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A New Nonlinear Directional Overcurrent Relay

Coordination Technique, and Banes and Boons
of Near-End Faults Based Approach
ARTICLE in IEEE TRANSACTIONS ON POWER DELIVERY AUGUST 2006
Impact Factor: 1.73 DOI: 10.1109/TPWRD.2005.861325 Source: IEEE Xplore

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R.P. Maheshwari

Rajasthan Technical University

Indian Institute of Technology Roorkee

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Jaypee Institute of Information Technology
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1176

IEEE TRANSACTIONS ON POWER DELIVERY, VOL. 21, NO. 3, JULY 2006

A New Nonlinear Directional Overcurrent Relay

Coordination Technique, and Banes and Boons of
Near-End Faults Based Approach
Dinesh Birla, Rudra Prakash Maheshwari, and H. O. Gupta, Senior Member, IEEE

AbstractConsiderations of weight factors and far-end faults

in the directional overcurrent relay coordination problem formulation do not affect the optimal solution. This paper investigates
this viewpoint and verifies that indeed by such an approach the
optimality is not lost. But, this study reveals that in doing so,
the coordination quality is sacrificed to some extent. It is also
observed that if all remaining valid constraints (after relaxing few
constraints based on the back-up coordination philosophy and
strength of fault level generated) are considered and if the objective function is changed to running sum of all violating constraints,
all valid considered constraints are satisfied. This study is done by
simultaneously optimizing all settings in nonlinear environment
by Sequential Quadratic Programming method using Matlab
Toolbox. The results of the analysis on a sample 6-bus and IEEE
30-bus systems are presented in this paper.
Index TermsBackup/Primary (B/P), coordination time interval (CTI), directional overcurrent relays (DOCRs), objective
function, pick-up current setting ( ), time dial setting (TDS).

I. INTRODUCTION

ROTECTIVE relaying is a vital part of any electric power

system network and their coordination is an important
aspect of the protection system design. Relay coordination
problem is to determine the sequence of relay operations for
each possible fault location so that faulted section is isolated,
with sufficient coordination margins, without excessive time
delays. This sequence selection is a function of power network
topology, relay characteristics, and protection philosophy.
Modern power transmission systems are quite vast, interconnected and having complex loops. Lines are protected by overcurrent, distance, or pilot-relaying equipment depending on the
requirements [1]. Directional overcurrent relays (DOCRs) are
good technical and economic alternative for the protection of
interconnected subtransmission systems and secondary protection of transmission systems [2]. They are also used for the protection of distribution systems [3], [4]. Their operational settings are coordinated to achieve desired operations whenever a
fault or an abnormal condition arises. In performing coordination, the settings of all relays of the system are found in such a
way that all backup/primary (B/P) relay pairs operate in a predefined manner. The settings to be determined are pick-up current
Manuscript received March 23, 2005; revised July 16, 2005. Paper no.
TPWRD-00155-2005.
The authors are with the Department of Electrical Engineering, IIT Roorkee,
Roorkee 247667, India (e-mail: dbrladee@iitr.ernet.in; birladraj@yahoo.com;
rudrafee@iitr.ernet.in; harifee@iitr.ernet.in).
Digital Object Identifier 10.1109/TPWRD.2005.861325

Fig. 1. Sample 6-bus power system.

setting
and time dial setting (TDS) for each DOCR of the
system.
Presently, the DOCR coordination process is usually
performed using optimization techniques. In optimization
techniques, an objective function is minimized subject to some
coordination constraints. The conventional objective function
and constraints for DOCR coordination problem are defined in
Sections II and III respectively.
Thorough coordination studies of sample 6-bus system given
in Fig. 1, the IEEE 14-bus system and IEEE 30-bus system are
carried out. It is observed by the analysis that all remaining valid
constraints after relaxing few constraints (criteria for relaxation
described in Section IV) are not satisfied in the optimization
process with conventional objective function. It is also observed
that if the objective function is changed to running sum of all violating constraints, all valid considered constraints are satisfied.
The problem of infeasibility of constraints does not arise with
this approach. In this regard, results of the study on sample 6-bus
and IEEE 30-bus systems only are presented in the paper.
This paper also investigates the quality of coordination
achieved by performing DOCR coordination based on faults
simulated at near ends only as compared to the faults on both
ends, i.e., near-ends as well as far-ends. The results of IEEE-30
bus and sample 6-bus systems on this aspect are presented in
Section IV. Near-end faults based optimization approach is
described in Section II.
In the work presented here, DOCR coordination process is
performed by simultaneously optimizing settings involving all
complexities of the coordination problem. Solution of the nonlinear function, thus formed, is obtained by using the sequential
quadratic programming technique (SQP). For this purpose, the

