benchmark function with the dynamic
be formulated as a D-dimensional minimization problem as
PSO. The simple PSO is considered as fixed swarm size and
follows:
fixed topological environment. We perform this simulation
Min f (x) x=[x1+x2+..xD]
work with different swarm size in each iteration of PSO and
where D is the number of the parameters to be optimized.
also having variation in topology. The rest of the paper
Subjected to:
organized as follow: section II represents related work
Gi(x) <=0, i=1q
regarding Dynamic PSO, section III describe basic of dynamic
Hj(x) =0, j=q+1 m
particle swarm optimization, section IV describe the
x [Xmin, Xmax]D, q is the number of inequality constraints and experimental performance which is carried out for standard
m-q is the number of equality constraints. The particle swarm benchmark function, and finally section V focus on our
optimizer (PSO) is a relatively new technique. Particle swarm conclusion and future scope.
optimizer (PSO), introduced by Kennedy and Eberhart in
1995, [1] emulates flocking behavior of birds to solve the
II. RELATED WORK
optimization problems. In PSO, each solution is regarded as a
Swarm Intelligence (SI) is an innovative distributed
particle. All particles have fitness values and velocities.
intelligent paradigm for solving optimization problems that
During an iteration of the PSO, each particle accelerated
originally took its inspiration from the biological examples by
independently in the direction of its own personal best
swarming, flocking and herding phenomena in vertebrates.
solution found so far, as well as the direction of the global best
Ant colony optimization, Genetic algorithm, particle swarm
solution discovered so far by any other particle. Therefore, if a
optimization are various evolutionary algorithms proposed by
particle finds a promising new solution, all other particles will
researchers. Due to simplicity in PSO equation and fast
move closer to it, exploring the solution space more
convergence, PSO is found to be best among these. After
thoroughly. Typical implementations of PSO start with a
analysing each parameter in PSO equation Yuhui Shi and
reasonably sized swarm (about 40 particles). These particles
Russell Eberhart [2] proposes new parameter w called
are initialized with a random distribution within the solution
inertia weight in the basic equation. It can be imagined that

978-1-4673-0455-9/12/$31.00 2012 IEEE

843

the search process for PSO without the first part is a process
where the search space statistically shrinks through the
generations. It resembles a local search algorithm. Addition of
this new parameter causes exploration and exploitation in
search space. Firstly value of w was kept static. Later on it
was kept linear from 0.9 to 0.4. Eberhart Russell and Shi
Yuhui [3] in 2000 compare these results with constriction
factor. A small change in equation has been made. When
Clercs constriction method is used, is set to 4 and constant
multiplier is thus set to 0.729. According to Clerc, addition of
constriction factor may be necessary to insure convergence of
particle swarm optimization algorithm The PSO algorithm
with the constriction factor can be considered as a special case
of the algorithm with inertia weight.
F. van den Bergh, A. P.E ngelbrecht invented Guaranteed
Convergence Particle Swarm Optimizer (GCPSO) [4]. The
GCPSO has strong local convergence properties than original
PSO. This algorithm performs much better with the small
number of particle. The new phenomenon is defined called as
stagnation by these GCPSO i.e., if a particles current position
coincides with the global best position particle, then the
particle will only move away from the point if its previous
velocity and w are non-zero. If their previous velocities are
very close to zero, then all the particles will stop moving once
they catch up with the global best particle, which may lead to
premature convergence of the algorithm. In fact, this does not
even guarantee that the algorithm has converged on a local
minimum it merely means that all the particles have
converged on the best position discovered so far by the swarm .
The original PSO is easily fall into local optima in many
optimization problems. The problem of premature
convergence is solved by the OPSO. It allows OPSO [5] to
continue search for global optima by applying opposition
based learning. The OPSO use the concept of Cauchy
mutation operator. The OPSO based on opposition- based
learning method. The OBL method has been given by Hamid
R.Tizhoosh, it is explained as when evaluating a solution x to
a given problem, we can guess the opposite solution of x to get
better solution of x. By doing this the distance from the
optima solution can reduce. The opposite solution x can be
calculated as
x`= a + b - x
where x. R within [a, b]
Hierarchical PSO [6] is known as hierarchical version of PSO
called as H-PSO. In this algorithm the particles are arranged
in a dynamic hierarchy. In H-PSO, a particle is influenced by
its own so far best position and by the best position of the
particle that is directly above it in the hierarchy. In H-PSO, all
particles are arranged in a tree that forms the hierarchy so
that each node of the tree contains exactly one particle. If a
particle at a child node as found a solution that is better than
the best so far solution of particle at parent node, then these
two particles are exchanged. In this algorithm the topology
used as regular tree in which hierarchy is defined in terms of
height and branching degree. This hierarchy gives the

particles different influence on the rest of the swarm with

respect to their fitness. Each particle is neighbored to itself
and its parent in the hierarchy. Only the inner nodes on the
deepest level might have a smaller number of children so that
the maximum difference between the numbers of children of
inner nodes on the deepest level is at most one. In order to
give the best individuals in the swarm a high influence,
particles move up and down the hierarchy.
Mendes [7] proposed another efficient approach which deals
with stagnation is the fully informed particle swarm
optimization algorithm (FIPSO) [7]. FIPSO use best of
neighborhood velocity update strategy. In FIPSO each particle
uses the information from all its neighbors to update its
velocity. The structure of the population topology has,
therefore, a critical impact on the behavior of the algorithm
which in turn affects its performance as an optimizer. It has
been argued that this happens because the simultaneous
influence of all the particles in the swarm confounds the
particle that is updating its velocity, provoking a random
behavior of the particle swarm.
New Particle Swarm Optimization(NPSO)[8] is the idea of
NPSO came from our personal based experience that an
individual not only learns from his or her own and other
individuals previous best, but also learns from his or her own
and other individuals mistakes. Each particle tries to leave its
previous worst position and its groups previous worst
position. NPSO has the better solution result than the
originally PSO as more seeds are needed when the search
dimension gets larger and other parameters might need to
change too. The solutions might get out of local minima with
more random numbers generated. Position change limits may
be tuned too rather than original PSO. Eberhart proposed a
discrete binary version of PSO for binary problems [9]. In
their model a particle will decide on "yes" or " no", "true" or
"false", "include" or "not to include" etc. also this binary
values .In binary PSO, each particle represents its position in
binary values which are 0 or 1. Each particles value can then
be changed (o r better say mutate) from one to zero or vice
versa. In binary PSO the velocity of a particle defined as the
probability that a particle might change its state to one. The
novel binary PSO [9] solve the difficulties those are occurred
in binary PSO. In this algorithm the velocity of a particle is its
probability to change its state from its previous state to its
complement value, rather than the probability of change to 1.
In the PSO world, there exist global and local PSO versions.
Instead of learning from the personal best and the best
position achieved so far by the whole population, in the local
version of PSO, each particles velocity is adjusted according
to its personal best and the best performance achieved so far
within its neighborhood. Kennedy claimed that PSO with
large neighborhood would perform better for simple problems
and PSO with small neighborhoods might perform better on
complex problems [10]. Kennedy and Medes discussed the
effects of different neighborhood topological structures on the

844

local version PSO [11]. Suganthan applied a combined

version of PSO where a local version PSO is run first followed
by a global version of PSO at the end [12]. Hu and Eberhart
proposed a dynamically adjusted neighborhood when they
solve the multi-objective optimization problems using PSO
[13]. In their dynamically adjusted neighborhood, for each
particle, the m closest particles are selected to be its new
neighborhood. Veeramachaneni and his group developed a
new version of PSO; Fitness-Distance-Ratio based PSO (FDRPSO), with near neighbor interactions [14]. When updating
each velocity dimension, the FDR_PSO algorithm selects one
other particle, nbest, which has higher fitness value and near
the particle being updated, in the velocity updating equation.
In Mendes and Kennedys fully informed particle swarm
optimization algorithm, all the neighbors of a particle are
weighted and used to calculate the velocity [15].

III. DYNAMIC PARTICLE SWARM OPTIMIZATION

While searching for food, the birds are either scattered or go
together before they locate the place where they can find the
food. While the birds are searching for food from one place to
another, there is always a bird that can smell the food very
well, that is, the bird is perceptible of the place where the food
can be found, having the better food resource information.
Because they are transmitting the information, especially the
good information at any time while searching the food from
one place to another, conducted by the good information, the
birds will eventually flock to the place where food can be
found. As far as particle swam optimization algorithm is
concerned, solution swam is compared to the bird swarm, the
birds moving from one place to another is equal to the
development of the solution swarm, good information is equal
to the most optimist solution, and the food resource is equal to
the most optimist solution during the whole course.
Particle swarm optimization is a global optimization
algorithm for dealing with problems in which a best solution
can be represented as a point or surface in an n-dimensional
space. Hypothesis are plotted in this space and seeded with an
initial velocity, as well as communication channel between the
particles. Particles then move through the solution space and
are evaluated according to some fitness function after each
timestamp. Over time particles are accelerated towards those
particles within their grouping which have better fitness
values. In dynamic PSO there is variation with swarm size
and variation in topology.
The dynamic particle swarm optimization concept consists of,
at each time step, changing the velocity of (accelerating) each
particle toward its pbest and lbest (for lbest version).
Acceleration is weighted by random term, with separate
random numbers being generated for acceleration towards
pbest and lbest locations. After finding the best values, the
particle updates its velocity and positions with following
equations.

V[id]=v[ id]+c1*r(id)*(pbest[id ]-x[ id])+c2*r*(id)(gbest[id]x[ id])------ (a)

x[ id] = x[ id]+v[ id]------------------------(b)
where,
v [id ] is particle velocity
x [ id] is the current particle
r (id ) is random number between (0, 1)
c1 and c2 are learning factors usually c1=c2=2.
The pseudo code of the procedure is as follows,
For each particle
Initialize Function value
END
Calculate average fitness value
Do
For each particle
If fitness value is less than average
Consider the particle
Calculate fitness value.
If the fitness value is better than the best
Fitness value (pbest) in history
Set current value as the new pbest.
END
Choose the particle with the best fitness value of all
the particles as the gbest
For each particle
Calculate particle velocity according to equation (a)
Update particle position according equation (b)
END
While maximum iterations or minimum error criteria is not
attained.

IV.

EXPERIMENTAL WORK

Here our aim is to obtain the better optimized values with the
help of this dynamic PSO algorithm. Dynamic PSO can be
defined as varying characteristics of PSO while
experimentation is running. Characteristic include topology,
swarm size, search space. If topology or swarm size can be
change during process, then it is treated as dynamic particle
swarm optimization. So we carry out this simulation work on
some standards benchmark function. And finally we compare
the results with the result obtained by basic PSO. And we get
the better result than Basic PSO. Thus we can get more
optimized value by using Dynamic PSO rather than the PSO.
We perform simulation to study particle behavior for
dynamic PSO and Simple PSO in 2 and 10 dimensional
spaces. Values of parameter involved in equation are
considered as 0.7 for inertia, 1.49 for c1 and c2 and particle
swarm size 40 for first iteration. Simulation has been carried
out for 100000 iterations. Experiment has been conducted for
standard benchmark functions. Following are results found
during experimentation. The comparative result analysis is as

845

follows: - for e.g., for Rastrigin benchmark function we got 0

and 0.0019 for 2 dimensions by using dynamic PSO whereas
the simple PSO gives 9.0428e-005 and 0.0022. Further results
are shown in following table.
TABLE I

COMPARATIVE RESULT ANALYSIS FOR DYNAMIC PSO AND SIMPLE PSO

Benchmark
Functions
Rastrigin

Formula
f ( x) 10n j 1 ( x 2j 10 cos(2 x j ))
n

5.12 x j 5.12

Griewank

x j2

j 1

4000

f ( x) 1

xj
nj 1 cos

Dimensions

Dynamic PSO

Simple PSO

2
10

0
0.0019

9.0428e-005
0.0022

2
10

0
0

9.8608e-005
0.0018

2
10

1
1.7764e-020

1.101
3.4235e-004

2
10

0.02
0.2761

0.231
0.2913

0.022

0.231

600 x j 600
n

Ackley

1
f x 20 e 20e 0.2 x e
n
j 1
2
j

x x

cos(2 xj )
j 1

Sphere

j 1

2
j

100 x j 100

Rosenbrock

n 1

x x
j 1

2
j

10 cos 2 x j

5.12 x j 5.12

.
V.

CONCLUSION AND FUTURE SCOPE

A dynamic particle swarm optimization is introduced in this

paper. From the simulation result we can conclude that the
dynamic PSO having better optimizing performance rather
than simple PSO. This gives us the future direction for
solving multiobjective optimization problems by the dynamic
PSO. It can be assumed that dynamic PSO is better to solve
multiobjective optimization. So future direction is to apply
dynamic PSO on multiobjective optimization.

VI. REFERENCES
James Kennedy and Russel Eberhart, Particle Swarm Intelligence, In
Washington DC 1995.
[2] Yuhui Shi and Russell Eberhart, A Modified Particle Swarm Optimizer,
IEEE 1998.
[3] Xiang-Han Chen, Wei-Ping Lee, Chen yie Liao, Jag-Ting Dai,Adaptive
Constriction Factor for Location-related Particle Swarm, Proceedings of
the 8th WSEAS International Conference on Evolutionary
Computin,Vancouver, British Columbia, Canada, June 19-21, 2007.
[4] F. Vanden Bergh, A. P.E. ngelbrecht A New Locally Convergent Particle
Swarm Optimizers IEEE 2010.
[5] Hui Wang, Youg Lie, Sanyou Zeng, Hui Li, Opposition based particle
swarm algorithm with Cauchy Mutation 2007.
[6] Stefan Janson and Martin Middendorf A hierarchical particle swarm
optimizer and its Adaptive variants IEEE 2007.Macro A.
[7] Montes de Oca and Thomas Stutzle, Fully Informed Particle Swarm
Optimization, IEEE 2007.
[8] Chunming Yang and Dan Simon, A New Particle Swarm Optimization
Technique IEEE 2010.
[9] Mjtavi Ahmadieh Kinanesar, A Novel Binary Particle Swarm
Optimization IEEE 2007.
[10] J. Kennedy, "Small worlds and mega-minds: effects of neighborhood
topology on particle swarm performance ". Proc. of IEEE Congress on
Evolutionary Computation (CEC 1999), Piscataway, NJ. pp. 1931-1938,
1999.
[1]

[11] J. Kennedy and R. Mendes, "Population structure and particle swarm

performance ". Proceedings of the IEEE Congress on Evolutionary
Computation (CEC 2002), Honolulu, Hawaii USA. 2002.
[12] P. N. Suganthan, "Particle swarm optimizer with neighborhood operator,"
Proc. of the IEEE Congress on Evolutionary Computation (CEC 1999),
Piscataway, NJ, pp. 1958-1962, 1999.
[13] X. Hu and R. C. Eberhart, "Multiobjective optimization using dynamic
neighborhood particle swarm optimization," Proc. IEEE Congress on
Evolutionary Computation (CEC 2002), Hawaii, pp. 1677-1681, 2002.
[14] T. Peram, K. Veeramachaneni, and C. K. Mohan, "Fitness-distance-ratio
based particle swarm optimization," Proc. IEEE Swarm Intelligence
System,Indianapolis, Indiana, USA, pp. 174-181, 2003.
[15] R. Mendes, J. Kennedy, and J. Neves, "The fully informed particle swarm:
simpler, maybe better. IEEE Transactions on Evolutionary Computation,
8(3):204 - 210, June 2004.
.

846

PWM Signal Generation using FPGA

S Banerjee, Student Member, IEEE, P Samuel, Member, IEEE, and R Sharma

AbstractThis paper concerns with the digital generation of

Pulse Width Modulation (PWM) signals. The signals are
generated by implementing a Verilog code on FPGA. This
method exploits the parallel processing capabilities of FPGA.
The duty ratio of the signals can be varied easily. This technique
results in reduced hardware.
Index Terms Duty ratio, FPGA, PWM, Verilog.

I. INTRODUCTION

WM is a commonly used technique for controlling power

to electrical devices. Digital generation of PWM signal is
better than analog generation. This is owing to better
reliability, less complexity and ease in generation of digital
signals. A Verilog code has been dumped on a Field
Programmable Gate Array (FPGA) to execute the needful.
The results obtained are in accordance with the theoretical
expectations.
II. PWM SIGNAL GENERATION
The classical analog method of PWM signal generation
uses a comparator. A saw tooth/triangular signal is compared
to a set reference voltage. The output signal is high/low
depending upon whether the reference voltage magnitude is
greater/less than the saw tooth/triangular signal. The duty
ratio can be made to vary by changing the level of the
reference voltage [1]. The term duty ratio describes the
proportion of 'on' time to the regular interval or 'period' of
time; a low duty cycle corresponds to low power, because the
power is off for most of the time. Duty ratio is expressed in
percent, 100% being fully on.

number of inputs while the output frequency is limited by the

maximum value of inbuilt clock of the FPGA used.
IV.

FPGA

FPGA is an integrated circuit designed to be configured by

the customer or designer [2]. The FPGA configuration is
generally
specified
using
a hardware
description
language (HDL), similar to that used for an applicationspecific integrated circuit (ASIC). FPGAs can be used to
implement any logical function that an ASIC could perform.
The ability to update the functionality after shipping, partial
re-configuration of the portion of the design and the low nonrecurring engineering costs relative to an ASIC design, offer
advantages
for
many
applications.
FPGAs
contain programmable logic components called "logic
blocks", and a hierarchy of reconfigurable interconnects that
allow the blocks to be "wired together"somewhat like many
logic gates that can be inter-wired in different configurations.
Logic blocks can be configured to perform complex
combinational,
or
merely
simple logic
gates like AND and XOR. In most FPGAs, the logic blocks
also include memory elements, which may be simple flipflops or more complete blocks of memory.

III. PROPOSED DIGITAL TECHNIQUE

The proposed digital technique involves incrementing a
counter and comparing the counter value with a pre loaded
register value or a value set by the user. The duty cycle can be
changed by varying the value of the register. The output
frequency is set by using another counter within the body of
the same code. The duty ratio variation is constrained by the
Paulson Samuel is Assistant professor in the Department of Electrical
Engineering, Motilal Nehru National Institute of Technology, Allahabad211004, India (e-mail: paulson.samuel@gmail.com).
Rahul Sharma and Sandeep Banerjee are post graduate students in the
Department of Electrical Engineering, Motilal Nehru National Institute of
Technology,
Allahabad-211004,
India
(e-mail:
rahulsharma.knit2006@gmail.com, sandeepbanerjee25@gmail.com).

Fig. 1 Simplified example illustration of a logic cell

A. Spartan 3E FPGA Family

The Spartan 3E family of FPGAs is specifically designed to
meet the needs of high volume, cost-sensitive consumer
electronic applications. The five-member family offers
densities ranging from 100,000 to 1.6 million system gates
[3]. The Spartan-3E family builds on the success of the earlier
Spartan-3 family by increasing the amount of logic per I/O,
significantly reducing the cost per logic cell. New features
improve system performance and reduce the cost of
configuration. These Spartan-3E enhancements, combined
with advanced 90 nm process technology, deliver more

978-1-4673-0455-9/12/$31.00 2012 IEEE

847

functionality and bandwidth per dollar than was previously

possible, setting new standards in the programmable logic
industry. Because of their exceptionally low cost, Spartan-3E
FPGAs are ideally suited to a wide range of consumer
electronics applications, including broadband access, home
networking, display/projection, and digital television
equipment. The Spartan-3E family is a superior alternative to
mask programmed ASICs. FPGAs avoid the high initial cost,
the lengthy development cycles, and the inherent inflexibility
of conventional ASICs. Also, FPGA programmability permits
design upgrades in the field with no hardware replacement
necessary, an impossibility with ASICs.

logic 1s and logic 0s, will encode a zero value over a

collection of several logic transitions.
D. Output for saw-tooth PWM at 2.5KHz (D=1/4 and D=1/2
respectively)

B. Verilog
Verilog is a hardware description language (HDL) used to
model electronic systems. It is most commonly used in the
design, verification, and implementation of digital logic
chips. Verilog includes ways of describing the propagation of
time and signal dependencies (sensitivity). There are two
assignment operators, a blocking assignment (=), and a nonblocking (<=) assignment. The non-blocking assignment
allows designers to describe a state-machine update without
needing to declare and use temporary storage variables (in
any general programming language we need to define some
temporary storage spaces for the operands to be operated on
subsequently; those are temporary storage variables). Since
these concepts are part of Verilog's language semantics,
designers could quickly write descriptions of large circuits, in
a relatively compact and concise form. A Verilog design
consists of a hierarchy of modules. Modules encapsulate
design hierarchy, and communicate with other modules
through a set of declared input, output, and bidirectional
ports. Internally, a module can contain any combination of
the following: net/variable declarations (wire, reg, integer,
etc.), concurrent and sequential statement blocks, and
instances of other modules (sub-hierarchies). Sequential
statements are placed inside a begin/end block and executed
in sequential order within the block. But the blocks
themselves are executed concurrently, qualifying Verilog as a
dataflow language.

E. Output for saw-tooth PWM at 5 KHz (D=1/4 and D=1/2

respectively)

C. Steps for implementing saw-tooth PWM

For implementing saw tooth PWM, a variable PWM_in is
used as a 4-bit digital value to compare with internal counter
PWM_ramp. Whenever internal counter crosses PWM_in,
the output toggles. The duty cycle can be changed by varying
the value of PWM_in. The clock frequency has been set at 2.5
kHz using a counter of maximum count 625. Changing this
count will result in change of output frequency. A counter
setting of 312 will result in an output frequency of about 5
kHz. Output frequency upto 50 MHz can be obtained owing to
the use of the inbuilt oscillator of the FPGA. The output is
obtained as a bit stream. The bit-stream technique uses a
sequence of two uniformly weighted quanta, namely, +Q and
Q, to represent any analog or binary signal. A logical value
of 1 is assigned a +Q, while a logic 0 is assigned a Q.
Thus, a digital square wave, which is an alternating stream of

848

F. Steps for implementing Triangular PWM

In triangular PWM, a variable PWM_in is used as a 4 bit
digital value to compare with internal counter PWM_ramp.
Whenever internal counter crosses PWM_in, the output
toggles. The duty cycle can be changed by varying the value
of PWM_in. The clock frequency has been set at 2.5 kHz
using a counter of maximum count 333. Changing this count
will result in change of output frequency. A counter setting of
166 will result in an output frequency of about 5 kHz. A
status checker dec decides if the slope is positive or
negative. PWM_ramp increments by 1 bit if dec=0 else it
decrements by the same measure. Over a frame of several
quanta, the inversion of a few logic 0s to logic 1s will result
in a positive-valued bit stream, while the inversion of a few
logic 1s to logic 0s will lead to a negative-valued bit stream.

H. Output for triangular PWM at 5KHz (D=1/4 and D=1/2

respectively)

G. Output for triangular PWM at 2.5KHz (D=1/4 and D=1/2

respectively)

V. CONCLUSION
The PWM signal generation can be easily accomplished
by the use of FPGA. A simple technique for the generation of
849

PWM signals has been presented. The technique uses a

bitstream representation and digital logic hardware on an
FPGA to produce digital output signals. The technique is
naturally suited to two-state power switches. FPGA facilitates
PWM generation at any arbitrarily chosen frequency which is
within the clock range of the inbuilt oscillator. The duty cycle
can also be varied by varying the number of inputs which are
high/low. In this paper, saw-tooth and triangular PWM signal
generation has been dealt with. The primary benefit of digital
signals is that they can be handled by simple, standardized
equipments, and the signal can be then dealt with in software
(which is comparatively cheap to change). Moreover, Digital
signals are more tolerant to noise [5]. Verilog coded FPGAs
can also be used for the implementation of more sophisticated
methods like SPWM and SVPWM.
VI. REFERENCES
[1]

[2]
[3]
[4]

[5]

S. Pongswatd, A. Chaikla, P. Ukakimapurn, and K. Tirasesth, Digital

Technique to Generate Variable and Multiple PWM Signals, Innovative
Computing, Information and Control, 2007. ICICIC '07. Second
International Conference on Digital Object Identifier:
10.1109/ICICIC.2007.266 Publication Year: 2007 , Page(s): 457.
http://www.fpga4fun.com/FPGAinfo1.html
http://www.xilinx.com/products/silicon-devices/fpga/index.htm
N. D. Patel, and U. K. Madawala, A Bit-Stream-Based PWM Technique
for Sine-Wave Generation, IEEE TRANSACTIONS ON INDUSTRIAL
ELECTRONICS, VOL. 56, NO. 7, JULY 2009.
http://en.wikipedia.org/wiki/Pulse-width_modulation

850

A Survey on Leakage Current Reduction

Techniques in VLSI Circuits
Sumit Vyas, and Sanjeev Rai

AbstractIn this paper we compare some of the leakage

current reduction techniques. We compare dynamic-power
consumption , propagation delay, and subthreshold leakage
current of each of these methods, with the conventional NAND
circuit and 1-bit full adder in active mode and standby mode.
Library designed using 65nm BSIM4 model of Berkeley
Predictive Technology model has been used to simulate the
leakage current reduction techniques.

weak inversion conduction current between source and drain

in an MOS transistor occurs when gate
voltage is below VTH .The sub-threshold leakage is modeled as
equation (1):
(1)
Where

Index TermsDSM, ITRS

is the thermal voltage.

= threshold voltage in transistor

I. INTRODUCTION

n = the sub-threshold swing coefficient constant [1][2][3]

To achieve higher density and performance and lower

power consumption, CMOS devices have been scaled for
more than 30 years. Transistor delay times decrease by more
than 30% per technology generation, resulting in doubling of
micro-processor performance every two years. Supply voltage
(VDD) has been scaled down in order to keep the power
consumption under control. Hence, the transistor threshold
voltage (VTH) has to be commensurately scaled to maintain a
high drive current and achieve performance improvement [1].
As a result, this demands a reduction of threshold voltage
to maintain performance. Low threshold voltage results in an
exponential increase in the sub-threshold leakage current. On
the other hand as technology scales down, shorter channel
lengths result in increased sub-threshold leakage current
through an off transistor. Therefore, in DSM process static or
leakage power becomes a considerable proportion of the total
power dissipation. For these reasons, static power
consumption, i.e. leakage power dissipation, has become a
significant portion of total power consumption for current and
future silicon technologies [1][2] . High leakage current in
deep-submicrometer regimes is becoming a significant
contributor to power dissipation of CMOS circuits as
threshold voltage, channel length, and gate oxide thickness
are reduced. Subthreshold Leakage Current Sub-threshold or

Where S is sub-threshold Slope

There are four main sources of leakage current in a CMOS

transistor (see Fig. 1.) [1]

Sumit Vyas
is with the Department of Electronics and
Communication Engineering, Motilal Nehru National Institute
of
Technology,
Allahabad-211004,
India
(e-mail:
sumit.clooney@gmail.com).
Sanjeev Rai is with the Department of Electronics and
Communication Engineering, Motilal Nehru National Institute
of
Technology,
Allahabad-211004,
India
(e-mail:
srai@mnnit.ac.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

851

I. Reverse-biased junction leakage current (IREV)

II. Gate induced drain leakage (IGIDL)
III. Gate direct-tunneling leakage (IG)
IV. Subthreshold (weak inversion) leakage (ISUB)

Vdd

Gate
S

IG
source

High Vth

Drain

N+
N+

ISUB
IPT

N+
N+

Logic Core
Low Vth

ID
S

IGIDL
P substrate

High Vth

Gnd
Fig.2. Schematic Diagram of MTCMOS.
Fig. 1. Leakage current components in an NMOS transistor.

II. PREVIOUS LEAKAGE CURRENT CONTROL TECHNIQUES

There are several different approaches tackling leakage.
Each technique provides an efficient way to reduce leakage
power, but disadvantages of each technique limit the
application of each technique. Previously proposed work can
be divided into following techniques:
(1) state-saving techniques: where circuit state (present
value) is retained.
(2) state-destructive techniques: where the current
Boolean output value of the circuit might be lost.
A. Multi Threshold CMOS (MTCMOS) [4]
MTCMOS (multithreshold CMOS) is a dual- technology
Vt that is very effective at reducing leakage currents in the
standby mode. This technique involves using high Vt
transistors to gate the power supplies of a low Vt logic block
as shown in Fig. 2. When the high Vt transistors are turned
on, the low-logic is connected to virtual ground and power,
and switching is performed through fast devices. However, by
introducing an extra series device to the power supplies,
MTCMOS circuits will incur a performance penalty
compared to CMOS circuits, which worsens if the devices are
not sized large enough. When the circuit enters the sleep
mode, the high Vt gating transistors are turned off, resulting
in a very low subthreshold leakage current from to ground
[5], [6], minimize the leakage during the standby used for
active/standby mode control (sleep=0/1 during standby and
active modes respectively).

B. Super Cutoff CMOS (SCCMOS) [7]

As seen from equation 1, the sub-threshold leakage is dependent on the VGS. According to Fig. 3. by using slight negative voltage gate, the sub-threshold current reduces exponentially. The key difference with MTCMOS is that the sleep
transistors have the same low threshold voltage. Because of
using low VTH sleep transistors the additional delay caused by
high VTH sleep transistors can be reduced during active
mode. Although this scheme can improve the performance of
the circuit, like MTCMOS, it can't save the circuit logic state
during standby mode, so the technique results in destruction
of circuit logic state. Another approach used for leakage
power reduction in active mode is the stack technique which
has shown in Fig. 4. Narendra et al. studied the effectiveness
of the stack effect [3].
Vdd
S

Low Vth

Logic Core
Low Vth

S
Low Vth

Gnd

Fig.3. Schematic Diagram of SCCMOS.

C. Stack effect [4]

When there are two or more stacked transistors, the subthreshold leakage is reduced. This reduction depends on the
choice of the input pattern during standby periods because it
852

VDD

determines the number of off transistors in the stack. Turning

off more than one transistor in a stack forces the intermediate
node voltage to go to a higher value than 0. This causes a
negative VGS, a negative VBS (more body effect), and a VDS
reduction (less DIBL) in the top transistor closest to the
outputs, thereby reducing the sub-threshold leakage current
flowing through the stack consider-ably, which is known as
the stack effect. The leakage current decreases monotonously
with the number of stacked off transistors.
However, the forced stack technique cannot save power
consumption in standby mode [8][9].

SWITCH
CONTROL
(S)
HIGH VTH
FORCED
STACK
NETWORK
LOW VTH

IN

OUT

SWITCH
CONTROL
(S)
GND

Fig. 5. Schematic Diagram of MTSCStack.

VDD

Pull Up
Network

SWITCH
CONTROL
(S)
HIGH VTH
IN
Pull Down
Network

FORCED
STACK
NETWORK
LOW VTH

OUT

SWITCH
CONTROL
(S)

Fig.4. Schematic Diagram of Forced Stack.

GND

B. MTSCSTACK Technique [10]

Multi Threshold Super Cut of Stack (MTSCStack)
technique has a combined structure of the following
techniques.
MTCMOS technique
SCCMOS technique
Forced stack technique

Fig. 6. MTSCStack (Active Mode).

During sleep mode in Fig. 6, S = 1 and S = 0 are asserted,

and thus all sleep transistors are turned off. To maintain a
value of 1 in standby mode, NMOS transistor in parallel to
the PMOS sleep transistors is the only source of VDD to the
pull-up network. Similarly, to maintain a value of 0 in
standby mode, PMOS transistor in parallel to the NMOS
sleep transistors is the only source of GND to the pull-down
network.

Unlike the MTCMOS and SCCMOS technique, the

MTSCStack technique can reduce power consumption during
active mode and retain the exact logic state and unlike the
forced stack technique, the MTSCStack technique can save
power consumption during standby mode. Fig. 4. shows
MTSCStack scheme [4]. The sleep transistors of the
MTSCStack operate similar to the sleep transistors used in
the MTCMOS technique in which sleep transistors are turned
on during active mode and turned off during sleep mode.
During active mode in Fig. 6, S = 0 and S = 1 are asserted,
and thus all sleep transistors and transistors in parallel to the
sleep transistors are turned on. This structure can potentially
reduce circuit delay. On the other side stack structure reduces
leakage power during active mode.

VDD
Maintenance 1'

SWITCH
CONTROL
(S)

HIGH VTH
IN

FORCED
STACK
NETWORK
LOW VTH

SWITCH
CONTROL
(S)

=1

OUT

or
=0

Maintenance 0
GND

Fig. 7. MTSCStack (Standby Mode).

853

III. SIMULATION RESULTS

Simulations have been performed using HSPICE in 65
nanometer (nm) standard CMOS technology at room
temperature; with supply voltage 0.7v to estimate power
consumption. We use the BSIM4 model of Model Berkeley
Predictive Technology (BPTM) [11] parameters for the
technologies 65 nanometer (nm) standard CMOS technology
[10][11][12]. 1-bit full adder (Fig. 7) [12] sand NAND circuit
are chosen to compare our MTSCStack technique, SCCMOS
and Forced stack techniques: Dynamic power is measured
with a random input vector changing every clock cycle.

Fig. 9. Out put of MTSCStack NAND GATE.

Fig. 8. Schematic Diagram of 1-bit full adder with MTSCStack technique.

The resulting waveform (Fig. 9. and Fig. 10.) is asserted

cyclically for 500ns and the average power dissipated
measured by HSPICE during this period recorded as dynamic
power. We measure sub-threshold current by varying V(a)
and V(b) to sub-threshold voltage from 0 to 0.18 volt and
V(c)=0.7v as dc source. In this condition average current has
been measured during 0 to 500ns .Table I and II are shown
the result of simulation for full adder and NAND cases
respectively.

Fig. 10. Out put of MTSCStack Full Adder.

s
TABLE I
SIMULATION RESULT OF NAND GATE

854

BTPM
65nm

Propagation
Delay (ns)

Dynamic
Power
(nw)

Base case
SCCMOS
Forced Stack

31.603
49.940
69.448

110.65
125.89
189.63

Sub Threshold
Current
Active Standby
mode
Mode
(nA)
(pA)
10.606
10.580
688.57
4.9205
-

MTSCStack

96.610

219.53

4.9138

[12] A. M. Shams, T. K. Darwish, and M. A. Bayoumi., Performance Analysis

of Low-Power 1-bit CMOS full adder cell , IEEE Transaction on VLSI.
Vol .10, No. 1, pp. 20-29, Jan. 2002.

281.62

TABLE II
SIMULATION RESULT OF FULL ADDER

BTPM
65nm

Propagation
Delay (ns)

Dynamic
Power
(nW)

Base case
SCCMOS
Forced Stack
MTSCStack

193.305
245.025
597.385
839.94

65.774
66.316
82.173
89.829

Sub Threshold
Current
Active Standby
mode
Mode
(nA)
(nA)
194.34
140.50
7.1333
92.581
89.741
0.9126

IV. CONCLUSION
After analyzing various leakage reduction techniques, it
can be concluded that there is a strong correlation between
the three performance metrics: leakage power, dynamic
power and propagation delay. MTSCStack is the most
efficient approach to reduce leakage current but, this
technique has some area and dynamic power consumption
penalty. However it is necessary to trade off between leakage
power, dynamic power and propagation delay.
V. REFERENCES
K. Roy, S. Mukhopadhyay, and H. Mahmoodi-Meimand, Leakage
Current Mechanisms and Leakage Reduction Techniques in Deep-Sub
micrometer CMOS Circuits, Proceedings of the IEEE, Vol.91, No. 2,
pp. 305-327 ,Feb. 2003.Sakurai, Perspective of Low Power
VLSIsIEICE TRAN. ELECTRON.,Vol.87, No.4,
pp.429-436,April
2004.
[2] K. Roy, S. Mukhopadhyay, and H. Mahmoodi-Meimand, Leakage
Current Mechanisms and Leakage Reduction Techniques in Deep-Sub
micrometer CMOS Circuits, Proceedings of the IEEE, Vol.91, No. 2,
pp. 305-327 ,Feb. 2003.
[3] S.G. Nagendra, A. Chandrakasan, Leakage in Nanometer CMOS
Technologies (Series on Integrated Circuits and Systems).Springer press,
2005.
[4] Park J. C. and Mooney V. J., Sleepy Stack Leakage Reduction , IEEE
Transaction on VLSI. Vol .14, No. 11, pp. 1250-1263, Nov. 2006.
[5] Mutoh, S. Douseki, T. Matsuya, Y. Aoki, T. Shigematsu.S. and Yamada
J.,1-V Power Supply High-Speed Digital Circuit Technology with
Multithreshold-Voltage CMOS. IEEE Journal of Solid State Circuits.
Vol .30, No. 8, pp. 847-845, August 1996.
[6] Kao J. T. and Chandrakasan A. P., Dual-Threshold Voltage Technique
for Low-Power Digital Circuits, IEEE Journal of Solid State Circuits.
Vol .35, No. 7, pp. 1009-1018, July 2000.
[7] Kawaguchi H. Nose and Sakurai T., A Super Cutt-Off CMOS
(SCCMOS) Scheme for 0.5-V Supply Voltage with Pico Ampere Standby
Current, IEEE Journal of Solid State Circuits. Vol .35, No. 10, pp.
1498-1501, October 2000.
[8] B. S. Deepaksubramanyam and Adrian Nunez EECS Department of
Syracuse University , Ananlysis of Subthreshold Reduction in CMOS
Digital Circuits Proceedings of the 13th NASA VLSI Symposiom. pp. 1-8,
June 2007.
[9] M. Iijima K. Seto and M.Luma, Low Power SRAM with Boost Driver
Generating Pulsed Word Line Voltages for Sub-1-V Operation, Journal
of Computers. Vol .3, No. 5, pp. 34-40, May 2008.
[10] Gh. Karimi and A. Alimoradi, MTSCStack: An Effective Technique to
Decrease Leakage Power in VLSI Circuits , International Conference on
Electronics Device, System and Applications (ICDSA). Nov. 2010.
[11] www.ptm.asu.in.
[1]

855

Analysis of Notch Loaded Patch Antenna for

C and X bands Applications
Atishay Dixit, Kamakshi, J.A. Ansari,
Department of Electronics and Communication University of Allahabad, India
E-mail-atishay@rediffmail.com
Radiating Patch

Abstract - This paper presents, the analysis of a notch loaded

rectangular patch antenna using circuit theory concept based on
cavity model. The lower and upper resonant frequencies of the
antenna are found to be 7.32 GHz and 10.2 GHz and the
corresponding bandwidth of 11.4% and 7.8%. The dual band
behaviour of the antenna depends on the proposed antenna
dimensions. The proposed antenna simulated with IE3D software.

I . INTRODUCTION
The demand for application of microstrip antenna in various
communication systems has been increasing rapidly due to its
small size, low cost, lightweight, ease of integration with other
microwave components. Microstrip antennas are also used in
various applications that require both transmit and receive
operations simultaneously. They have found most wide
application in radar, satellite communications, wireless
networks, mobile communications and microwave sensors [1].
Various techniques have been realized to achieve dual band
characteristics of microstrip antenna such as connecting shorting
pin[2], loading of slot and notch [3,4] etc.
In the present paper, an attempt has been made to realize
dualband behavior of patch antenna. The details of the
theoretical investigations are given in the following sections.
II. THEORETICAL CONSIDERATIONS
Figure 1 shows the geometrical configuration of the proposed
antenna. The length and width of the patch is
L= 30.0 mm and width W = 29.0 mm.

Ln

Coaxially feed

(b)

Keywords-Dual band, Microstrip Patch Antenna, Notch.

Wn

Dielectric material

Fig. 1. Geometrical configuration of the proposed antenna (a) Top view and (b)
Side view

The current distributions of proposed antenna are shown in

Fig. 2. It is observed that the current distribution for lower
resonance is better than upper resonance.

(a)

A. Analysis of Rectangular Patch Antenna

Rectangular patch is considered as a parallel combination of
capacitance (C1), inductance (L1) and resistance (R1) as shown
in Fig. 3.

W
Probe feed

(b)

Fig.2 The current distribution of the proposed antenna at fr1=7.32GHz and

fr2= 10.2GHz

Substrate

(a)
Fig.3. Equivalent circuit of rectangular patch

978-1-4673-0455-9/12/$31.00 2012 IEEE

856

The values of R1, L1 and C1 can be given as [5]

0 e LW

C1

2h

(1)

L1

R1

y0
L

cos 2

(2)

C1

Qr
C1

(3)

in which,
L = length of the patch

(a)

W = width of the patch

y0 = feed point location
h = thickness of the substrate material.

Qr

4 fh

Where,
c = velocity of light
f = design frequency
e is the effective permittivity of the medium which is given
by [5].

(b)
Fig.4. (a) Equivalent circuit of notch loaded patch (b) modify equivalent circuit

10 h
W

1/ 2

(4)

Where, r = relative permittivity of the substrate material.

Therefore, the impedance of the patch can be derived using Fig.
3 as.

ZP

1
R1

1
1
j L1

(5)

j C1

Series inductance ( L) and series capacitance ( C) can be

calculated as

f r ln
C

(6)

The value of Z01 and Z02 are given as [6], ln is the length of
microstrip lines with widths of w1 and w2, respectively.
and

B. Analysis of Notch Loaded Rectangular Patch Antenna.

As proposed antenna is realized by incorporating notch into

non radiating edges of the rectangular patch, this causes
additional series notch inductance L and gap capacitance C.
Thus resistance R2 [5], inductance L2 and capacitance C2,
defined as L2 = L1 + L and C2

( Z01 Z02 )
tan
16 f r F

C1 C
.
C1
C

k'

1
2 ln 0 ln
1

k'
k'

ln coth

s
4h

0.013

h
s

(7)

1 k2

The value of k2 is given as [6]

It may be noted that these two resonant circuits couples
through coupling capacitance (Cc). Thus the equivalent circuit
of the proposed design can be shown in Fig. 5.

857

III. DESIGN SPECIFICATION

Table 1: Design specification for notch loaded rectangular patch
Antenna
Substrate material used
Relative permittivity of the substrate ( r)
Length of the patch (L)
Width of the patch (W)
Thickness of the dielectric substrate (h1)
Length of the notch on patch (Ln)
Width of the notch on patch Wn)
Feeding point (x0, y0)

RT-duriod
2.32
30.0mm
29.0mm
10.0mm
15.0mm
2.0mm
(0, -1)mm

IV. RESULTS AND DISCUSSION

The variation of return loss with frequency for notch loaded
rectangular patch antenna is shown in Fig. 6. From the figure, it
is observed that the antenna resonates at two frequencies (fr1 =
7.32 GHz, fr2 = 10.2 GHz) and -10dB bandwidth is found to be
5.96% for lower resonance whereas it is 11.08% for higher
resonance frequency.

Fig.5. Equivalent circuit of proposed antenna

Where Cc is the coupling capacitance between two resonant

circuits given as

Cc

C1 C2 2
2

( C1 C2 )

CCT ( 1 1 / kc2 )

(8)

-5
Return loss (dB)

Where,
kc = coupling coefficient

kc

1
Q1Q2

The equivalent circuit of the notch loaded patch antenna is

shown is Fig.5: from this one can calculate its total input
impedance as

Z patchZ notch

-15

-20

and Q1 and Q2 are quality factors of the two resonant circuits.

Ze

-10

-25

Simulated

8
9
10
Frequency (GHz)

Fig.6. Variation of return loss with frequency for proposed antenna

Z patch Z natch

From Fig.7. it is found that the radiation pattern of the proposed

antenna at lower (fr1=7.32GHz) and upper resonance (fr2=10.2
0
0
GHz) for = 0 and = 90

Whereas ,

1
1
R1

j C1

1
j L1

And

Z notch

1
1
R2

j C2

1
j L2

12

(9)

In which Zpatch and Znotch is the input impedance of the

rectangular patch and notch loaded rectangular patch
respectively.

Z patch

11

1
j Cc
(a)

858

60
50

Efficiency (%)

Efficiency
40
30
20

(b)
Fig.7. Radiation pattern of proposed antenna for lower and upper resonance
frequency

10

The gain of the proposed patch antenna at both resonant

frequencies is shown in Fig. 8. The maximum achievable peak
gain is 5.9dB and 3.0dB for lower and upper resonance
respectively. The gain at lower resonance is higher than upper
resonance because it depends on resonating behaviour of the
antenna.

8
9
10
Frequency (GHz)

11

12

Fig.9. Variation of efficiency with frequency for proposed antenna

V. CONCLUSION
From the analysis, it is concluded that the resonance and
Band width of the antenna depend on the parameters of the
notch cut in the Patch.

6
Gain

VI. REFERENCES
Gain (dB)

2
0

-2
-4

-6

8
9
10
11
Frequency (GHz)
Fig.8. Variation of gain with frequency for proposed antenna

12

Fig. 9. Shows the efficiency of the proposed antenna. 59%

to 31% efficiency is obtained for lower and upper resonance.

[1] A. Mishra, P. Singh, N.P. Yadav, and J.A. Ansari, "Compact

shorted microstrip patch antenna for dual band operation,"
Progress In Electromagnetics Research C, Vol. 9. pp. 171-182,
2009.
[2] J.A. Ansari and A. Mishra and B.R. Vishvakarma "Half U-slot
loaded semicircular disk patch antenna for GSM mobile phone and
optical communication." Progress In Electromagnetics Research
C, Vol. 18, pp. 31-45, 2011.
[3] M.C. Mukandatimana, T.A. INRS-E.M.T. Denidni, Que.
Montreal, "A multi-resonator microstrip-fed patch antenna for
broadband dualband operation,"IEEE, Antennas Propag. Society
Int. Symp., vol. 4, pp. 4292-4295, June 2004.
[4] J.A. Ansari and A. Mishra, N.P. Yadava, P. Singh, B.R.
Vishvakarma, "Analysis of W-slot loaded patch antenna for
dualband operation," Int. J. Electron, Commun., vol.66, pp.3238,2012.
[5] R. Garg, P.l Bhartia, I.J. Bhal and A. lttipiboon, Microstrip
antenna design, Hand book Artech house New York 2001.
[6] J.A. Ansari, Satya Kesh Dubey, Anurag Mishra, "Analysis of half
E-shaped patch for wideband application," Microwave Opt. Tech.
Lett., Vol. 51, Issue 6, pp. 1576-1580, June 2009.

859

A High Performance Fuzzy-Fuzzy Controlled

CSI-fed Induction Motor Drive
Dinesh Kumar, S. M. Tripathi, and A. K. Pandey

AbstractIn this paper, a high performance fuzzy-fuzzy

controlled current source inverter-fed induction motor drive
system is reported. Fuzzy logic based speed and current
controllers are used in the realization of closed loop control
structure of the drive system. The performance of the drive is
analyzed analytically both for the alteration in reference speed
and for alteration in load torque using MATLAB simulation.
Index Terms-Current source inverter, fuzzy controller, induction
motor drive.

I.

INTRODUCTION

HERE ARE several ways for speed control of induction

motors fed through the voltage/current source inverters
using different modulation techniques [1]. Researchers,
scientist and engineers are continuously inventing the new
techniques and methods that cover the speed control
requirements of the drive. Advanced control techniques such
as fuzzy, neuro-fuzzy, genetic algorithm, sliding mode control
etc. have also been extensively used in motion control
applications [2]-[3]. Fuzzy logic control is one of the most
interesting techniques. Fuzzy theory can effectively be applied
to handle efficiently very complex closed-loop control
problems, reducing, in many cases, engineering time and
costs. Fuzzy control also supports nonlinear design techniques
that are now being exploited in motor control applications. In
this paper, the performance of a closed loop current source
inverter fed induction motor drive using fuzzy logic current
and speed controllers has been reported and analyzed both for
step variation in reference speed and step variation in load
torque.

speed ( sl* ) which is required to calculate reference DC link

current ( I ref ). It is also used in the calculation of switching
frequency ( e ) of the inverter. The detailed mathematical
modeling of the induction motor, PWM controlled rectifier,
current source inverter, DC link and capacitor bank has been
done in [1] using synchronously rotating de-qe reference frame
as follows:
(A) Three-phase PWM rectifier
The converter is modeled for twelve numbers of equal pulses
per cycle. It leads to two pulses per 60 each of width. The
average output voltage of the PWM rectifier can be expressed
as follows:

3 2

vr

vLL

(1)

(B) Three-phase PWM inverter

The inverter input voltage vinp is given as
e
1.5k vqs

vinp

(2)

Where,
max . value of fundamental inverter line current
k
DC link current ( I DC )
3-phase supply

ref

Ref.
speed

Fuzzy
speed
conroller

max

Iref

sl
sl

min

IDC

sl

Fuzzy
current
controller

Rf

PWM
controlled
rectfier

Lf

PWM
inverter
and
control

IDC

Reference current calculator block

II. SYSTEM DESCRIPTION

i ref

i act

ic '

2
K

Ireact K2

sl

3 I..M.

C C

Genr field

Const
r

DCGen
..

The fuzzy controlled current source inverter fed induction

motor drive system is shown in Figure 1. The outer speed
controller compares the reference speed and the actual rotor
speed and processes the speed error to obtain the reference slip

Ic1

Iact

Rl

Iact K1 sl const

D.C.

Pulse
encoder

sl

Dinesh Kumar is an M. Tech. student in the Department of Electrical

Engineering, Kamla Nehru Institute of Technology, Sultanpur - 228118, India
(e-mail: dk171987@gmail.com).
S. M. Tripathi is with the Department of Electrical Engineering, Kamla
Nehru Institute of Technology, Sultanpur - 228118, India (e-mail:
mani_excel@yahoo.co.in).
A. K. Pandey is with the Department of Electrical Engineering, Madan
Mohan Malaviya Engineering College, Gorakhpur - 273010 India (e-mail:
akp1234@gmail.com).