0885-8977/$20.00 2006 IEEE

BIRLA et al.: A NEW NONLINEAR DIRECTIONAL OVERCURRENT RELAY COORDINATION TECHNIQUE

1177

MATLAB Toolbox is used. The SQP technique is described in

Section III. The authors have carried out these investigations in
a pursuit to achieve dependable and sensitive back-up protection
as well as primary protection in DOCR coordination studies.
II. NEAR-END FAULTS-BASED OPTIMIZATION APPROACH
In earlier days, for the solution of the coordination problem,
various methods namely trial and error [5], curve-fitting [5], [6],
graphical, and analytical [7][14] were attempted. Though optimization techniques [2], [4], [15][24] have gained popularity,
yet much work is still performed using trial and error, more or
less based on hand calculations. Detailed analysis of all methodologies and techniques used to achieve coordination in the past
has been presented recently [25].
A fault simulated near the relay on the line is near-end fault
for the relay under consideration. The same fault is a far-end
fault for the relay present at the other end of the line. In Fig. 2,
are shown.
the near-end fault and far-end fault for relay
The near-end fault level is used to coordinate relay operations
for high fault currents very close to relay (i.e., at the beginning
of line). The far-end fault level coordinates for the minimum
fault current at the end of the line [26]. Conventionally, objective
in DOCR coordination is constituted as sumfunction
mation of the primary operating times of relays, which would
respond to the near-end fault currents and the far-end fault currents. It is given as
(A)
where
number of relays responding to near-end faults;
number of relays responding to far-end faults;
primary operating-time of th relay for near-end
fault;
primary operating-time of th relay for far-end fault.
In all the procedures, to accomplish the task of relay coordination, the critical and the worst cases of power system are
considered. Near-end and far-end faults are the simplest ways
to find the critical coordination cases, especially when lines-out
and circuit breaker failures are included [27], [28]. Damborg et
al. described three levels of coordination criteria for faults to
be simulated [7]. They classified them as the desired design criteria, minimum criteria, and enhanced criteria. They reported
that it is common in desired design criteria to consider two
classes of faults such as remote bus faults (far-end faults)
and close-in (near-end) faults. If necessary, these criteria
may be relaxed to minimum criteria that allow the relays not
to operate for lesser fault currents. They further reported that associated enhanced criteria would result if one wished to check
the coordination for larger classes of faults such as mid-line
faults.
Perez et al. were the first to apply the optimization technique
in DOCR coordination [15]. This paper considered faults at the
midpoints of circuits. Sachdev et al. were the first to successfully apply the adaptive techniques in DOCR coordination [16],
[17]. These approaches explained the coordination problem formulation based on near-end faults. One more adaptive approach

Fig. 2.

Diagram showing near-end and far-end faults for relay R

followed this philosophy of near-end faults based DOCR coordination process [4].
Near-end faults based optimization approach is briefly described below.
Assuming a network of relays, the near-end objective function
to be minimized can be expressed as
(B)
where

and
are the operating times of primary relay
and backup relay
, respectively, for the near-end
.
fault of relay
The selectivity constraints here are considered based only on
the near-end faults. For the near-end fault shown in Fig. 2, one
selectivity constraint exists and it is as
(C)
As usual, limits on relay settings (TDS and ) and bounds on
the operation times of primary relays are the other coordination
constraints.
The considerations of the weight factors and far-end faults in
the problem formulation do not have any effect on the optimal
solution of coordination [18]. The present paper investigates this
viewpoint of near-end faults based approach and finds that this
concept is a realistic and tenable argument for proper simplification of the DOCR coordination problem. The study reported in
this paper also verifies that this simplification of the problem
yields better objective function optimal value. However, it is
found that such simplification of the problem impairs the coordination quality of the system marginally because some of the
constraints based on far-end faults are not satisfied by solution
obtained from near-end faults based approach. This is demonstrated in this paper by results of the study carried on a sample
6-bus and IEEE 30-bus systems.
[2] considered transient configurations arising due to dynamic changes in the network topology of a system. [4] has
reported an adaptive coordination scheme based on near-end
faults and it is claimed that their problem dimensionality was
reduced to a quarter as compared to [2]. Furthermore, consideration of parallel lines case and coordination of directional
overcurrent relays with second-zone distance relays and breaker
failure relays shall aid additional constraints [19][21]. These
additional constraints are not taken into account here. Inclusion
of these additional constraints and solving the problem based on
only near-end faults will be computationally efficient to some
extent. But, some of the far-end fault constraints corresponding
to these additional constraints will be violated.

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IEEE TRANSACTIONS ON POWER DELIVERY, VOL. 21, NO. 3, JULY 2006

III. SEQUENTIAL QUADRATIC PROGRAMMING TECHNIQUE

To solve the overcurrent relay coordination problem with the
help of SQP optimization routine of Matlab Toolbox, one needs
to supply the lower and upper limits of problem variables in
the main routine itself. The routine calls the two functions: coordination objective function and selectivity constraints of the
problem.
In the overcurrent coordination problem the objective funcgiven by (A) if the problem
tion to be minimzed will be
is solved by near-end as well as far-end faults based approach.
given by (B) if the problem
The objective function will be
is solved by only near-end faults based approach.
Constraints of the problem are as given below:
i) Coordination criteria for each B/P relay pair
Where,
is operating time of backup relay and
is operating time of primary relay.
For the near-end as well as far-end faults based approach, the coordination criteria will involve relay pairs
operating time responding for near-end as well as far-end
faults. But, for only the near-end faults based approach,
the coordination criteria will involve relay pairs operating time responding for only near-end faults as explained in (C).
ii) Bounds on relay settings for each relay
where
is the
a)
lower limit of TDS and
is the upper limit of
TDS.
where
is the lower limit of
b)
and
is the upper limit of .
iii) Limits on operation times of primary relays. The primary
protection is to be accomplished within less than a maximum time-delay for all faults and more than some minimum time considering transient conditions.
Sequential quadratic programming [29][31] can solve this
optimization problem. This is explained below with the help of
a general constrained nonlinear optimization problem model as
under:
Any general constrained nonlinear optimization problem
model consists of a nonlinear objective function with nonlinear
equality and inequality constraints as follows:
Minimize
Subject to equality and inequality constraints

(1)
(2)
(3)
(4)

where
number of equality constraints;
number of inequality constraints;
number of variables;
variable of the problem;
lower limit of the variable ;
upper limit of the variable .
SQP approximates the objective function to quadratic
form and constraints in linear form successively. All problem
functions are assumed to be continuously differentiable. The

algorithm is based on iterative formulation and solution of the

quadratic problem. The basic structure of SQP involves major
and minor iterations. The subproblems are obtained by using a
quadratic approximation of the Lagrangian and by linearizing
the constraints. Estimation of the Lagrangian multiplier is
associated with each major iteration.
The quadratic programming subproblem is given as
Minimize

(5)

Subject to

(6)
(7)
(8)

is the gradient of
at
.
where
The matrix
is a positive definite approximation to the Hessian of the Lagrangian function. is the search direction (change
in variable during iteration). Once has been computed, the
major iteration proceeds by determining a step length that produces a sufficient decrease in an augmented Lagrangian merit
function. If an optimal point is not reached, Hessian matrix
is updated to incorporate the information obtained from current
iterate. It must be emphasized that the nonlinear constraints will
not generally be satisfied until an optimal point is reached.
that
The major iterations generate a sequence of iterates
converge to , a first-order Kuhn-Tucker point of the optimization problem of (1). At a typical major iteration, the new iterate
is defined by
(9)
where
current iterate;
step length (a nonnegative scalar);
search direction (change in variable during iteration)
Forming the Lagrangian function using (1)(3), we have
(10)
Applying first-order Kuhn-Tucker conditions for the optimality of the Lagrangian in (10), we have the following:
;
1)
;
2)
;
3)
and
.
4)
The first condition says that partial derivatives of the Lagrangian function must be zero at the optimal solution point. The
second and third conditions are simply equality and inequality
constraints. The fourth condition is called a complementary
slackness condition and provides a mathematical way to handle
the problem of constraints.
In summary, the SQP optimization routine in Matlab Toolbox
first determines a point that satisfies the first-order Kuhn-Tucker
conditions and thereafter, each iteration includes the following.
a) The solution of a quadratic programming subproblem.
b) A line search with an augmented Lagrangian merit
function.
c) Updating of approximate Hessian of the Lagrangian
function.