I react

Ic

K11

2
C

Fig. 1. Fuzzy-fuzzy controlled CSI fed induction motor drive

(C) DC link
The rectifier output voltage Vr is the sum of the inverter input

978-1-4673-0455-9/12/$31.00 2012 IEEE

860

voltage Vinv and DC link voltage, hence

Vr

1.5 k Vqs

Rf

pL f I DC

(3)

(D) Three phase induction motor

The motor can be described in ' d
follows:

vqse

RS iqse

e
ds

pLS iqse

e
e s ds

e
S ds

Li

e
m qr

pL i

Ri
sl

Ls iqse

L i

pLm idre

q e ' reference frame as

pLm iqse

e
S ds

e
e m ds

e
r qr

e
r qr

pL i

e
m qr

e
sl Lm idr

Ri

Li

pL i

e
sl Lr idr

Rr idre

e
e m qs

L i

(4)

e
m ds

pL i
sl

input variable change in current error (ei ) has three

normalized triangular membership functions as shown in Figs.
3-4. The output variable change in rectifier voltage (Vr)
also has nine normalized triangular membership functions as
depicted in Fig. 5. A total of 27 fuzzy IF-THEN rules are
generated as given in Table I. The three dimensional surface
view of the fuzzy current controller is shown in Fig. 6.

e
r qr

Li

(5)
(6)

pLr idre

(7)

Fig.3. Membership functions for input variable current error

(E) Three-phase capacitor bank

The capacitor current is related to the stator voltage of the
induction motor, as shown below:

ic

dvs
dt

(8)
Fig.4. Membership functions for input variable change in current error

III. FUZZY LOGIC CONTROLLER

Fuzzy logic controllers are often been found to be superior to
conventional controllers especially when information being
processed is inexact or uncertain [4]. A symbolic block
diagram of a fuzzy logic controller is shown in Fig. 2. The
four principal components of a FLC being a fuzzification
interface, a knowledge-base, decision-making logic, and a
defuzzification interface [5]. Fuzzy logic uses linguistic
variables instead of numerical variables. The process of
converting a numerical variable into a linguistic variable is
called fuzzification and the reverse of the fuzzification is
called defuzzification [6]-[7]. Mamdani type fuzzy controller
is used in this work.

Fig.5. Membership functions for output variable change in voltage

Knowledge
base

inputs

Decision
Making
logic

Fuzzification
interface

Defuzzification
interface

process

Fig.6. Surface view of fuzzy current controller

output

TABLE I. RULE BASE FOR FUZZY CURRENT CONTROLLER

Fig.2. Basic fuzzy logic controller block diagram.

The linguistic definitions used are as follows:

Z= Zero N=Negative NB=Negative big
NM=
Negative medium NS=Negative small
NVS=Negative
very small PVS=Positive very small PS=Positive
small
PM=Positive medium PB=Positive big
P=Positive
A. Fuzzy Current Controller
The first input variable current error (ei ) has nine
normalized triangular membership functions and the second
861

CE

NVB

NVB

NVB

NB

NB

NVB

NB

NM

NM

NB

NM

NS

NS

NM

NS

NS

PS

PS

PS

PM

PM

PS

PM

PB

PB

PM

PB

PVB

PM

NS

PS

PM

PB

PVB

PVB

PVB

PB

PVB

PVB

PB

PS

PM

PB

PVB

PVB

PVB

B. Fuzzy Speed Controller

The first input variable speed error (es) has seven
normalized triangular membership functions and the second
input variable change in speed error (es) also has seven
normalized triangular membership functions as shown in Figs.
7-8. The output variable change in slip speed (sl) has nine
normalized triangular membership functions as shown in
Fig. 9. A total of 49 fuzzy IF-THEN rules are constructed as
given in Table II. The three dimensional surface view of the
fuzzy speed controller is shown in Fig. 10.

IV. SIMULATION RESULTS AND DISCUSSIONS

The performance of fuzzy-fuzzy controlled current-source
inverter fed induction motor drive is investigated through the
MATLAB simulation for the following cases:
(i) Starting (0 to 298.29 rad/s)
(ii) Speed deceleration (298.29 rad/s to 225 rad/s)
(iii) Speed acceleration (225 rad/s to 275 rad/s)
(iv) Speed acceleration (275 rad/s to 298.29 rad/s)
(v) Speed deceleration (298.29 rad/s to 275 rad/s)
(vi) Speed deceleration (275 rad/s to 225 rad/s)
(vii) Speed reversal (225 rad/s to -298.29 rad/s)
(viii) Speed reversal (-298.29 rad/s to 275 rad/s)
(ix) Increase in load torque (1.31N-m to 1.85 N-m)
(x) Decrease in load torque (1.85 N-m to 1.00 N-m )
(xi) Increase in load torque (1.00 N-m to 1.31 N-m)
The current and speed responses of the drive for aforesaid
cases are shown in Figs.11-32.

Fig.7. Membership functions for input variable speed error

Fig.8. Membership functions for input variable change in speed error

Fig. 11. Speed response of the drive during starting (0 to 298.29 rad/s)

Fig.9. Membership functions for output variable change in slip-speed

Fig. 12. Current response of the drive during starting (0 to 298.29 rad/s)

Fig. 13. Speed response for step change in reference speed (298.29 rad/s to
225 rad/s)

Fig.10. Surface view of fuzzy speed controller

TABLE II. RULE BASE FOR FUZZY SPEED CONTROLLER

CE
E

NB

NM

NS

PS

PM

PB

NB

NVB

NVB

NVB

NB

NM

NS

NM

NVB

NVB

NB

NM

NS

PS

NS

NVB

NB

NM

NS

PS

PM

NB

NM

NS

PS

PM

PB

PS

NM

NS

PS

PM

PB

PVB

862

Fig. 14. Current response for step change in reference speed (298.29 rad/s to
225 rad/s)

Fig. 15. Speed response for step change in reference speed (225 rad/s to 275
rad/s)

Fig. 16. Current response for step change in reference speed (225 rad/s to
275 rad/s)

Fig. 17. Speed response for step change in reference speed (275 rad/s to
298.29 rad/s)

Fig. 20. Current response for step change in reference speed (298.29 rad/s to
275 rad/s)

Fig. 21. Speed response for step change in reference speed (275 rad/s to 225
rad/s)

Fig. 22. Current response for step change in reference speed (275 rad/s to
225 rad/s)

Fig. 23. Speed response for step change in reference speed (225 rad/s to
-298.29 rad/s)

Fig. 18. Current response for step change in reference speed (275 rad/s to
298.29 rad/s)

Fig. 24. Current response for step change in reference speed (225 rad/s to
-298.29 rad/s)

Fig. 19. Speed response for step change in reference speed (298.29 rad/s to
275 rad/s)

Fig. 25. Speed response for step change in reference speed (-298.29 rad/s to
275 rad/s)

863

Fig. 26. Current response for step change in reference speed (-298.29 rad/s
to 275 rad/s)

Fig. 27. Speed response for step change in load torque (1.31 N-m to 1.85 Nm)

Fig. 32. Current response for step change in load torque (1.00 N-m to 1.31
N-m)

Case1: Starting (0 to 298.29 rad/s)

Initially the motor is at standstill. A step speed command of
rated value (298.29 rad/s) from standstill is given to the drive
system. Fuzzy speed controller sets the rotor speed at the
reference speed (298.29 rad/s) with 8.29% overshoot in 2.43
seconds as shown in Fig.11. DC link current is obtained 5.506
A corresponding to the rotor speed (298.29 rad/s) at steadystate as shown in Fig.12.
Case2: Speed deceleration (298.29 rad/s to 225 rad/s)
The reference speed command to the drive system running at
298.29 rad/s is changed to 225 rad/s instantly after 10 seconds
and as a result the motor starts decelerating and the speed
settles to 225 rad/s in 2.70 seconds with 1.15% undershoot as
shown in Fig.13. The steady-state value of the DC link current
corresponding to the reference speed command (225 rad/s)
decreases to 2.569 A as shown in Fig.14.

Fig. 28. Current response for step change in load torque (1.31N-m to 1.85
N-m)

Fig. 29. Speed response for step change in load torque (1.85 N-m to 1.00 Nm)

Fig. 30. Current response for step change in load torque (1.85 N-m to 1.00
N-m)

Fig. 31. Speed response for step change in load torque (1.00 N-m to 1.31 Nm)

Case3: Speed acceleration (225rad/s to 275 rad/s)

The reference speed command to the drive system running at
225 rad/s is changed to 275 rad/s instantly after 20 seconds the
motor starts accelerating and the speed settles to 275 rad/s in
2.22 seconds without overshoot as shown in Fig.15. The
steady-state value of the DC link current corresponding to the
reference speed command (275 rad/s) increase to 4.364 A as
shown in Fig.16.
Case4: Speed acceleration (275rad/s to 298.29 rad/s)
The reference speed command to the drive system running at
275 rad/s is changed to 298.29 rad/s instantly after 30 seconds
the motor starts accelerating and the speed settles to 298.29
rad/s in 2.43 seconds without overshoot as shown in Fig.17.
The steady-state value of the DC link current corresponding to
the reference speed command (298.29 rad/s) increase to 5.504
A as shown in Fig.18.
Case5: Speed deceleration (298.29rad/s to 275 rad/s)
The reference speed command to the drive system running at
298.29 rad/s is changed to 275 rad/s instantly after 40 seconds
the motor starts decelerating and the speed settles to 275 rad/s
in 2.70 seconds without overshoot as shown in Fig.19. The
steady-state value of the DC link current corresponding to the
reference speed command (275 rad/s) decreases to 4.367 A as
shown in Fig.20.
Case6: Speed deceleration (275rad/s to225 rad/s)
The reference speed command to the drive system running at
275 rad/s is changed to 225 rad/s instantly after 50 seconds the
motor starts decelerating and the speed settles to 225 rad/s in
864

2.25 seconds with 0.19 % undershoot as shown in Fig.21. The

steady-state value of the DC link current corresponding to the
reference speed command (225 rad/s) decreases to 2.568 A as
shown in Fig.22.

2.
3.
4.
5.
6.
7.
8.

Case7: Speed reversal (225 rad/s to -298.29 rad/s)

The reference speed command to the drive system running at
225 rad/s is changed to -298.29 rad/s instantly after 60 seconds
the motor starts decelerating and the speed settles to -298.29
rad/s in 2.53 seconds with 4.3 % undershoot as shown in
Fig.23. The steady-state value of the DC link current
corresponding to the reference speed command
(-298.29
rad/s) increases to 5.506 A on account of increased value of
reference speed in reverse direction as shown in Fig.24.
Case8: Speed reversal (-298.29 rad/s to 275 rad/s)
The reference speed command to the drive system running at 298.29 rad/s is changed to 275 rad/s instantly after 70 seconds
the motor starts accelerating and the speed settles to 275 rad/s
in 2.58 seconds with 12.72% overshoot as shown in Fig.25.
The steady-state value of the DC link current corresponding to
the reference speed command (275 rad/s) decreases to 3.645 A
on account of decreased value of reference speed in reversed
direction as shown in Fig.26.
Case9: Increase in load torque (1.31 N-m to 1.85 N-m)
The load torque on the motor running at 275 rad/s is now
increased to 1.85 N-m immediately after 80 seconds the rotor
speed tends to decrease but it again settles to 275 rad/s in 2.10
seconds as shown in Fig.27. It can be observed from Fig.28
that the DC link current corresponding to rotor speed (275
rad/s) and load torque (1.31 N-m) acquires the steady-state
value 5.102 A after small oscillation .

298.29
225
275
298.29
275
225
-298.29

225
275
298.29
275
225
-298.29
275

2.569
4.364
5.504
4.367
2.568
5.506
3.645

1.15%
0.19%
4.30%
12.72%

2.70
2.22
2.43
1.57
2.25
2.53
2.58

Case

TABLE IV. PERFORMANCE OF THE DRIVE FOR EACH ALTERATION IN

LOAD TORQUE KEEPING ROTOR SPEED = 275 RAD/S

9.
10.
11.

Load torque step

From

To

Steady-state
DC link
Current (A)

1.31
1.85
1.00

1.85
1.00
1.31

5.102
3.954
4.420

Speed
overshoot /
undershoo
t
7.60%
12.36%
2.61%

Drive
settling
time(s)
2.10
1.75
2.12

V. CONCLUSIONS
The fuzzy logic based current and speed controllers for a CSI
fed induction motor drive has been discussed and designed.
The performance of the current source inverter fed induction
motor drive using fuzzy current and speed controllers for
different altertions in reference speed and load torque has been
investigated. From the MATLAB simulation results it has
been confirmed that the fuzzy logic speed / currnet controllers
take care of speed and current transients, resulting in quick
settling and hence, high performance of the drive system.
APPENDIX
Name plate ratings of induction motor
1 hp, three-phase, 400 V, 50 Hz, 4-pole, 1425 rpm, star
Induction motor parameters

Case10: Decrease in load torque (1.85 N-m to 1.00 N-m)

The load torque on the motor running at 275 rad/s is reduced
to 1.00 N-m immediately after 90 seconds the rotor speed
tends to increase but it again settles to 275 rad/s in 1.75
seconds as depicted in Fig.29. The steady-state value of the
DC link current corresponding to rotor speed (275 rad/s) and
load torque (1.00 N-m) decreases to 3.954 A as shown in
Fig.30.

Rs = 3.520
Rr = 2.780
Lr = 0.165 H Lm = 0.150 H
DC link parameters
Rf = 0.250 , Lf = 0.040 H

REFERENCES
[1]

Case11: Increase in load torque (1.00 N-m to 1.31 N-m)

The load torque on the motor running at 275 rad/s is now
increased to 1.31 N-m immediately after 100 seconds the rotor
speed tends to decrease but it again settles to 275 rad/s in 2.12
seconds as shown in Fig.31. It can be observed from Fig.32
that the DC link current corresponding to rotor speed (275
rad/s) and load torque (1.31 N-m) acquires the steady-state
value 4.420 A after small oscillation.

[2]

[3]

[4]

TABLE III. PERFORMANCE OF THE DRIVE FOR EACH ALTERATION IN

REFERENCE SPEED KEEPING LOAD TORQUE TL=1.31 N-M
Case

Speed step
From

To

1.

298.29

Steadystate DC
link
current (A)
5.506

Speed
overshoot /
undershoot

Drive
settling
time (s)

8.28%

2.43

Ls = 0.165 H
J = 0.01289 kg-m2

[5]

[6]

865

A.K. Pandey and S.M. Tripathi, Determination of Regulator Parameters

and Transient Analysis of Modified Self-commutating CSI-fed IM
Drive, Journal of Electrical Engineering and Technology, Korean
Institute of Electrical Engineers, Vol. 6, No. 1, pp. 48-58, January 2011.
Miroslaw Wlas, Zbigniew Krzeminski and Hamid A. Toliyat, Neural
Network Based Parameter Estimations of Induction Motors IEEE
Transactions on Industrial Electronics, Vol.55, No. 4, April 2008, pp:
1783-1794.
M. K. Sang, Y. H. Woo, and G. L Chang, Improved Self-tuning Fuzzy
PID Controller for Speed Control of Induction Motor, IEEJ Trans. IA,
Vol.124, No.7, 2004, pp: 646-651.
Sayeed A. Mir and Donald S. Zinger Fuzzy Controller for Inverter
Fed Induction Machines IEEE transactions on industry applications,
vol. 30. no. 1, January/February, 1994.
W. Martinez and L. Parra Software simulation of a fuzzy logic
controller applied to a hybrid stepper motor Journal of the Mexican
Society of Instrumentation, October 7, 1996.
J. Gayathri Monicka and Dr. N.O.Guna Sekhar Performance Evaluation
of Membership Functions on Fuzzy Logic Controlled AC Voltage
Controller for Speed Control of Induction Motor Drive International
Journal of Computer Applications (0975 8887) Volume 13 No.5,
January 2011.

[7]

Chang-Ming Liaw and Jin-Biau Wang Design and implementation of a

Fuzzy Controller for a High Performance Induction Motor Drive IEEE,
1991.

866

VLSI Implementation of Low-Complexity, High

Speed, Twos Complement Parallel Array Multiplier
for FIR Filter
Pallavi Pandey*, Pritee Pandey*, Nishant Tripathi
National Institute of Electronics & Information Technology (Formerly DOEACC), Gorakhpur Centre
For fast multiplication we need fast multiplier because
multipliers are the important block of FIR filter and they
have significant impact on the complexity and
performance of the design of filter. In this research we
propose
low-complexity
and
high-performance
implementation for FIR filter [6-7].
In this work we propose high-performance
implementation of a new generic twos complement
parallel array multiplier which has been used in the design
of FIR filter. The generic twos complement array
multiplier [6-8], targets the reduction of repetitious
computations in FIR filtering operation and it is based on
Baugh-Wooley algorithm [8].
The rest of this paper is organized in four sections.
Section II describes architecture of FIR filter which is
based on the generic twos complement array multiplier.
Section III presents VLSI implementation of generic
twos complement parallel array multiplier. Results and
conclusion are drawn in section IV.

Abstract: In the design of Finite Impulse Response (FIR)

filter, multipliers are used as an essential component that
enhances the overall performance of the filter. This paper
presents an approach to low-complexity, high speed VLSI
implementation of a new Generic Twos Complement Parallel
Array Multiplier for the FIR filter. To achieve high speed
multiplication one of the most powerful multiplication method
available is Generic Twos Complement Parallel Array
Multiplication technique. This approach is used where twos
complement multiplication is transformed to an equivalent
parallel array addition. The method has the advantages that all
partial product bits are outcome of ANDing of multiplier and
multiplicand bits, also the sign of every partial product bits are
positive always. In the proposed architecture VHDL has been
used to design the basic building blocks for the FIR filter and
the results have been verified through MATLAB FDA tool box.
Keywords- FIR filter, Twos complement parallel array
multiplier, Generic multiplier.

I.

INTRODUCTION

FIR filters are widely used filters in various fields of

Digital Signal Processing (DSP) like image processing,
instrumentation, communications etc. The implementation
of FIR filter has been enthusiastically affected by the
evolvement of the VLSI design technology. The regular
computational structures, programmability and use of
small area with less power consumption in FIR filters are
very well suited for VLSI implementation [1-3]. To
achieve high performance and low power implementation
of FIR filters, several design techniques have been
proposed in the literature [1]. For the FIR filter design
Canonical-sign-digit [4] and Distributed arithmetic [5]
technique are extensively used techniques. FIR filtering
operation involves an inner product of coefficient vector c
with input signals x as shown in the equation below,

II.

FIR FILTER ARCHITECTURE

FIR filters have fixed-duration impulse response that

follows the forward structure due to which they are
unconditionally stable and have exactly linear phase
responses, which are the most preferable conditions for
the design of digital filter. The structure has no non-zero
feedback path hence, FIR filters are also referred as nonrecursive filters.
X(n-1)

X(n)
XAx
isa(0)

X(n-2)

-1

XAx
is a(1)

-1

X(n-7)

XAxi
s a(2)

-1

M 1

y ( n)

ck x(n k )

(1)
X-Axis

k 0

Equation (1) shows the multiplication of filter coefficients

and the filter input.

XAxi
s

XAxi
s

X
a(3)
A
x
i
s

a(6)

Fig. 1. Realization of FIR filter.

* Students M.Tech. (Electronics Design & Technology)

-Contacting Author: Pallavi Pandey(email:pallavipandey03@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

867

-1

XAxis

a(7)

y(n)
XAxi
s

III. VLSI IMPLEMENTATION OF GENERIC TWOS

COMPLEMENT PARALLEL ARRAY MULTIPLIER

The transfer function of an N tap FIR filter is given by

( N 1)

We have used a new generic twos complement array

multiplication algorithm. The basic concept is taken from
the Baugh-Wooley array multiplication technique [8]. The
block diagram of 4-bit twos complement parallel array
multiplier is shown in the Fig.3 where a0, a1, a2, a3 and x0,
x1, x2, x3 are the multiplicand and multiplier respectively
with P0, P1, P2,P3, P4,P5, P6, P7 are outputs. It has very
simple and regular structure which reduces the design
complexity. The components used in the multiplier are
full adder (FA), type1 (T1), type2 (T2), type3 (T3), type4
(T4), type5 (T5), type6 (T6) and type7 (T7). The cell
structure for the generic twos complement parallel array
multiplier is shown in Fig.4.

(2)

X
-

T7

T7

P0

i
X- is

Ax

P1

is

Ax
X-

X-Axis

is

Ax
X-

X-Axis

sX-Axis

a0 x1
X
A
x
i
s

X
A
x
i
s

a1 x1

T6

X
A
x
a3 x 1
i
s

A
s

: Direct Form-II Second

Order Section
Order
:7
Section
:4
Stable
: Yes
Source
: Designed
Response Type : Low Pass
Design Method : FIR Equiripple
Filter Order
:7
-----------------------------------------------------The FIR filter coefficients are:
-0.1338668072703032,

Structure

X
a2 x1

a0 x0

a1 x0

a2 x0

a3 x 0

The FIR filter structure can be realized in many ways,

such as the canonical form, pipelined form, and inverted
form and the canonical form is depicted above in Fig.1
[1]. In the Fig.1 x(n), x(n-1), x(n-2), x(n-3), x(n-4), x(n5), x(n-6), x(n-7) and y(n) are the inputs and output of the
FIR filter respectively. This structure calculates zeros in
the forward path. As depicted the FIR filter
implementation needs three primitive elements: adder,
delay and multiplier. Multiplier is one of the most
important elements which have direct impact on the
performance of the FIR filter. High performance filter
requires high speed multipliers. We have used generic
twos complement parallel array multiplier for the high
speed multiplication requirements.

A
x

a2 x2

T3

a0 x2

T3
X- is

Ax

X
A
x
i
s

X-Axis

xis

A
X-

is

X
A
x
i
s

P2

a2 x3

T4

x
i

T5

X-Axis

xis

FA

a3

A
X-

X
A
x
i
s

X-Axis

is

FA

a0 x3

T5

Ax
X-

is

X
A
x
i
s

X-Axis

Ax
X-

X
A

FA

a1 x3

T2
X-Axis

xis

A
X-

s
X-Axis

X
A
x
i
s

XAxis

X
A
1x
i
s

Ax
X-

X
A

a3

X-Axis

XAxis

x3

a1 x2

T1

X
A
a3 xx2
i
s

X-Axis

a3 x3

XAxis

aN 1 z

XAxis

XAxis

H ( z) a0 a1 z

FA

x3

FA

i
s

P4

P5

P6

P7

P3

xi

xi

xi

xi

xi

Fig. 3. Block diagram of 4-bit twos complement parallel array

multiplier.

-0.083766746130837205,

In the above multiplier structure component type T1,

T2, T3, T4, and T5 is used. The components type T6 and T7
is same as in above Fig. 3 except there is use of half adder
instead of full adder with carry-in. The VHDL realization
of the multiplier has been done by the structural modeling
style using generic and generates statement. For the adder
we have used half adder, full adder and signed adder. The
range for 16 bit signed adder is (215 -1) to (-215). The delay
has been given by the clock. The generic multiplier has
been implemented using VHDL generate statement.

0.40637811335160301,
0.40637811335160301,
0.20256123915312574,
-0.083766746130837205,
-0.1338668072703032
Fig. 2. FIR filter specifications.

In the FIR filter design the input is taken as integer

which has the range from -128 to 127. The FIR filter
design flow starts by taking the random number within
range -128 to +127. The random number has been
obtained through MATLAB. The Filter Design and
Analysis (FDA) tool in MATLAB contains many of the
objects which we need to implement for the FIR transfer
function. These functions include Butterworth,
Chebyshev-I, Chebyshev-II, Elliptic etc. From FDA Tool
we set the specification for FIR filter and got the filter
coefficients. The specifications for the FIR filter
implementation have been taken from MATLAB which
are shown in Fig. 2.

ai

Sum-in
Carry-in

xi

FA,Type
T(1/2/3/4/5)

Sum-out
Carry-out

Fig. 4. Cell structure of generic twos complement parallel array

multiplier.

868

IV. RESULTS AND CONCLUSION

The magnitude response of Infinite Impulse Response
filter obtained through MATLAB Filter Visualization
(FV) tool is shown in Fig. 5.

Fig. 7. Output waveform of FIR filter when reset is 1.

Fig. 5. Magnitude response of FIR filter.

The output waveform of generic twos complement

array multiplier, where n=8 (8-bit) multiplier is shown in
Fig. 6.

Fig. 8. Output waveform of FIR filter when reset is 0.

REFERENCES
[1]

[2]

[3]

Fig. 6. Output waveform of 8-bit twos complement parallel array

multiplier.
[4]

The output waveforms of FIR filter with reset=1 is

shown in Fig. 7. Fig. 8 shows the FIR filter response with
reset =0.
The VLSI implementation of generic twos
complement parallel array multiplier has been done
efficiently and the multiplier has been used in the FIR
filter. The FIR Filter has been implemented successfully
using VHDL, the simulation of the FIR filter has been
done using ModelSim and after the simulation the
response of the filter been verified through MATLAB
FDA toolbox. The filter can be realized in programmable
devices like Field Programmable Gate Array (FPGA), as
well as in the form of an Intellectual Propriety (IP) which
provide flexibility, low cost and less design time.

[5]

[6]
[7]
[8]

869

Chi-Jui Chou, Satish Mohanakrishnan and Joseph Evans, FPGA

Implementation of Digital Filters, International Conference on
Signal Processing Applications and Technology. Berlin, 1993,
Proc. of ICSPAT, pp. 545-553.
E. Costa, P. Flores, J. Monteiro. Exploiting GeneralCoefficient
Representation for the Optimal Sharing of Partial Products in
MCMs, In Symposium on Integrated Circuits and System Design,
Ouro Preto (Minas Gerais), Brazil, 2006.
Jongsun Park, Woopyo Jeong, Hunsoo Choo, Hamid MahmoodiMeimand, Yongtao Wang, Kaushik Roy, High performance and
Low power FIR Filter Design Based on Sharing Multiplication,
School of Electrical and Computer Engineering, Purdue University,
West Lafayette, IN 47906, USA.
H. Samueli, An improved Search Algorithm for the Design of
Multiplierless FIR filter with Powers-of-Two Coefficients, IEEE
Trans. On circuits and systems, Vol. 36, No. 7, pp. 1044-1047,
July. 1989.
S. White, Applications of Distributed Arithmetic to Digital Signal
Processing: A Tutorial Review, IEEE ASSP Magazine, July 1989,
pp. 4 19.
B. Parhami, Computer Arithmetic, Algorithm and Hardware
Design, Oxford University Press, New York, pp.91-119, 2000.
I. Koren, Computer Arithmetic Algorithms, Prentice-Hall,
1993.
Baugh, C. R., and B. A. Wooley, A Two's complement Parallel
Array Multiplication Algorithm, IEEE Trans. on Computers, Vol
22,
pp
1045-1047,
December
1973.

Crop Classification using Fuzzy classifier along with

Genetic Algorithm with High Resolution Satellite
Image
Ayushi Tandon, Shruti Parashar and S N Omkar
problem fall under the category of crop classification based
on crop type.
The basis for separating one crop from another is the
supposition that each crop species has a unique appearance or
spectral signature on the image. Considerable variability has
been observed in the way in which crops are cultivated due to
soil properties, fertilization, pest conditions, irrigation,
planting dates, intercropping, and tillage practices [14] and
hence crop classification becomes a challenge [7]. Major
limitations on crop identification with satellite imagery relate
to the similarity of plant reflectance of different crops.
Mapping of crop coverage is an image classification/
pattern identification problem. Over the past few decades,
crop classification of remotely sensed images has attracted
increasing research interest. Statistically based classification
methods have been in existence for a long time. These are
probabilities based methods like maximum likelihood
classifier that gives set of measurement of objects belonging
to a certain class [11]. The basic limitation of such classifier
is that it is sensitive to the parameter values predefined by the
user [3,5]. Neural Networks (NN) have also been used
extensively for image classification [12] and have been
reported to perform better when compared with statistical
classifiers. In the case of limited training data, several neural
networks can exhibit superior performance compared to
conventional statistical classifiers. Training of classifier is an
essential factor for the success of classification. Among the
several learning algorithms available, back-propagation has
been the most popular and most widely implemented learning
algorithm of MLPNN. Evolutionary algorithms inspired by
nature are used [2,6] for training of neural network based
classifier. Multi-layer perceptron neural network is trained
using a PSO based learning [1,13]. Despite the excellent
performance of neural networks in image classification, it is
difficult to provide a comprehensible explanation of the
process through which a given output has been obtained from
a neural network.
Rules based classification offers an attractive framework
for building classifiers that are easily interpretable by
humans. Ant Colony Optimization (ACO) [4] , a nature
inspired technique based on ant-miner develops simple
comprehendible rules for classification. The results obtained
showed improved classification efficiency [6]. A scheme for
developing a fuzzy rule-based classifier (FRBCSs) for the
analysis of multispectral images has been proposed by
Brdossy and Samaniego [2], whereby the randomly
generated initial rules are fine-tuned by simulated annealing.

Abstract: Crop coverage identification is a very important

technique, as it provides vital information on type and the extent
of crop cultivated in a particular area. High resolution satellite
imagery offers new opportunities for crop monitoring and
assessment. Here in this paper quick bird four band
multispectral image with four spectral bands (green, red, nearinfrared, and short-wave infrared) and 1375X5929 pixel size
covering cropped areas in region around Mysore, district in
Karnataka, India has been evaluated for crop classification. In
order to classify image a fuzzy classifier is used for information
retrieval system. 1To construct such a system, a fuzzy data
mining method is employed to determine useful fuzzy concepts.
Subsequently, each of the classes and patterns can be
represented by a fuzzy set of useful fuzzy concepts. From the
viewpoint of fuzzy information retrieval, a pattern can be
categorized into one class if there exists a maximum degree of
similarity between them. The genetic algorithm (GA), whose
objective is to find a compact set consisting of useful fuzzy
concepts with high classification capability, is further employed
to automatically determine parameter specifications that are not
easily specified by users.

I.

INTRODUCTION
Agriculture is the process of producing food
systematically. The type of crop and the areas on which crops
are grown are most basic information for agricultural
management and crop planning. Due to limitations in the
expansion of cultivated acreage and the ever-increasing food
demand, improvement in agricultural productivity has
become a necessity. It is possible to derive information about
crop type, crop density and crop area with the availability of
different satellite imagery and developments in image
processing and interpretation systems. In order to estimate the
annual yield and temporal changes in the cultivated area, the
satellite remote Sensing data would prove to be the most
effective data source [10]. Satellite images provide a rich
source of information about agricultural activities being
carried out in a specific area. This information can be used
constructively to improve the agricultural productivity or to
deal with various yields related problems. Such types of
Ayushi Tandon, Shruti Parashar are with the Department of Electronics
and communication Engineering, Motilal Nehru National Institute of
Technology,
Allahabad-211004,
India
(e-mail:iayushi@gmail.com,
hrutiparashar08@gmail.com,
S N Omkar is with Aerospace Engineering Department, Indian Institute
of Science, Bangalore, email: omkar@aero.iisc.ernet.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

870

Deriving high-performing FRBCSs for problems with high

class overlappingsuch as many remote sensing classification
problemsis a challenging task. To overcome this problem
[15] proposed a classifier based on simple fuzzy grids or grid
partitions of each attribute in the pattern space. By treating
quantitative and qualitative attributes or features as linguistic
variables, the fuzzy classifier [15] determines the useful
fuzzy concepts. These fuzzy concepts are used to represent
each class or pattern, in order to determine the degree of
similarity between a class label and a pattern. In fuzzy
classification method the prior information regarding any
membership function shapes depending on their preferences
and possible number of linguistic values in each quantitative
attribute are required. However, since it is not easy for users
to specify the above-mentioned parameters, the Genetic
Algorithm (GA) belonging to category of nature inspired
algorithms has been considered as an appropriate tool for
automatically determining the appropriate values of
parameters.
We have reported in this paper, the results of satellite
image classification for a high resolution image using fuzzy
classifier employing GA to automatically determine the
appropriate partition number for each attribute. The crop
coverage classes used are sugarcane, ragi, paddy and
mulberry. In practice, many of these crops have a very small
acreage. Detection and classification of crops require the
spectral band information of each pixel. This spectral
information also includes anomalies in the form of noise such
as shadow, water, soil, etc which make crop identification
complex. These complexities account for the quantum of
misclassifications.

Table1. Details of classes and ground truth data for training and validation.

IV. FUZZY GRID PARTITION METHOD

The fuzzy classifier works by retrieving useful or
meaningful fuzzy concepts from training pattern. A fuzzy
concept is represented by a fuzzy subspace or a fuzzy grid. In
order to determine the frequent fuzzy grids used as fuzzy
concepts we have used symmetric triangle-shaped linguistic
values. In the applied fuzzy partition method for a dataset
having d attributes, various linguistic values k are required to
generate useful fuzzy concepts. By dividing each linguistic
variable
by
its
different
linguistic
values,
k1 k2 k3 k4 ..... kd 1 fuzzy grids with d dimensions in
the pattern space can be obtained.
When a linguistic value is not yet determined if it is
frequent, it is called a candidate 1-dimensional fuzzy grid

II. 2.STUDY AREA

The selected study area is a region around Mysore, a
district in Karnataka, India. It has a densely cultivated set-up
and the basic crop coverage classes are present. Quick-Bird
(operated by Digital Globe) a multi-spectral (MSS) image
with the resolution of 2.4 m has been used as input.

[15]. For a quantitative variable, say

function

ki

The high resolution image used is a Quick Bird four

band multi spectral image of the southern part of India.It has
dimensions of 1375 5929 pixels and the area is 2.748
7.973 km. Level one classification was carried out by
dividing the image into four crop classes (sugarcane, ragi,
paddy and mulberry).The ground truth was prepared by
surveying the considered area and demarcating it based on
the crops cultivated. After completing this process, the high
resolution image and ground truth data were overlaid one
over the other using the tool Erdas Imagine 8.5R. from this
superimposed image the crop classes for training and
validation are randomly selected. The list of crop classes and
ground truth data for training and validation obtained from
the above method are given in Table 1. From the ground truth
image 1,601 patterns comprising of all the four crop classes
are used to train the classifier. The trained model is validated
using the remaining pixels.

membership

is represented as follows:

x max{1 | x i | / K ,0}
i

III. DATA PREPARATION

ki

x,

(1)

(mak m ik ) / ( K k 1)

Ki

(2)

i m i (ma m i )(i k 1) / ( Kk 1)
k

(3)
Where,
mak =maximum value of domain interval
of

xk

th

for i attribute

m ik =minimum value of domain

interval of
Given a

xk

th

for i attribute

k , (1 k d - 1) dimensional fuzzy

grid, or fuzzy concept (A1i1 ,A2i2 , . . .,A kik ) the degree of

871

compatibility

of

each

element

is

t ....... t

as 1i t
1

j
p1

j
p2

2i2

calculated
V. DETERMINING PARAMETER
SPECIFICATIONS

j
pk

kik

The usefulness of fuzzy concept is determined by examining

if the corresponding fuzzy grid is frequent or not. Fuzzy
support is calculated using equation 4 and if
FS (A1i1 ,A2i2 , . . .,Akik ) is greater than or equal to min

a. Representation of initial population

The implementation of Genetic algorithm requires a
random initial population to be assigned, on which various
operators are employed to generate the population of next

fuzzy support, then (A1i1 ,A2i2 , . . .,A kik ) is a useful

dimensional fuzzy concept. In order to determine the

minimum fuzzy support we have used Genetic Algorithm [8].

th

generation. The representation of j population, of the

chromosome is done in form of a bit vector
j j j j

1i1

j 1 p 1

FS (A1i1 ,A 2i2 , . . .,A kik )=

j
p1

j
p2

2 i2

kik

j
pk

fs

(4)

10

k -dimensional

[9]

and degree of relevance of a

, . . .,A with respect to useful

d ch , A1i1 ,A2i2

min fs

kik

l , l , l
j
1 10

j
2 10

j
d 1 10

fs

| fs

10

| *250
(8)

to 2.

fuzzy concepts are respectively represented as:

K1 , K2 , Kd 1 . The minimum value of K1 , K2 , Kd 1 is set

d t pj , A1i1 ,A2i2 , . . .,Akik

class

which are used to determine minimum fuzzy support, and

fuzzy grid the

a
pattern

of

probability to take value either 0 or 1. Where fs , l1 , l2 , ld 1

bits are converted into their respective decimal equivalents

For a given candidate

degree
of
relevance

as fs l1 l2 l3 ...ld 1 , [15] with each bit having equal

nj

t t ....... t
cl

K dj1 ldj1

d t pj , A1i1 ,A2i2 , . . .,Akik 1i1 t pj1 2i2 t pj2 ....... kik t pjk

10

(5)

(9)
Where,

And,

| fs j | =length of bit used to represent fs j ,

d t , A
nh

d ch , A1i1 ,A 2i2 , . . .,A kik

p 1

j
p

1i1

,A 2i2 , . . .,A kik

Here we have taken it to be 10

| ldj1 | =length of bit used to represent ldj1 ,

nh

Here we have taken it to be 3

(6)

Let

b. Fitness function to be optimized

be total number of useful fuzzy concepts then

j
p

j j j j

between

F ( fs j l1j l2j l3j ...ldj1 ) [9] fitness value of each member of

t pj and ch is calculated using Manhattan distance

population at every generation is calculated.

relation [15] as follows:

M (ch , t pj ) |d ch , A1i1 ,A 2i2 , . . .,A kik

i 1

d t , A
j
p

1i1 ,A 2i2 , . . .,A kik

In a generation, fs l1 l2 l3 ...ld 1 is decoded [15] to generate

useful
fuzzy
concepts,
and
using
function

and ch can be represented as fuzzy vector set of useful

fuzzy concepts using sum notation. The degree of similarity

F ( fs j l1j l2j l3j ...ldj1 ) wca .CAvj wv | Nvj |

(10)
(7)

Lesser is the distance between ch and

similarity

j
p

where,
wca =random number generated
using binomial distribution
CAvj =number of correctly classified

, greater is

j
p

M (ch , t ) , between two and hence greater is

possibility of assigning

t pj to ch . The classification done by

patterns for each member

wv =1- wca

this method for each pattern is cross verified using

categorical attributes of used dataset, and hence the
classification accuracy is determined.

| N vj | =total number of useful fuzzy concepts, i.e.

872

As we have mentioned above, both min

fs
j

10

C2, C3 and C4 are very well classified with training

efficiency of 99.88%.The fuzzy classifier gives an overall
efficiency of 99.96% with testing dataset. Also classification
results (Table 4), using the MLPNN-PSO and Ant Miner
ACO rule extractor algorithm [15] have been included in
paper for comparison. Here the same training and testing
dataset was used for the above mentioned techniques. The
result for training and testing dataset using PSO show that
there is misclassification for training dataset within the C3
and C4 overall accuracy of 98.56%.For testing dataset there
is misclassification within C2 and C3 resulting in overall
testing efficiency as 98.27%.Also with Ant miner (ACO)
there is misclassification for training dataset within the C3
and C4 and for testing dataset within the C2, and C4 resulting
in overall accuracy of 99.56% and 98.002% respectively. We
can observe that with fuzzy classifier there is improvement in
overall classification accuracy as compared to MLPNN-PSO
and ACO rule extractor based classifier.

and min

K i are user-specified. However, it is difficult for users to

appropriately give these two thresholds for each classification
problem. Therefore learning Genetic Algorithm is
incorporated into the fuzzy classification algorithm to
automatically determine the above-mentioned parameters
(i.e., min

fs
j

10

and min K i ).

VI. GENETIC ALGORITHM

The GA begins by randomly generating a population of
individual strings. Each individual is a possible solution to
the optimization problem. In general, the population is
initialized at random to a bit string of 0s and 1s. The
selection operation mimics the natural selection process by
selecting which individuals will be used to create a new
generation, where the fittest individuals reproduce most
often. Usually a fitness function is used to rate individuals in
terms of how good they are in solving the optimization
problem. The crossover operation refers to the exchange of
substrings of two individuals to generate two new
individuals. The third operator, mutation, enhances the ability
of the GA to find near-optimal solutions. Mutation is the
occasional alternation of the binary value at a particular string
position. Random initial population N op equal to 20 is

Table 2 Classification matrix for training of satellite image classification

created by Fuzzy classifier along with GA.

assigned and Fitness value of each chromosome is

determined using equation 10 .The Chromosomes are sorted
based on fitness value and top 20% chromosomes are
selected for next generation. Then next 60% chromosome are
operated with two point crossover operator by taking two
j

random points, first in | fs | and the second point in the

remaining part of chromosome and exchanging the
chromosome length between them to produce next generation
chromosomes. The Remaining chromosomes are operated
with bit mutation operator as

Table 3 Classification matrix for testing of satellite image classification

created by Fuzzy classifier along with GA

bfsj;m 1 bfsj;m 0; bfsj;m 0 bfsj;m 1

(11)
Again the chromosomes are sorted on the basis of fitness
value and the steps are repeated for 20 generations. Best
chromosome after final run is selected to determine the
classification matrix and the input parameters.
VII. RESULTS AND DISCUSSION

VIII.

The classification algorithms have been implemented

for satellite image classification to solve the problem of crop
classification. Classification using fuzzy based classifier
optimized by Genetic Algorithm for satellite image is carried
out. This method is implemented using a small portion of the
image as the training dataset. Further, the algorithm is tested
using randomly chosen pixels from the image. The four band
data was used to develop a four class classifier model. The
training results of fuzzy classifier are shown in Table 2. We
can observe from classification matrix (Table 2,3), that C1,

CONCLUSION

In this paper we have carried out the classification of

high resolution satellite image using fuzzy classifier and
popular Genetic Algorithm. Experimental results are given
and it is observed that the results of the implemented method
are comparable to those of the other classification methods.
Future research will focus to develop this algorithm as
efficient classifiers for more number of crops.

873

. Table4. Classification matrix for training of satellite image classification created by MLPNN-PSO and ACO

[15] Yi-Chung Hu, Finding useful fuzzy concepts for pattern classification
using genetic Algorithm, Information Sciences, 175, pp.119, 2005.

IX. ACKNOWLEDGMENT
This work is supported by the Space Technology Cell,
Indian Institute of Science and Indian Space Research
Organization grant.
REFERENCES
[1] Baraldi A and Parmiggiani F (1995) A neural network for unsupervised
categorization of multivalued inputpatterns: an application to satellite image
clustering.IEEE Transactions on Geoscience & Remote Sensing, 33(2):305
316.
[2] Brdossy, A. and Samaniego.L., 2002. Fuzzy rule-based classification of
remotely sensed imagery. IEEE transactions on geoscience and remote
sensing, 40(2), pp. 362 374.
[3] D.T. Pham, A.J. Soroka, A. Ghanbarzadeh, E. Koc, S. Otri, M.
Packianather, Optimising neural
networks for identification of wood
defects using the bees algorithm, in: Proceedings of IEEE International
Conference on Industrial Informatics, August 1618, 2006, Singapore, 2006,
pp.13461351.
[4] Dorigo M and Gambardella LM (1997) Ant Colony System: A
Cooperative Learning Approach to the Traveling Salesman Problem. IEEE
Transactions on Evolutionary Computation 1:5366
[5] Duda RO and Hart PE (1973) Pattern Classifi cation and Scene Anlisis,
New York: Wile
[6] Eric Bonabeau, Macro Dorigo, And Guy Theraulaz (1999) Swarm
intelligence-from natural to artificialsystem. Oxford University Press, New
York
[7] Foody GM, Curran PJ, Groom GB and Munro DC (1988) Crop Classifi
cation with Multi-Temporal X-Band SAR data. Proceeding of IGARSS 88
Symposium, Edinburgh, Scotland
[8] D.E. Goldberg, Genetic Algorithms in Search, Optimization, and
Machine Learning, Addison-Wesley, MA, 1989.
[9] T.P. Hong, J.B. Chen, Finding relevant attributes and membership
functions, Fuzzy Sets and Systems 103, 999, pp. 389404.
[10] Li Fuqin and Tian Guoliang (1991) Research on Remote sensing
Meteorological model for wheat yield
estimation, GISdevelopment.net,
AARS, ACRS.
[11] Marchant JA and Onyango CM (2003) Comparison of a Bayesian
classifi er with a multilayer feed-forward neural network using the example
of plant/weed/soil discrimination. Computers and Electronics in
Agriculture.39:322.
[12] Ohkubo and Niijima A (1999) New supervised learning of neural
networks for satellite image classifi cation, International Conference on
Image Processing-ICIP 99. 1:505509.
[13] Omkar, S.N., Senthilnath, J., Mudigere, D. and Kumar M.M., 2008.Crop
Classification using Biologically-inspired Techniques with High Resolution
Satellite Image. Journal of Indian Society of Remote Sensing,36, 175182.T.P. Hong, J.B. Chen, Finding relevantattributes and membership
functions, Fuzzy Sets and Systems 103 (1999) 389404.
[14] R.A. Ryerson, P.J. Curran and P.R. Stephens Agriculture. In: W.R.
Philipson, Editor, Manual of Photographic Interpretation (2nd ed.), American
Society for Photogrammetry and Remote Sensing, Bethesda, MD (1997), pp.
365397.

874

VLSI Implementation of High Speed Infinite Impulse

Response Filter
Pritee Pandey*, Pallavi Pandey*, Nishant Tripathi
National Institute of Electronics & Information Technology (Formerly DOEACC), Gorakhpur Centre
filter which is based on the generic twos complement
array multiplier. Section III describes the VLSI
implementation of generic twos complement parallel
array multiplier. Results and conclusion are drawn in
section IV.

Abstract- This paper presents a new VLSI architecture of

Infinite Impulse Response (IIR) filter. The operation of the IIR
filter depends upon the multiplier which is a necessary part of
the IIR filter and can influence the overall performance of the
filter. In order to achieve high speed multiplication, one of the
most powerful multiplication technique, which is generic twos
complement parallel array multiplication technique has been
used. VHDL has been used to design the basic building blocks
for the IIR filter and the results have been verified through
MATLAB.

II.

IIR filter have an impulse response which is non-zero over

an infinite length of time. The filter uses a feedback
structure and it gives high performance having the same
number of coefficients. Apart from this, the IIR filter
needs less memory and fewer calculations to achieve the
required filter response characteristic.
Direct form-I and direct form-II (Canonical) are the
some potential realizations of the IIR filter, as discussed
in [1]. Fig. 1 shows the direct form-I structure of a
second-order IIR filter.

Digital filters are one of the essential building blocks of

the DSP and the implementation of digital filter has been
strongly affected by the evolvement of the VLSI design
technology
because
the
regular
structures,
programmability and use of small area with less power
consumption in filters are very well suited for VLSI
implementation [1-3]. Infinite Impulse Response (IIR)
filter is one of the most widely used filters in various
fields of DSP like image processing, communications,
instrumentation etc. Various design techniques have been
proposed in literature to achieve high performance and
low power implementation of IIR filters with fixed
coefficients [1]. Among them, Canonical-sign-digit [4]
and distributed arithmetic [5] technique are widely used
techniques in the IIR filter design with fixed coefficients.
Using these techniques, the IIR filtering operation can be
simplified to add-and-shift operations. However, for IIR
filter design with programmable coefficients, dedicated
multipliers are usually used.
In this work we propose high-performance
implementation of a new generic twos complement
parallel array multiplier which has been used in the design
of IIR filter. The generic twos complement array
multiplier [6-8], targets the reduction of repetitious
computations in IIR filtering process and it is based on
Baugh- Wooley algorithm [8].
The rest of this paper is organized in four sections.
Section II describes the proposed VLSI architecture of IIR

X(n)

X(n-2)

X(n-1)

Z-1
p(1)

p(0)

p(2)

+
Z-1

p(7)

p(6)

+
-q(6)

-q(7)

Z-1

p(3)

y(n-7)

X(n-7)

Z-1

Z-1

INTRODUCTION

Keywords- Infinite Impulse Response filter, Twos

complement parallel array multiplier, Generic multiplier.

I.

PROPOSED IIR FILTER ARCHITECTURE

-q(3)

-q(2)

Z-1

-q(1)

Z-1

Z-1
y(n-2)

y(n-1)

y(n)

Fig. 1. Realization of IIR filter.

In the above Fig. 1 x(n), x(n-1), x(n-2), x(n-3), x(n-4),

x(n-5), x(n-6), x(n-7) and y(n) are the inputs and output of
the IIR filter respectively. This structure calculates zeros
in the forward path and poles in the feedback path. As
depicted, the IIR filter implementation needs three
primitive elements: adder, delay and multiplier. Multiplier
is one of the most key elements which have direct bearing
on the performance of the IIR filter. High performance

* Students M.Tech. (Electronics Design & Technology)

-Contacting Author: Pritee Pandey (email: pritee002@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

875

filter requires high speed multipliers. We have used

generic twos complement parallel array multiplier for the
high speed multiplication requirements.

given by the clock. The generic multiplier has been

implemented using VHDL generate statement.

T7

P0

i
X- is
Ax

is
Ax
X-

X-Axis

is
Ax
X-

X-Axis

sX-Axis

a0 x1
X
A
x
i
s

T7

X
A
x
i
s

a1 x1

T6

X
A
x
a3 x 1
i
s

a2 x1

Structure: Direct Form-II Second Order Section

Order: 7
Section: 4
Stable: Yes
Source: Designed
Response Type: Low Pass
Design Method: IIR Butterworth
Filter Order: 7

a0 x0

a1 x0

a2 x0

a3 x 0

P1

A
x

a2 x2

T3

a0 x2

T3
X- is
Ax

X
A
x
i
s

X-Axis

is
Ax
X-

is

X
A
x
i
s

P2

a3

FA

X-Axis

xis

XAxis

XAxis

FA

T5

A
X-

X
A
x
i
s

X-Axis

FA

a0 x3

T5

is
Ax
X-

X
-

X
A
x
i
s

X-Axis

is
Ax
X-

X-Axis

xis

A
X-

X-Axis

FA

a1 x3

T2

XAxis

X
A
x
i
s

XAxis

T4

a2 x3

The IIR filter coefficients are:

Feed Forward Coefficients:
Numerator: 1, -0.69438, 1.1083, -0.44796, 0.2654,
-0.054577, 0.011691, -0.00069745
Denominator: 0.0092796, 0.064957, 0.19487,
0.32479, 0.32479, 0.19487, 0.064957, 0.0092796

X
A
1x
i
s

Ax
X-

X
-

a3

X-Axis

XAxis

x3

a1 x2

T1

X
A
a3 xx2
i
s

X-Axis

a3 x3

x3

FA

i
s
A i
x

P4

A i
x

A i
x

A i
x

A i
x

P5

P6

P7

P3

Fig. 3. Block diagram of 4-bit twos complement parallel array

multiplier.

Fig. 2. IIR filter specifications.

In the IIR filter design the input is taken as integer

which has the range from -128 to 127. The IIR filter
design flow starts by taking the random number within
range -128 to +127. The random number has been
obtained through MATLAB. The Filter Design and
Analysis (FDA) tool in MATLAB contains many of the
objects which we need to implement for the IIR transfer
function. These functions include Butterworth,
Chebyshev-I, Chebyshev-II, Elliptic etc. From FDA Tool
we set the specification for IIR filter and got the filter
coefficients. The specifications for the IIR filter
implementation have been taken from MATLAB which
are shown in Fig. 2.

Sum-in

ai

Sum-out

FA, Type
T(1/2/3/4/5)

xi

Carry-out

Carry-in

Fig. 4. Cell structure of generic twos complement parallel array

multiplier.