BIRLA et al.: A NEW NONLINEAR DIRECTIONAL OVERCURRENT RELAY COORDINATION TECHNIQUE

IV. RESULTS
A. IEEE 30-Bus System
Four-hundred selectivity constraints are generated for the
faults simulated at near-ends and far-ends for IEEE 30-bus
system, if parallel lines are replaced by equivalent single line.
319 constraints are expected to be valid constraints in this study
after relaxing 81 constraints based on the following criteria.
1) The majority of selectivity constraints are relaxed when
the DOCR fault currents fall below their pick-up current.
The corresponding coordination constraint is not included
in the optimization routine [Discussion, 20].
2) Few constraints are relaxed when directions of fault currents for associated relays in a selectivity constraint are
opposite to each other, those constraints are also relaxed
[28].
Out of the 319 remaining valid constraints, 167 constraints
belong to near-end faults and 152 constraints belong to far-end
faults.
The problem has been solved by three approaches.
i) Approach I: based on only near-end faults with objective
function
ii) Approach II: based on both, near-end as well as far-end
faults with conventional objective function
.
iii) Approach III: based on both near-end as well as far-end
faults with objective function as running sum of violations
of all violating constraints
Tables I and III present the values of the selectivity constraints, i. e. Backup Relay TimePrimary Relay TimeCTI
in seconds. The negative value indicates violation of the selectivity constraint. Coordination time interval (CTI) is taken as
0.2 s.
Out of 319 valid constraints, 12 are not satisfied with approach I as shown in Table I. Four constraints out of these 12
remain unsatisfied with approach II. These correspond to constraint numbers 9 to 12 in Table I, whereas these 12 constraints
are satisfied using proposed approach III as shown in Table I.
This avoids undesired operations of relays (may be sympathy
trips also) involving these constraints. Thus, proposed approach
III satisfies all valid 319 constraints. Of course, the value of the
objective function increases to 116.5894 as compared to the approach I optimal point 102.3916, and approach II optimal point
103.8503 as shown in Table II. It is expected as quality of coordination is improved. But, still primary relay operating times
do not violate the acceptable limits to clear the corresponding
faults.
Significant reductions in time delays for back-up relays for
few constraints corresponding to far-end faults are obtained
when approach II and approach III solve the problem. This
is shown in Table III. These reductions bring back-up relays in more favorable positions to provide effective back-up
protection.
B. The 6-Bus System (Fig. 1)
There are 48 selectivity constraints generated for the faults
simulated at near-ends and far-ends for sample 6-bus system.

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TABLE I
CONSTRAINTS FOR IEEE 30-BUS SYSTEM WHICH ARE NOT SATISFIED
BY APPROACH I BUT SATISFIED WITH APPROACHES II AND III AND
CONSTRAINTS WHICH ARE NOT SATISFIED BY APPROACHES I AND II
BUT SATISFIED BY APPROACH III

TABLE II
COMPARISON OF OPTIMAL VALUES OF OBJECTIVE FUNCTION OBTAINED
BY ALL THREE APPROACHES FOR IEEE 30-BUS SYSTEM

TABLE III
CONSTRAINTS FOR IEEE 30-BUS SYSTEM WHICH ARE SIGNIFICANTLY
IMPROVED BY APPROACH II AND III AS COMPARED TO APPROACH I

TABLE IV
COMPARISON OF OPTIMAL VALUES OF OBJECTIVE FUNCTION OBTAINED
BY ALL THREE APPROACHES FOR SAMPLE 6-BUS SYSTEM (FIG. 1)

Based on the criteria described earlier in part of this section,

ten constraints are relaxed. Out of the 38 remaining valid constraints, 20 constraints belong to near-end faults and 18 constraints belong to far-end faults.
The problem has been solved by all three approaches as discussed for IEEE 30-bus system. For this system also, similar
observations were observed regarding constraints as described
for IEEE 30-bus system.
Based on approach II for 6-bus system also all valid 38 constraints are not satisfied, as observed for IEEE 30-bus system.
When approach III solves the optimization problem, all valid
38 constraints are satisfied. Optimal points of objective functions obtained with approach I, approach II and approach III are
10.0470, 10.1386, and 10.7811, respectively, and are given in
Table IV.

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IEEE TRANSACTIONS ON POWER DELIVERY, VOL. 21, NO. 3, JULY 2006

TABLE V
COMPARISON OFTDS AND I VALUES FOR SAMPLE 6-BUS SYSTEM (FIG. 1) BY ALL THREE APPROACHES

TABLE VI
COMPARISON OF RESPECTIVE TIMES TAKEN BY ALL THREE APPROACHES FOR 6-BUS SYSTEM (FIG. 1) AND IEEE 30-BUS SYSTEM

TDS and values obtained for all three approaches are given
in Table V. Comparison of time taken by all three approaches for
6-bus and IEEE 30-bus systems is given in Table VI.
TDS is taken in the range of (0.051.1). For phase relays the
pick-up setting is determined by allowing a margin for overload
above the nominal current as under [32]
overload factor

nominal current

where CTR is the current transformer ratio.

Overload factor used by [7] is 1.25, by [22] is 1.3 and by [33]
is 1.21.3. It is hard to find a simple inequality expression to
establish the pick-up currents limits, because of the involvement
of a combination of random factors like the load, ampacity of
lines, transformers etc. An overload factor range of 1.25 to 1.5
times the nominal current for lines, transformers, and generators
has been used in this paper as per [23], [24], [32], and [34]. In
distribution systems, where it is possible to increase the loading
on feeders under emergency conditions, the overload factor can
be of the order of 2 [32]. In this investigation, even when the
overload factor was increased to 2, the trend in the results by
three Approaches presented in this paper remained the same.
Load transfer has been considered in both directions to avoid
the possibility of relay mal-operation if the directional unit is
incorrectly activated by the wrong polarization, especially under
heavy transfer conditions [32].

V. CONCLUSION
This paper concludes that solving the DOCR coordination
problem based on only near-end faults does not loose objective function optimal value but sacrifices quality of coordination
mildly. It is because some of the constraints based on far-end
faults are not satisfied by this approach. When the problem is
solved based on near-end as well as far-end faults these constraints are satisfied. In making this observation authors also feel
that for small systems approach based on near-end faults is acceptable both in terms of objective function optimal value and
coordination quality. However, for large interconnected systems
in a given situation one does not know which pair may be a critical pair. So, the approach based on near-end and far-end faults is
a better approach. Even with this approach all valid constraints
are not satisfied.
When the problem is solved by changing the objective function to running sum of violations of all valid constraints, it satisfies all considered valid constraints. This will have marked
effect on improvement of coordination quality for large interconnected systems. It will increase security and dependability
of protection systems. It has been observed in this investigation
that even for IEEE 30-bus system this technique has reduced the
threat of sympathy trips to minimum.
APPENDIX
Data for 6-bus sample system [35] given in Fig. 1
Bus code: 1 slack bus, 0 load bus, 2 generator bus.

BIRLA et al.: A NEW NONLINEAR DIRECTIONAL OVERCURRENT RELAY COORDINATION TECHNIQUE

TABLE VII
BUS DATA ARRAY AND LINE DATA OR NETWORK TOPOLOGY ARRAY

Base
Table VII.

, bus data, and line data are shown in

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Dinesh Birla was born in Bundi, India. He received

B.E. degree in electrical engineering and the M.E. degree in power systems from Government Engineering
College, Kota, India, in 1990 and 2000, respectively.
He is currently pursuing the Ph.D. degree at the Indian Institute of Technology, Roorkee, India.
He joined Bombay Suburban Electric Supply Ltd.,
Bombay, India, in 1990. Subsequently, he was with
Jyoti Switchgears, Mogar (Gujarat), India, and now
is with the Engineering College, Kota. He has taught
high voltage engineering and power systems courses.
His research interests are in the area of computer applications to power systems,
power network protection, and optimization.

Rudra Prakash Maheshwari was born in Aligarh,

India, in 1960. He received the B.E. and M.Sc.
(Engg.) degrees from A.M.U. Aligarh in 1982
and 1985, respectively, and the Ph.D. degree from
University of Roorkee, Roorkee, India, in 1996 for
his work on developments in protective relays.
He was an academic staff member with A.M.U.
Aligarh. He is Associate Professor with the Department of Electrical Engineering, IIT Roorkee, India.
He has published more than 30 research papers in various international/ national journals and conferences.
His areas of interest are power system protection, developments in digital protective relay, and protective relay testing. He is a consultant in the area of small
hydro power plants.
Dr. Maheshwari was awarded a merit certificate by the Institution of Engineers (India) for a paper and is a member of various professional societies. He
is also on the panel of reviewers for various international journals in the area of
power systems.

IEEE TRANSACTIONS ON POWER DELIVERY, VOL. 21, NO. 3, JULY 2006

H. O. Gupta (SM03) was born in Agra, India. He

received the B.E. degree in electrical engineering
from the Government Engineering College, Jabalpur, India, in 1972, the M.E. degree in systems
engineering and operation research in 1975, and the
Ph.D. degree in 1980, both from the University of
Roorkee, Roorkee, India.
He is currently a Professor and Head of the
Electrical Engineering Department, Indian Institute
of Technology, Roorkee. He visited McMaster
University, Hamilton, ON, Canada, from 1981 to
1983 as a Postdoctoral Fellow. His research interests are in the areas of computer-aided design, reliability engineering, power network optimization, and
power transformers. He is associated with many industries as consultant. He
has published many research papers in various international/national journals
and conferences.