III. VLSI IMPLEMENTATION OF GENERIC TWOS

COMPLEMENT PARALLEL ARRAY MULTIPLIER

IV. RESULTS AND CONCLUSION

We have used a new generic twos complement array

multiplication algorithm. The fundamental concept is
taken from the Baugh-Wooley array multiplication
technique [8]. The block diagram of 4-bit twos
complement parallel array multiplier is shown in the Fig.
3. It has very easy and regular structure which reduces the
design complications. The elements used in the multiplier
are full adder (FA), type1 (T1), type2 (T2), type3 (T3),
type4 (T4), type5 (T5), type6 (T6) and type7 (T7). The cell
structure for the generic twos complement parallel array
multiplier is shown in Fig. 4. In the multiplier structure
component type T1, T2, T3, T4, and T5 is used. The
components type T6 and T7 is same as in above Fig. 3
except there is use of a half adder instead of full adder
with carry-in. The VHDL realization of the multiplier has
been done by the structural modeling style using generic
and generates statement. The Half adder, full adder and
signed adder have been used for addition. The range for
16-bit signed adder is (215 -1) to (-215). The delay has been

The magnitude response of Infinite Impulse Response

filter obtained through MATLAB Filter Visualization
(FV) tool is shown in Fig. 5.
Magnitude Response in dB
0

-50

Magnitude (dB)

-100

-150

-200

-250

-300

-350

-400

0.1

0.2

0.3

0.4

0.5

0.6

Normalized Frequency (

0.7

0.8

0.9

rad/sample)

Fig. 5. Magnitude response of IIR filter.

876

The output waveform of generic twos complement array

multiplier, where n=8 (8-bit) multiplier is shown in Fig. 6.

Fig. 8. Output waveform of IIR filter when reset is 0.

REFERENCES

Fig. 6. Output waveform of 8-bit twos complement parallel array

multiplier.

[1]

The output waveforms of IIR filter with reset=1 is shown

in Fig. 7. Fig. 8 shows the IIR filter response with reset
=0.

[2]

[3]

[4]

[5]

[6]
[7]
[8]
Fig.7. Output waveform of IIR filter when reset is 1.

The IIR filter has been implemented successfully using

VHDL, the simulation of the IIR filter has been done using
ModelSim and after the simulation the response of the filter
have been verified through MATLAB. The filter can be
realized in programmable devices like Field Programmable
Gate Array (FPGA), as well as in the form of an Intellectual
Propriety (IP) which provide flexibility, low cost and less
design time.

877

Chi-Jui Chou, Satish Mohanakrishnan and Joseph Evans, FPGA

Implementation of Digital Filters, International Conference on
Signal Processing Applications and Technology. Berlin, 1993,
Proc. of ICSPAT, pp. 545-553.
E. Costa, P. Flores, J. Monteiro. Exploiting GeneralCoefficient
Representation for the Optimal Sharing of Partial Products in
MCMs, In Symposium on Integrated Circuits and System Design,
Ouro Preto (Minas Gerais), Brazil, 2006.
Jongsun Park, Woopyo Jeong, Hunsoo Choo, Hamid MahmoodiMeimand, Yongtao Wang, Kaushik Roy, High performance and
Low power IIR Filter Design Based on Sharing Multiplication,
School of Electrical and Computer Engineering, Purdue University,
West Lafayette, IN 47906, USA.
H. Samueli, An improved Search Algorithm for the Design of
Multiplierless IIR filter with Powers-of-Two Coefficients, IEEE
Trans. On circuits and systems, Vol. 36, No. 7, pp. 1044-1047,
July. 1989.
S. White, Applications of Distributed Arithmetic to Digital Signal
Processing: A Tutorial Review, IEEE ASSP Magazine, July 1989,
pp. 4 19.
Behrooz Parhami, Computer Arithmetic: Algorithms and
Hardware Design, New York: Oxford University Press, 2000.
I. Koren, Computer Arithmetic Algorithms, Prentice-Hall,
1993.
Baugh, C. R., and B. A. Wooley, A Two's complement Parallel
Array Multiplication Algorithm, IEEE Trans. on Computers, Vol
22,
pp
1045-1047,
December
1973.

A Novel Approach for Text Detection and Extraction

from Video
Rosario Dsouza B 1, Infant Vinoth T 2, Simila A3 Sudalai Muthu T4
School of Computing Sciences and Engineering
Hindustan University, Chennai
1
rosariodso@gmail.com,2infavino@gmail.com,3simila.smile@gmail.com, 4sudalaimuthut@gmail.com
Abstract Texts in image and video play a significant role in
the retrieval system because they contain plenty of valuable
information. This paper gives an algorithm for detecting and
extracting text in video by using the rules which are formed by
the combination of filters and edge information. Then the same
rules are used to grow the boundaries of a candidate segment
in order to include complete text in the input video. Next step is
to find the segments containing text in an input video and then
use statistical features such as horizontal bars, vertical bars for
edges in the segments for detecting the true text blocks.
KeywordsEdge map, Region growing, Text detection,
Extraction

I. INTRODUCTION
Nowadays the size of the available digital video content is
increasing rapidly. This fact leads to an urgent need for fast
and effective algorithms for information retrieval from
multimedia content for applications in video indexing, editing
or video compression. Text data present in video contain
useful information which provides brief and important content
information, such as name of player or speaker, the title,
location, date etc. For
automatic annotation and indexing and text on book and
journal covers can be helpful to retrieve the digital resources
[3]. Caption text in news videos usually annotates information
on where, when and who of the happening events [4].
Compared with the other image features, text is embedded
into images or scenes by human, which can directly reveal the
image content in a certain point of view without requiring
complex computation.
There are mainly two types of text occurrences in video,
namely artificial and scene text. Artificial text is artificially
added in order to describe the content of the video or give
additional information related to it. This makes it highly
useful for building keyword indexes. Scene text is textual
content that was captured by camera as part of scene such as
text on T-shirts or road signs. Scene text can appear in any
kind of surfaces, in any orientation and perspective, making
its extraction particularly difficult.
Although texts in image or video provide important
information about the image and video, it out if your editor is
not an easy problem to reliably detect the text embedded in
images and videos. In a single frame, the size of the characters
can change from very small to very big. The font of the text

can be different. For video sequences, the text can be either

still or moving in an arbitrary direction. The same text may
vary its size from frame to frame, due to some special effects.
The background can also be moving or changing, independent
of the text. Hence this problem is challenging and useful for
several applications [5]. Literature study shows that text
detection stage seeks to detect the presence of text in a given
image. Kim [1] selected a frame from shots detected by a
scene change detection method as a candidate containing text.
This approach is very sensitive to scene change detection. The
connected-component based methods are not robust because
they assume that text pixels belonging to the same connected
region share some common features such as color or grey
intensity [2,8].

Figure 1: Architecture of Text Detection and

Extraction System
On the other hand, texture based methods may be
unsuitable for small fonts and poor contrast text [4,9]. Liu et
al proposed text detection in images based on unsupervised
classification of edge based methods [10]. Their method
considers both texture and edge features for detecting text in
video images.
However the method requires more computational time
and it fails to detects large fonts and low resolution texts.

978-1-4673-0455-9/12/$31.00 2012 IEEE

878

doesnt blurs the video frame. So the blurred information

is obtained by subtracting the output of AF from the output
of MF (D_MAF) for both text and non-text blocks. Then
the method computes the number of Sobel edge
component for AF block (NSAF) and the number Canny
edge component for the differenced block (NC). The first
rule is defined as follows.
Rule1 is true because of the fact that sobel edge operator
detects more edges when there is text information due to
high sharpness in the text block. Therefore, the number of
sobel edge components in AMF is greater than the number
of canny edge components in D_MAF. Similarly, in case
of non-text blocks the degree of blurring is very less in
D_MAF because the given block has no sharpness. In such
cases canny edge detector detects some edges in D_MAF
but the sobel edge detector doesnt detects edges in AF.
Hence the number of sobel edge components in AMF is
less than the number of canny edge components in
D_MAF in case of non-text blocks.
Rule1 sometimes fails to identify the correct text blocks.
Therefore other rule is derived by finding strong edges
using canny edge block and sobel edge block. The block
with weak edges(B_WE) is obtained by subtracting the
sobel edge block from canny edge block and then again
subtraction of the number of weak edges from the(NWE)
from thenumber of canny edges(NC) gives the number of
strong edges(NSE). The same procedure is applied on MF
block also. The rule for deciding text block is defined as
follows.

II. THE PROPOSED SYSTEM

In this approach, we assume that text appear in video is in
horizontal direction with uniform spacing between words. The
approach is divide into five sections. In the first section,
heuristic rules are formed to classify text and non-text blocks
in the video frame. Second section is to find the candidate text
block using the same two rules described in first section. Next
section is the segmentation of complete text portion using the
same rules by growing the regions in all the four directions.
Fourth section is to detect the true text region by using vertical
bars, horizontal bars of the edge components. Then detect the
text blocks by analyzing the profiles of the vertical and
horizontal bars. After detecting the true text region segment
the lines of the detected text region and then extract the
segmented lines of text. Architecture of text detection and
extraction system is as shown in Figure 1.

2(A) Video Frame

Figure 3: After the classification of Text and

Non-Text Blocks

2 (B). FIG 2: DIVIDING VIDEO FRAME INTO BLOCKS

A. A. Rules for Classifying Text and Non-Text Blocks The
whole video is converted into gray and each video frame is
divided into equal 64*64 sized blocks as shown in Figure
2(a) and (b). Before deriving the rules to classify a given
block into text and non-text blocks, the method uses
Arithmetic mean filter (AMF) and Median filter (MF).
These two filters are used to remove noise from a video
[6]. The arithmetic mean filter removes noise but it blurs
the video frame and the median filter removes noise but it

R2 = Text Block, if NSEMF > NSE D_MAF Non Text

Block, Otherwise This is also true because of the fact the
fact that sobel edge detector detects more edges when there
is text information. Therefore there will be fewer weak
edges in case of text block. Rule1 and Rule2 will classify
the blocks as text and non-text blocks as shown in Figure 3.
B. Selection of Candidate Text Block Using Rule1 (R1) and
Rule2 (R2), the number of text blocks and non-text blocks
are identified as shown in Figure 3. For selecting the
candidate text block, method finds the NSAMF and

879

CD_MAF of R1. The method also finds the Highest

Difference value obtained by R1 first and then checks
whether the difference value obtained by R2,
corresponding to the highest difference value of R1 is
positive. If any block satisfies this criterion then that block
is selected as a candidate text block. If in case the highest
difference valued block doesnt satisfy this criterion then
the method searches for next highest difference in
difference value of R1. Steps included in the candidate text
block selection are as shown in the Figure 4.

Figure 5. Candidate text block selection

C. Segmentation of Complete Text portion
Block growing method using the same two rules described
above and the candidate text block is used to obtain the
complete text portion of the video frame. But this method fails
to identify all the text blocks with only one or two characters
in each block. These characters are segmented by growing the
candidate text block using rules. Here, Rule2 is used to grow
boundary and Rule1 is used stop the boundary growing.
Boundary first grows to the right from the candidate text block
incrementing and then to the left and then boundary grows
upwards and finally downwards from the candidate text block.
For some videos, growing boundary downward is not required
because candidate text block itself contains the last row of the
video frame. The boundary growing stops when NSEMF <
NSE D_MAF. The segmented text portion can be used for text
detection and text extraction. Result of region growing from
candidate text block is as shown in Figure 6.

Figure 6: After Region Growing

Figure 4: Steps in Candidate text block selection Result

after the selection candidate text block is as shown in the
Figure 5

D. Detection of True Text Region A true text block for the

segmented portion of the video frame is detected by using
vertical bars, horizontal bars. The vertical bars points were
originally used for word shape coding that was used for
document image retrieval[7] and language identification [11].
The two features also give a strong clue of the position of the
base line and the x-line of a text region.
E. True Text Block Detection The detection of text regions is
based on the extraction of the features mentioned above from
the edge map of the portion of the video frame. Canny edge
detector is used in the construction of the edge map. Various
steps are carried out are: Step1: The following steps are
carried out for each connected component: Step1.1: Vertical
edges are extracted. Step1.2: Horizontal edges are extracted.

880

Step1.3: Local maximum and minimum from the upper and

the lower portion of the Components are extracted. Step2: The
vertical projection profile for the vertical bars extracted is
calculated. The peaks of the profile is identified and stored as
P = {p1, p2, pn}.
Step3: For peak pi in P, the following steps are done: Step3.1:
According to their horizontal position all the vertical bars
touching pi are sorted . Step3.2: A vertical projection profile is
calculated for the horizontal bars for each group formed in
previous step. Peaks of this profile are also identified. Step3.3:
The upper boundary and lower boundary of a candidate region
is selected from the two peaks of the projection profile, if the
two peaks are the closest pair of peaks that covers all the
vertical bars in the candidate region. Step3.5: The boundaries
of the remaining regions are refined. The horizontal bars of
the connected components in the region are covered by
expanding the top and bottom boundaries. Step4: The set of
regions are detected as text regions. Result of true text region
detection is as shown in Figure 7.

IV. CONCLUSION
The system uses a simple and novel method for detecting
text in video based on edge analysis. Text in videos contains
much semantic information that can be used for video
indexing and summarization. The method uses five sections.
In the first section rules are introduced for classifying text
blocks and non-text blocks in the video frames. The method
uses candidate text block selection to segment the text portion
of the frame according to rules derived based on filters and
edges in the second section. Then the segmentation of
complete text portion is performed using the same rules. It
also introduces new statistical edge features to detect exact
text regions over the segmented portion. Finally, the detected
true text region from video will be extracted.
V. REFERENCE

[1]

H.K. Kim, Efficient automatic text location method and content-based

indexing and structuring of video database, J. Visual Commun. Image
Representation 7 (4) (1996) 336-344.

[2]

A.K. Jain and B. Yu, Automatic Text Location in images and Video
Frames, Pattern Recognition, Vol.31(12), 1998, pp. 2055-2076.

K. Sobottka, H. Bunke, H. Kronenberg, Identification of text on

colored book and journal covers, International Conference on
Document Analysis and Recognition 1999; 5763.
[4]
Y. Zhong, H.J. Zhang, A.K. Jain, Automatic caption localization in
compressed video, IEEE Transactions on PAMI 22 (2000) 385392.
[5] K. Jung, K.I. Kim and A.K. Jain, Text information extraction in images
and video: a survey, Pattern Recognition, 37, 2004, pp. 977-997.
[6]
R.C. Gonzalez and R.E. Woods, Digital Image Processing, Person
Education, 2002.
[7]
C. L. Tan, W. Huang, Z. Yu and Y. Xu, Imaged document text
retrieval without OCR, IEEE Trans. On Pattern Analysis and Machine
Intelligence, Vol. 24(6), pp.838-844, 2002.
[8]
C.W. Lee, K. Jung and H.J. Kim Automatic text detection and
removal in video sequence, Pattern Recognition Letters 24, 2003, pp.
2607-2623.
[9]
Q. Ye. Q. Huang, W. Gao and D. Zaho, Fast and Robust text detection
in images and video frames. Image and vision computing 23, 2005,
pp.565-576.
[10] C. Liu, C. Wang and R. Dai, Text detection in images based on
unsupervised classification of edge-based features, IEEE ICDAR
2005, pp.610-614.
[11] S. Lu and C. L. Tan, Script and language identification in noisy and
degraded document images, IEEE Trans. Pattern Analysis and
Machine Intelligence, vol. 30(1), pp.14-24, 2008.
[3]

Figure 7: Detected Text Region

III. EXTRACTION
After finding the true text region, perform line
segmentation to segment the lines of the detected text region
by calculating the upper maximum and the lower minimum of
the text boundary. Then extract each lines of text by finding
the coordinates of segmented portion. The result of line
segmentation and extraction is as shown in Figure 7.

Figure 7: Extracted Text Region

881

TRANSIENT INVESTIGATION ON
INDUCTION MACHINE DURING ITS
STARTING
S.V.M.B.Prabhath Kiran

A.V.J.S.Praneeth

M.Tech (P E D), NIT Kurukshetra

Abstract In this paper an attempt has been made to

analyse the effect of moment of inertia on the transient
response of three phase Induction Motor. This paper deals
with the modeling and simulation of induction motor under
balanced operating conditions. A stationary reference
frame has been considered for the transient modeling of
Induction Machine. Simulated results as obtained are used
to investigate the transient performance during starting.

frames for general purpose applications below 55 kW. Cast iron

finned frame efficient motors up to 2000 kW are built today
with axial exterior air cooling. The stator and rotor have
laminated single stacks[4]. Roller tables use several low speed,
(2p1 = 6-12 poles) induction motors with or without
mechanical gears, supplied from one or more frequency
converters for variable speeds. The high torque load and high
ambient temperature, humidity and dust may cause damage to
induction motors unless they are properly designed and built.
Totally enclosed induction motors are fit for such demanding
applications. Mining applications (hoists, trains, conveyors,
etc.) are somewhat similar. Induction motors are extensively
used in marine environments for pumps, fans, compressors, etc.
for power up to 700 kW or more. Due to the aggressive
environment, they are totally enclosed and may have aluminum
(at low power), steel, or cast iron frames.

Keywords: Induction motor, modelling, transient analysis,

dynamic response, Matlab, balanced operation, reference
frames.
2.1

INTRODUCTION

The larger part of electrical energy is converted into

mechanical energy in electric motors. Among electric motors,
induction motors are most used both for home appliances and in
various industries [1]. This is so because they have been
traditionally fed directly from the three phase a.c. electric
power grid through electromagnetic power switches with
adequate protection. It is so convenient. Small power induction
motors, in most home appliances, are fed from the local single
phase a.c. power grids. Induction motors are rugged and have
moderate costs, explaining their popularity. In developed
countries today there are more than 3 kW of electric motors per
person, today and most of it is from induction motors[2]. While
most induction motors are still fed from three-phase or singlephase power grids, some are supplied through frequency
changers (or power electronics converters) to provide variable
speed. Single-phase supply motors, which have two phase
stator windings to provide selfstarting, are used mainly for
home applications (fans, washing machines, etc.): 2.2 to 3 kW.
A typical contemporary single-phase induction motor with dual
(start and run) capacitor in the auxiliary phase is shown. Threephase induction motors are sometimes built with aluminum

2.2

MODELING OF INDUCTION MOTOR

In what follows, we use the well known equivalent single phase

model transformed to the stator where we consider the
magnetic leakages are totalized and grouped in the rotor. Figure
1 shows this model. Here balanced operation of induction
motor is considered using balanced three phase input supply.
Core losses are neglected in this case. Also speed control of the
motor can be achieved using any of the modeling techniques.

Fig.1. Block diagram of the equivalent monophase of the induction motor

model

978-1-4673-0455-9/12/$31.00 2012 IEEE

882

Where Rr and Ne represent respectively the rotor resistance

and total leakage inductance located in the rotor. The evolution
of the stator synchronous field round the rotor produces an
electromagnetic power which will be transmitted to the rotor at
synchronous speed.

(4)
(5)
(6)

DQ model is extensively used in control applications as it has

the capability to convert sinusoidal variable quantities to dc
quantities using suitable reference theory.By having the voltage
and current quantities in dq-frame, it is possible to control the
speed of the machine by controlling the flux and torque
independently.The direct and quadrature axis model (dq-model)
based on the space phasor theory is widely used for simulation
of the dynamic behavior of three phase induction motor.In this
model three phase machine(abc) is transformed into two phase
machine(dqo). The equivalence is based on the equality of
magnetomotive force (mmf) prodused in the two phase and
three phase windings and equal current magnitudes.The
relationship between dqo and abc voltages is given by the
following equations.

The advantage of this method is virtual flux measurement can

be done using flux linkage equations which are given below.

(7)
(8)
(9)
(10)
(11)
(12)
Dynamic torque and speed can be calculated by mechanical
system equations given below, equations (10),(11),(12). The
electromagnetic torque depends upon the dq-axes currents of
stator and rotor and also upon the no.of poles and mutual
inductance. The equivalent mechanical speed is given by
equation (12).

For the purpose of control, there is a need to express sinusoidal

system variables as dc quantities. This can be accomplished by
selecting one of the three reference frames given below,
i.
ii.
iii.

Stator reference frame: c=0, The frame is fixed in

stator.
Rotor reference frame : c = r, The frame is fixed in
rotor.
Synchronous reference frame:
c = s, The frame
is fixed in synchronously rotating frame.

Let

Dynamic model of an induction machine is developed using the

following equations.

(1)
(2)
(13)

(3)

2
883

(14)

(15)

(16)
(17)
(18)
(19)

Fig.2.flow chart for the program

2.3. FLOW CHART

2.4 RESULTS AND DISCUSSIONS

The flow chart for the dynamic operation of an induction motor

under balanced conditions using dq axes modeling and arbitrary
reference frame is given in fig.2.

The effect of change in the moment of inertia on the Inrush

current and speed are as shown below:

3
884

Fig:4. speed with j= 0.161.

Fig.1. current with j= 0.161.

Fig.2. current with j= 0.4.

Fig:5. speed with j= 0.4.

Fig.6. speed with j= 0.7.

Fig.3. current with j= 0.7.

4
885

[7] P.C.Krause, Oleg Wasynczuk, Scott D.Sudhoff,Analysis

Ofelectrical Machines And Drive Systems, IEEE series John
wiley student edition, pg. no. 140-251.
[8]Ion Boldea, S.A.Nasar, Electric Drives, Taylor & Francis
group, special Indian edition published in 2006.Pg. no. 177297.
[9]Charles A.Gross, Electric Machines, Taylor & Francis ,
Published in 2007.
[10] Ashok Kusagur, Dr. S. F. Kodad, 3dr. B V. Sankar Ram,
Modelling Of Induction Motor & Control Of Speed Using
Hybrid Controller Technology, Journal Of Theoretical And
Applied Information Technology, 2005 - 2009 JATIT.
[11] Tarek AROUI, Yassine KOUBAA* and Ahmed TOUMI ,
Magnetic Coupled Circuits Modeling of Induction Machines
Oriented to Diagnostics, Leonardo Journal of Sciences, Issue
13, July-December 2008, p. 103-121
[12] S.S. Murthy and G.J. Berg , Bhim Singh, C.S. Jha, B,P.
Singh, Transient Analysis Of A Three Phase Induction Motor
With Single Phase Supply, IEEE Transactions on Power
Apparatus and Systems, Vol. PAS-102, No. 1, January 1983
[13]
Sushma.P,
Rajalakshmi,
Samaga.B.L
Vittal.K.P,Member,DQ Modeling Of Induction Motor For
Virtual Flux Measurement, IPEC 2010, 2010 IEEE

The Figures show the effect of moment of inertia on the

input current and speed of the machine. From the Simulation
results it can be clearly observed that as the moment of inertia
of the machine decreases, the steady state speed can be
obtained quickly and the transient in the input currents die out
soon.
2.5 CONCLUSION
In this paper MATLAB based Transient Modeling of Induction
Machine is used to analysis the effect of Moment of Inertia on the
Operating Speed and Inrush currents. As observed the results, how
value of moment of inertia seems to be fit to settle the inrush current
and speed at the time of starting. Such investigation may be useful to
design the motor drive system with satisfactory operation.

References
[1] Sudhir Kumar, P. K. Ghosh and S. Mukherjee, A
Generalized Two Axes Modeling, Order Reduction and
Numerical Analysis of Squirrel Cage Induction Machine for
Stability Studies, International Journal of Advanced Computer
Science and Applications, Vol. 1, No. 5, November 2010
[2] Vivek Pahwa and K. S. Sandhu, Transient Analysis Of
Three-Phase Induction Machine Using Different Reference
Frames, ARPN Journal Of Engineering And Applied Sciences,
Vol. 4, No. 8, OCT 2009
[3] K. S. Sandhu and Vivek Pahwa, Simulation Study Of
Three-Phase Induction Motor with Variations In Moment Of
Inertia, ARPN Journal Of Engineering And Applied Sciences,
Vol. 4, No.6, Aug 2009
[4] Dal Y. Ohm, Dynamic Model Of Induction Motors For
Vector Control.[5] Sushma.P Rajalakshmi Samaga.B.L
Vittal.K.P, DQ Modeling of Induction Motor For Virtual Flux
Measurement, IPEC 2010conference proceedings, singapore,
pg. 903-908.
[6] K. L . SHI, T . F. CHAN, Y. K. WONG and S. L . HO,
Modelling And Simulation Of The Three-Phase Induction
Motor Using Simulink, Int. J. Elect. Enging. Educ., Vol. 36,
pp. 163172.

APPENDIX
Machine Parameters
Poles- 2
Frequency 60 Hz
Stator inductance 0.0072 H
Mutual Inductance 0.3250 H
Rotor Inductance 0.0051 H
Stator resistance 0.0453 ohm
Rotor Resistance 0.0222 ohm

5
886

A Five Leg Voltage Source Inverter Driving Two

Three Phase Induction Motor in MATLAB/Simulink
Ankit Dixit, S.K.sinha, A.S.Pandey, Nikhil Mishra and Priyanka singh
Abstract-- The Five Leg Voltage Source Inverter (FLVSI) is an
integrated inverter which consists of five legs and drives two
three-phase induction motors independently. As one of the
phases of each motor is connected in a common leg, thus the
Pulse width modulation (PWM) methods for a three leg voltage
source inverter cant be used for the Five Leg Inverter (FLI).
From Last decade, several PWM techniques are developed for
FLI.
This
paper
present
the
methodology
and
MATLAB/Simulation result of Independent drive of two threephase induction motor fed by a FLI using Two Arm Modulation
(TAM) technique.

motors is connected to the common leg of the FLI. In the

past, many modulation techniques were introduced for the
FLI as shown in Fig 1 [3]-[35].

PWM Techniques
for FLI

Dual
Voltage
Modulation

Index Terms- Five leg inverter, Induction motor drive, Two arm
modulation technique.

Inverse
Table
Method

Modulation
Block
Method

Two Arm
Modulation

Double Zero
Sequence
Injection
Method

Space
Vector
Modulation

Fig.1 Different PWM techniques for five-leg inverter.

In this paper, independent drive of two three-phase

induction motors with FLI is demonstrated, using two arm
modulation technique in MATLAB / SIMULINK
environment. The paper is divided into five parts. Starting
with introduction, next section covers the system description.
Similarly, next section constitutes the dynamic modeling of
FLI followed by description of two arm modulation
technique. Lastly, simulation results are discussed along with
concluding remarks.

I. INTRODUCTION
Three phase induction motor drives are widely used in
industrial applications due to their mechanical robustness and
low cost. In most of these applications, accurate, stable,
reliable and fast response speed regulation is required. In
general, the principle of operating a three phase induction
motor indicates that the speed of the motor is directly related
to the frequency of the supply. This fact has made the
inverter fed induction motor a very common configuration
in the majority of industrial applications [1]-[3].
Independent drive of two or more three-phase AC
machines using only one three-phase voltage source inverter
is possible, since control of each machine requires two
degrees of freedom [4]-[5]. Dynamic modeling of threephase induction motor requires only two degree of freedom,
so the additional degree of freedom is used for independent
drive of three-phase induction motors.
Recently, a Five Leg Inverter to drive two three-phase AC
motors independently has been studied for aiming low-cost,
saving space and reduction of inverter losses [6]-[9].
Normally, twelve switching devices are required for the
independent control of system. But with FLI, only ten
switching devices are required as one phase of both the

II. STRUCTURE OF FIVE L EG INVERTER D RIVE

The topology comprises of a DC source, a filter capacitor,
and five phase legs U1 ,V1 , U2 ,V2 , W which feeds the two
motor drive system. The configuration of the proposed drive
system is depicted in Fig 2. The leg W of the inverter is
commonly shared between both of the machine, namely, IM1 and IM-2. Inverter legs U1 and V1 are directly connected
to phase a1 and b1 respectively, of the machine-1(IM1).
Inverter legs U2 and V2 are connected to phase a2 and b2
respectively, of the machine-2 (IM2). DC bus is of rated
value so that the full operating range of one machine can be
achieved. As shown in the diagram five-leg VSI topology
offers saving of two switch when compared to the standard
dual three-phase VSI configuration. Thus the five-leg
inverter configuration offers a reduction in complexity of the
inverter structure and also possibility to control two threephase induction motors using only one DSP [7],[9],[10-11].
Five-leg inverter is fed by voltage source and connects
inductive load so the leg should take measures to prevent
overvoltage and avoid path to load current. Equation (1) and
(2) shows switching function and restriction for the FLI [17][22].

M. Tech. Student, Department of Electrical Engineering, Kamla Nehru

Institute of Technology, Sultanpur 228118 (U.P.) India
(E-mail: ankitdixit.148@gmail.com)
Professor, Department of Electrical Engineering, Kamla Nehru Institute
of Technology, Sultanpur 228118 (U.P.) India.
(E-mail: sinhask98@gmail.com)
Associate Professor, Department of Electrical Engineering, Kamla Nehru
Institute of Technology, Sultanpur 228118 (U.P.) India.
(E-mail: sekhar.ajay04@rediffmail.com)
M. Tech. Student, Department of Electrical Engineering, Kamla Nehru
Institute of Technology, Sultanpur 228118 (U.P.) India.
(E-mail: nik.mishra4@gmail.com)
M. Tech. Student, Department of Electrical Engineering, Kamla Nehru
Institute of Technology, Sultanpur 228118 (U.P.) India.
(E-mail: priyankasingh_008@rediffmail.com)

Switching Function-

, {Switch
, {Switch

978-1-4673-0455-9/12/$31.00 2012 IEEE

887

closed}
open}

(1)

Switching Restriction-

(5)
Where

(2)

The modulated voltage is linked to by the switches of the

leg no. i and of the switches of leg no. 5, which is chosen as
reference. This modulated voltage has only three levels,
whose values depend on the different combinations of the
switches (open or closed);

Where = number of inverter legs (1, 2, 3, 4, 5)

= number of switches (1, 2)
DC Link
Capacitor

(6)
VDC
2

S11

S21

S31

V1

U1

S41

S51

U2

The relationship between modulation function, modulated

voltage and the DC voltage can be described as;

V2

VDC

(7)
S12

S22

S32

S42

S52

Similarly, the modulated current can be expressed from the

load current with the help of modulating functions such as;

VDC
2

i V1

i U1

i U2

iW

b1

i V2
U

(8)

a2

During the MMS description, modulated voltage vector

(
), switching vector (
), modulation vector (
) and
modulated current vector (
) can be defined as;

c1 c 2
iW1

a1

b2

i W2

Motor1

Motor2

Fig.2 Five leg VSI supplying two three -phase motor.

uinv

III. MATHEMATICAL MODELING OF FLI

The 5-leg VSI drive is depicted according to the Multimachine Multi-converter System (MMS) as shown in Fig (3).
It is formulated according to the action and reaction principle
[13-15].

m1

i2
, m inv
i3

m2
, sinv
m3

i4

m4

s11
s21
s31
s41
s51

The relationship (7) and (8) can be expressed as;

Connection
u si1

(9)

IM1

The switching vector is limited to the switching functions

of the first switch of legs, because the second one is deduced
from a complementary operation.

u si
i m1

i vsi

u35
u 45

, im

i1

Machines

5 LegVSI
Supply

VDC

u15
u 25

im
S vsi

im2

IV. TWO ARM MODULATION METHOD

The pioneer work of Y.KIMUARA et al., suggested this
method, which is also referred as Expanded Two Arm
Modulation Method (ETAM). In the ETAM, reference signal
in each leg is given by (10). The reference voltage of
common leg is always set equal to zero [12],[17].

u si 2

IM2

Fig.3 MMS representation of 5-Leg VSI.

The oval pictogram represents the electrical source which

imposes a DC voltage on the 5-leg inverter. The connection
between the inverter and the machines is represented by
double square pictogram which distributes energy to several
conversion chains. Frequently used five-leg VSI topology is
a reduced switch count configuration for converter fed
induction machines. With the approach of global
methodology, modeling of the five leg inverter for m-leg
voltage source inverter can be deduced. For every power
switch, a switching function is defined as whose value
fluctuates between 0 and 1 as defined in (3).

(10)
Where v*ki is reference phase voltage (
,
is a reference value of k, Phase in the motor i
(i=1,2). Fig 4 shows the block diagram of two arm
modulation method.
The modulation signal for the inverter is given as;

(3)
Considering the power switches as ideal, the switches of a
same leg are in complementary states;
(4)
With the help of switching functions, modulation function
can be defined as;

(11)
Each reference voltage is given by
, where
is
reference phase voltage
for the machine, is integer
(1,2) of the machine. Reference signal for the comparison with
the carrier signal is defined for FLI as;

888

(12)

express modulation signal of Common Mode Voltage

(CMV) which provides degree of freedom for the
improvement in voltage utility factor and current ripple
deduction.
is the actual command of the CMV. The
common mode voltage references are selected to satisfy the
constraints of the independent control with the FLI [13].
v UN1

1
E 2

v VN1

1
E 2

v WN1

1
E 2

v UN2

1
E 2

v VN2

1
E 2

v WN2

1
E 2

e Us1

m UN1

e Vs1

m VN1

m UN2

e Us2

m VN2

e Vs1

mKNi

VKNi
E
2

m UN1

mUN2

m VN1

mVN2

s 31
s 32
s 41
s 42

m WN2

400. 2

*
VWN
2

WN 1

326.55 Volt

Sin120 0

326.55 .Sin (-120)0 Volt

3
400. 2
3

Sin120 0

326.55 .Sin (120)0 Volt

Modulating Signal ---

s11
s12
s 21
s 22

m WN1

*
VUN
2

VN 1

400. 2

VUN 2

UN 1

m W N1
s 51
s 52

mVN 2

326.55
1.63
200
326.55
sin 1200 1.63 sin 1200
200
326.55
sin( 1200 ) 1.63(sin 1200 )
200

TABLE-I
S IMULATION PARAMETERS FOR T WO ARM MODULATION T ECHNIQUE

Carreir
Signal

Fig.4 Two arm modulation technique for five leg inverter

In FLI, the reference signal of k phase voltage in the machine

which is compared with carrier signal is defined as;

Input Voltage Source (AC)

231Vrms, 50 Hz

Inverter Supply (E)

400 Volts

Carrier Signal Frequency

25 kHz

*
*
*
eUs
1 mUN1 mC1

*
*
*
eVs
1 mVN1 mC1
*
eUs
2
*
eVs
2
eW* s

*
*
mUN
2 mC1
*
mVN
2
mW* N1

(13)

mC* 2
mC* 1

In FLI, -phase of both motors is connected to the common

leg. For independent drive CMV is always set to zero [20].
=0

(14)

After satisfying (13) and (14), it will be a standard

modulation technique for FLI. The reference signal of
common leg is zero which provides switching signal having
duty of 50% [22].

Fig. 5 (a)

V. SIMULATION AND E XPERIMENTAL RESULTS

The two arm modulation method is advantageous as it
reduces the current ripple and improve voltage utility factor.
It also utilizes all 32 switching states available for FLI. Fig. 5
shows the complete open loop Simulation diagram for
independent drive of two three-phase induction motor fed by
FLI applying two arm modulation technique.
Switching signalFor Open Loop at Balanced Condition-

Fig. 5 (b)

Reference voltage = Voltage between neutral point and a

per phase winding of induction
motor

Fig. 5 MATLAB/SIMUATION DIAGRAM

(a). Two induction motors fed by five leg inverter
(b). Two Arm Modulation Technique

889

Simulation result at no load (Tm=0)

Fig (6)-(7) shows the simulation result at no load condition.
Settling time at no load = 0.26sec

Fig. 7(c) Stator current for IM-2

Simulation result under full load condition (Tm=11.3)

Fig (8)-(9) shows the simulation result under load condition.
Settling time at load = 0.73sec

Fig. 6(a) Rotor Speed for (Induction Motor) IM-1

Fig .6(b) Electromagnetic Torque (Te) for (IM)-1

Fig. 8(a) Rotor Speed for IM-1

Fig. 6(c) Stator current for IM-1

Fig .8(b) Electromagnetic Torque (Te) for Induction Motor (IM)-1

Fig. 7(a) Rotor Speed in rpm for IM-2

Fig. 8(c) Stator current for IM-1

Fig .7(b) Electromagnetic Torque (Te) of IM-2

Fig. 9(a) Rotor Speed for IM-2

890

Fig .9(b) Electromagnetic Torque (Te) for IM-2

Fig. 9(c) Stator current for IM-2

VI. APPENDIX
The operation was performed on the both induction motors
having following parameters:
A 5.4Hp(4Kw/4000VA),400V,50Hz,1430 RPM,4 pole,3phase squirrel-cage induction motor has following
parameters referred to the stator:
Stator Resistance Rs = 1.405,
Stator Inductance Ls = .005839mH,
Rotor Resistance Rr = 1.405,
Rotor Inductance Lr = 0.005839mH,
Mutual Inductance Lm = 0.1722H,
Moment of Inertia = 0.0131JKgm2,
Friction Coefficient = .009541 Nm-S
Number of Poles P = 4
VII. CONCLUSIONS
This paper presents the two arm modulation technique for
independent drive of two three-phase induction motor fed by
FLI in MATLAB/SIMULINK. The simulation results
demonstrated to confirm the validity of independent drive of
two induction motors using FLI.
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[27]. M.Jones, S.N.Vukosavic, D.Dujic, E.Levi, P.Wright, "Five-leg inverter PWM
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[28]. Drazen Dujic, Martin Jones, Slobodan N.Vukosavic, and Emil Levi, A
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[31]. K.Oka, H.Enokijima, H.Kubota, K.Matsuse, Analysis and compensation
method of voltage error with five leg inverter for two ac motor independent
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869-876
[32]. H.Enokijima, K.Oka, K.Matsuse , Independent Position Controls of Two
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892

ANALYSIS OF ONE TO TWO OPEN SWITCH FAULTS IN

THREE PHASE VSI FED PMBLDC MOTOR USING
WAVELETS
S. Ramesh Babu1, E. Sreeshobha2, Kattela Ganesh3 Student Member IEEE, M.Vijay Karthik4
Technology, Karmanghat, Hyderabad - 500035, Andhra Pradesh, India (e-mail:
ganesh961986@gmail.com , vijaykarthik999@gmail.com).

Abstract: - In this paper a systematical approach is

presented to identify the inverter switch open faults condition for
PMBLDC motor drive. The DC motor is supplied with three phase
two level and six IGBT VSI circuit. The stator phase currents have
been used to identify the difference between the normal operations
and switch open fault condition. A knowledge algorithm is used to
extract the information of IGBT in the fault condition. This
algorithm testing shows that the system could not only detect the
open-switch fault, but also identify the faulty switch. The output of
the motor is decomposed using daubechies wavelet to get better
and accurate information of the fault drive system. The simulation
was done using MATLAB which shows confirmation of the results.

Various techniques for open-switch fault detection in voltage source

inverter (VSI)-fed pulse width-modulation (PWM) asynchronous motor
drives were presented in [4]. Monitoring voltages at key points of the
system and comparing them with respective references could
successfully diagnose the fault. Temporary remedial actions under
similar faults on permanent-magnet (PM) synchronous motor drives
were prescribed for fault- tolerant operation [5].
The present work introduces a simple diagnostic technique for one and
simultaneous two open-switches faults and fault rectification in the
inverter bridge of voltage-source inverter (VSI)-fed PM brushless dc
motor drives. Healthy and faulty systems were simulated in MATLAB
program. Fault impact on each one of the three phases currents mean
values is observed to conceive the appropriate diagnosis algorithm
based on the value and the polarity of the currents means values under
fault condition. Daubechies Wavelet transform is introduced for better
analysis of the fault. This technique shows its effectiveness in detecting
and locating the open-switch fault.

Index Terms: - Brushless dc motor IGBT, one open-switch, two

open- switches, wavelets.

I. INTRODUCTION
The increase in the development of power electronics and
microprocessor, induction motors are predominantly fed from pulse
width modulation (PWM) inverters for variable-speed operation. But
the physical weaknesses of power semiconductor device and control
circuit the inverter are still a major concern, and its complete reliability
has been topic of research. The recent research shows that of total faults
in the drive system, about 80% faults occur in the inverter [1]. These
faults are classified as open-circuit and short-circuit of semiconductor
device. In order to protect from the secondary occurrence of the fault, it
will be necessary to act in this sequence in the minimum possible
elapsed time after the occurrence of the fault. The overall goal of
increased system availability may be attainable by the development of
appropriate drives with fault-tolerant capabilities [2].

II. BRUSHLESS DC DRIVES SYSTEM

The VSI-fed PM brushless DC motor drive considered is
presented in Fig. 1, with: DC supply 300 V

Therefore the basic aim of fault tolerance is to identify and

isolate the fault quickly. In order to fulfill the fault identification and
isolation, it is essential to obtain more fault characteristics. There are
two ways to obtain the features: one is to do fault experiment in the
actual motor drives and another is fault simulation. It is obviously that
the later is economical. In fact, C.Vas [3] did simulation of the
brushless DC drive under the switch fault conditions to get the fault
features, and fulfilled the fault detection and isolation by comparing the
waves of current and torque of the system under fault condition with
that of the normal system. However the method requires changing the
input for simulation for the specific fault, and is more complicated when
SPWM control mode is used in the inverter.

Fig .1 Schematic diagram of the drive system Electrical power part of the
systems

The above system is a three-phase inverter bridge circuit, equipped

with three current sensors; three-phase motor having trapezoidal back
electromotive force (emf) and two poles PM rotor with rotor speed
sensors.
III. OPERATION OF BRUSHLESS DC DRIVE
Each commutation sequence has one of the windings energized to
positive power (current enters into the winding), the second winding is
negative (current exits the winding) and the third is in a non-energized
condition. Torque is produced because of the interaction between the
magnetic field generated by the stator coils and the permanent magnets.
Ideally, the peak torque occurs when these two fields are at 90 to each
other and falls off as the fields move together. In order to keep the
motor running, the magnetic field produced by the windings should
shift position, as the rotor moves to catch up with the stator field. What
is known as Six-Step Commutation defines the sequence of

Studying system performance under specific fault conditions

and comparing it with healthy performance yields one or more
characteristic waveforms that could identify the fault. Features extracted
from the characteristic waveforms are used as input data to the online
diagnosis process.
S.Ramesh Babu and E. Sreeshobha are with the Department of Electrical
Engineering, Osmania University , Hyderabad-500007, Andhra Pradesh , India
(e-mail: rameshbabu.sreepathi@gmail.com, shobasree555@gmail.com).
Kattela Ganesh and M.Vijay Karthik, are with the Department of Electrical and
Electronics Engineering, Pujya Shri Madhavanji College of Engineering &

978-1-4673-0455-9/12/$31.00 2012 IEEE

893

obviously, corresponds to time information in the transform domain.

However, we do not have a frequency parameter, as we had before for
the STFT. Instead, we have scale parameter which is defined as
1/frequency. The term frequency is reserved for the STFT[7].

energizing the windings. Figure 2 shows torque/speed characteristics.

There are two torque parameters used to define a BLDC motor, peak
torque (TP) and rated torque (TR). During continuous operations, the
motor can be loaded up to the rated torque. As discussed earlier, in a
BLDC motor, the torque remains constant for a speed range up to the
rated speed. The motor can be run up to the maximum speed, which can
be up to 150% of the rated speed, but the torque starts dropping.

As seen in the above equation, the transformed signal is a function of

two variables, tau and s, the translation and scale parameters,
respectively. Psi (t) is the transforming function, and it is called the
mother wavelet. Interpretation of the above equation as follows. Let x(t)
is the signal to be analyzed. The mother wavelet is chosen to serve as a
prototype for all windows in the process. All the windows that are used
are the dilated (or compressed) and shifted versions of the mother
wavelet. There are a number of functions that are used for this purpose.
The Morlet wavelet and the Mexican hat function are two candidates,
and they are used for the wavelet analysis.
Fig 2: Torque/Speed Characteristics

Once the mother wavelet is chosen the computation starts with s=1 and
the continuous wavelet transform is computed for all values of s ,
smaller and larger than ``1''. However, depending on the signal, a
complete transform is usually not necessary. For all practical purposes,
the signals are band limited, and therefore, computation of the transform
for a limited interval of scales is usually adequate. For convenience, the
procedure will be started from scale s=1 and will continue for the
increasing values of s , i.e., the analysis will start from high frequencies
and proceed towards low frequencies. This first value of s will
correspond to the most compressed wavelet. As the value of s is
increased, the wavelet will dilate.The wavelet is placed at the beginning
of the signal at the point which corresponds to time=0. The wavelet
function at scale ``1'' is multiplied by the signal and then integrated over
all times. The result of the integration is then multiplied by the constant
number 1/sqrt{s} . This multiplication is for energy normalization
purposes so that the transformed signal will have the same energy at
every scale. The final result is the value of the transformation, i.e., the
value of the continuous wavelet transform at time zero and scale s=1 .
In other words, it is the value that corresponds to the point tau =0 , s=1
in the time-scale plane.

IV. INVERTER FAULTS

A voltage-fed inverter induction motor drive system, as shown in Fig.1,
can develop various types of faults that can be classified as follows:
1)
2)
3)

Open-circuit fault of semiconductor device.

Short-circuit fault of semiconductor device.
Two semiconductor device of one leg open-circuit fault.

The inverter semiconductor devices are normally controlled by isolated

base drive amplifiers. Malfunctioning of one of these units can result in
a missing base drive, and so device open-circuit fault occurred in the
inverter. The device short-circuit fault is due to reverse breakdown of
the device, or may due to insulation breakdown of the leg, or sucking
circuit paralleling with the device is short. This type of fault is a serious
fault and it may be resulting in fault of other device. Unfortunately it is
also a commonly occurring fault. For such a fault, base drive to the
healthy transistor of the same leg should be immediately suppressed in
order to prevent a shoot through fault[6]. For simplicity, the paper
studies the semiconductor device open-circuit fault only.

The wavelet at scale s=1 is then shifted towards the right by tau amount
to the location t=tau , and the above equation is computed to get the
transform value at t=tau , s=1 in the time-frequency plane. This
procedure is repeated until the wavelet reaches the end of the signal.
One row of points on the time-scale plane for the scale s=1 is now
completed. Then, s is increased by a small value. Note that, this is a
continuous transform, and therefore, both tau and s must be incremented
continuously. However, if this transform needs to be computed by a
computer, then both parameters are increased by a sufficiently small
step size. This corresponds to sampling the time-scale plane. The above
procedure is repeated for every value of s. Every computation for a
given value of s fills the corresponding single row of the time-scale
plane. When the process is completed for all desired values of s, the
CWT of the signal is calculated.

V. WAVELETS
A wavelet is a 'small wave'. A small wave grows and decays essentially
in a limited time period. Also from Percival and Waldron: A wavelet
defined over the real axis (- , ). has two basic properties:
(1) The integral of (.) is zero. and,
(2) The square of (.) is unity.
Those integrals are from (- , ). The first property means there is as
much of the wavelet below the axis as above, while the second means
that the nonzero portion of the wavelet is limited in length. The term
wavelet means a small wave. The smallness refers to the condition that
this (window) function is of finite length (compactly supported). The
wave refers to the condition that this function is oscillatory. The term
mother implies that the functions with different region of support that
are used in the transformation process are derived from one main
function, or the mother wavelet. In other words, the mother wavelet is a
prototype for generating the other window functions.

In the present work Daubechies wavelet as been used for the analysis
of the inverter switch open fault.
VI. DAUBECHIES WAVELET
The Daubechies wavelet transforms are defined in the same way
as the Haar wavelet transform by computing the running averages and
differences via scalar products with scaling signals and wavelets the
only difference between them consists in how these scaling signals and

The term translation is used in the same sense as it was used in the
Short Term Fourier transform (STFT), it is related to the location of the
window, as the window is shifted through the signal. This term,

894

wavelets are defined. This wavelet type has balanced frequency

responses but non-linear phase responses. Daubechies wavelets use
overlapping windows, so the high frequency coefficient spectrum
reflects all high frequency changes. Daubechies wavelets[8] are widely
used in solving a broad range of problems, e.g. self-similarity properties
of a signal or fractal problems, signal discontinuities, etc. In the present
work the fault analysis done by using Daubechie's wavelet Db4 level 4.

The above figure shows the stator current wave forms for three phase
brushless dc motor from the top to bottom (Ia, Ib and Ic) X Axis is
time (t) in sec, Y- Axis is current in Amperes.

Db4 Wavelet: Properties: asymmetric, orthogonal, biorthogonal.The

overlapped coefficients of the Daubechies D4 transform accurately
pick up changes in all coefficient bands.

VII. SIMU LATION

Fig 6Speed characteristics

The below figure 3 represents the VSI fed BLDC motor

without fault and their respective firing pulses for all the Switches can
be seen in fig 4. we can see sequence is maintained for the firing of the
pulses. For the given pulses the stator currents are given by fig 5, here
we can see that all the phase currents are continuous. Torque and speed
are represented by fig 6 and 7 respectively.

The above figure shows the motor speed characteristics wave forms for
three phase brushless dc motor, X Axis is time (t) in sec, Y- Axis is
speed in rpm.

Fig 3. VSI fed BLDC Motor

Fig.7. Torque characteristics

The above figure shows the torque characteristics wave forms for three
phase brushless dc motor, X Axis is time (t) in sec, Y- Axis is torque
in N-m.
Proposed Circuit- 1(for fault identification)

Fig.4. Firing Pulses

The above figure shows the firing pulse wave forms for IGBT switches
of Voltage Source Inverter from the top to bottom (1 to 6)

Fig 8 Block Diagram for Proposed circuit -1

In the proposed circuit-1 a relay is been connected across each IGBT

switch of VSI fed BLDC motor. In case of fault occurring in any switch
relay will detach the switch from the system. The relay is connected
across individual IGBT switches of VSI, control technique for VSI and
block diagram of proposed circuit-1. A timer is been connected across
all switches and it is enabled to show that fault occurred across this
switches i.e firing pulses of the inverter. The figure 9 represents the
firing pulse wave forms for Voltage Source Inverter. It is observed that
there is a discontinuity in the inverter pulses for switches IGBT1,
IGBT4 and IGBT6 when timer is enabled for these switches which
represents switch open fault. Fig 10 represents stator currents for three
phases. We can observe that there is a discontinuity in the stator
currents for because of the switch open faults. Switch IGBT1 timer is
enabled at t=0.3 sec and switch IGBT4 and switch IGBT6 timer are

Fig 5. Stator currents (Ia, Ib and Ic)

895

enabled at t= 0.45 sec. The rotor speed and torque corresponding to the
faults are shown in fig 11 and 12 respectively. We can observe there is
decrease in the speed of the motor and transients in the torque.

which is due to the failure of IGBT1, and similrly in the Ib and Ic

negative polarity signal is clipped from 0.45 to 0.6sec which is due to
the failure of IGBT5 and 6. This failure has been detected and rectified
with the help of proposed scheme 2.

Fig.9.Firing pulses for IGBT Switches

Fig. 11 Rotor speed waveforms

The figure above shows the firing pulse wave forms for Voltage Source
Inverter from the top to bottom (1 to 6):

The above figure shows the Rotor speed wave forms for three phase
brushless dc motor X Axis is time (t) in sec, Y- Axis is speed in rpm.

Firing Pulse 1: In this wave form as we can see the pulses between 0.3
to 0.4 sec time period have been skipped by using the timer. This pulse
has been given to IGBT 1, to create an open condition of switch IGBT1.

As you can observe there is decrease in the speed of the rotor in the
wave form at 0.3sec, which is due to the failure of IGBT1, similarly
decrease in speed at 0.45sec which is due to the failure of IGBT5 and
IGBT 6.

Firing Pulses 2, 3 and 5: In these wave forms as we can see the

continuity in the pulses. These pulses have been given to switches
IGBT2, IGBT3 and IGBT4.
Firing Pulse 4, 6: In these wave forms as we can see the pulses between
0.45 to 0.6 sec time period have been skipped by using the timer. These
pulses have been given to switches IGBT 5 and IGBT6 to create an
open condition of switches IGBT5, IGBT6.

Fig.12. Rotor torque waveforms

The above figure shows the torque characteristics wave forms for three
phase brushless dc motor, X Axis is time (t) in sec, Y- Axis is torque
in N-m.
Proposed Circuit- 2 (to rectify the fault): The below fig 13 shows the
proposed circuit-2 block diagram representation.Proposed circuit-2 is
to rectify the fault where an auxiliary switch is been connected across
the main IGBT switch. When a fault occurs in main switch the relay
will detach that switch and the auxiliary switch will be operated to
maintain the flow of supply. Fig 14 represents the stator currents, we
can observe that there is a discontinuity at 0.3sec when fault occurs at
switch IGBT1 but there is continuity in the operation as relay will
detach the main switch and auxiliary switch will be operated. Same
operation is followed for switches IGBT4 and 6 when open fault occurs
and is observed in the fig 14. The speed and torque characteristics are
seen in fig 15and 16 where in speed slight deviation at 0.3sec and
between 0.4 and 0.5sec.

:
Fig.10.Phase currents waveforms

The above figure shows the stator current wave forms for three phase
brushless dc motor from the top to bottom (Ia, Ib and Ic) X Axis is
time (t) in sec, Y- Axis is current in Amperes. As you can observe there
is positive polarity signal is clipped in the Ia wave form 0.3 to 0.4sec

896

Fig.16.Rotor torque

Fig 13. VSI drive system with auxiliary switch

The above figure shows the rotor torque wave forms for
three phase brushless dc motor X Axis is time (t) in sec, Y- Axis is
torque in N-m.
Simulation results based on wavelets: The results of wavelet analysis of
the inverter switch open fault are represented from fig 17 to fig 22 for
all the three phases. The fault analysis done by using Daubechie's
wavelet Db4 level 4 , we can observe from fig 17 for the fault in phase a
there is a discontinuity in the signal and the severity of the fault can be
clearly understood by wavelet analysis. The black line in the below
Figure shows there is a occurrence of the switch open fault. Similarly
for phase b and phase c the discontinuity in the signal is seen in fig 18
and 19 respectively.

Fig.14. Stator currents (Ia, Ib and Ic)

The above figure shows the stator current wave forms for three phase
brushless dc motor from the top to bottom (Ia, Ib and Ic) X Axis is
time (t) in sec, Y- Axis is current in Amperes. As you can observe there
is in the wave form of Ia at 0.3sec which is due to failure of IGBT1,
similarly discontinuity in Ib and IC at 0.45sec which is due to the failure
of IGBT5 and IGBT 6. This failure has been detected and rectified with
the help of proposed scheme 2.

:
Fig 17 Wavelet coefficients for Ia
Fig.15. Rotor speed waveforms

The above figure shows the rotor speed wave forms for three phase
brushless dc motor X Axis is time (t) in sec, Y- Axis is speed in
rpm.As you can observe there is decrease in the speed of the rotor in the
wave form at 0.3sec, which is due to the failure of IGBT1, similarly
decrease in speed at 0.45sec which is due to the failure of IGBT5 and
IGBT 6. This failure has been detected and rectified with the help of
proposed scheme 2.

897

Fig 18 Wavelet coefficients for Ib

Fig 20 Decomposition stages of signal Ia

Fig 19 Wavelet coefficients for Ic

Fig 21 Decomposition of signal Ib

898

Fig 22 Decomposition of signal Ic

VIII. CONCLUSIONS
A simple approach to detect the inverter faults of one and simultaneous
two open switches fault conditions, for open loop controlled PM
brushless DC motor drives. Proposed circuit - 1 is implemented in this
paper to get information on, which IGBT is in open-switch fault
condition. Proposed circuit - 2 is implemented for fault rectification.
Finally in this paper we could not only detect the open-switch fault, we
can identify the faulty switch and also rectify the fault. The output of
the system is decomposed using wavelets. Here, we get the better and
clear understanding of the fault severity and also the exact time,
frequency and magnitude of the fault simultaneously. Analysis of the
system using traditional simulation and wavelet proves that wavelet is a
better tool for performing inverter fault analysis when compared to
traditional simulation. In future different control techniques can be
implemented (such as Fuzzy and ANN) for attaining a non-faulty
inverter and thus improving the robustness of the inverter drive system.

III. REFERENCES
[1]

RIBEIRO, R. L.JACOBINA, C. B.da SILVA, E. R. C. LIMA,

AMN: Fault Detection of Open-Switch Damage in Volt- age-Fed PWM
Motor Drive Systems, IEEE Trans. Power Electron. 18 No. 2 (Mar 2003),
587-593.

[2]

SPEE, R.WALLACE, A. K. : Remedial Strategies for Brushless DC

Drive Failure, IEEE Trans. Ind. Appl. 26 No. 2 (Mar/Apr 1990), 259-266.

[3]

FILIPPETTI, F.FRANCESCHINI, G.TASSONI, C. VAS, P. : Recent

Developments of Induction Motor Drives Fault Diagnosis using AI
Techniques, IEEE Trans. Ind. Electron. 47 No. 5 (Oct 2000), 994-1004.

[4]

AWADALLAH, M. A.MORCOS, M. M. : Application of AI Tools in

Fault Diagnosis of Electrical Machines and Drives an Overview, IEEE
Trans. Energy Convers. 18 No. 2 (June 2003), 245-251.

[5]

JANG, J.-S. R. : ANFIS: Adaptive-Network-Based Fuzzy Inference

System, IEEE Trans. Syst., Man, Cybern., 23 No. 3 (May/June 1993), 665685.

899

[6]

ALTUG, S.CHOW, M.-Y.TRUSSEL, H. J. : Fuzzy Inference Systems

Implemented on Neural Architectures for Motor Fault Detection and
Diagnosis, IEEE Trans. Ind. Electron. 46 No. 6 (Dec 1999), 1069-1079.

[7]

BAHI, T.FEZARI, M.BARAKAT, G.DEBBACHE, N.E. :

Localization of Faulty Transistor in a Three-phase Inverter, Asian Journal
of Information Technology 4 No. 11 (2005), 10681073.

[8]

FUCHS, F. W.: Some Diagnosis Methods for Voltage Source Inverters In

Variable Speed Drives with Induction Machines a Survey, IECON,
2003.

A Review on Existing Hindi Language Search

Engines
Vipin Kumar Awasthi
Hindi language is the national language of India, with
roughly 300 million native speakers [2]. Another 100 million
or more use Hindi as a second language.

AbstractThis paper is based on existing Hindi Language

information retrieval systems. Search Engines are primary
tools for searching any information, available on web. Hindi
Language which is originated from Sanskrit Language is
national Language of India Territory. Hindi Language which
is also known as Devnagri script is widely spoken in north
region of India Country. In current scenario, searching on web
in Hindi Language facing lot of challenges. This has raised
critical issues in the policy debates.

II.

WEB IR AND INDIAN LANGUAGE

The popularity of web in India is grown very high in the

last few years because it provides the fastest and costless
information to its users. The main barrier between the
searchers and information retrieval is mismatched language
platform. Most of the search engines support the English
language while on the contrary most people know only
Hindi. For example, Indian students learn more than one
language from their childhood and more than 30% of the
population can read and understand Hindi apart from their
native language [3]. It is disappointing for the native people
to access information in other then their native languages.
In the last decade few companies have done good efforts
and developed Search Engine to provide information in
native language, but those entire search engines are still not
able to provide relevant information to the end user.
Although the ratio of the searching on the web in Indian
native languages is quite low but still with the boom in the IT
market, new companies are trying to identify the areas of
growth. To attract the users, lot of Indian languages contents
are published on the web now a day. This will change the
scenario of information technology in the coming years in
India. It is quite evident that the certain tools are required to
search the authentic information on the web and Search
Engines are one of them. Although the present status of
information search in Indian local languages is not very
promising but still there are few companies which are trying
to improve the situation.

Keywords- Information Retrieval, Indian local languages,

Hindi Language, Hindi Search Engines.

I.
INTRODUCTION
The web is a collection of static and dynamic pages. It is
a major option of information retrieval and Search engines
are basic tools for the information retrieval from the web. A
search engine is a program that searches through a database
of web pages for particular information. The Information
retrieval is an activity through which the information
available on the web is accessible by the information seekers.
Information retrieval process includes the search engines,
information seekers and web information. As we know
English is the common language, used to exchange the ideas
among the people so most of the search engines were
initially developed and served the purpose of information
retrieval in English. The result is that the valuable
information on the web is not able to reach to those native
people who only understand their native language.
There are some 6,700 languages are spoken in 228
countries and as English is the native language of only 6 %
of the World population the results is that the only 6%
people from the whole world population can utilize the
information available on web [1]. In other words the 94% of
the world population remains away from the valuable
information available on the web. Various researchers
recognized this problem and developed various native
language search engines. This was an excellent effort that
made the available information on the web, accessible to the
native people in their own language.

A. Existing Hindi language Search engines

India emerging as a highly competitive Internet market,
more and more people are turning towards the Internet. Now
it is high time to have quality Hindi language search engines
having capability to retrieve the Hindi information from the
web as per the users need. At present, a few search engines
as discussed in the following sub section are capable of
search in Hindi.
1) Google :
Google [4] has recently introduced its capability of
searching information in nine Indian regional languages
including Hindi. Though it uses English transliteration for
typing Hindi queries, its search results are better than other
Hindi supporting search engines. Its coverage area is broad
and holds the capability to the retrieve more results in Hindi
language from the web. Google holds the capability to
translate the web information from one language to another

Vipin Kumar Awasthi is with Department of Computer Science in Dr.

C. V. Raman University , India (email: vipinasawasthi@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

900

language so one can retrieve the information that is

available in English and convert it to Hindi also. Its
translation tool, however, is not very accurate.
A global product (Google search) cant apply for a local
language, said Anurag Dod, chief executive officer and cofounder of the Bangalore-based guruji.com, pointing that in
countries such as China and South Korea, home-grown
companies including Baidu.com and Naver.com lead in
local language search over the US Internet giant [5].

by Sequoia Capital, developed by students of IIT,

Delhi. Guruji is also one of the popular search engines
for Indian languages.

Figure 3.

III.

ISSUES IN HINDI LANGUAGE WEB INFORMATION

RETRIEVAL

Internet penetration growth rate is among the fastest in

India in the world. But everyone knows its going to hit a
plateau if the main Internet language remains English. Sure
enough, there are portals like rediff, yahoo, msn, google and
others who have started offering content in Hindi and other
languages. But if you go hunting for any real information, it
seems like the amount of activity that a person can do on the
Internet with Hindi (or any other local language) as a
language is rather limited to reading news.

Figure 1. Web Interface of Google (Hindi).

2)

Raftaar :
The local language search industry in India is still
nascent with only two serious players one of them is Raftaar
[6], a Hindi search engine owned and developed by Delhibased Indicus NetLabs Pvt. Ltd. It is said as completely
Hindi language search engine because it provides results
that are evidently from India. Though Raftaar is getting
popularity day by day but there are lots of loopholes related
to the performance of the Raftaar.
This search engine is struggling with the problem of
indexing. This search engine is not able to cover the whole
area of web, but gets around 50,000 search queries every
day and indexed nearly six million of the 10 million pages
in Hindi on the Internet.

A. Information Generation
Information generation is essentially being capable to
type in Indian languages. Since web was introduced to us in
the English language, we do not have some of the standard
mechanisms (Standard Keyboard) for inputting contents in
other languages like Hindi. Of course, we do have
typewriters that support various regional languages, but for a
common man, learning to use the typewriter will be a bit of a
barrier. It is one of the reasons behind the hinder less use of
Internet. The problem in Hindi is that there is no standard
format. There are various types of keyboards developed by
the different companies. When a user accustomed to one
type of keyboard finds him in front of another type of
keyboard, user becomes quite helpless. Many solutions have
been given to solve this problem, but they didn't succeed.
However, many companies are doing their best effort to find
a solution. Among them there are big players like Microsoft
and Google too. Small players like Indicus net labs are also
working on a solution. Google used the concept of
transliteration; it is the practice of transcribing a word or text
written in one writing system into another writing system, or
a system of rules for such practice. In short when we type
on the screen in
Bhaarat desh it appears as
Google interface.

Figure 2. Web Interface of Raftaar.

3)

Web Interface of Guruji

Guruji :
Guruji [7] is the Indian search engine launched on
12th October, 2006. Guruji search engine was funded

901

B. Information Presentation
A document on the Internet can be written in various
languages. The character encoding of a document represents
a subset of the characters in the document. There are several
character encodings that contain characters from a few
scripts for example, ASCII (supports the characters in
English), ISO-8859-1 (encodes most Western European
languages), ISO-8859-5 (supports Cyrillic), SHIFT JIS (a
Japanese encoding). When a document is transferred on the
Web, the user agent on the other side should be informed
what the character encoding of this document is.
1) ASCII :
The English language has, until recently, dominated the
Web. ASCII (American Standard Code for Information
Interchange) standard, allow for 128 characters. ASCII
characters are each represented by one byte according to a
standard code. Use of ASCII for information interchange
has been severely limiting for languages written in non
roman scripts.
2) ISCII :
The Department of Electronics came up with a standard
for Indian code chart. The Indian Script Code for
Information Interchange, ISCII [8], specifies a 7-bit code
table which can be used in 7 or 8-bit ISO compatible
environment. It allows English and Indian script alphabets
to be used simultaneously. ISCII retains the ASCII character
set in the lower half and provides the Indian script character
set in the upper 96 characters in the 8-bit code.
3) Unicode :
Unicode [9] is a 16-bit character encoding that allows
65,535 characters compared to the 256 characters provided
by 8-bit ASCII. The Unicode Character Standard is
designed to support the interchange, processing and display
of texts in various languages of the modern world.
4) UTF-8 :
The Unicode standard endorses two forms that correspond
to ISO 10646 transformation formats, UTF-8 (Universal
Character Set Transformation Format) [10] and UTF-16.
UTF-8 is a way of transforming all Unicode characters into
a variable length encoding of bytes. It has the advantages
that the Unicode characters corresponding to the familiar
ASCII set end up having the same byte values as ASCII,
and that Unicode characters transformed into UTF-8 can be
used with much existing software without extensive
software rewrites. Any Unicode character expressed in the

16-bit form can be converted to the UTF-8 form and back

without loss of information.
For Hindi on the web, UTF-8 is clearly the only feasible
solution. Other Unicode encodings such as UTF-16 are
possible in principle, but less widely supported. There is an
8-bit encoding "ISCII", for writing Indic languages, that has
been used to some extent but it is not officially registered,
but it isn't recognized by browsers. Finally, you could use
any encoding (even US-ASCII) and represent Hindi
(Devanagari) characters using character references like
&#x905;, but that would be too awkward and too inefficient
(except perhaps for short fragments of texts in documents
that are mostly in another language).
The web designers use various coding standards for Hindi
language based sites. Which is also one of the reasons of
poor availability of Hindi language contents on the web?
IV.

CONCLUSION

The paper discussed various existing Hindi web search

engines. There are still lots of problems with the existing
Hindi search engines. Almost all these search engines suffer
with low relevancy and ranking of results which forces
searchers to keep changing their queries, and due to this
many a times users either change the search language to
English or change the search engine.
REFERENCES
Hachim Haddouti and H. Haddouti. Survey: Multilingual Text
Retrieval and Access. UNESCO report February 1999 pp 3.
[2] worlds
most
spoken
languages
Hindi
[http://easyexpat.blogexpat.com/blog/expat/2009/03/05/world-s-mostspoken-languages].
[3] K Jagadeesh Jagarlamudi and A Kumaran "Cross-Lingual
Information Retrieval System for Indian Languages" 2008, Volume
5152/2008, pp 80-87.
[4] Google.com [http://www.google.com].
[5] http://www.raftaar.in/livemint.htm
[6] Raftaar.com [http://www.raftaar.com].
[7] M. Guruji.com [http://www.guruji.com].
[8] Indian Script Code for Information Interchange - ISCII, IS13194 :
1991, Bureau of Indian Standards, Manak Bhavan, 9 Bahadur Shah
Zafar Marg, New Delhi 110002.:
[9] The Unicode Standard, Version 2.0, The Unicode Consortium,
Addison-Wesley Developers Press, Chapter 6 pp33-34, Chapter 7
pp72-74.
[10] F. Yergeau, UTF-8, a transformation format of Unicode and ISO
10646, Request for Comments: 2044, October 1996.
[1]

902

QOS IN MANET BY A FUZZY

SCHEDULER AND PERFORMANCE
ANALYSIS WITH REACTIVE
PROTOCOL
Vivek kumar,A.K.Daniel, Bharat Tripathi,
Department of Computer Science & Engineering
Madan Mohan Malaviya Engineering College Gorakhpur(U.P)
Pranveer Singh Institute of Technology Kanpur(U.P.)

decrease throughput. To avoid this lacking we

introduce a scheduler in MANET. A MANET is an
autonomous group of mobile users that communicate
over reasonably slow wireless links. The network
topology may vary rapidly and unpredictably over
time, because the nodes are mobile. The network is
decentralized, where all network activity including
discovering the topology and delivering messages
must be executed by the nodes themselves.
Hence routing functionality will have to be
incorporated into the mobile nodes. MANET is a
kind of wireless ad-hoc network and it is a
self-configuring network of mobile routers (and
associated hosts) connected by wireless links the
union of which forms an arbitrary topology. Such a
network may operate in a standalone fashion, or
may be connected to the larger Internet [1].The
mobile nodes can directly communicate to those
nodes that are in radio range of each other, whereas
others nodes need the help of intermediate nodes to
route there packets. The effects of scheduling
algorithms on E-DSR are study by the NS2.34
simulator. In Fig. 1 nodes D and C must discover
the route through B in order to communicate. are
not in direct transmission range of each other
[1].Since the mobile nodes in the network
dynamically establish routing among themselves to
form their own network is called infrastructure less
network .All nodes of these networks behave not
only as hosts but also as routers, forwarding packets
to other mobile nodes in the network that may not be
within direct wireless transmission of each other.
The routing algorithms develop a route minimizing
the time required to converge and bandwidth
overhead at the same time enabling proper routing.
Once the route is established, a scheduler schedules
the packets on packet-by-packet basis. The simplest
possible scheduling discipline is first in first out.
The disadvantage of this technique is that it cannot
differentiate among connections. Hence the choice
of scheduling algorithm to determine which queued

Abstract-- This paper present a new method to

improve performance of DSR in Ad Hoc Network. We
present an analysis of DSR protocol and propose our
algorithm to improve the performance of DSR protocol
by using fuzzy logic in Mobile Ad Hoc networks. We
analyze packet scheduling algorithm to find those that
most improve performance in congested network.
Hence, a scheduling algorithm to schedule the packet
based on their priorities will improve the performance
of the network. Packet schedulers in wireless ad hoc
networks serve data packets in FIFO order. Here we
present a fuzzy based priority scheduler for mobile adhoc networks, to determine the priority of the packets
using Dynamic source routing (DSR) as the routing
protocols. The performance of this scheduler has been
studied using NS2.34 simulator and measured such as
packet delivery ratio, end-to-end delay and
throughput. It is found that the scheduler provides
overall improvement in the performance of the system
when evaluated under different load and mobility
conditions. This report presents an attempt to apply
fuzzy logic in the design and implementation of a rulebased scheduling algorithm to solve the shortcoming of
well-known drop tail algorithms. Our main
contribution is proposing a fuzzy approach to multipackets
scheduling in which the scheduling
parameters are treated as fuzzy variables. A
simulation is also performed and the results are
judged against each other. It is concluded that the
proposed fuzzy approach is very promising and it has
the potential to be considered for future research.
Keywords: NS2.34, Fuzzy Priority Scheduler, DSR,
MANETs

I. INTRODUCTION
A mobile ad-hoc network is a type of network in
which there is no need of physical infrastructure. It
is a collection of multiple hopes radio network and
manages the connection in decentralized manner. In
the current DSR there are many challenges like
packet losses and new route discovery. So that due to
this we faces the problem like packet delay and

978-1-4673-0455-9/12/$31.00 2012 IEEE

903

identifier from the initiator, discards the Request.

Otherwise, it appends its own node address to a list
in the Request and rebroadcasts the Request. When
the Route Request reaches its target node, the target
sends a Route Replay back to the initiator of the
Request, including a copy of the accumulated list of
addresses from the Request. When the Replay
reaches the initiator of the Request, it caches the
new route in its Route Cache. The meaning of
Routing maintenance refers to each DSR node
maintains a route cache; it records the route
information of node-by-node which can reach to the
other nodes. Otherwise, every node can move from
the data packet which is transmitting by the
neighbor. The process of the snooping can be used
to analysis the route information which is recorded
in the front of data packet, the node records route
information to its route cache if the route is a new
one. Thus, more and more route information would
be record to the route cache by the node and reduce
the time of Flooding to broadcast RREQ.
Meanwhile, the bandwidth of each node can also be
saved. The processing of routing maintenance
detects the changing of network topology, and it
knows whether the route is still available or not.

packet to process next will have a significant effect

on overall end-to-end performance.

Figure 1: Example of MANET

In this paper we provide a fuzzy based priority

scheduling scheme with expiry time concept, this
improves the QoS parameters in wireless ad hoc
network. Hence, introducing a scheduling algorithm
to determine which queued packet to process within
its time limit next will improve the overall end-toend performance. Without scheduling, the packets
will be processed in FIFO manner and hence there is
frequently dropped the packets. A scheduler should
schedule the packets to reach the destination
quickly, which are at the verge of expiry. The fuzzy
concepts were simulated using NS2 and the results
of the fuzzy concepts were applied to the NS2.34.
The performance of the proposed method has been
evaluated. It has been observed that it improves the
protocol in the aspects of delivery rate, control
packets, dropped packets and end-to-end delay.

Figure 2: Route request packet flow in DSR

II. DSR PROTOCOL DESCRIPTION

In this section we describe the basic functionality of
DSR and in the next sub-section the parameters for
QoS have been discussed.
A. DSR protocol
Dynamic Source Routing (DSR) [2] is a reactive
protocol it doesnt use periodic advertisements. It
computes the routes when necessary and then
maintains them. In DSR, when a node has a packet
to send to some destination and does not currently
have a route to that destination in its Route Cache,
the node initiates Route Discovery to find a route;
this node is known as the initiator of the Route
Discovery, and the destination of the packet is
known as the Discovery's target. The initiator
transmits a Route Request packet as a local
broadcast, specifying the target and a unique
identifier from the initiator. Each node receiving the
Route Request, if it has recently seen this request

Figure 3: Route reply packet flow in DSR

Typically, as shown in Figure 1, [3] an intermediate

node may not receive an acknowledgement from a
neighboring node, triggering a Route Error packet to
flow back to the source, informing Source and also
all intermediate nodes of the link failure. In such a
case all nodes, including source, will remove the
route entry from their respective route cache. For
example, Node 3 may not get an acknowledgement
from Node 4, thus representing a route breakdown
from S to D. In such a case Node 3 will notice the
failure first and it will inform the source about the
link failure.

904

B. Process of packet scheduling in DSR

In Dynamic Source Routing Protocol the packet is
store in DSR cache in FIFO order. In DSR protocol
the route of the packet is store in cache of every
node. The packet is transfer from source to
destination in FIFO order. The packet who comes
first is transfer first and packet that comes last can
transfer last. There are two types of packets in any
complete information packets. Data packet and
control packet, control packet is play vital role when
transfer any information. The overall performance
of packets is depending upon the control packet. So
sometimes the data packets are transfer before the
control packet due to first in first out scheduling.
The problem accrues in the packet delivery ratio and
packet sending performance is decrease. So we
introduce the fuzzy scheduling concept, in packet
queue, in this we used three variable describe in next
chapter for setting the priority of the packet before it
expired. Consider a routing path from the source
node A to a destination node E as shown in Fig.4.
The initial path is determined using the path
discovery process, in which the distance between the
source and destination is the shortest or very close to
it. A packet takes three hops while following route
from A to E. In the course of time, the mobility of
the nodes may make the shape of the routing path
similar to the one shown in Fig.3.2 while retaining
the connectivity. In this new shape, B is in the
transmission range of A and C is in the transmission
range of B. Similarly D is in the transmission range
of E. However, because of the usage of route caches
and the validity of the existing routing information,
the routing table entries are not updated. Using the
routing paths shown in Fig.4, a packet still takes
three hops to reach from A to E and needs only three
hops by dynamically modifying the entries of the
routing tables as in Fig.4.

III. FUZZY SCHEDULAR IN DSR PROTOCOL

In dynamic source routing, when a host needs a
route to another host, it dynamically determines one
based on cached information and on the results of a
route discovery protocol. Due to the source routing
characteristic [5] of DSR, overhead is increased.
Moreover, during the route discovery process, each
node takes part in forwarding Route Request
(RREQ) packet [7, 8]. Each node except the
intended destination forwards the Route Reply
(RREP) packet [7, 8] to create the route. Though,
these RREPs increase the number of multiple paths
to reach destination, they increase the control packet
load of the network. Our proposal is to modify the
basic DSR to change the packet scheduling (drop
tail) into fuzzy scheduling.
Table 1: Scheduling of packets in different nodes in DSR protocol
using FIFO

A
P1
P2
P3

B
P1
P2
P3

C
P1
P2
P3

D
P1
P2
P3

E
P1
P2
P3

A. Fuzzy algorithm
There are two basic approaches or algorithm used in
fuzzy logic. The first one is Mamdani and second is
Sugeno both the algorithm developed for fuzzy
concept. In this report we use the Mamdani
algorithm for developing the concept of fuzzy
scheduler in dynamic source routing protocol. The
description of Mamdani algorithm is given below.
Loop \\ System is running for ever
For each DSR packet queue the queue
Do the following
Step 1: for each ready packet P (a packet which is
keep in packet queue and ready to transmite)
Feed it into the rule base schedule System engine.
Consider the output of fuzzy system is priority of
packet P.
Step 2: execute the packet with higest priority until
any scheduling event accure (a running packet is
finishes, until a new packet is arrives)
Step 3: update the DSR queue
END
END loop\\
B. Fuzzy rule based scheduler
A modified rule-based fuzzy scheduler that deals
with both task priority and its execution time is
presented in this section. A fuzzy-based decision
maker (FDM) has a modified rule-based fuzzy
scheduler that deals with both task priority and its
execution time is presented in this section. A fuzzy-

Figure 4: Different routing path of packet transfer using FIFO

process

905

based decision maker (FDM) has been proposed to

compute the new priority (Pn) of all packets
according to the packets priority (Po) and its expiry
time (Ex), as shown in Fig... The measured
variables are inverted into suitable linguistic
variables. In this application, the following
linguistic variables are used for priority (Po), and
new calculated priority (Pn); Very Low (VL), Low
(L), Medium (M), High (H), and Very High (VH).
The fuzzy sets definition for expiry time (Ex) are
Short (S), Medium (M), High (H), Figure (5) shows
the universe of discourse and fuzzy sets of these
variables. Fuzzy sets can have a variety of shapes.
However, a triangular or a trapezoid can often
provide an adequate representation of the knowledge
[11]. The proposed fuzzy decision maker is a
collection of linguistic rules which describe the
relationships between measured variables (Po & Ex),
and calculated output (Pn). Table 2 contains rules,
since we have three fuzzy sets for each variable.
Each rule is represented by IF and THEN statement
such as; IF MPx and LEx THEN VLPn this means
that if the priority is very low (VLPo) and the Ex
time is short (STx), then the new calculated priority
is high (HPn).

proposed in 1975 by Ebrahim Mamdani [8] in this

method we take the fuzzy inputs and procedure of
fuzzifying is process with fuzzy operator. There are
also another fuzzy method called Sugeno.The main
difference between Mamdani and Sugeno is that the
Sugeno output membership functions are either
linear or constant but Mamdanis inference expects
the output membership functions to be fuzzy sets.
C. Determine fuzzy sets
Fuzzy sets can have a variety of shapes. However, a
triangle or a trapezoid can often provide an adequate
representation of the expert knowledge, and at the
same time, significantly simplifies the process of
computation. The quality of fuzzy approximation
depends on the quality of the rules. The result
always approximates some unknown non linear
function that can change in time. Fuzzy systems
theory or fuzzy logic is a linguistic theory that
models how we reason with vague rules of thumb
and commonsense. The basic unit of fuzzy function
approximation is if then rules. A fuzzy system is a
set of if- then rules that maps input to output.
The result of learning algorithm is a family of fuzzy
relation defined on the product space Z .For each
fuzzy relation R(r) =A1 (r ) .An (r ) X B1 (r ) XXX
Bm (r) a fuzzy rule is straight forwardly derived
based on the following schema.

Table 2: Fuzzy rule base

Hopx

IF X1 is A1 (r ) AND ..AND Xn is An (r)

THEN Y1 is B1 (r ) AND AND Ym is Bm (r )

Px
Expiry time(Low)
L

VL

VL

VL

VL

VL

VL

Expiry time(Medium)
L

Expiry time(High)
L

VH

VH

Figure 5: Membership function of priority Index

Table 3: Scheduling of packets in different nodes in DSR protocol
using FS

The Mamdani-style inference process is used [11],

and the center of gravity defuzzification method is
applied to convert the fuzzy output into a crisp value
that represents the new priority of a task. It is clear
that the average waiting time and average
turnaround time obtained from the FuzS algorithm
are better than that obtained from the FifoS
algorithm and close to that obtained from the SFJ
algorithm. T Mamdani's fuzzy inference method

A
P3
P1
P2

B
P3
P1
P2

C
P3
P1
P2

D
P3
P1
P2

E
P3
P1
P2

IV. PERFORMANCE EVALUATION

The simulation for evaluating the fuzzy scheduler
was implemented within the NS2.34 library. The

906

simulation package NS2.34 is used to analyze and

evaluate the performance of the proposed fuzzy
scheduler. The NS2.34 [8][9], software that provides
scalable simulations of Wireless Networks. In this
simulation, we consider a network of 5, 10, 25, 50,
100 nodes (one source and one destination) placed
in A dimension of 300m x 300m area. Each
simulation is run for 800 seconds of simulation time.
Multiple simulations run with different seed values
were conducted for each scenario and collected data
was averaged over those runs. Table 4 lists the
simulation

C. Throughput: This is measured in bytes per sec,

which also serve as the performance measure for the
scheduler. The effects of setting priority to data
packets, varying the number of senders .The delay
curve of DSR and EDSR protocols is shown in
Figure2. After inclusion of FPS, the delay
performance is again evaluated and plotted.

Table 4: Simulation parameter

Simulation Parameter
Area

300m300m

Simulation Time

800sec

No. of Nodes

6,10,25,50,100

Node Position

Random

Mobility

Random Way Point

Stop Time

800sec

Start Time

10sec

Max. Speed

20mps

Traffic Agent

CBR, TCP

Packet Length

512 Byte

MAC Layer

802.11

Figure 6: Average end-to end delay

V. CONCLUSION
We have addressed a fuzzy-based priority scheduler
for data packets, which improves the quality-ofservice parameters in mobile ad hoc networks. The
fuzzy scheduler attaches a priority index to each
packet in the queue of the node. Un- like the normal
sorting procedure for scheduling packet, a crisp
priority in dex is calculated based on the inputs such
as queue length, data rate, and expiry time of
packets, which are derived from the network. The
membership functions and rule bases of the fuzzy
scheduler are carefully designed. The coding is done
in TCL language and the output is verified using
network simulator 2.34 fuzzy logic toolbox with
VIM editor. From the simulation results, we find
that giving high priority to control traffic should be
carefully evaluated for use depending on the routing
protocol. We show that on-demand routing protocols
are likely to benefit from this arrangement, but
proactive routing protocols might not. With
scheduling algorithms using short distance metrics,
data packets can be delivered much faster in a
congested network, without additional control
packet exchange for the algorithms. Furthermore,
the implementation of these algorithms is simple.
Thus, they are easily deployable to improve
performance in resource-constrained ad hoc
networks.

A. Packet delivery ratio: Packet delivery ratio is the

ratio of the number of data packets actually
delivered to the destinations to the number of data
packets supposed to be received .This number
presents the effectiveness of the protocol.

packet dilevery ratio

25
20

with
Scheduler

15

Without
Scheduler

10

with
Scheduler

0
30
50
70
90

Without
Scheduler

number of nodes
Figure7: Average delivery ratio

B. Average end-to-end delay: End-to-end delay

indicates how long it took for a packet to travel from
the source to the application layer of the destination.

907

VI. REFERENCES
[1] David B. Johnson, David A. Maltz, Yih-Chun Hu, and Jorjeta
G.Jetcheva. The Dynamic Source Routing Protocol for Mobile
Ad Hoc Networks. IETF Internet draft, Mobile Ad-hoc Network
Working Group, IETF, February 2002.

[18] C.Gomathy and S.Shanmugavel, Implementation of modified

Fuzzy Priority Schedule for MANET and performance analysis
with mixed traffic,in Proc.11thNationalConference.
[19] C.Gomathy and S.Shanmugavel ,Fuzzy based Priority
Scheduler for mobile adhoc networks ,in Proc..

[2] Y. C. Hu and D. B. Johnson, Securing quality-of- service route

discovery in on-demand routing for Ad hoc networksin
Security of Ad Hoc and Sensor Networks 2004(SASN
2004),Washington, USA, Oct. 2004.

[20] J. A. Freebersyser and B. Leinerr, A DoD perspective on

mobile ad hoc networks, in Ad Hoc Networking, C. E.
Perkin, Ed. Addison-Wesley, 2001, pp. 2951. [12] B. Leiner,
R. Ruth, and A. R. Sastry, Goals and challenges of the

[3] Y. C. Hu and A. Perrig, A survey of secure wireless Ad hoc

routing, IEEE Security & Privacy, vol. 2, no. 3,IEEEComputer
Society, pp. 28-39, May-June 2004.
[4] Y. C. Hu, A. Perrig, and D. B. Johnson, Aridane: A secure ondemand routing protocol for Ad hoc networks, in Proceedings
of the Eight Annual International Conference on Mobile
Computing and Networking (MobiCom 2002),pp. 12-23, Sept.
2002.
[5] D. B. Johnson, D. A. Maltz, and Y. C. Hu, The dynamic
source routing protocols for mobile Ad hoc networks, InternetDraft, draft-ietf-manet-dsr- 10.txt, Work in progress, July 2004.
[6] R. Ogier, F. Templin, and M. Lewis, Topology dissemination
based on reverse-path forwardin (TBRPF), RFC 3684 of IETF,
Feb. 2004.
[7] P. Papadimitratos and Z. J. Haas, Secure message transmission
in mobile Ad hoc networks, Elsevier Ad Hoc Networks
Journal,vol. 1, no. 1, pp. 193-209, July 2003.
[8] P. Papadimitratos, Z. J. Haas, and P. Samar, The securerouting
protocol (SRP) for Adhoc networks, Internet- Draft, draftsecure-routing- protocol-srp-00.txt, Sept. 2002.
[9] C. E. Perkins and E. Royer, Ad-hoc on-demand distance vector
routing, in Proceedings of the 2nd IEEE Workshop on Mobile
Computing Systems and Applications, New Orleans, LA, pp. 90100, Feb. 1999.
[10] E. Royer and C. K. Toh, A review of current routing protocols
For Ad-hoc mobile wireless networks, progress).
[11] Charles E. Perkins, Elizabeth M. Royer, and Samir Das. Ad
Hoc On Demand Distance Vector (AODV) Routing. IETF
Internet draft, Mobile Adhoc Network Working Group, IETF,
January 2002.
[12] J. Broch, D.A. Maltz, D.B. Johnson, Y.C. Hu, and J. Jetcheva.
A performance comparison of multi-hop wireless ad hoc
network routing protocols. In Proceedings of ACM/IEEE
MOBICOM, Dallas, TX, October 1998.
[13] Samir R. Das, Charles E. Perkins, and Elizabeth M. Royer.
Performance comparison of two ondemand routing protocols
For ad hoc networks. In Proceedings of the IEEE INFOCOM,
Tel- Aviv, Israel, March 2000.
[14] P. Johansson, T. Larsson, N. Hedman, B. Mielczarek, and M.
Degermark. Scenario-based Performance Analysis of Routing
Protocols for Mobile Ad-hoc Networks. In Proceedings of
ACM MOBICOM, Seattle, WA, August 1999.
[15] V.D. Park and M.S. Corson. A Highly Adaptive Distributed
Routing Algorithm for Mobile Wireless Networks.In
Proceedings of IEEE INFOCOM, Kobe, Japan, April 1997.
[16] Bart Kosko, Fuzzy Engineering, Prentice Hall International
Inc. Second Edition 1998.
[17] The Network Simulator - ns-2.http://www.isi.edu/nsnam/ns/.

908

909

Design and Implementation of PID Controller

on FPGA using Velocity Algorithm
Dhirendra Kumar and Barjeev Tyagi

interconnect between them. FPGA were introduced in

1985 by Xilinx Company, since then now many
companies Actel, Altera, Plessey, AMD, Quick Logic,
Algotronix, Concurrent Logic, & Cross Point Solutions
are producing FPGA.
FPGA gives advantage of faster and stronger
calculation with suitable sampling time requirement.
Multiple controllers can also be implemented in single
FPGA device so it can be utilized for controlling various
parameters of a complex plant.
The circuit to be implemented on FPGA is
implemented by breaking the logic into smaller logics.
These logics are further burnt on a Slice in a
Configurable Logic Block (CLB). Depending upon the
FPGA family and company each CLB contains two
slices. The Slices consists of Logic cells. These Logic
cells
are
interconnected
using
programmable
interconnect. The vast resource available with FPGA
gives the advantage of introducing parallelism in design,
certain prominent features of FPGA are:
Less design time.
Reduced Prototype cost
Reprogramability
High speed of operation
Capable of complex functionality
Capability to execute parallel operation
Reduced power consumption.

Abstract This paper describes the design of an FPGA

based Digital Proportional-Integral-Derivative (PID)
Controller implemented using Velocity Algorithm on
FPGA. The design uses a parallel multiplier and is two
times faster than controller designed using FPGAs
embedded multiplier. Design also results in reduced power
consumption compared to earlier approach. The plant used
in this regard is Load Disturbance Control in a DC Motor.
System level design tool System Generator using
Matlab/Simulink environment from Xilinx is utilized for
this purpose.
Index Terms PID (Proportional-Integral-Differential)
Controller, FPGA (Field Programmable Gate Array)
technology, Velocity Algorithm, Digital Controller.

I. INTRODUCTION

PID controller is most commonly used algorithm

for controller design and it is most widely used controller
in industry. The controllers used in industry are either
PID controller or its improved version. The basic types of
PID controller are: - Parallel controller, Serial controller,
Mixed controller.
The PID Controller Algorithm utilized for is design
Velocity Algorithm, it is also called Incremental
Algorithm. This Algorithm gives certain significant
advantage over Position Algorithm.
Earlier discrete feedback controller has been used to
implement various applications for ex.- Temp Control
using PWM inverter & Anti windup controller
compensation [1], Robotic control[2], DC Motor
control[3], AC/DC Converter[4], reduction of Vibration
in aircraft /Aerospace structure as well as helicopter
fuselage[5], Variable Speed Drive[9] and FPGAs
Embedded multiplier based PID controller[10].
FPGA is a Digital Integrated circuit containing
Configurable
Logic
Blocks
with
configurable

The organization of this paper is as follows section I

gives the brief idea of the previous work done and
components utilized, Section II presents the Velocity
Algorithm used and the block diagram implemented
using Xilinxs System Generator blockset. Section III
gives summary of device utilization. The PID controller
used in this regard is to be implemented using Spartan3e
FPGA. Section IV describes conclusions and future
prospects, Section V is the references, and finally the
graph showing the responses from the design.Designing
of PID controllers modules for FPGA environment
The problem used in this paper is Load Disturbance
control in DC Motor, where PID controller is
implemented on Matlab/Simulink environment using

Dhirendra Kunar is M.Tech from Department of Electrical

Engineering, Indian Institute of Technology, Roorkee- 247667, India (email: dhirendra100@gmail.com).
Barjeev Tyagi is with the Department of Electrical Engineering, Indian
Institute of Technology, Roorkee- 247667, India (e-mail:
btyagfee@iitr.ernet.in).

978-1-4673-0455-9/12/$31.00 2012 IEEE

910

System Generator from Xilinx. PID controller will act in

order to reduce the effect of disturbance introduced in
system.

T
e( k )
TI

m(k ) m(k 1) Kc[{e(k ) e(k 1)}

TD
{e(k )
T

2e(k 1)

e(k

(4)

2)}]

Taking z transform of Eq (4)

(1 z 1 )M ( z ) Kc[(1 z 1 ) E ( z )

T
T
E ( z ) D (1 2 z
Ti
T

z 2 ) E ( z )]

(5)
Again rearranging the terms in Eq(5) we get
Fig-1 Closed Loop Digital Control System.

(1 z 1 ) M ( z )

Block diagram for general purpose PID feedback

control system is shown in Fig-1, where input Uref is
reference signal, e is error signal between reference
signal and feedback signal y and u is control output.
The feedback system consists of plant model of dc motor
having input for load disturbance Td which introduces
disturbance which is to be controlled by PID controller.
In Velocity Algorithm [12] for implementation of PID
controller to obtain an equation that can be implemented
using computer, it is necessary to replace continuous time
operation like differentiation and integration by discrete
time operations in z domain.
Advantage of velocity algorithm:Wind up protection.
Bump less parameter changes are easy to
implement
The common PID controller equation is:-

{Kc 2 Kc

{Kc

Kc
TI

Kc.

TD
}E ( z )
T

TD 1
T
}z E ( z ) {Kc D }z 2 E ( z ) (6)
T
T

Rearranging Eq (6) we get.

M ( z)
Az 1 Bz 2
E( z)
1 z 1

C
(7)

Where

T
T
Kc. D ]
TI
T
T
B= [ Kc 2 Kc D ]
&
T
A= [ Kc

Kc

C=

[ Kc

TD
]
T

State Transition Signal Flow Diagram

of the control law

1
de(t )
m(t ) Kc[e(t )
e(t )dt TD
] Mss
TI 0
dt

(1)

Where Mss is steady state output of controller when

the error signal is zero, m(t) is final output and e(t) final
error in continuous time domain.
Differentiating the equation we get

dm(t )
dt

Kc[

de(t )
dt

1
d 2e(t )
e(t ) TD
]
TI
dt 2

Fig-2. STSFD for Velocity Algorithm.

(2)
This equation does not contain steady state value output
now discretizing the equation by method of Differential
Two Point Formula Backward Difference method at time
t=KT we get the equation.
m(k ) m(k 1)
e(k ) e(k 1) 1
Kc[
e( k )
T
T
TI

TD
{e(k )
T2

2e(k 1)

e(k

2)}]

This STSFD gives the basic idea for the

implementation of PID controller in as shown in Fig -3
using some basic blocks available on software platform.

(3)

Rearranging we get

911

Fig 3. Block diagram to be implemented on simulation

Multiplier (16 bit 2s complement multiplier)

The input to the multiplier is signed data in 2s complement
form, so the 16 bit signed data is converted to bits and
supplied parallelly for multiplication and a 16 bit signed
output is generated using the multiplier. The designed
multiplier utilizes
.

JTAG Co-Simulation block allows to perform hardware cosimulation using JTAG and a Parallel Cable IV or Platform
USB. The co-simulation block interacts with the FPGA
hardware platform during a Matlab simulation. Simulation
data written to the input ports of the block is passed to the
hardware by the block. Conversely, when data is read from
the co-simulation block's output ports, the block reads the
appropriate values from the hardware and drives them on the
output ports so they can be interpreted in Simulink.
II. COMPARISION AND DEVICE UTILIZATION OF FPGA BASED
SYSTEM

Fig 4. Logic for 2s Complement Parallel Multiplier

As shown in Fig.4 Wallace Tree Multiplier[13] with

slight improvement is implemented for obtaining 16 bit
parallel output 2s complement form. The multiplier A and
B are set the multiplier. Further, for multiplication each bit
of input is multiplied to multiplier according to wallace tree
multiplier implemented. For final stage carry is not
requiredso half adder can be used. The values of A, B and
C are implemented in 2s complement form and are to set
into the multiplier.
The design implemented requires more component on
FPGA.Although it consumes larger area on FPGA, but still
lesser power consumption compared to the embedded
multiplier based PID controller design, so it makes a very
good tradeoff between area consumed on FPGA and time
taken for processing using the same kit.

The design implemented on FPGA has total equivalent gate

count of 3,333. It utilizes 503 slices which is 10% of total
slices count available on FPGA Spartan 3e. The Optimized
Wallace Tree Multiplier is used for designing 2s
Complement 16 bit Multiplier. It utilizes parallelism in
design in order to reduce the time consumption, so there is a
tradeoff between resources utilized on FPGA and the speed of
design.
The PID controller implemented has maximum clock
frequency of 133.494 MHz i.e. a minimum time period of
7.491ns, that means time required to calculate the output is
7.491 ns. It has a power consumption of 82 mW.
Table 1. shows the comparision of slices utilization on FPGA,
using both the approaches. The previous approach
implements the PID controller using embedded multilplier
and the present approach uses a parallel multiplier
implemented using wallace tree multiplier.The table shows
the number of gates utilized while implementing the PID
controller on FPGA.

A. Hardware co-simulation block

Hardware co-simulation [14] block is a very prominent
feature of system generator. The Xilinx

912

TABLE 1
COMPARISON OF IMPLEMENTATION ON FPGA

Gates
Utilization

Power
Consumption
(mW)

Embedded multiplier
based PID

2278

83

Parallel multiplier based

PID

3333

82

III. RESULTS AND PERFORMANCES

A. Design developed on System Generator
The Load Disturbance control of DC Motor model is
developed in Matlab/Simulink environment [14].The PID
controller model developed for FPGA Spartan3e
3s500efg320-4 from Xilinx is developed in Matlabs System
Generator. The PID controller implemented on system
generator and plant model Matlab/Simulink are interfaced on
Simulink using System Generators gateway in and
gateway out blocks.
The design on FPGA is developed as follows: The design is
first implemented on Matlab/Simulink using System
Generator toolbox for design and results are obtained from
simulation, the design developed is transferred on FPGA kit
and response is obtained from simulation as well as from the
FPGA kit.
System Generator is a DSP design tool from Xilinx that
enables the use of model-based design environment Simulink
for FPGA design. Xilinx FPGAs or RTL design
methodologies are not required when using System
Generator[17].
Table2. Shows a comparison of response from three
approaches: a continuous time PID controller, an embedded
multiplier based PID controller and a Parallel multiplier
based PID controller. The response was compared for Rise
time, Settling time and the time to recover from negative and
positive disturbances. The parallel multiplier based PID
controller proved to be better in terms of time response
compared the other two approaches.

"Hardware Co-Simulation" block automatically generates a

bitstream and associate it to a block. When the design is
simulated in Simulink, results for the compiled portion are
calculated in hardware. This allows the compiled portion to
be tested in actual hardware and can speed up simulation
dramatically. The command line tool, XFLOW is used to
implement and configure design for the selected FPGA
platform.
IV. CONCLUSIONS
In this paper the Velocity algorithm based digital PID
controller implementation on FPGA is presented. The
FPGAs capability of introducing parallelism is utilized for
multiplication while designing a 16 bit 2s complemented
multiplier. It causes a slightly large no of resources
utilization on FPGA but at the same timeit result in increased
speed. The rise time(TR) and settling time(TS) and time
required to recover from the disturbance(TD) are far better in
case of Parallel multiplier based PID controller design
compared to an Embedded multiplier based PID controller
and even better than continuous time PID controller. Present
design shows a reduced power consumption.
Since Velocity Algorithm has been used so it takes care of
windup protection and also helps in Bump less parameter
changing.
The same model can be downloaded to various versions of
Xilinx and Altera FPGA chips. This design can be further
extended for fixed point operations which will make the
design more flexible for real time operations and the
responses closer or even better real time system.

TABLE 2

Step Response
Step Response
Comparison

COMPARISON OF TIME RESPONSES OF DIFFERENT CONTROLLER IMPLEMENTED

ON FPGA
Rise
Time(sec)

Settling
Time (sec)

Tnd
(sec)

1.5

Tpd
(sec)

Continuous time
PID
Embedded
multiplier based
PID

1.5140

2.56

3.53

3.39

2.3816

4.34

4.54

4.19

Parallel multiplier
based PID

1.22

1.948

2.18

2.41

Y(t)
0.5

Figure 5 below shows the operation of responses obtained

from a continuous time PID controller, a embedded multiplier
based PID controller and a parallel multiplier based PID
controller for a unit step input given to the closed loop
system. Figure 6 below shows the output from the FPGA kit
for the PID controller designed using parallel multiplier, the
response from the kit is exactly the same as obtained from the
simulation. Tnd and Tpd are time to recover when
disturbance is introduced and gets over respectively.
B. Implementation on FPGA Spartan 3e
The System Generator[11] provides hardware cosimulation, making it possible to incorporate a design
running in an FPGA directly into a Simulink simulation.
913

Embedded multiplier
based PID
Parallel multiplier
based PID
Unit Step Input
Continuous time PID
0

10
15
Time (sec)

20

25

30

35

40

45

Fig 5. Comparison of unit response from Continuous time,

Embedded and Parallel Multiplier based PID controller.

50

[25] Available: http://www.xilinx.com/support/Docume

[26] ntation/spartan3e_board_and_kit_ documentation.htm
[27] Discretized PID Controllers[Online] Available:
[28]
http://lorien.ncl.ac.uk/ming/digicont/digimath/
[29]
dpid1.htm Accessed 18/10/09
[30] PID controller [Online] Available : http://en.wikipedia.org/wiki/
PID_controller Accessed :18/11/09
[31] Controlsystem[Online]Available:http://en.wikipedia.org/wiki/Control_sys
temAccessed20/11/09
[32] PID-Controller [Online] Available: http://www.answers.com/topic/pidcontroller Accessed 20/11/09
[33] Christian Schmid, The classical three-term PID controller
[Online]Available:http://virtual.cvut.cz/dynlabmodules/ihtml/dynlabmod
ules/ syscontrol/no de 61.html
[34] Digital control system analysis & design Charles L Phillips, H. Troy
Nagle. 1994 3rd ed. Prentice Hall Volume.
[35] Control System Engineering I. J. Nagrath, and M. Gopal 4th ed,New
Age International Pub, 2006.

Step response from FPGA kit

Step Response from FPGA Kit
1.5

Y(t)

0.5

5
10
Time (sec)

15

20

25

30

35

40

45

50

Fig 6. Parallel multiplier based PID Controller response

obtained from FPGA kit.

V. REFERENCES
[1]

[2]

[3]
[4]

[5]

[6]

[7]
[8]
[9]

[10]
[11]
[12]
[13]
[14]
[15]
[16]
[17]
[18]
[19]
[20]
[21]
[22]
[23]
[24]

Yuen Fong Chan, M. Moallem, and Wei Wang, Design and

Implementation of Modular FPGA Based PID Controllers, IEEE
transactions on Industrial Electronics,Vol.54,no 4,august 2007.
Wei Zhao, Byung Hwa Kim, Amy C. Larson and Richard M. Voyles,
FPGA Implementation of Closed Loop Control System for Small-Scale
Robot University of Minnesota, Minneapolis MN , Updated 10th May,
2005.
Mohamed Abedelati , FPGA-Based PID Controller Implementation The
Islamic University of Gaza, Palestine Updated 22nd Jan,2009.
Andres Upegui , Eduardo Sanchez, Evolving Hardware by Dynamically
Xilinx FPGAs Ecole Polytechnique Fedrale de Lausanne-EPFL 1015
Lausanne ,Switzerland, Updated 1st June ,2005.
Shashikala Prakash, D.V.Venkatasubramanyam,Bharath Krishnan & R.
Nagendra, Compact Field Programmable Gate Array (Fpga) Controller
For Aircraft /Aerospace Structure National Aerospace Laboratories ,
Bangalore, India, Updated 26-28 June,2008.
Dejan Markovic , Chen Chang, Brian Richards, Hayden So,Borivoje
Nikolic, & Robert W. Brodersen, ASIC Design and Verification in an
FPGA Environment University of Calofornia, Berkeley, USA.
Alireza Rezaee FPGA Implementation of Digital PID Amirkabir
University IRAN Tehran, Updated 26th April,2005.
Masmoudi N., Samet L., Kharrat M.W. and Kamoun L., Implementation
of a PID Controller on FPGA, Updated 25th April,2003
Joao Lima, Ricardo Menotti, Joao M.P. Cardoso and Eduardo Marques,
A Methodology to Design FPGA- based PID Controllers ,Updated 30th
June, 2006.
Velocity Algorithm Implementation of PID Controller on FPGA
[Online] Available: http://www.scribd.com/doc/
27952217/Proceedings-CERA09 Updated
Two's
complement
[Online]
Available:
http://en.wikipedia.org/wiki/Two%27s_complement Acessed: Dec/2009
Velocity and Full Value forms of the PID algorithm [Online] Available
:http://www.controlviews.com/
articles/QandA/velocityfull value.html Accessed: Dec/2008
Digital design principle and practices. John F Walkerly, 4th ed
Prentice-hall Of India Pvt Ltd, 2007.
System Generator Online help on MATLAB 7.
DC Motor Control [Online] Available: http://www.
mathworks. com /products/control/demos.html?file=/
products/demos/shipping/control/dcdemo.html
Digital Design M. Morris Mano 3rd ed, Pearson
Education 2008.
Computer Organization & Architecture Designing For Performance
William Stallings, 6th ed, Pearson
Education. 2005
Xilinx Spartan 3e Reference manual, [Online]

914

Message Security in Wireless Networks:

Infrastructure based vs. Infrastructureless Networks
Neetesh Saxena, Narendra S. Chaudhari, Member IEEE

reminders, stock and news alerts, railway and flight enquiries

etc. Sending an SMS is cheap, fast and simple. It is a storeand-forward, easy to use, popular, and low cost service. The
existing SMS is not free from the eavesdropping, but security
is the main concern for any business company such as banks
who will provide these mobile banking. Presently there is no
such scheme which can give the complete SMS security.
SMS messages are used in many different application fields,
even in cases where security features, such as authentication
and confidentiality between the communicators must be
ensured. Unfortunately, the SMS technology does not
provide a built-in support for any security feature. The
transmission of an SMS is not secure in GSM; therefore it is
desirable to secure SMS by additional encryption.

Abstract-- Security is a great challenge in wireless network.

Secure transmission of information in wireless environment is
an important concern. A wireless network can setup either with
infrastructure or without infrastructure. In this paper, security
attacks on both the networks are discussed and authors have
proposed an approach for transmitting a secure message in
such type of networks. Security solution in such kind of
networks is to develop a secure system that can fulfill the
security services authentication, confidentiality, availability,
authorization, integrity and non-repudiation. At the end of this
paper conclusion and the future extension is discussed.
Index Terms-- Ad-hoc Network, attacks, security services,
infrastructureless, cellular network

I.

INTRODUCTION

ETWORKING is nothing but to share the resources and

exchange the information among all the nodes which
are interconnected. Wireless networks are more complicated
and vulnerable to attach compared to wired networks. They
have some drawbacks like setting up of fixed access points
and backbone infrastructure is not always viable possible.
Other is the infrastructure may not be present everywhere i.e.
in a disaster area or battle-field or in a remote area.
Basically there are two types of wireless networks: one is
infrastructure based network (i.e. Cellular Network) and
other is infrastructureless network (i.e. Mobile Ad- hoc
network). Ad hoc networks are different than cellular
networks in many ways like Multi-hop route vs. One-hop
route: in an ad-hoc network, every node has to behave as a
router; Self-administration vs. Centralized Administration:
ad-hoc networks are self-creating, self-organizing, and selfadministering.

Fig. 1: Cellular wireless network

SMS enables the transmission of up to 1120 bits

alphanumeric messages between mobile phones and external
systems. SMS usage is threatened with security concerns
such as eavesdropping, interception and modification. SMS
messages are transmitted as plaintext between the mobile
stations and the SMS centre using the wireless network. SMS
content are stored in the systems of the network operators
and can easily be read by their personnel. The only
encryption involved during transmission is the encryption
between the base transceiver station and the mobile station.
End-to-end encryption is currently not available. The A5
algorithm, which is the GSM standard for encrypting
transmitted data, can easily be compromised and has proved
vulnerable. Therefore, there is a need to provide secure
encryption on the transmitted messages.

A.

Wireless Infrastructure based Network

An example of this type of network is Cellular Network
System. In this network, Short Message Service (SMS) plays
an important role to exchange information form one mobile
to another. SMS is a popular medium for delivering value
added services and are suitable for mobile banking, payment
______________________________________________
A. Author is Research Scholar with the Department of Computer
Science & Engineering, Indian Institute of Technology, Indore, India (email: neetesh.saxena@gmail.com).
B. Author is Professor with the Department of Computer Science &
Engineering, Indian Institute of Technology, Indore, India (e-mail:
narendra@iiti.ac.in).

B.

978-1-4673-0455-9/12/$31.00 2012 IEEE

915

Wireless Infrastructureless Network

Very different from dynamic routing in the Internet

Potential of network partitions

A wireless ad-hoc network is a decentralized type of

wireless network. The network is ad-hoc because it does not
rely on a pre-existing infrastructure, such as routers in wired
networks or access points in managed (infrastructure)
wireless networks. Instead, each node participates in routing
by forwarding data for other nodes dynamically based on the
network connectivity.

Fig. 2: Ad-hoc wireless network

Fig. 3: Ad-hoc Network in Minatory Application

In addition to the classic routing, ad hoc networks can use

flooding for forwarding the data. Nodes of ad-hoc networks
are often mobile, which also implicates that they apply
wireless communication to maintain the connectivity, in
which case the networks are called as Mobile Ad-hoc
Networks (MANET). However, mobility is not a requirement
for nodes in ad-hoc networks. In ad-hoc networks, nodes
may be static and wired, which may make use of services
offered by fixed infrastructure. The performance of nodes in
ad hoc networks is critical. The available bandwidth and
radio frequencies may be heavily restricted and may vary
rapidly.
A mobile ad-hoc network is a collection of wireless nodes
that can be dynamically set up anywhere and anytime,
without using any pre-existing network infrastructure and
which can form any arbitrary topology. The emerging need
for mobile ad hoc networks and secured data transmission
phase is of crucial importance depending upon the
environments like military.
As MANET is based on dynamic topology and is selforganizing concept, so there are many challenges that the
researchers are facing and have faced in this environment.
Some of these challenges are:
1. Lack of centralized entities (Require distributed
algorithms for routing)
2. Rapid node movement (Results in frequent and
unpredictable network topology change)
3. Limited bandwidth availability (Require low-overhead
algorithms for routing)
4. Routing overhead must be kept minimal
Wireless - low bandwidth
Mobile - low power
Minimize number of routing control messages
Minimize routing state at each node
5. The vulnerability of radio communications to
propagation impairments
6. Need dynamic routing
Frequent topological changes possible

7. Power limitation (multi-hop relay is needed)

8. Scalability issues
9. Auto configuration issues
Address assignment
Service discovery
10 .Security issues
Ease of denial-of-service attack
Misbehaving nodes difficult to identify
Nodes can be easily compromised
11. New Applications/services
Location based: Distribute some information to all
nodes in a geographic area
Content based: Query all sensors that sensed something
particular in the past hour
II.

LITERATURE REVIEW

This section describes the study of different research

papers of many authors in detail. We will discuss here the
literature review of wireless infrastructure based network as
well as wireless infrastructureless network.
A.

Wireless Infrastructure based Networks

Paper [1] introduces a Trusted-SMS system, which allows
users to exchange non-repudiable SMS's, digitally signed
with the Elliptic Curve Digital Signature Algorithm
(ECDSA). In the paper of Alfredo De Santis, Aniello
Castiglione and Umberto Ferraro Petrillo [2] the results seem
to show that RSA and DSA cryptosystems, used for digital
signature, perform generally better than ECDSA, except
when using very large keys. In the paper of C. Narendiran, S.
Albert Rabara and N. Rajendran [3] an end-to-end security
framework using PKI for mobile banking is proposed. The
security framework solution allows us to provide strong
customer authentication and non-repudiation by employing
public-key cryptography for customer certificates and digital
signatures. In a study of D. Lisonek and M. Drahansky [4]
the application for securing of SMS has been designed and

916

results show that ECDSA consumes less power than DSA.

However, ECDSA and RSA digital signature algorithms
have complementary power costs. RSA performs signature
verification efficiently, while ECDSA imposes a smaller cost
for signature generation. The scheme described in paper [12]
provides strong authentication of communicating parties,
non-repudiation, integrity and confidentiality. Using PKI we
can be sure that a signature was really made by the person in
possession of the private key. Since the keys are created
within the device and the private key is never exposed
outside the device, we can be sure that a valid signature of a
user cannot be forged.
In a study by Mary Agoyi and Devrim Seral [13] large
key size algorithms are not suitable for SMS encryption due
to small memory and low computational power of mobile
phones. Elliptic curves ability of providing high security
with smaller key size makes it very useful in resource-limited
device such as mobile phone. This has put Elliptic curve at
an advantage over the RSA and ELGamal in SMS encryption.
A new public key-based solution for secure SMS messaging
(SSMS) is introduced by M. Toorani and A. Beheshti Shirazi
[14]. It efficiently combines encryption and digital signature
and uses public keys for a secure key establishment to be
used for encrypting the short messages via a symmetric
encryption. Since it deploys elliptic curves and a symmetric
encryption algorithm, it has great computational advantages
over the previously proposed public key solutions while
simultaneously providing the most feasible security services.
The paper [15] presents a comprehensive analysis of the
energy requirements of a wide range of cryptographic
algorithms that form the building blocks of security
mechanisms such as security protocols. In [16], m-payment
transaction model between consumer and merchant in mcommerce is easy for payment anywhere and anytime
because it is SMS-based, advanced mobile phones are not
needed, and no extra charges are imposed by third-party
payment gateways. This is especially true for SMS messages
which do not integrate any security mechanism. This is why
we propose a simple-to-use but cryptographically strong API
for message encryption and authentication that was designed
with the limited memory and processing power of a mobile
device in mind; and a protocol that will ensure their
confidentiality and integrity.
The paper [17] has demonstrated a wide range of
shortcomings in widely used premium rate SMS business
models. Hosain et al proposes a security system for
improving the security of SMS by using A5 algorithm that is
the exiting GSM technology. Over the past many years
several leading banks in India have launched SMS banking
services. However, the security of mobile SMS payment and
banking has topped the list of concerns for most of the
customers. In this paper [18], an investigation about the
security loopholes is done in SMS banking and proposes a
system to make mobile SMS banking secure using Elliptic
Curve Cryptosystem (ECC). The paper [19] introduced a

implemented, which prevents tapping and also substituting.

For securing, it has been chosen the asymmetric cipher RSA.
Brutal force decryption of RSA cipher with a length of 1,024
bit keys has not been successfully implemented yet. The best
success is from year 2005, where J. Franke (University of
Bonn) was able to factorize number with a length of 663 bits.
The attacker also cannot be able of tapping and gradually
building up the dictionary because it is used in the OAEP
padding scheme. The paper [5] describes that in 1995,
roughly 13 percent of the US population had cell phones; by
June 2007, it was 80 percent. In 2000, 14.4 million text
messages were sent per month; by June 2007, the number
had increased to 28.8 billion per month, which represents a
130 percent increase over June 2006. In the second quarter of
2007, Verizon Wireless alone says it handled 28.4 billion
text messages.
Kuate et al [6] describes and presented the
implementation of an SMS security protocol called SMSsec.
The SMSsec uses both asymmetric and symmetric
encryption techniques to provide confidentiality to SMS
messages. Paper [7] states that SMS is quite simple; the
maximum messages length is 160 characters. SMS uses only
a set of characters as data type. It requires very low
bandwidth and it is a low cost service compared with others
which makes it suitable for a set of applications. If message
delivery is not possible, for example if the mobile device is
not available, the service center regularly stores the message
for a time (24 hours) and delivers it when the cell phone is
available. Since the original design of short message service
has restrictions. It was created to deliver a message from a
mobile device to another. Moreover, the message has limited
to maximum number of characters. Furthermore, it does not
have a process for authentication and the text is sent plain
without encryption. In addition to service restrictions, mobile
devices prevents of using security schemes highly reliable
because they use to have short memory and low processing
capabilities compared with desktop or portable computers.
The paper [8] proposes Home Network architecture
integrated with WAP and SMS to support the connectivity
between home and Internet/GSM networks. The main
objective of the integrated system is to remotely monitor and
control the devices in the Home Network via computer or
GSM mobile terminal. The main contribution in [9] is a
protocol that provides strong mobile authentication with nonrepudiation using SMS messages. For ensuring these
properties, governmentally controlled PKI, and SIM cards
with electronic identity application are used. Occasionally
the data sent using SMS services is condential in nature and
is desired not to be disclosed to a third party. In this paper an
application for sending encrypted SMS messages using
cryptographic methods based on theory of quasigroups is
proposed. The encryption algorithm is characterized by a
secret key [10]. Mahmoud Reza Hashemi and Elahe Soroush
[11] used a 163-bit key for ECC computations, which is
proven to be equivalent to a 1024-bit key for RSA. The

917

high security framework for SMS and proposed a secure

transfer protocolMSCP. It contains a high security
authentication mechanism, which confirms true identities and
generates the 128 bits session key. And it also ensures
messages integrity and confidentiality. Paper [20] presents
high security communication protocol for SMS. Through
authentication, decryption and integrity protection, it
establishes an end-to-end secure channel between server-side
and mobile terminal. The paper [21] shows an end-to-end
application-layer security solution for wireless enterprise
applications using the Java 2 Platform Micro Edition (J2ME).
The proposed solution uses pure Java components to provide
end-to-end client authentication and data confidentiality
between wireless J2ME based client and J2EE based server.

or fabricate its identity and impersonate another legitimate

node [28]. A pair of attacker nodes may create a wormhole
[29] and shortcut the normal flows between each other. In the
context of on-demand ad hoc routing protocols, the attackers
may target the route maintenance process and advertise that
an operational link is broken [26].
Recent research efforts have also identified the
vulnerabilities of the link-layer protocols, especially the de
facto standard IEEE 802.11 MAC protocol [24], for
MANETs. It is well known that 802.11 WEP is vulnerable to
several types of cryptography attacks due to the misuse of
the cryptographic primitives [30]. The 802.11 protocol is
also vulnerable to DoS attacks targeting its channel
contention and reservation schemes. The attacker may
exploit its binary exponential backoff scheme to deny access
to the wireless channel from its local neighbors [31, 32]. In
the MANET context, the prevention component is mainly
achieved by secure ad hoc routing protocols that prevent the
attacker from installing incorrect routing states at other nodes.
These protocols are typically based on earlier ad hoc routing
protocols such as DSR [23], and AODV [22], and employ
different cryptographic primitives (e.g., HMAC, digital
signatures, hash chains) to authenticate the routing messages.

B.

Wireless Infrastructureless Networks

DSR and AODV are reactive protocols, only used when
new destinations are sought, a route breaks, or a route is no
longer in use. One of the most popular protocols which are
used in ad hoc network is AODV. Unfortunately, AODV do
not define special security mechanisms. The bad news is that
there are only a few proposed solutions to solve this problem
because AODV is not a source-based routing protocol and
such solutions would introduce a tremendous overhead [38].
Several researchers tried to improve security weakness in
AODV, such as SAODV [39] which is focused on security or
other methods which try to improve AODV which can help
improving security too such as [40] that introduced
PRAODV and PRAODVM. SAODV [41] uses
cryptographic methods to secure the routing information in
the AODV protocol. TAODV [42] uses trust metrics to allow
for better routing decisions and penalize uncooperative nodes.
While some applications may be able to accept SAODV
vulnerability to DoS or TAODV preventative security, most
will require an intermediate protocol tailored to the specific
point on the DoS/security trade-off that fits the application.
Zapata and Asokan propose SAODV [41], a secure version
of AODV, which uses digital signatures and hash chains to
secure the routing messages. Meka et al. propose a third
trusted AODV with a simple method of evaluating trust even
without source routing [42].
The family of routing attacks refers to any action of
advertising routing updates that does not follow the
specifications of the routing protocol. The specific attack
behaviours are related to the routing protocol used by the
MANET. In the context of DSR [23], the attacker may
modify the source route listed in the RREQ or RREP packets
by deleting a node from the list, switching the order of nodes
in the list, or appending a new node into the list [26]. When
distance-vector routing protocols such as AODV [22] are
used, the attacker may advertise a route with a smaller
distance metric than its actual distance to the destination, or
advertise routing updates with a large sequence number and
invalidate all the routing updates from other nodes [27]. The
attacker may further subvert existing nodes in the network,

III.

SECURITY SERVICES IN WIRELESS NETWORKS

There are some security services for wireless networks

such as authentication, confidentiality, integrity, nonrepudiation, availability, access control, authorization and
anonymity which are necessary to develop a secure network.
Authentication means that correct identity is known to
communicating partner;
Confidentiality means certain message information is kept
secure from unauthorized party;
Integrity means message is unaltered during the
communication;
Non-repudiation means the origin of a message cannot
deny having sent the message;
Availability means the normal service provision in face of
all kinds of attacks.
Access Control means to prevent unauthorized use of
network services and system resources. Obviously, access
control is tied to authentication attributes.
Authorization means a process in which an entity is issued
a credential, which specifies the privileges and permissions it
has and cant be falsified by the certificate authority.
Anonymity means that all the information that can be
used to identify the owner or the current user of the node
should default be private and not be distributed by he node
itself or the system software.
IV.

ATTACKS IN WIRELESS NETWORKS

The attacks in wireless networks can be broadly classified

into two classes: passive and active attacks: A Passive Attack
does not disrupt the operation of the protocol, but tries to

918

discover valuable information by listening to traffic. Such

attacks are usually difficult to detect and hence, defending
against such attacks is complicated. An Active Attack,
however, injects arbitrary packets and tries to disrupt the
operation of the protocol in order to limit availability, gain
authentication, or attract packets destined to other nodes. The
goal is basically to attract all packets to the attacker for
analysis or to disable the network. Such attacks can be
detected and the nodes can be identified.

challenge is to develop efficient algorithms which can

provide more security in order to reduce response time (time
complexity) and required memory (space complexity).
Optimization of existing algorithms can also be done, if
possible. Some of these original algorithms have already
broken. Some padding schemes can be used to make the
network more secure like PKCS5 padding (for symmetric
algorithms) and PKCS1 padding (for asymmetric algorithms).
Security in wireless network (both infrastructure based
network and infrastructureless) can be provided by some
cryptographic approaches. Some of these approaches are:
Secure Authentication and Confidentiality (Encryption)
approaches:
1) Symmetric Cryptography
A5, DES, Triple-DES, AES (128, 192, 256), Blowfish,
RC4 (in Cellular Network);
SEAD, SAODV, ARIADNE, SOLSR, LEAP, Huang,
and SHELL (in MANET)
2) Asymmetric Cryptography
Diffie-Hellman, El-Gamal, RSA (Cellular Network);
Kaya, ARAN, LHAP, IKM, AC-PKI, and Striki (in
MANET)
3) Threshold Cryptography (in MANET)
Part of the IKM, URSA
4) Identity based Cryptography (in MANET)
5) Batch Verification based Cryptography (in MANET)
Secure Integrity (Message Digest) approaches: (in both)
1) Message Authentication Function
DAA; CBC-MAC; HMAC; OMAC/CMAC; PMAC;
VMAC; UMAC; Ploy1305-AES
2) Hash Function
MD5; SHA-1; SHA-2; SHA-3 (final algorithm
announcement in 2012)
Secure Non-repudiation (Digital Signature) approaches:
RSA; DSA; ECCDSA (in Cellular Network)
DSA, ECDSA, Batch Signature Verification (in
MANET)

A. Security Attacks in Wireless Infrastructure based Network

Understanding the basics of message security opens the
door to preventing some common security threats in message
usage: Man-in-middle Attack; Replay Attack; Message
Disclosure; Message Tampering; Non-repudiation; Message
Spam; Denial of Service (DoS) Attacks; Message Spoofing;
Message Viruses; and ID Theft or Message Phishing.
B. Security Attacks in Wireless Infrastructureless Network
A MANET provides network connectivity between
mobile nodes over potentially multihop wireless channels
mainly through link-layer protocols that ensure one-hop
connectivity, and network-layer protocols that extend the
connectivity to multiple hops. Ad-hoc network security can
be classified into the following three categories:
1) Providing basic security infrastructure
2) Secure routing
3) Misbehavior/Intrusion detection and response
The main network-layer operations in MANET(s) are adhoc routing and data packet forwarding, which interact with
each other and fulfil the functionality of delivering packets
from source to destination. The ad-hoc routing protocols
exchange routing messages between nodes and maintain
routing states at each node accordingly. Based on the routing
states, data packets are forwarded by intermediate nodes
along an established route to the destination. Nevertheless,
both routing and packet forwarding operations are vulnerable
to malicious attacks, leading to various types of malfunction
in the network layer. Network-layer vulnerabilities generally
fall into one of two categories: routing attacks and packet
forwarding attacks, based on the target operation of the
attacks. Most prominent attacks against ad-hoc networks are
active attacks. These attacks are: Attacks based on
modification; Attacks by Fabrication of Information; Denial
of Service (DoS); Impersonation; Disclosure; Location
Disclosure; Replay Attack; Blackmail; Rushing Attack;
Masquerading; Eavesdropping; Black hole; Gray hole;
Worm hole; Jellyfish attack; and Sybil attack.
V.

VI. CONCLUSION & FUTURE WORK

It is concluded that the transmitted message must be
encrypted and digitally signed in order to maintain the
integrity of message in such kind of networks. The challenge
is to develop efficient algorithms which can provide more
security in order to reduce response time (time complexity)
and required memory (space complexity). Optimization of
existing algorithms can also be done, if possible. Some of
these original algorithms have already broken. Some padding
schemes can be used to make the network more secure like
PKCS5 padding (for symmetric algorithms) and PKCS1
padding (for asymmetric algorithms). This work can be
extended in future by analyzing and developing a secure
routing algorithm in order to transmit a message or
information from one node to another.

PROPOSED SOLUTION

To provide end-to-end security in wireless infrastructure

based and infrastructureless networks such as Cellular
Networks and Mobile Ad-hoc Networks, the transmitted
message must be encrypted and digitally signed in order to
maintain the integrity of message in the network. The

919

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920

Improvement and Analysis of Voltage Sag Caused by

Starting of Inductive Load using DSTATCOM
Arvidra K. Burman, Lokesh Saroya, L. C. Patidar, and Rakesh Patidar

Abstract Quality & reliability of electric supply in modern

electrical power distribution system is most important to the
economic point of view. Poor power quality may cause damage
electrical appliances or malfunctioning of tripping circuit at
distribution or load end. During the motor starting major
problem occur is the disconnection of the motor itself due to the
presence of power quality problem(Voltage sag). This paper
describes the technique of correcting the supply voltage sag due
to starting of induction motor through Distribution Static
Synchronous Compensator. Proposed Distribution Static
Synchronous Compensator modelling is discussed by SIM Power
System tool in MATLAB software.
Keywords PQ, FACTS, DSTATCOM, STATCOM, VSC.

I. INTRODUCTION
he rapid technological progression in these days, both the
electric utilities and end users of electric power are becoming
increasingly concerned about the quality of electric power.
The starting of large motors and associated loads always
presented an electrical and equipment challenges. The main
reason that humans are interested in power quality is to secure
economic value. During the starting of motor, the major
problem occurs is the disconnection of the motor itself due to
the presence of the one of the power quality problem (voltage
sags). As a result, a study of the motor starting needs to be
carried out to prove the power quality events. Therefore, the
types of power quality events also need to be identified in
accordance to the percentage of voltage variations. One of the
most common power quality problems today is voltage dip. It
contributes more than 80% of power quality (PQ) problems
that exist in power systems. A voltage dip is a short time (10
ms to 1 minute) event during which a reduction in R.M.S.
voltage magnitude occurs. It is often set only by two
parameters, depth/magnitude and duration. The voltage dip
magnitudes is ranged from 10% to 90% of nominal voltage
(which corresponds to 90% to 10% remaining voltage) and
with duration from half a cycle to 1 min. voltage dips occur
more often and cause severe problems and economical losses.
Utilities often focus on disturbances from end-user equipment
as the main power quality problems. This is correct for many
disturbances, flicker, harmonics, etc., but voltage dips mainly
have their origin in the higher voltage levels. Since, there is no
standard solution that will work for every site, each mitigation
action must be carefully planned and evaluated. There are

L. C. Patidar is with Department of Electronics and Communication

Engineering MIT Mandsaur, SH-31Rewas Dewda bypass Road, Mandsaur
(M.P.)-458001, India (email: patidarl.c.10@gmail.com)

different ways to mitigate voltage dips, swell and interruptions

in transmission and distribution systems [2].
Various methods have been applied to reduce or mitigate
voltage sags. The conventional methods are by using capacitor
banks, introduction of new parallel feeders and by installing
uninterruptible power supplies (UPS). However, the PQ
problems are not solved completely due to uncontrollable
reactive power compensation and high costs of new feeders
and UPS [3]. At present, wide ranges of flexible controllers,
which capitalize on newly available power electronics
components, are emerging for custom power applications. The
power industry has responded to these challenges with the
power-electronics-based technology of flexible AC
transmission systems (FACTS). This term covers a whole
family of power electronic controllers, some of which may
have achieved maturity within the industry, while some others
are as yet in the design stage. There is a device which is
DSTATCOM (Distribution Static Synchronous Compensator).
II. CONCEPT OF DSTATCOM
A D-STATCOM, which is schematically depicted in
Figure-I, consists of a two-level Voltage Source Converter
(VSC), a dc energy storage device, a coupling transformer
connected in shunt to the distribution network through a
coupling transformer. The VSC converts the dc voltage across
the storage device into a set of three-phase ac output voltages.
These voltages are in phase and coupled with the ac system
through the reactance of the coupling transformer. Suitable
adjustment of the phase and magnitude of the D-STATCOM
output voltages allows effective control of active and reactive
power exchanges between the D-STATCOM and the ac
system. Such configuration allows the device to absorb or
generate controllable active and reactive power.
The VSC connected in shunt with the ac system provides a
multifunctional topology which can be used for up to three
quite distinct purposes:
1. Voltage regulation and compensation of reactive power;
2. Correction of power factor; and
3. Elimination of current harmonics.

Arvidra K. Burman is with Department of Electrical and Electronics

Engineering, MIT Mandsaur, SH-31Rewas Dewda bypass Road, Mandsaur
(M.P.)-458001, India(email: er.arvindra.gecu@gmail.com)
Lokesh Saroya is with Department of Electrical and Electronics
Engineering, MIT Mandsaur, SH-31Rewas Dewda bypass Road, Mandsaur
(M.P.)-458001, India(email: patidarl.c.10@gmail.com)
Rakesh Patidar is with Department of Electrical and Electronics
Engineering, MIT Mandsaur, SH-31Rewas Dewda bypass Road, Mandsaur
(M.P.)-458001, India(email: rpatidar20@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

921

Fig. 1 Schematic diagram of a D-STATCOM

The DSTATCOM working concept lies on the condition

below:
1. If VS > VL, than the DSTATCOM supplies reactive power
to the system and
2. If VS < VL, than the DSTATCOM absorbed reactive
power from the system where VS is DSTATCOM voltage
and VL is line voltage
III. SYSTEM DESCRIPTION AND SIMULATION SETUP
This Paper presents the voltage sag mitigation on starting of
induction motor through D-STATCOM. The DSTATCOM is
intended to replace the widely used static var compensator
(SVC). The compensation scheme of the D-STATCOM is
derived using the symmetrical component method. The DSTATCOM
has
been
developed
using
the
MATLAB_simulink. Accordingly, simulation is carried out in
two models (i) Starting of induction motor without
DSTATCOM (ii) Starting of induction motor with 6-pulse
DSTATCOM model to illustrate the use of D-STATCOM in
mitigating voltage sag in a distribution system. The DSTATCOM has been developed using PWM controller to
achieve excellent overall performance. Simulations results
prove that the D-STATCOM is capable of mitigate voltage
sag.
Simulation model of direct online starting of induction
motor in Sim Power System, induction motor is fed by the
three-phase source and other load is also connected for
making system same as like the distribution system. Direct on
line starting of induction motor caused voltage sag in supply
line that is measured and recorded by the three-phase V-I
measurement and RMS measurement.

Fig. 2 Simulation diagram of starting of induction motor without

DSTATCOM in MATLAB_simulink

Fig. 3 Simulation diagram of starting of induction motor with six pulse

DSTATCOM

Three-phase circuit breaker is used to provide delay in

starting of induction motor. The delay is providing to better
record of voltage sag. In this model 415 V, Phase-phase RMS
50 Hz supply is apply for same voltage rating induction motor
and motor start at 0.5 sec and at the time of starting the
voltage sag is occurred and which is recorded through scope.
A. Calculation of Charging Capacitor and Smoothing
Inductor
Capacitor sizing is referred to the fault current in the
system. The difference in current between the current before
and after the fault is considered as current faults. In capacitor
sizing, a suitable range of DC capacitor is needed to store the
energy to mitigate the voltage sag. The DC capacitor, C DC is
used to inject reactive power to the D-STATCOM when the
voltage is in sag condition. In the design, the harmonic effects
must be considered because the load is inductive and this may
affect the value of CDC. The following equation is used to
calculate CDC

Equation (1) is used for harmonic mitigation in single

phase system but for a three phase system the equation is
given by,

CDC = 2000 Farad, VS = 570 V = peak phase voltage, IL = 38

A = step drop of load current, T = 0.3 m sec = period of one
cycle of voltage and current,
= 1026 V= pre-set upper
limit of the energy storage C (per-phase), VDC = 500 V=
voltage across C (per-phase). The value of IL can be found
by measuring the load current before and during the voltage
sag. The value of
is present upper limit of CDC, and is
two or three times of the VDC In a voltage source inverter,
generally speaking the larger the dc inductance is used, the
smoother the DC current is obtained. However, a large
inductance implies higher cost and slower response in dc
voltage regulation. There must be a tradeoff between the
quality of the waveform, the response time, and the cost. As
long as, the dc current waveform is smooth enough, the
922

inductor should be chosen to be as small as possible, to

reduce the cost and improve responses speed. In this section,
the relationship between the sizes of the Inductor is,

IV. RESULTS
A simulation model of the proposed system has been
developed and constructed in MATLAB_Simulink and their
Results obtained from different models are presented.

Fig. 5 RMS supply voltage waveform at the time of starting of induction

motor

Motor starting causes high inrush currents, and the absence

of a good understanding of the inrush current which causes the
power quality events may spoil the motor or affect the
sensitive load at its surrounding. Inrush current occurs because
the motor will draw six to ten times of current than usual to
produce a starting torque. Fig. 6 shows the high inrush current.

A. Results for starting of induction motor without

DSTATCOM
From Fig. 4, it can be seen that due to the starting of threephase induction motor without DSTATCOM, the duration of
voltage sag occurs from 0.5 sec to 0.8 sec it means sag occurs
for 0.3 sec and after that voltage regains its value.
The percentage of sag for the system is calculated using the
following equation,

Fig. 6 Shows the staring inrush current at 0.5 sec when induction motor

B. Results for starting of induction motor with 6-pulse

DSTATCOM
The six-pulse D-STATCOM is now connected in shunt
with the supply line system and the simulation is set to run
again for 1 sec. The excellent results obtained from the
simulation with 6-pulse DSTATCOM system.
Fig. 7 shows the duration of voltage sag from 0.5 sec to 0.6
sec and during this period the D-STATCOM responds well to
give the system better ride through capability. By applying 6pulse DSTATCOM the voltage sag was mitigated within 10
ms and limited voltage sag to 22.8 %.
It means the proposed 6-pulse DSTATCOM model increase
voltage up to 37.4 %.

Fig. 4 Supply voltage waveform at the time of starting of induction motor

without DSTATCOM

From Fig. 5 RMS voltage waveform of supply is shown in

which the voltage dropped at 165 V. Now the main cause of
the voltage sag in this work is due to starting of induction
motor.

Fig. 7 Supply voltage at the time of induction motor starting with 6-pulse
DSTATCOM.

Fig. 8 shows the RMS voltage waveform it shows the

voltage sag improvement and gives the better idea about the
sag depth and duration. This graph shows that if the 6-pulse
923

DSTATCOM is used for voltage sag improvement then our

system voltage is recovers to below 415 V which is minor but
our main concern is on the voltage sag improvement and
which is improved at good level.

Fig. 10 Capacitor current of 6-pulse DSTATCOM.

Fig. 8 RMS supply voltage at the time of induction motor starting with 6pulse DSTATCOM.

Now when 6-pulse DSTATCOM comes in circuit then the

DC link capacitor plays an important role in mitigation of
voltage sag. It stored energy when the supply voltage is
maintained at 415 V, if voltage is comes down to supply
voltage then it discharges through the inverter connected in
DSTATCOM system.
Fig. 9 shows the capacitor charging during supply is
maintained at 415 V and discharges during voltage sag are
occurred at 0.5 sec.
Fig. 10 shows the capacitor current, this current injected in
line at 0.5 sec to mitigate voltage sag.

V. CONCLUSION
A simulation construction of the 6-pulse D-STATCOM has
been designed using the MATLAB Simulink software. An
important aspect considered in the design is the control system.
In this work improvement of the voltage sag through a mode
of 6-pulse DSTATCOM is presented. The results of both
models of this work are compared by each other for obtaining
the better system which is mitigate voltage sag at the time of
starting of induction motor. In this work first the starting of
induction motor direct online which gives the 60.2 (%)
voltage sag in supply line which is not good for other low
power rating equipments in distribution system. another two
simulation are done employing DSTATCOM system when
DOL starting of motor is done. the 6-pulse DSTATCOM
reduces the voltage sag up to the 37.4 (%) on comparison of
DOL staring of induction motor.
REFERENCES
[1]

[2]

[3]

[4]

[5]
Fig. 9 Charging and discharging of capacitor voltage of 6-pulse DSTATCOM.
[6]

[7]

[8]

[9]

924

H. H. Goh, M. S. Looi, and B. C. Kok, Comparison between DirectOn-Line, Star-Deltaand Auto-transformer Induction Motor Starting
Method in terms of Power Quality, Proceedings of the International
Multi Conference of Engineers and Computer Scientists 2009 Vol II
IMECS 2009, March 18 - 20, 2009.
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sallehhudin Yusuf construction of prototype D statcom for voltage
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Mahmoud A. El-Gammal, Amr Y. Abou-Ghazala and Tarek I. ElShennawy Faculty of Electrical Engineering, Alexandria University,
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Senan M. Bashi, Norman Mariun, Ruhaizad Ishak,, Development of
Flywheel Inverter System for Voltage Sag Mitigation, European
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pp.670-676 .
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Prototype D-Statcom for Voltage Sag Mitigation, European Journal
of Scientific Research ISSN 1450-216X Vol.30 No.1 (2009), pp.112127 EuroJournals Publishing, Inc. 2009.
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Andreia Leiria1 , Pedro Nunes1, Atef Morched1 and M.Teresa

Correia de Barros2 Induction Motor Response to Voltage Dips
International Conference on Power Systems Transients IPST 2003
in New Orleans, USA
Stella Morris, P.K. Dash, K.P. Basu, A fuzzy variable structure
controller for STATCOM, Int, Electric Power System Research 65
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2000.

925

Dispersion Study of a Non-uniform Dielectric

Planar Slab Optical Waveguide
S. K. Raghuwanshi1, Santosh Kumar2, Devendra Chack3
Abstract-- In this paper a novel approach based on
Asymptotic Iteration method (AIM) is used to solve
analytically the light propagation through one-dimensional
inhomogeneous slab waveguide. Practically implemented
optical slab waveguide based on traditional techniques are
usually non-uniform and numerical methods are used to
obtain guided wave characteristics. In this paper, we develop
an analytical method for model analysis includes Eigen modes
(electric and magnetic fields distribution) and waveguide
dispersion using AIM. The developed technique can be easily
applied to special cases.

Also, electromagnetic wave equation for non-uniform

linear media can be converted to general second ordinary
differential Maxwell equations can be done in this domain
[1-10]. For this purpose one-dimensional case of linear
non-uniform media is considered in this paper.
II. MATHEMATICAL BACKGROUND
In this section mathematical background is presented for
management of the light propagation through
inhomogeneous slab waveguide. Electromagnetic wave
equation for inhomogeneous linear media can be converted
to general second order ordinary differential equation in
one-dimensional cases. For this purpose one-dimensional
case of linear inhomogeneous media is considered in this
work. Secondly, AIM is used to obtain analytical solution
of the general homogeneous second order differential
equations. Here Maxwells equations are arranged in the
form of wave equation for comparing with standard second
order homogeneous linear differentiation equation. Next,
using AIM exact solution of the wave equation is obtained.
We first consider Maxwells equations with a plan wave
incident upon an non-uniform slab waveguides as shown
Fig. 1.

Index Terms-- Non-uniform planar slab dielectric optical

waveguide, Dispersion, Eigenvalue equation.

I. INTRODUCTION

ISPERSION is the spreading out of a light pulse in

time as it propagates down the fiber. Dispersion in
optical fiber includes model dispersion, material dispersion
and waveguide dispersion. Waveguide dispersion is only
important in single mode fibers. It is caused by the fact that
some light travels in the fiber cladding compared to most
light travels in the fiber core. Since fiber cladding has
lower refractive index than fiber core, light ray that travels
in the cladding travels faster than that in the core.
Waveguide dispersion is also a type of chromatic
dispersion. It is a function of fiber core size, V-number,
wavelength and light source line width. Optical integrated
methods recently have been considered because of inherent
potential applications in engineering fields. Also,
developing easy basic cell for obtaining optical very large
scale integration (VLSI) is so interesting. For this purpose
slab waveguides are basic interconnection and passive
elements in integrated optics. Precise analysis of dielectric
slab waveguides for more understanding physical concepts
is important. Especially, inhomogeneous slab waveguide
which is implemented in practice using conventional
fabrication methods is common device in integrated optics.
For this task, in this section we try to develop analytical
method for investigation of non-uniform slab waveguides
from modal characteristics points of view. Traditionally
numerical methods were used for modal analysis of nonuniform waveguides. But, in these cases concepts of device
operation could not explain clearly.

Fig. 1: Schematic of Slab waveguide.

For simplicity we consider the one dimensional case such

that
In addition optical characteristics permittivity
and permeability
are supposed as functions of
slabs height . Using the Maxwells equation and
considering the slab waveguide geometry, we obtain a
second order differential equation for TE-Mode of
electromagnetic field in inhomogeneous waveguides.
Actually, we have two independent TE and TM waves in
this two dimensional space. In principle, since these two
modes are similar to each other; so, we just consider TM
mode. Now, let us start by introducing the plan wave as
especial solution of the wave equation [11]

Authors are with Department of Electronics Engineering,

Indian School of Mines, Dhanbad. 1sanjeevrus@yahoo.com,
2
santoshrus@yahoo.com, 3devendra.chack@gmail.com

978-1-4673-0455-9/12/$31.00 2012 IEEE

926

and the following forms for the Maxwells equations, one

gets
For different values of
we can generate the
various types of refractive index profiles. Now the equation
(5) would become as by substituting from eq. (6),

In which
is -component of magnetic field. Using the
mathematical combination of the Maxwells equations, one
gets

or
Now since

Case A: Asymptotic Iteration method

AIM is proposed for obtaining the exact solution of a
second order differential equation in the following form

Hence eq. (3) become

where
and
are coefficient of differential
equation and are well defined functions as well as
sufficiently differentiable. In order to obtain a general
equation solution to equation the following procedure is
supposed. By differentiating eq. (9) with respect to one
finds
Since
is vector quantities hence compare the tem both
side corresponds to
to get [12]
where
and
are
new coefficients related to the coefficients in the original
differential equation. The second derivative of eq. (9) leads
to

where
and
are
new coefficients appeared in new version of the basic
differential equation. Finally by taking
derivative of
eq. (9) one obtains the following equation:

In this equation, the prime indicates differentiation with

respect to . This is a second order differential equation,
which can be exactly solved for some functions
. Now
we use the AIM to obtain the exact solutions of eq. (4) for
some given arbitrary refractive index profile medium
defined by

where,

where
and
are the free space permittivity and
permeability respectively. And also we define an arbitrary
refractive index profile medium defined in region
by

Clearly, the following relation can be obtained from eq.

(11)

927

and by introducing the asymptotic aspect of the iteration

method for sufficiently large value of m

And by using eq. (22) we can compute

as

Consequently eq. (14) reduces to following simple form

From eq. ( ) the Eigenvalue equation for
can be
obtained for the lowest order mode
as follows

Clearly, by integrating eq. (16), we find

Case B: Consider the medium described by following
equations
where is the integration constant. Using relation eq. (12)
and the definition of eq. (15) one can rewrite eq. (16) as
follows

Insert eq. (27) into eq. (4) to get

Substituting eq. (18) into eq. (12) leads to first order

differential equation

where;

the general solution to the last differential equation is

Where is a new integration constant.

Finally, the eigenvalues of are obtained from the roots of
following condition
and the Eigenvalue equation can be obtained from for the
as follows
lowest order mode
Compared the equation (8) with (9), we get

where we assume the constant term in eq. (22)

.
Now
can be computed as follows:

Using eq. (22) and eq. (23), we can compute

follows:

That is the transcendental equation that must be solved by

numerical techniques. Figure 2 show the refractive index
variation for eq. (27) with distance.

as

Case C:

928

Now, we use AIM to obtain the exact solutions

(Eigenvalues and Eigenfunctions) of eq. (4) for some given
permittivity and permeability functions. Let us start with

Clearly the quantization condition (21) implies that

should be a non-negative and even integer

Substituting in eq. (4) leads to

According to this condition, energy Eigenvalues are
obtained as follows
where,

These results can be used to calculate the ratio

and consequently for obtaining general
solution via (20) as follows

It can be easily shown that the general form of the solution

is in the following form

Fig. 2: Show the variation of refractive with distance.

By comparing the last equation with Eq. (9) one can write
and
functions, and calculate
and
using recurrence relation (6) for several values of
as
follows

which is known as Hermite polynomials [13-18].

III. DISPERSION CALCULATION
Dispersion is phenomenon in which the phase velocity of a
wave depends on its frequency. Any source of light would
have a certain spectral width and each spectral component
would travel with different group velocity and would
always have dispersion, this is referred as material
dispersion. Material Dispersion can be a desirable or
undesirable effect in optical application and play very
important role in design of a fiber optic communication
system. Material dispersion comes from a frequency
dependent response of a material. Waveguide dispersion
depends on the fiber design parameters. It is a function of
fiber core size, V-number, wavelength and light source
line-width. Hence it can be tailored according to our
requirements [19-20].
A. Material/Waveguide Dispersion Calculation in Silica
Fiber

By combining these results it is straightforward to show

that

Material dispersion cannot be tailored as compared to

waveguide dispersion. It is proportional to spectral width
and length traversed in the medium, usually specified in
units of picoseconds per kilometer (length) per nanometer
(spectral width)

929

IV. RESULTS AND DISCUSSIONS

Figure 3 shows the plot of arbitrary refractive index
where
is measured in micrometers and
In above eq. (32) it is known that for silica fiber

The double derivative term

and arbitrary permeability

with variation of . Figure

4 shows the material dispersion and other quantities

calculated from eq. (32) and eq. (34). At lower wavelength
it
the material dispersion is negative and above
becomes positive.

in eq. (33) can be

computed as follows

Fig. 3:

The plot of arbitrary refractive index

arbitrary permeability

and

versus .

In eq. (33) the values of the constants are

.The waveguide
dispersion can be computed by the following expressions,

where
is measured in nanometers. The above eq. (35)
can also be written an another form

where is the group delay. By using the eq. (35) one can
compute the analytical expressions for both quantities as
follow [21-24];
Fig. 4: The plot of a)
(
versus wavelength.

, b)

c)

and d) material dispersion

Figure 5 shows the calculated group delay from eq. (37).

Figure 6 shows the material dispersion, normalized
waveguide dispersion and total dispersion with wavelength.
It is apparent from Fig. 6 that waveguide dispersion being
negative over the entire wavelength of interest. However
the total dispersion crosses the zero dispersion point at
wavelength
.

The results of these computations are discussed in next

section.

930

[6]

[7]

[8]
[9]
[10]
[11]

[12]
Fig. 5: The plot of group delay

versus wavelength.
[13]

[14]

[15]

[16]

[17]

[18]

[19]

Fig. 6: The plot of material dispersion, normalized waveguide dispersion

and total dispersion versus wavelength.

V. CONCLUSION
In the conclusion, we have applied the AIM method to solve
the wave equation in non-uniform dielectric medium. The
AIM method is well established but the calculation of
analytical expression for waveguide dispersion has not been
presented from the authors opinion. Hence we try to
compute the analytical expression for the waveguide
dispersion. These results can be easily extended to other
type of inhomogeneous medium like exponential varying
refractive index profile waveguide.
VI.
[1]

[2]
[3]

[4]

[5]

[20]

[21]

[22]

[23]

REFERENCES

Motavali, H. and A.Rostami, Exactly modal analysis of

inhomogeneous slab waveguide using Nikiforov-Uvarov method,
Journal of Electromagnetic Waves and Applications,Vol.
22,681,2008.
Nikiforov, A.F.
and V.B.Uvarov,
Special Function of
Mathematical Physics , Birkhauser, Basel, 1988, chapter 2.
Egrifes, H. and R.Sever, Bound state of the Dirac equation the PTsymmetric generalized Hulthen potential by the Nikiforov-Uvaroz
method, Phys. Lett. A,Vol. 344, 117, 2005.
Aktas, M. and R. Sever, Exact supersymmetric solution of
Schrodinger equation for central confining potentials by using the
Nikiforov - Uvarov method, J. Mol. Struct. (Theo chem), Vol. 710,
223, 2004.
Berkdemir, C., A. Berkdemir , and R. Sever, Systematical approach
to the exact solution of the Dirac equation for a deformed form of
the Woods-Saxon potential, J. Phys. A: Math. Gen., Vol. 39, 13455,
2006.

[24]

931

Yasuk ,F., A. Durmus, and I. Boztosun , Exact analytical solution to

the relativistic Klein-Gordon equation with non-central equal scalar
and scalar and vector potentials, J. Math. Phys., Vol. 47, 082302,
2006.
Simsek, M. and H. Egrifes, The Klein-Gordon equation for the
generalized Hulthen potential in the complex quantum mechanics,
J. Phys. A: Math. Gen., Vol. 37, 4327, 2004.
Ciftci, H., R. L.Hall, and N.Saad, Asymptotic iteration method for
eigenvalue problems, J. Phys. A: Math. Gen., Vol. 36, 11807, 2003.
Ciftci, H., R. L. Hall and N. Saad, Perturbation theory in frame
work of iteration method, Phys. Lett. A,Vol. 346, 11807,2005.
Bender, C. M. and Q. Wang, A class of exactly-solvable eigenvalue
problems, J. Phys. A, Vol. 34, 9835, 2001.
Bayrak, O. and I. Boztosum, Arbitrary l-state solutions of the
rotating Morse potential by the asymptotic iteration method , J.
Phys. A: Math Gen., Vol. 39,6955,2006.
Bayrak, O. and I. Boztosum, Analytical solutions to the Hulthen
and Morse potential by using the asymptotic iteration method , J.
Phys. A: Math. Gen., Vol. 802, 17,2007.
Durmus, A., F. Yasuk, and I. Boztosun, Exact analytical solution
of the Kline Gordan equation for the pionic atom by asymptotic
iteration method, Int. J. Mol. Phys. E(IJMPE), Vol. 15,1243, 2006.
Rostami, A. and S. K.Moayedi, Exact solution for light
propagation through inhomogeneous media, Indian J. Phys. B, Vol.
75, 357, 2001.
Rostami, A. and S. K. Moayedi, TM mode in inhomogeneous slab
waveguide as an exactly solvable oscillator-like Hamiltonian, J.
Opt. A: Pure and Applied Optics,Vol 5, 380, 2003.
Moayedi, S.K. and A. Rostami , PT-invariant Helmholtz optics and
its applications to slab waveguide, Eur. Phys J. B, Vol. 36,
395,2003.
Rostami, A. and S. K. Moayedi, Exactly modal analysis of
inhomogeneous slab waveguide using similarity transformed
harmonic-oscillator algebra, IL Nuovo Cimento B, Vol. 120, 285,
2005.
Moayedi, S. K. and A. Rostami, Exact treatment of light in
inhomogeneous slab waveguide using super-symmetric quantum
mechanics, IL Nuovo Cimento B, Vol. 118, 729, 2003.
Liu, S. H., C. H. Liang, W. Ding, L.Chen, and W.T. Pan,
Electromagnetic wave propagation through a slab waveguide of
uniaxially anisotropic dispersive metamaterial, Progress In
Electromagnetics Research,PIER 76, 467-475, 2007.
Wang, Z. J and J. F. Dong, Analysis of guided modes in
asymmetric left-handed slab waveguides, Progress In
Electromagnetics Research, PIER 62, 203-215, 2006.
Singh, V., Y.Prajapati, and J. P. Saini, Modal analysis and
dispersion curves of a new unconventional Bragg waveguide using a
very simple method, Progress in Electromagnetics Research, PIER
64, 191-204,2006.
Attiya, A. M. and A. A. Kishk, Modal analysis of a two
dimensional dielectric grating slab excited by a obliquely incident
plane wave, Progress in Electromagnetics Research, PIER 60, 221243, 2006.
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analysis of multilayered coated circular waveguide using a modified
characteristic equation, Progress in Electromagnetics Research,
PIER 45, 243-262, 2004.
Liu,S.,L.,M. S. Leong , and T. S.Yeo,Rectangular conducting
waveguide filled with uniaxial anisotropic media: A modal analysis
and dyadic Greens function , Progress in Electromagnetics
Research,PIER 25, 111-129,2000.

Derivation of Eigen Value Equation for Multiple

Clad/Core Planar Slab Optical Waveguides: A
General Approach
Santosh Kumar1, S. K. Raghuwanshi2

Abstract-- This paper describes double clad/double core

planar slab waveguide operation. First the graphical method
has been applied to obtain qualitatively the propagation
constant of the symmetrical/asymmetrical planar slab
waveguide then we extend the results for double clad/double
core planar slab optical waveguide. We formulate and
numerically solve the Eigenvalue equation to compute its
allowed Eigen values. This paper also presents the comparison
of TE and TM mode for the case of symmetric planar slab
waveguide. It has been known that double clad planar slab
waveguide suffers with less waveguide dispersion as compared
to step index planar slab waveguide. Hence we compute the
allowed value of for the proposed structure.

(1)
where , and are wave-numbers along the x-axis in the
core and cladding regions respectively and are given by

(2)

Index Terms-- Planar slab optical waveguide, Eigen value

equation, Electromagnetic theory concept.

I. INTRODUCTION
Planar optical waveguides are the key devices to construct
integrated optical circuits and semiconductor lasers.
Generally, planar slab waveguides consist of a core
surrounded by a cladding with a lower refractive index than
that of the core. There are various methods used to study
light wave transmission mechanism in double clad/double
core wave-guides. The derivations of eigenvalue equations
for the various cases are already discussed elsewhere [1, 2].
In this paper we present a detail derivation with clear
assumptions to calculate the eigenvalue equation.
In the first part of the paper we try to formulate the
eigenvalue problem for the much simpler cases. In section
III, we try to compute the propagation constant for these
cases. In section IV, we carried out the eigenvalue
formulation for the cases of multiple core/cladding planar
slab waveguide. We also try to compute the allowed
eigenvalues for this case. Our results are general and can be
extended upto any number of core and cladding.
II. SIMPLE PLANAR SLAB WAVEGUIDE
We consider the slab waveguide with uniform refractiveindex profile in the core, as shown in Fig. 1. Considering the
fact that the guided electromagnetic fields are confined in the
core and exponentially decay in the cladding, the electric
field distribution is expressed as [3],

Fig. 1: Refractive-index profile of the slab waveguide.

where the is free space wave propagation constant and is

wave vector in z-direction. The electric field component
in eq. (1) is continuous at the boundaries of core-cladding
interfaces
. Neglecting the terms independent of x,
the boundary condition for
is treated by the continuity
condition of
as

(3)

From the condition that

are continuous at
the following equations are obtained:

Eliminating the constant A in eq. (3.1). (Where

random phase) we have,
Authors are with Department of Electronics Engineering,
Indian School of Mines, Dhanbad. 1santoshrus@yahoo.com,
2
sanjeevrus@yahoo.com

978-1-4673-0455-9/12/$31.00 2012 IEEE

932

is the

(4)

(13)

(5)

When
the electromagnetic field in the cladding
becomes oscillatory along the transverse direction; that is,
the field is dissipated as the radiation mode. Since the
condition
represents the critical condition under
which the field is cut off and becomes the non-guided mode
(radiation mode), it is called as cutoff condition. Here we
introduce a new parameter, which is defined by [4],

where
(6)
From eqs. (4 and 5), we obtain the eigen-value equations as
follows

(14)
Then the conditions for the guided modes are expressed,
from eqs. (12) and (13), by

(7)

(15)
and the cutoff condition is expressed as
(16)

(8)
The normalized transverse wave numbers u, w, and are
not independent. Using eqs. (2) and (6) it is known that they
are related by the following equations,

is called the normalized propagation constant. Rewriting

the dispersion eq. (7) by using the normalized frequency
and the normalized propagation constant
, we obtain

(9)
(17)

(10a)
(10b)
(11)
Where is the normalized frequency, defined in Eq. (11),
and is a measure of the asymmetry of the cladding
refractive indices. Once the wavelength of the light signal
and the geometrical parameters of the waveguide are
and
are
determined, the normalized frequency
determined. Therefore u, w,
and are given by solving
the eigenvalue eqs. (7) and (8) under the constraints of eqs.
(9) - (10). In the asymmetrical waveguide
as
shown in Fig. 1, the higher refractive index is used as the
cladding refractive index, which is adopted for the definition
of the normalized frequency . It is preferable to use the
higher refractive index because the cutoff conditions are
determined when the normalized propagation constant
coincides with the higher cladding refractive index.
Equations (7), (9), and (10) are the dispersion equations or
modes. When the
eigenvalue equations for the
wavelength of the light signal and the geometrical
parameters of the waveguide are determined in other words,
when the normalized frequency
and asymmetrical
parameter are determined the propagation constant can
be determined from these equations. As it is known from
Fig.1 or eqs. (1) and (2), the transverse wave number
should be a real number for the main part of the optical field
to be confined in the core region. Then the following
condition should be satisfied:
(12)
is a dimensionless value and is a refractive index itself
for the plane wave. Therefore it is called the effective index
and is usually expressed as

also, eq. (2) is rewritten as

(18)
For the symmetrical waveguides with
and the dispersion equations
and
to

we have
are reduced
(19)
(20)

Equation (19) is also expressed by

(21)
or,

(22)

III. COMPUTATION OF PROPAGATION CONSTANT

First the graphical method to obtain qualitatively the
propagation constant of the symmetrical slab waveguide is
shown, and then the quantitative numerical method to
calculate accurately the propagation constant is described.
The relationship between u and w for the symmetrical slab
waveguide, which is shown in eq. (21), is plotted in Fig. 2.
Transverse wavenumbers u and w should satisfy eq. (9) for a

933

given normalized frequency . This relation is also plotted

in fig. 2, for the case of
as the semicircle with the
radius of 4. The solutions of the dispersion equation are then
given as the crossing points in fig. 2. For example, the
transverse wavenumbers u and w for the fundamental mode
are given by the crossing points of the curve tangential with
and the semicircle. The propagation constant (or
eigenvalue) is then obtained by using eqs. (2) and (6). In
Fig. 2, there is only one crossing point for the case of
. The value of
then gives the critical point at
which the higher-order modes are cut-off in the symmetrical
slab waveguide.

Fig. 3: Dispersion curves for the TE modes in the slab waveguide.

It is known that there is no cutoff for the lowest

mode in
the symmetrical waveguide
. On the other hand,
cutoff exists for the
mode in the asymmetrical
waveguide
as shown in fig. 3. The dispersion equation
for the TM mode is obtained in a similar manner to that for
the TE mode. We first express the magnetic field distribution
as

(26)
Fig.2: u-w relationship in the slab waveguide.

is called the cutoff normalized frequency, which is

obtained from the cutoff condition for the
mode,

Applying the boundary condition that

and
should be
continuous at
, the following dispersion equation is
obtained:
(27)

(23)
where eqs. (16) and (18) have been used. Generally, the
cutoff -value for the TE mode is given by eq. (17) as

Rewriting this equation by using the normalized frequency

and the normalized propagation constant b, we reduce it to

(24)
And that for the TM mode is given by similar way as,

(28)
(25)

934

where transverse wave numbers are given by,

(30)

Boundary conditions at

;
(31)

similarly,

at

gives,
(32)
(33)

Now continuity of

at

gives,
(34)

Fig. 4: Dispersion curves for the TE and TM modes in the slab

waveguide.

The dispersion curves for the TM modes in the waveguide

with
,
are shown in Fig.
4 and compared with those for the TE modes. It is known
that the normalized propagation constant for the TM mode
is smaller than that for the TE mode with respect to the same
. That means the TE mode is slightly better confined in the
core than is the TM mode.

Inserting the values of H and C from eq. (31) and eq. (33)
into eq. (34);
(35)
Finally putting the values of H, C and D into eq. (29) leads,

IV. EIGEN VALUE FORMULATION FOR DOUBLE

CLAD/DOUBLE CORE PLANAR SLAB WAVEGUIDE
Now consider the core of double clad slab waveguide as
shown in Fig. 5(a), the electric field distribution is expressed
as [5],

After applying the boundary condition

leads,

at

(37)

divide both side by

(40)
Fig.5 Refractive-index profile for (a) double clad slab waveguide, (b) double
core slab waveguide.

935

(46)

(41)
Equation (41) is the final Eigen value equation for even TE
mode double clad waveguide. Equation (41) has been solved
graphically to compute the value of and
, which is
shown in Fig. 6.

(47)
(48)

(49)

(50)

Fig. 6: Graphical solution for eigenvalue equation (40) for the design
parameter mention in insect.

Fig. 6 predicts the allowed eigenvalue for this case. It also

means that double clad structure improves the power
confinement into the core. Now we change the double clad
structure into asymmetric structure having two cores as
shown in Fig. 5(b). In this case, we will try to get the
eigenvalue equation from already derived eigenvalue eq.
(41). Let us substitute the following for this symmetrical
structure,

This is the final Eigenvalue equation for even TE mode for

the present case. Equation (52) can be solved in similar way
as we solved for symmetrical planar slab waveguide which
is shown in Fig. 7 [6, 7, and 8].

From eq. (41) and (42);

(44)
Fig.7: u-w relationship in the double core planar slab waveguide

(45)

Figure 7 reveals that there are impacts on u-w relation with

variations.

V. CONCLUSION
Now Since,

hence,

In the conclusion, we have solved the eigenvalue equation

for double clad / double core planar slab waveguide and
cases for two
. The results are interpreted. After
considering the simple planar slab waveguide, we derived
the eigenvalue equation for double clad/ double core planar
optical waveguide. Also we try to solve the eigenvalue
equation for these cases. The design guidelines of this paper

936

are general and can be easily extended to more complicated

cases.
REFERENCES
[1]

[2]

[3]

[4]
[5]
[6]
[7]

[8]

S. K. Raghuwanshi, V. Kumar and R. R. Pandey, Guided and Leaky

modes of a multilayer planar slab waveguide, I-managers. J. on
Electronics Engineering, Vol.1.No.3.March-May 2011.
S. K. Raghuwanshi, V. Kumar, Analysis of Double Clad SingleMode Step-Index fibers having depressed versus raised inner
Cladding, International conf. in comm., comput. Control and nanotech. (ICN. 2010), Page No. 3-6, 29-30 October 2010, Bhalki india.
S. K. Raghuwanshi and S. Talabattula, Analytical approximation
solutions for 3-D Optical Waveguides: Review, Indian J. Phys. Vol.
83, No. 2, 2009.
Introduction to Fiber Optics, by Ajay Ghatak and K. Thyagarajan,
edition1.
Optical Fiber Communications, by John M. Senior ,edition 2
Moneric M. , Propagation in doubly clad single-mode fibers, IEEE
J Quantum Electron 1982;18:535-42.
Hagemann H-J, Lade H, Warnier J. The performance of depressedcladding single-mode fibers with different b/a ratios, J. Lightwave
Technol 1991; 9:689-94.
Luo Jie, Qin Qinam, Ye peida The relation between the dispersion
characteristics of W-profile broadband dispersion compensation fiber
and its structural parameters, J. Opt. Commun. 2000; 21:90-3.

937

Bilateral Authentication Protocol

Kumar Gaurav

Abhishek Kumar

Anshuman Kumar Gautam

B.Tech Information Technology

CIITM, Jaipur
Rajasthan, India

M.Tech Computer Science

Govt. Engineering College Ajmer
Rajasthan, India

M.Tech Computer Science

Govt. Engineering College Ajmer
Rajasthan, India

kmrgaurav0@gmail.com

abhishekkmr812@gmail.com

er.anshuman2011@gmail.com

AbstractInternet become standard as sale channel and used

for e-business transaction. However many obstacles regarding
security issue comes as far as business on web is concern.
Business must find a way to perform more secure authentication
of employee then before means efficient authentication of
employee, customers, suppliers is needed this paper presents a
solution for authentication using PIN verification. The solution is
based on PIN number and encryption decryption technique. We
are emphasizing on server authentication by means of smart
card.

3..Pin Number Authentication Mechanism

In order to avoid the problem mentioned above PIN number
Authentication protocol suggested that server and user must
negotiate a session key in order to make the protection of data
more resistant and efficient against external attack. For the
application Smart card is best way to implement the process. It
retrieve information by client plug-in program is activated by
a tag use in HTML,<EMBED> OR <OBJECT>. When Partner
website is visited by client-server return a web page. User
generated password: h0 = hash (password), h 1=hash (h0), ,
hn=hash(hn-1). User sends the last password h n to the system.
User marks the last password as used.System saves the
received password. User enters the next password in row, h n-1
and sends this to the system. After this, he marks this
password as used the system compares hash (received
password) with last received password. If equal, then user is
authenticated and the server saves the password.

Keyword- Authentication protocol, Cryptography, PKI SSL, Smart

card.

1. Introduction
The success graph of e-business transaction can fall down due
to dearth in user confidence. While data traveling through
network the data disturbance become very common now days.
So considering security policies in mind some classical
objectives should be follow like confidentiality; integrity
availability redundancy etc.PKI (public key infrastructure)
will protect data through encryption and digital signature is
applicable for authentication of usr.PKI is a system of
certification authority which establishes basically the security
policies. However storing digital certificate on LAN and
computer network makes it fairly easy for other to copy it and
use it in negative way. So due to cryptographic capacity and
portability in smart card ,sensitive information Protected by a
PIN number usually PIN is for user to unlock the card at the
same time it allows access to protected information. The
authentication model become flexible and more secure as user
can change or choose their PINS time to time according to
their need.

4.Authentication with ID/Password

This mode assumes that only the ID and Password are read
and retrieved from the smart card by the plug-in program
[10]. The user has to present a correct PIN to allow access to
the ID/Password stored in the smart card. The plug-in sends
the ID and Password back to the server via HTTP POST to an
URL specified at plug-in invocation. The server verifies the ID
and password in the LDAP database. If there is matching
between the ID/Password posted by the client and stored in
LDAP directory, the client is authenticated and allowed to
perform e-business transactions according his access
permissions stored in the LDAP directory.
Authenticate user for n time we have to pick a random number
R, using a one way function f(x); x1 = f(R)x2 = f(x1) =
f(f(R))x3 = f(x2) = f(f(f(R))) x100 = f(x99)
=f(f(f(f(R))))then
compute:
xn
=
f(xn-1) =
f(f(f(f(R))))

2. Authentication Mechanism Model

Specific access permission is needed for user in authentication
mechanism without PIN number authentication. Existing
system provide unilateral authentication. In this case the user
while transaction is not sure about the party on the server side.
In case of authentication system which identify through
username and password. In case if somebody cracks the
password then confidential information can be compromised.

978-1-4673-0455-9/12/$31.00 2012 IEEE

The server builds a random string R and signs it with the

secret key K of the client stored in the LDAP directory. The
signature is generated by a triple DES (Data Encryption
Standard) encryption algorithm. 3DES requires the use of a
key K (Kl: Kr) where K l is the left part of the key and Kr is

938

the right part. The server posts the random string with the
signature S1 to the client.
S1=3DES (K, R) =DES (DES-1(DES(R,kl),Kr),Kl)

Table1 : Authentication flow

and users identity are bound together in a certificate signed by
the CA, certifying the accuracy of the binding [14]. The CA
issues the certificate by signing the client or server public key
(PuK) by using the CA private key (PrKCa).

(1)

The plug-in client program embedded in the browser signs the

random R with the same secret key K stored in the smart card
and verifies the computed signature (S2) with the signature S1
received from the server. A PIN protects the secret key stored
in the smart card. The user is asked to enter this PIN to allow
the client system accessing the secret key. The secret 3DES
Key K is shared by both the client and the server. If there is
match between S1 and S2, the server is authenticated and the
client system sends back the string random R, the signature
received (S1) and the signature computed (S2) to the server
via an HTTP post. S1, S2 and R are sent to an URL specified
in the HTML page sent by the server and retrieved by the
client system. This mode allows mutual authentication. These
mode generally involve a well known encryption algorithm
and a secret key. Once received, S1 and S2 are checked and
compared with the first computed S1. After verification, the
web server application authenticates the user and will then
return a new URL to the plug-in and the browser is redirected
to this new URL location. A new SSL session is then opened
between the client and the new web server application and all
the transactions can be done safely. For that, both the server
and the client compute a temporary diversified 3DESKey
(Session Key: SK) from the 3DES secret key K and the Card
Serial Number CSN. The key SK is used to establish an SSL
session and to secure e-transactions between the client and the
server.
SK= 3DES (K, CSN)
(2)
Authentication with asymmetric keys this mode is based on
Public Key Infrastructure (PKI). Public keys (PK) are used for
authentication purposes by signing and verifying data using
private key and public key elements respectively. The RSA
algorithm is used for signing and verifying data [13]. A third
party is invoked: a Certificate Authority (CA). The role of the
CA is to issue certificates for the client and the server that
confirm that the keys have been authorized. The public key
Smart
card

Plug-in

Browser

Server

Certificate=RSA_Sign(PuK){PrKCa}
(3)
The client can verify the certificate of the server and vise versa
by using the CA public key (PuKCa). Client certificate and
key pair are stored in a smart card.
PuK=RSA_Verify(Certificate){PuKCa}
(4)
The client visits the server web site and asks to log on. The
web server returns a web page with the plug-in tag <EMBED>
causing the plug-in to be executed in the client side. The
server signs a generated random (R) with its private key
(PrKServ). The server sends R, the signature S1 embedded in
the client web page and the server public key (PuKServ) to the
client.
S1=RSA_Sign(R){PrKServ}
(5)
The client plug-in program verifies the signature S1 using
PuKServ. The verify algorithm is computed by the smart card.
R=RSA_Verify(S1){PuKServ}
(6)
If R and R are equal, the signature is successfully verified and
the server is authenticated. The client plug-in computes a
second digital signature (S2) of the random retrieved from the
received web page using the client private key (PrKCli).
S2=RSA_Sign(R){PrKCli}
(7)
For that, the plug-in asks for smart card insertion and client
PIN presentation in order to retrieve the key pair and the
certificate stored in the card. The client plug-in posts R, S1,
S2, Cert Card and PuKCli to the server. Once received, the
server verifies the certificate and the signature S2.

LDAP

PuKCli=RSA_Verify(CertCard){PuKCa}
(8)
R=RSA_Verify(S2){PuKCli}
(9)

Login
Activate plug-in
Insert card
Verify PIN
Card

ID/PWD

Read
ID/PWD
from
the
card
ID/PWD

If the elements calculated are equal to the elements posted by

the client, the server confirms authenticity of the client and
new session is opened with the clients.
ID/PWD
Check ID/PWD
If OK, Client
authenticated,
Open new
session

ID/PWD

939

Smart card

Plug-in

Browser

Server

Login

Fig.I Architecture of the Client System

LDAP
Read
Key in
LDAP
pkrs

A. Plug-in Library

Compute S1,
S1=
RSA_Sign(R)
Insert card

The Plug-in library is the interface between the browser and

the smart card authentication library. It is integrated to the
browser. The Plug-in library manages the communication and
the exchange of data between the authentication library and
the authentication server through a secure SSL session. It is
also in charge of the data checking and formatting: data posted
is base64 encoded when needed, URL encoded and
encapsulated in a MIME Object [15].

R , S1

Verify PIN
Card
Compute
R,
R=
RSA_Verify(S1
) {PuKs}
R

Read PuKs
from
card
Read Key in
LDAp

B. Authentication Library

If R=R,
server
Compute
S2: authenticated
S2= RSA_Sign
(R) {PrKc}
S2, CertCard,
PuKc

S2,
CertCard,
PuKc, S1, R

The authentication library manages the authentication process.

It implements the authentication methods depending on the
authentication mode requested by the user. The Authentication
library also manages the GUI (PIN presentation and error
message display). This library is designed to interface with the
smart card library.

S2,CertCard,
PuKc, S1, R
PuKc=RSA_v
erify{PuKCa}
(CertCard)
R=RSA_Verif
y(S2)
{PuKCli}
If R=R=R
and
PKc=PKc
Client
authenticated
Open
new
session

C. Smart Card Library

The smart card library operates on the low level of the client
plug-in system. It implements the functions needed by the
authentication process. These functions encapsulate the EMV
commands provided by the smart card and defined in the ISO
7816-4 standard. These commands are sent to the card through
Application Protocol Data Units (APDU). The smart card (SC)
Library retrieves information stored in the card (ID/Password,
Keys, certificates) and computes signatures (3DES, RSA). The
smart card library handles all communication with smart card
through PC/SC library. All smart card APDU applicative are
available for upper layer as well as some general commands to
open and close a session with a card. After executing an EMV
command, the smart card returns a status code. The SC library
interprets the status code and sends another significant code to
the authentication library. The significant code is interpreted
by the authentication library and in case of an error; a message
is displayed to the user.

3.Architecture of The Client SystemThe architecture of the client system is illustrated by Fig. 5.
The client system is implemented as DLLs libraries through
four levels. Each library calls functions implemented in the
lower library and provides functions to be called by the upper
library.
Web Browser
Plug In library

D. PC/SC Library
The PC/SC library is the standard model and a device and
platform independent API for interfacing smart card readers
and cards with computers and enabling applications aware
smart card. It implements the mechanisms for accessing the
services supported by a smart card. The smart card SDK
contains the necessary tools and APIs to communicate with
the card and to develop smart card applications. The PC/SC
library is managed by the PC/SC workgroup and outside the
scope of this paper. The PC/SC workgroup set standard for
integrating smart cards and smart card readers into the
mainstream-computing environment. They aim to promote a

Authentication library
Smart Card Library
PC/SC Library

940

information. The card is protected by PIN and cannot be used

by another person. The authentication server authenticates
clients by computing cryptographic algorithms based on the
information posted by the client system. After authentication,
the server grants the client accessing the services according his
privileges stored in the LDAP directory. The authentication
mechanism is not only based on id/password. We have
proposed two other authentication modes based on symmetric
and asymmetric encryption .The use of smart cards to secure
business transactions assures more protection for sensitive
data. Smart cards reduce the threat of unauthorized access by
the use of stolen credentials because the hacker must both steal
the smart card and obtain the PIN. Smart card authentication
reduces also the ability of individuals to deny their actions.

standard specification, to ensure that smart cards, smart card

readers and computers made by different manufacturers will
work together and help to facilitate the development of smart
card applications for PC and other computing platforms. In
order to execute a command implemented in the smart card,
the smart card library establishes a connection with the card
through the smart card reader, fill the APDU buffer of the
command to be send to the card, send the APDU buffer and
receive the data returned by the card through the receive
buffer. The receive buffer returned by the card contains a
status code that indicates successful or failed execution with
the error code.
3. Architecture Of The Authentication Server
When the validation server starts, it is configured to listen to
TCP ports to accept connections from client. When the client
connects to the web server, the authentication system receives
the request and a new thread dedicated to the client request is
started. The authentication system reads data and decrypts it
according the SSL standard. It identifies the client and the
authentication mode requested. The authentication system
Internet

REFERENCES
[1] D. Gollmann, Computer Security, John Wiley & Sons 2002.
[2] D. Naccache, and D. M'Raihi, Cryptographic smart cards, Micro IEEE,
vol. 16, no. 3, pp. 16-24, June 1996.
[3] H. Chien, J. Jan, and Y. Tseng, An Efficient and Practical Solution to
Remote Authentication: Smart Card, Computers and Security, vol. 21, no. 4,
pp. 372- 375, 2002.
[4] C. P. Pfleeger, and S. L. Pfleeger, Security in Computing, Third Edition.
Prentice Hall. 2003.
[5] C. Chang and T. Wu, Remote Password Authentication with Smart
Cards, IEE Proceeding-Computers and Digital Techniques, vol. 138, no. 3,
pp. 165-168, 1991.
[6] C. Chang and S. Hwang, Using Smart Cards to Authenticate Remote
Passwords, Computers and Mathematics with Application, vol. 26, no. 7, pp.
19-27, 1993.
[7] W. Yang and S. Shieh, Password Authentication Schemes with Smart
Cards, Computers and Security, vol. 18, no. 8, pp. 727-733, 1999.
[8] K. Tan and H. Zhu, Remote Password Authentication Scheme with Smart
Cards, Computer Communications, vol. 18, pp. 390-393, 1999.
[9] W. S. Juang, Efficient multi-server password authenticated key
agreement using smart cards, Consumer Electronics, IEEE Transactions on,
vol. 50, issue 1, pp. 251-255, February 2004.
[10] S. Wang and T. Chang, Smart Card Based Secure Password
Authentication Scheme, Computers and Security, vol. 15, 1996

WEB Server

Authentication System
m

LDAP Directory
Architecture of the Authentication Server
retrieve the elements needed for authentication (ID/Password,
Keys, certificates) from the LDAP directory and starts the
corresponding processes (signature, verification,). If the
authentication succeeds, the client browser is redirected to
new URL and a new SSL session is created between the web
server and the client browser (Fig. 2). If the authentication
fails, an error message is sent and the client browser is
redirected to another URL (error URL).
8. CONCLUSION
The authentication approach proposed in this paper uses smart
card to store sensitive information and to compute
cryptographic algorithms. The four libraries of the client
system have been implemented using C and C++ language
using COM and ActiveX technologies. As Netscape does not
support ActiveX technology, the plug-in library has been
implemented using the Plug-in SDK from Netscape. The
PC/SC library communicates with the card via an applet
developed and uploaded in the smart card using Java Card
technology. The client can access to the server by using any
computer without storing and entering any sensitive

941

Performance Comparison of DCT-OFDM and FFTOFDM in an AWGN Environment with Different

Modulation Techniques
Lalchandra Patidar, Rakesh Patidar, Lokesh Saroya and Nitin Pawar
Abstract In this paper, the Bit Error Rate performance of Fast
Fourier Transform-based Orthogonal Frequency Division
Multiplexing system (FFT-OFDM) is compared with Discrete
Cosine Transform-based Orthogonal Frequency Division
Multiplexing (DCT-OFDM) is compared with different
modulation techniques such as M-PSK and M-QAM. Empirical
(Simulated) BER and theoretical BER is calculated using
MATLAB simulation for each case and from the simulation
results it is clear that the BER shift in case of Discrete Cosine
Transform-based Orthogonal Frequency Division Multiplexing is
less then compared to BER shift in case of Fast Fourier
Transform-based Orthogonal Frequency Division Multiplexing
system and M-QAM modulation shows better BER performance
as compared to M-PSK.
Keywords BER, FFT, DCT, AWGN, OFDM, SNR, M-QAM,
M-PSK.

I. INTRODUCTION
As the demand of digital multimedia applications are
increasing day by day, create an ever increasing demand for
broadband communications systems. Orthogonal Frequency
Division Multiplexing (OFDM) has grown to be the most
popular
communications
system
in
high
speed
communications in the last decade. In fact, it has been said by
many industry experts that OFDM technology is the future of
wireless communications. The prosperous progress of mobile
communications has built the main road of the history of
wireless
communication.
The
mobile
wireless
communications progressed from Personal Communication
Services/Network (PCS/PCN) to Global System for Mobile
Radio Channel (GSM) to General Packet Radio Service
(GPRS) to Enhanced Data for Global Evolution (EDGE) to
Universal Mobile Telecommunication Systems (UMTS)
(better known as 3G) and will continue to evolve to 4G which
is under active research.
As the signal strength (SNR) increases in comparison to noise
inside the channel the bit error rate (BER) decreases and
reaches to zero at some specified value of SNR ideally [5, 8].

Using MATLAB simulation we can implement an OFDM

transmission and reception. Using the simulation we can
easily change the values of S/N ratio [4], then we can analyse
the results of each transmission and see how the BER [1, 2, 4]
is changed. In this paper, we have compared the BER
performance of DCT-OFDM and FFT-OFDM by considering
different modulation techniques over an AWGN channel [9].
II. OFDM SYSTEM- SIMULATION FLOWCHART
In this paper, OFDM system is implemented using
MATLAB simulation, where each block of OFDM is
simulated in scripts file. Figure 1 shows the block diagram of
the OFDM. DCT-OFDM is obtained by replacing IFFT at
transmitter and FFT at receiver by IDCT and DCT
respectively. We have considered two different modulation
family (M-PSK & M-QAM) and two different transform
techniques (FFT & DCT) for comparing BER performance.
We have changed the constellation index (M) in the
modulation block; modulation block is simulated using
modem.psk (M) and modem.qam (M). The following OFDM
system parameters are considered for the simulation:

Lalchandra Patidar is with the Department of Electronics and

Communication Engineering, MIT Mandsaur, SH-31 Rewas Dewda bypass
Road, Mandsaur (M.P.)-458001, India (e-mail: patidarl.c.10@gmail.com).
Rakesh Patidar, Lokesh Saroya, and Nitin Pawar are with the
Department of Electrical and Electronics Engineering, MIT Mandsaur, SH-31
Rewas Dewda bypass Road ,Mandsaur (M.P.) - 458001, India (e-mail:
rpatidar20@gmail.com,
lokesh.saroya06@gmail.com,
and
pawarnitin12@gmail.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

942

Data mapping
IFFT and FFT Size
IDCT and DCT Size
Channel Used
No. Of data sub carrier
Data symbol duration (Td)
Cyclic prefix duration (Tcp)

Data In

Modulation

: M-PSK and M-QAM

: 64-point
: 64-point
: AWGN
: 52
: 64
: 16

S/P

IFFT/IDCT

AWGN Channel

Data
Out

FFT/DCT
Demodulation

P/S

Fig.1. OFDM System flowchart

III. OFDM SYSTEM- TRANSFORM TECHNIQUES

A. FFT-Based OFDM
In OFDM systems, digital modulation and demodulations
can be realized with the inverse FFT (IFFT) and FFT,
respectively [2]. OFDM employs Ns separate subcarrier to
transmit data instead of one main carrier. Input data is grouped
in to a block of N bits, where N = Ns mn and mn is the
number of bits used to represent a symbol for each subcarrier.
In order to maintain orthogonality between the subcarriers,
they are required to be spaced apart by an integer multiple of
the subcarrier symbol rate Rs. The subcarrier symbol rate is
related to overall coded bit rate Rc of the entire system by Rs =
Rc/N. The output signal of an OFDM can be written as:

This signal is set is two dimensional. So, PSK waveforms

be represented by a linear combination of two basis functions
1 (t) and 2 (t).
In general, M-PSK schemes are more spectrally efficient.
As we go on increasing the number M, the consumption of the
spectrum reduces. M is related to the power of 2 values: 8, 16,
32, 64, and so on. In 8-PSK 3 bits/symbol are read together to
be mapped into phases. As there are 8 combinations of 3 bits,
eight points will be created on the constellation and so on. The
constellation diagram of M-PSK is shown in figure2.

Where Ck are the complex representations of the subcarrier

symbols and Ts is the symbol period.
B. DCT-Based OFDM
The complex exponential function set is not the only
orthogonal basis that can be used to construct baseband
multicarrier signals. A single set of cosinusoidal functions can
be used as an orthogonal basis to implement the Multi-Carrier
Modulation (MCM) scheme, and this scheme can be
synthesized using a discrete cosine transform (DCT) [2].
Hence, we will denote the scheme as DCT-OFDM. The output
signal of a DCT based OFDM system can be written

Where d0, d1.dN-1 are Ns independent data symbols obtained

from a modulation constellation, and

(a)

(b)

Fig.2. Constellation diagrams of (a) BPSK (b) QPSK

B. M-array Quadrature Amplitude Modulation ( M-QAM)

ASK is also combined with PSK to create hybrid systems
such as amplitude and phase shift keying or Quadrature
Amplitude Modulation (QAM) where both the amplitude and
the phase are changed at the same time. QAM is a modulation
scheme which conveys data by changing (modulating) the
amplitude of two carrier waves. These two waves, usually
sinusoids, are out of phase with each other by 90 and are thus
called Quadrature carriershence the name of the scheme [6,
7].
As for many digital modulation schemes, the constellation
diagram is a useful representation. In QAM, the constellation
points are usually arranged in a square grid with equal vertical
and horizontal spacing, although other configurations are
possible. Since in digital telecommunications the data is
usually binary, the number of points in the grid is usually a
power of 2 (2, 4, 8...). Since QAM is usually square, some of
these are rarethe most common forms are 16-QAM, 64QAM, 128-QAM and 256-QAM as shown in Figure 3.

IV. OFDM SYSTEM- MODULATIONS

A. M-array Phase Shift Keying (M-PSK)
In general, M-PSK waveform is represented by

Where m = 1, 2,.., M denotes the M possible phase of the

carrier
corresponding to M possible data symbols
represented by
or
and f(t) is a real valued
pulse waveform (normally rectangular). All the M different
waveforms have the same energy
Where Ef(t) denotes the energy of basic pulse.

943

Fig.3. Constellation diagrams of 4-QAM

V. SIMULATION RESULTS
A. BER performance of FFT-OFDM using different
modulation techniques

Fig.7. BER curve of FFT-OFDM using 4-QAM modulation in AWGN

environment
Fig.4. BER curve of FFT-OFDM using QPSK modulation in AWGN
environment

Fig.8. BER comparison of FFT-OFDM using different modulations in

AWGN environment

Fig.5. BER curve of FFT-OFDM using 16-PSK modulation in AWGN

environment

Discussion:
From the above results of FFT-OFDM for different
modulation techniques over AWGN channel, it is observed
that BER shift in case of QPSK is 0.0601dB, 0.2248 in 16PSK, 0.0747 in 4-QAM & 0.0977 in 16-QAM when compared
to ideal or theoretical BER in each case individually. Hence it
can be considered that FFT-OFDM over AWGN channel will
give better BER performance when M-QAM is used as
modulation as compared to M-PSK. Proceeding further now, I
will consider all this modulations in DCT-OFDM in the same
environment (AWGN) and will check which modulation is
better to use.

Fig.6. BER curve of FFT-OFDM using 4-QAM modulation in AWGN

environment

944

B. BER performance of DCT-OFDM using different

modulation techniques

Fig.9. BER curves of DCT-OFDM using QPSK modulations in AWGN

environment

Fig.12. BER curves of DCT-OFDM using 16-QAM modulations in

AWGN environment

Fig.10. BER curves of DCT-OFDM using 16-PSK modulations in

AWGN environment

Fig.13. BER comparisons of DCT-OFDM using different modulations

in AWGN environment

Discussion:
From the above results of DCT-OFDM for different
modulation techniques over AWGN channel, it is observed
that BER shift in case of QPSK is 0.0131dB, 0.2200 in 16PSK, 0.0737 in 4-QAM & 0.0977 in 16-QAM when compared
to ideal or theoretical BER in each case individually. Hence it
can be considered that DCT-OFDM over AWGN channel will
give better BER performance when M-QAM is used as
modulation as compared to M-PSK.

Fig.11. BER curves of DCT-OFDM using 4-QAM modulations in

AWGN environment

945

modulation schemes available and extending this other

communication channels such as Multipath Rician fading
channel, Binary Symmetric channel can be considered.

C. BER performance comparison of FFT-OFDM and DCTOFDM using different modulation techniques

REFERENCES
[1]

[2]

[3]

[4]

[5]
Fig.14. BER comparisons of FFT-OFDM and DCT-OFDM using
different modulations in AWGN environment

[6]

7.1.5 Discussion:
From Figure14, a comparison is made between FFT-OFDM
and DCT-OFDM using QPSK, 16-PSK, 4-QAM and 16-QAM
modulations in an AWGN environment, it is observed that MQAM yield less BER shift as compared to M-PSK used in
both FFT-OFDM and DCT-OFDM. It is also observed that the
BER shift in DCT-OFDM is less than FFT-OFDM except in
case of 16-QAM modulation. Hence using Discrete Cosine
Transform (DCT) as a transform technique in OFDM yields
better BER performance as compared to using Discrete
Fourier Transform (FFT). Hence it can be considered that
DCT is better than FFT as a transform in OFDM. Till now we
have seen that:
for higher constellation index like M=4, 8, 16 and
so on M-QAM yields better BER performance as
compared to M-PSK and
DCT is better than FFT as a transform technique
in OFDM in an AWGN environment.

[7]
[8]

[9]

VI. CONCLUSIONS
In this paper, the bit error rate (BER) performance of
FFT/DCT-based OFDM is compared using M-PSK and MQAM as a modulation technique over AWGN channel. From
the simulation results following conclusion can be drawn:
1. DCT-Based OFDM performance is better than FFTBased OFDM system.
2. M-QAM as a modulation in OFDM yields less simulated
BER shift as compared to theoretical BER over M-PSK.
VII.
FUTURE STUDY
Further study on wireless LAN that using OFDM as the
platform. More research can be carried out on realizing the
application of OFDM in the future wireless communications.
It would be possible to simulate DWT-OFDM for all possible

946

Peng Tan and Norman C. Beaulieu, A Comparison of DCT-Based

OFDM and FFT-Based OFDM in Frequency Offset and Fading
Channels, IEEE Trans. Commun., Vol. 54, no. 11, pp. 2113-2125,
Nov. 2006.
Deepak Gupta, Vipin B. Vts and Kamal K. Garg, Performance
Analysis of FFT-OFDM, DCT-OFDM and DWT-OFDM System in
AWGN Channel, The Fouth International Conference on Wireless and
Mobile Communication, pp. 214-216, 2008.
Jigisha N. Patel and Upena D. Dalal, A Comparative Performance
Analysis of OFDM using MATLAB Simulation with M-PSK and MQAM Mapping, International Conference on Computational
Intelligence and Multimedia Application, pp. 406-410, 2007.
Orlandos Grigoriadis and H. Srikanth Kamath, Ber Calculation Using
Matlab Simulation For Ofdm Transmission, Proceedings of the
International MultiConference of Engineers and Computer Scientists
2008, Vol II, 19-21 March, 2008, Hong Kong.
Khaizuran Abdullah and Zahir M. Hussain, SMIEEE Studies on
DWT-OFDM and FFT-OFDM Systems, INTERNATIONAL
CONFERENCE ON COMMUNICATION, COMPUTER AND
POWER (ICCCP09) MUSCAT, FEBRUARY 15-18, 2009
Haitham J. Taha and M. F. M. Salleh, Performance Comparison of
Wavelet Packet Transform (WPT) and FFTOFDM System Based on
QAM Modulation Parameters in Fading Channels, WSEAS
TRANSACTIONS on COMMUNICATIONS, ISSN: 1109-2742 453,
Issue 8, Volume 9, pp. 453-462, August 2010.
R.P Singh and S.D. Sapre, Communication System, Second Edition,
TMH Publishing 2007.
Sanjeev Kumar, Swati Sharma, Error Probability of Different
Modulation Schemes for OFDM based WLAN standard IEEE
802.11a, International Journal of Engineering (IJE), Volume: 4, Issue:
4 pp. 262-267.
Sanjeev Kumar, Swati Sharma, BER Performance Evaluation of FFTOFDM and DWT-OFDM, International journal of network and
mobile technology, volume 2, Issue 2, pp. 110-116, May 2011.

Performance of Dstatcom Using SRF and

Energy Based Control Strategy for Power
Quality Improvement
SAKSHI BANGIA, DR. P.R. SHARMA, DR. MANEESHA GARG

load balancing can be achieved.

Abstract-- This paper deals with the compensation of reactive
power ,the power factor correction along with elimination of
harmonic currents, and voltage regulation using DSATCOM .The
unbalanced and non-linear load affects the quality of source
current to a large extent. Even any change, sudden increase or
decrease in load would result in the decrease or increase of the
capacitor voltage respectively. The proposed strategy explains the
performance of dstatcom, based on the concept of energy in order
to reduce the transient time of dc voltage controller along with the
compensation of reactive power for voltage regulation and unity
power factor, load balancing, elimination of harmonics currents.
The present approach is validated through simulations using
MATLAB software with its Simulink and Power System Block set
(PSB) toolboxes.
Index Terms- Active Power Filter, Dstatcom, Harmonic
elimination, power factor correction, and power quality.

The DSTATCOM consists of a current-controlled voltagesource inverter (VSI) which injects current at the PCC through
the interface inductor. The operation of VSI is supported by a
dc storage capacitor with proper dc voltage across it. A Statcom
at the transmission level handles only fundamental reactive
power and voltage support while as a Dstatcom is employed at
the distribution level or at the load end for power factor
improvement and voltage regulation. Additionally, a Dstatcom
also behave as a shunt active filter to eliminate unbalance or
distortion in the source current as per IEEE-519 standard
limits. Since Dstatcom is such a multi-functional device, the
mail objective of any control algorithm should be to make it
flexible and easy to implement in addition to exploiting its
multi functionality to the maximum [2, 3].

I. INTRODUCTION

II. PRINCIPLE OF OPERATION

HE The wide use of power devices based on semi-conductor

switches in power electronic applications (diode and
thyristor rectifiers, electronic starters, UPS and HVDC systems,
arc furnaces, etc) induces the appearance of the dangerous
phenomenon of harmonic currents flow in the electrical feeder
networks, producing distortions in the current /voltage
waveforms [1] In order to overcome the problems such as the
ones mentioned above, the concept of custom power devices is
introduced recently; custom power is a strategy, which is
designed primarily to meet the requirements of industrial
and commercial customer The shunt-connected custom power
device, called the Distribution Static Compensator
(DSTATCOM), injects current the point of common coupling
(PCC) so that harmonic ltering, power factor correction, and

Figure 1 shows schematic diagram of system and Dstatcom.

The DSTATCOM is a variable current source, connected in
shunt at the Point of Common Coupling (PCC) as shown in
Fig. 1. It is realized by connecting a VSC to the PCC through
coupling transformer. The VSC dc bus voltage is held by the
capacitor Cdc. The inductor (Ls) corresponds to line inductance
and the resistor (Rs) corresponds to the effective resistance of
the line. Since there are no energy sources or sinks attached to
the dc bus, the net real power exchanged by the DSTATCOM
must be zero.

Sakshi Bangia and Dr. P R Sharma is with the Department of Electrical

Engineering, YMCA University of SC. And Technology, Faridabad, Haryana (email: sakshibangia@gmail.com, prsharma1966@gmail.com).
Dr. Maneesha Garg are with the Department of Humanities and Applied
Science , YMCA University of SC. And Technology, Faridabad, Haryana (e-mail:
garg_maneesha@yahoo.com).

978-1-4673-0455-9/12/$31.00 2012 IEEE

947

0
- Rs/Lf
0
0
1/C
-1/C

Fig. 1. System Diagram

The Dstatcom regulates voltage at its terminal by controlling

the amount of reactive power injected into or absorbed from the
power system. When system voltage is low, the Dstatcom
generates reactive power (Dstatcom capacitive). When system
voltage is high, it absorbs reactive power (Dstatcom inductive).
III SYSTEM MODELING
DSTATCOM as a shunt compensator is connected to a
three-phase grid connected system feeding a variety of linear /
non linear loads. The system and compensator may be
represented per phase basis as shown in Fig.2 and expressed in
the form of linear continuous-time system defined by equations
1,2 [6]

B1= [1/Ls 0

0 0] T

0
- Rl/Ll
-1/C

1/Lf
1/Ll
0

] (9)

(10)

B2= [0 -Vdc/Lf 0 0] T
(11)
vs is the supply voltage and u represents the switching
signals, p=d/dt. The output, y represents the compensating
currents if which are expressed as
(12)
Y CX
where C=[ 0 1 0 0]
Three-phase reference supply currents are computed using
three-phase supply voltages and dc bus voltage of the
DSTATCOM. These reference supply currents consist of two
components, one in-phase and another in quadrature with the
supply voltages.
IV CONTROL OF DSTATCOM

Fig. 2 Single phase representation of Dstatcom for modelling.

pX n

Axn ( t )

Yn (t )

Cx n (t )

(1)

Bun (t)

(2)

It is required to calculate the output compensating currents to

track the desired or reference compensating currents. For the
DSTATCOM model, the following equations can be written.
pi sa (Vsa Vca - isa Rs ) / L s
(3)
pila (Vca ila R1 ) / L1

(4)

pi fd (uVdc

(5)

Rc i fd Vcf ) / Lc

(6)

pVc i fc / C fc

(7)

i f i fd i fc

where isa , ila , if , vsa, Rs, Ls, Rl, Ll, vc represent supply
current, load current, compensator current, supply resistance
and inductance, load resistance and inductance and voltage at
PCC.
Choosing the state variables to be
XT= [is if il vcf] and writing the differential equations (3)-(7)
in matrix form, we get
pX AX B1 V s B 2 u
(8)
where,
A= [ - Rs/Ls

There are various control approaches available for the

generation of reference source currents for the control of VSC
of DSTATCOM for three-phase, three-wire system such as
instantaneous reactive power theory (IRPT), synchronous
reference frame theory (SRFT), unity power factor (UPF)
based, instantaneous symmetrical components (ISC) based etc.
[4-5]. The synchronous reference frame theory is used in this
for the control of three-phase three-leg VSC of the
DSTATCOM. A block diagram of the control scheme is shown
in Fig. 4. The load currents (iLa, iLb, iLc), the PCC voltages (vsa,
vsb, vsc) and dc bus voltage (vdc) of DSTATCOM are sensed as
feedback signals. The load currents (i La, iLb, iLc) from the a-b-c
frame are converted to the d-q-o frame as,
The AC voltage control loop is activated for voltage
regulation. The current iq* is output of PI controller, the input
to which is the deviation of the PCC voltage Vpcc as compared
to a reference. The current iq* is put to zero for unity power
factor correction. The DC voltage loop is responsible for
keeping constant DC voltage. The output of this PI controller is
id*, input to which is the deviation of Vdc from Vdc*.The
current id* is responsible for unity power factor correction and
harmonic mitigation operation in DSTATCOM.

-1/Ls

948

Fig. 3 Control scheme for Dstatcom

The hysteresis control is used for tracking control.

Conventionally the dc control loop is given by
Pdc K pdc e K idc edt
(13)
where Kpdc and Kidc are the proportional and integral
gains respectively for the dc control loop , where e the error
between the reference dc voltage and the average dc voltage is
given as
(14)
e (V *dc V dc)
where the dc voltage Vdc is the average of the dc link across
6-pulse-bridge of all the three phases .A new control strategy
based on energy is introduced in this paper. Based on the ability
of capacitor to regulate the voltage under transient condition,
value of capacitor can be determined. The energy required by
the dc capacitor to charge from actual voltage to the reference
value can be computed as
2
2
(15)
Wdc 1 Cdc (V dcref
V dc Vdc )
2
Now the total dc power required by the dc-link capacitor is
computed as follows:
2
2
2
2
(16)
Pdc K p e(V dcref
V dc ) K i e (V dcref V dc)
The transient time of energy based PI controller is faster than
conventional PI controller. Design of proportional and integral
gain in the energy based controller can be determined by
solving the equation (13) and (16) by assuming Vdcref +Vdc is
equal to 2Vdcref
A. UNITY POWER FACTOR
The strategy for compensating reactive power compensation
for UPF operation considers that the source must deliver the
mean value of the direct-axis component of the load current
(Id) along with the active power component current for
maintaining the dc bus and meeting the losses in DSTATCOM.
The output of PI (proportional-integral) controller at the dc
bus voltage of DSTATCOM is considered as the current for
meeting its losses.
i K pd (V *dc V dc ) K id (V *dc V dc )
(17)
Kpd and Kid are the proportional and the integral gains of the
dc bus voltage PI controller.
The reference d-axis source current is therefore given as,
* i
(18)
id
id
The reference source currents (isa*,isb*,isc*) must be in
phase with the voltage at the PCC but with no zero-sequence
component. Hence we can conclude that ratio of gains of

proportional to integral controller is many times larger in case

of new scheme introduced here[7].
B. VOLTAGE REGULATION
For Voltage Regulation operation the source must deliver the
direct axis component, id* as mentioned above along with the
sum of quadrature axis current (iq) and the component obtained
from the PI controller (iqr) used for regulating the voltage at
PCC. The amplitude of ac terminal voltage (VS) at the PCC is
controlled to its reference voltage (Vs*) using the PI controller.
The output of PI controller is considered as the reactive
component of current (iqr) for zero voltage regulation of ac
voltage at PCC. The amplitude of AC voltage (Vs) at PCC is
calculated from the ac voltages.
*
*
(19)
i qr K pq (V s V s ) K iq (V q V s )
Kpq and Kiq are the proportional and the integral gains of
the AC voltage PI controller. The reference q-axis source
current is as,
*
(20)
i q i q i qr
The reference source currents in abc reference frame
(isa*,isb*,isc*) from the dq0frame (id*,iq*,i0*) is obtained by
reverse Parks transformation
C. HYSTERESIS CONTROLLER
The Dstatcom is comprised of three IGBT bridges each fed
from an input transformer to allow independent current control.
The upper device in left-leg and the lower device in rightleg or the upper device in right-leg and the lower device in
left-leg are switched simultaneously. The switching logic for
phase-a is formulated as follows:
If ica <(ica*-hb) upper switch is OFF and lower switch is ON
in the left-leg;
If ica .(ica*+hb) upper switch is ON and lower switch is OFF
in the left-leg
Similarly the switching logic of other two phases (b and c) of
Dstatcom are formulated, using h b the width of hysteresis band
V. MATLAB BASED SIMULATION
The source, rectier fed equivalent resistive load with input
side inductive lter, three phase resistive-inductive load, circuit
breaker and Dstatcom are modelled in MATLAB using Power
System Blockset. The setup used to estimate the performance of
the Dstatcom with proposed control scheme through
simulation. The source block consists of a three-phase voltage
source innite bus with series impedance representing the
relevant short-circuit impedance of the supplying grid to gauge

949

the performance of the Dstatcom with proposed scheme under

specied conditions. The considered loads to evaluate the
effectiveness of the proposed scheme are diode rectier with
inductive lter on source side and star connected resistiveinductive (RL) load connected to ac mains .The rectier fed
load has been modelled as diode rectier with inductive and
resistive load.
The simulated results have been studied to compute the
performance of Dstatcom with reduction in the transit time and
analysis through THD of source and load current. The
parameters are shown in Table I.
TABLE I
PARAMETERS OF CONSIDERED SYSTEM

System Parameters
Supply Voltage
Unbalanced Load

Non-Linear Load

Reference DC voltage
DC capacitor
Hysteresis Band

Values
415 V(L-L),50 Hz
Za=25
Zb= 10, 80e-3H
Zc=10,80e-3H
Three phase full wave
Rectifier drawing 5A
current

absorbs surplus power from the source. Based on the values of

PI controller gains, the capacitor voltage controller will be
brought back to the reference value after a few cycles.
Similarly, when the load is switched back to the full load at
instant 0.8 s, the dc capacitor supplies power to the load
momentarily and, hence, the dc voltage falls below the
reference value. The dc capacitor supplies power to the load
momentarily. Due to the PI controller action, the capacitor
voltage will gradually build up and reach its reference value.
It can be observed from Fig. 4 the conventional voltage
controller takes about a 0.012 to reach the reference voltage
during load transient whereas the energy based controller
brings the dc voltage to its reference value at 0.007s .The rise
in voltage of conventional voltage controller is same as that for
energy based controller. The response time of energy based PI
controller is faster than conventional PI controller. Owing to its
good transient performance, it is preferred over the
conventional dc voltage controller.

750 V
2200F
0.1A

VI SIMULATION STUDIES
The proposed control scheme for Unity Power Factor,
Voltage Regulation, and Reduction in the transit time of
Dstatcom is simulated in MATLAB Environment. The ripple
filter is connected to the DSTATCOM for filtering the ripple in
the PCC voltage. The control algorithm for the DSTATCOM
shown in Fig. 3 is also modelled in MATLAB. The reference
source currents are derived from the sensed PCC voltages (vsa,
vsb, vsc.), load currents (iLa, iLb, iLc) and the dc bus voltage of
DSTATCOM (vdc). A Hysteresis current controller is used over
the reference (isa*,isb*,isc*) and sensed (isa, isb, isc) source
currents to generate the gating signals for the IGBTs of the
VSC of the DSTATCOM.
A. Transient Performance of Dstatcom using Energy based
controller.
The transient performance of the DSTATCOM under linear
lagging power factor unbalanced load condition is studied by
making sudden changes in the ac load supplied by the ac load
bus as well as the dc load supplied by the dc capacitor . In the
simulation study, the load is halved at the instant t= 0.4 s and
brought back to full load at t=0.8 s.
There is an increase in capacitor voltage above the reference
value due to sudden reduction in the load. Hence the capacitor

Fig. 4 Transient performance of the conventional controller energy based

compensator

B. Performance of DSTATCOM with unbalanced NonLinear Load for UPF Operation

The source currents are unbalanced and non-sinusoidal. The
source voltages, source currents, load voltage, load, dc bus
voltage and compensator currents are depicted in Fig. 5. It is
also observed that the dc bus voltage of DSTATCOM is able
to maintain the reference value of 750V. It is shown that
source voltage, source current, and load voltage are clearly in
phase proving for unity power factor correction. This can be
implemented by no reactive power and no zero sequence
current.

950

supplied from an uncompensated system and that from a

compensated is as shown in Fig 9

Fig. 7 FFT Analysis of source current without Dstatcom

Fig. 5 Performance of DSTATCOM with unbalanced Non- Linear Load

UPF Operation

C .Performance of DSTATCOM with unbalanced NonLinear Load for Reactive Power Compensation and Harmonic
Compensation.
The dynamic performance of non-linear unbalanced load
condition is implemented for Reactive Power Compensation
and Harmonic Reduction. The source voltage, source current,
load voltage, load current are shown in Fig 6.The source
currents are observed as balanced.

Fig. 8 FFT Analysis of source current with Dstatcom

Fig. 9 Performance of DSTATCOM with unbalanced Non- Linear Load for

Reactive Power Compensation

Fig. 6 Performance of DSTATCOM with unbalanced Non- Linear Load

for Harmonic compensation

Without Dstatcom connected to the system, source current

distortion is 16.13% whereas using the Dstatcom SRF control
strategy, harmonics in source current are reduced to 3.62%.Fig
7 and 8 shows the FFT analysis of source current without and
with Dstatcom. Also the variation between Reactive Power

D. Performance
of
DSTATCOM
with unbalanced
Non- Linear Load for Voltage Regulation
The performance of non-linear unbalanced load condition is
implemented for Voltage Regulation. At t = 0.4 s, the source
voltage is decreased by 0.2 p.u The D-STATCOM must
generate reactive power to maintain a 1 pu voltage. AC voltage
control loop in the SRF control strategy is responsible for
maintaining the load voltage for compensated system. At t=0.8
s source voltage is again back to 1 p.u. The dynamic
performance showing source voltage source current, load
voltage, load current capacitor voltage and Dstatcom current
are shown in Fig. 10

951

Fig. 10 Performance of DSTATCOM with unbalanced Non- Linear Load

for voltage sag from t=0.4s to t=0.8s.

As it can be observed from the Figure 11 that source voltage

and currents are sinusoidal and balanced for compensated
system. At the instant t=0.4 s when source voltage swell by 0.2
p.u. current becomes high. But due to Dstatcom distortion in
source voltage varies from 3.62% to 4.6% which is still under
the IEEE -519 limits of less than 5%. The amplitude of source
voltage is maintained at the reference value of 1 p.u which is
clearly shown in Fig 11. Also the variation between Reactive
Power supplied from an uncompensated system and that from a
compensated for voltage regulation mode is as shown in Fig 12

Fig. 12 Comparison of reactive power compensation

Improvement of power quality has become an important

scenario in recent years. This paper has proposed the
development of DSTATCOM for power quality improvement of
3 phase 3 wire distribution system. Thus the transient time has
been greatly reduced in energy based controller making a better
control strategy for Dstatcom. Simulation results with
MATLAB show that DSTATCOM has very quick response
time and accurate compensation effect
Fig. 11 Comparison of Source Voltage after and before Voltage
Regulation mode

[5] Mara Isabel Milans, Enrique Romero Cadaval and Fermn Barrero
Gonzlez, Comparison of Control Strategies for Shunt Active Power Filters
in Three-Phase Four-Wire Systems, IEEE Trans. on Power Electronics,
vol. 22, no. 1, pp.229-236, Jan. 2007.
[6] Sakshi Bangia,Dr P R Sharma,Dr. Maneesha Garg,Energy based
control strategy for reduction in the response time of DstatcomWseas
Transaction on Power System ,issue 4,vol 6 oct.2011.

VIII REFERENCES
[1] J. King Saud Univ., Vol. 18, Eng. Sci. (2), pp. 231-247, Riyadh
(1426H./2005) Shunt Active Filter Controlled by Fuzzy Logic .
[2]
J.Nastran,R Cajhen,M Seliger,P Jereb,Active Power Filter for
nonlinear AC loads,IEEE Trans Power Electronics, vol 9 ,No. 1 pp 92-96
Jan 1994.
[3]
S.K.Jain,PAggarwal,H.O.Gupta ,,Design and simulation &
Experimental Investigation on a Shunt Active Power Filter foe Harmonics
and Reactive Power Compensation,Electric Power Component and
System,31:671-692,2003
[4] M.C. Benhabib and S. Saadate, New control approach for four-wire
active power filter based on the use of synchronous reference frame, Electric
Power Systems Research, vol. 73,no. 3, pp. 353-362, Mar 2005.

[7] A. Ghosh and A. Joshi, A new approach to load balancing and

powerfactor correction in power distribution system, IEEE Trans. Power
Del., vol. 15, no. 1, pp. 417422, Jan. 2000.

952

[10] M.G.Molina and P.E.Mercado, Control Design and Simulation of

DSTATCOM with Energy Storage for Power Quality Improvements, in
Proc. of TDC 06, Aug 2006, pp. 1-7.
[11] L. Gyugyi and E. C. Strycula, Active AC power lter, in Proc.
IEEEIAS Annu. Meeting, 1976, pp. 529529.
[12] H. Akagi, Y. Kanazawa, and A. Nabae, Generalized theory of the instantaneous reactive power in three-phase circuits, in Proc. IEEE andJIEE
IPEC, 1983, pp. 821827

[8] Bhim Singh, Jayaprakash Pychadathil,Dwarkadas Pralhaddas Kothari

Star/Hexagon Transformer Based Three-PhaseFour-Wire DSTATCOM for
Power Quality Improvement, International Journal of Emerging Electric
Power Systems, vol 9 Issue 6 ,2008.
[9]S.K.Jain,PAggarwal,H.O.Gupta
,,Design
and
simulation
&
Experimental Investigation on a Shunt Active Power Filter foe Harmonics
and Reactive Power Compensation,Electric Power Component and
System,31:671-692,2003

953

EMI/EMC Phenomenon in Wireless/Mobile

Communication Networks
Tarkeshwar Mahto#1, Hasmat Malik#2, Y.R. Sood#3, and RK Jarial#4
#

Electrical Engineering Department, NIT Hamirpur (HP)-177005, India

1

tara.mahto@gmail.com, 2hasmat.malik@gmail.com
3
yrsood@gmail.com, 4jarial0@gmail.con

Abstract In modern era, significant strides are being made in

understanding & mitigation of EMI/EMC issues worldwide. It is
pertinent to mention that for successful development of any
communication systems, careful design and performance analysis
of electrical and electronic products is a must for conformity
with prevalent international regulatory bodies for commercial
authenticity of products. The paper presents emerging trends in
field of studies of EMI/EMC issues by ascertaining the impact in
the mobile/wireless communication networks and cover adverse
effects on health and healthcares also. The modern techniques of
EMI measurements have been covered in order to mitigate
EMI/EMC issues related with healthcare and similar aspects for
benefit of end users.
KeywordsEMI/EMC,
Wireless/Mobile,
Network, Health care, Analyzer

and in similar way the immunity level of system determines

whether it is going to be a victim or not.

Communication

I. INTRODUCTION
The wireless/mobile communication and network services
are considered as the subset technology of information age.
Wireless/mobile communication and networks have gained
importance and visibility over last decade and future
technological advancements in this field is unprecedented.
The thrust into wireless/mobile communication continues with
more advanced and compact technologies, but the risks
increase of corrupting the information provided by such
communication services because of various types of
electromagnetic interference (EMI) generated by them itself.
To achieve electromagnetic compatibility (EMC) in
wireless/mobile communication and network systems requires
right signal with sufficient strength for the customer. Such
requirements bring a considerable number of issues both intra
and inter systems EMI related problems for base stations and
between ground stations and mobile units with the networks.
In this paper we will confine ourselves to inter and intra
system along with its health related issues due to EMI/EMC
through wireless/mobile communication and its networks.
Wireless/mobile communication and network includes many
systems that are the sources of EMI and also includes many
systems that become victims. The designing and positioning
of each system play a vital role in characteristic behaviour i.e.
whether a system will behave as a source or as victim or will
play the role of neutral system. Each and every system
generates electromagnetic (EM) waves that may be less or
more in magnitude. The magnitude of the EM waves
determines whether the system is source of interference or not

Fig. 1 Effect of EMI on Human Being

II. EMI/EMC PHENOMENON

Development of IT and electronics industries have made
our life more convenient, at the cost of radio communication
noise, malfunctioning of electronic appliance and increased
risk against human health and health cares which all resulting
from EMI. An electronic system that is able to function
compatibly with other electronic systems and not produce or
be susceptible to interference is said to be electromagnetically
compatible with its environment. A system is
electromagnetically compatible if it satisfies three criteria [1]:
1. It does not cause interference with other systems.
2. It is not susceptible to emissions from other systems.
3. It does not cause interference with itself.
IEC (International Electro technical Commission) is the
most noteworthy organization defining relevant international
standards. IEC aims to promote global understanding and
cooperation in regard to issues relating to development of
international standards governing electric and electronic
technologies. Within IEC, CISPR (International Special
Committee on Radio Interference) takes care of EMI issues. In
similar way the U.S. Congress also has a committee regulating
telecommunication industry, which is FCC (Federal
Communications Commission). FCC look after oversees
telecommunication issues in private sector and regulates that
electromagnetic interference coming from a variety of electric
or electronic appliances may not impact public
telecommunication. There are regulations in this world to
control EMC. These make it illegal to place on the market, or

National Institute of Technology, Hamirpur (HP), India

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954

take into service, the equipments which may create

unacceptable disturbances to others systems.
A system will play the role of source or victim or neutral
system depends on the systems emission and immunity level.
The magnitude of the emission and immunity levels
determines the role of the system in its environment. The
system which is emitting the EM waves of higher magnitude
acts as the sources and the system which is not having enough
immunity to withstand the EM environment becomes the
victim. The system which neither generates, nor gets affected
by the EM waves of higher magnitudes is said to be EMC
system. In order to call a system an EMC system it must have
satisfy conducted (CE-conducted emission; CS-conducted
susceptibility) and radiated (RE- radiated emission; RSradiated susceptibility) levels according to the standards
defined. We aspect all the systems available in the market to
be EMC systems, for the EM pollution free environment,
which is the expected by all the systems and human health.

The coupling of antennas is the major manner through

which electromagnetic interference (EMI) among wireless
systems. Isolation between antennas is a primary parameter
for electromagnetic compatibility (EMC). There are various
techniques through which we can calculate the isolation
between two different antennas, which are mounted very close
to each other or mounted in a same big system. The isolation
is the primary index that represents interference between
antennas. The distance between antennas mounted in a big
system are always mounted far and there working frequency is
higher so that the interference between them is viewed as farfield interference [2].
In this communication we are basically focusing in mobile
phones, which have seen a great deal of evolution in last
decade, but this evolution also brings there EMI effect into the
picture. As the mobile phones become smaller and smaller
with the evolution there complexities in processers got
increase which increases the EMI level.

Fig.5: Evolution of mobile phone terminals

Fig. 2: classification of EMC

III. WIRELESS/ MOBILE COMMUNICATION NETWORK

Wireless/mobile communication is the transfer of
information between two or more points that are not
physically connected. Distances can be short, such as a few
meters for television remote control, or as far as thousands or
even millions of kilometres for deep-space radio
communications. It encompasses various types of fixed,
mobile, and portable two-way radios, cellular telephones,
personal digital assistants, and wireless networking. Other
examples of wireless technology include GPS units, garage
doors, wireless computer mice, keyboards and Headset
(telephone/computer), headphones, radio receivers, satellite
television, broadcast television and cordless telephones. It
permits services, such as long range communications, that are
impossible or impractical to implement with the use of wires.
The term is commonly used in the telecommunications
industry to refer to telecommunications systems which use
some form of energy (e.g. EM waves) to transfer information
without the use of wires. Information is transferred in this
manner over both short and long distances. As the distance
and the complexities in the process increases the level of EM
waves produced as increases and which ultimately leads to
EMI.

IV. EMI DISORDERS IN WIRELESS/MOBILE

COMMUNICATION
EM waves are generated by almost each and every
electrical and electronic system. If the generation level of EM
waves is above the permissible level in any system, then the
system has the capability of creating interference which is
termed as EMI. The disturbances, malfunctioning, damage,
decrease in life of other systems, and also affects the health of
the human being are some disorders which are supported by
the EMI In order to understand the EMI problems we have
gone through numbers of research paper which talk about the
disorders in wireless/mobile communication systems due to
EMI.
As per the standard CISPR 16 guideline, a mobile handset
has been tested with induction motor (IM) in OFF and ON
state, which is in its vicinity, shown in fig 3(a) and fig 3(b)
respectively. Fig 3(b) shows the effect of generated EMI by an
induction motor. Here we can clearly see that the mobile
phone is unable to withstand the EM waves produced by the
IM during its operation period, and which ultimately degrades
the performance of the mobile phone. Similarly there are
many such situations where we can very easily see the
malfunctioning due to EMI.

978-1-4673-0455-9/12/$31.00 2012 IEEE

955

induced on the dipole elements are of large magnitude enough

for the degradation and disruption of the transmission
information [23].
Problem
false
alarm
communication
interruption

and

tower undergoing direct

lightning strike

remedy
power
supply isolation,
earthed
also
and
the
improved complex EMI filter
and shielding
Proper lightning arrester
arrangements for towers

Table 1: EMI issues in wireless/ mobile with their probable remedy/

recommendation due to its vicinity systems.

V. EMI DISORDER DUE TO MOBILE/WIRELESS

COMMUNICATION
The number of mobile/wireless equipments has increased
tremendously which enhance harmful interference to the other
system and people exposed to these radiation effects. Mobile
phones are always generation EM waves, which cause
malfunctioning of sensitive equipments when they come in its
vicinity. As an example we have shown in fig. 4, an old ECG
equipment EM behaviour with a communicating mobile
phone in its vicinity.

Fig. 3 (a): EMI Analyzer plot of mobile with IM in OFF state

Fig. 3 (b): EMI Analyzer plot of mobile with IM in ON state.

In the coalmines motors are main underground

conveyance equipments, but they are the strong
electromagnetic interference sources, which sometimes leads
to the false alarm of monitoring systems and mobile
communication interruption. To resolve these problems the
interference generation mechanism and distribution
characteristic are analyzed. In most cases conducted
interference, stray current and radiated interference are the
main factors of monitor and mobile communication
malfunction. The anti-interference measures are taken to
overcome EMI problems, which included the power supply
isolation, earthed also and the improved complex EMI filter
and shielding for radiated interference. Results indicate
monitor system false alarm and mobile communication
interruption have been eliminated completely [3].
Electronic devices in telecommunication systems and
power systems has increased the interest in transients, in
particular those caused by lightning (direct and/or indirect)
strokes. Lightning over-voltage, causing unpredictable and
accidental interruption in these systems, is a very important
factor also in telecommunication systems and transmission
lines. EMI analysis of a GSM tower undergoing direct
lightning strike for the lightning transient were studied and
found that the near field points for field current and voltage

Fig. 4: Generated EMI in 5 years aged Mobile hand set

Therefore efficient mitigation techniques are required to

reduce EM pollution or interference which in lieu improves
radio communication performances also. The level of EM
waves from base stations affects people significantly less than
from headsets due to the separation distances and far field
propagation conditions. With the advancement in technology
and
semiconductor
devices
the
wireless/mobile
communication systems are getting cheaper and smaller in
size day by day. So the problems are also increasing with the
advancement of technology. Here we have tried to present the
EMI problems which arise due mobile/wireless devices and
mitigation techniques for enhancing performances.
Monopole and Radiation-Coupled Dual-L antenna
(RCDLA) were analyzed for personal communications at the
GSM frequency of 900 MHz. Special attentions are given to a
user wearing glasses; the eddy currents in the glass frame
induce EM fields in the eye area which is the very sensible
area in the human. It is found that 44% of the power delivered

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956

to the monopole is absorbed by the user, compared to only

20% for the RCDLA and also RCDLA doesnt have sticking
out as of monopole as well as in terms of EM compatibility.
For a transmitted power of 1W the monopole is reaching the
safety standard but RCDLA reaches less than 50% of this
standard for the same transmitted power. [5].
The human safety aspect and E-field distribution due to the
mobile phone radiation inside metallic enclosure has been
studied by finite difference time-domain (FDTD) method.
Studies say that the E-field inside human head that located
extremely close to the mobile phone would not be changed
greatly inside metallic enclosure. The induced E-field away
from the mobile phone is increased by a maximum of 11.4dB
compared to free space situation. The E-field exposure of
other people standing near the one using mobile phone would
be increased in a great extend and it will decreased if the
number of people increases due to more RF energy absorption
from human dielectric. For different position of using mobile
phone, the induced E-field inside of mobile phone user would
be increased by 34%. Maximum induced E-field inside human
head is observed at /4 and 7/4 [7].
The coupling mechanisms on a mobile phone PCB with
different shielding configurations has been studied with
FDTD. The effect of the shielding on the coupling between
the traffic traces and the victim trace on a commercial mobile
phone PCB was studied. The simulation study of the
commercial PCB informations that the shielding may
significantly influence the coupling behaviour and level
between the traffic traces and the victim trace [8].
EM coupling from multi-gigabit serial links used for
display and camera data transmission in mobile device to
positioning and cellular wireless communication receivers
depends mainly on common-mode content of serial link signal,
and on common-mode coupling strength between the serial
link interconnection and cellular receiver antenna.
Transmitting and receiving antenna for communication is
typically located in proximity to display or camera
interconnections. Coupling from interconnection to antenna
happens unavoidably. Strength of disturbing coupling depends
strongly on geometrical symmetry of the differential serial
link wires to the antenna. In gigabit serial links low pass filters
with discrete ferrites and capacitors cannot be used [9].
Mobile usage duration has got a significant effect on the
power control in mobile cellular networks. Long-time
operation (transmitting and receiving) of the wireless
hardware cause the wearing-out of radio elements. The
operation of worn-out radio elements introduces power
control errors and this degrades the performance. Hence the
interference cause compels a handset to violate the EMC
regulations. To minimize the power control problems,
wireless users should play a role in enabling their handsets not
to violate EMC regulations. Secondly, the wireless hardware
electronic components manufacturers should also play a role
in this regard. Devices with more than three years of longtime usage duration bring more power control problems in the
mobile cellular networks, such as interference and this violate

the EMC regulations, thereby degrading the quality of the

mobile cellular services [10].
The density of transmitters for wireless/mobile continues to
increase with the increase in the users; there is a greater risk of
EMI problems due to the ensemble EM field from multiple
mobile handsets. IT networks may be particularly at risk since
they can act as efficient distributed receivers of RF radiation.
Detection of EMI from wireless/mobiles has been used to
quantify the level of EMI on Ethernet cables from multiple
global systems for global communications [11].
Various test studies show the importance of subjecting
audio and in-cabin modules to pulse modulated radiated
immunity test. The test studies described potential EMI issues.
Pulse modulated radiated immunity testing at the module level,
in the 800-1000 MHz and 1800-2000 MHz frequency ranges
is necessary to find potential RF compatibility issues before
they reach the vehicle. Test studies describe personal
communications technologies, with power levels of 0.7 watts
and greater, created compatibility and interference issues
consistent with issues seen in the vehicle and power levels of
0.1 watts and less represent a low risk threat [12].
In hospitals restrictions on the use of wireless/mobile are
common after reports of malfunctions in medical devices
because of EMI from mobiles. EMI to critical care medical
devices has been reported by various groups. With regards to
GSM phones, we studied a decrease in the rate of failure
(from 58% to 30%) after 2005. From our studies, the use of
Wi-Fi does not pose a real risk to infusion systems. Modern
studies confirm that the real risk from Wi-Fi terminal is very
low but particular restrictions need to be applied in critical
care systems [13].
Systems emitting EM wave close to humans has
engendered the need to estimate the power deposited in
biological tissues located in the vicinity of the radiation
sources. The power absorption not only limits the strength of
the radiated signal because of possible health hazards, but
affects the radiation pattern of the antenna as well. Most
countries have established the standards, based on the use of
SAR (Specific Absorption Rate) that regulates the EM
emission and exposure of electronic systems. Studies of a
mobile near a head show that the maximum power is
deposited mainly in the superficial structure of the head close
to the ear [14].
EMI on giant magneto-resistive (GMR) heads and test
equipment has been studied. Three types of cell phones
(AMPS, TDMA and CDMA) did not cause magnetic or
resistance change damage to the GMR heads, such as that
caused by nearby ESD events, ESD-induced spark can
damage GMR heads It was also found that EMI from a
TDMA cell phone caused errors in a spin stand tester that
could disrupt the test process and create yield losses in
production. It is completely safe to operate a mobile phone in
the environment where GMR heads are handled. EMI caused
by the mobile phones cause errors in test equipment that
disrupted the test process. [15].
Additional PCB for isolating camera module from mobile
handset for the purpose of testing EMI emission from camera

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957

module has been studied. All layers of the PCB board ware
grounded to ensure all the EMI emitted from the handset itself
to be eradicated. The EMI test for both cases (Parallel and
serial) ware studied while camera is normally operating by
rotating the test PCB four different directions. It is verified
that serial case shows better overall system performance. For
the case of parallel, the noise components are different in each
direction and the low-frequency band noise is relatively high.
The EMI may cause serious effect on sensitivity while making
a call. It affects the radio sensitivity and it works as a noise
while calling [16].
Space diversity using an auxiliary antenna and efficient
space separation methods for solving it has been studied. For
small physical dimensions and multifunction headsets recent
Meta Material (MM) antennas are promising. MM antenna
resonance can occur at wavelengths 5 to 10 times longer than
their physical size. MM significantly reduce the required
physical dimensions of wireless headsets confining the
currents to the area near the antenna structure, and increasing
power efficiency. MM antennas can be applied to the efficient
Multi- Input Multi-Output (MIMO) technology, which can
increase the power transmission toward the base station and
reduce it significantly towards the users, which ultimately
reduces the EMI phenomenon to occur and its effects on
human health [17].
Studies have demonstrated that infusion and syringe pumps
are susceptible to false alarm buzzing and block, when
exposed to various EMI sources. The risk of EMI depends on
several factors such as phone emitted power, distance and
carrier frequency. Malfunctions were observed in 4/7 infusion
pumps and 1/4 syringe pumps exposed to mobiles at their
maximum output, for distances as long as 30 cm. The
maximum power not inducing any malfunction even at 0 cm
distance was also determined. The selection of a proper
maximum power class reduces significantly the risk of EMI.
Such functions are built in GSM standard and are the feasible
solutions to the EMI problem in hospitals [18].
The packet-loss probability in the Bluetooth transmissions
impaired by EMI from the 3rd harmonic of 800 MHz mobile
phoned. The mode of possible interaction between EMI from
the 3rd harmonic of 800 MHz mobile phone and Bluetooth
transmissions were investigated. EMI emerges from 2.45 GHz
and its spectral emission characteristics coincide with the
hopped frequencies of CDMA transmissions of the Bluetooth
communications. Beside Bluetooth technology, other wireless
communications systems operating in 2.4 GHz such as
wireless LAN may also be prone to interference due to the 3rd
harmonic of 800 MHz mobile phone. Co-existence of the
Bluetooth and the wireless LAN may pose as interference
sources to each other [19].
Transmitting devices such as phones in close proximity to
data cables is a potential source of interference in data systems.
Common mode currents are induced onto the cables and EMI
is generated when common to differential mode conversion
takes place allowing the induced energy to penetrate the
system. The process is enhanced when an ensemble of mobile
phones sharing a common time slot where multiple operators

are present. The occurrence of the levels of interference is

unlikely to be a major cause of static failure in digital systems
[20].
Mobile phones radiation emission measurements has been
studied when the mobiles are in standby, receive, and
transmitting mode based on the CISPR and EMC standards. It
is found that the radiated emission is 65% higher during
transmission rather than on standby. It is also found that
radiation does not only come from the antenna, a bulk of
radiation comes from the transmitter. Radiation is highest
when a call is made rather than received. Radiation from the
phone with the external antenna can be further reduced using
EMI radiation filter [21].
Smart Grid is the combination of the integration of
information technologies (IT), smart devices and advanced
communication technologies with power grids which some
time can lead to EM interference (EMI) issues. The
communication infrastructure is the foundation for smart
devices. The existing emissions requirements for wireless
communications
equipment
for
telecommunication
deployment are sufficient for Smart Grid applications, but not
for power apparatus which are designed for traditional utility
environment. The IEC RF radiated and conducted immunity
requirements for power system apparatus need to be updated
to ensure their safe and reliable operations under the
disturbances from wireless communications equipment in the
Smart Grid [22].
The Medical Devices Bureau has studied the effects of EMI
on different types of monitoring and therapeutic medical
equipment. Seven of the eight devices tested did not meet the
requirements of Severity Level 3 and Six out of eight failed to
meet Severity Level 2 as prescribed by IEC standard for
medical electrical equipment. Therefore, it has been strongly
recommended that use wireless/mobile devices should be
limited in hospitals and should not be used in intensive care
units, operating theatres, and patient rooms where critical care
medical equipment is in use. As well, patients using medical
equipment at home should be cautioned about possible
hazards from the use of portable telecommunication devices
[6].
Above discussed issues of EMI which occurs due to
wireless/mobile along with probable remedy or
recommendation to overcome the problem has been presented
in the tabular form.
Problem
Remedy/ Recommendations
Large amount of EM power Use of fiber frame glass
is being observed by the instead of metal frames.
mobile users wearing metal
frames glass.
Wireless hardware wearing- Replace hardware after ever
out due to RF radio waves three years of their effective
which leads to power control use
in wireless devices.
Power deposited in biological Standards for SAR (Specific
tissues located in the vicinity Absorption Rate) to regulate
of the radiation sources.
the EM emission.
Mobile with camera and its Serial connection of camera

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PCB connected in parallel to

other PCBs affect the radio
sensitivity and it works as a
noise while calling.
Infusion and Syringe pumps
are susceptible to false alarm
buzzing and block
Bluetooth, other wireless
communications
systems
operating in 2.4 GHz are
prone to interference due to
the 3rd harmonic of 800 MHz
mobile phone.
Radiation in Mobile comes
from the antenna and
transmitter.
Smart Grid RF std. are good
for wireless but not enough
for power apparatuses
Damage or Malfunctioning of
medical equipments

and its PCB shows better

overall system performance.

Proper selection of mobile

phones maximum power
class.
Keep the wireless frequency
other than the 2.4 GHz range.

[6]

[7]

[8]

[9]

Proper filtering and shielding

[10]

Smart Grid RF Std. need to

be upgraded for Power
Apparatuses.
Mobile phones should be
restricted from ICU, Labs
and
Operation
Theatres
vicinity.

[11]

[12]

[13]

Table 2: EMI issues due to wireless/ mobile with their probable remedy/
recommendation.

VI. CONCLUSIONS
This paper depicts the EMI disorders in wireless/mobile
communication highlighting its adverse effects on other
systems including the human health and healthcares. Several
methodologies have been explained as proper solution part of
different problems which arise due to EMI from
wireless/mobile communication. Most of the EMI problems
for wireless/mobile communications are generated by
themselves and also the EMI generated by wireless/mobile
also create vulnerability for other systems which are under
their vicinity. It has been emphasized that EMI from
wireless/mobile communication is also a great threat to human
health and healthcares and therefore it is very important to use
mitigation approaches in larger interests of humanity.

[14]

[15]

[16]

[17]

[18]

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A Prominent Approach towards Secure

Software Engineering for Security Practices in
Agile Software Process Model
Prakash Meena1, S. N. Tazi2, A. K. Dubey3
1, 2

M.Tech, Computer Engineering, Govt. Engineering College Ajmer, Rajasthan

Department of Computer Engineering, Govt. Engineering College Ajmer, Rajasthan
1
tech81pra@gmail.com, 2satya.tazi@gmail.com, 3aniludenish@gmail.com

Abstract- The prominent software handles the critical area of

software engineering. It focuses the upcoming problem which
may be defect, fault or thread from different views such as
potential adversaries or internet-aware client applications
running on PCs, to complex telecommunications and power
systems accessible over the Internet, to commodity software with
copy protection mechanisms [1]. Tester must know these threats
and plan to credit the defense at the time of delivery to the
customers.
Requirement of security forces to clout the
complexity of software system at its design phase. To deal such
requirements we used governing methods given by software and
security engineering. However, there is still a critical gap
concerning the integration of the methods of these separate
fields. So there is need of a software development environment
that enables the effects of security features to be mitigated and
controlled the software is being built. Agility provides right
method to develop the security features in the Software
Development. It will help to build such software which has builtin security feature. This paper defines a way to embrace
software security practices when using agile software
development methods.

1.1 Needs of security in software development

Advance age of computer is critically dependent the
application of software systems. Threats from software
security breach could range from the very mild (such as the
defeat of copy protection in a video game) to the disastrous
(such as intrusion into a nuclear power plant control system).
With the advent of the Internet, and increasing reliance on
public packet-switched networks for e-commerce,
telecommuting, etc., the risks from malicious attacks are
increasing [2].

Keywords: Agile Methods, Secure Agile Practice, Secure wheel

model, Secure Software Engineering, SSTM

I.

INTRODUCTION

The main motive of documenting this is to remove

impure data and purify the information existing different
processes, and improve according to standards, life cycle
models, frameworks, and methodologies that support directly
or indirectly secure software development. The target
audience for this document includes software engineer and
researchers who want to integrate security with software
engineering as a practice or process to improve the standard
of software development. The paper is organized in five
sections: first section is for introduction and briefly presents
the needs of integration of security with software
development process and security polices. Section 2, focused
the relationship between agile model and security assurance.
Section 3 covered overall mechanism of the proposed model
and its phases in details. Then elaborate its application and
benefits. Finally conclude the paper and summarize outcomes
and result.

Figure 1: Software Security Layer [3]

Now a days system designer should thought on adversaries.

Concerned security might be provide knowledge for every
phase of software development
Time to time updating in development process and
architecture of software, create new area for security
engineering to applying them. For creating high level of trust
in software tools and processes we need to use

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960

cryptographically technique. Thus the risk had faced by

developer team member to constructing new systems. Current
research has concerned software practitioner to address these
techniques to enabled security engineering.
1.2 Information security requirement and policies
Security policies have described accordingly required view of
used manner. Different views provide different description
on it. According to public library computer security will a
central clearing house for inter-bank transactions. The
specific security requirements of a particular installation can
only be determined after careful consideration of the business
context, user preferences, and/or defense posture. In Dec,
1985 TCSEC Glossary defines security policy as the set of
laws, rules, and practices that regulate how an organization
manages, protects, and distributes sensitive information". A
security requirement is a manifestation of a high-level
organizational policy into the detailed requirements of a
specific system [4].

26) could be semi-automated and thus integrated more easily

into the Agile Methods. Fig. 2 shows the integrated secure
agile process, it focus four areas for secure software
development activities. Initially highlight behavior of security
engineering then security assurance activities.
After
assurance management activities occur which cover both
organizational and project management activities. At last
identifying risk and managing them [5].

Time

Resources

1.3 Security Models and Policies

Surviving earlier research we concern that security policies
were rounding on two main access controls as MAC
(mandatory access control) and DAC (discretionary access
control). If objects have associated with security
classifications then MAC shows the subjects may access1
them only if they have an appropriate classification.
Accessibility in DAC is differing from MAC according to the
permission authority. It shows accessibility permission of a
subject can pass it to another subject. That type of research
work formulating clear, well-defined, and easily implemented
model for security policies. This was followed by the classic
Bell & La-Padula multilevel security model. Early days
selection process of security policies and model is much
confidential for agile software development process. But they
cant unify: security with software engineering and, security
with system models. When they are generating analysis report
of security requirements according to standard requirements
process these two challenges are faced by them.

II.

AGILE METHODS AND SECURITY

ASSURANCE

As we know that agile is practical approach for current

situation so it includes the developing method according to
current scenario and feature oriented. It uses most well known
programming language.
They classified exist software
assurance activities into four categories: those that are a
natural match for agile methods, those that are independent of
any development methodology, those that can be automated
or semi automated so that they could be incorporated into
agile methods, and those that are fundamentally mismatch
with Agile methods. It shows that almost 50% of traditional
security assurance activities are not compatible with Agile
Methods (12 out of 26 mismatches), less than 10% are natural
fits (2 out of 26 matches), about 30% are independent of
development method and slightly more than 10% (4 out of

Security Features
Figure 2: Secure agile approach

III.

ITERATIVE SECURE AGILE WHEEL MODEL

It is not the easy task to integrate security with software

engineering. Here, we have proposed a model in which
security model is an integral part of software development
process. We are influence by the Four Activities of security to
ingrate with agile, but we also make our approach security
process modeling with agile towards the futuristic possible
threats like warming into android, polymorphism etc.
There are main four basic agile Process and four new security
practices Fig. 3 shows the security wheel model(SWM) We
adds security practices in a wheel model to perform regular
security practice. Different team can discuss and interact with
each other by central SOFTWARE SECURITY
MANAGEMENT TEAM (SSMT).SSMT can also control
each activity done by different Security Team to model final
threat free software and exchanges their smart ideas to build
software with security assurance. The centralize security
assurance team can keep on track of the software security
assurance process and manages its different activities. All
phases are iterative in nature shown by circle in Figure 3. The
phases are discuses in next sub section.

961

sets of iterations. The concept behind the planning phase is to

touch the project boundaries.

RELEASE

D. Security Assurance Activities

The assurance activities cover its checking point of view. It
start from audit to prove that developing project is verified
accordingly the requirement of uses and validate to them.
Expert team is reviewing and evaluates this process.
E. Design
This is a most important phase of the project development.
Design phase is carried out the original work. This phase is
analyzed all view of project feature in deep and then build
them.
F. Security Organizational and Project Management
Activities
The management committee has different polices to develop a
project in such a organization. It focuses from labor work to
project delivery process. All the decision is passed by an
expert committee. The committee knew the importance of
every phase in project development and its security.

Figure 3: Iterative secure wheel model

G. Coding

Phases of security wheel model

Agile phases and its security activities of the model will be
discussed in more details in this section.
A. Inception Phase
We start project development from inception phase that
known as its initial phase, which aspects of the project is
being gathered, and discussed on measurement. After this
phase member of development committee will have bold
starting knowledge to build the initial high level plan through
the second phase; the planning phase. Generally starting
phase required two or three months. Under the working
process of this phase following activities are carried out:
a) Pre-proceeding activities
b) Secure manipulation activities
c) Collection history
d) Architectural activities
e) Design a prototype of project
These four important activities are carried out during the
process of inception phase.
B. Security Engineering Activities
This activity is required for a high level security in
engineering activities [5]. For example requirements
elicitation of security and its definition including secure
design based on standard design principle for security [6].
C. Planning Phase
Planning phase included all module of software like extreme
programming, development based on FDD. The planning
phase practices are differed from initially defined. Designing
the plan is simply priority to the features of project and its
assigned workload. At last we divided the project work into

Coding phase is handled by programmer of project

development, who chooses a best programming language for
that project. Mostly they choose extreme programming for it.
They use different compiling tools for the code verification
and becoming them error free.
H. Security Risk Identification and Management
Activities
Security risks in turn drive the other security engineering
activities, the project management activities, and the security
assurance activities [5].
IV.

CONCLUSIONS

Precautions are better than cure - a software development

environment that enables the effects of security practices to
be mitigated and controlled the security of softwarecontrolled systems has become critical to normal everyday
life. The timely, effective and correct construction of these
systems is an ongoing, difficult challenge faced by software
engineers. In this article, we have outlined the important
issues faced by researchers in security and software
engineering on its critical systems for the next millennium.
Traditionally carried out approached are well structured;
thats the source of their strengths. The simplicity of agile
make its so popular. Here we develop a tool to integrating
security with agile processes for facilitating simplicity and
secure procedures to the organization.
That tool will simplify the process and the monitoring
activities, which resulted in the proposed tool covering all the
non-behavioral issues. The tool automatically logs all the
security actions and the transactions accommodated by any
team member. Customer immediate access to the project

962

progress and accomplishments status is provided as well

through the tool. Control is covered by the progress
monitoring indicators and reports. Security practices action
includes actions taken by each security phase member.
ACKNOWLEDGEMENT
The author is thankful to all the audience and peoples who
supported us directly or indirectly.
REFERENCES
[1]
[2]
[3]
[4]
[5]

[6]
[7]
[8]

[9]
[10]

[11]
[12]

[13]

[14]

[15]
[16]
[17]
[18]
[19]

http://wenku.baidu.com/view/2dee2dd284254b35eefd34e6.html?from=r
elated.
http://susanchyn.wordpress.com/2007/01/26/passage-3-ps-softwareengineering.
Avinash W Kadam Career Opportunities for Information Security
Professionals CSI Communications | September 2011.
TCSEC: Department of defense trusted computer system evaluation
criteria. Dept. of defense standard, Department of Defense, Dec 1985.
Beznosov,
Konstantin
&
Kruchten,
Philippe.
TowardsAgileSecurityAssurance.http://konstantin.beznosov.net/profess
ional/papersTowards_Agile_Security_Assurance.html (2004).
http://www.mendeley.com/research/secure-software-development-lifecycle-processes.
I. Jacobson, M. Griss, and P. Jonsson. Software Reuse: Architecture
Process and Organization for Business Success. Addison Wesley, 1997.
A. K. Jones, R. J. Lipton, and L. Snyder. A lineartime algorithm for
deciding subject {object security. In Proc. of the 17th Annual
Foundations of Computer Science. IEEE Press, 1976
J. McLean. Security models. In J. Marciniak, editor, Encyclopedia of
Software Engineering. Wiley & Sons, 1994
D. Evans and A. Twyman. Flexible policy-directed code safety. In
Proceedings of the 1999 IEEE Symposium on Security and Privacy,
1999.
M.
Hurley
and
M.
Zurko.
The
adage
policy
languagehttp://www.camb.opengroup.org/ri/secweb- /adage/index.htm .
R. Pandey, R. Olsson, and K. Levitt. Policy-driven runtime support for
secure
execution
of
user
code
in
extensiblekernels.(http://seclab.cs.ucdavisedu/~pandey/ariel.html).
V. Ungureanu and N. Minsky. Unified support for heterogeneous
security policies in distributed systems. In 7th USENIX Security
Symposium, San Antonio, Texas, 1998.
V. Varadharajan and T. Hardjono. Security model for distributed object
framework and its applicability to CORBA. In S. K. Katsikas and D.
Gritzalis, editors, Information Systems Security .
T. Lindholm and F. Yellin. The JavaTM Virtual Machine specification.
Addison Wesley, Reading, Mass., USA, 1996.
Cockburn, A. (2009). Agile Software Development: The Cooperative
Game , Pearson Education (US).
Department
of Homeland Security.
Build
Security In.
https://buildsecurityin.us-cert.gov/portal/ (2005).
The Agile Alliance. Manifesto for Agile Software Development.
http://agilemanifesto.org (2001).
http://www.mendeley.com/research/secure-software-development-lifecycle-processes.

963

Charge Transport Mechanisms in Organic

Molecular Semiconductors
A. Sakshi, B. Jyoti Srivastava and C. Sumita Ray Chaudhuri*

AbstractElectrical transport in single layer organic

molecular semiconductor (OMS) devices e.g. copper
phthalocyanine (CuPc) and perylenetetracarboxylic dianhydride
(PTCDA) sandwiched between two metal electrodes have been
investigated. The current density-voltage (J-V) characteristics
provide unique criterion for distinction between trap limited
conduction and trap free space charge limited conduction
(SCLC) with field dependent mobility. The temperature
dependence of J-V characteristics of Cu/CuPc/Cu and
Al/PTCDA/Al devices have been studied both theoretically and
experimentally.
The
theoretical
simulation
of
J-V
characteristics show SCLC with field dependent mobility. The
values of charge carrier mobility and field activation obtained at
different temperatures obtain from simulation are consistent
with the theory of hopping conduction.
Index TermsOrganic molecular semiconductor, Space
charge limited current, traps, mobility.

I. INTRODUCTION
Organic semiconductors are of great importance in
electronic applications as they have many advantages over
their inorganic counterpart. They can be processed easily and
therefore produced in high volume with low production cost.
Organic semiconductors are promising materials for the
devices based on organic semiconductors like organic light
emitting diode (OLED), organic thin film transistors (OTFT)
or organic field effect transistors (OFET) etc [1,2]. Organic
semiconductors are traditionally classified into two
categories: (i) Polymeric Organic Semiconductors (POSs) and
(ii) OMSs. Polymers used for most work dealing with
polymer-based OTFTs are polyphenylenevinylene (PPV),
A.

B.

C.

poly(3-alkylthiophene) (P3AT), poly(3-hexyllthiophene)

(P3HT) etc. [3-5]. However the best performance of organic
semiconductor based devices has been obtained with
materials belonging to
OMS category. Some important OMSs are PTCDA, CuPc,
aluminium tris(8-hydroxyquinoline) (Alq), pentacene,
tetracene and anthracene. The best performance of organic
semiconductor based devices has been obtained with
materials belonging to OMS category.
The charge transport properties of organic
semiconductors are much more complex and hence
understanding of the basic physics underlying the electrical
behavior of these materials is essential for the optimization of
the devices based on these materials [6,7]. The most
important parameter for understanding the charge carrier
transport is the charge carrier mobility. In this paper we
present a study of the different charge transport processes in
molecular organic semiconductors and the factors governing
the mobility of the charge carriers in these devices.
II. THEORY
Small-molecule organic semiconductors are held
together loosely by weak Van der Waal coupling whereas
intramolecular bonding is very strong. This leads to
localization of the electronic wave function and formation of
Gaussian Density of States (GDOS) [8] as shown in fig.1.
Solution of Schrdinger equation have shown that unlike
inorganic semiconductors, in these materials two energy
levels are formed due to overlapping of the orbitals of the
weakly interacting molecules: the lower state due to bonding
and the upper state due to antibonding of molecular orbitals.

Sakshi is with Department of Electronics &

Communication Engineering, Krishna Institute of
Engineering & Technology, Ghaziabad-201206, INDIA
(e-mail:sakshibansal97@ymail.com)
Jyoti Srivastava is with Mewar University, Chittorgarh,
Rajasthan, INDIA and Department of Electrical &
Electronics Engineering, Krishna Institute of Engineering
&
Technology,
Ghaziabad-201206,
INDIA
(e-mail:js_jyoti@yahoomail.com)
*Sumita Ray Chaudhuri is with Department of Electronics
& Communication Engineering, Krishna Institute of
Engineering & Technology, Ghaziabad-201206, INDIA
(e-mail:sumita.sajjan@gmail.com)

978-1-4673-0455-9/12/$31.00 2012 IEEE

964

Fig. 1. Schematic presentation of GDOS in HOMO and LUMO in Organic

Semiconductor, which is shown as aggregate of randomly distributed organic
molecules. Localized sites shown inside HOMO and LUMO are due to each
molecule.

The lower states are fully occupied and is called highest

occupied molecular orbital (HOMO) and the upper states are
completely empty and is called lowest unoccupied molecular
orbital (LUMO) and is the width of GDOS. The charge
carrier transport occurs through hopping among molecular
sites in HOMO and LUMO. Hence, carrier mobility depends
on electric field and temperature. It has been observed [9] that
the carrier mobility follows the Poole-Frenkel relation given
by
1

F ,T

0, T exp

T F2

(1)
Where (0, T ) and (T ) are zero field mobility and field
activation of the mobility respectively, F is the applied field
and T is kelvin temperature.
The current transport mechanism in several organic
semiconductors has been explained by space charge limited
current (SCLC) and trap charge limited current (TCLC)
transport model. SCLC in a device can occur if atleast one
contact is able to inject higher carrier concentration than the
material has in thermal equilibrium with respect to carrier
injection. The behavior of SCLC is governed by many basic
equations such as (1) Poissions equation (2) continuity
equation (3) together with the boundary condition and (4)
equation relating free and trapped charge carrier densities.
The current density-voltage (J-V) characteristics of
electrode/organic semiconductor/electrode devices can be
fitted excellently by [10,11]

Vm 1
L2m 1

9
8

r 0

qNc

V2
L3

(3)
Where 0r is the permittivity of the organic semiconductor.
When traps are present the expression for current
density with exponential trap distribution and constant
mobility is given by [14-17]

qNt

l 1

2l 1
l 1

l 1

Vl 1
L2l 1

(4)

Where Nc and Nt are effective density of states and total trap

concentration respectively, q is the electronic charge and

Tt
T

(5)
Where Et=KBTt is a characteristic constant of the trap
distribution also expressed as characteristic temperature Tt.
It is further observed in single layer devices without
traps that the J-V characteristics follow SCLC like behavior
(J V2) at low bias, but as the bias increases the slope (m+1)
in log-log plot of J-V characteristics increases gradually from
m=1. This is due to the fact that in molecular semiconductors
mobility is affected by the presence of disorder and transport
takes via hopping through localized sites which lead to
electric field and temperature dependent mobility. The SCL
J-V characteristic is obtained from the self consistent solution
of the following equations (6) - (8) [18-20]:

qp( x) [T , F ( x)]F ( x)

(6)

dF ( x)
dx

p( x )
0

(7)
L

F ( x)dx
0

(8)
Where x is the distance from the injecting electrode. Mobility
of the charge carrier is given by equation (1).
III.

(2)
Where m=1 in case of SCLC and m>2 for TCLC; L being the
thickness of the organic semiconductor layer. Traps may
originate from structural defects or due to perturbed
molecules in the lattice. Due to the presence of traps, the
SCLC is in general lower and the quadratic field dependence
is retained in the case of discrete trap levels only (or when all
traps are filled), If traps are distributed in energy they will be
gradually filled with increasing electric field and the current
will increase faster than quadratic until all traps are filled.
In the absence of any trapping effect the SCLC current
density with constant carrier mobility is given by Mott and
Gurney [12] and has been extended by several authors [13].
The Mott and Gurney equation is given by

l
0 r

EXPERIMENTAL RESULTS AND DISCUSSION

. Single layer OMS sandwiched between two metal

electrodes has been used for study of J-V characteristics.
Single layer of OMS is sandwiched between two metal
electrodes by thermal evaporation. All the thin films of OMS
and metals were evaporated under a base pressure 2 10-6 Torr
and at a rate of 1-2/sec. The CuPc and PTCDA are used for
study of hole and electron transport respectively. For space
charge limited current(SCLC) the metal contacts should be
ohmic. By properly choosing metal contact, current transport
due to hole or electron has been investigated. CuPc is a hole
transport OMS with ionization potential and electron affinity
of 4.8eV and 3.1V respectively. PTCDA is an electron
transport OMS with ionization potential and electron affinity
6.8eV and 4.3eV respectively In both CuPc and PTCDA only
ohmic metal contacts have been studied. ITO(Indium Tin
Oxide), Au and Cu has been used as ohmic contacts for CuPc
and Al has been used as ohmic contact in PTCDA.
Fig. 2 shows the J-V characteristics of ITO/CuPc/Cu device
for a thickness of 400nm. The characteristic shows that
initially at very low bias voltages (V<0.5volts) J V, which
indicates ohmic conduction. At higher bias voltages

965

(V>4volts) J V2, indicating SCLC conduction but charge

carrier mobility independent of applied field. At intermediate
bias voltages the slope of the curve is more with a low value
of current and J V4. This indicates the presence of traps and
the current is limited by TCLC. When traps are present, the
value of current is lowered initially due to the filling of traps
and when the traps are almost filled the current is space
charge limited. The inset shows the reverse scan where the
traps are already filled and hence the current level much
higher compared to forward scan at intermediate voltages.

10

Fig. 3. J-V characteristics of ITO/CuPc(400nm)/Au at 300K.

Fig. 4 and fig. 5 show the J-V characteristics of two

different devices Cu/CuPc/Cu and Al/PTCDA/Al respectively
at different temperatures with OMS layer of thickness 400nm.
The theoretically simulated curves using equations (6)-(8) are
also shown in fig. 4 and fig. 5. The excellent agreement of
simulated data with experimental data confirms the PooleFrenkle behavior of carrier mobility. The fitting parameters
are given in Table I.

300K
205K
175K
145K
115K

-1
2

reverse scan
forward scan

-3

10

-5

10

-5

2
-7

10

J (Amp/cm )

10

J(Amp/cm )

10

-3

-9

10

0.1

10

100

-6

10

-7

10

10

-5

-8

10
10

-7

0.1

10

Fig. 4. J-V characteristics of SCLC in Cu/CuPc(400nm)/Cu at different

temperatures. Experimental data are shown by symbols and simulated data are
represented by solid lines.

10

Voltage(V)

Fig. 2. J-V characteristics of ITO/CuPc(400nm)/Cu at a temperature of 300K.

J(Amp/cm )

In fig. 3 we show the J-V characteristics of another

ITO/CuPc/Au single layer device without any traps. In this
case the slope gradually increases from initial value of m=1 at
lower bias to m=3 at higher bias. This is attributed to field
dependence of charge carrier mobility.

100

10

5
Voltage(V)

0.01

J (Amp/cm )

-5

10

-6

10

-7

10

-8

10

-9

295K

115K

10

-10

10

0.1

10
Voltage(V)

0.1

0.01

Fig. 5. J-V characteristics of SCLC in Al/PTCDA(400nm)/Al at different

temperatures starting at 295K and at an interval of 30K. Experimental data are
represented by symbols and simulated data are shown by solid lines.

TABLE I

0.001
0.01

100

0.1

10

FITTING PARAMETRS OF FIG. 4 AND FIG. 5.

100

Voltage(V)

Device

966

Temperature
(Kelvin)

(0,T)
(cm2/Vs)

(T) (cm/V)1/2

Cu/CuPc/Cu

Al/PTCDA/
Al

300
205
175
145
115
295
265
235
205
175
145
115

1.3 10-10
6 10-14
5 10-16
5 10-17
7 10-18
2.15 10-9
1.2 10-9
4 10-10
2 10-11
9 10-13
3 10-14
5 10-16

[4]

.024
.0375
.047
.0497
.051
.0014
.0013
.0018
.006
.0098
.013
.017

[5]
[6]
[7]
[8]

[9]

From the simulation results the following observations

are made:
(i)
The J-V characteristics follow J Vm+1
dependence.
(ii)
The value of m=1 at low electric fields and
gradually increasing at high electric fields
show the absence of traps in these devices and
dependence of carrier mobility on electric field
in organic semiconductor devices.
(iii)
The value of m increases with temperature
indicating the increase of carrier mobility with
temperature
The temperature dependence of (0,T) and (T) obtained from
simulation results establish carrier transport process, which is
thermally activated hopping with electric field and
temperature dependent carrier mobility.

[10]

[11]

[12]
[13]
[14]
[15]

[16]

[17]

IV. CONCLUSION
Since there is an excellent agreement between
experimental data and simulation results, it can be confirmed
that charge carrier transport in disordered OMS takes place
via thermally activated hopping. The electric field and
temperature dependence of experimental data for ohmic metal
contact based single layer devices can be fitted and described
by SCLC mechanism with Poole Frenkel mobility. The
temperature dependence of zero field mobility and field
activation is consistent with the theory of hopping
conduction.
V. ACKNOWLEDGMENT
The authors gratefully acknowledge the contribution of Dr.
Subhasis Ghosh (School of Physical Sciences, Jawaharlal
Nehru University, New Delhi) for providing us experimental
data and giving valuable suggestions.

[18]

[19]

[20]

Sakshi project: To Simulate the J-V Characteristics of Organic Diodes and study
the various factors controlling charge carrier mobility.

VI. REFERENCES
[1]
[2]

[3]

H. Sirringhaus, R. J. Wilson, R. H. Friend, M. Inbasekaran, W. Wu, E. P.

Woo, M. Grell, D. D. C. Bradley, Mobility enhancement in conjugated
polymer field-effect transisitors through chain alignment in a liquidcrystalline phase, Appl. phys. lett., vol. 77, pp. 406, 2006.
R. A. Street, A. Salleo, Contact effects in ploymer transistors, Appl.
phys. lett., vol. 81, pp. 2887, 2002.
Wolfgang Brutting, Physice of Organic Semiconductors, Wiley-VCH,
Weinheim, 2005.
Hagen Klauk, Oganic Electronics: Manufacturing and Applications,
Wiley-VCH, Weinheim, 2006.
I. N. Hulea, H. B. Brom, A. J. Houtepen, D. Vanmaekelbergh, J. J. Kelly
and E. A. Meulenkamp, Wide energy-window view on the density of
states and hole mobility in PPV, Phys. rev. lett., vol. 93, pp. 166601,
2004.
D.H. Dunlap, P. E. Parris and V. M. Kenkre, Charge-dipoole model for
the universal field-depedence of mobilities in molecularly-doped
polymers, Phys. rev. lett., vol. 77, pp. 542, 1996.
A. J. Campbell, D. D. C. Bradley and D.G. Lidzey, Space-charge limited
conduction with traps in PPV light- emitting diodes, J. appl. phys. vol. 82,
pp. 6326, 1997.
Z. Chiguvare and V. Dyakonov, Trap-limited hole mobilty in
semiconducting poly(3-hexylthiophene), Phys. rev. B., vol. 70, pp.
235207, 2004.
N. F. Mott, R. W. Gurney, Electronic Process in Ionic Crystals, Clarendon
Press, Oxford, (1940).
P. N. Murgatroyd, J. phys. D: appl. phys., vol. 3, pp. 151, 1970..
P. W. M. Blom, M. J. M. de Jong and J. J. M. Vleggaar, Electron and
hole transport in PPV devices, Appl. phys. Lett., vol. 68, pp. 3308, 1996.
M. M. Mandoc, B. de Boer, G. Paasch and P. W. M. Blom, Trap-limited
electron transport in disordered semiconducting polymers, Phys. rev. B.,
vol. 75, pp. 193202, 2007.
P Kumar, A Sharma, Sumita Ray Chaudhuri and S Ghosh, Effect of deep
traps on small molecule based thin film transistors, Appl. phys. lett., 99,
pp. 173304, 2011.
A Sharma, P Kumar, B Singh, Sumita Ray Chaudhuri and S Ghosh, C-V
Characteristics of Organic Schottky diode with and without deep traps,
Appl. phys. lett., 99, pp. 023301, 2011.
A. K. Mahapatro and S. Ghosh, High rectification in metalphthalocyanine based single layer devices, IEEE Trans. Electron
Devices, vol. 48, pp. 1911, 2001.
G. Paasch and S. Scheinert, Space charge layers in organic field-effect
transistors with Gaussian or exponential semiconductor density of states,
J. appl. phys., vol. 101, pp. 024514, 2007.
A. K. Mahapatro and S. Ghosh, Charge carrier transport in metal
phthalocyanine based disordered thin films, J. appl. phys., vol. 101, pp.
034318, 2007.

C. W. Tang and S. A. Vanslyke, Oganic electroluminiscent diodes,

Appl. phys. lett., vol. 51, pp. 913, 1987.
A. Tsumura, H. Koezuka and T. Ando, Macromolecular electronic
device: field effect transistor with a polythiophene thin-film, Appl. phys.
lett., vol. 49, pp. 12010, 1986.
H. Sirringhaus, P. J. Brown, R. H. Friend, M. M. Nielsen, K, Bechgaurd,
B. M. W Lange Vedross, A. J. H. Spiering, R. A. J. Janssen, E. W. Meijer,
P. Herwig, D. M. Deheeuw, Two-dimensional charge transport in selforganized, high mobility conjugated polymers Nature, vol. 401, pp. 685,
1999.

967

Voltage Profile Enhancement with Static

Synchronous Compensator
Sunil Kumar Singh, Khwairakpam Choba Singh, Lobzang Phunchok and Y.R. Sood

Abstract-- In present day scenario electricity generation

capacity is increasing rapidly to meet the increasing demand of
electricity. In this process, the existing transmission lines are
overloaded and lead to unreliable system. The countries like
India with fast growing demand of electric power it is difficult to
expand the existing transmission system. So, we need power flow
controllers capable of increasing transmission capacity and
controlling power flows. Flexible alternating current
transmission system (FACTS) technology opens up new
opportunities for controlling power flows and enhancing the
usable capacity of transmission lines. In this paper we have done
the comprehensive modeling of shunt facts device static
synchronous compensator (STATCOM) and its impact on system
voltage through power flow study. The effect of this device has
been tested and analyzed on IEEE-30 bus system.
Index Terms-- FACTS, Power flow, STATCOM modeling

I. INTRODUCTION
FACTS are system comprised of static equipment used for the
AC transmission of electrical energy. It is meant to enhance
controllability and increasing the power transfer capability of
the power system network. The concept of FACTS was first
defined by N.G. Hingorani in 1988. It usually refers to the
application of high power semi conductor devices to control
different parameters and electrical variables such as voltage,
impedance, and phase angle, current, active and reactive
power. FACTS controllers can be divided into four categories:
Series controllers.
Shunt controllers.
Combined series-series controllers.
Combined series-shunt controllers.
The series controllers could be variable impedance, such as
capacitor, reactor, etc. All series controllers inject voltage in
series with the lines. As long as the voltage is in phase
quadrature with the line current, the series controllers only
supplies or consume variable reactive power. Thyristor

controlled series compensator (TCSC), Static synchronous

series compensator (SSSC) are examples of series controllers.
Shunt controllers may be variable impedance, variable source,
or a combination of these. All shunt controllers inject current
into the system at the point of connection. As long as the
injected current is in phase quadrature with the line voltage,
the shunt controllers only supplies or consumes variable
reactive
power.
Static
Synchronous
Compensator
(STATCOM) is example of shunt controllers.
Combined series-series controllers could be a series
combination of separate series controllers, which are
controlled in a coordinated manner, in a multilane
transmission system. It could be a unified controller, in which
series controllers provides independent series reactive
compensation for each line but also transfer real power among
the lines via the power link.
Combined series shunt controllers could be a combination of
separate shunt and series controllers, which are controlled in a
coordinated manner, or a unified power flow controller series
and shunt elements. In principle, combined shunt and series
controllers inject current into the system with the shunt part of
controller and voltage in series in the line with the series part
of the controller. However, when the shunt and series
controllers are unified, there can be a real power exchange
between the series and shunt controllers via power link [1].
The benefits of using FACTS controllers in transmission
system areIncreased transmission system reliability.
Better utilization of existing power transmission
system.
It damp out power oscillations and increases the
transient stability.
This paper addresses the static modeling of Static
Synchronous Compensator (STATCOM) and its capabilities
to improve the voltage profile of the bus to that it is connected
is evaluated.
II. STATIC SYNCHRONOUS COMPENSATOR

Sunil Kumar Singh, M.Tech student in Department of Electrical

Engineering NIT Hamirpur-177005, India. (Email:san25vns10@gmail.com)
Khwairakpam Choba Singh, M.Tech student in Department of Electrical
Engineering NIT Hamirpur-177005, India. (Email: chaobasit@gmail.com)
Lobazan Phunchok, M.Tech student in Department of Electrical
Engineering NIT Hamirpur-177005, India. (Email:lobzang.nith@gmail.com)
Dr. Y. R. Sood, Professor in Department of Electrical Engineering NIT
Hamirpur-177005, India. ( Email: yrsood@gmail.com )

STATCOM is a static synchronous generator operated as a

shunt-connected static var compensator whose capacitive or
inductive output current can be controlled independent of the
ac system voltage. It is a reactive power compensation device
that is capable of generating or absorbing reactive power and
in which the output can be varied to control the specific
parameters of an electric power system. It can be based on a
voltage-sourced or current-sourced converter [1].

978-1-4673-0455-9/12/$31.00 2012 IEEE

968

III. STATCOM MODELING

In order to find the impact of FACTS devices on the power
system effectively, modeling of FACTS devices are very
important.
The
Static
Synchronous
Compensator
(STATCOM) is represented by a synchronous voltage source
with minimum and maximum voltage magnitude limits. The
bus at which STATCOM is connected is represented as a PV
bus, which may change to PQ bus in the events of limits being
violated. In such a case, the generated or absorbed reactive
power would correspond to the violated limit [5-9]. The
STATCOM equivalent circuit is shown in Fig. 3

Fig. 1 Structure of STATCOM

A. Principle of operation (STATCOM)

STATCOM is a controlled reactive-power source. It provides
the desired reactive-power generation and absorption entirely
by means of electronic processing of the voltage and current
waveforms in a voltage-source converter (VSC). The
exchange of reactive power between the converter and the ac
system can be controlled by varying the amplitude of the 3phase output voltage, Evr, of the converter. That is, if the
amplitude of the output voltage is increased above that of the
utility bus voltage, Ek, then current flows through the
reactance from the converter to the ac system and the
converter generates capacitive-reactive power for the ac
system. If the amplitude of the output voltage is decreased
below the utility bus voltage, then the current flows from the
ac system to the converter and the converter absorbs
inductive-reactive power from the ac system. If the output
voltage equals the ac system voltage, the reactive-power
exchange becomes zero, in which case the STATCOM is said
to be in a floating state [4-11].
B. V-I Characteristic of STATCOM
The above characteristic show that the STATCOM can be
operated over its full output current range even at very low,
typically about 0.2 p.u. system voltage levels. The maximum
capacitive or inductive output current of the STATCOM can
be maintained independently of the ac system voltage, and the
maximum var generation or absorption changes linearly with
the ac system voltage [1].

Fig. 3 STATCOM equivalent circuit

The power flow equations for the STATCOM are derived

below from the first principles and assuming the following
voltage source representation. Based on the shunt connection
shown in fig.3
Evr = Vvr (cos vr + jsinvr )

(1)

Svr = Vvr Ivr* =VvrYvr* ( Vvr*- Vk*)

(2)

Therefore the active and reactive power equations arePvr = Vvr2Gvr + Vvr Vk [Gvr cos( vr k) + Bvr sin(vr k) ] (3)
Qvr = -Vvr2Bvr + VvrVk[Gvr sin(vr k) Bvr cos(vr k)]
Pk =

Vk2Gvr

Qk =

-Vk2Bvr

+ Vk Vvr[Gvr cos(k -vr) + Bvr sin(k -vr)]

+ VkVvr[Gvr sin(k -vr) Bvr cos(k -vr)]

(4)
(5)
(6)

Using these power equations, the linearized STATCOM

model is given below, where the voltage magnitude Vvr and
phase angle vr are taken to be state variables:

(7)

Fig. 2 V-I Characteristic of STATCOM

969

IV. POWER FLOW ANALYSIS

For planning the operation of existing power system, its
improvement and also its future expansion require the load
flow studies, short circuit studies and stability studies. Load
flow studies [6-7] are used to ensure that electrical power
transfer from generators to consumers through the grid system
is stable, reliable and economic. Load flow studies are most
important of all power system analysis, because these are used
in planning studies of power system network to determine if
and when specific elements will become overloaded. This is
important, as the magnitudes of voltages at every bus are
required to be held within a specified limit. The objectives of
any load-flow study is to provide the following informationVoltage magnitude and phase angle at each bus.
Real and Reactive power flowing in each element.

(8)

P = Pspecf Pcal is the real power mismatch vector

Q = Qspecf Qcal is the reactive power mismatch vector
and V are the vectors of incremental changes in nodal
voltage magnitudes and angles.
Jacobian is the matrix of partial derivatives of real and
reactive powers with respect to voltage magnitudes and angle.
Therefore,
= VkVm [Gkm sin(k-m)-Bkm cos(k-m)

Once the bus voltage magnitudes and their angles are

computed using the load flow, the real and reactive power
flow through each line can be computed. Also based on the
difference between power flow in the sending and receiving
ends, the line losses in any particular line can also be
computed. It is helpful in determining the best location as well
as optimal capacity of proposed generating station, substation
and new lines. In the power flow problem, it is assumed that
the real power P and reactive power Q at each Load Bus are
known. For this reason, Load Buses are also known as PQ
Buses. For Generator Buses, it is assumed that the real power
generated P and the voltage magnitude V is known. For the
Slack Bus, it is assumed that the voltage magnitude V and
voltage phase angle are known.
A. Newton Raphson Method
In this work Newton Raphson method for load flow is used,
because of its reliability towards convergence and not
sensitive nature to the starting solution. In large-scale power
flow studies, the Newton raphson has proved most successful
owing to its strong convergence characteristics. The NewtonRaphson method is an iterative technique for solving system
of nonlinear simultaneous equation in general form:

(9)

VkVm [Gkm cos(k-m) +Bkm sin(k-m)

(10)

(11)

(12)

V. CASE STUDY
IEEE 30 bus system [9] has been used for case study to run the
load flow using Newton Raphson algorithm. Initially we run
the load flow without any STATCOM devices and check the
voltage magnitude and phase angle at each bus. Then after we
apply STATCOM at bus number 26 and 30 and again run the
load flow. This time we found that the voltage profile is
changed at bus 26 and 30. The minimum and maximum limit
of reactive power of STATCOM is -0.5 to 0.5.

With STATCOM
Without STATCOM

1.1

Voltage in PU

f1(x1xj.xn) = k1
.
.
.
fn (x1xj..xn) =kn
Where f1.fn are differential function of variables
x1xj,xn and k1,..kn are constants. For load flow analysis
problem, the variables are the nodal voltage magnitudes and
phase angles, the functions are the relationships between
power, reactive power and nodal voltages, while the constants
are the values of power and reactive power at the generator
and load nodes which are specified.
The power flow Newton Raphson algorithm is expressed by
the following relationship [10].

0.9

0.8

10

12

14

16

Bus Number

Fig. 5 Voltage (pu) at various buses

970

18

20

22

24

26

28

30 31

TABLE I
VOLTAGE PROFILE

Bus
No.

1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30

VII. CONCLUSION

Without STATCOM

With STATCOM

Voltage
(p.u)

Phase
angle

Voltage
(p.u)

Phase
angle

1.0600
1.0430
1.0196
1.0104
1.0100
1.0096
1.0020
1.0100
1.0392
1.0215
1.0820
1.0196
1.0710
1.0320
1.0251
1.0304
1.0188
1.0114
1.0066
1.0095
1.0082
1.0120
1.0085
0.9991
1.0032
0.9852
1.0145
1.0078
0.9944
0.9828

0.0000
-5.3543
-7.5308
-9.2840
-14.1738
-11.0581
-12.8649
-11.8193
-14.0644
-15.6707
-14.0644
-15.1245
-15.1245
-16.0018
-16.0084
-15.6251
-15.8687
-16.6067
-16.7658
-16.5502
-16.2178
-15.9811
-16.2294
-16.3007
-16.0720
-16.5038
-16.6559
-11.7163
-16.9077
-17.8067

1.0600
1.0430
1.0200
1.0108
1.0100
1.0101
1.0023
1.0100
1.0402
1.0231
1.0820
1.0503
1.0710
1.0330
1.0263
1.0315
1.0202
1.0128
1.0080
1.0110
1.0102
1.0147
1.0106
1.0033
1.0125
1.0000
1.0240
1.0091
1.0076
1.0000

0.0000
-5.3525
-7.5318
-9.2848
-14.1692
-11.0627
-12.8655
-11.8168
-14.0508
-15.6544
-14.0508
-15.0935
-15.0935
-15.9691
-15.5809
-15.5967
-15.8422
-16.5781
-16.7371
-16.5223
-16.1952
-15.9655
-16.2084
-16.3066
-16.1605
-16.7794
-15.7112
-11.7437
-17.0359
-18.0205

This paper depicts that the voltage profile of the power system
is improved with the incorporation of Static Synchronous
compensator. It was able to effectively regulate the bus
voltage magnitude at which it is connected over its full range
of operation when there is a need. It also reduces the
overloading and unreliability of the transmission system
VIII. ACKNOWLEDGMENT
The authors express their sincere thanks to the Department
of Electrical Engineering NIT Hamirpur for providing support
and guidance.
IX. REFERENCES
[1]

[2]
[3]
[4]
[5]
[6]
[7]
[8]
[9]
[10]
[11]

VI. RESULT AND DISSCUSSION

After running the load flow with STATCOM it is found that
the voltage profile at both the buses i.e bus 26 and 30 are
improved. Initially without STATCOM the voltage magnitude
in per unit (pu) at bus 26 is 0.9852 and at bus 30 it is0.9828,
but after applying STATCOM voltage magnitude improved to
1.0000 pu to both bus.

[12]
[13]

971

N.G. Hingorani and L. Gyugi. Understanding FACTS concepts and

technology of flexible AC transmission systems. IEEE Press, New York,
2000.
R.M. Mathur and R.K. Varma. Thyristor-based FACTS controllers for
electrical transmission system. IEEE Press, Piscataway, 2002.
Xiao-Ping Zhang, B. Pal and Christian Rehtanz. AC Transmission
System modeling and control. Springer, Berlin Heidelberg 2006.
L. Gyui. Dynamic compensation of AC lines by solid state synchronous
voltage sources. IEEE Tran. Power Delivery, 1994.
K.K. Sen. STATCOM-static synchronous compensator theory, modeling
and applications. IEEE PES Winter Meeting, 1999.
W.D. Stevenson Jr., Element of power system analysis, McGraw-Hill,
4th edition, 1982.
A.E. Guile and W.D. Paterson, Electrical power system, Vol. 2,
Pergamon Press, 2 nd edition, 1997.
S. Arabi and P. Kundur. A versatile FACTS device model for power
flow and stability simulations. IEEE Tran. Power syst.vol 11, 1996.
W.F. Tinney. Power flow Solution by Newtons Method. IEEE Tran.
Power apparatus and systems.
T.T. Nguyen and C.T. Vu. Complex-Variable Newton-Raphson Loadflow analysis with FACTS devices. IEEE 2006.
E. Acha, C.R. Fuerte-Esquivel, H. Ambriz-Perez and C. AngelesCamacho. FACTS modeling and simulation in power network. 1st Edn,
John wiley and sons inc, New York, 2004.
C. Angeles-Camacho, Enrique Acha and E.B. Martinze. Three-phase
STATCOM models for large-scale Newton-Raphson power flow study.
Y.H Song, A.T. Jhons Flexible AC transmission system (FACTS),
IEEE, 1999.

A New Direction In Biometric Cryptography

Prashant Kumar1 , Harsh Kumar Dubey1 , Rama Shankar Yadav2

M.Tech Scholar, Department Of Computer Science and Engineering
Motilal Nehru National Institute of Technology, Allahabad.
1
(IS1007, IS1025)@mnnit.ac.in
2
Department Of Computer Science and Engineering
Motilal Nehru National Institute of Technology, Allahabad.
2
rsy@mnnit.ac.in

send the data one place to another place securely over the
insecure channel. Information in the computer can be easily
secured by using many of the cryptographic and biometric
algorithm as well.

AbstractSecuring information is the key issue in the field of

network security. Cryptography is one of the most effective way
to enhance information security. Biometric cryptography is a
technique which uses biometric features to encrypt the data and
overcome the defects of traditional cryptography. In this paper,
a biometric based encryption and decryption scheme, in which
a master key is generated using whole/partial hash portion of
combined sender and receiver finger print. From this master
key many random keys are generated using pseudo random
generator which is used as a secret key for both encryption
and decryption. The pseudo random number generator may
have different algorithm to generate one dimensional number
from a piece of image matrix of biometry. This one dimensional
number is considered as master key and remains valid for one
session unless renewed. This master key and sequence number
(seed value, other parameter) is sent by the sender after
watermarking it in senders fingerprint along with encrypted
message. Proposed system has an advantage that no need to
search public key database and security is maintained. The
computational requirement and network security features are
duly addressed in this paper.

II. P REVIOUS W ORK

Though work has been done in the field of network
security using biometric data and cryptography but considering both the concepts together and applying it to a
possible application is new and innovative. In fact, with the
short introduction of biometry in cryptography as has been
dealt by a number of authors [,] the discipline of biometric
cryptography is born in this paper. In every sample different
data are produced. Cryptography relies on stable and unique
key to encrypt and decrypt messages. For implementing
the biometrics into cryptography there are two approaches
of key release and key generation. Key release algorithms
described in the literature ([1], [2], [3], [4]) require that
(1) Cryptographic keys are stored in users database (2) If
matching is found with cryptographic key, access to database
is available, (3) User authentication and key generation are
two different processes. Storing keys in database is traditionally insecure as it could be easily hacked. Key generation
algorithms avoid some of the problems due to the key release
algorithms by (1) Binding the secret key to the biometric
information and (2) Not requiring to access the biometric
template. Key generation literature is abound with the works
of ([1], [4], [5], [6]) among others, in which key generation
is more complicated than key release. Considerable research
work has been done in this field ([10], [7], [8], [9])they
proposed many algorithms but that were not secure. The
algorithms have many defects and fails to achieve many
cryptographic properties. Which are mentioned below:
(a) No sender authentication
(b) No integrity check of watermark data
(c) Biometric resources are vulnerable on open channel
(d) Bs non repudiation could not be achieved
(e) Incorrect image to A is not detected
In this paper we propose three better secured algorithm
which will eliminate all the above mentioned problems of
network security and achieve robustness.

I. I NTRODUCTION
Electronic Communication in todays world involves
around a millions of computers networked together. While
this network increase the possibility of resource sharing
to make life easier and communication cost effective but
some unscrupulous breaches can easily break the communication paradise we live in. There it is essential to verify,
identify the threats and vulnerabilities to make secure and
communication and computation network works towards its
security goal. By applying some methods the unscrupulous
will soon catch up, but the challenge remains alive in future
to come. Inclusion of biometric data in communication is
very successful today, to thwart the various attacks and
hacking basically for its enormity. Examples of biometric information are facial features, fingerprints, iris, retina,
voice, signature stroke, ear shape etc. Further strengthen
the communication security. Biometric data is the biological
characteristics which is unique for every human being. On
the basis of these property we can easily recognize or
identify a human being. Biometric techniques for security
includes recognition of faces, fingerprint, iris, retina, ear
shape etc. Cryptography is a technique by which we can

978-1-4673-0455-9/12/$31.00 2012 IEEE

972

all the algorithms presented in this research paper.

A. Dialouge for key generation
SECRET
HELLMAN

KEY

EXCHANGE

USING

DIFFIE

A Calculates : H(F PA ) or XA = H(F PA ) or YA = XA

mod q
B Calculates : H(F PB ) or XB = H(F PB ) or YB = XB
mod q
A To B : ImgW M (F PA , YA )
B To A : ImgW M (F PB , YB )
KEY GENERATION
A Calculates : K = YA XB Mod q
B Calculates : K = YA XB Mod q

IV. D ESCRIPTION OF I ST PROPOSED ALGORITHM -

Figure 1.

Let sender A and receiver B both have a common secret

key ( they have generated secret key using similar technique
of DiffieHellman method). In this proposed algorithm, we
will exchange finger print image of A and B by encrypting
with secret key. The algorithm leaves no room for false
image transmission by third party.
After exchange of images, sender A will decrypt the finger
print image of receiver B and then will merge finger print of
A with finger print of B. After that he will calculate hash on
combined image using hash algorithms which is negotiated
between sender and receiver. A 128 bit key is generated
out of this key generation process. This generated key will
be used to generate a random sequence of keys using the
pseudo random generator. A random key according to the
length of the message is obtained after randomizing all the
keys in the key space generated. These random keys are
used to encrypt the message of arbitrary length. Sender will
watermark the 128 bit key and a random sequence (seed
value + other parameter) in the sender finger print image.
Sender sends watermark image and encrypted message to
the receiver.
Similarly, receiver B generates a 128 bit key by applying
a hash on combined image of finger pint of sender A and
receiver B. Now, receiver will be dewatermark the received
watermark image from the sender and get 128 bit key + a
random sequence + FPa (finger print of A). Receiver pick
128 bit key and compare it with the generated 128 bit key. If
it is same, then he can be assured that the key has not been
altered in the way and authenticate the user also. After that
he will pick random sequence and apply on the 128 bit key
and generate a random sequence of keys, by which he will
decrypt the message that was encrypted earlier by sender.

key exchange

III. A SECRET KEY GENERATION USING B IOMETRIC

C HARACTERISTICS
The key generation process will be same for all the
algorithms, which we propose. A secret key is generated
because it is needed for secure transmission of finger print
image. Let q be a globally known parameter. During the
key generation process initially, sender A will calculate the
hash on its finger print image and hash value is assigned to
a variable XA and YA can be calculated according to the
given formula
YA = XA mod q
Similarly, receiver B calculates the hash on its finger print
image and assigns this value to the XB and calculate YB in
similar fashion.
YB = XB mod q
Now, sender and receiver exchange the value of YA and
YB to one another and calculates secret key K accordinglyK = YB XA Mod q

A. Dialouge for 1st Algorithm

K = YA XB Mod q

SENDER SIDE
B To A : EK (F PB )
A : H(DK (EK (F PB ))+F PA ) : Say k1

Now, this generated secret key will be used for secure

transmission of finger print image over insecure channel in

973

Figure 2.

encryption/decryption using 1st algorithm

Figure 3.

A : Set seed value and other parameters

A : KI = Random(K1 ||SV||OP)
A : Get random key according to message length.
A To B : EKI (M)||ImgW M (F PA , SV||OP||K1 )
RECEIVER SIDE
A To B : EK (F PA )
B : H(DK (EK (F PA ))+F PB ) : Say k2
B : ImgDW M (ImgW M (F PA , SV||OP||K1 )
B : Check if k1 = k2 Then integrity and authentication
is confirmed if the check is true.
B : KI = Random(K2 ||SV||OP)
B : DKI (EKI (M))

encryption/decryption using 2nd algorithm

parameter). A pseudo random generator usually extends to

the solution space of hash values or it may even consider the
pattern space of fingerprint to randomize the pattern itself.
Now, we use these random keys to encrypt the message of
arbitrary length. Calculated hash on master key and random
sequence(seed value + other parameter) provides the requisite information of this algorithm. After calculating all these
value, sender watermarks (master key + random sequence)
and hash of (master key + random sequence). Sender A
sends watermarked image and encrypted message to receiver
B. At receiver side, after dewatermarking receiver, finds 128
bit key, random sequence, image of finger print of A and
hash of(128bit key and random sequence). Receiver apply
hash on dewatermarked random sequence and master key
and compare it with the received hash value for checking
the integrity of the message. The sender authentication
gets executed when receiver compare dewatermarked sender
image by previous image. After this receiver use pseudo
random generator to generate keys and message is obtained
after decryption.

V. D ESCRIPTION OF 2 ND PROPOSED ALGORITHM

Sender A encrypts the message by using secret key and
sends this message to receiver. Receiver also encrypts finger
print by using secret key and sends to sender. Now, the
sender decrypts the finger print of B and merge it with
its own finger print, calculate hash on partial portion of
merged image which generate a 128 bit key. After taking
hash on partial portion, Random keys are generated by
this master key using random sequence (seed value+other

974

A. Dialouge for 2nd Algorithm

[8] Poh, G.S., Martin, K.M.: A Framework for Design and Analysis of Asymmetric Fingerprint Protocols. In: Third International Symposium on Information Assurance and Security, IAS
2007, August 29-31, pp. 457-461 (2007)

SENDER SIDE
B To A : EK (F PB )||Request
A : H(ImgP ART IAL (DK (EK (F PB ))+F PA )) : Say K1
A : Set seed value and other parameters
A : KI = Random(K1 ||SV||OP)
A
To
B
:
EKI (M)||ImgW M (F PA ,
SV||OP||K1 ||H(K1 +SV+OP))
RECEIVER SIDE
B To A :EK (F PB )
B
:
Compare
F PA,RECEIV ED
=
DK (EK (F PA ))COM P U T ED
B
: Compare H(K1 +SV+OP)RECEIV ED
=
H(K1 +SV+OP)COM P U T ED
B : KI = Random(K1 ||SV||OP)
B : DKI (EKI (M))

[9] Schenier, B.: Applied Cryptography Protocol, Algorithms, and

Source Code in C, 2nd edn., p. 184. Wiley Computer Publishing/John Wiley and Sons, Chichester (1996)
[10] Dutta, Sandeep, Kar, Avijit, Mahanti, N.C., Chatterji, B.N.,
: Network Security Using Biometric and Cryptography. In:J.
Blanc-Talon et al. (Eds.): ACIVS 2008, LNCS 5259, pp. 38-44,
2008. Copyright Springer-Verlag Berlin Heidelberg (2008)

VI. C ONCLUSION
The biometric key formed from the senders and the
receivers fingerprints has many advantages over current
authentication methods because it can neither be forgotten
nor shared and is convenient for users to generate. The
proposed method maintains security and integrity of the
biometric data, which is so very important for network
security. The computation is required to validate proposed
algorithm, work is going on in this direction. In future, we
will propose computation result of this algorithm.
R EFERENCES
[1] Clancy, T.C., Kiyavash, N., Lin, D.J.: Secure smartcard-based
fingerprint authentication. In: Proceedings ACM SIGMM 2003
Multimedia, Biometrics Methods and Workshop, pp. 45-52
(2003)
[2] Soutar, C., Roberge, D., Stojanov, S.A., Gilroy, R., Vijaya
Kumar, B.V.K.: Biometric encryption using image processing.
In: Proceedings of the SPIE - Optical Security and Counterfeit
Deterrence Techniques II, vol. 3314, pp. 178-188 (1998)
[3] Roginsky, A.: A New Method for Generating RSA Keys. In:
International Business Machines Consulting Group (2004)
[4] Davida, G.I., Frankel, Y., Matt, B.J.: On enabling secure applications through offline biometric identification. In: Proceedings
of the IEEE Privacy and Security, pp. 148-157 (1998)
[5] Davida, G.I., Matt, B.J., Peralta, R.: On the relation of error
correction and cryptography to an offline biometric based
identification scheme. In: Proceedings Workshop Coding and
Cryptography, pp. 129-138 (1999)
[6] Monrose, F., Reiter, M.K., Li, Q., Wetzel, S.: Cryptographic
Key Generation from Voice. In: Proceedings IEEE Symposium
on Security and Privacy (2001)
[7] Costanzo, C.R.: Active Biometric Cryptography: Key Generation Using Feature and Parametric Aggregation. In: Second
International Conference on Internet Monitoring and Protection, ICIMP 2007, July 1-5, p. 28 (2007)

975

Upgrading Indian Cars to hybrid cars: Analysing

Impact on Environment till 2020 Using ANN
M. Tabrez, Mukhtar Ahmad Member, IEEE, Md. Asif Hasan, Nidal Rafiuddin and Mohd. Omais

Abstract-- Motor vehicle emissions have been identified as the

major source of air pollution in most urban cities. They have a
serious impact on our urban air quality and public health. This
paper analyses the benefits of upgrading the current cars
running in India to a hybrid car which can run using both IC
engine and electric motors. Numbers of registered cars are
forecasted up to 2020 using Artificial Neural Network. The
result of analysis shows that upgrading the existing cars with
hybrid ones will reduce the green house gas emission which in
turn cause significant carbon credit earning by reduction of
greenhouse gases like hydro fluorocarbons (HFCs), and per
fluorocarbons (PFCs).

estimate the contribution of transport towards degrading the

ambient air quality. The summary of these studies for Delhi &
Mumbai are given pollutant wise in Table-I [3].

Index Terms-- Renewable Energy Sources (RES), Artificial

Neural Network (ANN), Photovoltaic (PV), Carbon credit.

S. No.

Pollutant

1.

CO

76% to 90%

92%

2.

NOx

66% to 74%

60%

3.

SO

5% to 12%

2% to 4%

4.

PM

3% to 22%

Nil to 16%

Delhi

Bombay

I. INTRODUCTION
Table I: Pollutant intensity in Delhi and Bombay

Energy is a prime factor for economic, social and

industrial development of a country. India, which is one
of the fastest developing countries of the world has
experienced economic boom in recent thirty years on one
hand, and on the other, is suffering from huge energy
shortage [1].
An alternate option for the present energy crisis is the
adaptation of renewable energy sources (RES). Unlike fossil
fuels, renewable energy sources (RES) are clean, safe, easy to
maintain and sustainable method of generating power.
Motor vehicles have been closely identified with
increasing air pollution levels in urban centers of the world
[2]. The major pollutants released as vehicle/fuel emissions
are, CO2, CO, nitrogen oxides, hydrocarbons, photochemical
oxidants, air toxics namely benzene, aldehydes, 1-3
butadiene, lead, particulate matter, oxides of sulphur and
polycyclic aromatic hydrocarbons which causes serious
environmental and health related impacts. Like many other
parts of the world, air pollution from motor vehicles is one of
the most serious and rapidly growing problems in urban
centers of India.
Organization like TERI, UNEP, WHO, World Bank,
BARC, CESE, IIT etc. have carried out studies in the past to

The world average temperature has risen by about 1 F over

the past century. Greenhouse gases (GHGs) are found to be
responsible for this. Projected impacts from global warming
include rising sea levels, intensification of tropical cyclones,
larger storm surges, increasing sea-surface temperatures, and
as the oceans absorb more of the carbon dioxide human
activities emit to the atmosphere, thus growing acidification
of surface waters [3].
Transport sector contributes around 14% towards the
global emissions of greenhouse gases. The Road transport
alone emits around 16% of the global CO2 emissions. From
1990 to 2004, carbon dioxide emissions from the worlds
transport sector have increased by 36.5% with only the road
transport emission contributing to 29% in industrialized
countries and 61% in other countries. According to study [3],
carried out by Centre for Science and Environment for CO2
emissions has depicted that the emission of CO2 on Indian
roads is expected to reach a value of 1212 million tons during
2035 from a value of 208 million tons during 2005. This
study reveals the total CO2 emission on Indian roads from
2005 to 2035 as projected in Figure-1.

M. Tabrez, Mukhtar Ahmad, Md. Asif Hasan and Nidal Rafiuddin are with
the Department of Electrical Engineering, ZHCET, Aligarh Muslim University,
India (e-mail: mdtabrez2008@gmail.com).
Mohd. Omais is with the Department of Applied chemistry, ZHCET, Aligarh
Muslim University, India.

978-1-4673-0455-9/12/$31.00 2012 IEEE

976

II. ESTIMATION OF NUMBER OF REGISTERED CARS IN INDIA

USING ANN

1400

Artificial Neural network (ANN) is a power full tool that

can be structured to accomplish a range of tasks including
pattern recognition, data mining, classification, forecasting
and process modeling. It has been an efficient tool in
extrapolating different parameters via other parameter that
have no specific relationship [5]. ANN is built of fundamental
processing units called as neurons. Figure-2 shows the model
of a neuron.

1200

Million Tones of CO2

1000

800

600

400

200
2005

2010

2015

2020

2025

2030

2035

Year

Figure 1: Emission of CO2 from 2005 to 2035

Vehicles in major metropolitan cities are estimated to account

for 70% of CO, 50% of HC, 30-40% of NOx, 30%of SPM and
10% of SO2 of the total pollution load of these cities. Cars
and jeeps are estimated to account for 13% of the total
number of vehicles in India and their contribution towards
various pollutants is shown in Table-II
Table II: Emissions from different vehicle type of India
(Giga gram) 2003-04
Vehicle

CO

CO

NOx

CH

SO2

PM

HC

Cars, jeeps

23901

212.3

22.1

18.2

5.7

3.2

28.0

All vehicle

243816

3032.2

2213.8

126.8

709

153

723.4

%
Contribution

Figure 2: Model of a neuron

In the figure, wkj represents the synaptic weights where k

refers to the neuron under consideration while index j
signifies the input synapse. The function of the weight is to
strengthen or weaken the synapse input signal connected to
the neuron. The neuron is connected to a bias (bk) which
prevents error generation when all input data are null. The
task of activation function is to make decision over the total
sum input whether to fire the neuron or not and with how
much intensity. Mathematically, Figure-2 can be expressed
as.
n

uk
9.8

7.0

1.0

14.3

0.8

2.1

( wk , j x j )

(1)

uk

bk

(2)

(v k )

(3)

j 1

3.9

vk

The Union Government in collaboration with Provincial

Governments in India has been emphasizing the need for
planning and developing strategies to implement the
mitigation measures to maintain the urban air quality and
make the cities cleaner and greener for achieving better air
quality and good health for its citizens. In this paper, impact
of one of these measures has been analyzed and its
effectiveness towards the environment has been calculated.
First of all, number of registered cars and jeeps is
forecasted up to 2020 from previously available data [4]. It
has been proposed that all the existing cars are upgraded to
hybrid cars that work with both conventional petroleum
energy and solar energy through solar panels installed on roof
of the cars. The energy expected to be received from solar
panels is then converted to equivalent petroleum and then
calculations have been done to calculate the saving of
equivalents of greenhouse emissions. Finally these savings
are converted into equivalent carbon credit.

yk

Where, uk is the output from the additive junction, and yk is

the output signal of neuron k [6].
In this paper, we extrapolate the total number of
registered cars for subsequent years after 2009 till 2020 using
artificial neural networks (ANN) with the help of data
available from previous years. ANN can take various forms
like hopfield network, kohonen network, carpenter and
grossberg network, self organizing feature maps (SOFM),
learning vector quantization (LVQ), generalized learning
vector quantization (GLVQ) however, in this study we use a
feed forward neural network called as multi layer perceptron
(MLP) which is based on error correction learning. In this
type of network, the data flows forward without any feedback
[7].
Figure-3 shows a typical three layers Multilayer
perceptron model with one input node, three nodes in the
hidden layer and an output node, used for extrapolating the
numbers of registered cars.

977

Hidden Layer
data
fit
Y=T

15000

Number
of cars

Year

Output

10000

Figure 3. Multi Layer Perceptron architecture

5000

5000

10000
Target

15000

In order to validate the trained neural network we

presented the network with known input of 2009 and
correspondingly obtained output with an error of 0.006%.
Figure-6 shows the extrapolation of the number of cars
for the year 2010-2020 (shown in red) along with the data
used for extrapolation (shown in black). According to the
extrapolation the number of cars, jeeps and taxis in 2020 is
35039 thousands.
4

x 10

Black: Previous data

Red: Forecasted

3.5
3

2.5

(d j
MSE

Figure 5: Regression between known values and ANN modeled values

No of Cars (In Thousands)

The learning rule used in a MLP is a Back

propagation type of learning, a supervised learning done
through Levenberg-Mequardt algorithm. In order to reduce
the error, the Back propagation algorithm keeps on adjusting
the weight starting from the last to first, with the output layer
been the first to be adjusted, hence converging the network
towards more accurate values when presented with more and
more training data. The network was structured on
NeuroSolution application [8].
The number of registered cars in 1000s with
corresponding year taken from [4] is used to train the neural
network. These data are 1956(159), 1959(203), 1961(310),
1966(456), 1971(682), 1976(779), 1981(1160), 1986(1780),
1991(2954),
1996(4204),
2001(7058),
2002(7613),
2003(8599), 2004(9451), 2005(10320), 2006(11526),
2007(12649), 2008(13950), and 2009(15313). The data in the
parentheses is number of registered cars in a particular year.
The input being years and output the numbers of cars, this
pair was used to adjust the weights to minimize the mean
square error (MSE) in each training steps. MSE measures the
difference between the desired and the neuronal output as in.
yj)

(4)

j 1

1.5

Where, dj is the desired output and yj is the actual output

value from ANN.
In order to obtain the optimally performing ANN, many
tests were performed by varying the number of hidden layers,
finally selecting one hidden layer of size 3, with hyperbolic
tangent sigmoid function as the activation function as shown
in Figure-4 [9].

1
0.5
0
1950

1960

1970

1980
1990
Year

2000

2010

2020

Figure 6: Extrapolation of number of registered cars

III. ANALYSIS
The analysis includes the calculation of solar energy
received, equivalent petroleum saving and saving of
greenhouse emission products by burning of this much of
petroleum.

Figure 4. Hyperbolic tangent sigmoid function

Figure-5 shows the linear regression analysis verifying a

strong correlation between known values and values modeled
by the ANN.

A. Solar energy received

The familiarity of solar radiation data is a pre requisite
for the modeling and design of all photovoltaic and solar
thermal power schemes. Measured monthly average values of
daily irradiations are usually the best source of information
and provide the starting point for many calculations. When

978

the solar radiation data is unavailable, then there is one

possibility to get reasonable radiation estimates from
commonly available meteorological parameters, such as
sunshine hours, relative humidity, maximum and minimum
temperatures, and cloud cover of that geographic location. In
available literatures numerous empirical relations have been
developed in order to estimate the solar radiation around the
world [10]. Out of these relations are Angstromtype
regression equation, Glover and McCulloch model,
Tasdemiroglu and Sever model, Bahel et al. correlation,
Hargreaves' Equation, and Sayigh Universal formula. Each
model has its own advantage.
Solar intensity received on earth per square meter at a
plane surface normal to the direction of radiation is estimated
as [11].

In

TR
0
I e .9
ext

9.4 * sin

(5)

Where Iext is the intensity of extra-terrestrial radius on a

surface
normal to the direction, T R is turbidity factor that
varies with month and atmospheric conditions and is
inclination angle.
India receives solar energy equivalent to over 5,000
trillion kWh per year. The daily average solar energy incident
varies from 4-7 kWh per square meter depending upon the
location. The annual average global solar radiation on
horizontal surface, incident over India is about 5.5 kWh per
square meter per day. There are about 300 clear sunny days in
most parts of the country [12].

e). It is reported that Global warming potential (equivalent

CO2) of N2O is 310 times and CH4 is 21 times that of CO2
[13].
D. Roof Area of car
Maruti, TATA, Hyundai and Mahindra shares 80.9% of total
Indian Car market [14]. The exact analysis requires
forecasting of each type of car in a Particular year or
statistical research of the data. For a secure and approximate
analysis, we take the size of roof equivalent to a smaller car
like Maruti Suzuki though the result will underestimate the
analysis value. The area of the roof of Maruti Suzuki is
approximately 5.237m2.
E. Solar PV Panel
Researches are being made to enhance the efficiency of solar
PV panels. Spectrolab (owned by Boeing) sell multi-junction
solar cells with reported efficiencies of 30% to 38% [15];
Amonix advertises multi-junction cells with 25% efficiency
[16] and Sunpower advertise 19% efficiency [17].
F. Calculations
Let no. of cars in a particular year be Nc and average roof area
of the car be Af. Assuming that the roof of car is fully covered
with solar PV panels, thus
Average Energy received at roof = NC*AF*5.5 kwh
Considering efficiency of the PV cell to be 35% then,
Usable average energy = 0.35*NC*5.237*5.5*1000*3600 J

B. Combustion of Petrol
Gasoline or petrol is a mixture of many hydrocarbons: most
dominant one is iso-octane. The complete burning of isooctane produces CO2, H2O and energy. Due to impurity in
petrol and incomplete burning, CO, CH4, N2O NO2, SOx
and many other hydrocarbons are produced. CO2, N2O and
CH4 are greenhouse gases. The Table III shown below shows
the practical data [13].

In terms of petrol, 5.218 MMBtu of energy is equivalent

to 1 barrel petrol and 1 gallon of petrol produces 8.81 kg
CO2, 0.64g CH4, 0.22 Kg N2O (only GHGs are taken) [13].
Energy received by a car by means of solar panels can be
converted to equivalent petroleum and hence the equivalent
amount of CO2, CH4 and N2O can be calculated. These results
are given in tabulated form in Table IV.

Table III: Practical data of GHGs emission

Energy Content
(MMBtu/barrel
)

CO2
Emission
(Kg/gallon)

N2O Emission
(g/gallon)

CH4
Emission
(g/gallon)

5.218

8.81

0.64

0.22

C. Carbon Credit
Carbon credits and carbon markets are a component of
national and international attempts to mitigate the growth in
concentrations of greenhouse gases (GHGs). The
Environment Protection Authority of Victoria defines a
carbon credit as a generic term to assign a value to a
reduction or offset of greenhouse gas emissions, usually
equivalent to one tonne of carbon dioxide equivalent (CO2979

Table IV
Estimated number of cars with savings of green house gases

Cars
(in
1000s)

CO2(in
1000
tons)

N20(in
1000
tons)

CH4(in
1000
tons)

2010

16797

67035

1.673

4.869

2011

18377

73319

1.830

5.326

2012

20048

80069

1.999

5.816

2013

21801

87052

2.173

6.323

2014

23622

94268

2.354

6.848

2015

25498

101716

2.540

7.389

2016

27410

109397

2.731

7.947

2017

29340

117078

2.923

8.505

2018

31268

124759

3.115

9.063

2019

33174

132440

3.307

9.621

2020

35039

139889

3.493

10.162

1127022

28.138

81.869

Year

Total

Carbon
Credit
(in
millions)
0.0677
0.0740
0.0808
0.0879
0.0951
0.1027
0.1104
0.1182
0.1259
0.1337
0.1412
1.1375

IV. CONCLUSIONS
This work presents a method of analysing the benefit of
upgrading the conventional cars with a hybrid one in future.
As we see that the number of cars on roads is supposed to
increase more than double from 2010 to 2020 and the
pollution level is surely to go at high level with time.
Possibility of earning carbon credits are as much as 1.13
million should certainly show us the path to go for a boost in
hybrid vehicle sector. With a certain amount spent on
development of hybrid car technology this goal can be
achieved. Seeing the pace of world towards green energy, the
analysis further strengthens the need of adaptation of hybrid
vehicles. This study used the artificial neural network to
forecast the no of vehicles. This technique gives more
accurate value as compared to other techniques. This work is
related to only GHGs and can be extended to analyse for other
pollutants also.
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